1、Designation: E2091 11Standard 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 revision,
2、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 idlethroughout the f
3、ifty 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 may be ac
4、tivity 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 to indu
5、strial 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 activity a
6、nd 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 redevelopmentplans,
7、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 restricted to
8、risk-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 activityand use limitations that are pr
9、otective of human health and theenvironment into federal, state, tribal or local remediationprograms using a risk-based approach to corrective action.Activity and use limitations should be considered early in thesite assessment and remedial action selection process, andshould be considered an integr
10、al part of remedial actionselection. In the event that an appropriate activity and uselimitation cannot be found, the user may need to revisit theinitial remedial action selection decision.1.2 This guide does not mandate any one particular type ofactivity and use limitation but merely serves to help
11、 usersidentify, implement and maintain the types of activity and uselimitations that may be appropriate in programs using arisk-based decision-making approach.1.3 This guide identifies screening and balancing criteriathat should be applied in determining whether any particularactivity and use limita
12、tion may be appropriate. This guideidentifies the need to develop long-term monitoring andstewardship plans to ensure the long-term reliability andenforceability of activity and use limitations. This guideexplains the purpose of activity and use limitations in theremedial action process and the type
13、s of activity and uselimitations that are most commonly available.1.4 This guide describes the process for evaluating poten-tially applicable activity and use limitations and using screen-ing and balancing criteria to select one or more activity and uselimitations for a specific site. The guide also
14、 describes some1This guide is under the jurisdiction of ASTM Committee E50 on EnvironmentalAssessment, Risk Management and Corrective Action and is the direct responsibil-ity of Subcommittee E50.02 on Real Estate Assessment and Management.Current edition approved May 1, 2011. Published July 2011. Or
15、iginally approvedin 2000. Last previous edition approved in 2005 as E2091 05. DOI: 10.1520/E2091-11.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.“best practices” from a transactional, stakeholder involvement,and long-term stewards
16、hip perspective. The guide also empha-sizes the importance of considering the need for, and potentialapplicability of, activity and use limitations EARLY in theremedial action process.1.5 All references to specific Federal or state programs arecurrent as of the date of publication. The user is cauti
17、oned notto rely on this guide alone but to consult directly with theappropriate program.1.6 The values stated in SI units are to be regarded asstandard. No other units of measurement are included in thisstandard.1.7 This standard does not purport to address all of thesafety concerns, if any, associa
18、ted with its use. It is theresponsibility of the user of this standard to establish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:2E1527 Practice for Environmental Site Assessments: PhaseI En
19、vironmental Site Assessment ProcessE1912 Guide for Accelerated Site Characterization for Con-firmed or Suspected Petroleum ReleasesE2081 Guide for Risk-Based Corrective ActionE2247 Practice for Environmental Site Assessments: PhaseI Environmental Site Assessment Process for Forestland orRural Proper
20、ty2.2 USEPA Documents:3EPAs Institutional Controls: A Site Managers Guide toIdentifying, Evaluating and Selecting Institutional Con-trols at Superfund and RCRA Corrective Action Cleanups(September 29, 2000)EPAs Interim Guidance Regarding Criteria LandownersMust Meet in Order to Qualify for Bona Fide
21、 ProspectivePurchaser, Contiguous Property Owner, or Innocent Land-owner Limitations on CERCLA Liability (“Common El-ements” Guide) (March 2003)EPA Strategy to Ensure Institutional Control Implementationat Superfund Sites, OSWER No. 9355.0-106, (September2004)EPA, A Citizens Guide to Understanding I
22、nstitutionalControls at Superfund, Brownfields, Federal Facilities,Underground Storage Tank, and Resource Conservationand Recovery Act Cleanups (March 2005)EPA, Long Term Stewardship: Ensuring Environmental SiteCleanups Remain Protective Over Time (September 2005)EPA, National Strategy to Manage Pos
23、t ConstructionCompletion Activities at Superfund Sites (October 2005)EPA, “Enforcement First” to Ensure Effective InstitutionalControls at Superfund Sites (March 2006)EPA Draft Interim Final Guide Institutional Controls atContaminated Sites (2010) (hereinafter, EPA Draft InterimFinal Guide)2.3 Other
24、 Documents:American Bar Association Implementing Institutional Con-trols at Brownfields and Other Contaminated Sites (Ed-wards, ed., 2003)NCCUSL (National Conference of Commissioners on Uni-form State Laws), UECA Legislative Update4ASTSWMO, State Approaches To Monitoring And Over-sight of Land Use C
25、ontrols (October 2009)510 CFR 20.1402 and 20. 1403 EnergyRadiological Cri-teria for Unrestricted Use; Criteria for License Termina-tion under Restricted Conditions310 CFR 30.36(d), 40.42(d), 50.82(a) and (b), 70.38(d), and72.54 EnergyExpiration and Termination of Licenses310 CFR 830 EnergyNuclear Sa
26、fety Management340 CFR 300.430(a)(1)(iii)(D) Protection of Environ-ment National Oil and Hazardous Substances PollutionContingency Plan340 CFR 761.61(a), 761.61(a)(3)(i), 761.61(a)(7), and761.61(a)(8) Protection of EnvironmentPolychlorinated Biphenyls (PCBs) Manufacturing, Pro-cessing, Distribution
27、in Commerce, and UseProhibitionsPCB Remediation Waste340 CFR 761.75(b)(1)(ii) through (b)(1)(v) Protection ofEnvironmentPolychlorinated Biphenyls (PCBs) Manu-facturing, Processing, Distribution in Commerce, and UseProhibitionsChemical Waste Landfills342 USC 9620(h)(3) Comprehensive Environmental Re-
28、sponse, Compensation, and Liability Act33. Terminology3.1 Definitions of Terms Specific to This StandardThereader should review the definitions presented herein prior toreviewing this guide, as many of the items included in thisguide may have specific regulatory definitions within existingfederal, s
29、tate, tribal, or local programs. The following terms arebeing defined to reflect their specific use in this guide. Many ofthese definitions are taken directly from Guide E2081. The usershould not assume that these definitions replace existingregulatory definitions. Where the definition or use of a t
30、erm inthis standard differs from an existing regulatory definition oruse, the user should address these differences prior to proceed-ing with the corrective action process.3.1.1 acceptable riskrisk which is deemed to be below alevel of regulatory concern.3.1.2 activity and use limitations, or AULsle
31、gal or physi-cal restrictions or limitations on the use of, or access to, a siteor facility to eliminate or minimize potential exposures tochemicals of concern, or to prevent activities that couldinterfere with the effectiveness of a response action, to ensuremaintenance of a condition of “acceptabl
32、e risk” or “no signifi-cant risk” to human health and the environment. These legal or2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary
33、page onthe ASTM website.3Available from U.S. Government Printing Office Superintendent of Documents,732 N. Capitol St., NW, Mail Stop: SDE, Washington, DC 20401.4Available at http:/www.environmentalcovenants.org/ueca/uploads/UECA_Chart.pdf.5Available from Association of State and Territorial Solid W
34、aste ManagementOfficials (ASTSWMO), 444 North Capitol Street, NW, Suite 315, Washington, DC20001, http:/www.astswmo.org.E2091 112physical restrictions are intended to prevent adverse impacts toindividuals or populations that may be exposed to chemicals ofconcern.3.1.3 affrmative easementone where th
35、e servient estatemust permit something to be done thereon, as to pass over it,or to discharge water on it.3.1.4 all appropriate inquiriesan inquiry conducted priorto the date of acquisition of the property constituting “allappropriate inquiries into the previous ownership and uses ofthe property con
36、sistent with good commercial or customarypractice” as defined in CERCLA, 42 U.S.C. 9601(35)(B), andin EPAs regulations, 40 C.F.R. Part 312, that will qualify aparty to a commercial real estate transaction for one of thethreshold requirements that an owner of commercial real estatemust satisfy in ord
37、er to be eligible for any of the LandownerLiability Protections under CERCLA (42 U.S.C. 9601(35)(B),9607(b)(3), 9607(q), and 9607(r), assuming compliance withother elements of the defense.3.1.5 appurtenant easementan easement that benefits aparticular tract of land. An incorporeal right which is att
38、achedto a superior right and inheres in land to which it is attachedand is in the nature of a covenant running with the land. Theremust be a dominant estate and a servient estate.3.1.6 attributea characteristic of a geographic featuredescribed by numbers, characters, images and CAD drawings,typicall
39、y stored in tabular format and linked to the feature bya user assigned identifier (e.g., the attributes of a well mightinclude depth and gallons per minute). A column in a databasetable.3.1.7 bona fide prospective purchaser (BFPP)a personwho meets the criteria set forth in CERCLA 101(40) (42U.S.C. 9
40、601(40) qualifies as a bona fide prospective pur-chaser. Generally, a BFPP can be a person who purchasesproperty knowing that it is already contaminated. Among otherrequirements, BFPPs must make all appropriate inquiries intothe previous ownership and uses of the property prior toacquiring the prope
41、rty and all disposal of hazardous substancesat the property must have occurred prior to acquisition. Theproperty must have been acquired after January 11, 2002.3.1.8 Brownfields Amendment of 2002amendments toCERCLA contained in the Small Business Liability Relief andBrownfields Revitalization Act, P
42、ub. Law No. 107118 (2002),42 U.S.C 9601 et seq.3.1.9 chemical releaseany spill or leak or detection ofconcentrations of chemical(s) of concern in environmentalmedia.3.1.10 chemical(s) of concernthe specific compounds andtheir breakdown products that are identified for evaluation inthe risk-based cor
43、rective action process. Identification can bebased on their historical and current use at a site, detectedconcentrations in environmental media, and their mobility,toxicity and persistence in the environment. Because chemicalsof concern may be identified at many points in the risk-basedcorrective ac
44、tion process, the term should not be automaticallyconstrued to be associated with increased or unacceptable risk.3.1.11 computer-aided design (CAD)an automated sys-tem for the design, drafting, and display of graphically orientedinformation.3.1.12 contiguous property owner (CPO)a person whomeets the
45、 criteria set forth in CERCLA 107(q)(1)(A) (42U.S.C. 9607(q)(1)(A) qualifies as a contiguous propertyowner. Contiguous property owners are persons who owncommercial real estate that is contiguous to and that is or maybe contaminated by hazardous substances from other propertynot owned by that person
46、. To qualify as a CPO, a person musthave, among other requirements, conducted all appropriateinquiries and performed continuing obligations.3.1.13 coordinate systema reference system used to mea-sure horizontal and vertical distances on a planimetric map.3.1.14 continuing obligationsthose obligation
47、s that a pur-chaser must satisfy post-closing in order to maintain one of theLandowner Liability Protections (LLPs) offered under theBrownfields Amendments of 2002. These obligations includethe requirement to (1) be in compliance with any land userestrictions established or relied on in connection w
48、ith theresponse action at the facility, (2) not impede the effectivenessor integrity of any institutional controls employed in connec-tion with a response action,(3) take reasonable steps withrespect to releases of hazardous substances, including stoppingcontinuing releases, preventing threatened fu
49、ture releases, andpreventing or limiting human, environmental or natural re-source exposure to prior releases of hazardous substances,(4)provide full cooperation, assistance and access to persons whoare authorized to conduct response actions or natural resourcerestoration at a property, (5) comply with information requestsand administrative subpoenas, and (6) provide legally requirednotices with respect to releases of any hazardous substances ata property.3.1.15 corrective actionthe sequence of remedial actionsthat include site assessment and inves
