Document ID: EPA-HQ-OLEM-2016-0786-0004
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2017-06-20T04:00Z

Comparison of All Appropriate Inquiries Regulation, the ASTM E1527-13
Phase I Environmental Site Assessment Process

and

ASTM E2247-16 Phase I Environmental Site Assessment Process for
Forestland or Rural Property Standard

Introduction

On November 1, 2005 EPA issued a Final Rule establishing standards and
practices for conducting all appropriate inquiries (AAI) as required
under sections 101(35)(B)(ii) and (iii) of the Comprehensive
Environmental Response, Compensation and Liability Act (CERCLA), as
amended. Section 312.11 of the Final Rule stated that ASTM Standard
E1527-05, “Standard Practice for Environmental Site Assessments: Phase
I Environmental Site Assessment Process” may be used to comply with
the AAI requirements.  In December 2013, EPA amended the AAI regulation
to add a reference in section 312.11 to the updated ASTM E1527-13
Standard.  The 2013 amendment established that EPA finds the ASTM
E1527-13 “Standard Practice for Environmental Site Assessments: Phase
I Environmental Site Assessment Process” to be compliant with the AAI
regulation.

In December 2008, ASTM International revised a similar Phase I
environmental assessment standard, specifically ASTM E2247-08,
“Standard Practice for Environmental Site Assessments: Phase I
Environmental Site Assessment Process for Forestland or Rural
Property.” The ASTM E2247-08 standard was quite similar to the ASTM
E1527-05 standard in format, process, and areas of coverage. In fact,
many of the sections in ASTM E2247-08 are taken verbatim from the ASTM
E1527-05 text. The revised standard, although essentially congruent to
the ASTM E1527-05 Phase I Environmental Assessment Standard, provided
additional guidance for the assessment of large tracts of land that are
undeveloped or used primarily for forest and agricultural purposes.

ASTM International recently revised the ASTM E2247-08, “Standard
Practice for Environmental Site Assessments: Phase I Environmental Site
Assessment Process for Forestland or Rural Property.”  The revised
standard, ASTM E2247-16 was published in December 2016 primarily to
reflect revisions and improvements made to the ASTM E1527-05 “Standard
Practice for Environmental Site Assessments: Phase I Environmental Site
Assessment Process.” 

This document presents a comparison of the AAI regulatory requirements
and the requirements of both the ASTM E2247-16 standard and the ASTM
E1527-13 standard. 

Exhibit 1 presents a summary of the regulatory sections in the AAI
regulation and the relevant or corresponding sections of both the ASTM
E2247-16 standard and the ASTM E1527-13 standard. The first column in
Exhibit 1 provides a list of the major activities required by the AAI
final rule. The second column provides citations to the applicable
sections of the regulation where the requirements are discussed. The
third column in Exhibit 1 presents the corresponding sections of the
ASTM E2247-16 standard. The fourth column presents the corresponding
sections of the ASTM E1527-13 standard. The fifth column provides a
brief description of any differences between the two standards. As shown
throughout the exhibit, the differences between the regulatory
requirements and the newly revised ASTM E2247-16 standard are minor in
nature, and generally reflect the applicability of the newly revised
standard to specific property types. 

Summary of Differences

ASTM E2247-16 is quite similar to ASTM E1527-13, and consistent with the
AAI regulation. There are a few minor differences, mostly related to the
scope and applicability of the ASTM E2247-16 standard. Exhibit 1
identifies these minor differences between the AAI regulation, the ASTM
E1527-13 standard and the ASTM E2247-16 standard. None of these
differences are of a nature that cause the ASTM E2247-16 and the ASTM
E1527-13 standards to be non-compliant with the AAI requirements.

ASTM E2247-16 was specifically developed for use in conducting a Phase I
environmental assessment on undeveloped rural properties and
forestlands. The standard allows isolated areas of other land uses to be
contained within the property. The standard does not provide a maximum
or minimum size limit for the isolated areas, and no restrictions on the
environmental intensity of the activities on the isolated areas. The AAI
regulation is applicable to all land use types. The specific land use
focus of the ASTM E2247-16 standard reflects a narrower scope than the
AAI regulation, but it still is compliant with AAI for the types of
properties for which it is applicable. 

The ASTM E2247-16 standard recognizes that the level of inquiry of
commercial real estate contained in isolated areas within forestland or
rural tracts may be satisfied by different means than those generally
applicable to the assessment of urban properties while remaining within
the standard of reasonable time and cost constraints contained within
the AAI regulation (Section 4.5.3 – Level of Inquiry is Variable). 

Section 312.24 of the AAI regulation requires review of historical
documents to cover a period of time from when it can be shown the
property contained structures or when the property was first used for
“residential, agricultural, commercial, industrial or governmental
purposes.” ASTM E2247-16 (as well as the ASTM E1527-13 standard)
requires historical record review back to 1940 or first developed use,
later defining developed use to include “agricultural or forestry uses
and placement of fill.” While it could reasonably be assumed that the
AAI definition includes forestry uses under agricultural or commercial
purposes, ASTM E2247-16 clearly states that forestry is considered a
developed use. The recognition of forestry use as a “developed use”
is consistent with the provisions and standards of AAI.

Conclusion

Based on the analysis provided above and Exhibit 1, ASTM E2247-16,
“Standard Practice for Environmental Site Assessments: Phase I
Environmental Site Assessment Process for Forestland or Rural
Property” is compliant with the AAI regulation.  It is EPA’s
determination that parties who want to claim protection from liability
under CERCLA may follow the regulatory requirements of the All
Appropriate Inquiries Rule at 40 CFR 312, use the ASTM E1527-13
“Standard Practice for Phase I Environmental Site Assessments” to
comply with the all appropriate inquiries provision of CERCLA, or use
the ASTM E2247-16 “Standard Practice for Environmental Site
Assessments: Phase I Environmental Site Assessment Process for
Forestland or Rural Property,” as applicable. 

Exhibit 1

Definitions and Requirements	Final AAI Regulation	ASTM 

E2247-16	ASTM

E1527-13	Description of Notable Differences

Section 312.1    Purpose, applicability, scope and disclosure
obligations.

Purpose	312.1(a)	1.1, 7.1	1.1, 7.1	The AAI regulation provides a
standard specifically related to the requirements of CERCLA §§
101(35)(B)(i)(I) and 101(35)(B)(ii) and (iii). 

ASTM E2247-16 provides a standard for conducting a Phase I Environmental
Site Assessment of forestland or rural property when some of the
methodologies of ASTM E1527 are deemed to be impractical or unnecessary
due to the size or nature of the property. The property need not be
contiguous; however, the non-contiguous areas should have substantially
the same general land use. The property may contain isolated areas of
non-forestland and non-rural property. 

Applicability	312.1(b)	1.1, 4.1, 4.2, 4.5.3	1.1, 4.1, 4.2, 4.5.3	The AAI
regulation applies if the owner wants to qualify for CERCLA liability
protections or those conducting site characterization and assessments
with the use of a grant awarded under CERCLA § 104(k)(2)(B), without
limit to a particular land use. 

The ASTM standard states that the practice has utility for a wide range
of uses outside of potential CERCLA liability. Although its use is not
limited to CERCLA purposes only, ASTM E2247-16 applies specifically to
identifying environmental conditions on forestland or rural properties
that are generally uniform in use. The property need not be contiguous
and can have isolated areas of non-forestland and non-rural property.

Scope	312.1(c)	1, 4.1, 4.2.1, 4.2.2	1, 4.1, 4.2.1, 4.2.2	In addition to
CERCLA-defined hazardous substances, AAI includes Petroleum Products and
Controlled Substances within its scope for persons conducting AAI with
grants awarded under the authorities of CERCLA 104(k)(2)(B). 

ASTM E2247-16 includes petroleum products in its scope because they may
be of concern in, on, or at parcels of forestland or rural property, not
because of any potential CERCLA applicability to petroleum. Controlled
substances are specifically defined as "not within the scope of" ASTM
E2247-16, but ASTM E2247-16 notes that controlled substances must be
included if the assessment is conducted under an EPA Brownfields
Assessment and Characterization Grant to the extent directed by the
terms and conditions of the grant.

Disclosure Obligations	312.1(d)	Appendix X5.9.1	Appendix X5.9.1	ASTM
E2247-16 does not specifically address disclosure obligations for either
the user or environmental professional. This lack of disclosure
obligations is not significant because the AAI regulation does not
include any disclosure requirements, but merely notes that it does not
limit or expand any disclosure requirements otherwise required under
CERCLA. 

Appendix X5 in ASTM E2247-16 (Common Non-Scope Considerations) briefly
discusses the potential for OSHA and real estate transaction disclosure
requirements relating to mold hazards.

Section 312.10     Definitions

Definition of Abandoned Property	312.10(b)	3.2.1	3.2.1	None

Definition of Adjoining Properties	312.10(b)	3.2.4	3.2.4	None

Definition of Data Gap	312.10(b)	3.2.22

12.7	3.2.21	The AAI regulation indicates that the data gap applies to
efforts by the environmental professional and to the efforts of any
person listed in 312.1(b) to gather the specific information required by
§§ 312.20(e)(1) and (e)(2). 

The E2247-16 standard indicates that a data gap includes any missing
information that “affect[s] the ability of the environmental
professional to identify recognized environmental conditions,”
including missing information resulting from the inability of the user
(prospective property owner) to provide information to the environmental
professional.

Definition of Date of Acquisition or Purchase Date	312.10(b)	4.6,
Footnote 6	4.6, Footnote 5	None

Definition of Environmental Professional 	312.10(b)	3.2.33, Appendix
X2.1	3.2.32, 

Appendix X2.1	ASTM E2247-16 specifically refers to the definition
provided in the AAI regulation, and adds that the person may be an
independent contractor or an employee of the user.

Definition of Relevant Experience	312.10(b)	Appendix X2.2	Appendix X2.2
None

Definition of Good Faith	312.10(b)	3.2.39	3.2.38	None

Definition of Institutional Controls	312.10(b)	3.2.46	3.2.45	None

Section 312.11     References

References	312.11	2	2	The AAI and ASTM reference sections serve
different purposes. The AAI reference section lists the ASTM E1527 and
E2247 standards as alternative means of complying with the AAI rule. 

The E2247-16 standard lists other ASTM standards (E1527, E2091, E2600),
Federal Statutes, EPA documents, and other Federal agency documents that
may be of use or of interest to persons using the E2247-16 standard.

Section 312.20      All appropriate inquiries

List of Components in All Appropriate Inquiries	312.20(a)	4.6, 6, 7, 10
4.6, 6, 7, 10	None

Shelf Life of the Written Report 	312.20(b)	4.6	4.6	None

Use of Previous Reports Prepared by Others	312.20 (c)-(d)	4.7	4.7	The
AAI regulation and the ASTM E2247-16 standard both recognize that
environmental site assessments include information that is relevant to
subsequent users and should be considered to avoid duplicating efforts
in the future. ASTM E2247-16 also addresses the contractual and legal
obligations to subsequent users of the site assessments, only in stating
that they are beyond the scope of the practice.

The AAI regulation states that AAI may include the results and
information contained in a previous inquiry so long as the prior AAI was
done in compliance with the requirements of CERCLA §§ 101(35)(B),
101(40)(B) and 107(q)(A)(viii); the information was collected or updated
within one year prior to the date of acquisition of the subject property
(except certain items below); previously collected information is
updated to include relevant changes in the conditions of the property
and specialized knowledge; and the following were conducted within 180
days prior to that acquisition:

Interviews with past and present owners, operators, and occupants

Searches for recorded environmental cleanup liens

Reviews of federal, tribal, state, and local government records

Visual inspections of the facility and of adjoining properties

The declaration by the environmental professional;

ASTM E2247-16 states that prior environmental site assessments may be
used so long as the information was generated as a result of procedures
that meet or exceed the requirements of ASTM E2247-16 and there is a
current investigation of conditions likely to affect recognized
environmental conditions in connection with the property.  This standard
also states generally that additional tasks may be necessary to document
conditions that may have changed materially since the prior assessment
was done.  In addition, this standard applies the same 1 year / 180 day
limits as the AAI regulation.

Objectives	312.20(e)	1.2, 7.1	1.2, 7.1	The objectives of the AAI
regulation are to set forth the standards and practices that are
intended to result in the identification of conditions indicative of
releases and threatened releases of hazardous substances on, at, in, or
to the subject property in order to satisfy CERCLA liability protection
or Brownfield Assessment grants. 

The objectives of ASTM E2247-16 are to set a practical and reasonable
standard practice for environmental site assessments for forestland or
rural property to identify recognized environmental conditions for
commercial property transactions.

Contaminants of Concern 	312.20(e)(2)

312.1(c)	1.1	1.1	The AAI regulation applies to hazardous substances (and
if conducted under 312.1(b)(2) adds pollutants, contaminants, petroleum
and petroleum products, and controlled substances). The ASTM E2247-16
applies to the broad range of contaminants within the scope of CERCLA
and petroleum products. As noted above, the scope for ASTM E2247-16
generally does not include Controlled Substances, but recognizes their
applicability under EPA Brownfields Assessment and Characterization
Grants. 

Performance Factors	312.20(f)	8.1.3, 8.1.4, 8.1.5	8.1.3, 8.1.4, 8.1.5
None

Data Gaps 	312.20(g)	12.7	12.7	None. The ASTM E2247-16 standard states
that a data gap by itself is not inherently significant. It is only
significant if other information and/or professional experience raises
reasonable concerns involving the data gap. This same concept with
regard to data gaps is addressed in the AAI rule.

Section 312.21     Results of inquiry by an environmental professional

Requirements for Inquiries of the Environmental Professional	312.21(b)
7.2, 6	7.2, 6	The ASTM E2247-16 standard fully addresses the provisions
required in the AAI regulation. Both the AAI rule and the ASTM E2247-16
standard require that the investigation include a review of records,
interviews, and a site visit. 

The AAI regulation requires that prospective property owners and the
environmental professional conduct interviews with past and present
owners and visual inspections; review government records, historical
sources, commonly known or reasonably ascertainable information, and the
degree of obviousness of the presence and the ability to detect the
contamination and take into account commonly known or reasonably
ascertainable information, the degree of obviousness and ability to
detect contamination. 

The ASTM E2247-16 standard requires the environmental site assessment to
include: records review; site reconnaissance; interviews with present
and past owners, operators, and occupants of the property and local
government officials; and an evaluation and report. In addition, the
user must review title and judicial records for environmental liens and
activity and use limitations, report specialized or actual knowledge or
experience of the user, purchase price, any commonly known or reasonably
ascertainable information, and maps of the property. 

Both the AAI regulation and the ASTM E2247-16 standard require that the
final report include an opinion regarding additional appropriate
investigation, if the environmental professional holds such an opinion.

Report Requirements	312.21(c)	12, Appendix X4	12, Appendix X4	Both
require the report to contain opinions as to whether there are
conditions indicative of release and identification of data gaps. Both
the AAI regulation and the ASTM E2247-16 standard require that the final
report include a statement that the person signing the report meets the
definition of an environmental professional provided in section 312.10
of the AAI regulation.

Signed Declarations to Be Included in the Written Report	312.21(d)	12.8,
12.12, 12.13	12.8, 12.12, 12.13	The declaration required of the
environmental professional is more specific in ASTM E2247-16 than in the
AAI regulation. Both require a declaration that the environmental
professional meets the definition defined in §312.10 and that the AAI
investigation was performed in conformance with 40 CFR Part 312. 

ASTM E2247-16 requires an additional statement that the Phase I
assessment was performed in conformance with ASTM E2247-16.

Section 312.22     Additional inquiries

Additional Inquiries	312.22(a)	6.2, 6.3, 6.4 6.5, 6.6	6.2, 6.3, 6.4,
6.5, 6.6	The AAI regulation assigns the task of developing information
on environmental cleanup liens, specialized knowledge, relationship of
purchase price to fair market value, and commonly known information to
the person seeking liability protection or conducting assessments with
Brownfields grants. The AAI regulation states that this data may be
provided to the environmental professional by the user. 

The ASTM E2247-16 standard goes further and states that it is the
user’s responsibility to collect the information and the user should
report environmental cleanup liens information to the environmental
professional. 

Section 312.23     Interviews with past and present owners, operators,
and occupants

Interviews with the Subject Property Current and Past Owners and
Occupants 	312.23(b), 312.23(c)	10	10	The AAI regulation requires that
reasonable efforts be made to interview the current owner or occupants.
Additionally, at least one of the following groups must be interviewed,
to the extent necessary to achieve the objectives and performance
factors: current or past facility managers; past owners, occupants, or
operators; or employees of current or past occupants. 

ASTM E2247-16 states that the key site manager or someone with knowledge
of the property should be interviewed. Additionally, a reasonable
attempt to interview current occupants must be made. ASTM E2247-16 also
states that interviews with past owners, operators, and occupants of the
property shall be conducted to the extent that they have been identified
and that the information likely to be obtained is not duplicative of
information already obtained from other sources.

Interviews Conducted at Abandoned Properties	312.23(d)	10.5.5	10.5.5
None.

Section 312.24     Reviews of historical sources of information

Review of Historical Sources: Suggested Sources	312.24(a)	8.3.4	8.3.4
The ASTM E2247-16 standard provides a more detailed list of documents to
be used in historical review including activities likely to be found on
large tracts of rural or forested land (oil/mineral development,
livestock dipping vat records). In addition, some examples listed in the
AAI regulation are found in other sections of the ASTM standard (e.g.,
fire insurance maps are mentioned in 8.3.2.1).

Review of Historical Sources: Period to Be Covered 	312.24(b)	8.3.2
8.3.2	The AAI regulation requires that the historical record review must
cover a period of time as far back in the history of the subject
property as it can be shown that the property contained structures or
from the time the property was first used for residential, agricultural,
commercial, industrial or governmental purposes. 

ASTM E2247-16 indicates that all records back to 1940, or back to the
property's first developed use, whichever is earlier, should be used.
"Developed use" specifically includes forestry use. The ASTM E2247-16
standard is more stringent than the AAI final regulation.

Section 312.25     Searches for recorded environmental cleanup liens

Searches for Recorded Environmental Cleanup Liens	312.25	6.2, 6.4,
10.9.1.10	6.2, 6.4, 8.3.4.4, 10.8.1.10	Both the AAI regulation and the
ASTM E2247-16 standard require a search for liens; however, AAI allows
the user to retain the information or share it with the environmental
professional, whereas ASTM E2247-16 states that the information should
be provided to the environmental professional. 

Section 312.26     Reviews of Federal, State, Tribal, and local
government records

Government Records Review: List of Records 	312.26(a), 312.26(b)	8.2.1,
8.2.2, 8.2.3, 8.3.4	8.2.1, 8.2.2, 8.2.3, 8.3.4	The ASTM E2247-16
standard provides a more expansive list of additional secondary
environmental records sources than the AAI regulation (8.2.3). These
secondary sources include records related to forestry, geologic, and
mineral and mining reports; as well as sources related to departments of
natural resources, land management, forestry, and minerals/mining.

Government Records Review: Search Distance	312.26(c), 312.26(d)	8.1.2,
8.2.1	8.1.2, 8.2.1	The AAI rule includes a 0.5-mile distance for
engineering controls, but allows for the distance to be adjusted, based
upon engineering judgement.  The ASTM E2247-16 standard sets the
distance as “property only.”  Given the significant size of most
properties assessed using the ASTM E2247-16 standard the 0.5 distance
for engineer controls would be much less likely to be significant than
in an urban environment.  The ASTM E2247-16 standard allows the
environmental professional to adjust the search distances based upon
engineering judgement.  

Section 312.27     Visual inspections of the facility and of adjoining
properties

Site Visit: Requirements 	312.27(a), 312.27(b)	9	9	The AAI regulation
requires that a visual on-site inspection of the subject property and
facilities be conducted, and a visual inspection of adjoining properties
be conducted from the subject property line, public rights-of-way, or
other vantage point. 

ASTM E2247-16 indicates that prior to visiting the property, areas of
environmental interest should be identified through the use of aerial
photographs and/or remote sensing imagery, the records review, and
interviews. ASTM E2247-16 standard also states that a prior
environmental site assessment may be used for the purposes of guidance
(without time limitation), but shall not be relied upon without new site
reconnaissance.  This is similar to the AAI regulation.

Sections 9.5.1.3, 9.5.1.4, and 9.5.1.5 of ASTM E2247-16 require that
current and past uses of adjoining and surrounding properties be noted,
when such conditions are observed or when such information is
ascertained during interviews or during records reviews.  If such uses
indicate the potential presence of recognized environmental conditions,
they should be noted in the final report. The requirements in the ASTM
E2247-16 standard allow for the fact that many properties may be too
large to walk the perimeter of the property to observe conditions at
adjoining properties.  In addition, given the size and location of any
property it may not be possible to observe the potential conditions of
adjoining properties from the vantage point of the subject property or a
public right-a-way, if one is available.  

Site Visit: Limitations	312.27(c)	9.3.4, 12.7	9.2.4	None

Section 312.28     Specialized knowledge or experience on the part of
the defendant

Specialized Knowledge or Experience	312.28	6.3	6.3	The AAI regulation
requires the user to take into account any specialized knowledge of the
area around the property and the conditions of adjoining properties.

ASTM E2247-16 requires the user to take into account their specialized
knowledge about releases or threatened releases.  However, both the AAI
regulation and the ASTM E2247-16 standard state that the goal is to use
specialized knowledge that is relevant to property conditions in order
to identify conditions indicative of releases or to identify Recognized
Environmental Conditions (RECs). Therefore, if there is relevant
specialized knowledge, the user (or prospective property owner) is
required to take the information into account.

Section 312.29     The relationship of the purchase price to the value
of the property, if the property was not contaminated

The Relationship of the Purchase Price to the Value of the Property
312.29	6.5	6.5	ASTM E2247-16 goes further than the AAI regulation by
suggesting the user inform the environmental professional if the
purchase price is lower than the fair market value due to contamination.
However, the user is not required to disclose the purchase price to the
environmental professional. 

Section 312.30     Commonly known or reasonably ascertainable
information about the property

Commonly Known or Reasonably Ascertainable Information about the
Property	312.30	6.6	6.6	The AAI rule requires that commonly known or
reasonably ascertainable information about the property be included in
the investigation and provides a list of typical sources of such
information. The ASTM E2247-16 standard adds that the user should notify
the environmental professional of this knowledge prior to site
reconnaissance.

Section 312.31     The degree of obviousness of the presence or likely
presence of contamination at the property, and the ability to detect the
contamination by appropriate investigation

The Degree of Obviousness of the Presence or Likely Presence of
Contamination	312.31	6.7, 12.6, 12.8, Appendix X3	6.7, 12.6, 12.8,
Appendix X3	The ASTM E2247-16 standard is more specific with the items
to be addressed, such as "items initially suspected to be a recognized
environmental condition are subsequently determined, upon further
evaluation, to not be considered a recognized environmental condition."

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