1、Designation: E1528 141Standard Practice forLimited Environmental Due Diligence: Transaction ScreenProcess1This standard is issued under the fixed designation E1528; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last r
2、evision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1NOTEQuestion 21 of the Transaction Screen Questionnaire (see Section 6) and footnote 6 were editorially correctedin January 2017.1. Sco
3、pe1.1 PurposeThe purpose of this practice is to define agood practice in the United States of America for conducting atransaction screen2for a parcel of commercial real estatewhere the user wishes to conduct limited environmental duediligence (that is, less than a Phase I Environmental SiteAssessmen
4、t). If the driving force behind the environmental duediligence is a desire to qualify for one of the ComprehensiveEnvironmental Response, Compensation, and Liability Act(CERCLA) Landowner Liability Protections (LLPs), this prac-tice should not be applied. Instead, theASTM E1527: StandardPractice for
5、 Environmental Site Assessments: Phase I Environ-mental Site Assessment Process or ASTM E2247: StandardPractice for Environmental Site Assessments: Phase I Environ-mental Site Assessment Process for Forestland or Rural Prop-erty may be used.1.1.1 This practice will not satisfy the requirement tocond
6、uct all appropriate inquiries into the previous ownershipand uses of the property consistent with “generally acceptedgood commercial and customary standards and practices” asdefined in 42 U.S.C. 9601(35)(B) to qualify for one of theComprehensive Environmental Response, Compensation, andLiability Act
7、 (CERCLA) Landowner Liability Protections(LLPs). Users who desire to conduct environmental duediligence to qualify for one of the CERCLA LLPs shouldconduct assessment activities in conformity with “Standardsand Practices for All Appropriate Inquiries,” 40 C.F.R. Part312, ASTM E1527: Standard Practic
8、e for Environmental SiteAssessments: Phase I Environmental Site Assessment Processor ASTM E2247: Standard Practice for Environmental SiteAssessments: Phase I Environmental Site Assessment Processfor Forestland or Rural Property.1.2 An evaluation of business environmental risk associatedwith a parcel
9、 of commercial real estate may necessitateinvestigation beyond that identified in this practice. See Sec-tions 1.4 and 11.1.2.1 Potential Environmental ConcernsThe goal of con-ducting a transaction screen is to identify potential environ-mental concerns, as defined in 3.2.35.1.2.2 Other Federal, Sta
10、te, and Local EnvironmentalLawsThis practice does not address requirements of any stateor local laws or of any federal laws. Users are cautioned thatfederal, state, and local laws may impose environmentalassessment obligations that are beyond the scope of thispractice. Users should also be aware tha
11、t there are likely to beother legal obligations with regard to hazardous substances orpetroleum products discovered on property that are 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 p
12、ractice is to facilitate standardized transaction screens.1.3.1 Note of CautionThe user should be cautious inapplying this practice to properties with known current orhistoric handling of hazardous substances or petroleum prod-ucts.1.4 Considerations Beyond the ScopeThe use of thispractice is strict
13、ly limited to the scope set forth in this section.Section 11 of this practice identifies, for informationalpurposes, certain environmental conditions (not an all-inclusive list) that may exist on a property that are beyond thescope of this practice but may warrant consideration by partiesto a commer
14、cial real estate transaction. The need to include aninvestigation of any such conditions in the scope of servicesshould be evaluated based upon, among other factors, thenature of the property and the reasons for performing theassessment (for example, a more comprehensive evaluation ofbusiness enviro
15、nmental risk) and should be agreed upon asadditional services beyond the scope of this practice prior toinitiation of the Transaction Screen Process.1This practice is under the jurisdiction of ASTM Committee E50 on Environ-mental Assessment, Risk Management and Corrective Action and is the directres
16、ponsibility of Subcommittee E50.02 on Real Estate Assessment and Manage-ment.Current edition approved Jan. 15, 2014. Published February 2014. Originallyapproved in 1993. Last previous edition approved in 2006 as E1528 06. DOI:10.1520/E1528-14E01.2Whenever terms defined in 3.2 or described in 3.3 are
17、 used in this practice, theyare in italics.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with internationally recognized principles on standardization established in the Decisio
18、n on Principles for theDevelopment of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.11.5 Organization of This PracticeThis practice has severalparts and one appendix. Section 1 is the Scope. Section 2 refersto o
19、ther ASTM standards in the Referenced Documents.Section 3, Terminology, has definitions of terms not unique tothis practice, descriptions of terms unique to this practice, andacronyms. Section 4 is Significance and Use of this practice.Section 5 is the Introduction to the Transaction Screen Ques-tio
20、nnaire. Section 6 sets forth the Transaction Screen Ques-tionnaire itself. Sections 710contain the Guide to theTransaction Screen Questionnaire and its various parts. Sec-tion 11 provides additional information regarding non-scopeconsiderations. See 1.4.1.6 This standard does not purport to address
21、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 and determine the applica-bility of regulatory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:3E1527 Practice for
22、 Environmental Site Assessments: Phase IEnvironmental Site Assessment ProcessE2247 Practice for Environmental Site Assessments: Phase IEnvironmental Site Assessment Process for Forestland orRural Property2.2 Federal Statutes:Comprehensive Environmental Response, Compensation,and Liability Act of 198
23、0 (“CERCLA” or “Super-fund”), as amended 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-KnowAct of1986 (“EPCRA”),
24、 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 provid
25、es 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 physicalr
26、estrictions 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 action
27、, 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 to hazar
28、doussubstances 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 an indi
29、vidual 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 separating the
30、m.3.2.4 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. See Qu
31、estion22 of the questionnaire in this practice and 10.2.2.3.2.5 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
32、 qualify a party to a commercial real estate transaction 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.3.2.6 approximate minimum search distancethe area forwhi
33、ch records must be obtained and reviewed pursuant to therecords review section of Practice E1528, 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
34、approximate minimum search distance is used insteadof radius to include irregularly shaped properties.3.2.7 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 f
35、our dwelling units exclusively forresidential use 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,3For referenced ASTM
36、 standards, visit the ASTM website, www.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.4The term AUL is taken from the ASTM Standard Guide E2091 to include bothlegal (t
37、hat is, institutional) and physical (that is, engineering) controls within itsscope. Other agencies, organizations, and jurisdictions may define or utilize theseterms differently (for example, EPA and California do not include physical controlswithin their definitions of “institutional controls.” Th
38、e Department of Defense andthe International County/City Management Association use “Land Use Controls.”The term “land use restrictions” is used but not defined in the BrownfieldsAmendments).E1528 1412agricultural, other commercial, medical, or educational pur-poses; property used for residential pu
39、rposes 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.3.2.8 Comprehensive Environmental Response, Compensa-tion and Liability Information System
40、(CERCLIS)the list ofsites compiled by EPAthat EPAhas investigated or is currentlyinvestigating for potential hazardous substance contaminationfor possible inclusion on the National Priorities List.3.2.9 CORRACTS lista list maintained by EPA of hazard-ous waste treatment, storage, or disposal facilit
41、ies 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 database that manages RCRA data.3.2.1
42、0 demolition debrisconcrete, brick, asphalt, andother such building materials discarded in the demolition of abuilding or other improvement to property.3.2.11 druma container (typically, but not necessarily,holding 55 gal (208 L) of liquid) that may be used to storehazardous substances or petroleum
43、products.3.2.12 due diligencethe process of inquiring 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 purpos
44、es.3.2.13 dwellingstructure or portion thereof used for resi-dential habitation.3.2.14 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 petr
45、oleum products in thesoil or ground water on the property. Engineering controls area type of activity and use limitation (AUL).3.2.15 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 respon
46、seactions, cleanup, or other remediation of hazardous 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.3.2.16 environmental professionala person meeting theeducation,
47、training, and experience requirements as set forth in40 C.F.R. 312.10(b). The person may be an independentcontractor or an employee of the user.3.2.17 ERNS listEPAs Emergency Response NotificationSystem list of reported CERCLA hazardous substance releasesor spills in quantities greater than the repo
48、rtable quantity, asmaintained at the National Response Center. Notificationrequirements for such releases or spills are codified in 40C.F.R. Parts 302 and 355.3.2.18 fill dirtdirt, soil, sand, or other earth, that isobtained off-site, that is used to fill holes or depressions, createmounds, or other
49、wise artificially change the grade or elevationof real property. It does not include material that is used inlimited quantities for normal landscaping activities.3.2.19 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 from the map companies who produced them. SeeQuestion 22 of the questionnaire in this practice and 10.2.2.3.2.20 hazardou
