ASTM E3026-23e1

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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Designation: E3026 − 23
Standard Guide for
Readily Observable Moisture Affected Materials and
Conditions Conducive to Elevated Moisture in Commercial
Buildings: Limited Moisture Assessment Process
This standard is issued under the fixed designation E3026; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
ε NOTE—Editorial corrections were made to the title and Tables X1.1 and X2.1 in April 2023.
1. Scope of this guide identifies, for informational purposes, certain
2 physical conditions (not an all-inclusive list) that may exist at
1.1 Purpose—The purpose of this guide is to define good
a subject property and certain activities or procedures (not an
commercial practice for conducting a limited survey for readily
all-inclusive list) that are beyond the scope of this guide but
observable moisture affected materials and conditions condu-
may warrant consideration by users. The need to investigate
cive to elevated moisture in a commercial building related to
any such conditions in the provider’s scope of services should
commercial real estate transaction or commercial real estate
be evaluated based upon, among other factors, the nature of the
management by conducting: a walk-through survey, document
subject property and the reason for conducting the LMA. The
reviews, and interviews as outlined within this guide. This
scope of such further investigation or testing services should be
guide is intended to provide a practical means for the limited
agreed upon between the user and the provider as additional
identification of moisture affected materials and physical
services, which are beyond the scope of this guide, prior to
deficiencies conducive to elevated moisture caused by water
initiation of the LMA process. The responsibility to initiate
infiltration through the building envelope or substructure or
work beyond the scope of this guide lies with the user.
generated within the subject building as a result of processes or
1.3.1 Sampling for suspect fungi and other forms of biologi-
mechanical systems, excluding de minimis conditions. This
cal growth is a non-scope consideration under this guide.
guide is to allow a user to assess general moisture concerns, as
1.3.2 Sampling or otherwise measuring for moisture is a
well as the potential need for further assessment or other
non-scope consideration under this guide.
actions that may be appropriate that are beyond the scope of
this guide. For purposes of this guide, the initialism “LMA” or
1.4 Organization of the Guide—This guide has 13 sections
“Limited Moisture Assessment” is used interchangeably with
and two appendices. Section 1 defines the Scope. Section 2 is
this guide’s full title.
Referenced Documents. Section 3 is Terminology. Section 4
defines the Significance and Use of this guide. Section 5
1.2 Purpose Limitations—While a LMA may be used to
describes User Responsibilities. Sections 6 through 11 provide
survey for readily identifiable moisture affected materials and
guidelines for the main body of the report, including the scope
physical deficiencies conducive to elevated moisture, the LMA
of the walk-through survey and preparation of the report.
is not designed to serve as comprehensivesurvey for the
Section 12 identifies Out of Scope Considerations. Section 13
presence of moisture affected materials and physical deficien-
lists keywords for Internet reference. Appendix X1 provides
cies conducive to elevated moisture in all or most areas in a
the user with a suggested Interview Checklist, and Appendix
commercial building. It is not intended to reduce or eliminate
X2 provides the user with a suggested Field Checklist.
the risks that elevated moisture may pose to the subject
building or its occupants.
1.5 This standard does not purport to address all of the
safety concerns, if any, associated with its use. It is the
1.3 Considerations Beyond This Scope—The use of this
responsibility of the user of this standard to establish appro-
guide is limited to the scope set forth in this section. Section 12
priate safety, health, and environmental practices and deter-
mine the applicability of regulatory limitations prior to use.
1.6 This international standard was developed in accor-
This guide is under the jurisdiction of ASTM Committee E50 on Environmental
dance with internationally recognized principles on standard-
Assessment, Risk Management and Corrective Action and is the direct responsibil-
ity of Subcommittee E50.02 on Real Estate Assessment and Management.
ization established in the Decision on Principles for the
Current edition approved March 15, 2023. Published April 2023. Originally
Development of International Standards, Guides and Recom-
approved in 2015. Last previous edition approved in 2015 as E3026–15. DOI:
mendations issued by the World Trade Organization Technical
10.1520/E3026–23E01
Whenever terms defined in Section 3 are used in this guide, they are in italics. Barriers to Trade (TBT) Committee.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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E3026 − 23
2. Referenced Documents 3.2.7 commercial building, n—structure except a dwelling
3 or structure with four or less dwelling units exclusively for
2.1 ASTM Standards:
residential use. This term includes, but is not limited to,
D7338 Guide for Assessment Of Fungal Growth in Build-
structures used for industrial, retail, office, hospitality,
ings
agriculture, other commercial, medical, or educational pur-
E631 Terminology of Building Constructions
poses; property used for residential purposes that has more
E1527 Practice for Environmental Site Assessments: Phase I
than four residential dwelling units; and structures with four or
Environmental Site Assessment Process
less dwelling units for residential use when it has a commercial
E1528 Practice for Limited Environmental Due Diligence:
function, as in the operation of such dwellings for profit.
Transaction Screen Process
3.2.8 commercial real estate, n—improved real property
E2018 Guide for Property Condition Assessments: Baseline
except a dwelling or property with four or less dwelling units
Property Condition Assessment Process
exclusively used for residential use. This term includes, but is
3. Terminology not limited to, improved real property used for: industrial,
retail, office, hospitality, agriculture, medical, educational, or
3.1 This section provides definitions, descriptions of terms,
other commercial purposes; and residential purposes provided
and a list of acronyms for many of the words used in this guide.
that there are more than four residential dwelling units; and
The terms are an integral part of the guide and are critical to an
property with four or less dwelling units for residential use
understanding of the guide and its use.
when it has a commercial function, as in the operation of such
3.2 Definitions:
dwellings for profit.
3.2.1 ABS Piping, n—Acrylonitrile Butadiene Styrene
3.2.9 commercial real estate management, v—for purposes
(ABS) piping is a type of black, plastic piping used primarily
of this guide, this term means actions taken either in response
in drain and vent line applications.
to a reported or observed condition, or for preventive or
3.2.1.1 Discussion—Certain brands of ABS piping manu-
planning purposes, by parties having a management interest
factured between 1985-1988 are prone to cracking and failure.
(for example, as landlord, property manager, owner, investor,
Other instances of ABS pipe fatigue and failure at joints due to
tenant, and so forth) in improved commercial real estate.
improper installation and maintenance have resulted in the
3.2.10 commercial real estate transaction, n—for purposes
piping being banned in some jurisdictions.
of this guide, this term means a transfer of title to (for example,
3.2.2 actual knowledge, n—the knowledge actually pos-
sales/acquisition) or possession (for example, lease) of im-
sessed by an individual who is a real person, rather than an
proved real property, or the receipt of a security interest,
entity. Actual knowledge is to be distinguished from construc-
mortgage, or the placing of a lien on improved commercial real
tive knowledge that is knowledge imputed to an individual or
estate (for example, lending) excepting individual dwellings.
entity.
3.2.11 component, n—a portion of a building system, piece
3.2.3 architect, n—designation reserved by law for a person
of equipment, or building element.
professionally qualified, examined, and registered by the ap-
3.2.12 comprehensive, adj—complete, thorough, entire,
propriate governmental board having jurisdiction, to provide
methodical, and detailed.
architectural services including, but not limited to, analysis of
3.2.13 dangerous or adverse condition, n—conditions that
project requirements and conditions, development of project
design, production of construction drawings and specifications, may pose a threat or possible injury to the field observer and
which may require the use of special protective clothing, safety
and administration of construction contracts.
equipment, access equipment, or other precautionary measures.
3.2.4 biological growth, n—visible moisture-related
E2018
growths such as algae, fungi, lichens, mosses, bacteria, and
higher plants. The term may also be considered to include 3.2.14 deferred maintenance, n—physical deficiencies that
references to mold, mildew, mushrooms, or any plant matter. could have been remedied with routine maintenance, normal
operating maintenance, and so forth, excluding de minimis
3.2.5 building envelope, n—the outer elements of a
conditions that generally do not present a material physical
building, both above and below ground, which divide the
deficiency to the subject property. E2018
external from the internal environments. Commonly included
are exterior walls, windows, doors, roofs and subfloors. E631 3.2.15 de minimis condition, n—a physical deficiency that is
not material to the conclusions of the report. E2018
3.2.6 building system, n—interacting or independent com-
ponents or assemblies, which form single integrated units, that
3.2.16 dismantling, v—to take apart, move, or remove any
comprise a building and its site work, including, but not limited component, device, or piece of equipment that is bolted,
to, structural frame, roofing, exterior walls, plumbing, HVAC,
screwed, held in-place (mechanically or by gravity), secured,
electrical, and so forth. assembled, or fastened by other means. E2018
3.2.17 due diligence, n—the process of inquiring into the
characteristics of a parcel of commercial real estate, usually in
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
connection with a commercial real estate transaction. The
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
degree, scope, and kind of due diligence vary for different
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website. properties and differing purposes of the user.
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3.2.18 dwelling unit, n—structure or portion thereof used for 3.2.31 LMA reviewer, n—the individual who reviews the
residential habitation. LMA prior to delivery to the user.
3.2.19 engineer, n—designation reserved by law for a per-
3.2.32 material, adj—having significant importance or great
son professionally qualified, examined, and licensed by the
consequence.
appropriate governmental board having jurisdiction, to provide
3.2.33 moisture—water as liquid, vapor, or solid (for
engineering services.
example, ice, frost, or snow) in any combination or in
3.2.20 environmental site assessment, n—the process by
transition.
which a person or entity seeks to determine if a particular
3.2.34 moisture affected materials—materials that have
parcel of real property (including improvements) is subject to
been observably affected by moisture, water and/or other
recognized environmental conditions as defined in ASTM
liquid. Such affects may include, but are not limited to,
Standard Practice E1527, or potential environmental concerns
staining, streaking, erosion, corrosion, efflorescence, residues,
as defined in ASTM Standard Practice E1528, or any other
rotting, fungal and/or biological growth, excluding de minimis
environmental assessment.
conditions that generally do not represent an increased risk for
3.2.21 extraordinary physical search, v—surveying of con-
elevated moisture.
fined locations that are difficult to either physically access or
3.2.35 observe, v—to conduct an observation pursuant to
observe within a commercial building. These locations include,
this guide.
but are not limited to, within wall or false ceiling cavities,
mechanical or electrical system chases, wall or duct insulation,
3.2.36 observation, n—the survey of items, systems,
on the backing of carpeting, within crawl spaces, in confined
conditions, or components that are readily accessible and
spaces, or in other locations that are not readily accessible or
readily observable during a walk-through survey of the subject
readily observable.
property.
3.2.22 field observer, n—an individual who conducts site
3.2.37 obvious, adj—that which is plain or evident; a
activities in connection with a LMA in accordance with this
condition or fact that could not reasonably be ignored or
guide.
overlooked by a field observer while observing the subject
3.2.23 fungus (pl. fungi), n—as defined in Guide D7338, a
property.
kingdom of organisms including molds, mildews, mushrooms,
3.2.38 occupants, n—those tenants, subtenants, or other
yeasts and many parasites. These are important decomposers in
persons or entities using a property or a portion of a property.
ecosystems.
3.2.39 owner, n—the entity holding the title to the commer-
3.2.23.1 Discussion—Fungi are typically multi-cellular
cial real estate that is the subject of the LMA.
fungi with filamentous vegetative hyphae.
3.2.40 physical deficiency conducive to elevated moisture,
3.2.24 fungal growth, n—as defined in Guide D7338, veg-
n—conspicuous or patent defects or significant deferred main-
etative portion of a fungus.
tenance of a commercial building’s building systems, site or
3.2.25 galvanized piping, n—A class of steel piping widely
building components that could lead to water infiltration or
used in pre-1980’s construction for water supply and waste
elevated moisture conditions as observed during the field
piping.
observer’s walk-through survey, excluding de minimis condi-
3.2.25.1 Discussion—Problems can occur in older galva- tions that generally do not represent an increased risk for
nized pipes as they corrode (rust) on the inside. Corrosion elevated moisture.
results in a buildup of deposits that impede water flow and
3.2.41 polybutylene piping, n—A class of plastic resin
reduce water pressure, increase the likelihood of leaks and
piping used extensively for residential water supply piping
ruptures, and produces water quality health risks. Galvanized
application from the late 1970s until the mid-1990s.
pipes are susceptible to accelerated deterioration when coupled
to dissimilar metal fixtures such as copper, which can cause a
3.2.41.1 Discussion—Polybutylene piping has been the sub-
galvanic reaction (electrolysis).
ject of class-action lawsuits and regulatory bans due to
3.2.26 guide, n—a series of options and instructions that do
evidence that deterioration and failure of the piping and
not recommend a specific course of action. See also standard.
associated acetal fittings can result from exposure to chlorine
and chloramines, and other factors.
3.2.27 interviews, n—discussions with those knowledgeable
about the subject building, its construction, and history or who 3.2.42 practice—a definitive procedure for performing one
may have information related to the building systems or or more specific operations or functions that does not produce
components. a test result.
3.2.28 key site manager, n—the person identified by the
3.2.43 property—the real property that is the subject of the
owner of a subject property as having good knowledge of its
LMA described in this guide. Real property includes buildings
history, uses, operation, management, and physical character-
and other fixtures and improvements located on the property
istics.
and affixed to the land.
3.2.29 limited, adj—not comprehensive in scope or purpose.
3.2.44 property condition assessment (PCA), n—as defined
3.2.30 LMA, n—the process described in this guide. in Guide E2018, the process by which a person or entity
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observes a property, interviews sources, and reviews available 3.2.53 standard, n—as used in ASTM, a document that has
documentation for the purpose of developing an opinion and been developed and established within the consensus principles
preparing a PCR. of the ASTM and that meets the approval requirements of
ASTM procedures and regulations. This term herein is used
3.2.45 property condition report (PCR), n—a written report,
interchangeably with guide (“this guide”).
prepared in accordance with Guide E2018, that outlines the
consultant’s observations, opinions as to the subject property’s
3.2.54 subject building, n—referring to the primary building
condition, and opinions of probable costs to remedy the
or buildings on the subject property, and which are within the
material physical deficiencies observed.
scope of the LMA.
3.2.46 provider, n—the entity or individual that prepares the
3.2.55 subject property, n—the commercial real estate con-
LMA and that is responsible for the observance of and reporting
sisting of the site and commercial building that are the subject
on the presence of moisture affected materials and physical
of the LMA described by this guide.
deficiencies conducive to elevated moisture within a commer-
3.2.56 sump, n—a pit, cistern, cesspool, or similar recep-
cial building in accordance with this guide as defined in 7.1.
tacle where liquids drain, collect, or are stored.
3.2.47 readily accessible, adj—describes areas of the sub-
3.2.57 survey, n—observations made by the field observer
ject building that are promptly made available for observation
during a walk-through survey to obtain information concerning
to the field observer at the time of the walk-through of the
the subject property’s readily accessible and readily observable
subject building and does not require the removal of materials,
or building systems.
personal property, equipment, or similar items and that are
3.2.58 swale, n—a low-lying or depressed and often wet
safely accessible in the opinion of the field observer.
stretch of land that is either natural, or manmade, often for
3.2.47.1 Discussion—Use of extraordinary means and meth-
drainage purposes.
ods to access or observe suspect materials render such mate-
3.2.59 timely access, n—entry provided to the field observer
rials inaccessible (for example, fall protection, mechanical
at the time of the walk-through.
lifts, confined space entry, lockout/tag-out, energized systems,
and so forth) is excluded. An area is said to be readily
3.2.60 user, n—the party seeking to use Guide E3026 to
accessible if it can be observed and identified in a safe manner
conduct the LMA in accordance with this guide.
without causing objectionable damage to such material or other
3.2.61 visually and/or physically observed, n—during a site
building materials. The necessity to use ladders or stools to
visit pursuant to this guide, this term means observations made
reach ceiling materials, the need to move lay-in ceiling tiles to
by vision, or other sensory perception, while performing a
view components above such lay-in ceilings, the need to
walk-through.
remove goods in a retail establishment to look below shelves,
3.2.62 walk-through, n—an in-person tour of the commer-
or the need to look beneath carpet (at corners or existing holes
cial building to make observations in order to complete the
only) does not render a material inaccessible. The presence of
LMA Checklist.
fixtures, furnishings, equipment, or similar items within the
area to be assessed or restricted access (that is, locked doors or
3.2.62.1 Discussion—It is the intent of this guide that this
denied access or authorization to enter) may render materials
walk-through should not be considered exhaustive or compre-
not readily accessible. For example, materials located under-
hensive in nature and is subject to the limitations of this guide.
ground within crawl spaces or below-grade confined areas such
3.3 Acronyms:
as vaults or tunnels, below concrete slabs, or within walls
3.3.1 ASTM—ASTM International
without access panels, shafts, or chases that are not readily
3.3.2 FIRM—flood insurance rate map
accessible.
3.2.48 readily observable, adj—describes a physical condi-
3.3.3 HVAC—heating, ventilation, and air conditioning
tion that is obvious, patent, and readily accessible.
3.3.4 IAQ—indoor air quality
3.2.49 records review, n—that part that is contained in
3.3.5 LMA—limited moisture assessment
Section 7 of this guide that addresses which records may be
3.3.6 PCA—property condition assessment
reviewed.
3.2.50 report, n—the written record prepared by the pro- 3.3.7 PCR—property condition report
vider and constituting part of a LMA, as required by this guide.
4. Significance and Use
3.2.51 representative observations, n—observations of a
reasonable number of samples of repetitive systems,
4.1 Use—This guide is intended for use on a voluntary basis
components, areas, and so forth, which are conducted by the
by parties who wish to obtain a limited survey of commercial
field observer during the walk-through survey. The concept of
real estate to assess for readily observable moisture affected
representative observations extends to all conditions, areas,
materials and physical deficiencies conducive to elevated
equipment, components, systems, buildings, and so forth, to the
moisture as part of a commercial real estate transaction or
extent that they are similar and representative of one another.
commercial property management. This guide is intended to
3.2.52 site visit, n—the visit to the subject property during constitute a limited inquiry using representative observations
which observations are made constituting the walk-through for the purposes of conducting due diligence regarding the
survey section of this guide. actual and potential presence of readily observable moisture
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affected materials and physical deficiencies conducive to el- or provider has conducted appropriate inquiry or has otherwise
evated moisture in connection with the subject property. conducted an adequate LMA.
Inquiries that are more and less comprehensive than this guide
4.5.1 Uncertainty Not Eliminated—No limited survey of
(including, in some instances, no inquiry) may be appropriate
readily observable moisture affected materials and physical
in some circumstances in the opinion of the user (for example, deficiencies conducive to elevated moisture can wholly elimi-
when the presence of moisture affected materials is known to
nate uncertainty regarding the potential for readily observable
the user). Furthermore, no implication is intended that a person moisture affected materials and physical deficiencies conducive
must use this guide in order to be deemed to have conducted
to elevated moisture to be present at the subject property.
appropriate inquiry in a commercially prudent or reasonable Performance of a LMA pursuant to this guide is intended to
manner in a particular transaction. Nevertheless, this guide is reduce, but not eliminate, uncertainty regarding the current
intended to reflect a commercially prudent and reasonable readily observable moisture affected materials and physical
inquiry. However, a LMA is not intended to serve as a deficiencies conducive to elevated moisture at a property nor to
comprehensivesurvey for the presence of readily observable eliminate the potential for readily observable moisture affected
moisture affected materials and physical deficiencies conducive materials and physical deficiencies conducive to elevated
to elevated moisture in all or most of the building systems moisture to be or to become present. The guide recognizes a
throughout a commercial building. provider’s findings may be determined under time constraints,
formed without the aid of testing, exploratory probing, the
4.2 Clarification of Use:
removal of materials, design, or other technically exhaustive
4.2.1 Specific Point in Time—Because conditions conducive
means.
to elevated moisture in a building can vary greatly over time
4.5.2 Not Exhaustive—Appropriate inquiry does not mean
due to changes in weather, interior air handling and
an exhaustive assessment of the subject property. There is a
conditioning, occupancy, and so forth, a user should only rely
point at which the cost of information obtained or the time
on the results presented in the report for the point in time at
required to gather it outweighs the usefulness of the informa-
which the LMA was conducted.
tion and, in fact, may be a material detriment to the orderly
4.2.2 Site-Specific—This guide is site-specific in that it
completion of transactions. One of the purposes of this guide is
relates to assessment of readily observable moisture affected
to identify a balance between the competing goals of limiting
materials and physical deficiencies conducive to elevated
the costs and time demands inherent in performing a LMA and
moisture within a specific commercial building. Consequently,
the reduction of uncertainty about unknown conditions result-
this guide does not address many additional issues raised in
ing from additional information.
commercial real estate transactions such as purchases of
4.5.3 Activity Exclusions—Certain activities are generally
business entities, or interests therein, or of their assets, that
excluded from or otherwise represent limitations to the scope
may well involve liabilities pertaining to properties previously
of a LMA prepared in accordance with this guide. These should
owned or operated or other on-site or off-site liabilities.
not be construed as all-inclusive or implying that any exclusion
4.2.3 Residential Tenants/Purchasers and Others—No im-
not specifically identified is a LMA requirement under this
plication is intended that it is currently customary practice for guide. Specifically excluded activities include:
residential tenants of multifamily residential buildings, or other
4.5.3.1 Removing or relocating materials, furniture, storage
residential real estate to conduct a LMA in connection with
containers, personal effects, debris materials or finishes; con-
these transactions. Thus, these transactions are not included in
ducting exploratory probing or testing; dismantling or operat-
the term commercial real estate transaction, and it is not
ing equipment or appliances; or disturbing personal items or
intended to imply that such persons are obligated to conduct a
property which obstructs access or visibility.
LMA in connection with these transactions for purposes of
4.5.3.2 Sampling of any type, including sampling for sus-
appropriate inquiry or for other purposes.
pect fungi or other forms of biological growth, or sampling or
otherwise measuring moisture or other physical characteristics.
4.3 Who May Conduct—The walk-through survey portion of
4.5.3.3 Entering or accessing areas of the premises deemed
a LMA should be conducted by a field observer qualified as
to pose a threat of dangerous or adverse conditions with
outlined in Section 7.
respect to the field observer or to perform any procedure that
4.4 Additional Services—As set forth in 11.13, additional
may damage or impair the physical integrity of the subject
services may be contracted for between the user and the
property, any building system, or component.
provider. Such additional services may include moisture
4.5.3.4 Providing an environmental site assessment, prop-
metering, sampling of suspect fungal growth, invasive testing,
erty condition assessment, or any element of an environmental
thermographic imaging, environmental site assessments, prop-
site assessment or property condition assessment.
erty condition assessments or other services not included
4.5.4 Hidden Areas—Moisture affected materials may occur
within the scope of this guide, examples of which area
in hidden areas such as: within wall cavities, within crawl-
identified in Section 12 under Out of Scope Considerations.
spaces; above ceiling tiles or beneath flooring materials, and so
4.5 Principles—The following principles are an integral part forth. Possible locations of hidden moisture affected materials
of this guide and are intended to be referred to in resolving can include pipe chases and utility tunnels, porous thermal or
ambiguity or exercising such discretion as is accorded the user acoustic liners inside ductwork, or roof insulation materials
or provider in conducting a LMA or in judging whether a user above roof decks of ceilings. If the user suspects the presence
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of hidden moisture affected materials (for example, due to 5. User Responsibilities
musty smells), the user should communicate this fact to the
5.1 Access—User should arrange for the field observer to
provider. If the provider suspects the presence of hidden
receive timely access, which is complete and safe, to the
moisture affected materials, the provider should detail such
commercial real estate’s improvements (including roofs). In
findings in the report. Further investigation of hidden moisture
addition, access to the commercial real estate’s staff and
affected materials is beyond the scope of work described in this
appropriate documents should be provided by owner, owner’s
guide.
representative, or made available by the user, or a combination
thereof. If requested by the provider, the user should provide
4.5.5 Representative Observations—The purpose of con-
someone knowledgeable about the subject property to accom-
ducting representative observations is to convey to the user the
pany the field observer during the walk-through survey. In no
expected magnitude of commonly encountered or anticipated
event should the field observer seek access to any specific
conditions. Representative observation quantities should be
portion of the commercial real estate, interview property
provided in the agreement between user and provider;
management staff or tenants, or review documents, if the
however, if in the provider’s opinion such representative
owner, user, or occupant objects to such access or attempts to
observations as presented in the agreement are unwarranted as
restrict the field observer from conducting any portion of the
a result of homogeneity of the asset or other reasons deemed
walk-through survey, document review, interviews, or taking of
appropriate by the provider, a sufficient number of units, areas,
photographs. Any conditions that significantly impede or
systems, buildings, and so forth may be observed so as to
restrict the field observer’s walk-through survey or research, or
achieve a reasonable confidence as to the representative present
the failure of the owner or occupant to provide timely access,
conditions of such repetitive or similar areas, systems,
information, or requested documentation should be communi-
buildings, and so forth.
cated by the provider to the user in a timely manner. If such
4.5.5.1 User-Requested Representative Observations—A
conditions are not remedied, the provider should state within
user may define the representative observations required for a
the report all such material impediments that interfered with
given subject property. the conducting of the LMA in accordance with this guide.
4.5.5.2 Extrapolation of Findings—Provider may reason-
5.2 User Disclosure—The user should disclose in a timely
ably extrapolate representative observations and findings to all
manner all appropriate information in the user’s possession that
typical areas or systems of the subject property for the
may assist the field observer in identifying key issues such as
purposes of describing such conditions within the report. The
construction details, renovation details, building damage
provider’s rationale for the extrapolation of findings should be
details, or prior moisture or fungi-related survey or remediation
included in the report. services conducted at the commercial building and other
information useful in completing the LMA.
4.5.6 Level of Inquiry Is Variable—Not every commercial
real estate transaction will warrant the same level of assess-
6. Survey for Readily Observable Moisture Affected
ment. Consistent with good commercial practice, the appro-
Materials and Conditions Conducive to Elevated
priate level of survey will be guided by the type of property
Moisture
subject to assessment, the expertise and risk tolerance of the
user, geographic and other environmentally related issues such
6.1 Objective—The purpose of the LMA is to observe, to the
as local climate, drainage and proximity to surface water, and extent feasible pursuant to the processes prescribed herein, on
other information that may be developed during the course of readily observable moisture affected materials and physical
deficiencies conducive to elevated moisture at the subject
the LMA.
property and prepare a report of the findings.
4.5.7 Comparison With Subsequent Inquiry—It should not
be concluded or assumed that an inquiry was not an appropriate
6.2 LMA Sections—The LMA should have four sections:
inquiry merely because the inquiry did not identify readily
6.2.1 Documentation Review; refer to Section 8.
observable moisture affected materials and physical deficien-
6.2.2 Interview; refer to Section 9.
cies conducive to elevated moisture in connection with a
6.2.3 Walk-Through Survey; refer to Section 10.
commercial building. LMAs should be evaluated based on the
6.2.4 Report; refer to Section 11.
reasonableness of judgments made at the time and under the
6.3 Coordination of Sections:
circumstances in which they were made. Subsequent LMAs
6.3.1 Sections Used in Concert—The Documentation
should not be considered valid standards to judge the appro-
Review, Interviews, and Walk-Through Survey sections of this
priateness of any prior assessment based upon hindsight,
guide are interrelated in that information obtained from one
changed conditions, new information, use of developing tech-
component may either indicate the need for more information
nology or analytical techniques, or other factors.
from another, or impact the provider’s findings, opinions, or
4.6 Rules of Engagement—The contractual and legal obli-
recommendations, or combination thereof.
gations between a provider and a user (and other parties, if
6.3.2 Information Provided By Others—The provider
any) are outside the scope of this guide. No specific legal
should note in the report the source of information used by the
relationship between the provider and the user is necessary for
provider that were material in identifying any readily observ-
the user to meet the requirements of this guide. able moisture affected materials and physical deficiencies
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conducive to elevated moisture encumbering the subject prop- 7.3 Qualifications of the Field Observer—The field observer
erty that was not readily observed by the field observer or that is the person engaged by the provider to conduct the walk-
supplemented the observations.
through survey; the field observer also may be the LMA
reviewer. The provider should establish the qualifications of
6.3.3 No Sampling—This guide does not include air, surface
or bulk sampling or testing for the presence of fungi or other the field observer, but as the accuracy and completeness of the
biological growth. walk-through survey will determine the quality of the LMA, the
provider should carefully consider education, training, and
6.4 Provider’s Duties:
experience when selecting the field observer. Qualifications of
6.4.1 Who May Conduct Portions of the Survey—The
the field observer should be included in the LMA.
inquiries, interviews, walk-through survey, interpretation of the
information upon which the report is based, and the writing of 7.4 Qualifications of the LMA Reviewer—The LMA re-
the report are all tasks and portions of the LMA that may be viewer is the qualified individual designated to exercise respon-
performed by the provider, field observer, members of the
sible control over the field observer on behalf of the provider
provider’s staff, or third party contractors engaged by the and to review the LMA. It is recommended that the user
provider, provided such persons meet applicable licensure
consider a LMA reviewer qualified by possessing a professional
requirements, if any, in the jurisdiction where the services are
designation in architecture, engineering, industrial hygiene, a
performed.
state license in an appropriate field or appropriate experience or
6.4.2 Responsibility for Lack of Information—The provider certifications, or both, in the construction fields. The LMA
is not responsible for providing or obtaining information
reviewer should have experience commensurate with the sub-
should the source contacted fail to respond, to respond only in ject property type and scope (size, complexity, and so forth),
part, or fails to respond in a timely fashion.
and experience in the preparation of LMAs. Generally, profes-
6.4.3 Representative Observations—The field observer is sional architecture, engineering, industrial hygiene licensure/
not expected to survey every component of every building registration, or certifications, education, or appropriate con-
system during a walk-through survey. For example, it is not the struction experience related to these disciplines, or a
intent to survey every apartment unit, mechanical area, toilet
combination thereof, are recognized as acceptable qualifica-
room facilities, every square foot of tenant area, and so forth. tions for reviewing LMAs. However, the user and provider
Only representative observations of such areas should be
may mutually agree to define qualifications for the LMA
surveyed. The concept of representative observations extends
reviewer, which may depend on the specific experience of the
to all conditions, areas, equipment, building components,
LMA reviewer and the scope of the subject property. Qualifi-
building systems, and so forth to the extent that they are similar
cations of the LMA reviewer should be included in the LMA.
and representative of one another.
7.5 The Field Observer and LMA Reviewer may be a Single
Individual—The LMA reviewer may also act as the field
7. The Provider
observer and conduct the walk-through survey. In such an
7.1 Qualifications of Provider—This guide recognizes that
event, the LMA reviewer should identify such dual responsi-
the competency of the provider is highly dependent on many
bilities and sign the report indicating that he or she has
factors that may include professional education, training,
performed both functions.
experience, certification, or professional licensing/registration
7.6 Not a Professional Architecture or Engineering
of both the provider’s field observer and the LMA reviewer. It
Service—It is not the intent of this guide that by conducting the
is the intent of this guide to identify factors that should be
walk-through survey or reviewing the report that the provider,
considered by the user when retaining a provider to conduct a
the field observer, or the LMA reviewer is practicing
LMA and by the provider in selecting the appropriate field
architecture, engineering, industrial hygiene or safety.
observer and LMA reviewer. No standard can be designed to
Furthermore, it is not the intent of this guide that either the
eliminate the role of professional judgment, competence, and
LMA reviewer or the field observer, if they are an architect,
the value and need for experience during the walk-through
engineer or other licensed, registered, or certified professional
survey and to conduct the LMA. Consequently, the qualifica-
must either sign or seal the report as an instrument of
tions of the field observer and the LMA reviewer are critical to
professional service or identify their signatures as being that of
the performance of the LMA and the resulting report. This
an architect, engineer, or other licensed, registered or certified
guide further recognizes the provider has the responsibility to
professional.
select, engage, or employ the field observer and the LMA
reviewer.
8. Document and Record Review
7.2 Independence of Provider—This guide recognizes that
the provider is normally a person or entity, acting as an 8.1 Objective—The objective of the document and records
review is to augment the walk-through survey and to assist the
independent contractor, who has been engaged by the user to
conduct a LMA. In the event the provider, the field observer, provider’s understanding of the subject property and identify-
ing of readily observable moisture affected materials and
the LMA reviewer, or members of the provider’s staff are
employees of, or subsidiary of, the user, such affiliation or physical deficiencies conducive to elevated moisture. Records
or documents, if readily available, should be reviewed to
relationship should be disclosed in the Executive Summary of
the report. specifically identify, or assist in the identification of, readily
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observable moisture affected materials and physical deficien- 8.5.11 Leasing literature, listing for sale, marketing/
cies conducive to elevated moisture. Material records or promotional literature such as photographs, descriptive
documents reviewed should be described or cited in the report. information, reduced floor plans, and so forth;
8.5.12 Drawings and specifications (as-built or construc-
8.2 Reliance—The provider is not required to independently
tion).
verify the information provided and may rely on information
absent actual knowledge to the contrary and to the extent that
9. Interviews with Owners and Occupants
the information appears reasonable to the provider.
9.1 Persons to be Interviewed—Prior to the site visit, the
8.3 Accuracy and Completeness—Accuracy and complete-
provider should ask the owner, user, or key site manager to
ness of information varies among information sources. The
identify a person or persons knowledgeable of the physical
provider is not obligated to identify mistakes or insufficiencies
characteristics, maintenance, and repair of the commercial
in the information provided. However, the provider should
building. If a property manager or agent of the owner is
make reasonable efforts to compensate for mistakes or insuf-
identified, the provider should contact such individual so as to
ficiencies of information reviewed that are obvious considering
inquire about the subject property’s historical operations,
other information obtained in the process of conducting the
repairs and replacements, history of tenant complaints, level of
LMA or otherwise known to the provider.
preventive maintenance exercised, pending repairs and
improvements, frequency of repairs and replacements, exis-
8.4 Pre-survey Questionnaire—Provider may provide
tence of ongoing or pending litigation related to subject
owner or owner’s representative, or both, with a pre-survey
property’s physical condition, the presence of readily observ-
questionnaire (the “questionnaire”). Such questionnaire, com-
able moisture affected materials, or physical deficiencies con-
plete with the owner’s or owner’s representative’s responses,
ducive to elevated moisture. In connection with the provider’s
should be included as an exhibit within the report unless
research or walk-through survey, provider may also question
directed otherwise by user.
others who are knowledgeable of the subject property’s physi-
8.5 Owner/User Provided Documentation and
cal condition and operation. It is within the discretion of the
Information—If readily available, the provider should review
provider to decide which questions to ask before, during, or
any of the following documents
...