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 assessments to be conducted in other unenumerated instances (including but not limited to many commercial leasing transactions, many acquisitions of easements, and many loan transactions in which the lender has multiple remedies). On the other hand, anyone who elects to do an environmental site assessment of a subject property may, in such person’s judgment, use this practice.NOTE 1: The 2018 BUILD Act amended the CERCLA definition of bona fide prospective purchaser at § 101(40) to include certain commercial tenants or lessees who acquire a leasehold interest in a property. Therefore, in certain cases, a person acquiring a leasehold interest in a commercial property may need to conduct an environmental site assessment, for the purposes of all appropriate inquiries, into the previous ownership and uses of the leased commercial property to qualify for the bona fide prospective purchaser landowner liability protection.4.2.3 Site-Specific—This practice is site-specific in that it relates to the assessment of environmental conditions for specific commercial real estate. Consequently, this practice does not address many additional issues raised in transactions such as purchases of business entities, or interests therein, or of their assets, that may well involve environmental liabilities pertaining to properties previously owned or operated or other off-site environmental liabilities.4.3 Who May Conduct—A Phase I Environmental Site Assessment must be performed by an environmental professional as specified in 7.5.1. No practical standard can be designed to eliminate the role of judgment and the value and need for experience in the party performing the inquiry. The professional judgment of an environmental professional is, consequently, vital to the performance of all appropriate inquiries.4.4 Additional Services—As set forth in 12.10, additional services may be contracted for between the user and the environmental professional. Such additional services may include business environmental risk (BER) issues not included within the scope of this practice, examples of which are identified in Section 13 under Non- Considerations.4.5 Principles—The following principles are an integral part of this practice and are intended to be referred to in resolving any ambiguity or exercising such discretion as is accorded the user or environmental professional in conducting an environmental site assessment or in judging whether a user or environmental professional has conducted appropriate inquiry or has otherwise conducted an adequate environmental site assessment.4.5.1 Uncertainty Not Eliminated—No environmental site assessment can wholly eliminate uncertainty regarding the potential for recognized environmental conditions in connection with a subject property. Performance of this practice is intended to reduce, but not eliminate, uncertainty regarding the potential for recognized environmental conditions in connection with a subject property, and this practice recognizes reasonable limits of time and cost.4.5.2 Not Exhaustive—All appropriate inquiries does not mean an exhaustive assessment of a property. There is a point at which the cost of information obtained or the time required to gather it outweighs the usefulness of the information and, in fact, may be a material detriment to the orderly completion of transactions. One of the purposes of this practice is to identify a balance between the competing goals of limiting the costs and time demands inherent in performing an environmental site assessment and the reduction of uncertainty about unknown conditions resulting from additional information.4.5.3 Level of Inquiry is Variable—Not every property will warrant the same level of assessment. Consistent with good commercial and customary standards and practices as defined at 42 U.S.C. § 9601(35)(B), the appropriate level of environmental site assessment will be guided by the type of property subject to assessment, the expertise and risk tolerance of the user, future intended uses of the subject property disclosed to the environmental professional, and the information developed in the course of the inquiry.4.5.4 Comparison with Subsequent Inquiry—It should not be concluded or assumed that an inquiry was not all appropriate inquiries merely because the inquiry did not identify recognized environmental conditions in connection with a subject property. Environmental site assessments must be evaluated based on the reasonableness of judgments made at the time and under the circumstances in which they were made. Subsequent environmental site assessments should not be considered valid standards to judge the appropriateness of any prior assessment based on hindsight, new information, use of developing technology or analytical techniques, or other factors.4.5.5 Point in Time—The environmental site assessment is based upon conditions at the time of completion of the individual environmental site assessment elements (see 7.2).4.6 Continued Viability of Environmental Site Assessment: 4.6.1 Presumed Viability—Subject to 4.8 and the user’s responsibilities set forth in Section 6, an environmental site assessment meeting or exceeding this practice is presumed to be viable when it is conducted within 180 days prior to the date of acquisition9 of the subject property (or, for transactions not involving an acquisition such as a lease or refinance, the date of the intended transaction). The dates of the components presented in 4.6.2(i), (iii), (iv), and (v) for interviews, review of government records, visual inspections, and declaration by environmental professional, shall be identified in the report. Completion of searches for recorded environmental cleanup liens (4.6.2(ii)) is a user responsibility; however, if the user has engaged the environmental professional to conduct these searches, then that date shall also be identified in the report.4.6.2 Updating of Certain Components—Subject to 4.8 and the user’s responsibilities set forth in Section 6, an environmental site assessment meeting or exceeding this practice and for which the information was collected or updated within one year prior to the date of acquisition of the subject property (or, for transactions not involving an acquisition such as a lease or refinance, the date of the intended transaction) may be used provided that the following components of the inquiries were updated within 180 days prior to the date of purchase or the date of the intended transaction. All of the following components must be conducted or updated within 180 days prior to the date of acquisition or prior to the date of the transaction:(i) interviews with owners, operators, and occupants;(ii) searches for recorded environmental cleanup liens (a user responsibility, see Section 6);(iii) reviews of federal, tribal, state, and local government records;(iv) visual inspections of the subject property and of adjoining properties; and(v) the declaration by the environmental professional responsible for the assessment or update.4.6.3 Compliance with All Appropriate Inquiries—To qualify for one of the threshold criteria for satisfying the LLPs to CERCLA liability, the all appropriate inquiries components listed in 4.6.2 must be conducted or updated within 180 days of and prior to the date of acquisition of the subject property, and all other components of all appropriate inquiries must be conducted within one year prior to the date of acquisition of the subject property. The date of the report generally does not represent the date the individual components of all appropriate inquiries were completed and should not be used when evaluating compliance with the 180-day or 1-year all appropriate inquiries requirements.4.6.4 User’s Responsibilities—If, within this period, the environmental site assessment will be used by a user different than the user for whom the environmental site assessment was originally prepared, the subsequent user must also satisfy the user’s responsibilities in Section 6.4.7 Prior Assessment Usage—This practice recognizes that environmental site assessments performed in accordance with this practice will include information that subsequent users may want to use to avoid undertaking duplicative assessment procedures. Therefore, this practice describes procedures to be followed to assist users in determining the appropriateness of using information in environmental site assessments performed more than one year prior to the date of acquisition of the subject property (or for transactions not involving an acquisition such as a lease or refinance, the date of the intended transaction). The system of prior assessment usage is based on the following principles that should be adhered to in addition to the specific procedures set forth elsewhere in this practice:4.7.1 Use of Prior Information—Subject to the requirements set forth in 4.6, users and environmental professionals may use information in prior environmental site assessments provided such information was generated as a result of procedures that meet or exceed the requirements of this practice. However, such information shall not be used without current investigation of conditions likely to affect recognized environmental conditions in connection with the subject property. Additional tasks may be necessary to document conditions that may have changed materially since the prior environmental site assessment was conducted. Nothing in this practice is intended to convey a right to use or to rely upon resources, information, findings, or opinions provided in prior assessments.4.7.2 Contractual Issues Regarding Prior Assessment Usage—The contractual and legal obligations between prior and subsequent users of environmental site assessments or between environmental professionals who conducted prior environmental site assessments and those who would like to use such prior environmental site assessments are beyond the scope of this practice.4.8 Actual Knowledge Exception—If the user or environmental professional(s) conducting an environmental site assessment has actual knowledge that the information being used from a prior environmental site assessment is not accurate or if it is obvious, based on other information obtained by means of the environmental site assessment or known to the person conducting the environmental site assessment, that the information being used is not accurate, such information from a prior environmental site assessment may not be used.4.9 Rules of Engagement—The contractual and legal obligations between an environmental professional and a user (and other parties, if any) are outside the scope of this practice. No specific legal relationship between the environmental professional and the user is necessary for the user to meet the requirements of this practice.4.10 Organization of This Practice—This practice has thirteen sections and six appendixes. Section 1 is the . 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 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 1.4). 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 offers an additional examination of the recognized environmental condition definition. Appendix X5 provides a suggested table of contents and report format for a Phase I Environmental Site Assessment. Appendix X6 summarizes non-scope considerations that persons may want to assess.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 products in, on, or at the subject property due to a release to the environment; (2) the likely presence of hazardous substances or petroleum products in, on, or at the subject property due to a release or likely release to the environment; or (3) the presence of hazardous substances or petroleum products in, on, or at the subject property under conditions that pose a material threat of a future release to the environment. A de minimis condition is not a recognized environmental condition.1.1.2 Petroleum Products—Petroleum products are included within the scope of this practice because they are of concern with respect to 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.1.1.3 CERCLA Requirements Other Than Appropriate Inquiries—This practice does not address whether requirements in addition 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) and (b) and cited in Appendix X1, including the continuing obligation not to impede the integrity and effectiveness of activity and use limitations [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 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 noncompliance.31.1.5 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; (2) to facilitate high quality, standardized environmental site assessments; (3) to provide a practical and reasonable standard practice for conducting all appropriate 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 beyond —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 at 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 before initiation of the environmental site assessment process.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 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, health, and environmental practices and determine the applicability of regulatory limitations prior to use.1.7 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
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4.1 Uses: 4.1.1 This practice is intended for use on a voluntary basis by parties who wish to evaluate known releases or likely release areas identified by the user or Phase II Assessor, and/or to assess the presence or likely presence of substances, for legal or business reasons such as those described in 1.2. 4.1.2 This practice is intended to meet the business community's need for a written, practical reference describing a scientifically sound approach to investigating a property to evaluate the presence or likely presence of a substance. It is impossible to generalize about the contexts in which a user may wish to conduct such investigations or the degree of confidence a user may require in the results. In any context, this practice, being rooted in sound scientific methodology, can assist users in achieving an objective and defensible assessment. 4.1.2.1 This practice does not address the evaluation of business environmental risks in light of data collected through the Phase II ESA process. Such evaluation is a function of site- and transaction-specific variables, and of the user’s objectives and risk tolerance. This practice contemplates that the Phase II ESA process will be planned and conducted with such variables in mind, and that the user will evaluate legal, business and environmental risks in light of known data relating to the particular site and transaction, and in consultation with legal and business advisors as well as the Phase II Assessor. 4.1.2.2 Likewise, this practice does not define the threshold levels at which target analytes pose a concern of significance to the user. Users may apply this practice not only in light of applicable regulatory criteria and relevant liability principles, but also to meet self-defined objectives. 4.1.2.3 If a Phase II ESA conducted in accordance with this practice provides sufficient information from which the Phase II Assessor can conclude, consistent with the scientific method, that the question to be addressed by the assessment (see 6.4.1) has been answered, then further assessment is not warranted to meet the objectives of the assessment. 4.1.3 Use Not Limited to CERCLA—This practice is designed to assist a user in developing information about the environmental condition of the property and has utility for a wide range of target analytes (e.g., including diffuse anthropogenic contamination and naturally occurring substances) and users including those who may have no actual or potential CERCLA concerns. 4.1.4 Site- and Transaction-Specific—The scope of a Phase II ESA is site-specific and context-specific. The assessment process defined by this practice is intended to generate sound, objective, and defensible information sufficient to satisfy diverse user objectives. 4.1.5 Use by Other Parties—This practice does not define whether or to what extent any person other than the user may use or rely upon a Phase II ESA prepared for the user. The appropriateness of third party use or reliance is a contractual matter that should be addressed between user and Phase II Assessor, see Appendix X2, section X2.4. 4.2 Principles—The following principles are an integral part of this practice and are intended to be referred to in resolving any ambiguity or exercising such discretion as is accorded the user or Phase II Assessor. 4.2.1 Elimination of Uncertainty—No Phase II ESA can eliminate all uncertainty. Furthermore, any sample, either surface or subsurface, taken for chemical testing may or may not be representative of a larger population. Professional judgment and interpretation are inherent in the process, and even when exercised in accordance with objective scientific principles, uncertainty is inevitable. Additional assessment beyond that which was reasonably undertaken may reduce the uncertainty. 4.2.1.1 Failure to Detect—Even when Phase II ESA work is executed competently and in accordance with this practice, it must be recognized that certain conditions present especially difficult target analyte detection problems. Such conditions may include, but are not limited to, complex geological settings, unusual or generally poorly understood behavior and fate characteristics of certain substances, complex, discontinuous, random, dynamic, or spotty distributions of existing target analytes, physical impediments to investigation imposed by the location of utilities and other man-made objects, and the inherent limitations of assessment technologies. 4.2.1.2 Limitations of Information—The effectiveness of a Phase II ESA may be compromised by limitations or defects in the information used to define the objectives and scope of the investigation, including inability to obtain information concerning historical site uses or prior site assessment activities despite the efforts of the user and Phase II Assessor to obtain such information in accordance with 5.1.3. 4.2.1.3 Chemical Analysis Error—Chemical testing methods have inherent uncertainties and limitations. The Phase II Assessor shall build quality control and quality assurance measures into the assessment, as outlined in Section 7. The Phase II Assessor should require the laboratory to report any potential or actual problems experienced, or nonroutine events which may have occurred during the testing, so that such problems can be considered in evaluating the data. The Phase II Assessor should subsequently identify such problems in any reports or documentation provided to the user. Any laboratory utilized for chemical testing shall be accredited in accordance with applicable state requirements. 4.2.2 Level of Assessment—Phase II ESAs do not generally require an exhaustive assessment of environmental conditions on a property. There is a point at which the cost of information obtained and the time required to obtain it outweigh the benefit of the information and, in the context of private transactions and contractual responsibilities, may become a material detriment to the orderly conduct of business. If the presence of target analytes is confirmed on a property, the extent of further assessment is a function of the degree of confidence required and the degree of uncertainty acceptable, in relation to the objectives of the assessment. 4.2.3 Comparison With Subsequent Inquiry—The justification and adequacy of the findings of a Phase II ESA in light of the findings of a subsequent inquiry should be evaluated based on the reasonableness of judgments made at the time and under the circumstances in which they were made. 4.2.4 Data Usability—Investigation data generally only represent the site conditions at the time the data were generated and site conditions can be dynamic. Therefore, the usability of data collected as part of a Phase II ESA may have a finite lifetime depending on the application and use being made of the data. To the extent that investigation data would fall within the scope of data used in a Phase I ESA conducted pursuant to Practice E1527 or Practice E2247, the lifetime limits defined by those standards apply. In all other respects, a Phase II Assessor should evaluate whether previously generated data are appropriate for any subsequent use beyond the original purpose for which they were collected, or are otherwise subject to lifetime limits imposed by other laws, regulations or regulatory policies. 4.2.5 Phase II Assessor Does Not Provide Legal or Business Advice—The Phase II ESA is intended to develop and present sound, scientifically valid data concerning actual site conditions. It shall not be the role of the Phase II Assessor to provide legal or business advice. 1.1 This practice2 covers a process for conducting a Phase II environmental site assessment (ESA) of a parcel of property with respect to the presence or the likely presence of substances including but not limited to those within the scope of the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) (e.g., hazardous substances), pollutants, contaminants, petroleum and petroleum products, and controlled substances and constituents thereof. It specifies procedures based on the scientific method to characterize property conditions in an objective, representative, reproducible, and defensible manner. To promote clarity in defining Phase II ESA objectives and transparency in communicating and interpreting Phase II ESA results, this practice specifies adherence to requirements for documenting the scope of assessment and constraints on the conduct of the assessment process. 1.1.1 A user's interest in the presence or likely presence of substances in environmental media at a property may arise in a wide variety of legal, regulatory, and commercial contexts, and may involve diverse objectives including those listed in 1.2. This practice contemplates that the user and the Phase II Assessor will consult to define the scope and objectives of investigation in light of relevant factors, including without limitation the substances released or possibly released at the property, the nature of the concerns presented by their presence or likely presence, the behavior , fate and transport characteristics of substances released or possibly released, the portion of the property to be investigated, the information already available, the degree of confidence needed or desired in the results, the degree of investigatory sampling and chemical testing needed to achieve such confidence, and any applicable time and resource constraints. This practice requires that Phase II activities be conducted so that the resulting scope of work is performed, and the stated objectives are achieved, in a scientifically sound manner. 1.1.2 A Phase II ESA in accordance with this practice may be conducted after site assessment activities in accordance with Practice E1527 for Phase I Environmental Site Assessments: Phase I Environmental Site Assessment Process, Practice E2247 for Environmental Site Assessments: Phase I Environmental Site Assessment for Forestland or Rural Property, EPA’s All Appropriate Inquiries (AAI) Rule, 40 C.F.R. Part 312, or Practice E1528 for Limited Environmental Due Diligence: Transaction Screen Process. In defining the scope and purposes of a Phase II ESA, however, previous decisions to classify property conditions or areas as RECs, or to refrain from doing so, are not determinative as to whether investigation of the same conditions or areas is appropriate to meet the objectives of the Phase II ESA. 1.2 Objectives—This practice is intended for use where a user desires to obtain sound, scientifically valid data concerning actual property conditions, whether or not such data relate to property conditions previously identified as RECs or data gaps in Phase I ESAs. Without attempting to define all such situations, this practice contemplates that users may seek such data to inform their evaluations, conclusions, and choices of action in connection with objectives that may include, without limitation, one or more of the following: 1.2.1 Objective 1—Assess whether there has been a release of hazardous substances within the meaning of CERCLA, for purposes including landowner liability protections (i.e., innocent landowner, bona fide prospective purchaser, and contiguous property owner). 1.2.2 Objective 2—Provide information relevant to identifying, defining or implementing landowner “continuing obligations,” or the criteria established under CERCLA (e.g., exercising appropriate care by taking reasonable steps to prevent or limit exposures to previously released hazardous substances) for maintaining the CERCLA landowner liability protections. 1.2.3 Objective 3—Develop threshold knowledge of the presence of substances on properties within the scope of the CERCLA definition of a “brownfield site” and as required for qualifying for brownfields remediation grants from the EPA Brownfields Program. 1.2.4 Objective 4—Provide information relevant to identifying, defining and evaluating property conditions associated with target analytes that may pose risk to human health or the environment, or risk of bodily injury to persons on the property and thereby give rise to potential liability in tort. 1.2.5 Objective 5—Provide information relevant to evaluating and allocating business environmental risk in transactional and contractual contexts, including transferring, financing and insuring properties, and due diligence relating thereto. 1.2.6 Objective 6—Provide information to support disclosure of liabilities and contingent liabilities in financial statements and securities reporting. 1.2.7 Additional information concerning these six objectives may be found in the Legal Appendix, Appendix X1. 1.3 of Assessment in Relation to Objectives—The scope of a Phase II ESA is related to the objectives of the investigation. Both scope and objectives may require ongoing evaluation and refinement as the assessment progresses. 1.3.1 In developing the scope of work and in evaluating data and information concerning the property, the Phase II Assessor must determine whether the available information is sufficient to meet the objectives of the investigation. Even after conducting Phase II activities to generate additional data, the Phase II Assessor must independently evaluate the sufficiency of the data in relation to the objectives. As the investigation progresses, the objectives may be refined or redefined in consultation between the user and the Phase II Assessor. 1.3.2 A single round of sampling and chemical testing may not always provide data sufficient to meet the chosen objectives. If not, this practice contemplates additional sampling in an iterative sequence that concludes when the available data are sufficient. This practice also acknowledges, however, that the user may instead elect either to redefine the objectives so that they can be met with the data available, or to terminate the investigative process without meeting the stated objectives. The Phase II Assessment report must disclose any respect in which available data are insufficient to meet objectives. 1.3.3 This practice does not require full site characterization in every instance, but may be used to carry out an investigation sufficient for that purpose if desired to meet the user's objectives. 1.4 Needs of the User—The user and Phase II Assessor must have a mutual understanding of the context in which the Phase II ESA is to be performed and the objectives to be met by the investigation, i.e. the specific questions to be answered or problems to be resolved by the Phase II ESA. The scope of Phase II activities must be defined in relation to those objectives. 1.4.1 The degree of confidence desired by the user influences the scope of the investigation and the evaluation of data. More extensive testing and more iterations of sampling and analysis may be needed if the objectives require detailed conclusions with high confidence. Less testing and fewer iterations of sampling and analysis may be needed if the objectives of the assessment require only general conclusions. 1.5 Limitations—This practice is not intended to supersede applicable requirements imposed by regulatory authorities. This practice does not attempt to define a legal standard of care either for the performance of professional services with respect to matters within its scope, or for the performance of any individual Phase II ESA. 1.6 Organization of This Practice—This practice has nine sections and four appendices. Section 1 covers the of the practice. Section 2, Referenced Documents, lists ASTM and other organizations’ related standards and guidance that may be useful in conducting Phase II ESAs in accordance with this practice. Section 3, Terminology, contains definitions of terms and acronyms used in this practice. Section 4 addresses the of this practice, including the legal context into which Phase II ESAs may fall. Section 5 discusses development and documentation of the scope of the Phase II ESA, including the Statement of Objectives for the assessment. Section 6 provides a Phase II ESA Overview, with purpose and goal descriptions. Section 7 comprises the main body of Performing the Phase II ESA, and includes initiating scientific inquiry by formulating the question to be answered (7.1), collecting and evaluating information (7.2), identifying areas for investigation (7.3), developing the conceptual model (7.4), developing a plan and rationale for sampling (7.5), conducting the sampling (7.6), and validating the conceptual model (7.7). Interpretation of results is covered in Section 8. Phase II Environmental Site Assessment report preparation is addressed in Section 9. Appendix X1 supports Section 4, and contains legal considerations pertaining to Phase II Environmental Site Assessment. Appendix X2 contains contracting considerations between Phase II assessor and user. Appendix X3 supports Section 9, and describes two examples and a sample table of contents illustrating possible approaches to reporting the results of a Phase II Environmental Site Assessment. Appendix X4 supplements Section 2 with a list of standards and references that may be relevant in conducting a Phase II Environmental Site Assessment. 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.
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