1、Designation: E1903 11Standard Practice forEnvironmental Site Assessments: Phase II EnvironmentalSite Assessment Process1This standard is issued under the fixed designation E1903; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the
2、year 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 This practice2covers a process for conducting a Phase IIenvironmental site assessment (ESA) of a parcel of pro
3、pertywith respect to the presence or the likely presence of sub-stances including but not limited to those within the scope ofthe Comprehensive Environmental Response, Compensationand Liability Act (CERCLA) (e.g., hazardous substances),pollutants, contaminants, petroleum and petroleum products,and c
4、ontrolled substances and constituents thereof. It specifiesprocedures based on the scientific method to characterizeproperty conditions in an objective, representative, reproduc-ible, and defensible manner. To promote clarity in definingPhase II ESA objectives and transparency in communicatingand in
5、terpreting Phase II ESA results, this practice specifiesadherence to requirements for documenting the scope ofassessment and constraints on the conduct of the assessmentprocess.1.1.1 A users interest in the presence or likely presence ofsubstances in environmental media at a property may arise ina w
6、ide variety of legal, regulatory, and commercial contexts,and may involve diverse objectives including those listed in1.2. This practice contemplates that the user and the Phase IIAssessor will consult to define the scope and objectives ofinvestigation in light of relevant factors, including without
7、limitation the substances released or possibly released at theproperty, the nature of the concerns presented by their presenceor likely presence, the portion of the property to be investi-gated, the information already available, the degree of confi-dence needed or desired in the results, the degree
8、 of investi-gatory sampling and chemical testing needed to achieve suchconfidence, and any applicable time and resource constraints.This practice requires that Phase II activities be conducted sothat the resulting scope of work is performed, and the statedobjectives are achieved, in a scientifically
9、 sound manner.1.1.2 A Phase II ESA in accordance with this practice mayfollow site assessment activities in accordance with PracticeE1527 for Phase I Environmental Site Assessments: Phase IEnvironmental Site Assessment Process, Practice E2247 forEnvironmental Site Assessments: Phase I Environmental
10、SiteAssessment for Forestland or Rural Property, EPAs AllAppropriate Inquiries (AAI) Rule, 40 C.F.R. Part 312, orPractice E1528 for Limited Environmental Due Diligence:Transaction Screen Process. Users of this practice should haveknowledge and understanding of Practice E1527 and the AAIRule because
11、a Phase II ESA may address a likely presence ofhazardous substances or petroleum products identified inprevious assessment reports as a recognized environmentalcondition (REC). In defining the scope and purposes of a PhaseII ESA, however, previous decisions to classify propertyconditions or areas as
12、 RECs, or to refrain from doing so, are notdeterminative as to whether investigation of the same condi-tions or areas is appropriate to meet the objectives of the PhaseII ESA.1.2 ObjectivesThis practice is intended for use in anysituation in which a user desires to obtain sound, scientificallyvalid
13、data concerning actual property conditions, whether ornot such data relate to property conditions previously identifiedas RECs or data gaps in Phase I ESAs. Without attempting todefine all such situations, this practice contemplates that usersmay seek such data to inform their evaluations, conclusio
14、ns,and choices of action in connection with objectives that mayinclude, without limitation, one or more of the following:1.2.1 Objective 1Assess whether there has been a releaseof hazardous substances within the meaning of CERCLA, forpurposes including landowner liability protections (i.e., inno-cen
15、t landowner, bona fide prospective purchaser, and contigu-ous property owner).1.2.2 Objective 2Provide information relevant to identi-fying, defining and implementing landowner “continuing ob-ligations,” or the criteria established under CERCLA (e.g.,1This practice is under the jurisdiction of ASTM
16、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 June 15, 2011. Published July 2011. Originallyapproved in 1997. Last previous edition approved i
17、n 2002 as E1903 97 (2002).DOI: 10.1520/E1903-11.2As 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 ASTM procedures and regulations. A “practice” is adefinitive set of instruction
18、s for performing one or more specific operations that doesnot produce a test result. A “guide,” in contrast, is a compendium of information ora series of options that does not recommend a specific course of action. A guideincreases the awareness of information and approaches in a given subject area.
19、 SeeForm and Style for ASTM Standards, http:/www.astm.org/COMMIT/Blue_Book.pdf.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.taking reasonable steps to prevent or limit exposures topreviously released hazardous substances) for main
20、taining theCERCLA landowner liability protections.1.2.3 Objective 3Develop threshold knowledge of thepresence of substances on properties within the scope of theCERCLA definition of a “brownfield site” and as required forqualifying for brownfields remediation grants from the EPABrownfields Program.1
21、.2.4 Objective 4Provide information relevant to identi-fying, defining and evaluating property conditions associatedwith target analytes that may pose risk to human health or theenvironment, or risk of bodily injury to persons on the propertyand thereby give rise to potential liability in tort.1.2.5
22、 Objective 5Provide information relevant to evaluat-ing and allocating business environmental risk in transactionaland contractual contexts, including transferring, financing andinsuring properties, and due diligence relating thereto.1.2.6 Objective 6Provide information to support disclo-sure of lia
23、bilities and contingent liabilities in financial state-ments and securities reporting.1.2.7 Additional information concerning these six objec-tives may be found in the Legal Appendix, Appendix X1.1.3 Scope of Assessment in Relation to ObjectivesThescope of a Phase II ESA is related to the objectives
24、 of theinvestigation. Both scope and objectives may require ongoingevaluation and refinement as the assessment progresses.1.3.1 In developing the scope of work and in evaluating dataand information concerning the property, the Phase II Assessormust determine whether the available information is suff
25、icientto meet the objectives of the investigation. Even after conduct-ing Phase II activities to generate additional data, the Phase IIAssessor must independently evaluate the sufficiency of thedata in relation to the objectives. As the investigation pro-gresses, the objectives may be refined or red
26、efined in consul-tation between the user and the Phase II Assessor.1.3.2 A single round of sampling and chemical testing maynot always provide data sufficient to meet the chosen objec-tives. If not, this practice contemplates additional sampling inan iterative sequence that concludes when the availa
27、ble dataare sufficient. This practice also acknowledges, however, thatthe user may instead elect either to redefine the objectives sothat they can be met with the data available, or to terminate theinvestigative process without meeting the stated objectives.The Phase II Assessment report must disclo
28、se any respect inwhich available data are insufficient to meet objectives.1.3.3 This practice does not require full site characteriza-tion in every instance, but may be used to carry out aninvestigation sufficient for that purpose if desired to meet theusers objectives.1.4 Needs of the UserThe user
29、and Phase II Assessormust have a mutual understanding of the context in which thePhase II ESA is to be performed and the objectives to be metby the investigation, i.e. the specific questions to be answeredor problems to be resolved by the Phase II ESA. The scope ofPhase II activities must be defined
30、 in relation to those objec-tives.1.4.1 The degree of confidence desired by the user influ-ences the scope of the investigation and the evaluation of data.More extensive testing and more iterations of sampling andanalysis may be needed if the objectives require detailedconclusions with high confiden
31、ce. Less testing and feweriterations of sampling and analysis may be needed if theobjectives of the assessment include only general conclusions.1.5 LimitationsThis practice is not intended to supersedeapplicable requirements imposed by regulatory authorities.This practice does not attempt to define
32、a legal standard of careeither for the performance of professional services with respectto matters within its scope, or for the performance of anyindividual Phase II Environmental Site Assessment.1.6 Organization of This PracticeThis practice has ninesections and four appendices. Section 1 covers th
33、e Scope of thepractice. Section 2, Referenced Documents, lists ASTM andother organizationsrelated standards and guidance that may beuseful in conducting Phase II ESAs in accordance with thispractice. Section 3, Terminology, contains definitions of termsand acronyms used in this practice. Section 4 a
34、ddresses theSignificance and Use of this practice, including the legalcontext into which Phase II ESAs may fall. Section 5 discussesdevelopment and documentation of the scope of the Phase IIESA, including the Statement of Objectives for the assessment.Section 6 provides a Phase II ESA Overview, with
35、 purpose andgoal descriptions. Section 7 comprises the main body ofPerforming the Phase II ESA, and includes initiating scientificinquiry by formulating the question to be answered (7.1),collecting and evaluating information (7.2), identifying areasfor investigation (7.3), developing the conceptual
36、model (7.4),developing a plan and rationale for sampling (7.5), conductingthe sampling (7.6), and validating the conceptual model (7.7).Interpretation of results is covered in Section 8. Phase IIEnvironmental Site Assessment report preparation is addressedin Section 9. Appendix X1 supports Section 4
37、, and containslegal considerations pertaining to Phase II Environmental SiteAssessment. Appendix X2 contains contracting considerationsbetween Phase II assessor and user. Appendix X3 supportsSection 9, and describes two examples and a sample table ofcontents illustrating possible approaches to repor
38、ting the re-sults of a Phase II Environmental Site Assessment. AppendixX4 supplements Section 2 with a list of standards andreferences that may be relevant in conducting a Phase IIEnvironmental Site Assessment.2. Referenced Documents2.1 The standards listed below are referenced in this prac-tice.2.2
39、 ASTM Standards:3E1527 Practice for Environmental Site Assessments: PhaseI Environmental Site Assessment ProcessE1528 Practice for Limited Environmental Due Diligence:Transaction Screen ProcessE2247 Practice for Environmental Site Assessments: PhaseI Environmental Site Assessment Process for Forestl
40、and orRural Property3For referenced ASTM 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.E1903 1122.3 Environmental Protection Age
41、ncy Documents:Standards and Practices for All Appropriate Inquiries, FinalRule, Federal Register, Tuesday, November 1, 2005, PartIII Environmental Protection Agency (codified at 40 CFRPart 312)43. Terminology3.1 Definitions:3.1.1 all appropriate inquiries (AAI)those inquiries con-stituting “all appr
42、opriate inquiries into the previous owner-ship and uses of the facility in accordance with generallyaccepted good commercial or customary standards and prac-tices” as defined in CERCLA,42U.S.C. 9601(35)(B), and theAAI Rule, 40 CFR Part 312, that must be conducted to qualifyfor certain landowner liab
43、ility protections (LLPs) under CER-CLA, and to qualify for brownfields remediation grantsawarded under CERCLA section 104(k)(3)(A)(ii).3.1.2 background concentrationthe concentration of atarget analyte in groundwater, surface water, air, soil gas,sediment, or soil at a reference location near an are
44、a underinvestigation, which is not attributable to the area underinvestigation. Background samples may contain the targetanalyte, due to either naturally occurring or man-made sources,but not due to the release(s) in question.3.1.3 behavior, fate, and transport characteristicsnaturalattributes of a
45、target analyte that can be predicted based on thedistinguishing physico-chemical characteristics of the targetanalyte and the properties of the media in which the targetanalyte occurs.3.1.4 bona fide prospective purchaser (BFPP)a personwho meets the criteria stated at 42 U.S.C. 9601(40) andthereby b
46、ecomes eligible for the bona fide prospective pur-chaser LLP. See Legal Appendix, Appendix X1.3.1.5 bona fide prospective purchaser (BFPP) LLPtheCERCLA LLP defined in 42 U.S.C. 9607(r) and available topersons who meet the statutory definition of bona fide prospec-tive purchaser. See Legal Appendix,
47、Appendix X1.3.1.6 business environmental riska risk which can have amaterial environmental or environmentally-driven impact onthe business associated with the current or planned use of aparcel of commercial real estate, not necessarily limited tothose environmental issues investigated in accordance
48、with thispractice.3.1.7 CERCLAthe Comprehensive Environmental Re-sponse, Compensation and Liability Act, 42 U.S.C. 9601, etseq., as amended.3.1.8 CFRCode of Federal Regulations.3.1.9 chain of custodya written or printed form thatdocuments information regarding sample possession, condi-tion, and resp
49、onsibility, including the time from sample con-tainer acquisition through transportation, sample collection,and laboratory analysis.3.1.10 chemical testingmeasurement of the presence andconcentration of target analytes by analytical chemistry meth-ods in a laboratory; also, for purposes of this practice,measurement of certain target analytes by physical methods(e.g., for asbestos or radioactive isotopes).3.1.11 conceptual modela representation of hypothesizedcurrent site conditions, which describes the physical settingcharacteristics of a site and
