1、Designation: E 2091 05Standard Guide forUse of Activity and Use Limitations, Including Institutionaland Engineering Controls1This standard is issued under the fixed designation E 2091; 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 (e) indicates an editorial change since the last revision or reapproval.INTRODUCTIONValuable property, which is, or is perceived to be, environmentally impacted, remains idlethroughout th
3、e 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 may be
4、 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 to i
5、ndustrial 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 activit
6、y 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 redevelopmentplan
7、s, 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
8、 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 activityand use limitations that are
9、 protective 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 int
10、egral 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 h
11、elp 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 lim
12、itation 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 t
13、ypes 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 a
14、lso describes some“best practices” from a transactional, stakeholder involvement,and long-term stewardship perspective. The guide also empha-sizes the importance of considering the need for, and potential1This guide is under the jurisdiction ofASTM Committee E50 on EnvironmentalAssessment and is the
15、 direct responsibility of Subcommittee E50.02 on CommercialReal Estate Transactions.Current edition approved May 1, 2005. Published June 2005. Originallyapproved in 2000. Last previous edition approved in 2000 as E 2091 00.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Consh
16、ohocken, PA 19428-2959, United States.applicability 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 cautioned notto rely on this guide alone but to consult directly wit
17、h theappropriate program.1.6 This standard does not purport to address all of thesafety concerns, if any, associated 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 pri
18、or to use.2. Referenced Documents2.1 ASTM Standards:2E 1527 Practice for Environmental Site Assessments: PhaseI Environmental Site Assessment ProcessE 1912 Guide for Accelerated Site Characterization forConfirmed or Suspected Petroleum ReleasesE 2081 Guide for Risk-Based Corrective Action2.2 USEPA D
19、ocuments:3EPAs Institutional Controls: A Reference Manual (March1998)EPAs 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 Landown
20、ersMust Meet in Order to Qualify for Bona Fide ProspectivePurchaser, Contiguous Property Owner, or Innocent Land-owner Limitations on CERCLA Liability (“Common El-ements” Guide) (March 2003)EPAStrategy to Ensure Institutional Control Implementationat Superfund Sites, OSWER No. 9355.0-106, (September
21、2004)2.3 Other Document:American Bar Association, Implementing Institutional Con-trols at Brownfields and Other Contaminated Sites (Ed-wards, ed., 2003)3. Terminology3.1 Definitions of Terms Specific to This StandardThereader should review the definitions presented herein prior toreviewing this guid
22、e, as many of the items included in thisguide may have specific regulatory definitions within existingfederal, state, 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 E 2081. Theuser sh
23、ould not assume that these definitions replace existingregulatory definitions. Where the definition or use of a term 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 acceptabl
24、e riskrisk which is deemed to be below alevel of regulatory concern.3.1.2 activity and use limitations, or AULslegal 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 t
25、hat couldinterfere with the effectiveness of a response action, to ensuremaintenance of a condition of “acceptable risk” or “no signifi-cant risk” to human health and the environment. These legal orphysical restrictions are intended to prevent adverse impacts toindividuals or populations that may be
26、 exposed to chemicals ofconcern.3.1.3 affrmative easementone where the servient estatemust permit something to be done thereon, as to pass over it,or to discharge water on it.3.1.4 appurtenant easementan easement that benefits aparticular tract of land. An incorporeal right which is attachedto a sup
27、erior 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.3.1.5 attributea characteristic of a geographic featuredescribed by numbers, characters, images and CAD drawings,typically stored in t
28、abular 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.3.1.6 chemical releaseany spill or leak or detection ofconcentrations of chemical(s) of concern in environmentalmedia.3.1.7 che
29、mical(s) of concernthe specific compounds andtheir breakdown products that are identified for evaluation inthe risk-based corrective action process. Identification can bebased on their historical and current use at a site, detectedconcentrations in environmental media, and their mobility,toxicity an
30、d persistence in the environment. Because chemicalsof concern may be identified at many points in the risk-basedcorrective action process, the term should not be automaticallyconstrued to be associated with increased or unacceptable risk.3.1.8 computer-aided design (CAD)an automated systemfor the de
31、sign, drafting, and display of graphically orientedinformation.3.1.9 coordinate systema reference system used to mea-sure horizontal and vertical distances on a planimetric map.3.1.10 corrective actionthe sequence of remedial actionsthat include site assessment and investigation, risk assessment,res
32、ponse actions, interim remedial action, remedial action,operation and maintenance of equipment, monitoring ofprogress, making no further action determinations, and termi-nation of the remedial action.3.1.11 corrective action goalsconcentration or other nu-meric values, physical condition or remedial
33、 action perfor-mance criteria that demonstrate that no further action isnecessary to protect human health and the environment. Forexample, these goals may include one or a combination ofRBSL, SSTL, RESC, SSEC and ORMC chosen for sourcearea(s), point(s) of demonstration and point(s) of exposure. Thec
34、orrective action goals are specific to each Tier in the evalua-tion.2For 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 page onthe ASTM w
35、ebsite.3Available from U.S. Government Printing Office Superintendent of Documents,732 N. Capitol St., NW, Mail Stop: SDE, Washington, DC 20401.E20910523.1.12 coveragea digital version of a map that forms thebasis of the GIS. A coverage stores geographic features andassociated feature attribute tabl
36、es.3.1.13 databasea logical collection of interrelated infor-mation, managed and stored as a unit, usually on some form ofmass-storage system such as magnetic tape or disk. A GISdatabase includes data about the spatial location and shape ofgeographic features recorded as points, lines, areas, pixels
37、, gridcells, or tins, as well as their attributes.3.1.14 deed restrictiona restriction or limitation on aninterest in real property, created by a conveyance from oneperson to another.3.1.15 direct exposure pathwayan exposure pathwaywhere the point of exposure is at the source, without a releaseto an
38、y other medium and without an intermediate biologicaltransfer step.3.1.16 easement in grossan easement in gross is notappurtenant to any estate in land or does not belong to anyperson by virtue of ownership of an estate in other land but ismerely a personal interest in or right to use the land of an
39、other.Easements that do not benefit a particular tract of land (e.g.,utility easements).3.1.17 easement of accessright of ingress and egress toand from the premises of a lot owner to a street appurtenant tothe land of the lot owner.3.1.18 easementsa right of use over the property ofanother. Traditio
40、nally, the permitted kinds of uses were limited,the most important being rights of way and rights concerningflowing waters. The easement was normally for the benefit ofadjoining lands, no matter who the owner was (an easementappurtenant), rather than for the benefit of a specific individual(easement
41、 in gross). The land having the right of use as anappurtenance is known as the dominant tenement and the landwhich is subject to the easement is known as the servienttenement.3.1.19 ecological evaluationa process for organizing andanalyzing data, information, assumptions and uncertainties toevaluate
42、 the likelihood that adverse effects to relevant ecologi-cal receptors or habitats may occur or are occurring as a resultof exposure to chemical(s) of concern.3.1.20 engineering controlsphysical modifications to asite or facility to reduce or eliminate the potential for exposureto chemicals of conce
43、rn (e.g., slurry walls, capping, hydrauliccontrols for ground water, or point of use water treatment).3.1.21 equitable servitudesbuilding restrictions and re-strictions on the use of land which may be enforced in equity.If there is a scheme in their creation, a subsequent owner mayenforce them by in
44、junctive relief against another subsequentowner. Such servitudes are broader than covenants runningwith the land because they are interests in land.3.1.22 exposurecontact of an organism with chemicals ofconcern at the exchange boundaries (e.g., skin, lungs, andliver) when the chemicals of concern ar
45、e available for absorp-tion or adsorption.3.1.23 exposure assessmentthe determination or estima-tion (qualitative or quantitative) of the magnitude, frequency,duration and route of exposure between a source area and areceptor.3.1.24 exposure pathwaythe course a chemical(s) of con-cern takes from the
46、 source area(s) to a receptor or relevantecological receptor and habitat. An exposure pathway de-scribes the mechanism by which an individual or population isexposed to a chemical(s) of concern originating from a site.Each exposure pathway includes a source or release from asource of a chemical conc
47、ern, a point of exposure, an exposureroute, and the potential receptors or relevant ecological recep-tors and habitats. If the exposure point is not at the source, atransport or exposure medium or both (e.g., air or water) arealso included.3.1.25 exposure routethe manner in which a chemical(s)of con
48、cern comes in contact with a receptor (e.g., ingestion,inhalation, dermal contact).3.1.26 exposure scenariothe description of the circum-stances, including site properties and chemical properties, orthe potential circumstances under which a receptor or arelevant ecological receptor or habitat could
49、be in contact withchemical(s) of concern.3.1.27 facilitythe property containing the source of thechemical(s) of concern where a release has occurred. A facilitymay include multiple sources and, therefore, multiple sites.3.1.28 geographic information system (GIS)a geographicinformation system (GIS) is a computer-based tool for track-ing, mapping and analyzing resources using either an explicitgeographic reference, such as a latitude and longitude ornational grid coordinate, either from entry of this data fromgeographical location devices or by geograph
