ASTM E1528-22

Standard Practice for Limited Environmental Due Diligence: Transaction Screen Process

SIGNIFICANCE AND USE
4.1 Uses—This practice sets forth a procedure for conducting limited environmental due diligence. This practice is intended for use on a voluntary basis by parties who wish to assess the environmental condition of a subject property where a Phase I Environmental Site Assessment is, initially, deemed to be unnecessary by the user and the parties do not seek CERCLA LLPs. This practice is intended primarily as a commercially prudent or reasonable approach to conducting an inquiry designed to identify potential environmental concerns in connection with a subject property.  
4.2 Clarifications on Use:  
4.2.1 Use Not Intended for CERCLA Liability Protection—This document is not intended to permit a user to satisfy CERCLA LLPs, that is, the practices that constitute all appropriate inquiries into the previous ownership and uses of the subject property consistent with “generally accepted good commercial and customary standards and practices” as defined in 42 U.S.C. §9601(35)(B).  
4.2.2 Transaction Screen Does Not Identify Recognized Environmental Conditions—This practice does not define a scope of assessment sufficient to identify recognized environmental conditions as defined in Practice E1527 and Practice E2247.  
4.2.3 Residential Tenants/Purchasers and Others—Although this practice is not intended for residential purposes, it may be used at the user’s discretion for residential tenants of multifamily residential buildings, tenants of single-family homes or other residential real estate, or purchasers of dwellings for residential use to conduct a transaction screen in connection with these transactions.  
4.2.4 Site-Specific—This practice is site-specific in that it relates to assessment of environmental conditions at a subject property. Consequently, this practice does not address many additional issues raised in transactions such as purchases of business entities, or interests therein, or of their assets, that may well involve environmental liabilities pertaini...
SCOPE
1.1 Purpose—The purpose of this practice is to define a good practice in the United States of America for conducting a transaction screen2 for a subject property where the user wishes to conduct limited environmental due diligence (that is, less than a  Phase I Environmental Site Assessment). If the driving force behind the environmental due diligence is a desire to qualify for one of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) Landowner Liability Protections (LLPs), this practice should not be applied. Instead, the ASTM E1527: Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process or ASTM E2247: Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property may be used.  
1.1.1 This practice will not satisfy the requirement to conduct all appropriate inquiries into the previous ownership and uses of the subject property consistent with “generally accepted good commercial and customary standards and practices” as defined in 42 U.S.C. §9601(35)(B) to qualify for one of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) Landowner Liability Protections (LLPs). Users who desire to conduct environmental due diligence to qualify for one of the CERCLA  LLPs should conduct assessment activities in conformity with “Standards and Practices for All Appropriate Inquiries,” 40 C.F.R. Part 312; ASTM E1527: Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process or ASTM E2247: Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property.  
1.2 An evaluation of business environmental risk associated with a parcel of commercial real estate may necessitate investigation beyond that identified in this practice. See Sections 1.4 and 9.  
1.2...

General Information

• Status: Published
• Publication Date: 30-Apr-2022
• 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

• Refers: ASTM E2247-23 - Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property
• Effective Date: 01-Nov-2023
• Refers: ASTM E2091-17 - Standard Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls
• Effective Date: 01-Nov-2017
• Refers: ASTM E2247-16 - Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property
• Effective Date: 01-Dec-2016
• Refers: ASTM E2091-11 - Standard Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls
• Effective Date: 01-May-2011
• Refers: ASTM E2247-08 - Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property
• Effective Date: 01-Jun-2008
• Refers: ASTM E1527-05 - Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process
• Effective Date: 01-Nov-2005
• Refers: ASTM E2091-05 - Standard Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls
• Effective Date: 01-May-2005
• Refers: ASTM E2247-02 - Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property
• Effective Date: 10-Nov-2002
• Refers: ASTM E1527-00 - Standard Practice for Environmental Site Assessments: Phase 1 Environmental Site Assessment Process
• Effective Date: 10-May-2000
• Refers: ASTM E2091-00 - Standard Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls
• Effective Date: 10-May-2000
• Refers: ASTM E1527-97 - Standard Practice for Environmental Site Assessments: Phase 1 Environmental Site Assessment Process
• Effective Date: 10-May-2000

Overview

ASTM E1528-22: Standard Practice for Limited Environmental Due Diligence: Transaction Screen Process offers a structured methodology for conducting limited environmental due diligence on commercial real estate. Developed and published by ASTM International, this standard is designed for parties who need to assess potential environmental risks on a property but do not require the comprehensive analysis of a Phase I Environmental Site Assessment. ASTM E1528-22 outlines steps to identify possible environmental concerns, helping users make informed commercial real estate decisions in a practical, cost-effective manner.

Importantly, use of this standard is voluntary and does not meet the requirements for CERCLA (Comprehensive Environmental Response, Compensation, and Liability Act) Landowner Liability Protections (LLPs). It is primarily suited for situations where such legal protection is not sought and where a basic environmental investigation is sufficient.

Key Topics

• Target Use Cases: Intended for commercial property transactions where a full Phase I ESA is initially deemed unnecessary. It may be used voluntarily for multifamily residential and other property types at the user's discretion.
• Scope Limitations:
  • Not suitable for satisfying CERCLA’s “all appropriate inquiries.” For properties requiring liability protection under CERCLA, refer to ASTM E1527 or E2247.
  • Does not establish a scope sufficient to identify all recognized environmental conditions.
  • Focuses solely on the subject property’s environmental condition; does not address broader business or entity transactions.
• Transaction Screen Process: Utilizes a standardized questionnaire and site visit to screen for potential environmental risks, including records review and site-specific observations.
• Identifies Potential, Not Recognized, Concerns: The process is designed to highlight areas needing further investigation, not to confirm the presence of recognized environmental conditions.

Applications

The ASTM E1528-22 Transaction Screen Process is utilized in scenarios where a limited, standardized approach to environmental due diligence offers practical value, such as:

• Property Transfers & Acquisitions: Buyers, tenants, owners, or lenders use the transaction screen to quickly assess if significant environmental concerns exist before proceeding with a deal.
• Loan Underwriting: Lenders may require a transaction screen as part of risk management for properties not suspected of historic or current heavy chemical use.
• Portfolio Property Review: Organizations with multiple properties can apply the process to prioritize locations that may require more comprehensive evaluation.
• Discretionary Use: While not designed for typical residential transactions, multifamily and single-family residential property users may use this standard at their discretion.

This standard is especially relevant for properties in rural, non-industrial, or undeveloped areas, or those expected to have few environmental risks. It offers a commercially reasonable approach for parties looking to make informed business decisions without the time and cost associated with a full Phase I ESA.

Related Standards

For broader or more rigorous due diligence, the following standards are referenced and should be considered:

• ASTM E1527 – Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process; required for CERCLA liability protection.
• ASTM E2247 – Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property.
• ASTM E2091 – Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls.
• CERCLA, RCRA & EPCRA – Key United States federal statutes governing environmental due diligence and compliance.

By following the guidance in ASTM E1528-22, organizations and individuals can conduct limited environmental due diligence with a clear, recognized methodology, reducing business risk and supporting responsible property transactions. For scenarios demanding more detailed risk assessment or regulatory protection, users should consult related ASTM standards and applicable legal requirements.

Standards Content (Sample)

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E1528 − 22
Standard Practice for
Limited Environmental Due Diligence: Transaction Screen
Process
This standard is issued under the fixed designation E1528; 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 1.2 An evaluation of business environmental risk associated
with a parcel of commercial real estate may necessitate
1.1 Purpose—The purpose of this practice is to define a
investigation beyond that identified in this practice. See Sec-
good practice in the United States ofAmerica for conducting a
tions 1.4 and 9.
transaction screen for a subject property where the user
1.2.1 Potential Environmental Concerns—The goal of con-
wishes to conduct limited environmental due diligence (that is,
ducting a transaction screen is to identify potential environ-
less than a Phase I Environmental Site Assessment). If the
mental concerns as defined in 3.2.36.
driving force behind the environmental due diligence is a
1.2.2 Other Federal, State, and Local Environmental
desire to qualify for one of the Comprehensive Environmental
Laws—Thispracticedoesnotaddressrequirementsofanystate
Response, Compensation, and Liability Act (CERCLA) Land-
or local laws or of any federal laws. Users are cautioned that
owner Liability Protections (LLPs), this practice should not be
federal, state, and local laws may impose environmental
applied. Instead, the ASTM E1527: Standard Practice for
assessment obligations that are beyond the scope of this
Environmental Site Assessments: Phase I Environmental Site
practice. In some cases, government agencies permit the use of
Assessment Process or ASTM E2247: Standard Practice for
this practice in connection with their programs but sometimes
Environmental Site Assessments: Phase I Environmental Site
impose additional requirements going beyond this practice.
Assessment Process for Forestland or Rural Property may be
Users should also be aware that there are likely to be other
used.
legal obligations with regard to chemicals of concern discov-
1.1.1 This practice will not satisfy the requirement to
eredon propertythatarenotaddressedinthispracticeandmay
conduct all appropriate inquiries into the previous ownership
pose risks of civil or criminal sanctions or both for non-
and uses of the subject property consistent with “generally
compliance.
accepted good commercial and customary standards and prac-
1.3 Objective—The objective guiding the development of
tices” as defined in 42 U.S.C. §9601(35)(B) to qualify for one
this practice is to facilitate standardized transaction screens.
of the Comprehensive Environmental Response,
1.3.1 Note of Caution—The user should be cautious in
Compensation, and Liability Act (CERCLA) Landowner Li-
applying this practice to properties with known current or
ability Protections (LLPs). Users who desire to conduct
historical handling of chemicals of concern. See Note 1.
environmental due diligence to qualify for one of the CERCLA
1.3.2 Potentially Appropriate Uses—This practice may be
LLPs should conduct assessment activities in conformity with
especially appropriate for properties in rural, non-industrial, or
“Standards and Practices for All Appropriate Inquiries,” 40
undeveloped locations or, subject to the criteria of a lending
C.F.R. Part 312;ASTM E1527: Standard Practice for Environ-
institution,inconnectionwithafinancingof propertiesthatare
mental Site Assessments: Phase I Environmental Site Assess-
expected to have few environmental concerns.
ment Process orASTM E2247: Standard Practice for Environ-
mental Site Assessments: Phase I Environmental Site NOTE 1—In general, a transaction screen assessment is not suitable for
purposes of evaluating environmental conditions of a property having
Assessment Process for Forestland or Rural Property.
activities that use, handle, store, or dispose of large volumes of chemicals,
either currently or in the past. Such activities include, but are not limited
to, manufacturing, vehicle fueling, dry cleaning, metal plating and
1 finishing, circuit board manufacturing, junkyard, and landfill activities
This practice is under the jurisdiction of ASTM Committee E50 on Environ-
which would prompt the need for further inquiry. Refuting the presump-
mental Assessment, Risk Management and Corrective Action and is the direct
tion of a potential environmental concern on such properties normally
responsibility of Subcommittee E50.02 on Real Estate Assessment and Manage-
requires the specialized knowledge and experience of an environmental
ment.
CurrenteditionapprovedMay1,2022.PublishedJuly2022.Originallyapproved professional completing a detailed environmental assessment such as a
ɛ1
in 1993. Last previous edition approved in 2014 as E1528– 14 . DOI: 10.1520/ Phase I Environmental Site Assessment.
E1528-22.
1.4 Considerations Beyond the Scope—The use of this
Whenevertermsdefinedin3.2ordescribedin3.3areusedinthispractice,they
are in italics. practice is strictly limited to the scope set forth in this section.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E1528 − 22
Section9ofthispracticeidentifies,forinformationalpurposes, Utilization,Investment,andLocalDevelopment(“Build”)
certain environmental conditions (not an all-inclusive list) that Act of 2018, 42 U.S.C. §§9601 et seq.
may exist on a subject property that are beyond the scope of EmergencyPlanningandCommunityRight-To-KnowActof
this practice but may warrant consideration by parties to a 1986 (“EPCRA”), 42 U.S.C. §§11001 et seq.
commercial real estate transaction. The need to include an Freedom of InformationAct, 5 U.S.C. §552, as amended by
investigation of any such conditions in the scope of services Public Law No. 104-231, 110 Stat. 3048
should be evaluated based upon, among other factors, the Resource Conservation and RecoveryAct (“RCRA”) (some-
nature of the subject property and the reasons for performing times also referred to as the Solid Waste DisposalAct), as
theassessment(forexample,amorecomprehensiveevaluation amended, 42 U.S.C §6901 et seq.
of business environmental risk) and should be agreed upon as
3. Terminology
additional services beyond the scope of this practice prior to
3.1 Scope—This section provides definitions, descriptions
initiation of the Transaction Screen Process.
of terms, and a list of acronyms for many of the words used in
1.5 Organization of This Practice—Thispracticehasseveral
this practice. The terms are an integral part of this practice and
partsandoneappendix.Section1istheScope.Section2refers
are critical to an understanding of this written practice and its
to other ASTM standards in the Referenced Documents.
use. In determining the meaning of any term used in this
Section 3, Terminology, has definitions of terms not unique to
practice, unless the context indicates otherwise, words refer-
this practice, descriptions of terms unique to this practice, and
encing the singular include and apply to multiple examples of
acronyms. Section 4 is Significance and Use of this practice.
the same thing; words referencing the plural include the
Section5istheIntroductiontothe Transaction Screen Process.
singular.
Section 6 sets forth the Transaction Screen Questionnaire
3.2 Definitions:
itself. Sections 7 and 8 contain the Guide to the Transaction
3.2.1 activity and use limitations (AULs), n—legal or physi-
Screen Questionnaire and its various parts. Section 9 provides
cal restrictions or limitations on the use of, or access to, a site
additional information regarding non-scope considerations.
or facility: (1) to reduce or eliminate potential exposure to
See 1.4.
chemicals of concern in the soil or ground water on a property,
1.6 This standard does not purport to address all of the
or (2) to prevent activities that could interfere with the
safety concerns, if any, associated with its use. It is the
effectiveness of a response action, in order to ensure mainte-
responsibility of the user of this standard to establish appro-
nance of a condition of no significant risk to public health or
priate safety, health, and environmental practices and deter-
the environment. These legal or physical restrictions, which
mine the applicability of regulatory limitations prior to use.
may include institutional controls or engineering controls,or
1.7 This international standard was developed in accor-
both, are intended to prevent adverse impacts to individuals or
dance with internationally recognized principles on standard-
populationsthatmaybeexposedto chemicals of concerninthe
ization established in the Decision on Principles for the
soil, soil vapor, or groundwater on a property.
Development of International Standards, Guides and Recom-
3.2.2 actual knowledge, n—the knowledge actually pos-
mendations issued by the World Trade Organization Technical
sessed by an individual who is a real person, rather than an
Barriers to Trade (TBT) Committee.
entity. Actual knowledge is to be distinguished from construc-
tive knowledge that is knowledge imputed to an individual or
2. Referenced Documents
entity.
2.1 ASTM Standards:
3.2.3 adjoining properties, n—any real property the border
E1527 Practice for Environmental SiteAssessments: Phase I
of which is contiguous or partially contiguous with that of the
Environmental Site Assessment Process
subject property, or that would be contiguous or partially
E2091 Guide for Use of Activity and Use Limitations,
contiguous with that of the subject property but for a street,
Including Institutional and Engineering Controls
road, or other public thoroughfare separating them.
E2247 Practice for Environmental SiteAssessments: Phase I
Environmental Site Assessment Process for Forestland or
3.2.4 aerial photographs, n—photographs taken from an
Rural Property
aerial platform with sufficient resolution to allow identification
of development and activities.
2.2 Federal Statutes:
Comprehensive Environmental Response, Compensation,
3.2.5 all appropriate inquiries (AAI), n—an inquiry con-
and Liability Act of 1980 (“CERCLA” or “Super-
ducted prior to the date of acquisition of the subject property
fund”), as amended by Superfund Amendments and Re-
constituting “all appropriate inquiries into the previous own-
authorization Act of 1986 (“SARA”), Small Business
ership and uses of the subject property consistent with good
Liability Relief and Brownfields Revitalization Act of
2002 (“Brownfields Amendments”), and the Brownfields
The term AUL is taken from theASTM Standard Guide E2091 to include both
legal (that is, institutional) and physical (that is, engineering) controls within its
scope. Other agencies, organizations, and jurisdictions may define or utilize these
terms differently (for example, EPAand California do not include physical controls
For referenced ASTM standards, visit the ASTM website, www.astm.org, or within their definitions of “institutional controls.” The Department of Defense and
contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM the International County/City Management Association use “Land Use Controls.”
Standards volume information, refer to the standard’s Document Summary page on The term “land use restrictions” is used but not defined in the Brownfields
the ASTM website. Amendments.
E1528 − 22
commercial and customary standards and practices” as defined exposure to chemicals of concern in the soil or groundwater on
in CERCLA, 42 U.S.C. §9601(35)(B), and the AAI rule, 40 a property. Engineering controls are a type of activity and use
C.F.R. Part 312, that will qualify a party to a commercial real limitation (AUL).
estate transaction for one of the threshold criteria for satisfying
3.2.15 environmental lien, n—a charge, security, or encum-
the LLPs to CERCLA liability (42 U.S.C. §§9601(35)(A) &
brance upon title to a property to secure the payment of a cost,
(B); §9607(b)(3), §9607(q), and §9607(r)), assuming compli-
damage, debt, obligation, or duty arising out of response
ance with other elements of the defense.
actions, cleanup, or other remediation of chemicals of concern
3.2.6 approximate minimum search distance, n—theareafor upon a property, including (but not limited to) liens imposed
pursuant to section 107(l) of CERCLA (42 U.S.C. §9607(l))
which records must be obtained and reviewed pursuant to the
records review section of this practice (8.9), subject to the and similar state or local laws.
limitations provided in that section. The term approximate
3.2.16 environmental professional, n—a person meeting the
minimum search distancemayincludeareasoutsidethe subject
education, training, and experience requirements as set forth in
property and shall be measured from the nearest subject
40 C.F.R. §312.10(b). The person may be an independent
property boundary. The term approximate minimum search
contractor or an employee of the user.
distance is used instead of radius to include irregularly shaped
3.2.17 ERNS list, n—EPA’s Emergency Response Notifica-
properties.
tion System list of reported CERCLA hazardous substance
3.2.7 chemicals of concern, n—means hazardous substances
releases or spills in quantities greater than the reportable
or petroleum products or any specific compounds and their
quantity, as maintained at the National Response Center.
breakdown products that are identified under federal environ-
Notification requirements for such releases or spills are codi-
mental laws, state cleanup programs, voluntary cleanup
fied in 40 C.F.R. Parts 302 and 355.
programs, or other state or federal corrective action laws or
3.2.18 fill material, n—dirt, soil, sand, earth, rock, concrete,
regulations as requiring a response action.
or other material that is obtained off-site that is used to fill
3.2.8 commercial real estate, n—any real property except a
holes or depressions, create mounds, or otherwise artificially
dwelling or property with no more than four dwelling units
change the grade or elevation of real property.
exclusively for residential use (except that a dwelling or
3.2.19 fire insurance maps, n—mapsoriginallyproducedfor
property with no more than four dwelling units exclusively for
fire insurance map purposes that indicate uses of properties at
residential use is included in this term when it has a commer-
specified dates.
cial function, as in the construction of such dwellings for
3.2.20 hazardous substance, n—a substance defined as a
profit). This term includes but is not limited to undeveloped
hazardous substance pursuant to section 101(14) of CERCLA,
real propertyandreal propertyusedforindustrial,retail,office,
(42 U.S.C. §9601(14)), as interpreted by EPA regulations (see
agricultural, other commercial, medical, or educational pur-
40 C.F.R. §302.4) and the courts: “(A) any substance desig-
poses; property used for residential purposes that has more
nated pursuant to section 311(b)(2)(A) of the Federal Water
than four residential dwelling units; and property with no more
Pollution Control Act, (B) any element, compound, mixture,
than four dwelling units for residential use when it has a
solution, or substance designated pursuant to section 102 of
commercial function, as in the construction of such dwellings
this Act, (C) any hazardous waste having the characteristics
for profit.
identified under or listed pursuant to section 3001 of [RCRA]
3.2.9 demolition or construction debris, n—concrete, brick,
(but not including any waste the regulation of which under
asphalt, and other such building materials discarded in the
[RCRA] has been suspended by Act of Congress), (D) any
demolition, construction, or renovation of a building or other
toxic pollutant listed under section 307(a) of the Federal Water
improvement to property.
Pollution Control Act, (E) any hazardous air pollutant listed
3.2.10 drum, n—a container (typically, but not necessarily, undersection112oftheCleanAirAct,and(F)anyimminently
holding 55 gal [208 L] of liquid) that may be used to store hazardouschemicalsubstanceormixturewithrespecttowhich
chemicals of concern. theAdministrator[ofEPA]hastakenactionpursuanttosection
7 of the Toxic Substances Control Act. The term does not
3.2.11 dry wells, n—underground areas where soil has been
include petroleum, including crude oil or any fraction thereof
removed and replaced with pea gravel, coarse sand, or large
which is not otherwise specifically listed or designated as a
rocks for purposes of providing drainage or spill control.
hazardous substance under subparagraphs (A) through (F) of
3.2.12 due diligence, n—the process of inquiring into the
this paragraph, and the term does not include natural gas,
environmental characteristics of a parcel of commercial real
natural gas liquids, liquefied natural gas, or synthetic gas
estate or other conditions, usually in connection with a
usable for fuel (or mixtures of natural gas and such synthetic
commercial real estate transaction.The degree and kind of due
gas).”
diligence vary for different properties and differing purposes.
3.2.21 hazardous waste, n—any solid waste having the
3.2.13 dwelling, n—structure or portion thereof used for
characteristics identified under or listed pursuant to section
residential habitation.
3001 of RCRA, as amended, (42 U.S.C. §6921) (but not
3.2.14 engineering controls, n—physical modifications to a including any waste the regulation of which under RCRA (42
site or facility (for example, capping, slurry walls, or point of U.S.C. §6901 et seq.) has been suspended byAct of Congress).
use water treatment) to reduce or eliminate the potential for RCRAissometimesalsoidentifiedastheSolidWasteDisposal
E1528 − 22
Act. RCRA defines a hazardous waste, in section 1003 (42 not include petroleum, including crude oil or any fraction
U.S.C. §6903), as: “a solid waste, or combination of solid thereof which is not otherwise specifically listed or designated
wastes, which because of its quantity, concentration, or asa hazardous substanceunderSubparagraphs(A)through(F)
physical, chemical, or infectious characteristics may—(A) of this paragraph, and the term does not include natural gas,
cause, or significantly contribute to an increase in mortality or natural gas liquids, liquefied natural gas, or synthetic gas
an increase in serious irreversible, or incapacitating reversible, usable for fuel (or mixtures of natural gas and such synthetic
illness; or (B) pose a substantial present or potential hazard to gas).”
human health or the environment when improperly treated,
3.2.33 petroleum products, n—those substances included
stored, transported, or disposed of, or otherwise managed.”
withinthemeaningofthetermswithinthe petroleum exclusion
SomestatesdefinethetermmorebroadlythandoestheFederal
to CERCLA (42 U.S.C. §9601(14)), as interpreted by the
government under RCRA.
courts and EPA, that is: petroleum, including crude oil or any
fraction thereof that is not otherwise specifically listed or
3.2.22 institutional controls (ICs), n—a legal or administra-
tivemechanismdesignedtolimit,prohibit,orconditiontheuse designated as a hazardous substance under Subparagraphs (A)
of, or access to a site or facility (for example, restrictive through (F) of 42 U.S.C. §9601(14), natural gas, natural gas
covenants, environmental covenants, easements, and zoning) liquids, liquefied natural gas, and synthetic gas usable for fuel
to eliminate or minimize potential exposure to chemicals of (or mixtures of natural gas and such synthetic gas). (The word
concern. Institutional controls are a type of activity and use fraction refers to certain distillates of crude oil, including
limitation (AUL). gasoline, kerosene, diesel oil, jet fuels, and fuel oil, pursuant to
Standard Definitions of Petroleum Statistics. )
3.2.23 landfill, n—a place, location, tract of land, area, or
premises used for the disposal of solid wastes as defined by 3.2.34 Phase I Environmental Site Assessment, n—the pro-
cess described in Practice E1527 (covering commercial real
state solid waste regulations. The term is synonymous with the
term solid waste disposal site or facility and may also be estate) and Practice E2247 (covering forestland or rural prop-
erties).
known as a garbage dump, trash dump, or similar term.
3.2.24 Landowner Liability Protections (LLPs), 3.2.35 pits, ponds, or lagoons, n—man-made or natural
depressions in a ground surface that may hold or have held
n—Landowner liability protections under CERCLA pursuant
to the Small Business Liability Relief and Brownfields Revi- liquids or sludge containing chemicals of concern that may be
evidenced by factors including, but not limited to, discolored
talizationActamendmentstoCERCLA(42U.S.C.§§9601(35)
& 9607(b)(3)); these protections include the bona fide prospec- water, distressed vegetation, or the presence of an obvious
wastewater discharge.
tive purchaser liability protection, contiguous property owner
liability protection, and innocent landowner defense from
3.2.36 potential environmental concerns, n—the possible
CERCLA liability.
presence of any chemicals of concern on a subject property
under conditions that indicate the possibility of an existing
3.2.25 local street directories, n—directories published by
private (or government) sources that list the occupants of a release, a past release, or a threat of a future release of any
chemicals of concern into structures on the subject property or
specific address at the time the occupant data were collected,
typically within a year of the publication date of the directory. into the ground, groundwater, or surface water of the subject
property. The term includes chemicals of concern even under
3.2.26 major occupants, n—those tenants, subtenants, or
conditions in compliance with laws. (Note that “threat of
otherpersonsorentitieseachofwhichusesatleast40 %ofthe
release” is a CERCLA concept generally understood to exist
leasable area of the subject propertyor any anchor tenant when
when chemicals of concern are poorly managed [for example
the subject property is a shopping center.
in corroded tanks or damaged containers] but the release of the
3.2.27 National Priorities List (NPL), n—list compiled by
contaminants has not yet occurred, and there is an opportunity
EPA pursuant to CERCLA (42 U.S.C. §9605(a)(8)(B)) of
to take response action to prevent a release of the contami-
properties with the highest priority for cleanup pursuant to
nants.)
EPA’s hazard ranking system. See 40 C.F.R. Part 300.
3.2.37 preparer, n—the person preparing the transaction
3.2.28 obvious, n—that which is plain or evident; a condi-
screen questionnaire pursuant to this practice, who may be
tion or fact that could not be ignored or overlooked by a
eitherthe userorthepersontowhomthe userhasdelegatedthe
reasonable observer.
preparation. See 4.3. In selecting options permitted by the
Transaction Screen, preparers should satisfy themselves that
3.2.29 occupants, n—those tenants, subtenants, or other
they are qualified to undertake the analysis contemplated by
persons or entities using a property or a portion of a property.
that option. Unless otherwise agreed to by the user and the
3.2.30 operator, n—the person responsible for the overall
preparer, it is not the responsibility of the preparer to draw
operation of a facility.
conclusions regarding affirmative, not applicable (N/A), or
3.2.31 owner, n—generally the fee owner of record of a
unknown answers. See 4.3 and 5.7.
property.
3.2.32 petroleum exclusion, n—the exclusion from CER-
CLA liability provided in 42 U.S.C. §9601(14), as interpreted
Standard Definitions of Petroleum Statistics, American Petroleum Institute,
by the courts and EPA: “The term (hazardous substance ) does Fifth Edition, 1995.
E1528 − 22
3.2.38 property, n—real property including buildings and cesses including, but not limited to, the manufacture of paints
other fixtures and improvements located on and affixed to the and coatings for industrial and household purposes, equipment
land. clean-up, surface degreasing in metal fabricating industries,
and dry cleaning of fabrics.
3.2.39 publicly available, adj—information that is publicly
available means that the source of the information allows 3.2.49 subject property, n—the property that is the subject
access to the information by anyone upon request. of the transaction screen process described in this practice.
3.2.50 sump, n—a pit, cistern, cesspool, or similar recep-
3.2.40 RCRA generators, n—those persons or entities that
tacle where liquids drain, collect, or are stored.
generate hazardous wastes,asdefinedandregulatedbyRCRA.
3.2.51 transaction screen questionnaire, n—the question-
3.2.41 RCRA TSD Facilities, n—those facilities on which
naire set forth in Section 6 of this practice.
treatment,storage,ordisposalof hazardous wastestakesplace,
as defined and regulated by RCRA.
3.2.52 transaction screen process (transaction screen),
n—the process described in Practice E1528 whereby a person
3.2.42 reasonably ascertainable, adj—information that is
or entity seeks to determine if a particular parcel of real
(1) publicly available, (2) obtainable from its source within
property (including improvements) is subject to potential
reasonable time and cost constraints, and (3) practically re-
environmental concerns.
viewable.
3.2.42.1 Discussion—Information that is “practically re-
3.2.53 underground storage tank (UST), n—any tank, in-
viewable”meansthattheinformationisprovidedbythesource
cluding underground piping connected to the tank, that is or
in a manner and in a form that, upon examination, yields
has been used to contain chemicals of concern and the volume
information relevant to the subject property without the need
of which is 10 % or more beneath the surface of the ground.
for extraordinary analysis of irrelevant data. “Reasonable time
3.2.54 user, n—the party seeking to use the transaction
and cost constraints” refers to the availability of the informa-
screen process of this practice to conduct limited environmen-
tion from its source without undue delay and at nominal cost
tal due diligence of the subject property.
reflective of the cost of retrieving and duplicating the informa-
3.2.54.1 Discussion—A user may include, without
tion. For additional information on the meaning of “reasonable
limitation, a potential purchaser of the subject property,a
time and cost constraints” and “practically reviewable” in the
potential tenant of the subject property,an owner, occupant,or
context of a Phase I Environmental Site Assessment, see
operator of the of the subject property, a lender, or a property
Practice E1527-21 at 3.2.77 and 8.1.5.
manager. It is the user’s responsibility to draw conclusions
3.2.43 records review, n—that part of the transaction screen
regarding affirmative answers (see 5.7).
that is contained in 8.9 and 8.10 of this practice and addresses
3.2.55 visually or physically observed, or both, n—during a
which records shall or may be reviewed.
sitevisitpursuanttothispractice,thistermmeansobservations
3.2.44 release, n—a release of any chemicals of concern
made by visual, auditory, or olfactory means, or combinations
shall have the same meaning as the definition of “release”in thereof.
CERCLA, 42 U.S.C. §9601(22).
3.2.56 wastewater, n—water that (1) is or has been used in
3.2.45 response actions, n—actions to respond or a an industrial or manufacturing process, (2) conveys or has
response, as those terms are defined in CERCLA§101(25), 42
conveyed sewage, or (3) is directly related to manufacturing,
U.S.C §9601(25), to releases of hazardous substances. processing,orrawmaterialsstorageareasatanindustrialplant.
Generally, response actions operate as an umbrella term to
Wastewater does not include water originating on or passing
cover any type of hazardous substance cleanup at a property, throughoradjacenttoasite,suchasstormwaterflows,thathas
including “removal actions” and “remedial actions” as those
not been used in industrial or manufacturing processes, has not
terms are defined in CERCLA §101(23)-(24), 42 U.S.C. been combined with sewage, or is not directly related to
§9601(23)-(24). Response actions also cover corrective action manufacturing, processing, or raw materials storage areas at an
measures, including risk-based corrective action measures, industrial plant.
taken to address chemicals of concerns in general, or under
3.3 Acronyms and Abbreviations:
state cleanup programs or voluntary cleanup programs.
3.3.1 AST—aboveground storage tank.
3.2.46 site visit, n—the visit to the property during which
3.3.2 AULs—Activity and Use Limitations.
observations are made constituting the site visit requirement of
3.3.3 CERCLA—Comprehensive Environmental Response,
this practice.
Compensation and Liability of 1980 Act (as amended, 42
3.2.47 solid waste disposal site or facility, n—a place,
U.S.C. §9601 et seq.).
location, tract of land, area, or premises used for the landfill
3.3.4 C.F.R.—Code of Federal Regulations.
disposal of solid wastes as defined by state solid waste
3.3.5 EC—Engineering Controls.
regulations. A solid waste disposal site or facility may also be
known as a landfill, a garbage dump, trash dump, or similar 3.3.6 EPA—United States Environmental Protection
term.
Agency.
3.2.48 solvent, n—a chemical compound that is capable of 3.3.7 EPCRA—Emergency Planning and Community Right
dissolving another substance and may itself be a chemical of to Know Act (also known as SARA Title III), (42 U.S.C.
concern used in a number of manufacturing/industrial pro- §11001 et seq.).
E1528 − 22
3.3.8 ERNS—Emergency Response Notification System. may well involve environmental liabilities pertaining to prop-
erties previously owned or operated or other off-site environ-
3.3.9 FOIA—U.S. Freedom of Information Act (5 U.S.C.
mental liabilities.
§552 et seq.).
4.3 Who May Conduct—The transaction screen process
3.3.10 IC—Institutional Controls.
may be conducted by the user, or some other person, including
3.3.11 LLP—Landowner Liability Protections under CER-
environmental consultants, lenders, brokers, appraisers,
CLA.
corporations, lawyers, government agencies (civilian and
3.3.12 LUST—leaking underground storage tank.
military), or any other party looking to screen environmental
3.3.13 NFRAP—sites where no further remedial action is
propertyrisk.The transaction screen processcanbeperformed
planned under CERCLA.
by but does not require the judgment of an environmental
professional.Ifan environmental professional is contracted to
3.3.14 NPL—National Priorities List.
prepare a transaction screen questionnaire, nothing in this
3.3.15 PCBs—polychlorinated biphenyls.
practice requires the professional to develop opinions and
3.3.16 RCRA—Resource Conservation and Recovery Act
conclusions. Some government programs permit use of this
(as amended, 42 U.S.C. §6901 et seq.).
practice when combined with an additional requirement for
3.3.17 SARA—SuperfundAmendments and Reauthorization
professional opinions or conclusions or both. Nothing in this
Act of 1986 (amendment to CERCLA; also contains law not
practice precludes a user from contracting with any person
part of CERCLA).
identified herein for mutually agreed upon additional services.
3.3.18 U.S.C.—United States Code.
4.4 Inquiry Beyond the Transaction Screen Process—If
3.3.19 UST—underground storage tank.
further inquiry is needed after performance of the transaction
screen process, the user should determine, in the exercise of
4. Significance and Use
the user’s reasonable business judgment, whether further
4.1 Uses—This practice sets forth a procedure for conduct-
inquiry may be limited to those specific issues identified as of
ing limited environmental due diligence. This practice is concern or should proceed to further inquiry (see 5.9).
intended for use on a voluntary basis by parties who wish to
4.5 No transaction screen can wholly eliminate uncertainty
assess the environmental condition of a subject property where
regarding potential environmental concerns in connection with
a Phase I Environmental Site Assessment is, initially, deemed
a subject property.
to be unnecessary by the user and the parties do not seek
4.5.1 Not every property will warrant the use of a limited
CERCLA LLPs. This practice is intended primarily as a
environmental assessment such as the transaction screen. The
commercially prudent or reasonable approach to conducting an
appropriate use of the transaction screen will be guided by the
inquiry designed to identify potential environmental concerns
type of property subject to assessment, the expertise and risk
in connection with a subject property.
tolerance of the user, and the information developed in the
4.2 Clarifications on Use:
course of the inquiry.
4.2.1 Use Not Intended for CERCLA Liability Protection—
4.5.2 Transaction screens must be evaluated based on the
This document is not intended to permit a user to satisfy
reasonableness of judgments made at the time and under the
CERCLA LLPs, that is, the practices that constitute all
circumstances in which they were made. Subsequent environ-
appropriate inquiries into the previous ownership and uses of
mental site assessments or transaction screens should not be
the subject property consistent with “generally accepted good
considered valid standards to judge the appropriateness of any
commercial and customary standards and practices” as defined
prior assessment based on hindsight, new information, use of
in 42 U.S.C. §9601(35)(B).
developing technology or analytical techniques, or other fac-
4.2.2 Transaction Screen Does Not Identify Recognized
tors.
Environmental Conditions—This practice does not define a
4.6 Continued Viability of Transaction Screen—A transac-
scope of assessment sufficient to identify recognized environ-
tion screen meeting or exceeding this practice and completed
mental conditions as defined in Practice E1527 and Practice
more than 180 days previously may be used to the extent
E2247.
allowed by 4.6.1 and 4.6.2.
4.2.3 Residential Tenants/Purchasers and Others—
Although this practice is not intended for residential purposes, 4.6.1 Subject to 4.6.2, a prior transaction screen or other
it may be used at the user’s discretion for residential tenants of due diligence may be used in its entirety or as an information
multifamily residential buildings, tenants of single-family source if, in the reasonable judgment of the user, the prior
homes or other residential real estate, or purchasers of dwell- transaction screen or other due diligence meets or exceeds the
requirements of this practice and the conditions at the subject
ings for residential use to conduct a transaction screen in
connection with these transactions. property likely to affect potential environmental concerns in
4.2.4 Site-Specific—This practice is site-specific in that it connection with the subject property are not likely to have
relates to assessment of environmental conditions at a subject changed materially since the last transaction screen or other
property. Consequently, this practice does not address many due diligence was conducted. In making this judgment, the
additional issues raised in transactions such as purchases of user should consider the type of property assessed and the
business entities, or interests therein, or of their assets, that conditions in the area surrounding the subject property.
E1528 − 22
NOTE 2—Some government programs and some lenders allow the use NOTE 3—Tasks may be conducted in any order, but it may be helpful to
of a transaction screen completed within the prior 12 months. conduct a review of governmental records and historical resources
information before the site visit so the preparer is alerted in advance
4.6.2 If the user, or any other preparer conducting a
regarding known release conditions, permitted chemical storage, and past
transaction screen has actual knowledge that the information
uses that may have potential environmental impacts.
being used from a prior transaction screen is no longer
5.2 Introduction to Transaction Screen Questionnaire:
accurateorifitis obvious,basedonotherinformationobtained
5.2.1 Transaction Screen Questionnaire Part A—The trans-
by means of the transaction screen or known to the person
action screen process begins with the preparer requesting
conducting the transaction screen, that the information being
owners, occupants, and operators of the subject property to
used is not accurate at the time of the current transaction
complete Part A of the transaction screen questionnaire.
screen, such information from a prior transaction screen may
5.2.1.1 The following people are to complete their own
not be used.
copy of PartAof the transaction screen questionnaire: (1) the
4.7 The contractual and legal obligations between a pre-
current owner of the subject property; (2) any major occupant
parer and a user (and other parties, if any) are beyond the
of the subject property or, if the subject property does not have
scope of this practice.
any major occupants, at least 10 % of the occupants of the
4.7.1 The contractual and legal obligations between prior
subject property; and (3) in addition to the current owner and
and subsequent users of transaction screens or between those
the occupants and operators identified in (2), any occupant or
who conducted prior transaction screens and those who would
operator likely to be using, treating, generating, storing, or
like to use such prior transaction screens are beyond the scope
disposing of chemicals of concern on or from the subject
of this practice.
property.Amajor occupantisany occupantusingatleast40 %
oftheleasableareaofthe subject propertyoranyanchortenant
4.8 If the user is aware of any specialized knowledge or
when the subject property is a shopping center.
experience that is material to potential environmental concerns
5.2.1.2 For a subject property containing both residential
in connection with the subject property, and the preparer is not
and commercial uses, residential occupants are not required to
the user,itisthe user’s responsibility to communicate any
complete a questionnaire but may at the user’s discretion (see
information based on such specialized knowledge or experi-
4.2.3).
encetothe preparer.The usershoulddosobeforethe preparer
5.2.1.3 The preparer may need to facilitate the owner,
conducts the site visit.
occupant, and operator response process by obtaining their
5. Introduction to Transaction Screen Process
respective answers via an interview conducted electronically
(for example, telephone, email, et al.) prior to the site visit or
5.1 Process—The transaction screen questionnaire is di-
an in-person interview during the site visit. The preparer may
vided into two parts, PartA(6.1) and Part B (6.2). PartAis to
also need to assist the owner, occupant, and operator respon-
be completed by owners, occupants, and operators of the
dents by completing the descriptions of the subject property
subject property. Part B is to be completed by the preparer.
and adjoining properties.
The preparer is the person conducting the transaction screen,
5.2.1.4 The preparer should ask each respondent to answer
usually the user or the user’s designated agent. Following is a
all questions to the best of the respondent’s actual knowledge
summary of required tasks for the transaction screen process:
and in good faith.
5.1.1 Preparer provides Part A of the transaction screen
5.2.2 Transaction Screen Questionnaire Part B—Following
questionnaire to the owner, occupant, and operator of the
the preparer’sreceiptofcopiesofPartAwith owner, occupant,
subject property if these parties are not the same as the
and operator responses, the preparer completes Part B of the
preparer (see 5.2.1 and its subsections).
transaction screen questionnaire.
5.1.2 Preparer completes Part B of the transaction screen
5.2.2.1 The preparer must complete a site visit to observe
questionnaire (see 5.2.2 and its subsections) including these
the subject property including the interior and exterior of any
tasks:
buildings and other structures on the subject property, and
5.1.2.1 Preparer completes a site visit and observes the
make brief observations of adjoining properties.
subject property for environmental conditions and features. A
5.2.2.2 Part B requires the preparer to conduct limited
brief observation of adjoining properties is also performed;
research regarding certain governmental records and certain
5.1.2.2 Preparer interviews subject property owner,
standard historical resources, to the extent these documents are
occupant,or operator.Interviewsmaybeperformedduringthe
reasonably ascertainable.
site visit;
5.1.2.3 Preparer reviews certain governmental records; and
5.3 Guide to the Transaction Screen Questionnaire—The
5.1.2.4 Preparer reviews certain historical resource infor- transaction screen questionnaire is followed by a guide de-
mation.
signed to assist the person completing the transaction screen
5.1.3 Preparer assembles Parts A and B of the transaction questionnaire. The guide to the transaction screen question-
screen questionnaire and provides the completed question-
naire is set forth in Section 8.
naires to the user.
5.3.1 To assist the user, its employee or agent, or the
preparer in completing the transaction screen questionnaire,
the guide repeats each of the questions set out in the transac-
Available from ASTM International Headquarters. Order Adjunct No.
tion screen questionnaire in both the guide for owner/
ADJE152822-E-PDF. Original adjunct produced in 2000. Adjunct last revised in
2022. occupant/operator inquiry and the guide to site visit. The
E1528 − 22
questions for the preparer completing the governmental ate it in light of the other information obtained in the
records/historical resources inquiries are also repeated in the transaction screen process, including, in particular, the site
guide to that section. visit and the governmental records/historical resources inquiry.
5.3.2 Theguidealsodescribestheprocedurestobefollowed If the user decides no further inquiry is warranted after
to determine if reliance upon the information in a prior receiving no response or an affirmative answer, the user must
transaction screen is appropriate under this practice. document the reasons for any such conclusion.
5.7.1 Upon obtaining an affirmative (“yes”) answer or no
5.3.3 A user, his employee or agent, or preparer conducting
the transaction screen process should not use the transaction response,the usershouldfirstrefertotheguide.Theguidemay
provide sufficient explanation to allow a user to conclude that
screen questionnaire without reference to or without familiar-
ity with the guide based on prior use of the guide. no further inquiry is appropriate with respect to the particular
question.
5.4 The user may either conduct the transaction screen
5.7.2 If the guide to a particular question does not, in itself,
process, or delegate it to an employee or agent or may contract
permit a user to conclude that no further inquiry is appropriate,
with a third party to prepare the questionnaire on behalf of the
then the user should consider other information obtained from
user. No matter who prepares the questionnaire, the user
the transaction screen process relating to this question. For
remains responsible for the decision to conduct limited envi-
example,whileonthesiteperforminga site visit,apersonmay
ronmental due diligence and the impact of that decision on
findastoragetankonthe subject propertyandthereforeanswer
management of environmental risks.
Question 4.2 of the transaction screen questionnaire in the
5.5 The preparer conducting the transaction screen process
affirmative. However, during or subsequent to the owner/
should use good faith efforts in determining answers to the
occupant/operator inquiry, the owner may establish that sub-
questions set forth in the transaction screen questionnaire.The
stances now or historically contained in the tank (for example,
user should take time and care to check whatever records are
water) are not likely to cause contamination.
in the user’s possession and forward relevant infor
...

This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
´1
Designation: E1528 − 14 E1528 − 22
Standard Practice for
Limited Environmental Due Diligence: Transaction Screen
Process
This standard is issued under the fixed designation E1528; 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.
ε NOTE—Question 21 of the Transaction Screen Questionnaire (see Section 6) and footnote 6 were editorially corrected
in January 2017.
1. Scope
1.1 Purpose—The purpose of this practice is to define a good practice in the United States of America for conducting a
transaction screen for a parcel of commercial real estatesubject property where the user wishes to conduct limited environmental
due diligence (that is, less than a Phase I Environmental Site Assessment). If the driving force behind the environmental due
diligence is a desire to qualify for one of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
Landowner Liability Protections (LLPs), this practice should not be applied. Instead, the ASTM E1527: Standard Practice for
Environmental Site Assessments: Phase I Environmental Site Assessment Process or ASTM E2247: Standard Practice for
Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural Property may be used.
1.1.1 This practice will not satisfy the requirement to conduct all appropriate inquiries into the previous ownership and uses
of the subject property consistent with “generally accepted good commercial and customary standards and practices” as defined
in 42 U.S.C. §9601(35)(B) to qualify for one of the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA) Landowner Liability Protections (LLPs). Users who desire to conduct environmental due diligence to qualify for one
of the CERCLALLPs should conduct assessment activities in conformity with “Standards and Practices for All Appropriate
Inquiries,” 40 C.F.R. Part 312,312; ASTM E1527: Standard Practice for Environmental Site Assessments: Phase I Environmental
Site Assessment Process or ASTM E2247: Standard Practice for Environmental Site Assessments: Phase I Environmental Site
Assessment Process for Forestland or Rural Property.
1.2 An evaluation of business environmental risk associated with a parcel of commercial real estate may necessitate
investigation beyond that identified in this practice. See Sections 1.4 and 119.
1.2.1 Potential Environmental Concerns—The goal of conducting a transaction screen is to identify potential environmental
concerns, concerns as defined in 3.2.353.2.36.
1.2.2 Other Federal, State, and Local Environmental Laws—This practice does not address requirements of any state or local
laws or of any federal laws. Users are cautioned that federal, state, and local laws may impose environmental assessment
obligations that are beyond the scope of this practice. In some cases, government agencies permit the use of this practice in
connection with their programs but sometimes impose additional requirements going beyond this practice. Users should also be
aware that there are likely to be other legal obligations with regard to hazardous substanceschemicals of concern or petroleum
productsdiscovered on property that are not addressed in this practice and may pose risks of civil and/oror criminal sanctions or
both for non-compliance.
1.3 Objective—The objective guiding the development of this practice is to facilitate standardized transaction screens.
1.3.1 Note of Caution—The user should be cautious in applying this practice to properties with known current or
historichistorical handling of hazardous substanceschemicals of orconcern. petroleum productsSee Note 1.
1.3.2 Potentially Appropriate Uses—This practice may be especially appropriate for properties in rural, non-industrial, or
undeveloped locations or, subject to the criteria of a lending institution, in connection with a financing of properties that are
expected to have few environmental concerns.
NOTE 1—In general, a transaction screen assessment is not suitable for purposes of evaluating environmental conditions of a property having activities
This practice is under the jurisdiction of ASTM Committee E50 on Environmental Assessment, Risk Management and Corrective Action and is the direct responsibility
of Subcommittee E50.02 on Real Estate Assessment and Management.
Current edition approved Jan. 15, 2014May 1, 2022. Published February 2014July 2022. Originally approved in 1993. Last previous edition approved in 20062014 as
ɛ1
E1528– 06.– 14 . DOI: 10.1520/E1528-14E01.10.1520/E1528-22.
Whenever terms defined in 3.2 or described in 3.3 are used in this practice, they are in italics.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E1528 − 22
that use, handle, store, or dispose of large volumes of chemicals, either currently or in the past. Such activities include, but are not limited to,
manufacturing, vehicle fueling, dry cleaning, metal plating and finishing, circuit board manufacturing, junkyard, and landfill activities which would
prompt the need for further inquiry. Refuting the presumption of a potential environmental concern on such properties normally requires the specialized
knowledge and experience of an environmental professional completing a detailed environmental assessment such as a Phase I Environmental Site
Assessment.
1.4 Considerations Beyond the Scope—The use of this practice is strictly limited to the scope set forth in this section. Section
119 of this practice identifies, for informational purposes, certain environmental conditions (not an all-inclusive list) that may exist
on a subject property that are beyond the scope of this practice but may warrant consideration by parties to a commercial real estate
transaction. The need to include an investigation of any such conditions in the scope of services should be evaluated based upon,
among other factors, the nature of the subject property and the reasons for performing the assessment (for example, a more
comprehensive evaluation of business environmental risk) and should be agreed upon as additional services beyond the scope of
this practice prior to initiation of the Transaction Screen Process.
1.5 Organization of This Practice—This practice has several parts and one appendix. Section 1 is the Scope. Section 2 refers
to other ASTM standards in the Referenced Documents. Section 3, Terminology, has definitions of terms not unique to this practice,
descriptions of terms unique to this practice, and acronyms. Section 4 is Significance and Use of this practice. Section 5 is the
Introduction to the Transaction Screen Questionnaire.Process. Section 6 sets forth the Transaction Screen Questionnaire itself.
Sections 7 –and 810 contain the Guide to the Transaction Screen Questionnaire and its various parts. Section 119 provides
additional information regarding non-scope considerations. See 1.4.
1.6 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility
of the user of this standard to establish appropriate safety safety, health, and healthenvironmental practices and determine the
applicability of regulatory limitations prior to use.
1.7 This international standard was developed in accordance with internationally recognized principles on standardization
established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued
by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
2. Referenced Documents
2.1 ASTM Standards:
E1527 Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process
E2091 Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls
E2247 Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process for Forestland or Rural
Property
2.2 Federal Statutes:
Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (“CERCLA” or “Superfund”), as amended
by Superfund Amendments and Reauthorization Act of 1986 (“SARA”) and (“SARA”), Small Business Liability Relief and
Brownfields Revitalization Act of 2002 (“Brownfields Amendments”), and the Brownfields Utilization, Investment, and Local
Development (“Build”) Act of 2018, 42 U.S.C. §§9601 et seq.
Emergency Planning and Community Right-To-Know Act of 1986 (“EPCRA”), 42 U.S.C. §§11001 et seq.
Freedom of Information Act, 5 U.S.C. §552, as amended by Public Law No. 104-231, 110 Stat. 3048
Resource Conservation and Recovery Act (“RCRA”) (sometimes also referred to as the Solid Waste Disposal Act), as amended
(“RCRA”), amended, 42 U.S.C §6901 et seq.
3. Terminology
3.1 Scope—This section provides definitions, descriptions of terms, and a list of acronyms for many of the words used in this
practice. The terms are an integral part of this practice and are critical to an understanding of this written practice and its use. In
determining the meaning of any term used in this practice, unless the context indicates otherwise, words referencing the singular
include and apply to multiple examples of the same thing; words referencing the plural include the singular.
3.2 Definitions:
3.2.1 activity and use limitations (AULs)—(AULs), n—legal or physical restrictions or limitations on the use of, or access to,
a site or facility: (1) to reduce or eliminate potential exposure to hazardous substanceschemicals of concern or petroleum
productsin the soil or ground water on thea property, or (2) to prevent activities that could interfere with the effectiveness of a
response action, in order to ensure maintenance of a condition of no significant risk to public health or the environment. These legal
or physical restrictions, which may include institutional and/orcontrols or engineering controls, or both, are intended to prevent
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM Standards
volume information, refer to the standard’s Document Summary page on the ASTM website.
E1528 − 22
adverse impacts to individuals or populations that may be exposed to hazardous substanceschemicals of concern and petroleum
productsin the soil, soil vapor, or ground water groundwater on thea property.
3.2.2 actual knowledge—knowledge, n—the knowledge actually possessed by an individual who is a real person, rather than an
entity. Actual knowledge is to be distinguished from constructive knowledge that is knowledge imputed to an individual or entity.
3.2.3 adjoining properties—properties, n—any real property or properties the border of which is contiguous or partially
contiguous with that of the subject property, or that would be contiguous or partially contiguous with that of the subject property
but for a street, road, or other public thoroughfare separating them.
3.2.4 aerial photographs—photographs, n—photographs taken from an aerial platform with sufficient resolution to allow
identification of development and activities of areas encompassing the activities.property. Aerial photographs are often available
from government agencies or private collections unique to a local area. See Question 22 of the questionnaire in this practice and
10.2.2.
3.2.5 all appropriate inquiries—inquiries (AAI), n—that inquiry an inquiry conducted prior to the date of acquisition of the
subject property constituting “all appropriate inquiries into the previous ownership and uses of the subject property consistent with
good commercial or customary practice” and customary standards and practices” as defined in CERCLA, 42 U.S.C. §9601(35)(B),
and the AAI rule, 40 C.F.R. Part 312, that will qualify a party to a commercial real estate transaction for one of the threshold criteria
for satisfying the LLPs to CERCLA liability (42 U.S.C. §§9601(35)(A) & (B); §9607(b)(3), §9607(q), and §9607(r)), assuming
compliance with other elements of the defense.
3.2.6 approximate minimum search distance—distance, n—the area for which records must be obtained and reviewed pursuant
to the records review section of Practicethis E1528, practice (8.9), subject to the limitations provided in that section. The term
approximate minimum search distance may include areas outside the subject property and shall be measured from the nearest
subject property boundary. The term approximate minimum search distance is used instead of radius to include irregularly shaped
properties.properties.
3.2.7 chemicals of concern, n—means hazardous substances or petroleum products or any specific compounds and their
breakdown products that are identified under federal environmental laws, state cleanup programs, voluntary cleanup programs, or
other state or federal corrective action laws or regulations as requiring a response action.
3.2.8 commercial real estate—estate, n—any real property except a dwelling or property with no more than four dwelling units
exclusively for residential use (except that a dwelling or property with no more than four dwelling units exclusively for residential
use is included in this term when it has a commercial function, as in the buildingconstruction of such dwellings for profit). This
term includes but is not limited to undeveloped real property and real property used for industrial, retail, office, agricultural, other
commercial, medical, or educational purposes; property used for residential purposes that has more than four residential dwelling
units; and property with no more than four dwelling units for residential use when it has a commercial function, as in the
buildingconstruction of such dwellings for profit.
3.2.8 Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS)—the list of sites
compiled by EPA that EPA has investigated or is currently investigating for potential hazardous substance contamination for
possible inclusion on the National Priorities List.
3.2.9 CORRACTS list—a list maintained by EPA of hazardous waste treatment, storage, or disposal facilities and other
RCRA-regulated facilities (due to past interim status or storage of hazardous waste beyond 90 days) that have been notified by
the U.S. Environmental Protection Agency to undertake corrective action under RCRA. The CORRACTS list is a subset of the EPA
database that manages RCRA data.
3.2.9 demolition debris—or construction debris, n—concrete, brick, asphalt, and other such building materials discarded in the
demolition demolition, construction, or renovation of a building or other improvement to property.
3.2.10 drum—drum, n—a container (typically, but not necessarily, holding 55 gal (208 L)[208 L] of liquid) that may be used
to store hazardous substanceschemicals of or concernpetroleum products.
3.2.11 dry wells, n—underground areas where soil has been removed and replaced with pea gravel, coarse sand, or large rocks
for purposes of providing drainage or spill control.
3.2.12 due diligence—diligence, n—the process of inquiring into the environmental characteristics of a parcel of commercial
real estate or other conditions, usually in connection with a commercial real estate transaction. The degree and kind of due
diligence vary for different properties and differing purposes.
3.2.13 dwelling—dwelling, n—structure or portion thereof used for residential habitation.
The term AUL is taken from the ASTM Standard Guide E2091 to include both legal (that is, institutional)institutional) and physical (that is, engineering)engineering)
controls within its scope. Other agencies, organizations, and jurisdictions may define or utilize these terms differently (for example, EPA and California do not include physical
controls within their definitions of “institutional“ controls.”institutional controls.” The Department of Defense and the International County/City Management Association
use “Land Use Controls.” The term “land use restrictions” is used but not defined in the Brownfields Amendments). Amendments.
E1528 − 22
3.2.14 engineering controls—controls, n—physical modifications to a site or facility (for example, capping, slurry walls, or
point of use water treatment) to reduce or eliminate the potential for exposure to hazardous substanceschemicals of concern or
petroleum productsin the soil or ground water groundwater on thea property. Engineering controls are a type of activity and use
limitation (AUL).
3.2.15 environmental lien—lien, n—a charge, security, or encumbrance upon title to a property to secure the payment of a cost,
damage, debt, obligation, or duty arising out of response actions, cleanup, or other remediation of hazardous substanceschemicals
of concern or petroleum productsupon a property, including (but not limited to) liens imposed pursuant to section 107(l) of
CERCLA (42 U.S.C. §9607(l)) and similar state or local laws.
3.2.16 environmental professional—professional, n—a person meeting the education, training, and experience requirements as
set forth in 40 C.F.R. §312.10(b). The person may be an independent contractor or an employee of the user.
3.2.17 ERNS list—list, n—EPA’s Emergency Response Notification System list of reported CERCLA hazardous substancere-
leases or spills in quantities greater than the reportable quantity, as maintained at the National Response Center. Notification
requirements for such releases or spills are codified in 40 C.F.R. Parts 302 and 355.
3.2.18 fill dirt—material, n—dirt, soil, sand, earth, rock, concrete, or other earth,material that is obtained off-site,off-site that is
used to fill holes or depressions, create mounds, or otherwise artificially change the grade or elevation of real property. propertyIt
does not include material that is used in limited quantities for normal landscaping activities.
3.2.19 fire insurance maps—maps, n—maps originally produced for private fire insurance map companiespurposes that indicate
uses of properties at specified dates and that encompass the property. propertiesThese maps are often available at local libraries,
historical societies, private resellers, or from the map companies who produced them. See Question 22 of the questionnaire in this
practice and at specified dates.10.2.2.
3.2.20 hazardous substance—substance, n—a substance defined as a hazardous substance pursuant to section 101(14) of
CERCLA, (42 U.S.C. §9601(14)), as interpreted by EPA regulations (see 40 C.F.R. §302.4) and the courts: “(A) any substance
designated pursuant to section 311(b)(2)(A) of the Federal Water Pollution Control Act, (B) any element, compound, mixture,
solution, or substance designated pursuant to section 102 of this Act, (C) any hazardous waste having the characteristics identified
under or listed pursuant to section 3001 of [RCRA] (but not including any waste the regulation of which under [RCRA] has been
suspended by Act of Congress), (D) any toxic pollutant listed under section 307(a) of the Federal Water Pollution Control Act, (E)
any hazardous air pollutant listed under section 112 of the Clean Air Act, and (F) any imminently hazardous chemical substance
or mixture with respect to which the Administrator [of EPA] has taken action pursuant to section 7 of the Toxic Substances Control
Act. The term does not include petroleum, including crude oil or any fraction thereof which is not otherwise specifically listed or
designated as a hazardous substance under subparagraphs (A) through (F) of this paragraph, and the term does not include natural
gas, natural gas liquids, liquefied natural gas, or synthetic gas usable for fuel (or mixtures of natural gas and such synthetic gas).”
3.2.21 hazardous waste—waste, n—any solid waste having the characteristics identified under or listed pursuant to section 3001
of RCRA, as amended, (42 U.S.C. §6921) (but not including any waste the regulation of which under RCRA (42 U.S.C. §6901
et seq.) has been suspended by Act of Congress). RCRA is sometimes also identified as the Solid Waste Disposal Act. RCRA
defines a hazardous waste, in section 1003 (42 U.S.C. §6903), as: “a solid waste, or combination of solid wastes, which because
of its quantity, concentration, or physical, chemical, or infectious characteristics may—(A) cause, or significantly contribute to an
increase in mortality or an increase in serious irreversible, or incapacitating reversible, illness; or (B) pose a substantial present
or potential hazard to human health or the environment when improperly treated, stored, transported, or disposed of, or otherwise
managed.” Some states define the term more broadly than does the Federal government under RCRA.
3.2.22 institutional controls (ICs), n—a legal or administrative mechanism designed to limit, prohibit, or condition the use of,
or access to a site or facility (for example, restrictive covenants, environmental covenants, easements, and zoning) to eliminate or
minimize potential exposure to chemicals of concern. Institutional controls are a type of activity and use limitation (AUL).
3.2.23 landfill—landfill, n—a place, location, tract of land, area, or premises used for the disposal of solid wastes as defined by
state solid waste regulations. The term is synonymous with the term solid waste disposal site or facility and ismay also be known
as a garbage dump, trash dump, or similar term.
3.2.24 Landowner Liability Protections (LLPs)—(LLPs), n—Landowner liability protections under CERCLA pursuant to the
Small Business Liability Relief and Brownfields Revitalization Act amendments to CERCLA (42 U.S.C. §§9601(35) &
9607(b)(3);9607(b)(3)); these protections include the bona fide prospective purchaser liability protection, contiguous proper-
tyowner liability protection, and innocent landowner defense from CERCLA liability.
3.2.25 local street directories—directories, n—directories published by private (or sometimes government) sources that show
ownership,list the occupancy,occupants use of sites, and/or by reference to street addresses.of a specific address at the time the
Oftenoccupant local street directories are available at libraries of local governments, colleges or universities, or historical societies.
See Question 22 of the questionnaire in this practice and data were collected, typically within a year of the publication date of the
directory.10.2.2.
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3.2.25 LUST sites—state lists of leaking underground storage tank sites. Section 9003(h) of Subtitle I of RCRA gives EPA and
states, under cooperative agreements with EPA, authority to clean up releases from UST systems or require owners and operators
to do so. 42 U.S.C. §6991b(h).
3.2.26 major occupants—occupants, n—those tenants, subtenants, or other persons or entities each of which uses at least 40 %
of the leasable area of the subject property or any anchor tenant when the subject property is a shopping center.
3.2.27 National Priorities List (NPL)—(NPL), n—list compiled by EPA pursuant to CERCLA (42 U.S.C. §9605(a)(8)(B)) of
properties with the highest priority for cleanup pursuant to EPA’s hazard ranking system. See 40 C.F.R. Part 300.
3.2.28 obvious—obvious, n—that which is plain or evident; a condition or fact whichthat could not be ignored or overlooked
by a reasonable observer while observer. visually or physically observing the property.
3.2.29 occupants—occupants, n—those tenants, subtenants, or other persons or entities using thea property or a portion of thea
property.
3.2.30 operator, n—the person responsible for the overall operation of a facility.
3.2.31 owner—owner, n—generally the fee owner of record of thea property.
3.2.32 petroleum exclusion—exclusion, n—the exclusion from CERCLA liability provided in 42 U.S.C. §9601(14), as
interpreted by the courts and EPA: “The term (hazardous substance ) does not include petroleum, including crude oil or any
fraction thereof which is not otherwise specifically listed or designated as a hazardous substance under Subparagraphs (A) through
(F) of this paragraph, and the term does not include natural gas, natural gas liquids, liquefied natural gas, or synthetic gas usable
for fuel (or mixtures of natural gas and such synthetic gas).”
3.2.33 petroleum products—products, n—those substances included within the meaning of the terms within the petroleum
exclusion to CERCLA (42 U.S.C. §9601(14)), as interpreted by the courts and EPA, that is: petroleum, including crude oil or any
fraction thereof that is not otherwise specifically listed or designated as a hazardous substance under Subparagraphs (A) through
(F) of 42 U.S.C. §9601(14), natural gas, natural gas liquids, liquefied natural gas, and synthetic gas usable for fuel (or mixtures
of natural gas and such synthetic gas). (The word fraction refers to certain distillates of crude oil, including gasoline, kerosene,
diesel oil, jet fuels, and fuel oil, pursuant to Standard Definitions of Petroleum Statistics. )
3.2.34 Phase I Environmental Site Assessment—Assessment, n—the process described in Practice E1527. (covering commercial
real estate) and Practice E2247 (covering forestland or rural properties).
3.2.35 pits, ponds, or lagoons—lagoons, n—man-made or natural depressions in a ground surface that are likely to hold may
hold or have held liquids or sludge containing hazardous substanceschemicals of concern orthat petroleum products.may be The
likelihood of such liquids or sludge being present is determined by evidence of factors associated with the pit, pond, or lagoon,
evidenced by factors including, but not limited to, discolored water, distressed vegetation, or the presence of an obvious wastewater
discharge.
3.2.36 potential environmental concerns—concerns, n—The term potential environmental concerns means the possible presence
of any hazardous substanceschemicals of concern or petroleum productson a subject property under conditions that indicate the
possibility of an existing release, a past release, or a threat of a future release of any hazardous substanceschemicals of or concern
petroleum products into structures on the subject property or into the ground, ground water, groundwater, or surface water of the
subject property. The term includes hazardous substanceschemicals of concern or petroleum productseven under conditions in
compliance with laws. (Note that “threat of release”release is ” is a CERCLA concept generally understood to be present exist
when hazardous substanceschemicals of or concernpetroleum products are poorly managed (for[for example in corroded tanks or
damaged containers)containers] but the release of the contaminants has not yet occurred, and there is an opportunity to take
response action to prevent a release of the contaminants.)
3.2.36 practically reviewable—information that is practically reviewable means that the information is provided by the source
in a manner and in a form that, upon examination, yields information relevant to the property without the need for extraordinary
analysis of irrelevant data. The form of the information shall be such that the user can review the records for a limited geographic
area. Records that cannot be feasibly retrieved by reference to the location of the property or a geographic area in which the
property is located are not generally practically reviewable. Most databases of public records are practically reviewable if they can
be obtained from the source agency by the county, city, zip code, or other geographic area of the facilities listed in the record
system. Records that are sorted, filed, organized, or maintained by the source agency only chronologically are not generally
practically reviewable. Listings in publicly available records which do not have adequate address information to be located
geographically are not generally considered practically reviewable. For large databases with numerous facility records (such as
RCRA hazardous waste generators and registered underground storage tanks), the records are not practically reviewable unless
they can be obtained from the source agency in the smaller geographic area of zip codes. Even when information is provided by
zip code for some large databases, it is common for an unmanageable number of sites to be identified within a given zip code. In
these cases, it is not necessary to review the impact of all of the sites that are likely to be listed in any given zip code because that
Standard Definitions of Petroleum Statistics, American Petroleum Institute, Fifth Edition, 1995.
E1528 − 22
information would not be practically reviewable. In other words, when so much data is generated that it cannot be feasibly
reviewed for its impact on the property, it is not practically reviewable.
3.2.37 preparer—preparer, n—the person preparing the transaction screen questionnaire pursuant to this practice, who may be
either the user or the person to whom the user has delegated the preparation. See 4.3. In selecting options permitted by the
Transaction Screen, preparers should satisfy themselves that they are qualified to undertake the analysis contemplated by that
option. Unless otherwise agreed to by the user and the preparer, it is not the responsibility of the preparer to draw conclusions
regarding affirmative affirmative, not applicable (N/A), or unknown answers. See 4.3 and 5.65.7.
3.2.38 property—property, n—the real property that is the subject of the including transaction screen described in this practice.
Real property includes buildings and other fixtures and improvements located on the propertyand affixed to the land.
3.2.39 publicly available—available, adj—information that is publicly available means that the source of the information allows
access to the information by anyone upon request.
3.2.40 RCRA generators—generators, n—those persons or entities that generate hazardous wastes, as defined and regulated by
RCRA.
3.2.41 RCRA generators list—list kept by EPA of those persons or entities that generate hazardous wastes as defined and
regulated by RCRA.
3.2.42 RCRA TSD Facilities—those facilities on which treatment, storage, and/or disposal of hazardous wastes takes place, as
defined and regulated by RCRA.
3.2.41 RCRA TSD Facilities, list—n—list kept by EPA of those facilities on which treatment, storage, and/oror disposal of
hazardous wastes takes place, as defined and regulated by RCRA.
3.2.42 reasonably ascertainable—ascertainable, adj—information that is (1) publicly available, (2) obtainable from its source
within reasonable time and cost constraints, and (3) practically reviewable.
3.2.42.1 Discussion—
Information that is “practically reviewable” means that the information is provided by the source in a manner and in a form that,
upon examination, yields information relevant to the subject property without the need for extraordinary analysis of irrelevant data.
“Reasonable time and cost constraints” refers to the availability of the information from its source without undue delay and at
nominal cost reflective of the cost of retrieving and duplicating the information. For additional information on the meaning of
“reasonable time and cost constraints,” constraints” and “practically reviewable” in the context of a Phase I Environmental Site
Assessment, see Practice E1527-21 at 3.2.77 and 8.1.5.
3.2.45 records of emergency release notifications (EPCRA §304)—Section 304 of EPCRA (42 U.S.C. §11004) requires
operators of facilities to notify their local emergency planning committee (as defined in EPCRA) and State Emergency Response
Commission (as defined in EPCRA) of any release beyond the facility’s boundary of any reportable quantity of any extremely
hazardous substance. Often the local fire department is the local emergency planning committee. Records of such notifications are
“Records of Emergency Release Notifications.”
3.2.43 records review—review, n—that part of the transaction screen that is contained in Section 68.9 and 8.10 of this practice
and addresses which records shall or may be reviewed.
3.2.44 release, n—a release of any chemicals of concern shall have the same meaning as the definition of “release” in CERCLA,
42 U.S.C. §9601(22).
3.2.45 response actions, n—actions to respond or a response, as those terms are defined in CERCLA §101(25), 42 U.S.C
§9601(25), to releases of hazardous substances. Generally, response actions operate as an umbrella term to cover any type of
hazardous substance cleanup at a property, including “removal actions” and “remedial actions” as those terms are defined in
CERCLA §101(23)-(24), 42 U.S.C. §9601(23)-(24). Response actions also cover corrective action measures, including risk-based
corrective action measures, taken to address chemicals of concerns in general, or under state cleanup programs or voluntary
cleanup programs.
3.2.46 site visit, n—the visit to the property during which observations are made constituting the site visit requirement of this
practice.
3.2.47 solid waste disposal site—site or facility, n—a place, location, tract of land, area, or premises used for the landfill disposal
of solid wastes as defined by state solid waste regulations. The termA s is synonymous with the term olid waste disposal site or
facilitylandfill and is may also be known as a landfill, a garbage dump, trash dump, or similar term.
3.2.48 solvent—solvent, n—a chemical compound that is capable of dissolving another substance and may itself be a hazardous
substancechemical of concern used in a number of manufacturing/industrial processes including, but not limited to, the
manufacture of paints and coatings for industrial and household purposes, equipment clean-up, and surface degreasing in metal
fabricating industries.industries, and dry cleaning of fabrics.
E1528 − 22
3.2.49 site visit—subject property, n—the visit to the property during which observations are made constituting the that is the
subject of the site visittransaction screen process requirement ofdescribed in this practice.
3.2.50 standard environmental record sources— those records specified in Section 6 of this practice of the records review
section.
3.2.51 standard practice—the activities set forth in this practice for the conduct of a transaction screen.
3.2.52 standard sources—sources of environmental or historical records specified in the records review section (Section 6) of
this practice.
3.2.53 state registered USTs—state lists of underground storage tanks required to be registered under Section 9002 of RCRA
(42 U.S.C. §6991a).
3.2.50 sump—sump, n—a pit, cistern, cesspool, or similar receptacle where liquids drain, collect, or are stored.
3.2.51 transaction screen questionnaire—questionnaire, n—the questionnaire set forth in Section 6 of this practice.
3.2.52 transaction screen process (transaction screen)—screen), n—the process described in Practice E1528 whereby a person
or entity seeks to determine if a particular parcel of real property (including improvements) is subject to potential environmental
concerns.
3.2.57 TSD Facility—treatment, storage, or disposal facility (see definition of RCRA TSD Facilities).
3.2.53 underground storage tank (UST)—(UST), n—any tank, including underground piping connected to the tank, that is or has
been used to contain hazardous substanceschemicals of concern or petroleum productsand the volume of which is 10 % or more
beneath the surface of the ground.
3.2.54 user—user, n—the party seeking to use the transaction screen process of this practice to conduct limited environmental
due diligence of the property. subject propertyA .user may include, without limitation, a potential purchaser of property, a potential
tenant of property, an owner of property, a lender, or a property manager. It is the user’s responsibility to draw conclusions
regarding affirmative or unknown answers (see 5.6).
3.2.54.1 Discussion—
A user may include, without limitation, a potential purchaser of the subject property, a potential tenant of the subject property, an
owner, occupant, or operator of the of the subject property, a lender, or a property manager. It is the user’s responsibility to draw
conclusions regarding affirmative answers (see 5.7).
3.2.55 visually and/or physically observed—or physically observed, or both, n—during a site visit pursuant to this practice, this
term means observations made by vision while walking through a visual, auditory, property and the structures located on it and
observations made by the sense of smell, particularly observations of noxious or foul odors. The term “walking through” is not
meant to imply that disabled persons who cannot physically walk may not conduct a or olfactory means, or combinations
thereof.site visit; they may do so by the means at their disposal for moving through the property and the structures located on it.
3.2.56 wastewater—wastewater, n—water that (1) is or has been used in an industrial or manufacturing process, (2) conveys or
has conveyed sewage, or (3) is directly related to manufacturing, processing, or raw materials storage areas at an industrial plant.
Wastewater does not include water originating on or passing through or adjacent to a site, such as stormwater flows, that has not
been used in industrial or manufacturing processes, has not been combined with sewage, or is not directly related to manufacturing,
processing, or raw materials storage areas at an industrial plant.
3.3 Acronyms:Acronyms and Abbreviations:
3.3.1 AST—aboveground storage tank.
3.3.2 AULs—Activity and Use Limitations.Limitations.
3.3.3 CERCLA—Comprehensive Environmental Response, Compensation and Liability of 1980 Act (as amended, 42 U.S.C.
§9601 et seq.).
3.3.3 CERCLIS—Comprehensive Environmental Response, Compensation and Liability Information System (maintained by
EPA).
3.3.4 C.F.R.—Code of Federal Regulations.
3.3.5 CORRACTS—EC—facilities subject Engineering Controlsto Corrective Action under RCRA.
3.3.6 EPA—United States Environmental Protection Agency.
3.3.7 EPCRA—Emergency Planning and Community Right to Know Act (also known as SARA Title III), (42 U.S.C. §11001
et seq.).
3.3.8 ERNS—Emergency Response Notification System.
3.3.9 FOIA—U.S. Freedom of Information Act (5 U.S.C. §552 et seq.).
E1528 − 22
3.3.10 IC—Institutional Controls.
3.3.11 LLP—Landowner Liability Protections.Protections under CERCLA.
3.3.12 LUST—leaking underground storage tank. tank.
3.3.12 NCP—National Contingency Plan.
3.3.13 NFRAP—former CERCLIS sites where no further remedial action is planned under CERCLA.
3.3.14 NPL—National Priorities List.List.
3.3.15 PCBs—polychlorinated biphenyls.
3.3.16 RCRA—Resource Conservation and Recovery Act (as amended, 42 U.S.C. §6901 et seq.).
3.3.17 SARA—Superfund Amendments and Reauthorization Act of 1986 (amendment to CERCLA; also contains law not part
of CERCLA).
3.3.18 TSD Facility—hazardous waste treatment, storage or disposal facility.
3.3.18 U.S.C.—United States Code.
3.3.19 UST—underground storage tank.tank.
4. Significance and Use
4.1 Uses—This practice sets forth a procedure for conducting limited environmental due diligence. This practice is intended for
use on a voluntary basis by parties who wish to assess the environmental condition of commerciala real estatesubject property
where a Phase I Environmental Site Assessment is, initially, deemed to be unnecessary by the user and the parties do not seek
CERCLA LLPs. This practice is intended primarily as a commercially prudent or reasonable approach to conducting an inquiry
designed to identify potential environmental concerns in connection with a subject property.
4.2 Clarifications on Use:
4.2.1 Use Not Intended for CERCLA Liability Protection—This document is not intended to permit a user to satisfy CERCLA
LLPs, that is, the practices that constitute “all appropriate inquiries into the previous ownership and uses of the subject property
consistent with “generally accepted good commercial or customary practice” and customary standards and practices” as defined
in 42 U.S.C. §9601(35)(B).
4.2.2 Transaction Screen Does Not Identify Recognized Environmental Conditions—This practice does not define a scope of
assessment sufficient to identify recognized environmental conditions as defined in 3.2.74 of Practice E1527 and 3.2.80 of Practice
E2247.
4.2.3 Residential Tenants/Purchasers and Others—Although this documentpractice is not intended for residential purposes, it
may be used at the user’s discretion for residential tenants of multifamily residential buildings, tenants of single-family homes or
other residential real estate, or purchasers of dwellings for residential use,use to conduct a transaction screen in connection with
these transactions.
4.2.4 Site-Specific—This practice is site-specific in that it relates to assessment of environmental conditions on a specific parcel
of at a commercial real estate. subject property. Consequently, this practice does not address many additional issues raised in
transactions such as purchases of business entities, or interests therein, or of their assets, that may well involve environmental
liabilities pertaining to properties previously owned or operated or other off-site environmental liabilities.
4.3 Who May Conduct—The transaction screen process may be conducted by the user, or some other person, including
environmental consultants, lenders, brokers, appraisers, corporations, lawyers, government agencies (civilian and military), or any
other party looking to screen environmental property risk. The transaction screen process can be performed by,by but does not
require the judgment of an environmental professional. If an environmental professional is contracted to prepare a transaction
screen questionnaire, nothing in this practice requires the professional to develop opinions and conclusions. Some government
programs permit use of this practice when combined with an additional requirement for professional opinions or conclusions or
both. Nothing in this practice precludes a user from contracting with any person identified herein for mutually agreed upon
additional services.
4.4 Inquiry Beyond the Transaction Screen Process—If further inquiry is needed after performance of the transaction screen
process, the user mustshould determine, in the exercise of the user’s reasonable business judgment, whether further inquiry may
be limited to those specific issues identified as of concern or should proceed to further inquiry (see 5.85.9).
4.5 No transaction screen can wholly eliminate uncertainty regarding thepotential for environmental concernconcerns in
connection with a subject property.
4.5.1 Not every property will warrant the use of a limited environmental assessment such as the transaction screen. The
appropriate use of the transaction screen will be guided by the type of property subject to assessment, the expertise and risk
tolerance of the user, and the information developed in the course of the inquiry.
4.5.2 Transaction screens must be evaluated based on the reasonableness of judgments made at the time and under the
circumstances in which they were made. Subsequent environmental site assessments or transaction screens should not be
E1528 − 22
considered valid standards to judge the appropriateness of any prior assessment based on hindsight, new information, use of
developing technology or analytical techniques, or other factors.
4.6 Continued Viability of Transaction Screen—A transaction screen meeting or exceeding this practice and completed more
than 180 days previously may be used to the extent allowed by 4.6.1 and 4.6.2.
4.6.1 Subject to 4.6.2, a prior transaction screen or other due diligence may be used in its entirety or as an information source
if, in the reasonable judgment of the user, the prior transaction screen or other due diligence meets or exceeds the requirements
of this practice and the conditions at the subject property likely to affect potential environmental concerns in connection with the
subject property are not likely to have cha
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