1、Designation: E2091 11E2091 17Standard Guide forUse of Activity and Use Limitations, Including Institutionaland Engineering Controls1This standard is issued under the fixed designation E2091; the number immediately following the designation indicates the year oforiginal adoption or, in the case of re
2、vision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.INTRODUCTIONValuable property, which is, or is perceived to be, environmentally impacted, remains idlethrougho
3、ut the fifty states because fears of liability and corrective action costs deter potentialdevelopers, purchasers, and lenders. In response, many states have adopted voluntary corrective actionor brownfields programs that utilize risk-based corrective action principles. One element of theseprograms m
4、ay be activity and use limitations to achieve either an “acceptable risk” or a “no significantrisk” level. For example, an owner/operator who volunteers to remediate a site to meet an industrialor commercial use standard may do so in exchange for a restrictive covenant that limits the use of thesite
5、 to industrial or commercial purposes only. Activity and use limitations should be considered anintegral part of the remedial action selection process. The user may determine, based uponpost-remedial action land use, or based upon the deficiencies in available activity and use limitations,that an ac
6、tivity and use limitation is not feasible for the site. The most effective use of activity and uselimitations as part of a federal, state, tribal or local remediation program requires careful considerationof many factors, including effectiveness, amenability to integration with property redevelopmen
7、tplans, implementability, technical practicability, cost prohibitiveness, long-term reliability, acceptabil-ity to stakeholders, and cost effectiveness. While this guidance is most likely to be applied whererisk-based corrective actions are conducted, use of activity and use limitations is not restr
8、icted torisk-based applications. Both institutional and engineering controls may be employed as elements ofa remedial action that is based on concentration level, background, or other non-risk-basedapproaches.1. Scope1.1 This guide covers information for incorporating activity and use limitations th
9、at are protective of human health and theenvironment into federal, state, tribal or local remediation programs using a risk-based approach to corrective action. Activity anduse limitations should be considered early in the site assessment and remedial action selection process, and should be consider
10、edan integral part of remedial action selection. In the event that an appropriate activity and use limitation cannot be found, the usermay need to revisit the initial remedial action selection decision.1.2 This guide does not mandate any one particular type of activity and use limitation but merely
11、serves to help users identify,implement and maintain the types of activity and use limitations that may be appropriate in programs using a risk-baseddecision-making approach.1.3 This guide identifies screening and balancing criteria that should be applied in determining whether any particular activi
12、tyand use limitation may be appropriate. This guide identifies the need to develop long-term monitoring and stewardship plans toensure the long-term reliability and enforceability of activity and use limitations. This guide explains the purpose of activity anduse limitations in the remedial action p
13、rocess and the types of activity and use limitations that are most commonly available.1.4 This guide describes the process for evaluating potentially applicable activity and use limitations and using and screeningand balancing criteria to select one or more activity and use limitations for a specifi
14、c site. The guide also describes some “best1 This guide is under the jurisdiction of ASTM Committee E50 on Environmental Assessment, Risk Management and Corrective Action and is the direct responsibilityof Subcommittee E50.02 on Real Estate Assessment and Management.Current edition approved May 1, 2
15、011Nov. 1, 2017. Published July 2011February 2018. Originally approved in 2000. Last previous edition approved in 20052011 asE2091 05.E2091 11. DOI: 10.1520/E2091-11.10.1520/E2091-17.This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of w
16、hat changes have been made to the previous version. Becauseit may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current versionof the standard as published by ASTM is to be considered t
17、he official document.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States1practices” from a transactional, stakeholder involvement, and long-term stewardship perspective. The guide also emphasizes theimportance of considering the need for,
18、 and potential applicability of, activity and use limitations EARLY in the remedial actionprocess. This guide can be used to effectively implement risk based corrective action.1.5 All references to specific Federal or state programs are current as of the date of publication. The user is cautioned no
19、t torely on this guide alone but to consult directly with the appropriate program.1.6 The values stated in SI units are to be regarded as standard. No other units of measurement are included in this standard.1.7 This standard does not purport to address all of the safety concerns, if any, associated
20、 with its use. It is the responsibilityof the user of this standard to establish appropriate safety safety, health, and healthenvironmental practices and determine theapplicability of regulatory limitations prior to use.1.8 This international standard was developed in accordance with internationally
21、 recognized principles on standardizationestablished in the Decision on Principles for the Development of International Standards, Guides and Recommendations issuedby the World Trade Organization Technical Barriers to Trade (TBT) Committee.2. Referenced Documents2.1 ASTM Standards:2E1527 Practice fo
22、r Environmental Site Assessments: Phase I Environmental Site Assessment ProcessE1912E1689 Guide for Accelerated Developing Conceptual Site Characterization for Confirmed or Suspected PetroleumReleasesModels for Contaminated Sites (Withdrawn 2013)E1848 Guide for Selecting and Using Ecological Endpoin
23、ts for Contaminated SitesE2081 Guide for Risk-Based Corrective ActionE2205 Guide for Risk-Based Corrective Action for Protection of Ecological ResourcesE2247 Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or RuralPropertyE2435 Guide for Appl
24、ication of Engineering Controls to Facilitate Use or Redevelopment of Chemical-Affected PropertiesE2616 Guide for Remedy Selection Integrating Risk-Based Corrective Action and Non-Risk ConsiderationsE2790 Guide for Identifying and Complying With Continuing ObligationsE2876 Guide for Integrating Sust
25、ainable Objectives into Cleanup2.2 USEPA Documents:3EPAs Institutional Controls: A Site Managers Guide to Identifying, Evaluating and Selecting Institutional Controls atSuperfund and RCRA Corrective Action Cleanups (September 29, 2000)EPAs Interim Guidance Regarding Criteria Landowners Must Meet in
26、Order to Qualify for Bona Fide Prospective Purchaser,Contiguous Property Owner, or Innocent Landowner Limitations on CERCLA Liability (“Common Elements” Guide) (March2003)EPA Strategy to Ensure Institutional Control Implementation at Superfund Sites, OSWER No. 9355.0-106, (September 2004)EPA, A Citi
27、zens Guide to Understanding Institutional Controls at Superfund, Brownfields, Federal Facilities, UndergroundStorage Tank, and Resource Conservation and Recovery Act Cleanups (March 2005)EPA, Long Term Stewardship: Ensuring Environmental Site Cleanups Remain Protective Over Time (September 2005)EPA,
28、 National Strategy to Manage Post Construction Completion Activities at Superfund Sites (October 2005)EPA, “Enforcement First” to Ensure Effective Institutional Controls at Superfund Sites (March 2006)EPA Draft Interim Final Guide EPA. Ensuring Effective and Reliable Institutional Controls at Contam
29、inated Sites (2010)(hereinafter, EPA Draft Interim Final Guide)RCRA Facilities, September 2007Recommended Evaluation of Institutional Controls: Supplement to the “Comprehensive Five-Year Review Guidance” OSWERDirective 9355.7-18, September 2011Enforcement Discretion Guidance Regarding the Affiliatio
30、n Language of CERCLAs Bona Fide Prospective Purchaser andContiguous Property Owner Liability Protections, September 2011Institutional Controls: A Guide to Planning, Implementing, Maintaining, and Enforcing Institutional Controls at ContaminatedSites; OSWER 9355.0-89 December 2012Institutional Contro
31、ls: A Guide to Preparing Institutional Control Implementation and Assurance Plans at Contaminated Sites,OSWER 9200.0-77 December 2012Implementing Institutional Controls in Indian Country , Office of Site Remediation Enforcement, Office of Enforcement andCompliance Assurance November 2013State Brownf
32、ields and Voluntary Response Programs , EPA-42-F-14-215, December 2014Cleaning Up Brownfields Under State Response Programs Getting to No Further Action, EPA 560-K-16-002, August 20162 For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at serviceast
33、m.org. For Annual Book of ASTM Standardsvolume information, refer to the standards Document Summary page on the ASTM website.3 Available from U.S. Government Printing Office Superintendent of Documents, 732 N. Capitol St., NW, Mail Stop: SDE, Washington, DC 20401.National Service Centerfor Environme
34、ntal Publications (https:/.nepis.epa.gov).E2091 1722.3 Other Documents:American Bar Association Implementing Institutional Controls at Brownfields and Other Contaminated Sites (Edwards, 2nd ed.,2003)2012)NCCUSL (National Conference of Commissioners on Uniform State Laws), UECA Legislative Update4AST
35、SWMO, State Approaches To Monitoring And Oversight of Land Use Controls (October 2009)510 CFR 20.1402 and 20. 1403 EnergyRadiological Criteria for Unrestricted Use; Criteria for License Termination underRestricted Conditions310 CFR 30.36(d), 40.42(d), 50.82(a) and (b), 70.38(d), and 72.54 EnergyExpi
36、ration and Termination of Licenses310 CFR 830 EnergyNuclear Safety Management340 CFR 300.430(a)(1)(iii)(D) Protection of Environment National Oil and Hazardous Substances Pollution Contingency Plan340 CFR 761.61(a), 761.61(a)(3)(i), 761.61(a)(7), and 761.61(a)(8) Protection of EnvironmentPolychlorin
37、ated Biphenyls(PCBs) Manufacturing, Processing, Distribution in Commerce, and Use ProhibitionsPCB Remediation Waste340 CFR 761.75(b)(1)(ii) through (b)(1)(v) Protection of EnvironmentPolychlorinated Biphenyls (PCBs) Manufacturing,Processing, Distribution in Commerce, and Use ProhibitionsChemical Was
38、te Landfills342 USC 9620(h)(3) Comprehensive Environmental Response, Compensation, and Liability Act3Department of Defense Defense Environmental Restoration Program (DERP) Management Department of Defense MANUALNUMBER 4715.20 March 9, 2012Department of Energy Guidance for Developing and Implementing
39、 Institutional Controls for Long-Term Surveillance andMaintenance at DOE Legacy Management Sites, January 2015Interstate Technology and Regulatory Council , Long-Term Contaminant Management Using Institutional Controls, December2016Weissman see Guides E1848, E2205, E2616.3.2.25 engineering controlsp
40、hysical modifications to a site or facility to reduce or eliminate the potential for exposure tochemicals of concern (e.g., (for example, slurry walls, capping, hydraulic controls for ground water, or point of use watertreatment).3.2.25.1 DiscussionSome states define this term differently. For examp
41、le, Pennsylvania includes within its definition of engineering controls only thosemeasures which control the movement of chemicals of concern through the environment (such as slurry walls, liner systems, caps,leachate collection systems and groundwater recovery trenches).trenches; See Guide E2435).3
42、.2.26 environmental covenanta covenant adopted pursuant to a states version of the Uniform Environmental Covenants Act.An environmental covenant has certain attributes, created by statute, that make it more reliable, durable and enforceable than mostother types of AULs.3.2.27 equitable servitudesbui
43、lding restrictions and restrictions on the use of land which may be enforced in equity. If thereis a scheme in their creation, a subsequent owner may enforce them by injunctive relief against another subsequent owner. Suchservitudes are broader than covenants running with the land because they are i
44、nterests in land.3.2.28 exposurecontact of an organism with chemicals of concern at the exchange boundaries (e.g., skin, lungs, and liver)when the chemicals of concern are available for absorption or adsorption.3.2.29 exposure assessmentthe determination or estimation (qualitative or quantitative) o
45、f the magnitude, frequency, durationand route of exposure between a source area and a receptor.3.2.30 exposure pathwaythe course a chemical(s) of concern takes from the source area(s) to a receptor or relevant ecologicalreceptor and habitat. An exposure pathway describes the mechanism by which an in
46、dividual or population is exposed to achemical(s) of concern originating from a site. Each exposure pathway includes a source or release from a source of a chemicalconcern, a point of exposure, an exposure route, and the potential receptors or relevant ecological receptors and habitats. If theexposu
47、re point is not at the source, a transport or exposure medium or both (e.g., air or water) are also included.3.2.31 exposure routethe manner in which a chemical(s) of concern comes in contact with a receptor (e.g., ingestion,inhalation, dermal contact).3.2.32 exposure scenariothe description of the
48、circumstances, including site properties and chemical properties, or thepotential circumstances under which a receptor or a relevant ecological receptor or habitat could be in contact with chemical(s)of concern.3.2.33 facilitythe property containing the source of the chemical(s) of concern where a r
49、elease has occurred. A facility mayinclude multiple sources and, therefore, multiple sites.3.2.34 geographic information system (GIS)a geographic information system (GIS) is a computer-based tool for tracking,mapping and analyzing resources using either an explicit geographic reference, such as a latitude and longitude or national gridcoordinate, either from entry of this data from geographical location devices or by geographical coding an address or otherdescriptive location. GIS technology integrates common database operations such as query and stati
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