1、Designation: E 1528 06Standard Practice forLimited Environmental Due Diligence: Transaction ScreenProcess1This standard is issued under the fixed designation E 1528; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last
2、revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) 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 ofAmerica for
3、conducting a transaction screen2for a parcel ofcommercial real estate where the user wishes to conductlimited environmental due diligence (that is, less than a PhaseI Environmental Site Assessment). If the driving force behindthe environmental due diligence is a desire to qualify for one ofthe Compr
4、ehensive Environmental Response, Compensation,and Liability Act (CERCLA) Landowner Liability Protections(LLPs), this practice should not be applied. Instead, the ASTMPractice E 1527 for Environmental Site Assessments: Phase IEnvironmental Site Assessment Process, may be used.NOTE 1The user is advise
5、d that this practice will not satisfy thepractices that constitute all appropriate inquires into the previous owner-ship and uses of the property consistent with good commercial orcustomary practice as defined in 42 U.S.C. 9601(35)(B) to establish theCERCLA LLPs.1.2 An evaluation of business environ
6、mental risk associatedwith a parcel of commercial real estate may necessitateinvestigation beyond that identified in this practice. See Sec-tions 1.4 and 11.1.2.1 Potential Environmental ConcernsIn defining astandard of good commercial and customary practice forconducting a transaction screen of a p
7、arcel of property, thegoal of the processes established by this practice is to identifypotential environmental concerns, as defined in 3.2.34.1.2.2 Other Federal, State, and Local EnvironmentalLawsThis practice does not address requirements of anystate or local laws or of any federal laws. Users are
8、 cautionedthat federal, state, and local laws may impose environmentalassessment 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 property that a
9、re not ad-dressed in this practice and may pose risks of civil and/orcriminal sanctions for non-compliance.1.3 ObjectiveThe objective guiding the development ofthis practice is to facilitate standardized transaction screens.1.3.1 Note of CautionThe user should be cautious inapplying this practice to
10、 properties with known current orhistoric handling of hazardous substances or petroleum prod-ucts.1.4 Considerations Beyond the ScopeThe use of thispractice is strictly limited to the scope set forth in this section.Section 11 of this practice identifies, for informational pur-poses, certain environ
11、mental conditions (not an all-inclusivelist) that may exist on a property that are beyond the scope ofthis practice but may warrant consideration by parties to acommercial real estate transaction. The need to include aninvestigation of any such conditions in the scope of servicesshould be evaluated
12、based upon, among other factors, thenature of the property and the reasons for performing theassessment (for example, a more comprehensive evaluation ofbusiness environmental risk) and should be agreed upon asadditional services beyond the scope of this practice prior toinitiation of the Transaction
13、 Screen Process.1.5 Organization of This PracticeThis practice has sev-eral parts and one appendix. Section 1 is the Scope. Section 2refers to other ASTM standards in the Referenced Documents.Section 3, Terminology, has definitions of terms not unique tothis practice, descriptions of terms unique to
14、 this practice, andacronyms. Section 4 is Significance and Use of this practice.Section 5 is the Introduction to the Transaction Screen Ques-tionnaire. Section 6 sets forth the Transaction Screen Ques-tionnaire itself. Sections 7-10 contain the Guide to the Trans-action Screen Questionnaire and its
15、various parts. Section 11provides additional information regarding non-scope consider-ations. See 1.4.1This 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 Est
16、ate Assessment and Manage-ment.Current edition approved Feb. 1, 2006. Published February 2006. Originallyapproved in 1993. Last previous edition approved in 2000 as E 1528 00.2Whenever terms defined in 3.2 or described in 3.3 are used in this practice, theyare in italics.1Copyright ASTM Internationa
17、l, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.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
18、and determine the applica-bility of regulatory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:3E 1527 Practice for Environmental Site Assessments: PhaseI Environmental Site Assessment Process2.2 Federal Statutes:Comprehensive Environmental Response, Compensation,and Liability Act
19、 of 1980 (“CERCLA” or “Superfun-d”), as amended by Superfund Amendments and Reau-thorization 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-KnowAct of1986 (“E
20、PCRA”), 42 U.S.C. 11001 et seq.Freedom of Information Act, 5 U.S.C. 552, as amended byPublic Law No. 104-231, 110 Stat. 3048Resource Conservation and Recovery Act (sometimes alsoreferred to as the Solid Waste Disposal Act), as amended(“RCRA”), 42 U.S.C 6901 et seq.3. Terminology3.1 ScopeThis section
21、 provides definitions, descriptionsof terms, and a list of acronyms for many of the words used inthis practice. The terms are an integral part of this practice andare critical to an understanding of this written practice and itsuse.3.2 Definitions:3.2.1 activity and use limitations (AULs)legal or ph
22、ysicalrestrictions or limitations on the use of, or access to, a site orfacility: (1) to reduce or eliminate potential exposure tohazardous substances or petroleum products in the soil orground water on the property,or(2) to prevent activities thatcould interfere with the effectiveness of a response
23、 action, inorder to ensure maintenance of a condition of no significantrisk to public health or the environment. These legal orphysical restrictions, which may include institutional and/orengineering controls, are intended to prevent adverse impactsto individuals or populations that may be exposed t
24、o hazardoussubstances and petroleum products in the soil or ground wateron the property.43.2.2 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
25、an individual orentity.3.2.3 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
26、ing them.3.2.4 all appropriate inquiriesthat inquiry constituting“all appropriate inquiries into the previous ownership and usesof the property consistent with good commercial or customarypractice” as defined in CERCLA, 42 U.S.C. 9601(35)(B), thatwill qualify a party to a commercial real estate tran
27、saction forone of the threshold criteria for satisfying the LLPs toCERCLA liability (42 U.S.C. 9601(35)(A) 9607(b)(3), 9607(q), and 9607(r), assuming compliancewith other elements of the defense.3.2.5 approximate minimum search distancethe area forwhich records must be obtained and reviewed pursuant
28、 to therecords review section of Practice E 1528, subject to thelimitations provided in that section. The term approximateminimum search distance may include areas outside the prop-erty and shall be measured from the nearest property boundary.The term approximate minimum search distance is used inst
29、eadof radius to include irregularly shaped properties.3.2.6 commercial real estateany real property except adwelling or property with no more than four dwelling unitsexclusively for residential use (except that a dwelling orproperty with no more than four dwelling units exclusively forresidential us
30、e is included in this term when it has a commer-cial function, as in the building of such dwellings for profit).This term includes but is not limited to undeveloped realproperty and real property used for industrial, retail, office,agricultural, other commercial, medical, or educational pur-poses; p
31、roperty used for residential purposes that has morethan four residential dwelling units; and property with no morethan four dwelling units for residential use when it has acommercial function, as in the building of such dwellings forprofit.3.2.7 Comprehensive Environmental Response, Compensa-tion an
32、d Liability Information System (CERCLIS)the list ofsites compiled by EPAthat EPAhas investigated or is currentlyinvestigating for potential hazardous substance contaminationfor possible inclusion on the National Priorities List.3.2.8 CORRACTS lista list maintained by EPA of hazard-ous waste treatmen
33、t, storage, or disposal facilities and otherRCRA-regulated facilities (due to past interim status or storageof hazardous waste beyond 90 days) that have been notified bythe U.S. Environmental Protection Agency to undertake cor-rective action under RCRA. The CORRACTS list is a subset ofthe EPA databa
34、se that manages RCRA data.3.2.9 demolition debrisconcrete, brick, asphalt, and othersuch building materials discarded in the demolition of abuilding or other improvement to property.3For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.o
35、rg. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.4The term AUL is taken from the ASTM Standard Guide E 2091 to include bothlegal (that is, institutional) and physical (that is, engineering) controls within itsscope. Other agenci
36、es, organizations, and jurisdictions may define or utilize theseterms differently (for example, EPA and California do not include physical controlswithin their definitions of “institutional controls.” The Department of Defense andthe International County/City Management Association use “Land Use Con
37、trols.”The term “land use restrictions” is used but not defined in the BrownfieldsAmendments).E15280623.2.10 druma container (typically, but not necessarily,holding 55 gal (208 L) of liquid) that may be used to storehazardous substances or petroleum products.3.2.11 due diligencethe process of inquir
38、ing into theenvironmental characteristics of a parcel of commercial realestate or other conditions, usually in connection with acommercial real estate transaction. The degree and kind of duediligence vary for different properties and differing purposes.3.2.12 dwellingstructure or portion thereof use
39、d for resi-dential habitation.3.2.13 engineering controlsphysical modifications to asite or facility (for example, capping, slurry walls, or point ofuse water treatment) to reduce or eliminate the potential forexposure to hazardous substances or petroleum products in thesoil or ground water on the p
40、roperty. Engineering controls area type of activity and use limitation (AUL).3.2.14 environmental liena charge, security, or encum-brance upon title to a property to secure the payment of a cost,damage, debt, obligation, or duty arising out of responseactions, cleanup, or other remediation of hazard
41、ous substancesor petroleum products upon a property, including (but notlimited to) liens imposed pursuant to section 107(l) of CER-CLA (42 U.S.C. 9607(l) and similar state or local laws.3.2.15 environmental professionala person meeting theeducation, training, and experience requirements as set forth
42、 inPractice E 1527. The person may be an independent contractoror an employee of the user.Ifanenvironmental professional iscontracted to prepare a transaction screen questionnaire, theenvironmental professional is not required by this practice todevelop opinions and conclusions regarding potential e
43、nviron-mental concerns.3.2.16 ERNS listEPAs Emergency Response NotificationSystem list of reported CERCLA hazardous substance releasesor spills in quantities greater than the reportable quantity, asmaintained at the National Response Center. Notificationrequirements for such releases or spills are c
44、odified in 40C.F.R. Parts 302 and 355.3.2.17 fill dirtdirt, soil, sand, or other earth, that isobtained off-site, that is used to fill holes or depressions, createmounds, or otherwise artificially change the grade or elevationof real property. It does not include material that is used inlimited quan
45、tities for normal landscaping activities.3.2.18 fire insurance mapsmaps produced for private fireinsurance map companies that indicate uses of properties atspecified dates and that encompass the property. These mapsare often available at local libraries, historical societies, privateresellers, or fr
46、om the map companies who produced them. SeeQuestion 22 of the questionnaire in this practice. See 10.2.3.3.2.19 hazardous substancea substance defined as a haz-ardous substance pursuant to section 101(14) of CERCLA, (42U.S.C. 9601(14), as interpreted by EPA regulations (see 40C.F.R. 302.4) and the c
47、ourts: “(A) any substance designatedpursuant to section 311(b)(2)(A) of the Federal Water PollutionControl Act, (B) any element, compound, mixture, solution, orsubstance designated pursuant to section 102 of this Act, (C)any hazardous waste having the characteristics identified underor listed pursua
48、nt to section 3001 of RCRA (but not includingany waste the regulation of which under RCRA has beensuspended by Act of Congress), (D) any toxic pollutant listedunder section 307(a) of the Federal Water Pollution ControlAct, (E) any hazardous air pollutant listed under section 112 ofthe Clean Air Act,
49、 and (F) any imminently hazardous chemicalsubstance or mixture with respect to which the Administratorof EPA has taken action pursuant to section 7 of the ToxicSubstances Control Act. The term does not include petroleum,including crude oil or any fraction thereof which is nototherwise specifically listed or designated as a hazardoussubstance under subparagraphs (A) through (F) of this para-graph, and the term does not include natural gas, natural gasliquids, liquefied natural gas, or synthetic gas usable for fuel(or mixtures of nat
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