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September 2004, Satisfi Inc. 5600 S Quebec St 220A Greenwood Village CO 80111 720 200 9472 Environmental Information, Guaranteed Satisfaction 1

Comparison ASTM E 1527 versus EPAs AAI Rule

Please note that there may be changes to the AAI final consensus draft after public comments. The ASTM Draft is also a work in process and may be changedafter input from EPA, further edits and balloting comments.

Topic/Segment ASTM 2000 EPA AAI Final Consensus Draft ASTM 2004/5 Draft

1. Scope Define good commercial and customarypractice for ESAs with respect to allCERCLA contaminants and to petroleum products .

Satisfy one of the requirements for innocent landowner defense.

1.1

Provide standards for AAI under CERCLA.For persons seeking to qualify for:1. Innocent landowner defense2. Bona fide prospective purchaser

defense3. Contiguous property owner defense

Also for persons doing site characterization

and assessments with the use of a CERCLAgrant.

312.1(a) & (b)

Addresses CERCLA 101(14) hazardoussubstances only, except that those usinggrants must also address CERCLA 101(33)pollutants, petroleum products, andcontrolled substances.

312.1(c)

Same as 2000, but adds contiguous property owner and bona fide prospective purchaser defenses.

All 3 defenses are collectively defined as thelandowner liability protections , or LLPs .

Petroleum products still included in scope.

Current draft does not address controlledsubstances.

2. ReferencedDocuments

Refers to ASTMs E 1528 TransactionScreen Standard.

2

Not yet filled in.

312.11

The Rule does not mention or allow for areduced level of inquiry.

All references to E 1528 are deleted.

3. Terminology

Abandoned Property

Not defined or mentioned. A property that can be presumed to be

deserted, or an intent to relinquishpossession or control can be inferred fromthe general disrepair or lack of activitythereon such that a reasonable person couldbelieve that there was an intent on the partof the current owner to surrender rights tothe property.

312.10(b)

Same as AAI.

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Relevant Experience

Not defined or mentioned. Participation in the performance ofenvironmental site assessments that mayinclude environmental analyses,investigations, and remediation whichinvolve the understanding of surface andsubsurface environmental conditions and theprocesses used to evaluate these conditionsand for which professional judgment wasused to develop opinions regardingconditions indicative of releases

312.10(b)

Same as AAI.

Historical REC An environmental condition which in the pastwould have been considered a REC , butwhich may or may not be considered a REC currently. If a past release has beenremediated and accepted by the responsibleagency (e.g., no further action), this is anhistorical REC and should be included in thefindings section of the report. The EP shallprovide an opinion of the current impact inthe opinion section of the report. If thishistorical REC is determined to be a REC atthe time the Phase I is conducted, it shall be

identified as such in the conclusions section.3.3.16

Not defined or mentioned. No change from 2000.

RECs Presence or likely presence of anyhazardous substances or petroleum products on a property under conditions thatindicate an existing release, past release ormaterial threat of a release into structures,ground, groundwater or surface water on the

property , even if conditions are incompliance with the law. Excludes de minimus conditions that do not present amaterial risk of harm to public health or theenvironment and would not be the subject ofenforcement if brought to the attention ofappropriate authorities.

3.3.32

Not used or defined. However, objective isto identify conditions indicative of a releaseor threatened release of hazardoussubstances on, at, in, or to the subjectproperty.

312.20(d)

Rule does not apply to quantities thatgenerally would not pose a threat to humanhealth of the environment.

312.20(g)

No change from 2000.

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SpecializedKnowledge

User must communicate to EP (before thesite reconnaissance) any specializedknowledge that is material to RECs.

5.3

User must take into account their specializedknowledge of subject property, area aroundthe subject property, conditions of adjacentproperties, and any other relevantexperience and provide any such specializedknowledge to the EP.

312.22(a)(2)


Significantly LowPurchase Price

If user knows that purchase price issignificantly less than comparableproperties, user should try to identify anexplanation and record the reason.

5.4

User must consider whether purchase priceof the subject property reflects fair marketvalue of the property if the property were notcontaminated, and provide any suchinformation to the EP.

312.22(a)(3)

Same as 2000, and adds that user shallprovide an explanation to the EP.

Commonlyknowninformation

No similar requirement. User must take into account commonlyknown or reasonably ascertainableinformation within the local community aboutthe subject property that is relevant, andprovide any such information to the EP.

312.22(a)(4)

Same as AAI, and adds that user shouldcommunicate such information to the EPbefore the site reconnaissance.

Reason for

Phase One

User should communicate to EP the reason

for conducting the Phase One. If user doesnot, EP should assume its for innocentlandowner protection.

5.5

No similar requirement. No change from 2000.

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6. Assessment

Objective

Identify RECs in connection with theproperty.

6.1

Identify conditions indicative of a release orthreatened release on, at, in or to theproperty, by identifying:

1 current/ past property uses & occupancies;

2 current/ past hazardous substance use;

3 waste management & disposal activitiesthat could have caused releases orthreatened releases;

4 current/ past corrective actions & responseactivities for past & on-going releases;

5 engineering controls;

6 institutional controls; and

7 adjoining/ nearby properties w/ conditionsindicative of releases or threatenedreleases to the subject property.

312.20(d)


Components 1. Records review - Government records- Historical

2. Site reconnaissance 3. Interviews with:

- Present owners, operators, & occupants- Local officials

4. Report - Opinion on impacts to the property- Conclusions, statement about RECs

6.2 and 11

Also information from user.

5

Government records

Historical sources

Visual inspections

Interviews with present & past owners, etc.

Commonly known info, as required from oneor more:- Current neighbors- Local and state officials- Other people with knowledge of site- Other sources (newspapers, websites, etc)

Information from UserReport- Opinion on need for additional investigation- Opinion on release or threatened release- Identify data gaps- EP qualifications, declaration

312.21(b) & (c)

Same as 2000, and adds past owners,operators and occupants.

No sampling No sampling of materials is included.

6.4

Sampling and analysis may be conducted toaddress data gaps.

312.20(f)


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Who mayconduct

EPs must perform site reconnaissance,interviews, review and interpret allinformation, and oversee the writing of thereport. Records review must be obtained bya specialized vendor or under thesupervision of an EP.

6.5

Non-EP may assist under EP supervision.

312.10

Performed or supervised by EP. Qualifiedperson must do site visit and interviews. EPmust review and interpret information.

7. RecordsReview

Accuracy

Make a reasonable effort to compensate formistakes or insufficiencies that are obvious.Applicable to records review .

7.1.3

Evaluate the thoroughness and reliability ofthe information, taking into account all theother information collected. Applicable to allinformation, not just records review.

312.20(e)


ReasonablyAscertainable Defined as publicly available , obtainablewithin reasonable time and cost constraints,and practicably reviewable . Applicable torecords review, environmental liens and commonly known information .

7.1.4

Gather required information (not just recordsreview) that is publicly available, obtainablewithin reasonable time and cost constraints,and practicably reviewable.

312.20(e)


Significance Report must include EPs judgment aboutsignificance of the findings, but okay to use

blanket statement like none of the siteslisted are likely to have a negative impact onthe property except.

7.1.9

No comparable statement. No change from 2000.

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Agency Records Lists standard federal and state records thatare required, plus additional state and localrecords that may be checked.

7.2.1 & 2

Vague, poorly organized, and difficult tocompare. See next column for how ASTMreconciled the requirements. Changes areunderlined.

312.26

Federal Miles- NPL 1.0- CORRACTS 1.0- CERCLIS 0.5- TSD 0.5- NFRAP 0.5- RCRA Generators adjoining- ERNS site only

State and Tribal- NPL equivalent 1.0- CERCLIS equivalent 0.5- Landfills 0.5- UST and AST leaks 0.5- Registered tanks adjoining- Engineering control registries 0.5- Institutional control registries 0.5- Voluntary cleanups 0.5- Brownfield sites 0.5

Additional state, tribal, and local records shall be checked if they are: 1) reasonablyascertainable; 2) sufficiently useful, accurateand complete; and 3) generally obtainedpursuant to local good practice.

Types of Additional Records:- Brownfield Sites- Landfill Lists- Hazardous Waste/ Contaminated Site Lists- Registered tank lists- Local land records for AULs- Records of Spills (SARA 304)- Records of Contaminated Public Wells

Sources of Additional Records

- Health Department/ Environmental Divn- Fire Dept- Planning Dept- Building Permit/ Inspection Dept- Local/ Regional Pollution Control Agency- Local/ Regional Water Quality Agency- Local Electric Utility (for PCB records)

Physical Setting Only requires a topo map

7.2.3

None required No change from 2000.

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Historical UseObjective

Back to first use or 1940, whichever isearlier. Lists many other requirementsregarding intervals, general use, surroundingarea, data failure, etc.

7.3.2

As far back as it can be shown that theproperty contained structures or was firstused for residential, agricultural, commercial,industrial or government purposes. EP mayexercise judgment as to how far back isnecessary.

312.24(b)

No change from 2000, except data failure isclarified (see below).

Historical UseSources

Standard sources include:1. Aerials2. Sanborns3. Assessor Property Tax Files4. Recorded Land Title Records5. Topos6. Local Street Directories7. Building Department Records8. Zoning/ Land Use Records9. Other

7.3.4

May include, but are not limited to:1. Aerials2. Sanborns3. Building department records4. Chain of title5. Land use records

312.24(a)


Data Failure A standard historical source may beexcluded (1) if it is not reasonably ascertainable , or (2) if past experienceindicates that it is not likely to be sufficientlyuseful, accurate or complete in terms ofsatisfying the objectives. Other historical sources may be used but are not required.

7.3.2.3

No comparable language. The historical research is complete wheneither: 1) the objective is achieved; or 2) data failure is encountered. Data failure occurs when the objective is not achievedeven after all 8 standard historical sources have been reviewed (or at least all that arereasonably ascertainable and likely to beuseful). Data failure is not uncommon intrying to identify the use of the property atfive-year intervals back to first use or 1940(whichever is earlier). Notwithstanding adata failure , standard historical sources maybe excluded if: 1) the sources are not

reasonably ascertainable ; or 2) if pastexperience indicates that the sources arenot likely to be sufficiently useful, accurate,or complete in terms of satisfying theobjectives.

8. Site Recon

Specifics

Very specific requirements.

8.

Very general. Referred to as visualinspection.

312.27


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No inspection No provision. In unusual circumstance where physicallimitations, inaccessible location, or otherreasons preclude access to the propertydespite good faith efforts, no inspection isrequired. Mere refusal of a voluntary selleris not an unusual circumstance. EP must

inspect from nearest vantage point or othermethod like aerial photos, document theeffort, and explain their failure.

312.27(c)

No change from 2000. Does not allow forsuch an unusual circumstance.

9. Interviewswith Owners& Occupants

Interview current:

1) Key site manager identified by owner,

2) Reasonable number of occupants, and

3) Major occupants.

9.

Interview current:1) Owner,2) Occupants likely to have hazardous

substances, and3) Major occupants.To extent necessary, interview one or more:1) Current and past facility managers,2) Past owners, occupants or operators, or3) Employees of current & past occupants.

312.23

Same as 2000, and adds past owners,operators and occupants to the extentnecessary.

Abandoned

property

No provisions. If there is evidence of potential unauthorized

use or uncontrolled access, interview one ormore neighbors positioned to possiblyobserve uses or releases.

312.23(d)

Same as AAI.

10. Interviewswith LocalOfficials

Who

Make a reasonable attempt to interview atleast one staff member from a local agencylike the fire dept, health agency, orenvironmental agency.

10.5

To the extent necessary, the EP shouldgather information from varied sources thatmay provide commonly known or reasonablyascertainable information about the site.

Sources may include:1) Current neighbors,2) Local and state officials who may know of

or have information on the site,3) Others with knowledge of the site4) Other sources (e.g., newspapers,

websites, community organizations, locallibraries and historical societies).

312.30(c)

Same as 2000, but adds agency issuingbuilding or groundwater permits thatdocument AULs to the possible list.

Current neighbors, etc. have been added asexamples in the optional Other HistoricalSources category.

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11. Evaluationand ReportPreparation

Format

Recommends a suggested format: Scope of Services Findings Opinion Conclusions Deviations

Additional Services References Signature Qualifications Appendices of supporting documents

X.2 Appendix

Not addressed. Recommended format is more detailed.

Opinions Opinion of the impact on the property ofconditions identified in the findings and therationale for deciding whether they areRECs.

11.6

Opinion on whether inquiry has identifiedconditions indicative or releases orthreatened releases.

312.21(c)(1)

Opinion regarding additional appropriateinvestigation, if any.

312.31(b)


Last sentence of AAI is a bombshell.Purposefully ambiguous. ASTM clarifies thatopinion should be given only in the unusualcircumstance where the EP is unable todetermine if a finding is a REC and greatercertainty is required. No recommendations

required.Data Gaps Not mentioned. Identify any data gaps that affect the EPs

ability to identify conditions indicative of arelease. Identify the sources consulted toaddress such data gaps, and comment onthe significance of the data gap with regardto the ability to identify conditions indicativeof a release.

312.20(f) and 312.21(c)(2)

Identify any data gaps and the sourcesconsulted to address them. If the data gap issignificant, comment on the impact of the data gap on the ability to identify RECs . A data gap is not significant unless it impacts the ability toidentify RECs . Data gaps are not inherentlysignificant, e.g., if historical use is notidentified back to 1940 because of data failure ,but the earliest source shows that the propertywas undeveloped, this would not besignificant. A data gap is only significant ifother information and/or experience raisesreasonable concerns involving the data gap ,e.g., if a building is locked during the site visit ,and experience indicates that such a buildingoften involves activity that leads to a REC , theinability to inspect the building would be a

significant data gap .

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Qualifications Include a qualifications statement for theEP(s).

11.12

Include qualifications of the EP(s) andspecific statement declaring that they meetthe definition of an EP and that the inquirycomplies with the Rule.

312.21(c)(3) and 312.21(d)

Same as AAI

Signature Required

11.12

Required

312.21(d)

Required.

12. Non-ScopeIssues

1. Asbestos2. Radon3. Lead-based paint4. Lead in drinking water5. Wetlands6. Regulatory compliance7. Cultural and historic resources8. Industrial hygiene9. Health & safety10. Ecological resources11. Endangered species12. Indoor air quality13. High voltage power lines

12.1.5

Not addressed. Adds:

14. Mold.

X. Appendices 1. Legal background2. Recommended format

3. Guidance for users in selecting EP

None Adds:- Regulatory definition of an EP

- User questionnaire

Deletes guidance for selecting an EP

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