Guidance for Documenting and Reporting
RCRA Subtitle C Corrective Action
Land Revitalization
Indicators and Performance Measures
February 21, 2007
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Guidance for Documenting and Reporting the RCRA Subtitle C Corrective
Action Land Revitalization Indicators and Performance Measures
1.0 Introduction 3
1.1 Purpose of Land Revitalization Indicators and Performance Measures 3
1.2 Applicability 3
1.3 Overview of Cross-Program Revitalization Measures 4
2.0 RCRA Corrective Action Indicators 5
2.1 Universe Indicator 5
2.1.1 RCRA Corrective Action Facilities in Universe Indicator 5
2.1.2 Calculating the Number of Acres 6
2.1.3 Reporting the Number of Acres 6
2.1.4 Counting Acres at Facilities Addressed by More Than One OSWER Cleanup
Program 7
2.2 Status of Use Indicator - Optional 7
2.3 Type of Use Indicator - Optional 8
3.0 Performance Measures 9
3.1 Protective for People Under Current Conditions (PFP) Measure 9
3.1.1 Reporting PFP Determination for the Entire Facility 9
3.1.2 Reporting PFP Determination for a Portion of the Facility 9
3.2 Ready for Anticipated Use (RAU) Measure 10
3.2.1 Reporting the RAU Measure 10
3.2.2 Documenting "PFP" Criteria for the RAU Measure 12
3.2.3 Documenting "Cleanup Goals" Criteria for the RAU Measure 13
3.2.4 Documenting "Institutional or Other Controls" Criteria for the RAU Measure... 15
Appendix I - Status of Use Indicator 18
Appendix II - Type of Use Indicator 19
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1.0 Introduction
In October 2006, the Environmental Protection Agency (EPA) released the Interim Guidance for
OSWER Cross-Program Revitalization Measures, (CPRM Guidance)1. The CPRM guidance
presents a collection of indicators and performance measures related to land revitalization.
These indicators and measures represent the Agency's latest effort to document progress toward
land revitalization across all of the Office of Solid Waste and Emergency Response's (OSWER)
various cleanup programs.
Today's guidance, presented here, the "Guidance for Documenting and Reporting RCRA2
Subtitle C Corrective Action Land Revitalization Indicators and Performance Measures"
(RCRA-LRM Guidance) is to assist EPA and State officials in documenting and reporting these
measures and indicators for RCRA Corrective Action facilities.
1.1 Purpose of Land Revitalization Indicators and Performance Measures
The purpose of these land revitalization indicators and performance measures is to
improve EPA's ability to promote and communicate cleanup and revitalization related
accomplishments and associated benefits/values to society. These new measures have the
ability to track progress in acres to communicate more clearly environmental results and
to enable the program to account for incremental progress at a site.
1.2 Applicability
Today's RCRA - LRM guidance is not a regulation itself, nor does it change or substitute
for any regulations. Thus, it does not impose legally binding requirements on EPA,
States, Tribes, or the regulated community.3
1 CPRM Guidance can be found at http://www.epa.gov/swerrims/landrevitalization/docs/cprmguidance-10-20-
06covermemo.pdf
2 RCRA represents the Resources Conservation and Recovery Act. Subtitle C of RCRA provides for the regulation
of hazardous wastes, and the cleanup of certain RCRA facilities.
3 This RCRA-LRM guidance does not confer legal rights or impose legal obligations upon any member of the
public. Interested parties are free to raise questions and objections about the substance of this guidance and the
appropriateness of the application of this guidance to particular situations. EPA and other decision makers retain the
discretion to adopt approaches on a case-by-case basis that differ from those described in this guidance.
This guidance does not change any existing policies and practices for carrying out investigations and cleanups.
Furthermore, achieving any of the performance measures or indicators in this guidance does not provide any legal
rights or legally enforceable commitments regarding EPA's enforcement intentions or any party's potential liability
at the facility and does not preclude EPA from taking any necessary enforcement action at the facility. Additionally,
any determination made for the purposes of the measures described in this guidance is based on the information
available at the time the determination is made and may change if the facility's conditions change or if new or
additional information is discovered regarding the contamination or conditions at the facility. As such, parties (e.g.,
land owners or developers) interested in finding out what uses would be protective for a particular property should
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1.3 Overview of Cross-Program Revitalization Measures
In 2003, recognizing the need to establish a consistent set of measures related to land
revitalization that could be applied across each of the OSWER cleanup programs, EPA
formed a workgroup of headquarters and Regional staff to develop recommendations.
This workgroup was later expanded to include representatives from various state
agencies. A report was developed discussing measurement activities in OSWER,
"Measuring Revitalization of Contaminated Properties in America's Communities - Past
Accomplishments and Future Activities" which is available at:
http:www.epa.gov/oswer/landrevitalization/docs/revitalizationmeasuresreport9-06.pdf
Based upon information gathered to develop that report, and working with both EPA
Regions and States, on October 20, 2006, EPA issued guidance for reporting land
revitalization indicators and performance measures: Interim Guidance for OSWER
Cross-Program Revitalization Measures (to be referred to as the CPRM Guidance in this
document). The CPRM Guidance establishes three indicators (two are optional) and two
performance measures.
Indicators
• Universe
• Status of Use (optional)
• Type of Use (optional)
Performance Measures
• Acres "Protective for People Under Current Conditions" (PFP)
• Acres "Ready for Anticipated Use" (RAU)
The CPRM Guidance establishes the overarching framework for these indicators and
performance measures, but left it to each of the OSWER programs to develop companion
guidance for program-specific implementation. Today's RCRA-LRM guidance
addresses implementation for the RCRA Corrective Action Program with respect to these
indicators and performance measures:
Universe Indicator - For 2007 and 2008, reports the number and acreage of
facilities in the RCRA Corrective Action GPRA 2008 universe. For 2009 and
beyond, reports the number and acreage of facilities in the RCRA Corrective
Action 2020 universe4'5.
rely on facility-specific cleanup documents and facility-specific institutional controls for property-specific
information.
4EPA developed the RCRA Corrective Action GPRA universes in conjunction with the States as a result of a
mandate in the Government Performance & Results Act (GPRA) which requires EPA to measure and track program
progress toward achieving clearly defined results. A short discussion of the GPRA can be found at:
http://www.epa.gov/epaoswer/hazwaste/ca/gpratxt.pdf
5 There are 1968 "Treatment, Storage and Disposal Facilities" (TSDs) in the RCRA Corrective Action GPRA 2008
universe. The Corrective Action Program is currently working to identify the facilities that will be in the RCRA
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Status of Use Indicator (optional) - For facilities in the Universe Indicator, reports
the status of use (e.g. unused, reused) of acres at a facility at the time that the
information is reported.
Type of Use Indicator (optional) - For facilities in the Universe Indicator, reports
the type of use (e.g. industrial, residential) of acres at a facility at the time that the
information is reported.
Protective for People under Current Conditions (PFP) Measure - For facilities in
the Universe Indicator, reports the number of acres of an entire facility or number
of acres for specific area(s) of a facility that meets the requirements of OSWER's
Protective for People Under Current Conditions definition.
Ready for Anticipated Use (RAU) Measure - For facilities in the Universe
Indicator, reports the number of acres of an entire facility or specific area(s) of a
facility that meets the requirements of OSWER's Ready for Anticipated Use
definition.
2.0 RCRA Corrective Action Indicators
This RCRA-LRM Guidance is designed to assist RCRA managers in reporting the three
revitalization indicators, two of which are optional. The Agency is not establishing targets for
these indicators. In implementing the indicators, EPA will request that Regions and States report
information for each fiscal year in RCRA Info, no later than October 10th of each year.
2.1 Universe Indicator
The Universe Indicator provides information on the number of facilities and acres that are
being addressed by EPA's programs.
2.1.1 RCRA Corrective Action Facilities in Universe Indicator
Through 2008, the RCRA facility Indicator Universe will consist of all RCRA
Corrective Action 2008 GPRA baseline facilities (a total of 1968 facilities). [See
Footnote 4 for information on the GPRA and 2008 baseline], A list of these
facilities will be posted at: http://www.epa.gov/epaoswer/hazwaste/ca/facilitv.htm
For 2009 and beyond, the RCRA facility Indicator Universe will consist of all
RCRA Corrective Action 2020 facilities. The list of RCRA facilities in the RCRA
CA 2020 universe will be posted at:
http://www.epa.gov/epaoswer/hazwaste/ca/facilitv.htm
Corrective Action 2020 universe. More information on the 2008 and the 2020 universes will be able posted at
http://www.epa.gov/epaoswer/hazwaste/ca/facility.htm
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2.1.2 Calculating the Number of Acres
The acres for RCRA Corrective Action facilities are calculated from fenceline-to-
fenceline. Off-site acres are not included in these calculations.
Fenceline-to-Fenceline acres include:
• All areas of the RCRA Corrective Action facility, as defined in 40 CFR
260.10. This includes contiguous property under the control of the
owner/operator if it meets the definition of corrective action facility.
• Areas that have been parceled off from the facility after January 1, 2007,
should be included in the fenceline-to-fenceline calculation, even if these
acres have been removed from the permit.6
• Areas that were originally part of the facility, but were parceled off prior to
January 1, 2007 may be counted if the State or Region chooses to.
Fenceline-to-fenceline acres do not include:
• Areas adjacent to the regulatory-defined facility that are impacted by
contamination from the facility (e.g., via groundwater release), property
under the control of the owner/operator that is nearby, but that is not
contiguous, and land that is contiguous, but that has never been under the
control of the owner/operator.7
2.1.3 Reporting the Number of Acres
In 2006, Regions and States were asked to report the number of acres for each
facility in the RCRA Corrective Action GPRA 2008 universe. The Regions
compiled this information and submitted it, in a spreadsheet, to the Office of Solid
Waste (OSW) in September 2006.
The next version of EPA's RCRA information system, RCRA Info, will include a
data element for acres. That version will be available for use sometime in 2007 or
2008. It is expected as part of this effort that the data element for "acres" will be
able to be attributed to an "area of a facility" or attributed as "facility-wide." This
data element will likely require information on the source and the date that the
information was input into RCRA Info. When the new acres data element is
incorporated into RCRA Info, details related to the construct of this information
will be provided to the RCRA programs.
6 There may be instances where a facility included in the 2020 universe is parceled after January 1, 2007, but before
it is evaluated for a RAU. In this instance, the Region or State may count the parceled acreage at their discretion.
7 Some State RCRA programs may have slight variations in their definitions of a facility boundary. The State
RCRA definition can use used in calculating fenceline-to-fenceline acres.
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The CPRM Guidance notes that "EPA currently does not have a data standard that
would dictate the needed quality for measuring acres. However, the following
three basic elements of the Agency's Measure Data Standard are applicable to
acre-based measurements in this RCRA - LRM guidance: (1) measure numerical
value, (2) unit of measurement (such as acres), and (3) measurement qualifiers
used to identify issues that could affect the results (e.g., source of acre
information). [For more information on the Agency's Measure Data Standard,
see standard EX100010.1 available at
http://www.epa.gov/edr/MeasureFD 01062006.pdfl8
2.1.4 Counting Acres at Facilities Addressed by More Than One OSWER
Cleanup Program
Facilities are sometimes regulated by more than one OSWER cleanup program.
Each OSWER program will report the number of acres for the facilities in their
universes. Based upon program specific factors, each program defines which
acres should be collected somewhat differently. The RCRA program will count
acres "fenceline-to-fenceline" for all facilities, including Federal Facilities with
RCRA activities. OSWER will develop a list of RCRA facilities that are also
being addressed by Superfund, the Brownfields Program, and the Federal
Facilities Program.9 OSW will work with the Regions and States on a facility
specific basis for facilities where more than one OSWER cleanup program is
active to identify overlap in acres counted. When OSWER reports national totals,
we will adjust the national total to eliminate or minimize, to the extent possible,
the multiple counting of acres.
2.2 Status of Use Indicator - Optional
This indicator can be voluntarily tracked and reported by States and Regions.
This indicator is not being required at a national level. OSW will be working with the
RCRA Info team to incorporate a data element for this indicator into RCRA Info.
Until there is an appropriate data element for this indicator in RCRA Info, States and
Regions that are collecting this information can submit it to OSW in a simple
spreadsheet at the end of each fiscal year. For information on this indicator, see
Appendix I and the CPRM Guidance10.
The CPRM Guidance lays out four categories for the "Status of Use" indicator.
• Continued Use
8). For more information on the Agency's Measure Data Standard, see standard EX100010.1 available at
http://www.epa.gov/edr/MeasureFD 01062006.pdf
9 EPA's Underground Storage Tank Program will not be identifying specific properties in it's reporting of the Land
Revitalization Measures. Thus, the RCRA program will not be working to identify RCRA cleanup facilities that
overlap with tank cleanups.
10 More information on these categories can be found in the CPRM Guidance at
http://www.epa.gov/swerrims/landrevitalization/docs/cprmguidance-10-20-06covermemo.pdf
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• Reused
• Unused
• Planned Reuse
EPA recommends that Regions and States choosing to collect this information utilize
these categories for purposes of consistency. OSW will make available a generic
form for collecting this information that the Regions and States may use if they
choose.
2.3 Type of Use Indicator - Optional
This indicator can be voluntarily tracked and reported by States and Regions.
This indicator is not being required at the national level. OSW will be working with the
RCRA Info team to incorporate a data element for this indicator into RCRA Info. Until
there is an appropriate data element for this indicator in RCRA Info, States and Regions
that are collecting this information can submit it to OSW in a simple spreadsheet at the
end of each fiscal year. For further information on this indicator, see Appendix II and the
CPRM Guidance.
The CPRM Guidance lays out ten categories, grouped in six areas, for this indicator.
Commercial and Public Service
Commercial Use
Public Service Use
Green Space
Agricultural Use
Recreational
Ecological Use
Industrial
Industrial Use
Military and Other Federal
Military
Other Federal Use
Mixed
Mixed Use
Residential
Residential Use
EPA recommends that the Regions and States choosing to collect this information use
these categories for purposes of consistency. OSW will make available a generic
form for collecting this information that the Regions and States may use if they
choose.
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3.0 Performance Measures
3.1 Protective for People Under Current Conditions (PFP) Measure
The Protective for People under Current Conditions measure recognizes the near-term
progress associated with protecting human exposures based on the current uses at the site.
The PFP measure is equivalent to, and requires the same documentation as, the Current
Human Exposures Under Control Environmental Indicator (HE EI). The PFP measure,
however, enables this milestone to be communicated in acres - either incrementally or for
all the acres of a facility. Receiving a PFP determination does not equal being done with
the response action.
3.1.1 Reporting PFP Determination for the Entire Facility
The Current Human Exposures Under Control Environmental Indicator (HE EI) is
reported in RCRA Info with the CA725 data element. OSW will use RCRA Info
to identify all RCRA facilities in the universe that have a facility-wide CA725
determination of yes (YE) and report these facilities as having met the PFP
measure.
3.1.2 Reporting PFP Determination for a Portion of the Facility
Regions or States may voluntarily document that a portion of the facility (area)
meets the HE EI and PFP measure. A State or Region may choose to do an area
specific HE EI and PFP determination when the State or Region believes it is
appropriate to count those acres as having met the PFP and/or the area is under
consideration for, or had been put to, reuse. The reporting PFP for a facility
"area" is optional. EPA encourages State and Regions to make a PFP
determination for large areas of a facility, when they have enough information
about the area to know that the PFP determination is appropriate, and a facility-
wide PFP determination is not expected in the near future.
In order to report the PFP for a portion of the facility, the area should be defined
as an "area of the facility" in RCRA Info11. When the area in question meets the
HE EI criteria and the State or Region chooses to document it, a HE EI form
should be filled out for the area. OSW encourages the Regions to post these forms
on the Regional website along with the other environmental indicator forms. In
2007, EPA will look at revising RCRA Info so that HE EI and acres information
can be entered for specific areas. Until that time, to report PFP acres for a facility
"area," the State or Region should submit to OSW, at the end of the fiscal year, a
spreadsheet that identifies the facility areas and their acres that have met the
criteria. This information should then be entered into RCRA Info when it has
been revised to accept that information.
11 RCRA Info uses "areas" to track some Corrective Action progress within a facility. General Information on
RCRA Info and the RCRA Info definition of "areas," can be found at http://www.epa.gov/enviro/html/rcris/
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If an area of a facility meets the HE EI, but the entire facility does not, the facility
will not be counted as having achieved a "facility-wide HE EI."
3.2 Ready for Anticipated Use (RAU) Measure
Lhe Ready for Anticipated Use measure enables EPA and States to track acres
determined to be protective for current and reasonably anticipated uses. Lhe criteria for a
facility or areas of a facility to meet the Ready for Anticipated Use Measure outlined in
the CPRM Guidance are as follows:
- Criteria for Protective for People under Current Conditions has been met;
- Cleanup goals have been achieved for media that may affect current and reasonably
anticipated future land uses of the facility so that there are no unacceptable risks; and
- All institutional or other controls, identified as part of a response action or remedy as
required to help ensure long-term protection, are in place.
A flowchart for determining whether acres for a RCRA facility or area of a facility meet
these criteria and thus can be given a RAU determination is provided below.
3.2.1 Reporting the RAU Measure
A "RCRA Ready for Anticipated Use Documentation" form is being developed to
assist in implementing this performance measure. Once this form has been
finalized, it will be made available to the RCRA programs and posted on the web.
OSW will be working with the RCRA Info team to develop an event code for the
RAU measure. Lhis code would be able to be linked to an "area" at a RCRA
facility or to the entire facility.
Project Managers will document when a facility or area of a facility has met the
criteria for the RAU measure by filling out the RCRA RAU Determination Form,
which is being developed. Lhis form will be posted on the web when it is
finalized. OSW encourages the Regions to post the completed forms on the
Regional websites just as the other RCRA Environmental Indicator forms are
posted. Lhe RCRA program will also enter the RAU determination into RCRA
Info with the date.
3.2.1.1 Reporting RA Ufor the Entire Facility or Portion of a Facility
Lhe RAU Determination form can be filled out for an entire facility or for
a portion of a facility. States and Regions are not required to make area-
specific RAU determinations, but may make these determinations as they
deem appropriate. EPA encourages State and Regions to make a RAU
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Decision Tree - RCRA "Ready for Anticipated Use" Measure
Is the Facility in the
CA GPRA 2008 or 2020 Universe?
No
An RAU can be done for this
Facility or Area.
However, since it is outside of the
Indicator Universe, it will not be
counted nationally for the RAU measure.
Does Facility or
Area meet the Protective for
.People Under Current Conditions^
(PFP) criteria?
No
Stop Here.
Facility or Area
does not meet
RAU Criteria
For Facility:
Facility has
HE El
determination
Yes
For Area: Complete
HE El form for Area
if facility hasn't met
HE El.
Have all
cleanup goals been
achieved for media that may affect
current and reasonable anticipated future
land uses of the site, so that
Jhere are no unacceptable
risks?
No
Stop Here.
Facility or Area
does not meet
RAU Criteria
(0
-
Have all appropriate
Institutional Controls (ICs) and
other required controls been
put in place?
No
Stop Here.
Facility or Area
does not meet
RAU Criteria
res
Facility or Area is given RCRA "Ready for
Anticipated Use" Determination.
RAU Determination Form is completed, submitted to Region.
Determination is entered into RCRA Info.
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determination for large areas of a facility, when they have enough information about the area to
know that the RAU determination is appropriate, and a facility-wide RAU determination is not
expected in the near future.
In order to fill out the form for a portion of the facility, all criteria for the
RAU measure must be met for the area being evaluated. The area that is
being included in the determination must be clearly defined on the form
and clearly defined as an "area of the facility" in RCRA Info. When the
RCRA program enters the RAU measure determination into RCRA Info, it
should be linked to the area being evaluated. Making a RAU measure
determination for a facility area is optional and at the discretion of the
States and Regions.
3.2.1.2 Reporting in 2007-2008
RCRA Info will not be changed in time for the 2007 reporting cycle.
Until the RCRA Info RAU event code becomes available, instead of
entering the information into RCRA Info, the Regions will submit a
spreadsheet with the RAU measure determinations at the end of the fiscal
year to OSW. For 2007 and 2008, OSW will report the facilities and acres
for the facilities in the RCRA 2008 baseline meeting the RAU. Regions
and States may submit data on other facilities, but should break these out
from the 2008 baseline facilities.
3.2.1.3 Changing a RA U Determination
There are no requirements for States and Regions to periodically
reevaluate the RAU Determinations. However, occasionally a project
manager may become aware of a change at a facility that might impact
this determination. If a program manager becomes aware of a change at
the facility or area of a facility which results in the facility or area no
longer meeting the RAU criteria, the project manager should complete
appropriate section of the RAU Determination form, sending the updated
form to the Region for posting and making the appropriate change for the
RAU event code in RCRA Info.
3.2.2 Documenting "PFP" Criteria for the RAU Measure
The RAU criteria require that the "Criteria for Protective for People under
Current Conditions " has been met.
RCRA Corrective Action facilities and areas of facilities that have met the HE EI
criteria and have that determination entered into RCRA Info will be considered
Protective for People Under Current Conditions.
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As noted in Section 3.1.1, an area of a facility can be determined to meet the PFP
criteria even if the entire facility does not. If an area is being evaluated for a RAU
measure determination, and the facility has not yet met a facility-wide HE EI, a
HE EI form should be filled out for the area. OSW encourages Regions to post
the form on the web with the other EI forms.
3.2.3 Documenting "Cleanup Goals" Criteria for the RAU Measure
The RAU criteria require that "Cleanup goals have been achievedfor media that
may affect current and reasonably anticipated future land uses of the facility so
that there are no unacceptable risks. "
When a facility or area of a facility is being evaluated for a RAU determination,
all cleanup goals that are necessary to ensure that there are no unacceptable risks
that would affect the current or reasonably anticipated future uses must be
achieved, in order to get a RAU determination.
However, media with cleanup goals that will not impact the current or reasonably
anticipated future use of the facility or area of the facility do not have to be met
for this criterion. As an example, EPA recognizes that facilities or parts of
facilities can be protective for specific identified uses even in situations where
long-term remedial goals for groundwater have not been achieved, but controls
are in place to prevent exposures.
The project manager evaluating a RCRA facility or area of a facility for a RAU
measure determination will check to ensure that cleanup goals identified in the
remedy selection, statement of basis or similar documents have been met for all
media that may affect current and reasonably anticipated future land so that there
are no unacceptable risks. The project manager will document this achievement
on the RCRA RAU Determination Form and provide the RCRA Info event or
reference document that supports this determination.
3.2.3.1 Reasonably Anticipated Future Use
Reasonably anticipated future uses are normally reflected in the remedy
selection and decision process. For many currently operating facilities,
the reasonably anticipated future use will be continuing industrial use of
the property. For facilities that have closed or are expected to go into a
new use in the near future, the possible next future use(s) that has been
identified by the owner/operator and community would be the reasonably
anticipated future use. There is no need to speculate about other feasible,
but theoretical uses.
3.2.3.2 Facilities Which Have Achieved Cleanup Complete Determination
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A RCRA facility or area of a facility that has achieved a "Corrective
Action Activities Terminated" decision, (CA999 in RCRA Info), is
considered to have met all RAU measure criteria and will automatically be
given a RAU determination12. This includes facilities that have received a
CA999 prior to, as well as after, January 1, 2007. Facilities that have
received a "corrective action complete without controls" determination" or
a "cleanup complete with controls" determination (CA900 in RCRA Info)
are also considered to have met the RAU measure criteria and will
automatically be given a RAU determination.13
3.2.3.3 Facilities Which Have Achieved Construction Complete
A RCRA facility or area of a facility that has met the RCRA GPRA
milestone Construction Complete (CA550),14 will be considered to have
met the cleanup goals criteria for the RAU determination. These facilities
or areas must still meet the PFP/HE EI and the Institutional Control
criteria in order to be given a RAU determination.
3.2.3.4 Facilities That Have Not Yet Met Construction Complete Criteria
Some facilities or area of a facility, have not yet met the Construction
Complete milestone, but may still meet the RAU cleanup goals criteria
through proper assessment or cleanup through interim measures. In this
instance, the Project Manager should indicate on the RAU Determination
form that the cleanup goals for all media that may affect current and
reasonably anticipated future land use have been met, and list the
documents where the cleanup goals are identified. The PFP/HE EI and IC
criteria must also be met in order for the facility or area of a facility to be
given a RAU determination.
3.2.3.5 Media to be Covered
Any media that may affect current and reasonably anticipated future land
uses should be considered when making this determination. If on-site
wetlands, surface water bodies, soil, sediments or other media pose an
unacceptable risk to humans under current and reasonably anticipated
future land use, cleanup goals for these should be met prior to giving the
facility or area of a facility a RAU determination.
12 For more information on completion of corrective action, see EPA February 12, 2003 memorandum: "RCRA's
Guidance on the Completion of Corrective Action Activities at RCRA Facilities." The Federal Register Notice with
this memo is posted at http://www.epa.gov/correctiveaction/resource/guidance/gen_ca/compfedr.pdf
13 Facilities which achieve a "corrective action complete without controls" do not need institutional controls.
Facilities receiving a "corrective action complete with controls" must have institutional controls in place in order to
achieve this designation.
14 The definition of CA550 is posted on the Corrective Action website at
http://www.epa.gov/epaoswer/hazwaste/ca/facilitv/ca-diction.pdf - page 23
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3.2.3.6 Ecological Cleanup Goals
If cleanup goals have been established in a remedy selection document,
statement of basis or other similar documents for on-site ecological
exposures, they must be met for a facility or area of a facility to meet the
RAU criteria. Off-site ecological clean-up goals do not have to be met to
get a RAU determination.
3.2.3.7 Facilities with Potential for Vapor Intrusion Exposures
Some facilities may have volatile contaminants in groundwater, soil,
and/or soil-gas that, when they underlie occupied buildings, can result in
unacceptable exposures if these contaminants intrude into the indoor air of
the overlying buildings (via mechanisms similar to that for radon gas).
Concerns regarding vapor intrusion are normally included in the facility
investigation and cleanup goals and/or controls to limit exposure are
included in the remedy. Potential for vapor intrusion exposures can be
addressed, either through site-specific assessments demonstrating there is
no unacceptable vapor intrusion, or through engineering and/or
institutional controls that ensure there are no unacceptable exposures due
to vapor intrusion. Where unacceptable vapor intrusion exposures are
anticipated, vapor intrusion concerns can be considered to have been met
when there are controls in place to prevent unacceptable exposures and
risks under current and reasonably anticipated future land uses.
3.2.3.8 Facilities With Off-site Contamination
There are instances where the on-site surface media for a facility or area
have been cleaned up, and the "on-site" acreage is safe for current and
reasonably anticipated future uses (and the acreage meets HE EI criteria
and has the needed ICs in place), but off-site contamination has not been
fully addressed and/or cleanup goals for off-site contamination have not
been met (e.g., off-site groundwater contamination, off-site stream
sediments may not yet meet cleanup goals). In these instances, the facility
can still be given a facility-wide RAU determination.
3.2.4 Documenting "Institutional or Other Controls" Criteria for the RAU
Measure
The RAU criterion requires that "all institutional or other controls, identified as
part of a response action or remedy, as required to help ensure long-term
protection, are in place."
While this RCRA - LRM guidance discusses the process of documenting ICs for
the RAU determination, it does not itself include a comprehensive discussion of
the development, use and appropriateness of specific ICs for specific RCRA sites.
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For more in depth discussion of institutional controls, refer to references listed in
section 3.2.4.5, and to additional guidance EPA issues after today, as it becomes
available.
EPA defines ICs as non-engineered instruments, such as administrative and legal
controls, that help to minimize the potential for human exposure to contamination
and protect the integrity of the remedy. Such controls provide information and/or
restrictions that help modify or guide human behavior at properties where
hazardous waste contamination prevents unlimited use and unrestricted exposure.
ICs may be used by themselves or in conjunction with engineering controls. ICs
can provide vital safeguards for property that have not been cleaned up to levels
safe for unrestricted use. The term "institutional controls in place" is commonly
used to mean ICs have been established and are being implemented.
If ICs are identified as being needed for the facility, the project manager should
check to see if they are in place, and list the ICs that have been implemented for
the facility on the RCRA RAU Determination form.
3.2.4.1IC, or Package of ICs, Needed For A Specific Facility
The IC, or package of ICs needed for a specific RCRA facility are
commonly identified in the Statement of Basis for the remedy selection or
in an equivalent decision document. Reasonably anticipated uses are
normally identified during remedy selection to inform this process. The
project manager making the RAU determination should check the remedy
decision documents for any information regarding changes in IC
requirements. The facility or area of a facility shall be considered not to
have met the IC criteria for a RAU measure determination if ICs identified
as being needed by the remedy have not yet been implemented. Facilities
that have achieved a "corrective action activities terminated" designation
(CA999), a "corrective action complete with controls" designation (which
requires ICs to be in place to get the designation), or a "corrective action
complete without controls" designation will be assumed to have met the
IC criteria.
3.2.4.2 Resources for Project Managers on ICs
There are a number of resources for project managers to help determine an
appropriate package of ICs needed at a specific facility.
• Each EPA Region has designated a Regional Institutional Control
Legal Coordinator. These Coordinators have experience with the
use of ICs at Superfund and RCRA facilities and have knowledge
of EPA's policies and guidance documents. They are a helpful
resource for providing advice and answering questions on the use
of ICs. An up-to-date list of Institutional Controls Legal
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Coordinators for each Region is available to EPA employees at
http://intranet.epa.gov/oeca/osre/workgroup/ic.html
• OSWER maintains a public website with ICs information at
http://www.epa.gov/superfund/action/ic (not all of the information
there is RCRA's, but much of it is transferable across programs).
• EPA has issued guidances on Institutional Controls. Additional
documents may be developed in the future.
- "Institutional Controls: A Site Manager's Guide to
Identifying, Evaluating and Selecting Institutional Controls
at Superfund and RCRA Corrective Action Cleanups",
September 2000 (EPA 540-F-00-005, OSWER 9355.0-
74FS-P).
- Draft Guidance, "Institutional Controls: A Guide to
Implementing, Monitoring and Enforcing Institutional
Controls at Superfund, Brownfields, Federal Facility, UST
and RCRA Corrective Action Cleanups", Feb. 2003.
http://www.epa. gov/ superfund/action/ic/ guide/index, htm
- Advance Notice of Proposed Rulemaking, "Corrective
Action for Releases From Solid Waste Management Units
at Hazardous Waste Management Facilities," (May 1, 1996,
61 FR 19432) includes a discussion of the use of
institutional controls. A copy of this document is at:
http://www.epa.gov/EPA-WASTE/1996/Mav/Dav-Ql/pr-
547.txt.html
3.2.4.3 Training for Project Mangers on ICs
OSW is developing comprehensive RCRA training that will have a section
on institutional controls. Other entities also offer training on institutional
controls.
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Appendix I - Status of Use Indicator15
The Status of Use Indicator refers to how the acres16 of the facilities and acres included in the
Universe Indicator are being used at the point in time when this indicator is documented. The
Status of Use Indicator has the following sub-indicators:
• Continued Use - Acres in continued use refer to areas that are being used in the same
general manner as they were when the facility became subject RCRA Corrective Action.
• Reused - Acres at a facility identified as in reuse refer to a facility where a new use or uses
are occurring such that there has been a change in the type of use (e.g., industrial to
commercial), or the property was unused and now supports a specific use. This means that
the developed facility or area is actually used for its intended purpose by customers, visitors,
employees, residents, or fauna, in the case of ecological reuse.
• Planned Reuse - Acres in planned reuse include facilities or acres where a plan for a reuse is
in place, but reuse has not yet begun. This could include conceptual plans, a contract with a
developer, secured financing, approval by the local government, or the initiation of facility
redevelopment.17
• Unused - Acres identified as unused include facilities or acres not being used in any
identifiable manner. This could be, for example, because facility investigation and cleanup
are ongoing, operations have ceased, the owner is in bankruptcy, or cleanup is complete, but
the facility remains unused.
The Status of Use Indicator is independent of the status of response action because it recognizes
that facilities or acres could be in various stages of use at various stages of cleanup and because
use and reuse can change.
15 The Status of Use indicator is one of the optional indicators in the CPRM Guidance. The definition, criteria, and
implementation information here were taken directly from the CPRM Guidance found at
http://www.epa.gov/swerrims/landrevitalization/docs/cprmguidance-10-20-06covermemo.pdf
16 While acres are used as the unit of measurement for the Status of Use Indicator, the program could also count the
number of facilities in the defined Status of Use categories. However, because a site may have more than one land
use, the aggregated data may exceed the number of sites in the universe.
17 In the CPRM Guidance, OSWER acknowledges that the "Planned Reuse" category may be difficult to capture
with certainty; nonetheless, OSWER believes it is important to distinguish facilities with "in place" plans for reuse
as compared to facilities categorized as unused.
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Appendix II - Type of Use Indicator18
Commercial and Public Service
• Commercial Use - Commercial use refers to use for retail shops, grocery stories, offices, restaurants
and other businesses.
• Public Service Use - Public service use refers use by a local or state government agency or a non-
profit group to serve citizens' needs. This can include transportation services such as rail lines and
bus depots, libraries and schools, government offices, public infrastructure such as roads, bridges,
utilities or other services for the general public.
Green Space
• Agricultural Use - Agricultural uses refers to use for agricultural purposes, such as farmland for
growing crops and pasture for livestock. It also can encompass other activities, such as orchards,
agricultural research and development, and irrigating existing farmland.
• Recreational Use - Recreational use refers to use for recreational activities, such as sports facilities,
golf courses, ball fields, open space for hiking and picnicking, and other opportunities for indoor or
outdoor leisure activities.
• Ecological Use - Ecological use refers to areas where proactive measures, including a conservation
easement, have been implemented to create, restore, protect or enhance a habitat for terrestrial and/or
aquatic plants and animals, such as wildlife sanctuaries, nature preserves, meadows, and wetlands.
Industrial
• Industrial Use - Industrial use refers to traditional light and heavy industrial uses, such as processing
and manufacturing products from raw materials, as well as fabrication, assembly, treatment, and
packaging of finished products. Examples of industrial uses include factories, power plants,
warehouses, waste disposal sites, landfill operations, and salvage yards.
Military and Other Federal
• Military Use - Military use refers to use for training, operations, research and development, weapons
testing, range activities, logistical support, and/or provision of services to support military or national
security purposes.
• Other Federal Use - Other federal use refers to use to support the Federal government in federal
agency operations, training, research, and/or provision of services for purposes other than national
security or military.
Mixed
• Mixed Use - Mixed use refers to areas at which uses cannot be differentiated on the basis of acres.
For example, a condominium with retail shops on the ground floor and residential use on the upper
floors would fall into this category. When selecting Mixed Use, the individual types of uses should
be identified, if possible.
Residential
• Residential Use - Residential use refers to use for residential purposes, including single-family
homes, town homes, apartment complexes and condominiums, and child/elder care facilities.
18 The Type of Use indicator is one of the optional indicators in the CPRM Guidance. The categories, definition,
criteria, and implementation information here were taken directly from the CPRM Guidance posted at
http://www.epa.gov/swerrims/landrevitalization/docs/cprmguidance-10-20-06covermemo.pdf
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