ASTM E1527-21

Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process

SIGNIFICANCE AND USE
4.1 Uses—This practice is intended for use on a voluntary basis by parties who wish to assess the environmental condition of commercial real estate taking into account commonly known and reasonably ascertainable information. While use of this practice is intended to constitute all appropriate inquiries for purposes of the LLPs, it is not intended that its use be limited to that purpose. This practice is intended primarily as an approach to conducting an inquiry designed to identify recognized environmental conditions in connection with a subject property. No implication is intended that a person shall use this practice in order to be deemed to have conducted inquiry in a commercially prudent or reasonable manner in any particular transaction. Nevertheless, this practice is intended to reflect good commercial and customary practice (see 1.6).  
4.2 Clarifications on Use:  
4.2.1 Use Not Limited to CERCLA—This practice is designed to assist the user in developing information about the environmental condition of a subject property  and as such has utility for a wide range of persons, including those who may have no actual or potential CERCLA liability and/or may not be seeking the LLPs.  
4.2.2 Residential Tenants/Purchasers and Others—No implication is intended that it is currently customary practice for residential tenants of multifamily residential buildings, tenants of single-family homes or other residential real estate, or purchasers of dwellings for one’s own residential use, to conduct an environmental site assessment in connection with these transactions. Thus, these transactions are not included in the term commercial real estate transactions, and it is not intended to imply that such persons are obligated to conduct an environmental site assessment in connection with these transactions for purposes of all appropriate inquiries or for any other purpose. In addition, no implication is intended that it is currently customary practice for environmental site ...
SCOPE
1.1 Purpose—The purpose of this practice is to define good commercial and customary practice in the United States of America for conducting an environmental site assessment2 of a parcel of commercial real estate with respect to the range of contaminants within the scope of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) (42 U.S.C. § 9601) and petroleum products. As such, this practice is intended to permit a user to satisfy one of the requirements to qualify for the innocent landowner,  contiguous property owner, or bona fide prospective purchaser limitations on CERCLA liability (hereinafter, the “landowner liability protections,” or “LLPs”): that is, the practice that constitutes all appropriate inquiries into the previous ownership and uses of the property consistent with good commercial and customary standards and practices as defined at 42 U.S.C. § 9601(35)(B). (See Appendix X1 for an outline of CERCLA’s liability and defense provisions.) Controlled substances are not included within the scope of this practice. Persons conducting an environmental site assessment as part of an EPA Brownfields Assessment and Characterization Grant awarded under CERCLA 42 U.S.C. § 9604(k)(2)(B) must include controlled substances as defined in the Controlled Substances Act (21 U.S.C. § 802) within the scope of the assessment investigations to the extent directed in the terms and conditions of the specific grant or cooperative agreement. Additionally, an evaluation of business environmental risk  (BER) associated with a parcel of commercial real estate may necessitate investigation beyond that identified in this practice (see 1.4 and Section 13).  
1.1.1 Recognized Environmental Conditions—The goal of the processes established by this practice is to identify recognized environmental conditions. The term recognized environmental condition means (1) the presence of hazardous substances or petroleum produc...

General Information

• Status: Published
• Publication Date: 31-Oct-2021
• 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 E2790-20 - Standard Guide for Identifying and Complying With Continuing Obligations
• Effective Date: 01-Jan-2020
• 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 E2790-11 - Standard Guide for Identifying and Complying With Continuing Obligations
• Effective Date: 15-May-2011
• 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 E2600-10 - Standard Guide for Vapor Encroachment Screening on Property Involved in Real Estate Transactions
• Effective Date: 01-Jun-2010
• 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 E2600-08 - Standard Practice for Assessment of Vapor Intrusion into Structures on Property Involved in Real Estate Transactions
• Effective Date: 01-Mar-2008
• 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 E2091-00 - Standard Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls
• Effective Date: 10-May-2000

Overview

ASTM E1527-21 is the Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment (ESA) Process, issued by ASTM International. This standard prescribes the widely accepted protocol for evaluating the environmental condition of commercial real estate in the United States. It establishes a practical and uniform approach for conducting all appropriate inquiries (AAI) regarding a property’s past and current uses, assessing the presence or likely presence of hazardous substances or petroleum products. Compliance with ASTM E1527-21 helps parties meet requirements to qualify for key landowner liability protections (LLPs) under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), also known as Superfund.

Key Topics

• All Appropriate Inquiries: ASTM E1527-21 is integral to meeting AAI requirements under CERCLA. The process includes researching previous ownership, uses, and environmental conditions of a site.
• Recognized Environmental Conditions (RECs): The standard focuses on identifying RECs-actual or likely presence of hazardous substances or petroleum products-through records review, interviews, and site inspection.
• Landowner Liability Protections (LLPs): Following the standard can help purchasers and their agents satisfy one requirement for LLPs, such as the innocent landowner, bona fide prospective purchaser, or contiguous property owner protections.
• Scope and Limitations: The practice primarily addresses commercial real estate. Residential transactions (e.g., single-family homes, standard apartment tenancies) are generally outside its scope.
• Petroleum Products: In addition to CERCLA-regulated hazardous substances, the assessment includes petroleum products due to their common presence and regulatory significance in commercial real estate.
• Documentation and Professional Judgement: The standard outlines thorough documentation and requires assessments to be performed by a qualified environmental professional.

Applications

The ASTM E1527-21 Phase I ESA standard is essential in a variety of practical scenarios:

• Commercial Real Estate Transactions: Buyers, sellers, and lenders rely on this standard to evaluate environmental risks before property acquisition, financing, or redevelopment.
• Due Diligence: Legal, financial, and real estate professionals use Phase I ESAs to assess the risk of environmental liabilities and ensure regulatory compliance.
• Brownfields Redevelopment: Entities pursuing EPA Brownfields Assessment Grants use the standard for site characterization and to document eligibility for grant funds.
• Protection Against CERCLA Liability: Following the standard as part of the property acquisition process helps ensure that purchasers are eligible for defenses against Superfund liability, provided all other criteria are also met.

Related Standards

Several ASTM standards and federal regulations complement or reference ASTM E1527-21, including:

• ASTM E2247: Phase I Environmental Site Assessment Process for Forestland or Rural Property
• ASTM E2600: Guide for Vapor Encroachment Screening on Property Involved in Real Estate Transactions
• ASTM E2790: Guide for Identifying and Complying with Continuing Obligations
• ASTM E2091: Guide for Use of Activity and Use Limitations, Including Institutional and Engineering Controls
• 40 CFR Part 312: U.S. EPA’s "All Appropriate Inquiries" (AAI) Rule, which recognizes compliance with ASTM E1527-21 as meeting AAI requirements

Practical Value

By standardizing the Phase I Environmental Site Assessment process, ASTM E1527-21 helps protect all parties in commercial real estate transactions from unforeseen environmental liabilities. It establishes a clear, industry-accepted framework for:

• Reducing investment risk in property transactions
• Facilitating responsible property development and redevelopment
• Ensuring compliance with CERCLA's AAI requirements and obtaining LLPs when applicable

Adhering to ASTM E1527-21 provides a high-quality, cost-effective method for environmental due diligence-supporting sustainable development and informed decision-making in the commercial property sector.

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: E1527 − 21
Standard Practice for
Environmental Site Assessments: Phase I Environmental
Site Assessment Process
This standard is issued under the fixed designation E1527; 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 1.1.1 Recognized Environmental Conditions—The goal of
the processes established by this practice is to identify recog-
1.1 Purpose—The purpose of this practice is to define good
nized environmental conditions. The term recognized environ-
commercial and customary practice in the United States of
mental condition means (1) the presence of hazardous sub-
America for conducting an environmental site assessment of a
stances or petroleum products in, on, or at the subject property
parcel of commercial real estate with respect to the range of
due to a release to the environment; (2) the likely presence of
contaminants within the scope of the Comprehensive Environ-
hazardous substances or petroleum products in, on, or at the
mental Response, Compensation, and LiabilityAct (CERCLA)
subject property due to a release or likely release to the
(42 U.S.C. § 9601) and petroleum products. As such, this
environment;or (3) the presence of hazardous substances or
practice is intended to permit a user to satisfy one of the
petroleum products in, on, or at the subject property under
requirementstoqualifyforthe innocent landowner, contiguous
conditions that pose a material threat of a future release to the
property owner,or bona fide prospective purchaser limitations
environment.A de minimis condition is not a recognized
on CERCLA liability (hereinafter, the “landowner liability
environmental condition.
protections,” or “LLPs”): that is, the practice that constitutes
all appropriate inquiries into the previous ownership and uses
1.1.2 Petroleum Products—Petroleum productsareincluded
of the property consistent with good commercial and custom- within the scope of this practice because they are of concern
ary standards and practices as defined at 42 U.S.C.
with respect to commercial real estate and current custom and
§ 9601(35)(B). (See Appendix X1 for an outline of CERCLA’s
usage is to include an inquiry into the presence of petroleum
liability and defense provisions.) Controlled substances are not
products when doing an environmental site assessment of
included within the scope of this practice. Persons conducting
commercial real estate. Inclusion of petroleum products within
an environmental site assessment as part of an EPA Brown-
the scope of this practice is not based upon the applicability, if
fields Assessment and Characterization Grant awarded under
any, of CERCLA to petroleum products.
CERCLA 42 U.S.C. § 9604(k)(2)(B) must include controlled
1.1.3 CERCLA Requirements Other Than Appropriate
substances as defined in the Controlled Substances Act (21
Inquiries—This practice does not address whether require-
U.S.C.§ 802)withinthescopeoftheassessmentinvestigations
ments in addition to all appropriate inquiries have been met in
totheextentdirectedinthetermsandconditionsofthespecific
order to qualify for the LLPs (for example, the duties specified
grant or cooperative agreement. Additionally, an evaluation of
in 42 U.S.C. §§ 9607(b)(3)(a) and (b) and cited in Appendix
business environmental risk (BER) associated with a parcel of
X1, including the continuing obligation not to impede the
commercial real estate may necessitate investigation beyond
integrity and effectiveness of activity and use limitations
that identified in this practice (see 1.4 and Section 13).
[AULs], or the duty to take reasonable steps to prevent
releases, or the duty to comply with legally required release
reporting obligations).
This practice is under the jurisdiction of ASTM Committee E50 on Environ-
1.1.4 Other Federal, State, and Local Environmental
mental Assessment, Risk Management and Corrective Action and is the direct
Laws—Thispracticedoesnotaddressrequirementsofanystate
responsibility of Subcommittee E50.02 on Real Estate Assessment and Manage-
or local laws or of any federal laws other than the all
ment.
Current edition approved Nov. 1, 2021. Published November 2021. Originally
appropriate inquiries provisions of the LLPs. Users are cau-
approved in 1993. Last previous edition approved in 2013 as E1527 – 13. DOI:
tioned that federal, state, and local laws may impose environ-
10.1520/E1527-21.
2 mentalassessmentobligationsthatarebeyondthescopeofthis
All definitions, descriptions of terms, and acronyms are defined in Section 3.
Whenever terms defined in 3.2 are used in this practice, they are in italics. practice. Users should also be aware that there are likely to be
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E1527 − 21
other legal obligations with regard to hazardous substances or the adequacy of a given professional service must be judged,
petroleum productsdiscoveredin,on,oratthe subject property nor should this document be applied without consideration of
that are not addressed in this practice and that may pose risks a project’s many unique aspects. The word “Standard” in the
of civil and/or criminal sanctions for noncompliance. title means only that the document has been approved through
1.1.5 Documentation—The scope of this practice includes the ASTM consensus process.
research and reporting requirements that support the user’s 1.6 This standard does not purport to address all of the
ability to qualify for the LLPs. As such, sufficient documenta- safety concerns, if any, associated with its use. It is the
tion of all sources, records, and resources utilized in conduct- responsibility of the user of this standard to establish appro-
ingtheinquiryrequiredbythispracticemustbeprovidedinthe priate safety, health, and environmental practices and deter-
written report (refer to 8.1.9 and 12.2). mine the applicability of regulatory limitations prior to use.
1.7 This international standard was developed in accor-
1.2 Objectives—Objectives guiding the development of this
dance with internationally recognized principles on standard-
practice are (1) to synthesize and put in writing good commer-
ization established in the Decision on Principles for the
cial and customary practice for environmental site assessments
Development of International Standards, Guides and Recom-
for commercial real estate; (2) to facilitate high quality,
mendations issued by the World Trade Organization Technical
standardized environmental site assessments; (3) to provide a
Barriers to Trade (TBT) Committee.
practical and reasonable standard practice for conducting all
appropriate inquiries; and (4) to clarify an industry standard
2. Referenced Documents
for all appropriate inquiries in an effort to guide legal
2.1 ASTM Standards:
interpretation of the LLPs.
E2091 Guide for Use of Activity and Use Limitations,
1.3 Units—The values stated in inch-pound units are to be
Including Institutional and Engineering Controls
regarded as the standard. The values given in parentheses are
E2247 Practice for Environmental SiteAssessments: Phase I
mathematical conversions to SI units that are provided for
Environmental Site Assessment Process for Forestland or
information only and are not considered standard.
Rural Property
1.4 Considerations beyond Scope—The use of this practice
E2600 Guide for Vapor Encroachment Screening on Prop-
is strictly limited to the scope set forth in this section. Section
erty Involved in Real Estate Transactions
13 of this practice identifies, for informational purposes,
E2790 Guide for Identifying and Complying With Continu-
certain environmental conditions (not an all-inclusive list) that
ing Obligations
mayexistata subject propertythatarebeyondthescopeofthis
2.2 Federal Statutes:
practice, but may warrant consideration by parties to a com-
Comprehensive Environmental Response, Compensation,
mercial real estate transaction. The need to include an inves-
and Liability Act of 1980 (“CERCLA” or “Super-
tigation of any such conditions in the environmental profes-
fund”), as amended by Superfund Amendments and Re-
sional’s scope of services should be evaluated based upon,
authorization Act of 1986 (“SARA”) and Small Business
among other factors, the nature of the subject property and the
Liability Relief and Brownfields Revitalization Act of
reasons for performing the assessment (for example, a more
2002 (“Brownfields Amendments”), 42 U.S.C. § 9601 et
comprehensive evaluation of business environmental risk) and
seq.
should be agreed upon between the user and environmental
EmergencyPlanningandCommunityRight-To-KnowActof
professional as additional services beyond the scope of this
1986 (“EPCRA”), 42 U.S.C. § 11001 et seq.
practice before initiation of the environmental site assessment
ResourceConservationandRecoveryAct(alsoreferredtoas
process.
the Solid Waste DisposalAct), as amended (“RCRA”), 42
1.5 This practice offers a set of instructions for performing
U.S.C. § 6901 et seq.
one or more specific operations. This document cannot replace
2.3 OSHA Standard:
education or experience and should be used in conjunction
OSHA Hazard Communication Standard (HCS), 29 C.F.R.
with professional judgment. Not all aspects of this practice may
§ 1910.1200
be applicable in all circumstances. This ASTM standard is not
2.4 USEPA Documents:
intended to represent or replace the standard of care by which
“StandardsandPracticesforAllAppropriateInquiries”Final
Rule (AAI), 40 C.F.R. Part 312
Many states and other jurisdictions have differing definitions for terms used
Superfund, Emergency Planning, and Community Right-To-
throughout this practice, such as “release” and “hazardous substance.” If a Phase I
Know Programs, 40 C.F.R. Parts 300-399
Environmental Site Assessment is being conducted to satisfy state requirements and
to qualify for the state (or other jurisdiction) equivalent of LLPs, users and
USEPA “Enforcement Discretion Guidance Regarding the
environmental professionals are cautioned and encouraged to consider any differing
jurisdictional requirements and definitions while performing the Phase I Environ-
mental Site Assessment. Substances that are outside the scope of this practice (for
example, emerging contaminants that are not hazardous substances under CER- For referenced ASTM standards, visit the ASTM website, www.astm.org, or
CLA)mayberegulatedunderstatelawandmaybefederallyregulatedinthefuture. contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
Although the presence or any release/threatened release of these substances are Standards volume information, refer to the standard’s Document Summary page on
“non-scope considerations” under this practice, the user may nonetheless decide to the ASTM website.
include such substances in the defined scope of work for which the environmental Available from https://uscode.house.gov/.
professional conducting the Phase I Environmental Site Assessment is engaged. See Available from www.osha.gov.
13.1.2. Available from www.epa.gov.
E1527 − 21
Affiliation Language of CERCLA’s Bona Fide Prospec- 3.2.3 actual knowledge, n—knowledge actually possessed
tive Purchaser and Contiguous Property Owner Liability by an individual who is a real person, rather than an entity.
Protections” (September 21, 2011) Actual knowledge is to be distinguished from constructive
knowledge that is knowledge imputed to an individual or
USEPA “Revised Enforcement Guidance Regarding the
entity.
Treatment of Tenants Under the CERCLA Bona Fide
Prospective Purchaser Provision” (December 5, 2012)
3.2.4 adjoining properties, n—any real property or proper-
ties the border of which is contiguous or partially contiguous
USEPA “Enforcement Discretion Guidance Regarding
with that of the subject property, or that would be contiguous
Statutory Criteria for Those Who May Qualify as CER-
or partially contiguous with that of the subject property but for
CLABonaFideProspectivePurchasers,ContiguousProp-
a street, road, or other public thoroughfare separating them.
erty Owners, or Innocent Landowners” (“Common Ele-
ments Guidance”) (July 29, 2019)
3.2.5 aerial photographs, n—photographs taken from an
USEPA “Superfund Liability Protections for Local Govern-
aerial platform with sufficient resolution to allow identification
ment Acquisitions after the Brownfields Utilization,
of development and activities.
Investment, and Local Development Act of 2018” (June
3.2.6 all appropriate inquiries, n—that inquiry constituting
15, 2020)
all appropriate inquiries into the previous ownership and uses
National Oil and Hazardous Substances Pollution Contin-
of the subject property consistent with good commercial and
gency Plan, 40 C.F.R. Part 300
customary practice as defined in CERCLA, 42 U.S.C.
§ 9601(35)(B) and 40 C.F.R. Part 312, that will qualify a party
3. Terminology
to a commercial real estate transaction for one of the threshold
criteria for satisfying the LLPs to CERCLA liability (42
3.1 This section provides definitions, descriptions of terms,
U.S.C. §§ 9601(35)(A) & (B), § 9607(b)(3), § 9607(q), and
and a list of acronyms for many of the words used in this
§ 9607(r)), assuming compliance with other elements of the
practice. The terms are an integral part of this practice and are
defense. See Appendix X1.
critical to an understanding of the practice and its use.
3.2.7 approximate minimum search distance, n—theareafor
3.2 Definitions:
which records must be obtained and reviewed pursuant to
3.2.1 abandoned property, n—property that can be pre-
Section 8 subject to the limitations provided in that section.
sumed to be deserted, or an intent to relinquish possession or
This may include areas outside the subject property and shall
control can be inferred from the general disrepair or lack of
be measured from the nearest subject property boundary. This
activity thereon such that a reasonable person could believe
term is used in lieu of radius to include irregularly shaped
that there was an intent on the part of the current owner to
properties.
surrender rights to the property.
3.2.8 bona fide prospective purchaser [42 U.S.C.
3.2.2 activity and use limitations (AULs), n—legal or physi-
§ 9607(r)], n—a person may qualify as a bona fide prospective
cal restrictions or limitations on the use of, or access to, a site
purchaserif,amongotherrequirements,suchpersonmade“all
or facility: (1) to reduce or eliminate potential exposure to
appropriate inquiries into the previous ownership and uses of
hazardous substances or petroleum products in the soil, soil
the facility in accordance with generally accepted good com-
vapor, groundwater, and/or surface water on the property,or
mercialandcustomarystandardsandpractices.”Knowledgeof
(2) to prevent activities that could interfere with the effective-
contamination resulting from all appropriate inquiries would
ness of a response action, in order to ensure maintenance of a
not generally preclude this liability protection. A person must
condition of no significant risk to public health or the environ-
make all appropriate inquiries on or before the date of
ment. These legal or physical restrictions, which may include
purchase. The facility must have been purchased after January
institutional and/or engineering controls, are intended to pre-
11, 2002. See Appendix X1 for the other necessary require-
vent adverse impacts to individuals or populations that may be
ments that are beyond the scope of this practice.
exposedto hazardous substancesand petroleum productsinthe
3.2.9 Brownfields Amendments, n—amendments to CER-
soil, soil vapor, groundwater, and/or surface water on a
CLA pursuant to the Small Business Liability Relief and
property.
Brownfields Revitalization Act, Pub. L. No. 107-118 (2002),
3.2.2.1 Discussion—The term activity and use limitations
42 U.S.C. § 9601 et seq.
(AULs) is taken from Guide E2091 to include both legal (that
3.2.10 building department records, n—those records of the
is, institutional) and physical (that is, engineering) controls
local government in which the subject property is located
within its scope. Other agencies, organizations, and jurisdic-
indicating permission of the local government to construct,
tions may define or utilize these terms differently (for example,
alter, or demolish improvements on a property.
EPA and California do not include physical controls within
their definitions of “institutional controls.” Department of
3.2.11 business environmental risk (BER), n—a risk which
Defense and International County/City Management Associa-
can have a material environmental or environmentally-driven
tion use “Land Use Controls.” The term “land use restrictions” impact on the business associated with the current or planned
is used but not defined in the Brownfields Amendments). use of commercial real estate, not necessarily related to those
E1527 − 21
environmental issues required to be investigated in this prac- substances or petroleum products allowed to remain in place
tice. Consideration of BER issues may involve addressing one subject to implementation of required controls (for example,
ormorenon-scopeconsiderations,someofwhichareidentified activity and use limitations or other property use limitations).
in Section 13. For examples of controlled recognized environmental
conditions, see Appendix X4.
3.2.12 commercial real estate, n—anyreal propertyexcepta
3.2.17.1 Discussion—Identification of a controlled recog-
dwelling or property with no more than four dwelling units
nized environmental condition is a multi-step process that shall
exclusively for residential use (except that a dwelling or
bereflectedinthe report’sFindingsandOpinionssection(s),as
property with no more than four dwelling units exclusively for
described in 12.5 and 12.6, including the environmental
residential use is included in this term when it has a commer-
professional’s rationale for concluding that a finding is a
cial function, as in the construction of such dwellings for
controlled recognized environmental condition:
profit). This term includes but is not limited to undeveloped
(1) When determining whether a recognized environmental
real propertyandreal propertyusedforindustrial,retail,office,
condition has been “addressed to the satisfaction of the
agricultural, other commercial, medical, or educational pur-
applicable regulatory authority or authorities with hazardous
poses; property used for residential purposes that has more
substances or petroleum products allowed to remain in place,”
than four residential dwelling units; and property with no more
the environmental professional shall review reasonably ascer-
than four dwelling units for residential use when it has a
tainable documentation, such as no further action letters (or
commercial function, as in the building of such dwellings for
similar certifications or approvals) issued by the applicable
profit.
regulatory authority or authorities, or, in the case of self-
3.2.13 commercial real estate transaction, n—a transfer of
directed actions, documentation and relevant data that satisfy
title to or possession of real property or receipt of a security
risk-based criteria established by the applicable regulatory
interest in real property, except that it does not include transfer
authority or authorities.
of title to or possession of real property or the receipt of a
(2) In determining whether a recognized environmental
security interest in real property with respect to an individual
condition is “subject to implementation of required controls
dwelling or building containing fewer than five dwelling units,
(for example, activity and use limitations or other property use
nor does it include the purchase of a lot or lots to construct a
limitations),” the environmental professional shall identify the
dwelling for occupancy by a purchaser, but a commercial real
documentation providing the control(s) that addresses the
estate transaction does include real property purchased or
recognized environmental condition in the report’s Findings
leased by persons or entities in the business of constructing or
and Opinions section(s).
developing dwelling units.
(3) When the environmental professional determines that a
3.2.14 construction debris, n—concrete, brick, asphalt, and
recognized environmental condition is “subject to implemen-
other such building materials discarded in the construction of a
tation of required controls,” this determination does not imply
building or other improvement to property.
that the environmental professional has evaluated or confirmed
the adequacy, implementation, or continued effectiveness of
3.2.15 contaminated public wells, n—public wells used for
the control(s).
drinking water that have been designated by a government
(4) A past release that previously qualified as a controlled
entity as contaminated by hazardous substances (for example,
recognized environmental condition may no longer constitute a
chlorinated solvents)or petroleum products, or as having water
controlled recognized environmental condition at the time of
unsafe to drink without treatment.
the Phase I Environmental Site Assessmentifnewconditionsor
3.2.16 contiguous property owner [42 U.S.C. § 9607(q)],
information have been identified such as, among other things,
n—a person may qualify for the contiguous property owner
a change in regulatory criteria, a change of use at the subject
liability protection if, among other requirements, such person
property, or a subsequently identified migration pathway that
owns real property that is contiguous to, and that is or may be
was not previously known or evaluated.
contaminated by hazardous substances from other real prop-
3.2.18 data failure, n—failure to achieve the historical
ertythatisnotownedbythatperson.Furthermore,suchperson
research objective in 8.3.1 even after reviewing the standard
conducted all appropriate inquiries at the time of acquisition
historical resources in 8.3.4.1 through 8.3.4.8 that are reason-
of the subject property and did not know or have reason to
ably ascertainable and likely to be useful. Data failure is one
know that the subject property was or could be contaminated
type of data gap. See 8.3.6.
by a release or threatened release from the contiguous prop-
erty. The all appropriate inquiries must not result in knowl-
3.2.19 data gap, n—a lack of or inability to obtain informa-
edge of contamination. If it does, then such person did “know” tion required by this practice despite good faith efforts by the
or “had reason to know” of contamination and would not be
environmental professional to gather such information. Data
eligible for the contiguous property owner liability protection. gaps may result from incompleteness in any of the activities
See Appendix X1 for the other necessary requirements that are
required by this practice, including, but not limited to, site
beyond the scope of this practice.
reconnaissance (for example, an inability to conduct the site
visit), and interviews (for example, an inability to interview the
3.2.17 controlled recognized environmental condition,
key site manager, regulatory officials, etc.). See 12.6.
n—recognized environmental condition affecting the subject
property that has been addressed to the satisfaction of the 3.2.20 de minimis condition, n—a condition related to a
applicable regulatory authority or authorities with hazardous release that generally does not present a threat to human health
E1527 − 21
or the environment and that generally would not be the subject property is subject to recognized environmental conditions.At
of an enforcement action if brought to the attention of the option of the user,an environmental site assessment may
appropriate governmental agencies. A condition determined to include more inquiry than that constituting all appropriate
be a de minimis condition is not a recognized environmental inquiries or, if the user is not concerned about qualifying for
conditionnora controlled recognized environmental condition. the LLPs, less inquiry than that constituting all appropriate
inquiries.An environmental site assessment is both different
3.2.21 demolition debris, n—concrete, brick, asphalt, and
fromandoftenlessrigorousthanan environmental compliance
other such building materials discarded in the demolition of a
audit.
building or other improvement to a property.
3.2.32 ERNS list, n—EPA’s emergency response notification
3.2.22 drum, n—a container (typically, but not necessarily,
system list of reported CERCLA hazardous substance releases
holding 55 gal (208 L) of liquid) that may be used to store
or spills in quantities greater than the reportable quantity, as
hazardous substances or petroleum products.
maintained at the National Response Center. Notification
3.2.23 dry wells, n—underground areas where soil has been
requirements for such releases or spills are codified in 40
removed and replaced with pea gravel, coarse sand, or large
C.F.R. Parts 302 and 355.
rocks. Dry wells are used for drainage, to control storm runoff,
3.2.33 fill dirt, n—dirt, soil, sand, or other earth, that is
for the collection of spilled liquids (intentional and non-
obtained off-site, that is used to fill holes or depressions, create
intentional), and wastewater disposal (often illegal).
mounds, or otherwise artificially change the grade or elevation
3.2.24 due diligence, n—the process of inquiring into the
of real property. It does not include material that is used in
environmental characteristics of commercial real estate or
limited quantities for normal landscaping activities.
other conditions, usually in connection with a commercial real
3.2.34 fire insurance maps, n—mapsoriginallyproducedfor
estate transaction. The degree and kind of due diligence vary
fire insurance purposes that indicate uses of properties at
for different properties, and differing purposes. See Appendix
specified dates.
X1.
3.2.35 good faith, n—absence of any intention to seek an
3.2.25 dwelling, n—structure or portion thereof used for
unfair advantage or to defraud another party; an honest and
residential habitation.
sincere intention to fulfill one’s obligations in the conduct or
3.2.26 engineering controls, n—physical modifications to a
transaction concerned.
site or facility (for example, capping, slurry walls, or point of
3.2.36 hazardous substance, n—a substance defined as a
use water treatment) to reduce or eliminate the potential for
exposure to hazardous substances or petroleum products in the hazardous substance pursuant to CERCLA 42 U.S.C.
§ 9601(14), as interpreted by EPA regulations and the courts:
soil or groundwater on a property. Engineering controls are a
type of activity and use limitation (AUL). “(A) any substance designated pursuant to section
1321(b)(2)(A) of Title 33, (B) any element, compound,
3.2.27 environment, n—environment shall have the same
mixture, solution, or substance designated pursuant to section
meaning as the definition of environment in CERCLA 42
9602 of this title, (C) any hazardous waste having the
U.S.C. § 9601(8)). For additional background information, see
characteristics identified under or listed pursuant to section
LegalAppendix (Appendix X1)to X1.1.1 “Releases orThreat-
3001 of the Resource Conservation and RecoveryAct of 1976
ened Releases.”
(RCRA), as amended, (42 U.S.C. § 6921) (but not including
3.2.28 environmental compliance audit, n—the investiga-
any waste the regulation of which under RCRA (42 U.S.C.
tive process to determine if the operations of an existing
§ 6901 et seq.) has been suspended by Act of Congress), (D)
facility are in compliance with applicable environmental laws
any toxic pollutant listed under section 1317(a) of Title 33, (E)
and regulations. This term should not be used to describe this
any hazardous air pollutant listed under section 112 of the
practice, although an environmental compliance audit may
Clean Air Act (42 U.S.C. § 7412), and (F) any imminently
include an environmental site assessment or, if prior audits are
hazardouschemicalsubstanceormixturewithrespecttowhich
available, may be part of an environmental site assessment.
theAdministrator(ofEPA)hastakenactionpursuanttosection
3.2.29 environmental lien, n—a charge, security, or encum-
2606 of Title 15. The term does not include petroleum,
brance upon title to a property to secure the payment of a cost,
including crude oil or any fraction thereof which is not
damage, debt, obligation, or duty arising out of response
otherwise specifically listed or designated as a hazardous
actions, cleanup, or other remediation of hazardous substances
substance under subparagraphs (A) through (F) of this
or petroleum products upon a property, including (but not
paragraph, and the term does not include natural gas, natural
limited to) liens imposed pursuant to CERCLA 42 U.S.C.
gas liquids, liquefied natural gas, or synthetic gas usable for
§§ 9607(1) & 9607(r) and similar state or local laws.
fuel (or mixtures of natural gas and such synthetic gas).” (See
3.2.30 environmental professional, n—a person meeting the Appendix X1.)
education, training, and experience requirements as set forth in
3.2.37 hazardous waste, n—any hazardous wastehavingthe
40 C.F.R. § 312.10(b). For the convenience of the reader, this
characteristics identified under or listed pursuant to section
section is reprinted in Appendix X2. The person may be an
3001 of RCRA, as amended, (42 U.S.C. § 6921) (but not
independent contractor or an employee of the user.
including any waste the regulation of which under RCRA (42
3.2.31 environmental site assessment (ESA), n—the process U.S.C. §§ 6901-6992k) has been suspended by Act of Con-
by which a person or entity seeks to determine if a subject gress). RCRA is sometimes also identified as the Solid Waste
E1527 − 21
Disposal Act. RCRA defines a hazardous waste, at 42 U.S.C. Department of Toxic Substances Control), Sites with Deed
§ 6903, as: “a solid waste, or combination of solid wastes, Restrictions (California StateWater Resources Control Board),
which because of its quantity, concentration, or physical, Environmental Covenant List (Washington), Sites With Envi-
chemical, or infectious characteristics may: (A) cause, or ronmental Covenants and Use Restrictions (Colorado), Institu-
significantly contribute to an increase in mortality or an tional Control Registry (Indiana), Environmental SiteTracking
increase in serious irreversible, or incapacitating reversible, and Research Tool (Missouri), and the Pennsylvania Activity
illness, or (B) pose a substantial present or potential hazard to and Use Limitation (PA AUL) Registry.
human health or the environment when improperly treated,
3.2.41 innocent landowner [42 U.S.C. §§ 9601(35) &
stored, transported, or disposed of, or otherwise managed.”
9607(b)(3)], n—a person may qualify as one of three types of
3.2.38 hazardous waste/contaminated sites, n—sites on
innocent landowners: (1) a person who “did not know and had
which a release has occurred, or is suspected to have occurred,
no reason to know” that contamination existed on the subject
of any hazardous substance, hazardous waste,or petroleum
property at the time the purchaser acquired the subject prop-
products, and that release or suspected release has been
erty; (2) a government entity which acquired the subject
reported to a government entity.
property by escheat, or through any other involuntary transfer
or acquisition, or through the exercise of eminent domain
3.2.39 historical recognized environmental condition, n—a
authority by purchase or condemnation; or (3) a person who
previous release of hazardous substances or petroleum prod-
“acquired the facility by inheritance or bequest.”To qualify for
ucts affecting the subject property that has been addressed to
the innocent landowner defense, such person must have made
the satisfaction of the applicable regulatory authority or au-
all appropriate inquiries on or before the date of purchase.
thorities and meeting unrestricted use criteria established by
Furthermore, the all appropriate inquiries must not have
the applicable regulatory authority or authorities without sub-
resulted in knowledge of the contamination. If it does, then
jecting the subject property to any controls (for example,
such person did “know” or “had reason to know” of contami-
activity and use limitations or other property use limitations).
nation and would not be eligible for the innocent landowner
A historical recognized environmental condition is not a
defense.SeeAppendixX1fortheothernecessaryrequirements
recognized environmental condition. For examples of histori-
that are beyond the scope of this practice.
cal recognized environmental conditions, see Appendix X4.
3.2.39.1 Discussion—Identification of a historical recog-
3.2.42 institutional controls (IC), n—a legal or administra-
nized environmental condition is a multi-step process that shall
tive mechanism (for example, “deed restrictions,” restrictive
bereflectedinthe report’sFindingsandOpinionssection(s),as
covenants, easements, or zoning) on the use of, or access to, a
described in 12.5 and 12.6, including the environmental
site or facility to (1) reduce or eliminate potential exposure to
professional’s rationale for concluding that a finding is a
hazardous substances or petroleum products in the soil or
historical recognized environmental condition:
groundwater on the property,or (2) to prevent activities that
(1) When determining whether a recognized environmental
could interfere with the effectiveness of a response action, in
condition has been “addressed to the satisfaction of the
order to ensure maintenance of a condition of no significant
applicable regulatory authority or authorities and meeting
risk to public health or the environment. An institutional
unrestricted use criteria established by the regulatory authority
control is a type of activity and use limitation (AUL).
or authorities,” the environmental professional shall review
3.2.43 interviews, n—those portions of this practice that are
reasonably ascertainable documentation and relevant data that
conducted to gather information from an individual or indi-
demonstrate that unrestricted use criteria established by the
viduals in person, by telephone, in writing, or via other
applicable regulatory authority or authorities was met.
electronic media to meet the objectives of this practice.
(2) A past release that qualified as a historical recognized
3.2.44 key site manager, n—the person identified by the
environmental condition may no longer qualify as a historical
owner or operator of a subject property as having good
recognized environmental condition if new conditions or infor-
knowledge of the uses and physical characteristics of the
mation have been identified such as, among other things, a
subject property. See 10.5.1.
change in regulatory criteria or a subsequently identified
migration pathway that was not previously known or evalu-
3.2.45 land title records, n—records that affect the title of
ated. As noted, the report’s Findings and Opinions section(s)
real estate, which may include, among other things, deeds,
shall include the environmental professional’s rationale for
mortgages, leases, land contracts, court orders, easements,
concluding that a condition at the subject property is or is not
liens, and AULs recorded within the recording systems or land
currently a recognized environmental condition or a historical
registration systems created by state statute in every state and
recognized environmental condition.
ordinarily administered in the local jurisdiction (usually the
3.2.40 IC/EC registries, n—databases of institutional con- county) in which the subject property is located, and available
trols or engineering controls that may be maintained by a by performing a title search. Such records are publicly
federal, state, or local environmental agency for purposes of accessible, though the process of performing a title search to
tracking sites that may contain residual contamination and find land title records often requires specialized expertise or
AULs.Thenamesforthesemayvaryfromprogramtoprogram knowledge of the local system (see 5.4 – AULs and Environ-
and state to state, and include terms such as, but not limited to mental Liens in Land Title Records).Informationaboutthetitle
the following: Declaration of Environmental Use Restriction to the subject property that is filed or stored in any place other
database (Arizona), Land Use Restriction Sites (California than where land title records are, by law or custom, recorded
E1527 − 21
for the local jurisdiction in which the subject property is 3.2.58 other historical resources, n—any resource other
located, are not considered land title records. than those designated in 8.3.4.1 through 8.3.4.8 that are
credible to a reasonable person and that identify past uses of
3.2.46 landfill, n—a place, location, tract of land, area, or
properties. See 8.3.4.9.
premises used for the disposal of solid wastes as defined by
3.2.59 owner, n—generally the fee owner of record of a
state solid waste regulations. The term is synonymous with the
term solid waste disposal site and is also known as a garbage property.
dump, trash dump, or similar term.
3.2.60 petroleum exclusion, n—the exclusion from CER-
CLAliability provided in 42 U.S.C. § 9601(14), as interpreted
3.2.47 landowner liability protections (LLPs), n—a defense
by the courts and EPA: “The term (hazardous substance) does
to CERCLA available to bona fide prospective purchasers,
not include petroleum, including crude oil or any fraction
contiguous property owners, and innocent landowners. See 42
thereof which is not otherwise specifically listed or designated
U.S.C. §§ 9601(35)(A), 9601(40), 9607(q), and 9607(r).
as a hazardous substance under subparagraphs (A) through (F)
3.2.48 local government agencies, n—those agencies of
of this paragraph, and the term does not include natural gas,
municipal or county government having jurisdiction over the
natural gas liquids, liquefied natural gas, or synthetic gas
subject property. Municipal and county government agencies
usable for fuel (or mixtures of natural gas and such synthetic
include but are not limited to cities, parishes, townships, and
gas).”
similar entities.
3.2.61 petroleum products, n—those substances included
3.2.49 local street directories, n—directories published by
withinthemeaningofthe petroleum exclusiontoCERCLA,42
private or government entities that list the occupant(s) of a
U.S.C. § 9601(14), as interpreted by the courts and EPA, that
specific address at the time the occupant data were collected,
is: petroleum, including crude oil or any fraction thereof which
typically within a year of the publication date of the directory.
isnototherwisespecificallylistedordesignatedasa hazardous
3.2.50 major occupants, n—those tenants, subtenants, or
substance under Subparagraphs (A) through (F) of 42 U.S.C.
otherpersonsorentitieseachofwhichusesatleast40 %ofthe
§ 9601(14), natural gas, natural gas liquids, liquefied natural
leasableareaofthe subject propertyoranyanchortenantwhen
gas, and synthetic gas usable for fuel (or mixtures of natural
the subject property is a shopping center.
gasandsuchsyntheticgas).(Thewordfractionreferstocertain
distillates of crude oil, including gasoline, kerosine, diesel oil,
3.2.51 material safety data sheet (MSDS), n—see safety
jet fuels, and fuel oil, pursuant to Standard Definitions of
data sheet.
Petroleum Statistics. )
3.2.52 material threat, n—obvious threat which is likely to
3.2.62 Phase I Environmental Site Assessment, n—the pro-
lead to a release and that, in the opinion of the environmental
cess described in this practice.
professional, would likely result in impact to public health or
the environment. An example might include an aboveground
3.2.63 physical setting sources, n—resources that provide
storage tank system that contains a hazardous substance and
information about the geologic, hydrogeologic, hydrologic, or
which shows evidence of damage. The damage would repre-
topographic characteristics of the area that includes the subject
senta material threatifitisdeemedseriousenoughthatitmay
property. See 8.2.1.
cause or contribute to tank integrity failure with a release of
3.2.64 pits, ponds, or lagoons, n—manmade or natural
contents to the environment.
depressions in a ground surface that are likely to hold liquids
3.2.53 migrate/migration, v/n—for the purposes of this or sludge containing hazardous substances or petroleum prod-
practice, “migrate” and “migration” refers to the movement of
ucts. The likelihood of such liquids or sludge being present is
hazardous substances or petroleum products in any form, determined by evidence of factors associated with the pit,
including, for example, solid and liquid at the surface or
pond,orlagoon,including,butnotlimitedto,discoloredwater,
subsurface, and vapor in the subsurface. distressedvegetation,orthepresenceofan obvious wastewater
3.2.53.1 Discussion—Vapor migration in the subsurface is discharge.
described in Guide E2600; however, nothing in this practice
3.2.65 practically reviewable, adj—informationthatis prac-
should be construed to require application of the Guide E2600
tically reviewable means that the information is provided by
standard to achieve compliance with all appropriate inquiries.
the source in a manner and in a form that, upon examination,
3.2.54 National Priorities List (NPL), n—list compiled by yields information relevant to the subject property without the
need for extraordinary analysis of irrelevant data. The form of
EPA pursuant to CERCLA 42 U.S.C. § 9605(a)(8)(B) of sites
with the highest priority for cleanup pursuant to EPA’s Hazard the information shall be such that the user can review the
records for a limited geographic area. Records that cannot be
Ranking System. See 40 C.F.R. Part 300.
feasibly retrieved by reference to the location of the subject
3.2.55 obvious, adj—that which is plain or evident; a
property or a geographic area in which the subject property is
condition or fact that could not be ignored or overlooked by a
located are not generally practically reviewable. Most data-
reasonable observer.
bases of public records are practically reviewable if they can
3.2.56 occupants, n—those tenants, subtenants, or other
persons or entities using a property or a portion of a property.
3.2.57 operator, n—person responsible for the overall op-
Standard Definitions of Petroleum Statistics, American Petroleum Institute,
eration of a facility. Fifth Edition, 1995.
E1527 − 21
be obtained from the source agency by the county, city, zip expected or believed by a reasonable observer based on the
code, or other geographic area of the facilities listed in the logic and/or experience of the environmental professional,
record system. Records that are sorted, filed, organized, or and/or available evidence, as stated in the report to support the
maintained by the source agency only chronologically are not opinions given therein.
generally practically reviewable. Listings in publicly available 3.2.73.2 Discussion—A de minimis condition is not a rec-
records which do not have adequate address information to be ognized environmental condition. See Appendix X4: Addi-
located geographically are not generally considered practically tional Examination of the Recognized Environmental Condi-
reviewable. For large databases with numerous records (such tion Definition and Logic.
as RCRA hazardous waste generators and registered under-
3.2.74 records review, n—that part that is contained in
ground storage tanks), the records are not practically review-
Section 8 of this practice that addresses which records shall or
able unless they can be obtained from the source agency in the
may be reviewed.
smaller geographic area of zip codes. Even when information
3.2.75 release, n/v—a releaseofany hazardous substanceor
is provided by zip code for some large databases, it is common
petroleum product shall have t
...

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.
Designation: E1527 − 13 E1527 − 21
Standard Practice for
Environmental Site Assessments: Phase I Environmental
Site Assessment Process
This standard is issued under the fixed designation E1527; 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
1.1 Purpose—The purpose of this practice is to define good commercial and customary practice in the United States of America
for conducting an environmental site assessment of a parcel of commercial real estate with respect to the range of contaminants
within the scope of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) (42 U.S.C.
§9601)§ 9601) and petroleum products. As such, this practice is intended to permit a user to satisfy one of the requirements to
qualify for the innocent landowner, contiguous property owner, or bona fide prospective purchaser limitations on CERCLA
liability (hereinafter, the “landowner liability protections,” or “LLPs”): that is, the practice that constitutes all appropriate inquiries
into the previous ownership and uses of the property consistent with good commercial and customary practice standards and
practices as defined at 42 U.S.C. §9601(35)(B).§ 9601(35)(B). (See Appendix X1 for an outline of CERCLA’s liability and defense
provisions.) Controlled substances are not included within the scope of this standard.practice. Persons conducting an environmental
site assessment as part of an EPA Brownfields Assessment and Characterization Grant awarded under CERCLA 42 U.S.C.
§9604(k)(2)(B)§ 9604(k)(2)(B) must include controlled substances as defined in the Controlled Substances Act (21 U.S.C.
§802)§ 802) within the scope of the assessment investigations to the extent directed in the terms and conditions of the specific grant
or cooperative agreement. Additionally, an evaluation of business environmental risk(BER) associated with a parcel of commercial
real estate may necessitate investigation beyond that identified in this practice (see Sections 1.31.4 and Section 13).
1.1.1 Recognized Environmental Conditions—In defining a standard of good commercial and customary practice for conducting
an The environmental site assessment of a parcel of property, the goal of the processes established by this practice is to identify
recognized environmental conditions. The term recognized environmental conditionscondition means (1) the presence of hazardous
substances or petroleum products in, on, or at the subject property due to a release to the environment; (2) the likely presence of
any hazardous substances or petroleum products in, on, or at athe subject property: ( due to a 1release) due to any or likely release
to the environment; (or 2(3)) under conditions indicative of a the presence of releasehazardous substances toor thepetroleum
environmentproducts; or ( in, on, or at the 3subject property) under conditions that pose a material threat of a future release to
the environment. A Dede minimis condition conditions are is not a recognized environmental conditions.condition.
1.1.2 Petroleum Products—Petroleum products are included within the scope of this practice because they are of concern with
respect to many parcels of commercial real estate and current custom and usage is to include an inquiry into the presence of
petroleum products when doing an environmental site assessment of commercial real estate. Inclusion of petroleum products
within the scope of this practice is not based upon the applicability, if any, of CERCLA to petroleum products. (See X1.1.2.1 for
discussion of petroleum exclusion to CERCLA liability.)
1.1.3 CERCLA Requirements Other Than Appropriate Inquiries—This practice does not address whether requirements in addition
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 Nov. 1, 2013Nov. 1, 2021. Published November 2013November 2021. Originally approved in 1993. Last previous edition approved in 20052013
as E1527 – 05.E1527 – 13. DOI: 10.1520/E1527-13.10.1520/E1527-21.
All definitions, descriptions of terms, and acronyms are defined in Section 3. Whenever terms defined in 3.2 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
E1527 − 21
to all appropriate inquiries have been met in order to qualify for the LLPs (for example, the duties specified in 42 U.S.C.
§9607(b)(3)(a)§§ 9607(b)(3)(a) and (b) and cited in Appendix X1, including the continuing obligation not to impede the integrity
and effectiveness of activity and use limitations [AULs], (AULs), or the duty to take reasonable steps to prevent releases, or the
duty to comply with legally required release reporting obligations).
1.1.4 Other Federal, State, and Local Environmental Laws—This practice does not address requirements of any state or local laws
or of any federal laws other than the all appropriate inquiries provisions of the LLPs.Users are cautioned that federal, state, and
local laws may impose environmental assessment obligations that are beyond the scope of this practice. Users should also be aware
that there are likely to be other legal obligations with regard to hazardous substances or petroleum products discovered on in, on,
or at the subject property that are not addressed in this practice and that may pose risks of civil and/or criminal sanctions for
non-compliance.noncompliance.
1.1.5 Documentation—The scope of this practice includes research and reporting requirements that support the user’s ability to
qualify for the LLPs. As such, sufficient documentation of all sources, records, and resources utilized in conducting the inquiry
required by this practice must be provided in the written report (refer to 8.1.9 and 12.2).
1.2 Objectives—Objectives guiding the development of this practice are (1) to synthesize and put in writing good commercial and
customary practice for environmental site assessments for commercial real estate,estate; (2) to facilitate high quality, standardized
environmental site assessments,assessments; (3) to provide a practical and reasonable standard practice for conducting all
appropriate inquiries,inquiries; and (4) to clarify an industry standard for all appropriate inquiries in an effort to guide legal
interpretation of the LLPs.
1.3 Units—The values stated in inch-pound units are to be regarded as the standard. The values given in parentheses are
mathematical conversions to SI units that are provided for information only and are not considered standard.
1.4 Considerations Beyondbeyond Scope—The use of this practice is strictly limited to the scope set forth in this section. Section
13 of this practice identifies, for informational purposes, certain environmental conditions (not an all-inclusive list) that may exist
onat 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 environmental professional’s 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 between
the user and environmental professional as additional services beyond the scope of this practice prior to before initiation of the
environmental site assessment process.
1.4 Organization of This Practice—This practice has thirteen sections and five appendixes. Section 1 is the Scope. Section 2 is
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 provides discussion regarding activity
and use limitations. Section 6 describes User’s Responsibilities. Sections 7 – 12 are the main body of the Phase I Environmental
Site Assessment, including evaluation and report preparation. Section 13 provides additional information regarding non-scope
considerations (see 1.3). The appendixes are included for information and are not part of the procedures prescribed in this practice.
Appendix X1 explains the liability and defense provisions of CERCLA that will assist the user in understanding the user’s
responsibilities under CERCLA; it also contains other important information regarding CERCLA, the Brownfields Amendments,
and this practice. Appendix X2 provides the definition of the environmental professional responsible for the Phase I Environmental
Site Assessment, as required in the “All Appropriate Inquiries” Final Rule (40 C.F.R. Part 312). Appendix X3 provides an optional
User Questionnaire to assist the user and the environmental professional in gathering information from the user that may be
material to identifying recognized environmental conditions.Appendix X4 provides a recommended table of contents and report
format for a Phase I Environmental Site Assessment.Appendix X5 summarizes non-scope considerations that persons may want
to assess.
1.5 This practice offers a set of instructions for performing one or more specific operations. This document cannot replace
education or experience and should be used in conjunction with professional judgment. Not all aspects of this practice may be
Many states and other jurisdictions have differing definitions for terms used throughout this practice, such as “release” and “hazardous substance.” If a Phase I
Environmental Site Assessment is being conducted to satisfy state requirements and to qualify for the state (or other jurisdiction) equivalent of LLPs,users and environmental
professionals are cautioned and encouraged to consider any differing jurisdictional requirements and definitions while performing the Phase I Environmental Site Assessment.
Substances that are outside the scope of this practice (for example, emerging contaminants that are not hazardous substances under CERCLA) may be regulated under state
law and may be federally regulated in the future. Although the presence or any release/threatened release of these substances are “non-scope considerations” under this
practice, the user may nonetheless decide to include such substances in the defined scope of work for which the environmental professional conducting the Phase I
Environmental Site Assessment is engaged. See 13.1.2.
E1527 − 21
applicable in all circumstances. This ASTM standard is not intended to represent or replace the standard of care by which the
adequacy of a given professional service must be judged, nor should this document be applied without consideration of a project’s
many unique aspects. The word “Standard” in the title means only that the document has been approved through the ASTM
consensus process.
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.
1.6 This practice offers a set of instructions for performing one or more specific operations. This document cannot replace
education or experience and should be used in conjunction with professional judgment. Not all aspects of this practice may be
applicable in all circumstances. This ASTM standard is not intended to represent or replace the standard of care by which the
adequacy of a given professional service must be judged, nor should this document be applied without consideration of a project’s
many unique aspects. The word “Standard” in the title means only that the document has been approved through the ASTM
consensus process.
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:
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
E2600 Guide for Vapor Encroachment Screening on Property Involved in Real Estate Transactions
E2790 Guide for Identifying and Complying With Continuing Obligations
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 Small Business Liability Relief and Brownfields
Revitalization Act of 2002 (“Brownfields Amendments”), 42 U.S.C. §§9601§ 9601 et seq.
Emergency Planning and Community Right-To-Know Act of 1986 (“EPCRA”), 42 U.S.C. §§11001§ 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 (also referred to as the Solid Waste Disposal Act), as amended (“RCRA”), 42 U.S.C
§6901U.S.C. § 6901 et seq.
2.3 OSHA Standard:
OSHA Hazard Communication Standard (HCS), 29 C.F.R. § 1910.1200
2.4 USEPA Documents:
“All “Standards and Practices for All Appropriate Inquiries” Final Rule,Rule (AAI), 40 C.F.R. Part 312
Chapter 1 EPA, Subchapter J-Superfund, Superfund, Emergency Planning, and Community Right-To-Know Programs, 40
C.F.RC.F.R. Parts 300-399
USEPA “Enforcement Discretion Guidance Regarding the Affiliation Language of CERCLA’s Bona Fide Prospective Purchaser
and Contiguous Property Owner Liability Protections” (September 21, 2011)
USEPA “Revised Enforcement Guidance Regarding the Treatment of Tenants Under the CERCLA Bona Fide Prospective
Purchaser Provision” (December 5, 2012)
USEPA “Enforcement Discretion Guidance Regarding Statutory Criteria for Those Who May Qualify as CERCLA Bona Fide
Prospective Purchasers, Contiguous Property Owners, or Innocent Landowners” (“Common Elements Guidance”) (July 29,
2019)
USEPA “Superfund Liability Protections for Local Government Acquisitions after the Brownfields Utilization, Investment, and
Local Development Act of 2018” (June 15, 2020)
National Oil and Hazardous Substances Pollution Contingency Plan, 40 C.F.R. Part 300
2.4 Other Federal Agency Document:
OSHA Hazard Communication Regulation, 29 C.F.R. §1910.1200
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.
Available from https://uscode.house.gov/.
Available from www.osha.gov.
Available from www.epa.gov.
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3. Terminology
3.1 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 the practice and its use.
3.2 Definitions:
3.2.1 abandoned property—property, n—property that can be presumed to be deserted, or an intent to relinquish possession or
control can be inferred from the general disrepair or lack of activity thereon such that a reasonable person could believe that there
was an intent on the part of the current owner to surrender rights to the property.
3.2.2 activity and use limitations—limitations (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 substances or petroleum products in the soil, soil vapor,
groundwater, and/or surface water on the 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/or engineering controls, are intended to prevent adverse impacts to
individuals or populations that may be exposed to hazardous substances and petroleum products in the soil, soil vapor,
groundwater, and/or surface water on thea property. See Note 1.
NOTE 1—The term AUL is taken from 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, EPA and California do not include physical
controls within their definitions of “institutional controls.” Department of Defense and International County/City Management Association use “Land Use
Controls.” The term “land use restrictions” is used but not defined in the Brownfields Amendments).
3.2.2.1 Discussion—
The term activity and use limitations (AULs) is taken from 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, EPA and California do not include physical controls within their definitions of “institutional controls.”
Department of Defense and International County/City Management Association use “Land Use Controls.” The term “land use
restrictions” is used but not defined in the Brownfields Amendments).
3.2.3 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.
3.2.4 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.
3.2.5 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 8.3.4.1 of this practice.
3.2.6 all appropriate inquiries—inquiries, n—that inquiry constituting all appropriate inquiries into the previous ownership and
uses of the subject property consistent with good commercial and customary practice as defined in CERCLA, 42 U.S.C
§9601(35)(B), U.S.C. § 9601(35)(B) and 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)),U.S.C. §§ 9601(35)(A) & (B), § 9607(b)(3), § 9607(q), and § 9607(r)), assuming compliance with other elements of
the defense. See Appendix X1.
3.2.7 approximate minimum search distance—distance, n—the area for which records must be obtained and reviewed pursuant to
Section 8 subject to the limitations provided in that section. This may include areas outside the subject property and shall be
measured from the nearest subject property boundary. This term is used in lieu of radius to include irregularly shaped properties.
3.2.8 bona fide prospective purchaser liability protection—[42 U.S.C. § 9607(r)], n—(42 U.S.C. §9607(r))—a a person may
qualify as a bona fide prospective purchaser if, among other requirements, such person made “all“all appropriate inquiries into
the previous ownership and uses of the facility in accordance with generally accepted good commercial and customary standards
and practices.” Knowledge of contamination resulting from all appropriate inquiries would not generally preclude this liability
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protection. A person must make all appropriate inquiries on or before the date of purchase. The facility must have been purchased
after January 11, 2002. See Appendix X1 for the other necessary requirements that are beyond the scope of this practice.
3.2.9 Brownfields Amendments—Amendments, n—amendments to CERCLA pursuant to the Small Business Liability Relief and
Brownfields Revitalization Act, Pub. L. No. 107-118 (2002), 42 U.S.C. §§9601 U.S.C. § 9601 et seq.
3.2.10 building department records—records, n—those records of the local government in which the subject property is located
indicating permission of the local government to construct, alter, or demolish improvements on thea property. Often building
department records are located in the building department of a municipality or county. See 8.3.4.7.
3.2.11 business environmental risk—risk (BER), n—a risk which can have a material environmental or environmentally-driven
impact on the business associated with the current or planned use of a parcel of commercial real estate, not necessarily
limitedrelated to those environmental issues required to be investigated in this practice. Consideration of business environmental
riskBER issues may involve addressing one or more non-scope considerations, some of which are identified in Section 13.
3.2.12 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 building
of such dwellings for profit.
3.2.13 commercial real estate transaction—transaction, n—a transfer of title to or possession of real property or receipt of a
security interest in real property, except that it does not include transfer of title to or possession of real property or the receipt of
a security interest in real property with respect to an individual dwelling or building containing fewer than five dwelling units, nor
does it include the purchase of a lot or lots to construct a dwelling for occupancy by a purchaser, but a commercial real estate
transaction does include real property purchased or leased by persons or entities in the business of buildingconstructing or
developing dwelling units.
3.2.14 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.
3.2.14 construction debris—debris, n—concrete, brick, asphalt, and other such building materials discarded in the construction of
a building or other improvement to property.
3.2.15 contaminated public wells—wells, n—public wells used for drinking water that have been designated by a government
entity as contaminated by hazardous substances (for example, chlorinated solvents),) or petroleum products, or as having water
unsafe to drink without treatment.
3.2.16 contiguous property owner liability protection—[42 U.S.C. § 9607(q)], n—(42 U.S.C. §9607(q))—a a person may qualify
for the contiguous property owner liability protection if, among other requirements, such person owns real property that is
contiguous to, and that is or may be contaminated by hazardous substances from other real property that is not owned by that
person. Furthermore, such person conducted all appropriate inquiries at the time of acquisition of the subject property and did not
know or have reason to know that the subject property was or could be contaminated by a release or threatened release from the
contiguous property. The all appropriate inquiries must not result in knowledge of contamination. If it does, then such person did
“know” or “had reason to know” of contamination and would not be eligible for the contiguous property owner liability protection.
See Appendix X1 for the other necessary requirements that are beyond the scope of this practice.
3.2.17 controlled recognized environmental condition—condition, n—a recognized environmental condition resulting fromaffect-
ing the a past subject propertyrelease of hazardous substances or petroleum productsthat has been addressed to the satisfaction of
the applicable regulatory authority (for example, as evidenced by the issuance of a no further action letter or equivalent, or meeting
risk-based criteria established by regulatory authority), or authorities with hazardous substances or petroleum products allowed to
remain in place subject to the implementation of required controls (for example, property use restrictions, activity and use
limitations,limitationsinstitutional controls, or engineering controlsother property use limitations). (SeeFor Note 2.) A condition
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considered by the examples environmental professional to be a controlled recognized environmental condition shall be listed in
the findings section of the of Phase I Environmental Site Assessment report,controlled and as a recognized environmental
conditionconditions, insee Appendix X4the conclusions section of the .Phase I Environmental Site Assessment report. (See Note
3.)
NOTE 2—For example, if a leaking underground storage tank has been cleaned up to a commercial use standard, but does not meet unrestricted residential
cleanup criteria, this would be considered a controlled recognized environmental condition. The “control” is represented by the restriction that the property
use remain commercial.
3.2.17.1 Discussion—
Identification of a controlled recognized environmental condition is a multi-step process that shall be reflected in the report’s
Findings and Opinions section(s), as described in 12.5 and 12.6, including the environmental professional’s rationale for
concluding that a finding is a controlled recognized environmental condition:
(1) When determining whether a recognized environmental condition has been “addressed to the satisfaction of the applicable
regulatory authority or authorities with hazardous substances or petroleum products allowed to remain in place,” the environmental
professional shall review reasonably ascertainable documentation, such as no further action letters (or similar certifications or
approvals) issued by the applicable regulatory authority or authorities, or, in the case of self-directed actions, documentation and
relevant data that satisfy risk-based criteria established by the applicable regulatory authority or authorities.
(2) In determining whether a recognized environmental condition is “subject to implementation of required controls (for
example, activity and use limitations or other property use limitations),” the environmental professional shall identify the
documentation providing the control(s) that addresses the recognized environmental condition in the report’s Findings and
Opinions section(s).
(3) When the environmental professional determines that a recognized environmental condition is “subject to implementation
of required controls,” this determination does not imply that the environmental professional has evaluated or confirmed the
adequacy, implementation, or continued effectiveness of the control(s).
(4) A past release that previously qualified as a controlled recognized environmental condition may no longer constitute a
controlled recognized environmental condition at the time of the Phase I Environmental Site Assessment if new conditions or
information have been identified such as, among other things, a change in regulatory criteria, a change of use at the subject
property, or a subsequently identified migration pathway that was not previously known or evaluated.
NOTE 3—A condition identified as a controlled recognized environmental condition does not imply that the environmental professional has evaluated or
confirmed the adequacy, implementation, or continued effectiveness of the required control that has been, or is intended to be, implemented.
3.2.19 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.
3.2.18 data failure—failure, n—a failure to achieve the historical research objectivesobjective in 8.3.1 through 8.3.2.2even after
reviewing the standard historical sourcesresources in 8.3.4.1 through 8.3.4.8 that are reasonably ascertainable and likely to be
useful. Data failure is one type of data gap. See 8.3.2.38.3.6.
3.2.19 data gap—gap, n—a lack of or inability to obtain information required by this practice despite good faith efforts by the
environmental professional to gather such information. Data gaps may result from incompleteness in any of the activities required
by this practice, including, but not limited to, site reconnaissance (for example, an inability to conduct the site visit), and interviews
(for example, an inability to interview the key site manager, regulatory officials, etc.). See 12.712.6.
3.2.20 de minimis condition—condition, n—a condition related to a release that generally does not present a threat to human health
or the environment and that generally would not be the subject of an enforcement action if brought to the attention of appropriate
governmental agencies. Conditions A condition determined to be a de minimis conditionscondition areis not a recognized
environmental conditionscondition nor a controlled recognized environmental conditions.condition.
3.2.21 demolition debris—debris, n—concrete, brick, asphalt, and other such building materials discarded in the demolition of a
building or other improvement to a property.
3.2.22 drum—drum, n—a container (typically, but not necessarily, holding 55 gal (208 L) of liquid) that may be used to store
hazardous substances or petroleum products.
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3.2.23 dry wells—wells, n—underground areas where soil has been removed and replaced with pea gravel, coarse sand, or large
rocks. Dry wells are used for drainage, to control storm runoff, for the collection of spilled liquids (intentional and
non-intentional)non-intentional), and wastewater disposal (often illegal).
3.2.24 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. See Appendix X1.
3.2.25 dwelling—dwelling, n—structure or portion thereof used for residential habitation.
3.2.26 engineering controls, (EC)—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 substances or petroleum products in the soil
or groundwater on thea property.Engineering controls are a type of activity and use limitation (AUL).
3.2.27 environment—environment, n—environment shall have the same meaning as the definition of environment in CERCLA 42
U.S.C. § 9601(8)). § 9601(8)). For additional background information, see Legal Appendix (Appendix X1) to sectionX1.1.1 XI.
1.1 “Releases andor Threatened Release.”Releases.”
3.2.28 environmental compliance audit—audit, n—the investigative process to determine if the operations of an existing facility
are in compliance with applicable environmental laws and regulations. This term should not be used to describe this practice,
although an environmental compliance audit may include an environmental site assessment or, if prior audits are available, may
be part of an environmental site assessment.
3.2.29 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 substances or
petroleum products upon a property, including (but not limited to) liens imposed pursuant to CERCLA 42 U.S.C.
§§9607(1)§§ 9607(1) & 9607(r) and similar state or local laws.
3.2.30 environmental professional—professional, n—a person meeting the education, training, and experience requirements as set
forth in 40 CFR §312.10(b).C.F.R. § 312.10(b). For the convenience of the reader, this section is reprinted in Appendix X2. The
person may be an independent contractor or an employee of the user.
3.2.31 environmental site assessment (ESA)—(ESA), n—the process by which a person or entity seeks to determine if a particular
parcel of real subject property (including improvements) is subject to recognized environmental conditions. At the option of the
user, an environmental site assessment may include more inquiry than that constituting all appropriate inquiries or, if the user is
not concerned about qualifying for the LLPs, less inquiry than that constituting all appropriate inquiries. An environmental site
assessment is both different from and often less rigorous than an environmental compliance audit.
3.2.32 ERNS list—list, n—EPA’s emergency response notification system list of reported CERCLA hazardous substance releases
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 CFRC.F.R. Parts 302 and 355.
3.2.35 Federal Register, (FR)—publication of the United States government published daily (except for federal holidays and
weekends) containing all proposed and final regulations and some other activities of the federal government. When regulations
become final, they are included in the Code of Federal Regulations (CFR), as well as published in the Federal Register.
3.2.33 fill dirt—dirt, n—dirt, soil, sand, or other earth, that is obtained off-site, that is used to fill holes or depressions, create
mounds, or otherwise artificially change the grade or elevation of real property. It does not include material that is used in limited
quantities for normal landscaping activities.
3.2.34 fire insurance maps—maps, n—maps originally produced for private fire insurance map companies purposes that indicate
uses of properties at specified dates and that encompass the property.properties These maps are often available at local libraries,
historical societies, private resellers, or from the map companies who produced them.at specified dates.
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3.2.35 good faith—faith, n—the absence of any intention to seek an unfair advantage or to defraud another party; an honest and
sincere intention to fulfill one’s obligations in the conduct or transaction concerned.
3.2.36 hazardous substance—substance, n—a substance defined as a hazardous substance pursuant to CERCLA 42
U.S.C.§9601(14), U.S.C. § 9601(14), as interpreted by EPA regulations and the courts:“ (A)courts: “(A) any substance designated
pursuant to section 1321(b)(2)(A) of Title 33, (B) any element, compound, mixture, solution, or substance designated pursuant to
section 9602 of this title, (C) any hazardous waste having the characteristics identified under or listed pursuant to section 3001 of
the Resource Conservation and Recovery Act of 1976 (RCRA), as amended, (42 U.S.C. §6921)§ 6921) (but not including any
waste the regulation of which under RCRA (42 U.S.C.§§6901 U.S.C. § 6901 et seq.) has been suspended by Act of Congress), (D)
any toxic pollutant listed under section 1317(a) of Title 33, (E) any hazardous air pollutant listed under section 112 of the Clean
Air Act (42 U.S.C. §7412),§ 7412), and (F) any imminently hazardous chemical substance or mixture with respect to which the
Administrator (of EPA) has taken action pursuant to section 2606 of Title 15. 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).” (See Appendix X1.)
3.2.37 hazardous waste—waste, n—any hazardous waste having the characteristics identified under or listed pursuant to section
3001 of RCRA, as amended, (42 U.S.C. §6921)§ 6921) (but not including any waste the regulation of which under RCRA (42
U.S.C. §§6901-6992k)§§ 6901-6992k) has been suspended by Act of Congress). RCRA is sometimes also identified as the Solid
Waste Disposal Act. RCRA defines a hazardous waste, at 42 U.S.C. §6903,§ 6903, as: “a solid waste, or combination of solid
wastes, which because of its quantity, concentration, or physical, chemical, or infectious characteristics may—(A) may: (A) cause,
or significantly contribute to an increase in mortality or an increase in serious irreversible, or incapacitating reversible,
illness;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.”
3.2.38 hazardous waste/contaminated sites—sites, n—sites on which a release has occurred, or is suspected to have occurred, of
any hazardous substance,hazardous waste, or petroleum products, and that release or suspected release has been reported to a
government entity.
3.2.39 historical recognized environmental condition—condition, n—a pastprevious release of any hazardous substances or
petroleum products that has occurred in connection with affecting the subject property andthat has been addressed to the
satisfaction of the applicable regulatory authority or authorities and meeting unrestricted use criteria established by a regulatory
authority, the applicable regulatory authority or authorities without subjecting the subject property to any required controls (for
example, property use restrictions, activity and use limitations,limitationsinstitutional controls, or orother engineering control-
sproperty use limitations). Before calling the past A release a historical recognized environmental condition,condition the
environmental professional must determine whether the past releaseis not a recognized environmental conditioncondition. at the
time the For examples of Phase I Environmental Site Assessmenthistorical is conducted (for example, if there has been a change
in the regulatory criteria). If the EP considers the past release to be a recognized environmental conditionconditions, atsee
Appendix X4the time the Phase I ESA is conducted, the condition shall be included in the conclusions section of the report as a
.recognized environmental condition.
3.2.39.1 Discussion—
Identification of a historical recognized environmental condition is a multi-step process that shall be reflected in the report’s
Findings and Opinions section(s), as described in 12.5 and 12.6, including the environmental professional’s rationale for
concluding that a finding is a historical recognized environmental condition:
(1) When determining whether a recognized environmental condition has been “addressed to the satisfaction of the applicable
regulatory authority or authorities and meeting unrestricted use criteria established by the regulatory authority or authorities,” the
environmental professional shall review reasonably ascertainable documentation and relevant data that demonstrate that
unrestricted use criteria established by the applicable regulatory authority or authorities was met.
(2) A past release that qualified as a historical recognized environmental condition may no longer qualify as a historical
recognized environmental condition if new conditions or information have been identified such as, among other things, a change
in regulatory criteria or a subsequently identified migration pathway that was not previously known or evaluated. As noted, the
report’s Findings and Opinions section(s) shall include the environmental professional’s rationale for concluding that a condition
at the subject property is or is not currently a recognized environmental condition or a historical recognized environmental
condition.
3.2.40 IC/EC registries—registries, n—databases of institutional controls or engineering controls that may be maintained by a
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federal, state, or local environmental agency for purposes of tracking sites that may contain residual contamination and AULs. The
names for these may vary from program to program and state to state, and include terms such as as, but not limited to the following:
Declaration of Environmental Use Restriction database (Arizona), list of “deed restrictions” (California), environmental real
covenants list (Colorado), brownfields site list (Indiana, Missouri) and Land Use Restriction Sites (California Department of Toxic
Substances Control), Sites with Deed Restrictions (California State Water Resources Control Board), Environmental Covenant List
(Washington), Sites With Environmental Covenants and Use Restrictions (Colorado), Institutional Control Registry (Indiana),
Environmental Site Tracking and Research Tool (Missouri), and the Pennsylvania Activity and Use Limitation (PA AUL)AUL)
Registry.
3.2.41 innocent landowner defense—[42 U.S.C. §§ 9601(35) & 9607(b)(3)], n—(42 U.S.C. §§9601(35) & 9607(b)(3))—a a
person may qualify as one of three types of innocent landowners: (i)(1) a person who “did not know and had no reason to know”
that contamination existed on the subject property at the time the purchaser acquired the subject property; (ii)(2) a government
entity which acquired the subject property by escheat, or through any other involuntary transfer or acquisition, or through the
exercise of eminent domain authority by purchase or condemnation; andor (iii)(3) a person who “acquired the facility by
inheritance or bequest.” To qualify for the innocent landowner defense, such person must have made all appropriate inquiries on
or before the date of purchase. Furthermore, the all appropriate inquiries must not have resulted in knowledge of the
contamination. If it does, then such person did “know” or “had reason to know” of contamination and would not be eligible for
the innocent landowner defense. See Appendix X1 for the other necessary requirements that are beyond the scope of this practice.
3.2.42 institutional controls (IC)—(IC), n—a legal or administrative restrictionmechanism (for example, “deed restrictions,”
restrictive covenants, easements, or zoning) on the use of, or access to, a site or facility to (1) reduce or eliminate potential exposure
to hazardous substances or petroleum products in the soil or groundwater on the 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. An institutional control is a type of Activityactivity and Use Limitationuse limitation (AUL).
3.2.43 interviews—interviews, n—those portions of this practice that are
...