Environmental Conflict Resolution and Public Participation 环境冲突解决和公众参与

Steve Wolfson, U.S. EPA Office of General Counsel, ACEAN Regional Meeting, Beijing: December 15, 2007

美国环保总署法律顾问 史蒂夫 · 沃夫森ACEAN 地区会议 北京 2007 年 12 月 15 日

The Range of “Public Involvement” Processes in EPA Actions and Decisions环保总署行动和决策中“公众参与”流程的范围

拓展

目标：提供信息

种类：

网络事实说明说

电话热线联邦注册通知

媒体发布

信息交换

目标：提供并交换数据，意见和选项

种类：

个人会议公共会议工作会议倾听会议

可及性会议

建议

目标：提供非束缚但有影响力的建议或意见 种类：

顾问委员会确定范围会议

政策对话工作组

联合事实调查

协议

目标：达成切实可行的协议或和解方案

种类：

协议规则制定一致性许可证

和解协议认可令

原则陈述

利益相关方行动

目标：为利益相关方赋权采取行动

种类：

产业部门项目自愿减污项目

更新环境社区行动项目（ CARE)可持续性论坛

The Range of “Public Involvement” Processes in EPA Actions and Decisions环保总署行动和决策中“公众参与”流程的范围 This range of involvement moves from less to greater

involvement from left to right 从左至右公众参与范围从大到小 For every action or decision there is an appropriate public

involvement process 每一个行动或决策都配以合适的公众参与流程 ECR emphasizes a more collaborative method ECR 强调更具合作性的方法

Alternative Dispute Resolution (ADR)替代性纠纷解决办法（ ADR)

“any procedure that is used to resolve issues in controversy, including but not limited to, conciliation, facilitation, mediation, fact finding, minitrials, arbitration, and use of ombuds, or any combination thereof”- Administrative Dispute Resolution Act of 1996

“解决争议问题的任何程序，包括但不限于和解，促进，调解，事实认定，非诉公断，行政监察或上述任意程序的组合。”

——1996 《行政纠纷解决法》

Why Use ADR – Potential Benefits为什么使用 ADR— 潜在益处

EPA experience and dispute resolution literature suggest a range of possible benefits including:

EPA 经验和纠纷解决资料显示 ADR 有下列好处： Faster resolution of issues 更快解决问题 More creative, satisfying and enduring solutions 更具创造力，更令人满意并且更为持久的解决办法 Reduced transaction costs 减少交易成本 Fostering a culture of respect and trust among the stakeholders 在利益相关方之间创造出一种尊敬和信任的氛围 i Improved working relationships 促进工作关系 Increased likelihood of compliance 促进合规的可能性 Broader stakeholder support for EPA programs 为 EPA 项目争取更广泛的利益相关方的支持 Potentially better environmental outcomes 潜在更好的环境结果

When is ADR Appropriate何时使用 ADR

Issues are high priority 最为重要的问题 Issues are identifiable and negotiable 问题是可以确认且可以通过谈判解决的 Affected stakeholders can be identified and represented 受影响的利益相关方能够被确认并被代理 Enough time and resources are available 可获得充分的时间和资源 All stakeholders support using the process

When is ADR Appropriate何时使用 ADR 所有的利益相关方均支持使用这一程序 Maintaining relationships between the parties is important 各方之间维持关系非常重要 There is a deadline of some kind 有一个类似的截止日期 There is some way to assure implementation of agreement 有某种方式可以确保协议的实施 Data is available and can be shared 可获得资料并且可以分享这些资料

* Findings of the Administrative Conference of the United States, 1986

When to Consider Not Using ADR何时不考虑使用 ADR

Definitive or authoritative resolution is required for precedent 对于判例要有确定的或权威的解决方式 Persons who are significantly affected are not participants 受到严重影响的人不是参与者 Significant questions of government policy requiring additional

procedures 政府政策的重大问题需要额外的程序 Maintenance of established policy is especially important for consistency 维持已有政策对于连贯性来说尤为重要 Full public record is important 完整的公共记录很重要 Continuing jurisdiction over the matter is necessary by the courts 法庭对于时间继续拥有裁判权很必要** Findings of the Administrative Conference of the US and text of the

Administrative Dispute Resolution Act of 1996

Alternative Dispute Resolution Phases替代性纠纷解决阶段

EPA Conflict Prevention

and Resolution Center

Situation/Conflict Assessment

情况 / 冲突评估

Process Design

流程设计

Implement ADR Process

实施 ADR 流程

Outcome

结果

Monitor Outcome

检测结果

Convening

召集会议

ADR Design CharacteristicsADR 设计特点

An appropriately designed ADR process is one in which:一个设计合理的 ADR 流程应当： Right parties are effectively engaged 能够使正确的当事方有效参与进来 Appropriate process scope and timing 何理的流程范围和时间 Parties have capacity to engage in process 各方有能力参与到流程中 Parties have access to the same data and understand the issues 各方能够获取相同的资料并理解问题 Appropriate and mutually acceptable neutral guides the process 有合适的且各方均接受的中立方引领流程 Parties communicate well and work together to identify mutually

acceptable solutions 各方沟通良好且共同协作以确认出各方均能接受的解决办法

First Step: Situation Assessment 情况评估

A situation assessment is an assessment by a neutral person of the current status of a case:

情况评估是中立人对某一案件当前状态的评估： What are the issues in the dispute? 争议问题是什么？ Why these issues are important to each organization? 为什么这些问题对每一组织都重要？ Who is affected and what are their interests? 谁受到影响？他们的利益是什么？ When does the issue need to be resolved? 问题应需何时得到解决？ How should a process be conducted to best resolve the dispute or

situation? 程序应如何进行以便最好地解决争议或情况？

Who are the Stakeholders?谁是利益相关方？

Those whose actions may cause an environmental effect (eg:industry, government, farmers, utilities, loggers….)

行为会造成环境影响的人（如 : 工业，政府，农民，樵夫等） Those who are affected by these actions (eg. citizens, local residents) 受到这些行为影响的人（如：市民，当地居民） Those who represent environmental or public health interests (NGOs) 代表环境或公共健康利益的人（非政府组织） Federal governmental departments, regional, state and local

government 联邦政府部门，地区，州和当地政府 Those who are necessary for implementation (provide funding,

equipment, access to land….) 实施需要的人士（提供资金，装备，准入土地等） Others who have legal standing or who could block implementation 其他具有法律角色或能够阻止实施的人士

Who is a “Neutral” Person 谁是“中立”人

A neutral:

中立人是： Any person who the parties agree on – who can be effective, appropriate and credible

to all 各方达成一致的，对各方来说均有效、合适且可靠的任何人士 May be professional neutrals (mediator, arbitrator) or other respected leaders within

the government or community such as attorneys, judges, elders or others 可以是专业中立人（调解人，仲裁者）或在政府或社区受人尊敬的领导人物，如律师，

法官，长者或其他 Over the last 20 years a career path has emerged for environmental mediators in both

the government and the private sector in the U.S. 过去 20 年中在美国的政府和私有部门中已经为环境调解人提供了一条职业路径 May or may not have subject matter or legal expert 也许有或没有专业或法律专家

Desired Outcomes of ADR Processes

ADR 流程的期望结果 Parties improve capacity to manage and resolve conflict 各方提高管理和解决纠纷的能力 All parties are satisfied with the process 所有各方都对流程感到满意 Issues parties can not agree on are addressed with other approaches 各方未能达成一致的问题通过其他方式得以解决 Parties reach complete and durable agreements 各方达成完整长期协议 Agreements are implemented 协议被实施 All parties are satisfied with what they have achieved 各方对于达成的结果都很满意

Administrative Court ADR at EPA环保总署行政法庭 ADR

ADR is offered in enforcement cases in the Administrative Law Judges (ALJ) system. 行政法法官制度中在执法案件里提供了 ADR

Three types of ADR三种类型的 ADR: Facilitative – to improve communication for settlement 便利化－－为和解改善交流 Neutral Evaluation – to hear how a judge views the arguments 中立评估－－倾听法官如何看待辩论

Mediation – to assist the parties in negotiating a settlement 调解－－帮助协商和解中的当事方

ADR process is performed by an ALJ (who is not the trial judge) or participants may use an outside mediator ADR 过程是由一名行政法官（行政法官不是审判法官）开展的，或者由参与者邀请外来的调解人

Must be resolved within 60 days to preserve trial schedule为了维持审判安排，必须在 60天内解决

Use of ADR has saved time and resources because attorneys have not had to prepare and participate in trials.使用 ADR节约了时间和资源，因为律师不用非得做很多准备，也不用参加庭审。

ADR Use in Executing a Judgment执行判决中 ADR 的使用

Settlements documented in Consent Decree or Consent Agreement – approved and enforceable by the court在“双方同意的判决（ CD）”或“双方同意的协议和最终命令（ CAFO）”中记录的和解－－由法院批准，可由法院执行

EPA may also issue Unilateral Orders (UAO) under waste laws环保总署也可以根据危险废弃物法律发布“单边行政令（ UAO）”

Dispute Resolution clauses in consent decrees or agreements can provide for negotiation and ADR CD 、 CAFO 或者 UAO 中的纠纷解决条款可以规定协商和替代性纠纷解决

Lessons Learned in Managing Conflict

从管理冲突中吸取的经验 Involve all of the affected stakeholders 让所有受影响的利益相关方都参与进来 Start early - before a decision is final and the conflict has hardened 尽早开始—在做出最终决定和冲突恶化前 Encourage dialogue rather than debate 鼓励对话而非辩论 Choose a process appropriate to the issues and parties 选择对问题和各方都合适的流程 Make sure all parties understand and agree upon whether the process

is consultation or negotiation 确保所有各方都理解并同意这一流程是磋商或谈判 Provide access to all relevant information 提供所有相关信息 Use a mutually acceptable third party neutral with appropriate skills,

knowledge and experience 使用大家都接受的，拥有合适技能，只是和经验的第三方中立者

Lessons Learned:Institutionalizing Conflict Management经验：将冲突管理制度化 Create Centers of expertise to provide policy, management,

coordination, evaluation, and institutional memory 创立专业中心提供政策、管理、协调、评估和制度资料 Evaluate cases and programs to improve practice 对案件和项目进行评估以改善实践 Train government personnel to build capacity for resolving

disputes 培训政府人员，对他们进行提高其解决纠纷的能力建设 Reward government managers for resolving disputes

appropriately 对合理解决纠纷的政府管理者进行奖励

Strong Signs in China中国的强烈的迹象

我们这周了解到 ADR 和 ECR 可能更适合中国：• Less presumption toward invoking courts to

resolve disputes; 不是非得通过法院解决纠纷• Tradition of seeking compromise and informal

resolutions; 有折衷和非正式解决的传统• Interest in pursuing creative and flexible solutions

to environmental disputes. 有兴趣采用更有创造性和灵活性的解决方式来解决环境纠纷。

Case Exercise – Situation AssessmentBackground Description案例练习—情况评估背景描述

Chemical spill at a chemical manufacturer 某化工厂化学物质泄漏 Regional and City government responded to emergency 地区和市政府对险情做出反应 Some local citizens were evacuated overnight 一些当地居民被连夜疏散 Enforcement action by government included: 政府的执法行为包括：

spill cleanup 泄漏清理 written communication plan with government 与政府的书面沟通计划 Penalty 惩罚

Company complied with order 公司遵守了命令 Local community still has concerns about: 当地社区对以下问题仍存有疑虑：

their health 他们的健康 contamination of their property 对他们财产的污染 future emergency communications with community 未来与社区的危机沟通

Helpful Websites有帮助的网站US Government Websites:美国政府网站： www.epa.gov/adr (EPA’s Conflict Prevention & Resolution Center) EPA 冲突预防和解决中心 www.epa.gov/publicinvolvement (EPA’s public involvement policy and

resources) EPA 的公众参与政策和资源 www.ecr.gov (US Institute for Environmental Conflict Resolution) 美国环境争议解决协会 www.adr.gov (US Interagency ADR Working Group) 机关间 ADR 工作组

Helpful Websites有帮助的网站Private Sector Professional Dispute Organizations: 私有部门专业纠纷组织：

(listing is not an endorsement of these organizations or their information or recommendations)

（列表未经下列组织授权，不是它们的信息或建议） www.acresolution.org (Association for Conflict Resolution) 纠纷解决协会 www.iap2.org (International Association for Public Participation) 公众参与国际协会

www.agree.org (Policy Consensus Initiative) 政策舆论项目

A Few Useful References*一些有用的书目 Best Practices for Government Agencies: Guidelines for Using Collaborative

Agreement Seeking Processes. 1996, ACR www.acresolution.org A Practical Guide to Consensus. 1999, PCI www.policyconsensus.org

A Consensus Building Handbook. 1999, Susskind, McKearnan, Thomas-Larimer. Thousand Oaks Press, California.

Building Consensus for a Sustainable Future: Putting Principles into Practice. 1996, Canadian Roundtable on Environment and the Economy

IAP2 Core Values, International Association for Public Participation Collaboration: A Guide for Environmental Advocates

www.virginia.edu/~envneg/ien_projects_past_feat.htm#guide “Building Trust – 20 Things you can do…” Adler & Birkhoff,

www.policyconsensus.org “Managing Scientific & Technical Information in Environmental Cases” Adler et

al, www.policyconsensus.org

* Listing is not an endorsement of these organizations or their information or recommendations )