Managing Risk

Long-term Stewardship

What is Long-Term Stewardship?
Long Term Stewardship (LTS) applies to sites where risk-based cleanups make long-term management of land, surface water, or groundwater necessary to prevent exposure to contamination left in place at a site. Long-term stewardship generally includes the following factors:
  • The establishment and maintenance of physical (or engineering) controls
  • Legal (or institutional) controls
  • Implementation of engineering and institutional controls by certain authorities
  • Information and data tracking systems
  • Monitoring and enforcement authorities
  • Resources necessary to implement, track, and enforce the controls for the life of the remedy, which can be years, decades or even longer
Who is Responsible for LTS?
Risk-based cleanup and reuse of properties requires coordination of LTS activities among many government agencies and stakeholders. Risk-based cleanups involve long term operation and maintenance, monitoring, evaluation, periodic repairs, and sometimes replacement of remedy components. Each stakeholder plays a particular role and has certain responsibilities for carrying out one or more of the LTS activities listed above. These stakeholders may include the following:
  • Government agencies at the federal, state, tribal, and local levels
  • Private parties who either own the land or otherwise have an interest in the property
  • Responsible parties (who may have contaminated the site) and are bound by court or administrative orders
  • Communities and local groups living near or affected by the site
  • A range of other parties such as land developers, financial institutions, insurance companies, and land or other third party trusts

Engineering Controls

What are engineering controls?
Physical, or “engineered”, controls are the engineered physical barriers or structures designed to monitor and prevent or limit exposure to the contamination. These processes and technologies typically include containment or treatment technologies designed to remedy contamination and reduce or eliminate the threat while allowing the revitalization and future use of the property to progress. Certain engineered cleanups will involve ongoing operation and maintenance (O&M) monitoring, evaluation, periodic repair, and sometimes replacement of remedy components.
Containment technologies are designed to isolate the contaminants of concern to prevent exposure by potential receptors and to prevent further migration of the contaminants. Containment technologies include such technologies as cutoff walls, grout curtains, capping or encapsulation technologies, and solidification/stabilization technologies. With the increased use of innovative technologies prompted by the revitalization movement, there are a number of promising new technologies that may prove useful in applications at revitalization sites. Examples include technologies designed to operate effectively while being incorporated into the architectural elements of the development property. See notes from the field entitled Clever Capping for examples of encapsulation that is incorporated into the architecture of a redevelopment. Such encapsulation may include groundwater and vapor control technologies that are incorporated into building plans to allow remediation activities to continue, largely un-noticed, following redevelopment. The advantages of incorporating such technologies include limiting the impact to the project schedule and an indefinite duration to the time required for clean up.
In situ (or on-site) treatment technologies can also be used to clean up contamination in one area while permitting the revitalization and future use to continue in another area. Increasingly, innovative technologies and approaches to implementing treatment technologies are being incorporated into revitalization design.

Examples of Engineering Controls

Asphalt Pavement – A layer of hot-mix asphalt installed to prevent direct contact with residual waste left on site.
Concrete Pavement and Building Floor Slabs – A layer of concrete pavement installed to prevent direct contact with residual waste left on site.
Stone Blankets – A layer of small stones or recycled concrete installed to prevent direct contact with residual waste left on site.
Flexible Liners – A flexible membrane liner typically installed beneath a protective layer of soil, or other structural element, to prevent direct contact with residual waste left on site.
Clean Soil Cover – A layer of clean soil installed to prevent direct contact with residual waste left on site above demarcation layer (i.e. boundary layer, such as a geotextile layer, which separates contaminated soil from clean soil) in landscape areas.
Vegetative Cover – A layer of clean soil planted with vegetation installed to prevent direct contact with residual waste left on site.
Groundwater Control Technologies - Approaches to groundwater control are: seepage barriers, sealing utility lines, interceptor wells and trenches, slurry walls, and permeable reactive barriers.
Vapor Control Technologies – Various technologies for vapor control and recovery include: sealing, passive barriers, building pressurization and ventilation, active soil depressurization, and air cleaning.

Institutional Controls

What are Institutional Controls?
Two primary purposes of institutional controls are to protect the integrity of engineering controls and to minimize the potential for exposure to residual contamination. Institutional controls (IC) or legal controls, are non-engineered instruments, such as administrative and/or legal orders or permits intended to minimize the potential for humans to use the redeveloped land in a way that is incompatible with the remedy. Institutional controls work by limiting resource use or by providing information that helps modify or guide human behavior to recognize that residual contamination remains on the site. Institutional controls may be used to supplement engineering controls and also must be operated, monitored, and evaluated for effectiveness for as long as the risks at a site are present. Institutional controls may include cap inspection and maintenance; proper management of any soil excavated as part of site maintenance or capital improvement projects; and notification to workers who may penetrate the surface cap and contact contaminated soil or groundwater.

Types of Institutional Controls

There are four categories of institutional controls: governmental controls, proprietary controls, enforcement and permit tools with IC components, and information devices.
Governmental Controls are usually implemented and enforced by a state or local government. These controls impose land or resource restrictions using the government authority. Typical examples of governmental controls include:
  • Zoning - Local governments specify land uses for certain areas
  • Local ordinances or permits – Outline specific requirements before authorizing an activity (examples are building codes, drilling permit requirements)
  • Tailored ordinances – Local government controls placed on access to or use of certain areas
  • Ground water use restrictions – Limit or prohibit certain uses of ground water (example: ground water management zones)
  • Property condemnation – Government takes over property title to prevent sites from being used.
Proprietary Controls are based in real property law and create legal property interests that restrict the use of property, relying on legal instruments placed in the chain of title for the property. Proprietary controls can be implemented without the intervention of any regulatory authority and require a conveyance of property interest from a landowner to another party to be enforceable. Some examples of proprietary controls include:
  • Easements – Allow access by a non-landowner to a property or in other cases impose use limits
  • Covenants – Agreement between land owner and others that can be used to establish an IC when remediated property is being transferred to another party
  • Equitable servitude – Closely related to covenants
  • Reversionary interest – When land owner deeds property to another but the deed specifies the property will revert to the original owner under certain conditions
  • State use restrictions – State statutes providing owners of contaminated property with the authority to establish use restrictions
  • Conservation easements – State statutes establishing easements to conserve property and natural resources
Enforcement and Permit Tools with IC Components include administrative orders, permits, and consent decrees and are enforceable by EPA or a state if state enforcement tools are used. Permits and orders may include requirements that restrict future land use. Most enforcement agreements are only binding on the signatories, and the property restrictions are not transferred through a property transaction. Some examples of enforcement tools with IC components include:
  • Administrative orders are legal documents directing individuals, businesses, or other entities (aka respondents) to take corrective actions or refrain from certain activities. Such orders may require the respondents to pay penalties for violations of environmental laws.
  • Consent decrees are legal documents, approved by a judge, which formalizes agreements reached between EPA (and sometimes states) and individuals, businesses, and/or other entities. Consent decrees describe the actions to be taken and may be subject to a public comment period. These agreements may also require individuals, businesses, and/or other entities to pay penalties for violations of environmental laws (federal and state statutes).
Informational Devices provide information or notification about whether a remedy is operating as designed and/or that residual or contained contamination may remain on site. Examples of informational devices include:
  • Deed notices are purely informational documents filed in public land records alerting anyone concerning potential health risks from contamination left on site.
  • State registries of hazardous waste sites can be used as ICs and contain information about contaminated properties. Some state laws provide that the use of the registered property cannot be changed without state approval.
  • Advisories are warnings to the public of potential risks associated with using contaminated land, surface or groundwater, usually issued by public health agencies.

Related Engineering and Institutional Controls Web Sites

Estimating the Cost of Institutional Controls, establishes a framework of IC activities and the timeframes for these actions that regulators and land owners can consider in estimating costs. The guide divides the IC process into various steps, including: planning, record-keeping, monitoring, inspection and enforcement. The steps are also categorized by how frequently they must occur, whether annually or periodically, or only as an initial measure.
A Land Use Control Implementation Plan (LUCIP) can be used by federal, state, and local governments to map out a strategy for engineering and institutional control implementation, monitoring and enforcement. LUCIPs should be tailored to fit the specific types of sites, the relevant regulatory frameworks, and the stakeholders involved in LUCs. The model provided by the hyperlink is designed as a menu from which local governments and other stakeholders can pick and choose elements appropriate to their particular LUC circumstances. Stakeholders using this model should liberally tailor it to fit their own particular needs.
In 2003, the Uniform Environmental Covenants Act (UECA) was promulgated by the Uniform Law Commissioners to overcome the inadequate common law rules. The statutory legal mechanism it creates is called an “environmental covenant.” Covenants are generally recognized in the common law as a means of conveying restrictions on use of land. The environmental covenant relies on the common law base, but re-creates it for the specific purpose of controlling the use of contaminated real estate, perpetually if necessary, while allowing that real estate to be conveyed from one person to another subject to those controls. Section 12 of UECA contains language creating an optional Environmental Covenants Registry, which maps out a strategy for tracking and enforcement of institutional controls. This model language would be only effective in states that adopt UECA and elect to use optional Section 12.
Land-Use Controls (LUCs) The International City/County Management Association (ICMA) has created a Web site to help local governments and communities learn more about how LUCs can be used to promote revitalization at potentially contaminated, military and federal facilities, and Superfund sites. The Web site includes documents and information collected from federal, state, and local governments, non-governmental organizations, municipal authorities, restoration advisory boards, and local revitalization authorities. The documents are maintained in a searchable electronic library (e-Library).
Click on the LUC WebRing to explore the virtual community around the issue of risk-based cleanups and the land use controls that make such cleanups possible. The LUC WebRing links governmental online institutional control tracking systems, academic land use control research, commercial land use control services, nongovernmental organization land use control information, and environmentally-impaired real estate and lending services. The LUC WebRing is managed by the International City/Council Management Association (ICMA) and supported by U.S. EPA.
The ITRC Brownfields Team has developed a Vapor Intrusion Issues at Brownfield Sites document that provides an overview of vapor intrusion, contaminant types with vapor intrusion potential, brownfield sites' potential to have indoor air exposure from vapor intrusion, and steps that can be taken to limit exposures.

Engineering Control Case Study: CERCLA Landfill Closure

Challenge: Investigations at this 1950's landfill identified surface and subsurface soil contamination, causing the site to be placed under Superfund.
Solution: Constructed a stable, flood-resistant river bank/dike. Incorporated a combined soil/asphalt cap into the closure plan, meeting the requirements of the regulators and the needs of the community.
Location: McArthur Drive Landfill, St. Joseph, Missouri
Project Description: This municipal and industrial landfill is listed as a Superfund site as a result of its past use as a wash down area for City vehicles using fumigants for mosquito control. Investigations conducted by the U.S. Environmental Protection Agency (EPA) identified pesticides, volatile organics, and heavy metal contaminants on the site.
Working with the EPA on behalf of the City, SCS Engineers, an environmental contractor, assisted in the clean up of this site, proceeding under a streamlined approach outlined in the Presumptive Remedy for CERCLA Municipal Landfill Sites. SCS’ work began with an investigation of alternative caps, followed by development of design and construction documents for the bank stabilization project, an Engineering Evaluation/Cost Analysis (EECA), and a groundwater monitoring system evaluation work plan.
Construction of the bank stabilization, a time-critical element identified in the EPA’s first Administrative Order on Consent (AOC), was completed in the spring of 1997. The non-critical closure of the site has also been completed, including capping one-half of the 14-acre site with a designed and certified, asphaltic concrete cap. The remainder of the site is capped with soil
The closed facility includes a hike/bike trail running along the Missouri River, a public parking area, (used by the adjacent Missouri Department of Conservation boat launch), and a green area. The facility will eventually be incorporated into a future community park system, which is being developed by the City along the Missouri River.
Source: SCS Engineers
McArthur Drive Landfill Before
McArthur Drive Landfill After

Examples of Engineering Controls

The following before and after photos are examples of various implemented engineering controls.

Wolf Lake

Project to initiate a major aquatic ecosystem restoration located at Wolf Lake in Hammond, Indiana. The project also includes removal of invasive species and control measures to protect the restored ecosystem.
Source: Tetra Tech EMI
Wolf Lake before: showing heavy erosion of the shoreline.
Wolf Lake after: shows restoration of the shoreline by creating a gentle transition from the aquatic to upland habitat.
Wolf Lake after: shows the creation of one of the wetland islands within the lake to decrease shoreline erosion.

Box Canyon Landfill

Marine Corp Base Camp Pendleton, California.
Source: Barajas & Associates, Inc. Summary Report Landfill Cover Drainage Optimization, IR Site-7 Box Canyon Landfill, Marine Corp Base Camp Pendleton, California.
Before: shows the former inlet at the north-east portion of the box canyon landfill at MCB Camp Pendleton before construction.
After: the reconstructed inlet where shotcrete was placed upon the riprap to improve site drainage.