ASTM E1903-19

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: E1903 − 19
Standard Practice for
Environmental Site Assessments: Phase II Environmental
Site Assessment Process
This standard is issued under the fixed designation E1903; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope the property to be investigated, the information already
available, the degree of confidence needed or desired in the
1.1 Thispractice coversaprocessforconductingaPhaseII
results, the degree of investigatory sampling and chemical
environmental site assessment (ESA) of a parcel of property
testing needed to achieve such confidence, and any applicable
with respect to the presence or the likely presence of sub-
time and resource constraints.This practice requires that Phase
stances including but not limited to those within the scope of
II activities be conducted so that the resulting scope of work is
the Comprehensive Environmental Response, Compensation
performed, and the stated objectives are achieved, in a scien-
and Liability Act (CERCLA) (e.g., hazardous substances),
pollutants, contaminants, petroleum and petroleum products,
tifically sound manner.
and controlled substances and constituents thereof. It specifies
1.1.2 A Phase II ESA in accordance with this practice may
procedures based on the scientific method to characterize
beconductedaftersiteassessmentactivitiesinaccordancewith
property conditions in an objective, representative,
Practice E1527 for Phase I Environmental Site Assessments:
reproducible, and defensible manner. To promote clarity in
Phase I Environmental Site Assessment Process, Practice
defining Phase II ESA objectives and transparency in commu-
E2247 for Environmental Site Assessments: Phase I Environ-
nicating and interpreting Phase II ESA results, this practice
mental Site Assessment for Forestland or Rural Property,
specifies adherence to requirements for documenting the scope
EPA’s All Appropriate Inquiries (AAI) Rule, 40 C.F.R. Part
of assessment and constraints on the conduct of the assessment
312, or Practice E1528 for Limited Environmental Due Dili-
process.
gence: Transaction Screen Process. In defining the scope and
1.1.1 A user’s interest in the presence or likely presence of
purposes of a Phase II ESA, however, previous decisions to
substances in environmental media at a property may arise in
classify property conditions or areas as RECs, or to refrain
a wide variety of legal, regulatory, and commercial contexts,
from doing so, are not determinative as to whether investiga-
and may involve diverse objectives including those listed in
tion of the same conditions or areas is appropriate to meet the
1.2. This practice contemplates that the user and the Phase II
objectives of the Phase II ESA.
Assessor will consult to define the scope and objectives of
investigation in light of relevant factors, including without
1.2 Objectives—This practice is intended for use where a
limitation the substances released or possibly released at the
user desires to obtain sound, scientifically valid data concern-
property,thenatureoftheconcernspresentedbytheirpresence
ing actual property conditions, whether or not such data relate
or likely presence, the behavior, fate and transport character-
to property conditions previously identified as RECs or data
isticsof substancesreleasedorpossiblyreleased,theportionof
gaps in Phase I ESAs. Without attempting to define all such
situations, this practice contemplates that users may seek such
This practice is under the jurisdiction of ASTM Committee E50 on Environ- data to inform their evaluations, conclusions, and choices of
mental Assessment, Risk Management and Corrective Action and is the direct
action in connection with objectives that may include, without
responsibility of Subcommittee E50.02 on Real Estate Assessment and Manage-
limitation, one or more of the following:
ment.
Current edition approved Nov. 15, 2019. Published January 2020. Originally
1.2.1 Objective 1—Assess whether there has been a release
approved in 1997. Last previous edition approved in 2011 as E1903 – 11. DOI:
of hazardous substances within the meaning of CERCLA, for
10.1520/E1903-19.
2 purposes including landowner liability protections (i.e., inno-
As used herein, a “standard” is a document that has been developed and
established within the consensus principles of the Society and that meets the
cent landowner, bona fide prospective purchaser, and contigu-
approval requirements of ASTM procedures and regulations. A “practice” is a
ous property owner).
definitivesetofinstructionsforperformingoneormorespecificoperationsthatdoes
not produce a test result.A“guide,” in contrast, is a compendium of information or 1.2.2 Objective 2—Provide information relevant to
a series of options that does not recommend a specific course of action. A guide
identifying, defining or implementing landowner “continuing
increases the awareness of information and approaches in a given subject area. See
obligations,” or the criteria established under CERCLA (e.g.,
Form and Style for ASTM Standards, http://www.astm.org/COMMIT/Blue_
Book.pdf. exercising appropriate care by taking reasonable steps to
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E1903 − 19
prevent or limit exposures to previously released hazardous More extensive testing and more iterations of sampling and
substances) for maintaining the CERCLA landowner liability analysis may be needed if the objectives require detailed
protections. conclusions with high confidence. Less testing and fewer
1.2.3 Objective 3—Develop threshold knowledge of the iterations of sampling and analysis may be needed if the
presence of substances on properties within the scope of the objectives of the assessment require only general conclusions.
CERCLA definition of a “brownfield site” and as required for
1.5 Limitations—This practice is not intended to supersede
qualifying for brownfields remediation grants from the EPA
applicable requirements imposed by regulatory authorities.
Brownfields Program.
This practice does not attempt to define a legal standard of care
1.2.4 Objective 4—Provide information relevant to
either for the performance of professional services with respect
identifying, defining and evaluating property conditions asso-
to matters within its scope, or for the performance of any
ciated with target analytes that may pose risk to human health
individual Phase II ESA.
or the environment, or risk of bodily injury to persons on the
1.6 Organization of This Practice—This practice has nine
property and thereby give rise to potential liability in tort.
sectionsandfourappendices.Section1coverstheScopeofthe
1.2.5 Objective 5—Provide information relevant to evaluat-
practice. Section 2, Referenced Documents, lists ASTM and
ing and allocating business environmental risk in transactional
otherorganizations’relatedstandardsandguidancethatmaybe
and contractual contexts, including transferring, financing and
useful in conducting Phase II ESAs in accordance with this
insuring properties, and due diligence relating thereto.
practice. Section 3, Terminology, contains definitions of terms
1.2.6 Objective 6—Provide information to support disclo-
and acronyms used in this practice. Section 4 addresses the
sure of liabilities and contingent liabilities in financial state-
Significance and Use of this practice, including the legal
ments and securities reporting.
context into which Phase II ESAs may fall. Section 5 discusses
1.2.7 Additional information concerning these six objec-
development and documentation of the scope of the Phase II
tives may be found in the Legal Appendix, Appendix X1.
ESA, including the Statement of Objectives for the assessment.
1.3 Scope of Assessment in Relation to Objectives—The
Section 6 provides a Phase II ESA Overview, with purpose and
scope of a Phase II ESA is related to the objectives of the
goal descriptions. Section 7 comprises the main body of
investigation. Both scope and objectives may require ongoing
Performing the Phase II ESA, and includes initiating scientific
evaluation and refinement as the assessment progresses.
inquiry by formulating the question to be answered (7.1),
1.3.1 Indevelopingthescopeofworkandinevaluatingdata
collecting and evaluating information (7.2), identifying areas
and information concerning the property, the Phase II Assessor
for investigation (7.3), developing the conceptual model (7.4),
must determine whether the available information is sufficient
developing a plan and rationale for sampling (7.5), conducting
to meet the objectives of the investigation. Even after conduct-
the sampling (7.6), and validating the conceptual model (7.7).
ing Phase II activities to generate additional data, the Phase II
Interpretation of results is covered in Section 8. Phase II
Assessor must independently evaluate the sufficiency of the
Environmental Site Assessment report preparation is addressed
data in relation to the objectives. As the investigation
in Section 9. Appendix X1 supports Section 4, and contains
progresses, the objectives may be refined or redefined in
legal considerations pertaining to Phase II Environmental Site
consultation between the user and the Phase II Assessor.
Assessment. Appendix X2 contains contracting considerations
1.3.2 A single round of sampling and chemical testing may
between Phase II assessor and user. Appendix X3 supports
not always provide data sufficient to meet the chosen objec-
Section 9, and describes two examples and a sample table of
tives. If not, this practice contemplates additional sampling in
contents illustrating possible approaches to reporting the re-
an iterative sequence that concludes when the available data
sults of a Phase II Environmental Site Assessment. Appendix
are sufficient. This practice also acknowledges, however, that
X4 supplements Section 2 with a list of standards and
the user may instead elect either to redefine the objectives so
references that may be relevant in conducting a Phase II
that they can be met with the data available, or to terminate the
Environmental Site Assessment.
investigative process without meeting the stated objectives.
1.7 This international standard was developed in accor-
The Phase II Assessment report must disclose any respect in
dance with internationally recognized principles on standard-
which available data are insufficient to meet objectives.
ization established in the Decision on Principles for the
1.3.3 This practice does not require full site characteriza-
Development of International Standards, Guides and Recom-
tion in every instance, but may be used to carry out an
mendations issued by the World Trade Organization Technical
investigation sufficient for that purpose if desired to meet the
Barriers to Trade (TBT) Committee.
user’s objectives.
1.4 Needs of the User—The user and Phase II Assessor
2. Referenced Documents
must have a mutual understanding of the context in which the
2.1 The standards listed below are referenced in this prac-
Phase II ESA is to be performed and the objectives to be met
tice.
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 objec-
tives.
1.4.1 The degree of confidence desired by the user influ-
ences the scope of the investigation and the evaluation of data.
E1903 − 19
2.2 ASTM Standards: prospective purchaser LLP in accordance with 42 U.S.C.
E1527 Practice for Environmental SiteAssessments: Phase I §9607(r). See Legal Appendix, Appendix X1.
Environmental Site Assessment Process
3.1.5 business environmental risk—a risk which can have a
E1528 Practice for Limited Environmental Due Diligence:
material environmental or environmentally-driven impact on
Transaction Screen Process
the business associated with the current or planned use of a
E2137 Guide for Estimating Monetary Costs and Liabilities
parcel of commercial real estate, not necessarily limited to
for Environmental Matters
thoseenvironmentalissuesinvestigatedinaccordancewiththis
E2173 Guide for Disclosure of Environmental Liabilities
practice.
E2247 Practice for Environmental SiteAssessments: Phase I
3.1.5.1 Discussion—To the extent the user wishes to evalu-
Environmental Site Assessment Process for Forestland or
ate such risks for purposes of quantification and disclosure of
Rural Property
business environmental risk, further guidance can be found in
E2790 Guide for Identifying and Complying With Continu-
Guides E2137, E2173, and E3123.
ing Obligations
3.1.6 CERCLA—the Comprehensive Environmental
E3123 Guide for Recognition and Derecognition of Envi-
Response, Compensation and Liability Act, 42 U.S.C.§ 9601,
ronmental Liabilities
et seq., as amended.
2.3 Environmental Protection Agency Documents:
3.1.7 CFR—Code of Federal Regulations.
Standards and Practices for All Appropriate Inquiries, Final
Rule, Federal Register, Tuesday, November 1, 2005, Part
3.1.8 chain of custody—a written or printed form that
III Environmental ProtectionAgency (codified at 40 CFR
documents information regarding sample possession,
Part 312), as amended
condition, and responsibility, including the time from sample
Test Methods for Evaluating Solid Waste: Physical/
containeracquisitionthroughtransportation,samplecollection,
Chemical Methods Compendium (SW-846)
and laboratory analysis.
3.1.9 chemical testing—measurement of the presence and
3. Terminology
concentration of target analytes by analytical chemistry meth-
3.1 Definitions:
ods in a laboratory; also, for purposes of this practice,
3.1.1 all appropriate inquiries (AAI)—those inquiries con-
measurement of certain target analytes by physical methods
stituting “all appropriate inquiries… into the previous owner-
(e.g., for asbestos or radioactive isotopes).
ship and uses of the facility in accordance with generally
3.1.10 conceptual model—a representation of hypothesized
accepted good commercial or customary standards and prac-
current site conditions, which describes the physical setting
tices”asdefinedin CERCLA,42 U.S.C.§9601(35)(B),andthe
characteristics of a site and the likely distribution of target
AAI Rule, 40 CFR Part 312, that must be conducted to qualify
analytes that might have resulted from a known or likely
for certain landowner liability protections (LLPs) under
release, and which is based on all reasonably ascertainable
CERCLA, and to qualify for brownfields remediation grants
information relevant to the objectives of the investigation and
awarded under CERCLA section 104(k)(3)(A)(ii).
the professional judgment of the Phase II Assessor.
3.1.2 background concentration—the concentration of a
3.1.11 contiguous property owner (CPO) —under (CER-
target analyte in groundwater, surface water, air, soil gas,
CLA) a person who meets the criteria stated at 42 U.S.C.
sediment, or soil at a reference location near an area under
§ 9607(q) and thereby becomes eligible for the contiguous
investigation, which is not attributable to the area under
property owner LLP. See Legal Appendix, Appendix X1.
investigation.
3.1.12 continuing obligations—includes requirements con-
3.1.2.1 Discussion—Background samples may contain the
tained in the definition of a bona fide prospective purchaser at
target analyte, due to either naturally occurring or man-made
CERCLA §101(40)(D) and (F), the requirements for maintain-
sources, but not due to the release(s) in question.
ing the innocent landowner LLP at 101(35)(a), which include
3.1.3 behavior, fate, and transport characteristics—natural
the “due care” provisions of §107(b)(3)(a), as well as those
attributes of a target analyte that can be predicted based on the
requirements established for maintaining the contiguous prop-
distinguishing physico-chemical characteristics of the target
erty owner liability protection at §107(q)(1)(A) (iii) and (iv).
analyte and the properties of the media in which the target
These requirements are collectively referenced as the “ con-
analyte occurs.
tinuing obligations” and are necessary for a person to maintain
3.1.4 bona fide prospective purchaser (BFPP)—under
qualification for LLPs after a property is acquired, including
CERLA, a person who meets the criteria stated at 42 U.S.C. §
among others, the requirement to exercise appropriate care by
9601(40) and thereby becomes eligible for the bona fide
taking reasonable steps to stop or prevent releases or to limit
human, environmental, or natural resources exposure to any
previously released hazardous substance (section
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
101(35)(B)(i)(II), 101(40)(D), 107(a)(1)(A)(iii)). See Guide
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
E2790.
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website.
3.1.13 data gap— as defined in Practice E1527 and Practice
Available from United States Environmental Protection Agency (EPA), Ariel
E2247 and determined in accordance with the process pre-
Rios Bldg., 1200 Pennsylvania Ave., NW, Washington, DC 20004, http://
www.epa.gov. scribed by those standard practices, a lack of or inability to
E1903 − 19
obtain information required by such practices despite good purchaser, contiguous property owner and innocent landowner
faith efforts to gather such information. and corresponding LLPs; see also Legal Appendix, Appendix
X1.
3.1.14 de minimis condition—a condition that generally
does not present a threat to human health or the environment
3.1.27 likely release area—a place where a Phase II Asses-
and that generally would not be the subject of an enforcement
sor judges it likely that target analytes were first introduced
action if brought to the attention of appropriate governmental
into environmental media as a result of a release such that the
agencies.
target analytes may now be present in environmental media at
3.1.15 diffuse anthropogenic contamination—the presence
the property. Likely release areas can include, but need not be
of target analytes that results from broad-scale activities that limited to, recognized environmental conditions identified in a
cannot be discriminated as readily as single, site-specific
Phase I ESA conducted in accordance with Practice E1527 or
discharges or releases. The most obvious of these activities is
Practice E2247.
agriculture, but urban land runoff, forestry, the urine of
3.1.28 migration pathway—a route through environmental
mammals, wastewater treatment plant effluent discharges, and
media taken by a target analyte; the physical feature allowing
atmospheric deposition can also be important general sources.
movement of target analytes.
3.1.16 environmental media—soil, rock, groundwater, sur-
3.1.29 obvious—that which is plain or evident; a condition
face water, air, soil gas, sediment.
or fact that could not be ignored or overlooked by a reasonable
3.1.17 EPA—the United States Environmental Protection
observerwhilevisuallyorphysicallyobservingtheproperty,or
Agency.
that could be deduced by a Phase II Assessor.
3.1.18 ESA—environmental site assessment.
3.1.30 petroleum products—those substances included
3.1.19 exposure point—a place at which a receptor comes
within the petroleum exclusion to CERCLA,42 U.S.C. §
into contact with a target analyte.
9601(14), as interpreted by the courts and EPA; that is,
3.1.20 field screening—the measurement of physical prop-
petroleum, including crude oil or any fraction thereof which is
erties or presence and approximate concentration of target
not otherwise specifically listed or designated as a hazardous
analytes in environmental media by methods or techniques
substance under Subparagraphs (A) through (F) of 42 U.S.C. §
employed in the field during explorations and sampling.
9601(14), natural gas, natural gas liquids, liquefied natural gas,
Measurements can be qualitative (positive/negative) or quan-
andsyntheticgasusableforfuel(ormixturesofnaturalgasand
titative.Accuracy and precision of these methods generally are
such synthetic gas). (The word fraction refers to certain
not equivalent to those achieved in a laboratory environment.
distillates of crude oil, including gasoline, kerosene, diesel oil,
3.1.20.1 Discussion—Appropriate QA/QC measures must
jet fuels, and fuel oil as defined in “Standard Definitions of
befollowedforfieldscreeningequipment(e.g.calibration),for
Petroleum Statistics,” American Petroleum Institute).
execution of field screening activities, and for interpretation of
3.1.31 Phase I environmental site assessment (Phase I
data obtained by field screening
ESA)—an assessment performed in accordance with the pro-
3.1.20.2 Discussion—Calibrated field analytical equipment,
cess described in Practice E1527, Practice E2247,orthe EPA
such as field gas chromatographs, may provide levels of
detection and accuracy comparable to those of a fixed labora- all appropriate inquiries (AAI ) rule, 40 CFR Part 312.
tory.
3.1.32 PhaseIIAssessor—apersonmeetingthedefinitionof
3.1.21 groundwater—waterbelowthelandsurfaceinazone
an “Environmental Professional” as provided in Section 3.2.32
of saturation.
of Practice E1527, and possessing sufficient education, profes-
sional training, and relevant experience to conduct or be in
3.1.22 groundwater flow—the movement of water in the
responsible charge of environmental investigations and other
zone of saturation.
activities in accordance with this practice, and to interpret the
3.1.23 groundwater flow direction—the compass bearing of
resulting data to develop opinions and conclusions regarding
thehorizontalcomponent,andtheverticalcomponent,ofwater
the presence of target analytes in environmental media in
movement in the zone of saturation.
connectionwiththepropertyinquestion.Anindividual’sstatus
3.1.24 hazardous substance—any substance defined as a
asa Phase IIAssessormaybelimitedtothetypeofassessment
hazardous substance pursuant to CERCLA,42 U.S.C. §
to be performed. Overall, a Phase II Assessor should under-
9601(14). See Legal Appendix, Appendix X1.
stand and be experienced in pertinent aspects of the scientific
3.1.25 innocent landowner (ILO)—under CERCLA, a per-
method, hydrogeology, geochemistry, environmental
son who is within one of the three categories defined by 42
investigation/exploration techniques, interpretation of chemi-
U.S.C. § 9601(35) and thereby becomes eligible for the
cal testing data, and commercial and industrial operations
innocent landowner LLP in accordance with 42 U.S.C §
pertaining to the use and handling of site-specific target
9607(b)(3). See Legal Appendix, Appendix X1.
analytes and production and handling of associated wastes.
The Phase II Assessor may be an independent contractor or an
3.1.26 Landowner Liability Protections (LLPs)—provisions
that establish limitations of or defenses to potential CERCLA- employee of the user. Some jurisdictions may have licensing
requirements for individuals who perform certain environmen-
liability in favor of landowners who satisfy statutory condi-
tions. See definitions in this section of bona fide prospective tal investigation activities included in a Phase II ESA.
E1903 − 19
3.1.33 Phase II environmental site assessment (Phase II to (CERCLA) Sections 101(35)(B)(i)II), 101(40)(D) and
ESA)—an assessment performed in accordance with the pro- 107(q)(1)(A)(iii) to maintain qualification for LLPs after a
cess described in this practice.
property is acquired. See Legal Appendix, Appendix X1.
3.1.34 practically reviewable—information that is practi-
3.1.40 reasonably ascertainable—information that is (1)
cally reviewable means that the information is provided by the
publicly available, (2) obtainable from its source within
sourceinamannerandinaformthat,uponexamination,yields
reasonable time and cost constraints, and (3) practically
information relevant to the property without the need for
reviewable.
extraordinary analysis of irrelevant data. The form of the
3.1.41 receptor—a living organism or habitat of a commu-
information shall be such that the user can review the records
nity of organisms that could be exposed to target analytes
for a limited geographic area. Records that cannot be feasibly
including, for example, occupants of a building if the objec-
retrieved by reference to the location of the property or a
tives of the assessment implicate indoor air quality; also, an
geographic area in which the property is located are not
inanimate feature that, if contacted by target analytes, would
generally practically reviewable. Most databases of public
be a proximal means of exposing living organisms to the target
records are practically reviewable if they can be obtained from
analytes, e.g., a drinking water well that could convey ground-
the source agency by the county, city, zip code, or other
water containing target analytes to people.
geographic area of the facilities listed in the record system.
Records that are sorted, filed, organized, or maintained by the
3.1.42 recognized environmental condition (REC)—as de-
source agency only chronologically are not generally practi-
fined in Practice E1527 and Practice E2247 and determined in
cally reviewable. Listings in publicly available records which
accordance with the process prescribed by those standard
do not have adequate address information to be located
practices, the presence or likely presence of any hazardous
geographicallyarenotgenerallyconsidered practically review-
substancesorpetroleumproductsinonorataproperty:(1)due
able. For large databases with numerous records (such as
toreleaseoftheenvironment(2)underconditionsindicativeof
RCRAhazardous waste generators and registered underground
a release to the environment; or (3) under conditions that pose
storagetanks),therecordsarenotpracticallyreviewableunless
De minimis conditions are not recognized environmental con-
they can be obtained from the source agency in the smaller
ditions.
geographic area of zip codes. Even when information is
3.1.43 release—as defined by § 101(22) of CERCLA,42
provided by zip code for some large databases, it is common
U.S.C. § 9601(22), “any spilling, leaking, pumping, pouring,
for an unmanageable number of sites to be identified within a
emitting, emptying, discharging, injecting, escaping, leaching,
given zip code. In these cases, it is not necessary to review the
dumping, or disposing into the environment (including the
impact of all of the sites that are likely to be listed in any given
abandonment or discarding of barrels, containers, and other
zip code because that information would not be practically
closed receptacles containing any hazardous substance or
reviewable. In other words, when so much data is generated
pollutant or contaminant), but exclud[ing] (A) any release
that it cannot be feasibly reviewed for its impact on the
whichresultsinexposuretopersonssolelywithinaworkplace,
property,itisnot practically reviewable.
with respect to a claim which such persons may assert against
3.1.35 present or presence—with regard to target analytes
the employer of such persons, (B) emissions from the engine
in environmental media, present or presence refers to the
exhaust of a motor vehicle, rolling stock, aircraft, vessel, or
existence of the target analyte at the property and to places
pipeline pumping station engine, (C) release of source, by-
where the target analyte is located. Presence does not imply
product, or special nuclear material from a nuclear incident, as
that the total extent of the target analyte is known.
those terms are defined in the Atomic Energy Act of 1954 [42
3.1.36 property—the real property that is the subject of the
U.S.C.§2011etseq.],ifsuchreleaseissubjecttorequirements
Phase II environmental site assessment described in this
with respect to financial protection established by the Nuclear
practice. Real property includes buildings and other fixtures
Regulatory Commission under section 170 of such Act [42
and improvements located on the property and affixed to the
U.S.C. § 2210], or, for the purposes of section 104 of CERCLA
land.
oranyotherresponseaction,anyreleaseofsource,by-product,
3.1.37 publicly available—information that is publicly
or special nuclear material from any processing site designated
available means that the source of the information allows
under section 102(a)(1) or 302(a) of the Uranium Mill Tailings
access to the information by anyone upon request.
Radiation Control Act of 1978; [42 U.S.C. § 7912(a)(1) or
7942(a)], and (D) the normal application of fertilizer.”
3.1.38 quality assurance/quality control (QA/QC)—quality
control is the use of standards and procedures designed to
3.1.44 remediation/remedial action—activitiesconductedor
promoteandensurethecollectionofsamplesandgenerationof
measures taken to protect human health, safety and the
analyticalresultsthatareofgoodandacceptablequalityforthe
environment.These include evaluating risk, monitoring quality
purposesintended;qualityassuranceistheuseofstandardsand
of environmental media over time, imposing institutional
procedures to evaluate work products to determine if they
controls, constructing engineering controls, removing environ-
achieved good and acceptable quality.
mental mediacontaining target analytesfromtheenvironment,
3.1.39 reasonable steps—those actions to prevent or limit removing target analytes from environmental media, and
generally designing and operating cleanup systems to isolate,
human, environmental or natural resources exposure to previ-
ously released hazardous substances that are required pursuant remove, reduce, or destroy target analytes.
E1903 − 19
3.1.45 site—the contiguous land area under consideration in 3.1.54 water table—the surface of a groundwater body at
the Phase II ESA that includes all or part of the property and which surface the water pressure equals atmospheric pressure.
that is impacted or potentially impacted by releases; if neces- Earth material below the water table is saturated with water.
sary in order to achieve the objectives of the Phase II ESA, the
area under consideration may extend off the property if 4. Significance and Use
migrating target analytes originate from the property,ormay
4.1 Uses:
include off-property sources of target analytes migrating to the
4.1.1 This practice is intended for use on a voluntary basis
property.
by parties who wish to evaluate known releases or likely
3.1.46 site characterization—evaluation of the presence of releaseareasidentifiedbytheuserorPhaseIIAssessor,and/or
target analytes in environmental media throughout a site to assess the presence or likely presence of substances, for
impacted or potentially impacted by a release or releases. The legal or business reasons such as those described in 1.2.
evaluation typically includes the determination of geological, 4.1.2 This practice is intended to meet the business com-
hydrogeological, hydrological, and engineered aspects of the munity’s need for a written, practical reference describing a
site that influence the presence of target analytes (e.g., migra- scientifically sound approach to investigating a property to
tion pathways, exposure points) and the existence of receptors evaluate the presence or likely presence of a substance.Itis
and mechanisms of exposure. impossible to generalize about the contexts in which a user
may wish to conduct such investigations or the degree of
3.1.47 substance—any element, compound or chemical, or
confidence a user may require in the results. In any context,
mixtures or preparations thereof, whether man-made or natu-
this practice, being rooted in sound scientific methodology, can
rally occurring, which can be present in or released to
assist users in achieving an objective and defensible assess-
environmental media, including but not limited to those within
ment.
the scope of the Comprehensive Environmental Response,
4.1.2.1 This practice does not address the evaluation of
Compensation and Liability Act (CERCLA) (e.g., hazardous
business environmental risks in light of data collected through
substances), pollutants, contaminants, petroleum and petro-
the Phase II ESA process. Such evaluation is a function of site-
leum products, and controlled substances and constituents
and transaction-specific variables, and of the user’s objectives
thereof.
and risk tolerance.This practice contemplates that the Phase II
3.1.48 surface water—water exposed to the atmosphere ESAprocesswillbeplannedandconductedwithsuchvariables
above the surface of the ground, including but not limited to
in mind, and that the user will evaluate legal, business and
lakes, ponds, reservoirs, artificial impoundments, streams, environmental risks in light of known data relating to the
rivers, springs, seeps and wetlands.
particular site and transaction, and in consultation with legal
and business advisors as well as the Phase II Assessor.
3.1.49 target analytes—substances that are present in, or
4.1.2.2 Likewise, this practice does not define the threshold
have been released or potentially have been released to,
levels at which target analytes pose a concern of significance
environmental mediaatthesite,andwhichareofinterestinthe
to the user. Users may apply this practice not only in light of
context of the particular Phase II ESA and its objectives, the
applicable regulatory criteria and relevant liability principles,
presence of which will be sought and concentrations of which
but also to meet self-defined objectives.
will be quantified through field screening or chemical testing.
4.1.2.3 If a Phase II ESA conducted in accordance with this
3.1.50 the scientific method—principles and procedures for
practice provides sufficient information from which the Phase
systematic discovery, which involve recognizing and stating a
II Assessor can conclude, consistent with the scientific method,
problem for which a solution is sought, formulating an hypoth-
that the question to be addressed by the assessment (see 6.4.1)
esis that might resolve the problem (which hypothesis is
has been answered, then further assessment is not warranted to
consistent with the body of knowledge available), collecting
meet the objectives of the assessment.
objective and reproducible data by performing an investigation
4.1.3 Use Not Limited to CERCLA—This practice is de-
to test the hypothesis, and interpreting the data to validate or
signed to assist a user in developing information about the
refute the hypothesis; and, if the hypothesis cannot be
environmental condition of the property and has utility for a
validated, revising the hypothesis consistent with the updated
wide range of target analytes (e.g., including diffuse anthro-
body of knowledge and conducting an iteration of the proce-
pogeniccontaminationandnaturallyoccurringsubstances)and
dure.
users including those who may have no actual or potential
CERCLA concerns.
3.1.51 U.S.C.—United States Code.
4.1.4 Site- and Transaction-Specific—The scope of a Phase
3.1.52 user—the party seeking to use this practice to con-
II ESA is site-specific and context-specific. The assessment
duct a Phase II ESA.Auser may include, without limitation, a
process defined by this practice is intended to generate sound,
potential purchaser of property, a potential tenant of property,
objective, and defensible information sufficient to satisfy
an owner of property, a lender, an insurer, or a property
diverse user objectives.
manager.
4.1.5 Use by Other Parties—This practice does not define
3.1.53 vapor intrusion—migration of one or more volatile whether or to what extent any person other than the user may
chemical(s) from subsurface soil or water into an overlying or use or rely upon a Phase II ESA prepared for the user. The
nearby building or other enclosed space. appropriateness of third party use or reliance is a contractual
E1903 − 19
matter that should be addressed between user and Phase II 4.2.3 Comparison With Subsequent Inquiry—The justifica-
Assessor, see Appendix X2, section X2.4. tion and adequacy of the findings of a Phase II ESA in light of
the findings of a subsequent inquiry should be evaluated based
4.2 Principles—Thefollowingprinciplesareanintegralpart
onthereasonablenessofjudgmentsmadeatthetimeandunder
of this practice and are intended to be referred to in resolving
the circumstances in which they were made.
any ambiguity or exercising such discretion as is accorded the
4.2.4 Data Usability—Investigationdatagenerallyonlyrep-
user or Phase II Assessor.
resent the site conditions at the time the data were generated
4.2.1 Elimination of Uncertainty—No Phase II ESA can
and site conditions can be dynamic. Therefore, the usability of
eliminate all uncertainty. Furthermore, any sample, either
data collected as part of a Phase II ESA may have a finite
surface or subsurface, taken for chemical testing may or may
lifetime depending on the application and use being made of
not be representative of a larger population. Professional
the data. To the extent that investigation data would fall within
judgment and interpretation are inherent in the process, and
the scope of data used in a Phase I ESA conducted pursuant to
even when exercised in accordance with objective scientific
Practice E1527 or Practice E2247, the lifetime limits defined
principles, uncertainty is inevitable. Additional assessment
by those standards apply. In all other respects, a Phase II
beyond that which was reasonably undertaken may reduce the
Assessor should evaluate whether previously generated data
uncertainty.
are appropriate for any subsequent use beyond the original
4.2.1.1 Failure to Detect—Even when Phase II ESA work is
purposeforwhichtheywerecollected,orareotherwisesubject
executed competently and in accordance with this practice, it
to lifetime limits imposed by other laws, regulations or
must be recognized that certain conditions present especially
regulatory policies.
difficult target analyte detection problems. Such conditions
4.2.5 Phase IIAssessor Does Not Provide Legal or Business
may include, but are not limited to, complex geological
Advice—The Phase II ESA is intended to develop and present
settings, unusual or generally poorly understood behavior and
sound, scientifically valid data concerning actual site condi-
fate characteristics of certain substances, complex,
tions.Itshallnotbetheroleofthe Phase IIAssessortoprovide
discontinuous, random, dynamic, or spotty distributions of
legal or business advice.
existing target analytes, physical impediments to investigation
imposed by the location of utilities and other man-made
5. Developing and Documenting the Scope of the Phase
objects, and the inherent limitations of assessment technolo-
II Environmental Site Assessment
gies.
5.1 To promote clarity in defining Phase II ESA objectives
4.2.1.2 Limitations of Information—The effectiveness of a
and transparency in communicating and interpreting Phase II
Phase II ESA may be compromised by limitations or defects in
ESA results, this practice specifies adherence to the following
the information used to define the objectives and scope of the
requirements for documenting the scope of assessment and
investigation, including inability to obtain information con-
constraints on the conduct of the assessment process.
cerning historical site uses or prior site assessment activities
5.1.1 Statement of Objectives—The objective(s) of the
despite the efforts of the user and Phase II Assessor to obtain
Phase II ESA, including the question(s) to be answered by the
such information in accordance with 5.1.3.
assessment in accordance with 6.4.1, must be developed on the
4.2.1.3 Chemical Analysis Error—Chemical testing meth-
basis of consultation between the user and the Phase II
ods have inherent uncertainties and limitations. The Phase II
Assessor, and must be stated in a written “Statement of
Assessor shall build quality control and quality assurance
Objectives”. The Statement of Objectives must form part of a
measures into the assessment, as outlined in Section 7. The
written scope of work, proposal, contract, work order, or
Phase II Assessor should require the laboratory to report any
similar instrument.
potential or actual problems experienced, or nonroutine events
5.1.2 The Statement of Objectives must identify and de-
which may have occurred during the testing, so that such
scribe any schedule, cost, or budget limitations applicable to
problems can be considered in evaluating the data. The Phase
the Phase II ESA or to activities comprising the assessment
II Assessor should subsequently identify such problems in any
process, including any predetermined limitation on the scope
reports or documentation provided to the user.Any laboratory
of investigation, the number of iterations of sampling, or other
utilized for chemical testing shall be accredited in accordance
activities that bear on the scope, schedule, or cost of a Phase II
with applicable state requirements.
ESA. In developing the Statement of Objectives, the user and
the Phase II Assessor must consider whether any such limita-
4.2.2 Level of Assessment—Phase II ESAs do not generally
require an exhaustive assessment of environmental conditions tionswillcompromisetheirabilitytoconductthe Phase II ESA
in accordance with this practice. If so, the Statement of
on a property.There is a point at which the cost of information
obtained and the time required to obtain it outweigh the benefit Objectivesmusteitheradapttheobjectivesofthe Phase II ESA
so that they are achievable subject to such limitations, or
of the information and, in the context of private transactions
and contractual responsibilities, may become a material detri- describe the anticipated effect of such limitations on the ability
of the Phase II ESA to achieve such objective(s).
ment to the orderly conduct of business. If the presence of
target analytes is confirmed on a property, the extent of further 5.1.3 In conferring to develop and draft the Statement of
assessment is a function of the degree of confidence required Objectives, the Phase II Assessor should provide the user with
and the degree of uncertainty acceptable, in relation to the information and explanation regarding the Phase II ESA
objectives of the assessment. process so that the user can make informed decisions and
E1903 − 19
participate in formulating objectives. The user should provide 6.4 Components of the Phase II Investigation—The follow-
the Phase II Assessor all pertinent documentation and infor- ing general steps must be taken in performing a Phase II ESA,
mation regarding the property’s environmental conditions that in the manner and level of detail appropriate to achieving the
are known to, and reasonably and practicably available to, the objectives set forth in the “Statement of Objectives” described
user,includingbutnotlimitedtothefollowing:previous ESAs, in 5.1.1:
other environmental studies, and technical reports or docu-
6.4.1 Formulate the question. The user and Phase II
ments pertinent to an understanding of the known or potential
Assessor together must formulate the question(s) to be an-
presence of target analytes at the property; oral histories
swered by the Phase II ESA. In doing so, the user’s particular
concerning releases or disposal affecting the property; and the
objective(s) for the Phase II ESA must be recognized, and the
user’s detailed knowledge of the nature of any specialized
Phase II Assessor must formulate the hypothesis or hypotheses
activities and operations conducted at the property that inher-
tobeconfirmedorrefutedbytheinvestigation.Thequestion(s)
ently pose the potential for the presence of substances on the
to be addressed must be reflected in the written Statement of
property.
Objectives.
5.1.4 Scope of Work—The Phase II Assessor shall develop a
6.4.2 Identify the areas warranting Phase II investigation
description of the methods and work tasks to be implemented
(i.e.,samplingand chemical testingof environmental media)in
to achieve the user’s Phase II objectives. See Section 7.A
order to achieve the stated obj
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