1、Designation: E 1903 97 (Reapproved 2002)Standard Guide forEnvironmental Site Assessments: Phase II EnvironmentalSite Assessment Process1This standard is issued under the fixed designation E 1903; the number immediately following the designation indicates the year oforiginal adoption or, in the case
2、of revision, 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.1. Scope1.1 This guide2covers a framework for employing goodcommercial and customary practices in conduc
3、ting a Phase IIenvironmental site assessment (ESA) of a parcel of commercialproperty with respect to the potential presence of a range ofcontaminants which are within the scope of CERCLA as wellas petroleum products.1.1.1 This guide is intended to provide practical proceduralguidance for the continu
4、ation of an assessment conducted inaccordance with the most recent edition of Practice E 1527 orE 1528, or both. Practice E 1527 is the practice for conductingPhase I ESAs for a parcel of commercial property and PracticeE 1528 is the transaction screen practice. Both practices definea process that i
5、s intended to constitute “all appropriate inquiryinto the previous ownership and uses of a property” todetermine whether hazardous substances or petroleum productshave been disposed or released there in order to satisfy oneelement of the innocent purchaser defense to CERCLA liabil-ity.1.1.2 Because
6、this guide for conducting Phase II ESAsdescribes a process for further evaluating a parcel of commer-cial property with recognized environmental conditions, asdefined in Practices E 1527 and E 1528, users of this guideshould understand the requirements and limitations of thosepractices. It is strong
7、ly recommended that the user refer to andapply the guide in concert with Practices E 1527 and E 1528.1.1.3 This guide has multiple purposes. It is intended toprovide assistance to users in satisfying the appropriate inquiryelement of CERCLAs innocent purchaser defense, as definedin 42 U.S.C. 9601(35
8、)(B), where a previous assessmentsatisfying that element identified recognized environmentalconditions. This guide also is intended to assist a user ingathering reliable information about a propertys environmen-tal conditions to guide the users business decisions. However,this guide does not purport
9、 to include the level of specificityrequired of technical standards that govern full characterizationof a sites environmental conditions.1.2 ObjectivesThe primary objectives of conducting aPhase II ESA are to evaluate the recognized environmentalconditions identified in the Phase I ESA or transactio
10、n screenprocess for the purpose of providing sufficient informationregarding the nature and extent of contamination to assist inmaking informed business decisions about the property; andwhere applicable, providing the level of knowledge necessaryto satisfy the innocent purchaser defense under CERCLA
11、.1.2.1 To achieve these objectives, it may be appropriate toperform more than a single iteration of assessment. The guidefosters an iterative approach to Phase II assessments and allowsthe user to terminate the Phase II ESA at the point wheresufficient data have been generated to meet the users obje
12、c-tives.1.2.2 At the completion of a Phase II ESA, the environmen-tal professional should be able to conclude, at a minimum, thateither (a) the ESAhas provided sufficient information to rendera professional opinion that there is no reasonable basis tosuspect the presence of hazardous substances or p
13、etroleumproducts at the property associated with the recognized envi-ronmental conditions under assessment, or (b) the ESA hasconfirmed the presence of hazardous substances or petroleumproducts at the property under conditions that indicate disposalor release. If the information developed in the ESA
14、 is insuffi-cient for the environmental professional to reach either of theseconclusions, the environmental professional may recommendadditional iterations of assessment if warranted to meet theobjectives of the user. If the environmental professional rea-sonably suspects that unconfirmed hazardous
15、substance orpetroleum releases remain but concludes that further reason-able assessment is not expected to provide additional informa-tion of significant value, he may recommend that furtherassessment is not warranted. In such circumstances, the rec-ommendation for no further assessment should be ac
16、compa-nied by an explanation why a reasonable suspicion of releasesremains and why further reasonable assessment is not war-ranted. Depending upon the work scope, the environmental1This guide is under the jurisdiction ofASTM Committee E50 on EnvironmentalAssessment and is the direct responsibility o
17、f Subcommittee E50.02 on CommercialReal Estate Transactions.Current edition approved Dec. 10, 1997. Published February 1998.2As used herein, a “Standard” is a document that has been developed andestablished within the consensus principles of the Society and that meets theapproval requirements of AST
18、M procedures and regulations. A“ Guide” is acompendium of information or a series of options that does not recommend aspecific course of action. A guide increases the awareness of information andapproaches in a given subject area. A “Practice,” in contrast, is a definitive set ofinstructions for per
19、forming one or more specific operations that does not produce atest result. See Form and Style for ASTM Standards, 10th ed., 1996.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.professional may also be able to provide guidance on th
20、e natureand extent of contamination in order to assist the user inmaking business decisions regarding the property.1.2.3 This guide is intended to provide guidance for assess-ing recognized environmental conditions and developing tech-nically sound data. It is not intended to satisfy the level ofinq
21、uiry that may be necessary to support remedial solutions fora site. For further discussion of the use of this guide, refer toSection 4 on Significance and Use.1.3 Needs of the UserEstablishing the innocent purchaserdefense may not be a realistic objective in some instances.Accordingly, the extent of
22、 assessment is based on the businessobjectives of the user as well as the degree of uncertaintyacceptable to the user. In either case, the primary purpose of aPhase II ESA conducted in accordance with this guide is toassess and evaluate the recognized environmental conditionsidentified in the Phase
23、I ESA or Transaction Screen Process.1.3.1 The mere confirmation of contamination or the pre-liminary indication of the extent and magnitude of contamina-tion may be sufficient for the purposes of many users. If a userdesires a more complete characterization of the environmentalcondition of the prope
24、rty, further assessment may be under-taken. However, this guide should not be construed to requiremultiple iterations of assessments in all cases, either toestablish the innocent purchaser defense or to meet otherobjectives. Many Phase II ESAs may in fact be restricted toonly a single round of asses
25、sment, whatever the extent ofcontamination, if any, that might be revealed.1.4 LimitationsThe use of this guide is related to thescope as set forth in Section 1. For information purposes,Section 12 of this guide contains a non-exhaustive list ofcertain environmental conditions that are beyond the sc
26、ope ofthis guide but that may warrant consideration by parties to acommercial property transaction. This guide provides an ap-proach that may be employed to assess the environmentalconditions listed in Section 12. Reference also should be madeto 4.1.1.5 Organization of This GuideThis guide has twelv
27、esections and one appendix. Section 1 is the Scope section.Section 2 is Referenced Documents. Section 3, Terminology,contains definitions of terms and acronyms used in this guide.Section 4 is Significance and Use of this guide. Section 5 isContracting Considerations. Sections 6-11 constitute the mai
28、nbody of the Phase II Environmental Site Assessment guide andinclude objectives (see Section 6), developing the scope ofwork (see Section 7), assessment activities (see Section 8),evaluation of data (see Section 9), interpretation of results (seeSection 10) and recommended report preparation (see Se
29、ction11). Section 12 provides additional information regardingnon-scope considerations. Appendix X1 provides a sampletable of contents and report format for a written Phase IIEnvironmental Site Assessment Report.2. Referenced Documents2.1 The references in this Section are for informationalpurposes.
30、 Although Phase II ESAs should utilize government-and industry-accepted practices and methods, this guide doesnot recommend the use of specific practices in the implemen-tation of a Phase II ESA.2.2 ASTM Standards:3D 5730 Guide to Site Characteristics for EnvironmentalPurposes With Emphasis on Soil,
31、 Rock, The Vadose Zoneand Ground Water4D 653 Terminology Relating to Soil, Rock and ContainedFluidsD 4750 Test Method for Determining Subsurface LiquidLevels in a Borehole or Monitoring Well. (ObservationWell)E 1527 Practice for Environmental Site Assessments: PhaseI Environmental Site Assessment Pr
32、ocessE 1528 Practice for Environmental Site Assessments:Transaction Screen Process3. Terminology3.1 Definitions:3.1.1 aquiferas defined in Terminology D 653, a geologicformation that is capable of providing a significant quantity ofwater.3.1.2 ARARsan acronym for “applicable or relevant andappropria
33、te requirements,” a term used in CERCLA andinterpreted by EPAregulations.Applicable requirements means“those cleanup standards, standards of control, and othersubstantive requirements, criteria, or limitations promulgatedunder federal environmental or state environmental or facilitysiting laws that
34、specifically address a hazardous substance,pollutant, contaminant, remedial action, location, or othercircumstance found at a CERCLA site”, 40 C.F.R. 300.5.Relevant and appropriate requirements means “those cleanupstandards, standards of control, and other substantive require-ments, criteria, or lim
35、itations promulgated under federal envi-ronmental or state environmental or facility siting laws that,while not 8applicable to a hazardous substance, pollutant,contaminant, remedial action, location, or other circumstanceat a CERCLA site, address problems or situations sufficientlysimilar to those e
36、ncountered at the CERCLA site that their useis well suited to the particular site” 40 C.F.R. 300.5.3.1.3 business decisiona decision based on various busi-ness risk management considerations relating to a specificproperty, such as a transfer of title or change in financing. Suchconsiderations may al
37、so include the potential financial expo-sure associated with environmental risks, the value of theproperty compared with the cost of environmental assessment,and the participation and motivations of specific parties to thetransaction (that is, owner, seller, buyer, lender, etc.).3.1.4 CERCLAthe acro
38、nym for the Comprehensive Envi-ronmental Response, Compensation and Liability Act, 42U.S.C. 9601, et seq., the primary federal statute that governsthe imposition of liability for environmental cleanups.3.1.5 C.F.R.Code of Federal Regulations.3For referenced ASTM standards, visit the ASTM website, ww
39、w.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 website.4Guide D 5730 covers the selection of the various ASTM Standards that areavailable for the investigation of soil, rock,
40、 the vadose zone, ground water, and othermedia where investigations have an environmental purpose.E 1903 97 (2002)23.1.6 chain of custodya written or printed form which isused to document sample possession, condition and responsi-bility. This custody can include the time from sample containeracquisi
41、tion through transportation, sample collection and labo-ratory analysis.3.1.7 chemical phasesthe physical state of the chemical,(that is; solid, liquid, vapor/gaseous). A chemicals physicalstate can change from the one phase to another based on itsphysical environment.3.1.8 common lawas distinguishe
42、d from law created bythe enactment of legislatures, the common law comprises thebody of those principles and rules of action, relating to thegovernment and security of persons and property, which derivetheir authority solely from usages and customs of immemorialantiquity, or from the judgments and d
43、ecrees of the courtsrecognizing, affirming and enforcing such usages and customs;and, in this sense, particularly the ancient unwritten law ofEngland.53.1.9 cuttingssoil, rock chips, fragments or other materialthat is brought to the surface by drilling or sampling, or both.3.1.10 disposalas defined
44、by CERCLA and interpreted byEPA regulations, the discharge, deposit, injection, dumping,spilling, leaking, or placing of any solid waste or hazardouswaste into or on any land or water so that such solid waste orhazardous waste or any constituent thereof may enter theenvironment or be emitted into th
45、e air or discharged into anywaters, including ground waters. By judicial construction, theterm also may include hazardous substances in repose in theenvironment, with the result that hazardous substances thathave migrated to a site from an off-site source may nonethelessbe considered to have been di
46、sposed at the site. See, forexample, United States v. Waste Industries, 734 F.2d 159 (4thCir. 1984). This construction is not universally accepted. See,for example, United States v. Petersen Sand and Gravel, Inc.,806 F. Supp. 1346 (D.Ill. 1992).3.1.11 downgradientwith respect to a given referencepoi
47、nt, it is all points through which ground water originating atthe reference point flows until reaching a surface dischargepoint or a distance or depth that ceases to be a matter ofpotential environmental concern; the direction of decreasinghydrostatic head.3.1.12 environmental mediasoil, rock, water
48、, air, sedi-ment.3.1.13 environmental professionala person or group ofpersons possessing sufficient training and experience necessaryto prepare and implement a Phase II environmental siteassessment in accordance with this guide, and from theinformation generated by such activities, having the abilit
49、y todevelop sound opinions and conclusions regarding recognizedenvironmental conditions in connection with the property inquestion. An individuals status as an environmental profes-sional may be limited to the type of assessment to be performedor to specific segments of the assessment for which theprofessional is responsible. The person may be an independentcontractor or an employee of the user.3.1.13.1 DiscussionSome jurisdictions may have licens-ing requirements for individuals who perform certain activitiesincluded in a Phase II ESA.3.1.14 EPAthe Un
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