ASTM E1903-97(2002)

Standard Guide for Environmental Site Assessments: Phase II Environmental Site Assessment Process

SCOPE
1.1 This guide covers a framework for employing good commercial and customary practices in conducting a Phase II environmental site assessment (ESA) of a parcel of commercial property with respect to the potential presence of a range of contaminants which are within the scope of CERCLA as well as petroleum products.
1.1.1 This guide is intended to provide practical procedural guidance for the continuation of an assessment conducted in accordance with the most recent edition of Practice E 1527 or E 1528, or both. Practice E 1527 is the practice for conducting Phase I ESAs for a parcel of commercial property and Practice E 1528 is the transaction screen practice. Both practices define a process that is intended to constitute "all appropriate inquiry into the previous ownership and uses of a property" to determine whether hazardous substances or petroleum products have been disposed or released there in order to satisfy one element of the innocent purchaser defense to CERCLA liability.
1.1.2 Because this guide for conducting Phase II ESAs describes a process for further evaluating a parcel of commercial property with recognized environmental conditions, as defined in Practices E 1527 and E 1528, users of this guide should understand the requirements and limitations of those practices. It is strongly recommended that the user refer to and apply the guide in concert with Practices E 1527 and E 1528.
1.1.3 This guide has multiple purposes. It is intended to provide assistance to users in satisfying the appropriate inquiry element of CERCLA's innocent purchaser defense, as defined in 42 U.S.C. § 9601(35)(B), where a previous assessment satisfying that element identified recognized environmental conditions. This guide also is intended to assist a user in gathering reliable information about a property's environmental conditions to guide the user's business decisions. However, this guide does not purport to include the level of specificity required of technical standards that govern full characterization of a site's environmental conditions.
1.2 Objectives—The primary objectives of conducting a Phase II ESA are to evaluate the recognized environmental conditions identified in the Phase I ESA or transaction screen process for the purpose of providing sufficient information regarding the nature and extent of contamination to assist in making informed business decisions about the property; and where applicable, providing the level of knowledge necessary to satisfy the innocent purchaser defense under CERCLA.
1.2.1 To achieve these objectives, it may be appropriate to perform more than a single iteration of assessment. The guide fosters an iterative approach to Phase II assessments and allows the user to terminate the Phase II ESA at the point where sufficient data have been generated to meet the user's objectives.
1.2.2 At the completion of a Phase II ESA, the environmental professional should be able to conclude, at a minimum, that either (a) the ESA has provided sufficient information to render a professional opinion that there is no reasonable basis to suspect the presence of hazardous substances or petroleum products at the property associated with the recognized environmental conditions under assessment, or (b) the ESA has confirmed the presence of hazardous substances or petroleum products at the property under conditions that indicate disposal or release. If the information developed in the ESA is insufficient for the environmental professional to reach either of these conclusions, the environmental professional may recommend additional iterations of assessment if warranted to meet the objectives of the user. If the environmental professional reasonably suspects that unconfirmed hazardous substance or petroleum releases remain but concludes that further reasonable assessment is not expected to provide additional information of significant value, he may recommend that further assessment is not warranted. In su...

General Information

• Status: Historical
• Publication Date: 09-Dec-1997
• ICS: 13.020.30 - Environmental impact assessment
• Technical Committee: E50 - Environmental Assessment, Risk Management and Corrective Action
• Drafting Committee: E50.02 - Real Estate Assessment and Management

Relations

• Replaces: ASTM E1903-97 - Standard Guide for Environmental Site Assessments: Phase II Environmental Site Assessment Process
• Effective Date: 10-Dec-1997
• Referred By: ASTM E2081-22 - Standard Guide for Risk-Based Corrective Action
• Effective Date: 10-Dec-1997
• Referred By: ASTM E2600-22 - Standard Guide for Vapor Encroachment Screening on Property Involved in Real Estate Transactions
• Effective Date: 10-Dec-1997
• Referred By: ASTM D6235-18 - Standard Practice for Expedited Site Characterization of Vadose Zone and Groundwater Contamination at Hazardous Waste Contaminated Sites
• Effective Date: 10-Dec-1997
• Referred By: ASTM E2531-06(2020) - Standard Guide for Development of Conceptual Site Models and Remediation Strategies for Light Nonaqueous-Phase Liquids Released to the Subsurface
• Effective Date: 10-Dec-1997
• Referred By: ASTM E3358-23a - Standard Guide for Per- and Polyfluoroalkyl Substances Site Screening and Initial Characterization
• Effective Date: 10-Dec-1997
• Referred By: ASTM E2790-20 - Standard Guide for Identifying and Complying With Continuing Obligations
• Effective Date: 10-Dec-1997
• Referred By: ASTM E2876-13(2020) - Standard Guide for Integrating Sustainable Objectives into Cleanup
• Effective Date: 10-Dec-1997

Standards Content (Sample)

NOTICE: This standard has either been superseded and replaced by a new version or withdrawn.
Contact ASTM International (www.astm.org) for the latest information
Designation:E1903–97 (Reapproved 2002)
Standard Guide for
Environmental Site Assessments: Phase II Environmental
Site Assessment Process
This standard is issued under the fixed designation E1903; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope satisfying that element identified recognized environmental
2 conditions. This guide also is intended to assist a user in
1.1 This guide covers a framework for employing good
gathering reliable information about a property’s environmen-
commercial and customary practices in conducting a Phase II
tal conditions to guide the user’s business decisions. However,
environmentalsiteassessment(ESA)ofaparcelofcommercial
this guide does not purport to include the level of specificity
property with respect to the potential presence of a range of
requiredoftechnicalstandardsthatgovernfullcharacterization
contaminants which are within the scope of CERCLA as well
of a site’s environmental conditions.
as petroleum products.
1.2 Objectives—The primary objectives of conducting a
1.1.1 This guide is intended to provide practical procedural
Phase II ESA are to evaluate the recognized environmental
guidance for the continuation of an assessment conducted in
conditions identified in the Phase I ESA or transaction screen
accordance with the most recent edition of Practice E1527 or
process for the purpose of providing sufficient information
E1528, or both. Practice E1527 is the practice for conducting
regarding the nature and extent of contamination to assist in
Phase I ESAs for a parcel of commercial property and Practice
making informed business decisions about the property; and
E1528 is the transaction screen practice. Both practices define
where applicable, providing the level of knowledge necessary
a process that is intended to constitute “all appropriate inquiry
to satisfy the innocent purchaser defense under CERCLA.
into the previous ownership and uses of a property” to
1.2.1 To achieve these objectives, it may be appropriate to
determinewhetherhazardoussubstancesorpetroleumproducts
perform more than a single iteration of assessment. The guide
have been disposed or released there in order to satisfy one
fostersaniterativeapproachtoPhaseIIassessmentsandallows
element of the innocent purchaser defense to CERCLA liabil-
the user to terminate the Phase II ESA at the point where
ity.
sufficient data have been generated to meet the user’s objec-
1.1.2 Because this guide for conducting Phase II ESAs
tives.
describes a process for further evaluating a parcel of commer-
1.2.2 At the completion of a Phase II ESA, the environmen-
cial property with recognized environmental conditions, as
tal professional should be able to conclude, at a minimum, that
defined in Practices E1527 and E1528, users of this guide
either (a)theESAhasprovidedsufficientinformationtorender
should understand the requirements and limitations of those
a professional opinion that there is no reasonable basis to
practices. It is strongly recommended that the user refer to and
suspect the presence of hazardous substances or petroleum
apply the guide in concert with Practices E1527 and E1528.
products at the property associated with the recognized envi-
1.1.3 This guide has multiple purposes. It is intended to
ronmental conditions under assessment, or (b) the ESA has
provide assistance to users in satisfying the appropriate inquiry
confirmed the presence of hazardous substances or petroleum
element of CERCLA’s innocent purchaser defense, as defined
products at the property under conditions that indicate disposal
in 42 U.S.C. § 9601(35)(B), where a previous assessment
or release. If the information developed in the ESA is insuffi-
cientfortheenvironmentalprofessionaltoreacheitherofthese
ThisguideisunderthejurisdictionofASTMCommitteeE50onEnvironmental
conclusions, the environmental professional may recommend
Assessment and is the direct responsibility of Subcommittee E50.02 on Commercial
additional iterations of assessment if warranted to meet the
Real Estate Transactions.
objectives of the user. If the environmental professional rea-
Current edition approved Dec. 10, 1997. Published February 1998. DOI:
10.1520/E1903-97R02.
sonably suspects that unconfirmed hazardous substance or
As used herein, a “Standard” is a document that has been developed and
petroleum releases remain but concludes that further reason-
established within the consensus principles of the Society and that meets the
able assessment is not expected to provide additional informa-
approval requirements of ASTM procedures and regulations. A“ Guide” is a
tion of significant value, he may recommend that further
compendium of information or a series of options that does not recommend a
specific course of action. A guide increases the awareness of information and
assessment is not warranted. In such circumstances, the rec-
approaches in a given subject area. A “Practice,” in contrast, is a definitive set of
ommendation for no further assessment should be accompa-
instructions for performing one or more specific operations that does not produce a
nied by an explanation why a reasonable suspicion of releases
test result. See Form and Style for ASTM Standards, 10th ed., 1996.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.
E1903–97 (2002)
remains and why further reasonable assessment is not war- not recommend the use of specific practices in the implemen-
ranted. Depending upon the work scope, the environmental tation of a Phase II ESA.
professionalmayalsobeabletoprovideguidanceonthenature 2.2 ASTM Standards:
and extent of contamination in order to assist the user in D5730 Guide for Site Characterization for Environmental
making business decisions regarding the property. Purposes With Emphasis on Soil, Rock, the Vadose Zone
1.2.3 This guide is intended to provide guidance for assess- and Ground Water
ing recognized environmental conditions and developing tech- D653 Terminology Relating to Soil, Rock, and Contained
nically sound data. It is not intended to satisfy the level of Fluids
inquiry that may be necessary to support remedial solutions for D4750 Test Method for Determining Subsurface Liquid
a site. For further discussion of the use of this guide, refer to Levels in a Borehole or Monitoring Well (Observation
Section 4 on Significance and Use. Well)
1.3 Needs of the User—Establishing the innocent purchaser E1527 Practice for Environmental Site Assessments: Phase
defense may not be a realistic objective in some instances. I Environmental Site Assessment Process
Accordingly, the extent of assessment is based on the business E1528 Practice for Limited Environmental Due Diligence:
objectives of the user as well as the degree of uncertainty Transaction Screen Process
acceptable to the user. In either case, the primary purpose of a
Phase II ESA conducted in accordance with this guide is to 3. Terminology
assess and evaluate the recognized environmental conditions
3.1 Definitions:
identified in the Phase I ESA or Transaction Screen Process.
3.1.1 aquifer—as defined in Terminology D653, a geologic
1.3.1 The mere confirmation of contamination or the pre-
formation that is capable of providing a significant quantity of
liminary indication of the extent and magnitude of contamina-
water.
tion may be sufficient for the purposes of many users. If a user
3.1.2 ARARs—an acronym for “applicable or relevant and
desires a more complete characterization of the environmental
appropriate requirements,” a term used in CERCLA and
condition of the property, further assessment may be under-
interpretedbyEPAregulations.Applicablerequirementsmeans
taken. However, this guide should not be construed to require
“those cleanup standards, standards of control, and other
multiple iterations of assessments in all cases, either to
substantive requirements, criteria, or limitations promulgated
establish the innocent purchaser defense or to meet other
under federal environmental or state environmental or facility
objectives. Many Phase II ESAs may in fact be restricted to
siting laws that specifically address a hazardous substance,
only a single round of assessment, whatever the extent of
pollutant, contaminant, remedial action, location, or other
contamination, if any, that might be revealed.
circumstance found at a CERCLA site”, 40 C.F.R. § 300.5.
1.4 Limitations—The use of this guide is related to the
Relevant and appropriate requirements means “those cleanup
scope as set forth in Section 1. For information purposes,
standards, standards of control, and other substantive require-
Section 12 of this guide contains a non-exhaustive list of
ments, criteria, or limitations promulgated under federal envi-
certain environmental conditions that are beyond the scope of
ronmental or state environmental or facility siting laws that,
this guide but that may warrant consideration by parties to a
while not 8applicable’ to a hazardous substance, pollutant,
commercial property transaction. This guide provides an ap-
contaminant, remedial action, location, or other circumstance
proach that may be employed to assess the environmental
at a CERCLA site, address problems or situations sufficiently
conditions listed in Section 12. Reference also should be made
similar to those encountered at the CERCLAsite that their use
to 4.1.
is well suited to the particular site” 40 C.F.R. § 300.5.
1.5 Organization of This Guide—This guide has twelve
3.1.3 business decision—a decision based on various busi-
sections and one appendix. Section 1 is the Scope section.
ness risk management considerations relating to a specific
Section 2 is Referenced Documents. Section 3, Terminology,
property, such as a transfer of title or change in financing. Such
contains definitions of terms and acronyms used in this guide.
considerations may also include the potential financial expo-
Section 4 is Significance and Use of this guide. Section 5 is
sure associated with environmental risks, the value of the
Contracting Considerations. Sections 6-11 constitute the main
property compared with the cost of environmental assessment,
body of the Phase II Environmental SiteAssessment guide and
and the participation and motivations of specific parties to the
include objectives (see Section 6), developing the scope of
transaction (that is, owner, seller, buyer, lender, etc.).
work (see Section 7), assessment activities (see Section 8),
3.1.4 CERCLA—the acronym for the Comprehensive Envi-
evaluation of data (see Section 9), interpretation of results (see
ronmental Response, Compensation and Liability Act, 42
Section 10) and recommended report preparation (see Section
11). Section 12 provides additional information regarding
non-scope considerations. Appendix X1 provides a sample
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
table of contents and report format for a written Phase II
contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
Environmental Site Assessment Report.
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website.
2. Referenced Documents
Guide D5730 covers the selection of the various ASTM Standards that are
availablefortheinvestigationofsoil,rock,thevadosezone,groundwater,andother
2.1 The references in this Section are for informational
media where investigations have an environmental purpose.
purposes. Although Phase II ESAs should utilize government-
Withdrawn. The last approved version of this historical standard is referenced
and industry-accepted practices and methods, this guide does on www.astm.org.
E1903–97 (2002)
U.S.C.§ 9601, et seq., the primary federal statute that governs professional is responsible. The person may be an independent
the imposition of liability for environmental cleanups. contractor or an employee of the user.
3.1.5 C.F.R.—Code of Federal Regulations.
3.1.13.1 Discussion—Some jurisdictions may have licens-
3.1.6 chain of custody—a written or printed form which is
ing requirements for individuals who perform certain activities
used to document sample possession, condition and responsi-
included in a Phase II ESA.
bility.This custody can include the time from sample container
3.1.14 EPA—the United States Environmental Protection
acquisition through transportation, sample collection and labo-
Agency.
ratory analysis.
3.1.15 ESA—environmental site assessment.
3.1.7 chemical phases—the physical state of the chemical,
3.1.16 fate and transport characteristics—natural conse-
(that is; solid, liquid, vapor/gaseous). A chemical’s physical
quences that can be predicted based on the distinguishing
state can change from the one phase to another based on its
characteristics of a substance and the media which carry the
physical environment.
3.1.8 common law—as distinguished from law created by substance.
the enactment of legislatures, the common law comprises the
3.1.17 ground water—as defined byTerminology D653, the
body of those principles and rules of action, relating to the
part of the subsurface that is in the saturated zone. Loosely, all
government and security of persons and property, which derive
subsurface water as distinct from surface water.
their authority solely from usages and customs of immemorial
3.1.18 ground water flow—as defined by Terminology
antiquity, or from the judgments and decrees of the courts
D653, the movement of water in the zone of saturation.
recognizing, affirming and enforcing such usages and customs;
3.1.19 ground water flow direction—thecompassbearingof
and, in this sense, particularly the ancient unwritten law of
6 the movement of water in the zone of saturation (vertical and
England.
horizontal components of ground water flow).
3.1.9 cuttings—soil, rock chips, fragments or other material
3.1.20 hazardous substance—a substance defined as a haz-
that is brought to the surface by drilling or sampling, or both.
ardous substance pursuant to CERCLA, 42 U.S.C. § 9601(14),
3.1.10 disposal—as defined by CERCLAand interpreted by
as interpreted by EPA regulations and the courts. The term
EPA regulations, the discharge, deposit, injection, dumping,
spilling, leaking, or placing of any solid waste or hazardous includes any substance designated pursuant to section
waste into or on any land or water so that such solid waste or 311(b)(2)(A) of the Clean Water Act, 33 U.S.C.§
hazardous waste or any constituent thereof may enter the
1321(b)(2)(A
...