ASTM E1903-97

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.

General Information

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

Relations

• Replaced By: ASTM E1903-97(2002) - 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NOTICE: This standard has either been superceded and replaced by a new version or discontinued.
Contact ASTM International (www.astm.org) for the latest information.
Designation: E 1903 – 97
Standard Guide for
Environmental Site Assessments: Phase II Environmental
Site Assessment Process
This standard is issued under the fixed designation E 1903; 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 (e) indicates an editorial change since the last revision or reapproval.
1. Scope gathering reliable information about a property’s environmen-
tal conditions to guide the user’s business decisions. However,
1.1 This guide covers a framework for employing good
this guide does not purport to include the level of specificity
commercial and customary practices in conducting a Phase II
required of technical standards that govern full characterization
environmental site assessment (ESA) of a parcel of commercial
of a site’s environmental conditions.
property with respect to the potential presence of a range of
1.2 Objectives—The primary objectives of conducting a
contaminants which are within the scope of CERCLA as well
Phase II ESA are to evaluate the recognized environmental
as petroleum products.
conditions identified in the Phase I ESA or transaction screen
1.1.1 This guide is intended to provide practical procedural
process for the purpose of providing sufficient information
guidance for the continuation of an assessment conducted in
regarding the nature and extent of contamination to assist in
accordance with the most recent edition of Practice E 1527 or
making informed business decisions about the property; and
E 1528, or both. Practice E 1527 is the practice for conducting
where applicable, providing the level of knowledge necessary
Phase I ESAs for a parcel of commercial property and Practice
to satisfy the innocent purchaser defense under CERCLA.
E 1528 is the transaction screen practice. Both practices define
1.2.1 To achieve these objectives, it may be appropriate to
a process that is intended to constitute “all appropriate inquiry
perform more than a single iteration of assessment. The guide
into the previous ownership and uses of a property” to
fosters an iterative approach to Phase II assessments and allows
determine whether hazardous substances or petroleum products
the user to terminate the Phase II ESA at the point where
have been disposed or released there in order to satisfy one
sufficient data have been generated to meet the user’s objec-
element of the innocent purchaser defense to CERCLA liabil-
tives.
ity.
1.2.2 At the completion of a Phase II ESA, the environmen-
1.1.2 Because this guide for conducting Phase II ESAs
tal professional should be able to conclude, at a minimum, that
describes a process for further evaluating a parcel of commer-
either (a) the ESA has provided sufficient information to render
cial property with recognized environmental conditions, as
a professional opinion that there is no reasonable basis to
defined in Practices E 1527 and E 1528, users of this guide
suspect the presence of hazardous substances or petroleum
should understand the requirements and limitations of those
products at the property associated with the recognized envi-
practices. It is strongly recommended that the user refer to and
ronmental conditions under assessment, or (b) the ESA has
apply the guide in concert with Practices E 1527 and E 1528.
confirmed the presence of hazardous substances or petroleum
1.1.3 This guide has multiple purposes. It is intended to
products at the property under conditions that indicate disposal
provide assistance to users in satisfying the appropriate inquiry
or release. If the information developed in the ESA is insuffi-
element of CERCLA’s innocent purchaser defense, as defined
cient for the environmental professional to reach either of these
in 42 U.S.C. § 9601(35)(B), where a previous assessment
conclusions, the environmental professional may recommend
satisfying that element identified recognized environmental
additional iterations of assessment if warranted to meet the
conditions. This guide also is intended to assist a user in
objectives of the user. If the environmental professional rea-
sonably suspects that unconfirmed hazardous substance or
This guide is under the jurisdiction of ASTM Committee E-50 on Environ-
petroleum releases remain but concludes that further reason-
mental Assessment and is the direct responsibility of Subcommittee E50.02 on
able assessment is not expected to provide additional informa-
Commercial Real Estate Transactions.
Current edition approved Dec. 10, 1997. Published February 1998. tion of significant value, he may recommend that further
As used herein, a “Standard” is a document that has been developed and
assessment is not warranted. In such circumstances, the rec-
established within the consensus principles of the Society and that meets the
ommendation for no further assessment should be accompa-
approval requirements of ASTM procedures and regulations. A“ Guide” is a
nied by an explanation why a reasonable suspicion of releases
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
remains and why further reasonable assessment is not war-
approaches in a given subject area. A “Practice,” in contrast, is a definitive set of
ranted. Depending upon the work scope, the environmental
instructions for performing one or more specific operations that does not produce a
professional may also be able to provide guidance on the nature
test result. See Form and Style for ASTM Standards, 10th ed., 1996.
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NOTICE: This standard has either been superceded and replaced by a new version or discontinued.
Contact ASTM International (www.astm.org) for the latest information.
E 1903
and extent of contamination in order to assist the user in D 5730 Guide to Site Characteristics for Environmental
making business decisions regarding the property. Purposes With Emphasis on Soil, Rock, The Vadose Zone
3,4
1.2.3 This guide is intended to provide guidance for assess- and Ground Water
ing recognized environmental conditions and developing tech- D 653 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 D 4750 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 E 1527 Practice for Environmental Site Assessments:
defense may not be a realistic objective in some instances. Phase I
Accordingly, the extent of assessment is based on the business E 1528 Practice for Environmental Site Assessments:
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
3. Terminology
Phase II ESA conducted in accordance with this guide is to
3.1 Definitions:
assess and evaluate the recognized environmental conditions
3.1.1 aquifer—as defined in Terminology D 653, a geologic
identified in the Phase I ESA or Transaction Screen Process.
formation that is capable of providing a significant quantity of
1.3.1 The mere confirmation of contamination or the pre-
water.
liminary indication of the extent and magnitude of contamina-
3.1.2 ARARs—an acronym for “applicable or relevant and
tion may be sufficient for the purposes of many users. If a user
appropriate requirements,” a term used in CERCLA and
desires a more complete characterization of the environmental
interpreted by EPA regulations. Applicable requirements means
condition of the property, further assessment may be under-
“those cleanup standards, standards of control, and other
taken. However, this guide should not be construed to require
substantive requirements, criteria, or limitations promulgated
multiple iterations of assessments in all cases, either to
under federal environmental or state environmental or facility
establish the innocent purchaser defense or to meet other
siting laws that specifically address a hazardous substance,
objectives. Many Phase II ESAs may in fact be restricted to
pollutant, contaminant, remedial action, location, or other
only a single round of assessment, whatever the extent of
circumstance found at a CERCLA site”, 40 C.F.R. § 300.5.
contamination, if any, that might be revealed.
Relevant and appropriate requirements means “those cleanup
1.4 Limitations—The use of this guide is related to the
standards, standards of control, and other substantive require-
scope as set forth in Section 1. For information purposes,
ments, criteria, or limitations promulgated under federal envi-
Section 12 of this guide contains a non-exhaustive list of
ronmental or state environmental or facility siting laws that,
certain environmental conditions that are beyond the scope of
while not 8applicable’ to a hazardous substance, pollutant,
this guide but that may warrant consideration by parties to a
contaminant, remedial action, location, or other circumstance
commercial property transaction. This guide provides an ap-
at a CERCLA site, address problems or situations sufficiently
proach that may be employed to assess the environmental
similar to those encountered at the CERCLA site that their use
conditions listed in Section 12. Reference also should be made
is well suited to the particular site” 40 C.F.R. § 300.5.
to 4.1.
3.1.3 business decision—a decision based on various busi-
1.5 Organization of This Guide—This guide has twelve
ness risk management considerations relating to a specific
sections and one appendix. Section 1 is the Scope section.
property, such as a transfer of title or change in financing. Such
Section 2 is Referenced Documents. Section 3, Terminology,
considerations may also include the potential financial expo-
contains definitions of terms and acronyms used in this guide.
sure associated with environmental risks, the value of the
Section 4 is Significance and Use of this guide. Section 5 is
property compared with the cost of environmental assessment,
Contracting Considerations. Sections 6-11 constitute the main
and the participation and motivations of specific parties to the
body of the Phase II Environmental Site Assessment guide and
transaction (that is, owner, seller, buyer, lender, etc.).
include objectives (see Section 6), developing the scope of
3.1.4 CERCLA—the acronym for the Comprehensive Envi-
work (see Section 7), assessment activities (see Section 8),
ronmental Response, Compensation and Liability Act, 42
evaluation of data (see Section 9), interpretation of results (see
U.S.C.§ 9601, et seq., the primary federal statute that governs
Section 10) and recommended report preparation (see Section
the imposition of liability for environmental cleanups.
11). Section 12 provides additional information regarding
3.1.5 C.F.R.—Code of Federal Regulations.
non-scope considerations. Appendix X1 provides a sample
3.1.6 chain of custody—a written or printed form which is
table of contents and report format for a written Phase II
used to document sample possession, condition and responsi-
Environmental Site Assessment Report.
bility. This custody can include the time from sample container
2. Referenced Documents
acquisition through transportation, sample collection and labo-
ratory analysis.
2.1 The references in this Section are for informational
purposes. Although Phase II ESAs should utilize government-
Annual Book of ASTM Standards, Vol 04.08.
and industry-accepted practices and methods, this guide does
Guide D 5730 covers the selection of the various ASTM Standards that are
not recommend the use of specific practices in the implemen-
available for the investigation of soil, rock, the vadose zone, ground water, and other
tation of a Phase II ESA.
media where investigations have an environmental purpose.
2.2 ASTM Standards: Annual Book of ASTM Standards, Vol 11.04.
NOTICE: This standard has either been superceded and replaced by a new version or discontinued.
Contact ASTM International (www.astm.org) for the latest information.
E 1903
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. substance.
3.1.8 common law—as distinguished from law created by 3.1.17 ground water—as defined by Terminology D 653,
the enactment of legislatures, the common law comprises the the part of the subsurface that is in the saturated zone. Loosely,
body of those principles and rules of action, relating to the all subsurface water as distinct from surface water.
government and security of persons and property, which derive 3.1.18 ground water flow—as defined by Terminology
their authority solely from usages and customs of immemorial D 653, the movement of water in the zone of saturation.
antiquity, or from the judgments and decrees of the courts 3.1.19 ground water flow direction—the compass bearing of
recognizing, affirming and enforcing such usages and customs; the movement of water in the zone of saturation (vertical and
and, in this sense, particularly the ancient unwritten law of horizontal components of ground water flow).
England. 3.1.20 hazardous substance—a substance defined as a haz-
3.1.9 cuttings—soil, rock chips, fragments or other material ardous substance pursuant to CERCLA, 42 U.S.C. § 9601(14),
that is brought to the surface by drilling or sampling, or both. as interpreted by EPA regulations and the courts. The term
3.1.10 disposal—as defined by CERCLA and interpreted by includes any substance designated pursuant to section
EPA regulations, the discharge, deposit, injection, dumping, 311(b)(2)(A) of the Clean Water Act, 33 U.S.C.§
spilling, leaking, or placing of any solid waste or hazardous 1321(b)(2)(A); any element, compound, mixture, solution or
waste into or on any land or water so that such solid waste or substance designated pursuant to section 102 of CERCLA, 42
hazardous waste or any constituent thereof may enter the U.S.C. § 9602; any hazardous waste having the characteristics
environment or be emitted into the air or discharged into any identified under o
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