ASTM E1528-2014 Standard Practice for Limited Environmental Due Diligence Transaction Screen Process《有限环境尽职调查的标准实施规程 事务筛选过程》.pdf

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1、Designation: E1528 14Standard Practice forLimited Environmental Due Diligence: Transaction ScreenProcess1This standard is issued under the fixed designation E1528; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last re

2、vision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 PurposeThe purpose of this practice is to define agood practice in the United States of America for conducting atransaction s

3、creen2for a parcel of commercial real estatewhere the user wishes to conduct limited environmental duediligence (that is, less than a Phase I Environmental SiteAssessment). If the driving force behind the environmental duediligence is a desire to qualify for one of the ComprehensiveEnvironmental Res

4、ponse, Compensation, and Liability Act(CERCLA) Landowner Liability Protections (LLPs), this prac-tice should not be applied. Instead, theASTM E1527: StandardPractice for Environmental Site Assessments: Phase I Environ-mental Site Assessment Process or ASTM E2247: StandardPractice for Environmental S

5、ite Assessments: Phase I Environ-mental Site Assessment Process for Forestland or Rural Prop-erty may be used.1.1.1 This practice will not satisfy the requirement toconduct all appropriate inquiries into the previous ownershipand uses of the property consistent with “generally acceptedgood commercia

6、l and customary standards and practices” asdefined in 42 U.S.C. 9601(35)(B) to qualify for one of theComprehensive Environmental Response, Compensation, andLiability Act (CERCLA) Landowner Liability Protections(LLPs). Users who desire to conduct environmental duediligence to qualify for one of the C

7、ERCLA LLPs shouldconduct assessment activities in conformity with “Standardsand Practices for All Appropriate Inquiries,” 40 C.F.R. Part312, ASTM E1527: Standard Practice for Environmental SiteAssessments: Phase I Environmental Site Assessment Processor ASTM E2247: Standard Practice for Environmenta

8、l SiteAssessments: Phase I Environmental Site Assessment Processfor Forestland or Rural Property.1.2 An evaluation of business environmental risk associatedwith a parcel of commercial real estate may necessitateinvestigation beyond that identified in this practice. See Sec-tions 1.4 and 11.1.2.1 Pot

9、ential Environmental ConcernsThe goal of con-ducting a transaction screen is to identify potential environ-mental concerns, as defined in 3.2.35.1.2.2 Other Federal, State, and Local EnvironmentalLawsThis practice does not address requirements of any stateor local laws or of any federal laws. Users

10、are cautioned thatfederal, state, and local laws may impose environmentalassessment obligations that are beyond the scope of thispractice. Users should also be aware that there are likely to beother legal obligations with regard to hazardous substances orpetroleum products discovered on property tha

11、t are not ad-dressed in this practice and may pose risks of civil and/orcriminal sanctions for non-compliance.1.3 ObjectiveThe objective guiding the development ofthis practice is to facilitate standardized transaction screens.1.3.1 Note of CautionThe user should be cautious inapplying this practice

12、 to properties with known current orhistoric handling of hazardous substances or petroleum prod-ucts.1.4 Considerations Beyond the ScopeThe use of thispractice is strictly limited to the scope set forth in this section.Section 11 of this practice identifies, for informationalpurposes, certain enviro

13、nmental conditions (not an all-inclusive list) that may exist on a property that are beyond thescope of this practice but may warrant consideration by partiesto a commercial real estate transaction. The need to include aninvestigation of any such conditions in the scope of servicesshould be evaluate

14、d based upon, among other factors, thenature of the property and the reasons for performing theassessment (for example, a more comprehensive evaluation ofbusiness environmental risk) and should be agreed upon asadditional services beyond the scope of this practice prior toinitiation of the Transacti

15、on Screen Process.1.5 Organization of This PracticeThis practice has severalparts and one appendix. Section 1 is the Scope. Section 2 refersto other ASTM standards in the Referenced Documents.Section 3, Terminology, has definitions of terms not unique to1This practice is under the jurisdiction of AS

16、TM Committee E50 on Environ-mental Assessment, Risk Management and Corrective Action and is the directresponsibility of Subcommittee E50.02 on Real Estate Assessment and Manage-ment.Current edition approved Jan. 15, 2014. Published February 2014. Originallyapproved in 1993. Last previous edition app

17、roved in 2006 as E1528 06. DOI:10.1520/E1528-14.2Whenever terms defined in 3.2 or described in 3.3 are used in this practice, theyare in italics.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States1this practice, descriptions of terms uniq

18、ue to this practice, andacronyms. Section 4 is Significance and Use of this practice.Section 5 is the Introduction to the Transaction Screen Ques-tionnaire. Section 6 sets forth the Transaction Screen Ques-tionnaire itself. Sections 710contain the Guide to theTransaction Screen Questionnaire and its

19、 various parts. Sec-tion 11 provides additional information regarding non-scopeconsiderations. See 1.4.1.6 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of this standard to establish appro-priate safety and h

20、ealth practices and determine the applica-bility of regulatory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:3E1527 Practice for Environmental Site Assessments: Phase IEnvironmental Site Assessment ProcessE2247 Practice for Environmental Site Assessments: Phase IEnvironmental Si

21、te Assessment Process for Forestland orRural Property2.2 Federal Statutes:Comprehensive Environmental Response, Compensation,and Liability Act of 1980 (“CERCLA” or “Super-fund”), as amended by Superfund Amendments and Re-authorization Act of 1986 (“SARA”) and Small BusinessLiability Relief and Brown

22、fields Revitalization Act of2002 (“Brownfields Amendments”), 42 U.S.C. 9601 etseq.Emergency Planning and Community Right-To-KnowAct of1986 (“EPCRA”), 42 U.S.C. 11001 et seq.Freedom of Information Act, 5 U.S.C. 552, as amended byPublic Law No. 104-231, 110 Stat. 3048Resource Conservation and Recovery

23、 Act (sometimes alsoreferred to as the Solid Waste Disposal Act), as amended(“RCRA”), 42 U.S.C 6901 et seq.3. Terminology3.1 ScopeThis section provides definitions, descriptionsof terms, and a list of acronyms for many of the words used inthis practice. The terms are an integral part of this practic

24、e andare critical to an understanding of this written practice and itsuse.3.2 Definitions:3.2.1 activity and use limitations (AULs)legal or physicalrestrictions or limitations on the use of, or access to, a site orfacility: (1) to reduce or eliminate potential exposure tohazardous substances or petr

25、oleum products in the soil orground water on the property,or(2) to prevent activities thatcould interfere with the effectiveness of a response action, inorder to ensure maintenance of a condition of no significantrisk to public health or the environment. These legal orphysical restrictions, which ma

26、y include institutional and/orengineering controls, are intended to prevent adverse impactsto individuals or populations that may be exposed to hazardoussubstances and petroleum products in the soil or ground wateron the property.43.2.2 actual knowledgethe knowledge actually possessedby an individua

27、l who is a real person, rather than an entity.Actual knowledge is to be distinguished from constructiveknowledge that is knowledge imputed to an individual orentity.3.2.3 adjoining propertiesany real property or propertiesthe border of which is contiguous or partially contiguous withthat of the prop

28、erty, or that would be contiguous or partiallycontiguous with that of the property but for a street, road, orother public thoroughfare separating them.3.2.4 aerial photographsphotographs taken from an aerialplatform with sufficient resolution to allow identification ofdevelopment and activities of a

29、reas encompassing the property.Aerial photographs are often available from government agen-cies or private collections unique to a local area. See Question22 of the questionnaire in this practice and 10.2.2.3.2.5 all appropriate inquiriesthat inquiry constituting“all appropriate inquiries into the p

30、revious ownership and usesof the property consistent with good commercial or customarypractice” as defined in CERCLA, 42 U.S.C. 9601(35)(B), thatwill qualify a party to a commercial real estate transaction forone of the threshold criteria for satisfying the LLPs toCERCLA liability (42 U.S.C. 9601(35

31、)(A) 9607(b)(3), 9607(q), and 9607(r), assuming compliancewith other elements of the defense.3.2.6 approximate minimum search distancethe area forwhich records must be obtained and reviewed pursuant to therecords review section of Practice E1528, subject to thelimitations provided in that section. T

32、he term approximateminimum search distance may include areas outside the prop-erty and shall be measured from the nearest property boundary.The term approximate minimum search distance is used insteadof radius to include irregularly shaped properties.3.2.7 commercial real estateany real property exc

33、ept adwelling or property with no more than four dwelling unitsexclusively for residential use (except that a dwelling orproperty with no more than four dwelling units exclusively forresidential use is included in this term when it has a commer-cial function, as in the building of such dwellings for

34、 profit).This term includes but is not limited to undeveloped realproperty and real property used for industrial, retail, office,agricultural, other commercial, medical, or educational pur-poses; property used for residential purposes that has morethan four residential dwelling units; and property w

35、ith no more3For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.4The term AUL is taken from the ASTM Standard Guid

36、e E2091 to include bothlegal (that is, institutional) and physical (that is, engineering) controls within itsscope. Other agencies, organizations, and jurisdictions may define or utilize theseterms differently (for example, EPA and California do not include physical controlswithin their definitions

37、of “institutional controls.” The Department of Defense andthe International County/City Management Association use “Land Use Controls.”The term “land use restrictions” is used but not defined in the BrownfieldsAmendments).E1528 142than four dwelling units for residential use when it has acommercial

38、function, as in the building of such dwellings forprofit.3.2.8 Comprehensive Environmental Response, Compensa-tion and Liability Information System (CERCLIS)the list ofsites compiled by EPAthat EPAhas investigated or is currentlyinvestigating for potential hazardous substance contaminationfor possib

39、le inclusion on the National Priorities List.3.2.9 CORRACTS lista list maintained by EPA of hazard-ous waste treatment, storage, or disposal facilities and otherRCRA-regulated facilities (due to past interim status or storageof hazardous waste beyond 90 days) that have been notified bythe U.S. Envir

40、onmental Protection Agency to undertake cor-rective action under RCRA. The CORRACTS list is a subset ofthe EPA database that manages RCRA data.3.2.10 demolition debrisconcrete, brick, asphalt, andother such building materials discarded in the demolition of abuilding or other improvement to property.

41、3.2.11 druma container (typically, but not necessarily,holding 55 gal (208 L) of liquid) that may be used to storehazardous substances or petroleum products.3.2.12 due diligencethe process of inquiring into theenvironmental characteristics of a parcel of commercial realestate or other conditions, us

42、ually in connection with acommercial real estate transaction. The degree and kind of duediligence vary for different properties and differing purposes.3.2.13 dwellingstructure or portion thereof used for resi-dential habitation.3.2.14 engineering controlsphysical modifications to asite or facility (

43、for example, capping, slurry walls, or point ofuse water treatment) to reduce or eliminate the potential forexposure to hazardous substances or petroleum products in thesoil or ground water on the property. Engineering controls area type of activity and use limitation (AUL).3.2.15 environmental lien

44、a charge, security, or encum-brance upon title to a property to secure the payment of a cost,damage, debt, obligation, or duty arising out of responseactions, cleanup, or other remediation of hazardous substancesor petroleum products upon a property, including (but notlimited to) liens imposed pursu

45、ant to section 107(l) of CER-CLA (42 U.S.C. 9607(l) and similar state or local laws.3.2.16 environmental professionala person meeting theeducation, training, and experience requirements as set forth in40 C.F.R. 312.10(b). The person may be an independentcontractor or an employee of the user.3.2.17 E

46、RNS listEPAs Emergency Response NotificationSystem list of reported CERCLA hazardous substance releasesor spills in quantities greater than the reportable quantity, asmaintained at the National Response Center. Notificationrequirements for such releases or spills are codified in 40C.F.R. Parts 302 a

47、nd 355.3.2.18 fill dirtdirt, soil, sand, or other earth, that isobtained off-site, that is used to fill holes or depressions, createmounds, or otherwise artificially change the grade or elevationof real property. It does not include material that is used inlimited quantities for normal landscaping a

48、ctivities.3.2.19 fire insurance mapsmaps produced for private fireinsurance map companies that indicate uses of properties atspecified dates and that encompass the property. These mapsare often available at local libraries, historical societies, privateresellers, or from the map companies who produc

49、ed them. SeeQuestion 22 of the questionnaire in this practice and 10.2.2.3.2.20 hazardous substancea substance defined as a haz-ardous substance pursuant to section 101(14) of CERCLA, (42U.S.C. 9601(14), as interpreted by EPA regulations (see 40C.F.R. 302.4) and the courts: “(A) any substance designatedpursuant to section 311(b)(2)(A) of the Federal Water PollutionControl Act, (B) any element, compound, mixture, solution, orsubstance designated pursuant to section 102 of this Act, (C)any hazardous waste having the characteristics iden