1、Designation: E1527 13Standard Practice forEnvironmental Site Assessments: Phase I EnvironmentalSite Assessment Process1This standard is issued under the fixed designation E1527; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the y
2、ear 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.1. Scope1.1 PurposeThe purpose of this practice is to define goodcommercial and customary practice in the United States ofA
3、merica for conducting an environmental site assessment2of aparcel of commercial real estate with respect to the range ofcontaminants within the scope of the Comprehensive Environ-mental Response, Compensation and Liability Act (CERCLA)(42 U.S.C. 9601) and petroleum products. As such, thispractice is
4、 intended to permit a user to satisfy one of therequirements to qualify for the innocent landowner, contiguousproperty owner,orbona fide prospective purchaser limitationson CERCLA liability (hereinafter, the “landowner liabilityprotections,” or “LLPs”): that is, the practice that constitutesall appr
5、opriate inquiries into the previous ownership and usesof the property consistent with good commercial and custom-ary practice as defined at 42 U.S.C. 9601(35)(B). (SeeAppendix X1 for an outline of CERCLAs liability and defenseprovisions.) Controlled substances are not included within thescope of thi
6、s standard. Persons conducting an environmentalsite assessment as part of an EPA Brownfields Assessment andCharacterization Grant awarded under CERCLA 42 U.S.C.9604(k)(2)(B) must include controlled substances as definedin the Controlled Substances Act (21 U.S.C. 802) within thescope of the assessmen
7、t investigations to the extent directed inthe terms and conditions of the specific grant or cooperativeagreement. Additionally, an evaluation of business environ-mental risk associated with a parcel of commercial real estatemay necessitate investigation beyond that identified in thispractice (see Se
8、ctions 1.3 and 13).1.1.1 Recognized Environmental ConditionsIn defining astandard of good commercial and customary practice forconducting an environmental site assessment of a parcel ofproperty, the goal of the processes established by this practiceis to identify recognized environmental conditions.
9、 The termrecognized environmental conditions means the presence orlikely presence of any hazardous substances or petroleumproducts in, on, or at a property:(1) due to any release to theenvironment;(2) under conditions indicative of a release to theenvironment;or(3) under conditions that pose a mater
10、ial threatof a future release to the environment. De minimis conditionsare not recognized environmental conditions.1.1.2 Petroleum ProductsPetroleum products are includedwithin the scope of this practice because they are of concernwith respect to many parcels of commercial real estate andcurrent cus
11、tom and usage is to include an inquiry into thepresence of petroleum products when doing an environmentalsite assessment of commercial real estate. Inclusion of petro-leum products within the scope of this practice is not basedupon the applicability, if any, of CERCLA to petroleumproducts. (See X1.1
12、.2.1 for discussion of petroleum exclusionto CERCLA liability.)1.1.3 CERCLA Requirements Other Than AppropriateInquiriesThis practice does not address whether require-ments in addition to all appropriate inquiries have been met inorder to qualify for the LLPs (for example, the duties specifiedin 42
13、U.S.C. 9607(b)(3)(a) and (b) and cited in Appendix X1,including the continuing obligation not to impede the integrityand effectiveness of activity and use limitations (AULs), or theduty to take reasonable steps to prevent releases, or the duty tocomply with legally required release reporting obligat
14、ions).1.1.4 Other Federal, State, and Local EnvironmentalLawsThis practice does not address requirements of any stateor local laws or of any federal laws other than the allappropriate inquiries provisions of the LLPs. Users are cau-tioned that federal, state, and local laws may impose environ-mental
15、 assessment obligations that are beyond the scope of thispractice. Users should also be aware that there are likely to beother legal obligations with regard to hazardous substances orpetroleum products discovered on the property that are notaddressed in this practice and that may pose risks of civil
16、and/or criminal sanctions for non-compliance.1This practice is under the jurisdiction of ASTM Committee E50 on Environ-mental Assessment, Risk Management and Corrective Action and is the directresponsibility of Subcommittee E50.02 on Real Estate Assessment and Manage-ment.Current edition approved No
17、v. 1, 2013. Published November 2013. Originallyapproved in 1993. Last previous edition approved in 2005 as E1527 05. DOI:10.1520/E1527-13.2All definitions, descriptions of terms, and acronyms are defined in Section 3.Whenever terms defined in 3.2 are used in this practice, they are in italics.Copyri
18、ght ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States11.1.5 DocumentationThe scope of this practice includesresearch and reporting requirements that support the usersability to qualify for the LLPs. As such, sufficient documenta-tion of all sourc
19、es, records, and resources utilized in conduct-ing the inquiry required by this practice must be provided in thewritten report (refer to 8.1.9 and 12.2).1.2 ObjectivesObjectives guiding the development of thispractice are (1) to synthesize and put in writing good commer-cial and customary practice f
20、or environmental site assessmentsfor commercial real estate, (2) to facilitate high quality,standardized environmental site assessments, (3) to provide apractical and reasonable standard practice for conducting allappropriate inquiries, and (4) to clarify an industry standardfor all appropriate inqu
21、iries in an effort to guide legalinterpretation of the LLPs.1.3 Considerations Beyond ScopeThe use of this practiceis strictly limited to the scope set forth in this section. Section13 of this practice identifies, for informational purposes,certain environmental conditions (not an all-inclusive list
22、) thatmay exist on a property that are beyond the scope of thispractice, but may warrant consideration by parties to a com-mercial real estate transaction. The need to include an inves-tigation of any such conditions in the environmental profes-sionals scope of services should be evaluated based upo
23、n,among other factors, the nature of the property and the reasonsfor performing the assessment (for example, a more compre-hensive evaluation of business environmental risk) and shouldbe agreed upon between the user and environmental profes-sional as additional services beyond the scope of this prac
24、ticeprior to initiation of the environmental site assessment process.1.4 Organization of This PracticeThis practice has thir-teen sections and five appendixes. Section 1 is the Scope.Section 2 is Referenced Documents. Section 3, Terminology,has definitions of terms not unique to this practice, descr
25、iptionsof terms unique to this practice, and acronyms. Section 4 isSignificance and Use of this practice. Section 5 providesdiscussion regarding activity and use limitations. Section 6describes Users Responsibilities. Sections 712are the mainbody of the Phase I Environmental Site Assessment, includi
26、ngevaluation and report preparation. Section 13 provides addi-tional information regarding non-scope considerations (see1.3). The appendixes are included for information and are notpart of the procedures prescribed in this practice. Appendix X1explains the liability and defense provisions of CERCLA
27、thatwill assist the user in understanding the users responsibilitiesunder CERCLA; it also contains other important informationregarding CERCLA, the Brownfields Amendments, and thispractice. Appendix X2 provides the definition of the environ-mental professional responsible for the Phase I Environment
28、alSite Assessment, as required in the “All Appropriate Inquiries”Final Rule (40 C.F.R. Part 312). Appendix X3 provides anoptional User Questionnaire to assist the user and the environ-mental professional in gathering information from the user thatmay be material to identifying recognized environment
29、al con-ditions. Appendix X4 provides a recommended table of con-tents and report format for a Phase I Environmental SiteAssessment. Appendix X5 summarizes non-scope consider-ations that persons may want to assess.1.5 This standard does not purport to address all of thesafety concerns, if any, associ
30、ated 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.1.6 This practice offers a set of instructions for performingone or more specific operations. This doc
31、ument cannot replaceeducation or experience and should be used in conjunctionwith professional judgment. Not all aspects of this practice maybe applicable in all circumstances. This ASTM standard is notintended to represent or replace the standard of care by whichthe adequacy of a given professional
32、 service must be judged,nor should this document be applied without consideration ofa projects many unique aspects. The word “Standard” in thetitle means only that the document has been approved throughthe ASTM consensus process.2. Referenced Documents2.1 ASTM Standards:3E2091 Guide for Use of Activ
33、ity and Use Limitations,Including Institutional and Engineering ControlsE2600 Guide for Vapor Encroachment Screening on Prop-erty Involved in Real Estate Transactions2.2 Federal Statutes:Comprehensive Environmental Response, Compensation,and Liability Act of 1980 (“CERCLA” or “Super-fund”), as amend
34、ed by Superfund Amendments and Re-authorization Act of 1986 (“SARA”) and Small BusinessLiability Relief and Brownfields Revitalization Act of2002 (“Brownfields Amendments”), 42 U.S.C. 9601 etseq.Emergency Planning and Community Right-To-Know Act of1986 (“EPCRA”), 42 U.S.C. 11001 et seq.Freedom of In
35、formation Act, 5 U.S.C. 552, as amended byPublic Law No. 104-231, 110 Stat. 3048Resource Conservation and Recovery Act (also referred to asthe Solid Waste Disposal Act), as amended (“RCRA”), 42U.S.C 6901 et seq.2.3 USEPA Documents:“All Appropriate Inquiries” Final Rule, 40 C.F.R. Part 312Chapter 1 E
36、PA, Subchapter J-Superfund, EmergencyPlanning, and Community Right-To-Know Programs, 40C.F.R Parts 300-399National Oil and Hazardous Substances Pollution Contin-gency Plan, 40 C.F.R. Part 3002.4 Other Federal Agency Document:OSHA Hazard Communication Regulation, 29 C.F.R.1910.12003. Terminology3.1 T
37、his section provides definitions, descriptions of terms,and a list of acronyms for many of the words used in thispractice. The terms are an integral part of this practice and arecritical to an understanding of the practice and its use.3For referenced ASTM standards, visit the ASTM website, www.astm.
38、org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.E1527 1323.2 Definitions:3.2.1 abandoned propertyproperty that can be presumedto be deserted, or an intent to relinquish posse
39、ssion or controlcan be inferred from the general disrepair or lack of activitythereon such that a reasonable person could believe that therewas an intent on the part of the current owner to surrenderrights to the property.3.2.2 activity and use limitationslegal or physical restric-tions or limitatio
40、ns on the use of, or access to, a site or facility:(1) to reduce or eliminate potential exposure to hazardoussubstances or petroleum products in the soil, soil vapor,groundwater, and/or surface water on the property,or(2) toprevent activities that could interfere with the effectiveness ofa response
41、action, in order to ensure maintenance of acondition of no significant risk to public health or the environ-ment. These legal or physical restrictions, which may includeinstitutional and/or engineering controls, are intended to pre-vent adverse impacts to individuals or populations that may beexpose
42、d to hazardous substances and petroleum products in thesoil, soil vapor, groundwater, and/or surface water on theproperty. See Note 1.NOTE 1The term AUL is taken from Guide E2091 to include bothlegal (that is, institutional) and physical (that is, engineering) controlswithin its scope. Other agencie
43、s, organizations, and jurisdictions maydefine or utilize these terms differently (for example, EPA and Californiado not include physical controls within their definitions of “institutionalcontrols.” Department of Defense and International County/City Manage-ment Association use “Land Use Controls.”
44、The term “land use restric-tions” is used but not defined in the Brownfields Amendments).3.2.3 actual knowledgethe knowledge actually possessedby an individual who is a real person, rather than an entity.Actual knowledge is to be distinguished from constructiveknowledge that is knowledge imputed to
45、an individual orentity.3.2.4 adjoining propertiesany real property or propertiesthe border of which is contiguous or partially contiguous withthat of the property, or that would be contiguous or partiallycontiguous with that of the property but for a street, road, orother public thoroughfare separat
46、ing them.3.2.5 aerial photographsphotographs taken from an aerialplatform with sufficient resolution to allow identification ofdevelopment and activities of areas encompassing the property.Aerial photographs are often available from government agen-cies or private collections unique to a local area.
47、 See 8.3.4.1 ofthis practice.3.2.6 all appropriate inquiriesthat inquiry constituting allappropriate inquiries into the previous ownership and uses ofthe property consistent with good commercial and customarypractice as defined in CERCLA, 42 U.S.C 9601(35)(B), thatwill qualify a party to a commercia
48、l real estate transaction forone of the threshold criteria for satisfying the LLPs toCERCLA liability (42 U.S.C 9601(35)(A) and 9607(r), assuming compliancewith other elements of the defense. See Appendix X1.3.2.7 approximate minimum search distancethe area forwhich records must be obtained and revi
49、ewed pursuant toSection 8 subject to the limitations provided in that section.This may include areas outside the property and shall bemeasured from the nearest property boundary. This term isused in lieu of radius to include irregularly shaped properties.3.2.8 bona fide prospective purchaser liability protection(42 U.S.C. 9607(r)a person may qualify as a bona fideprospective purchaser if, among other requirements, suchperson made “all appropriate inquiries into the previousownership and uses of the facility in accordance with generallyacce
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