What is a Phase II ESA?

A Phase II Environmental Site Assessment (ESA) is an assessment carried out by the process that ASTM E1903-19 sets out (E1903-19, 3.1.33). It looks at a property for substances that are present or likely present there, among them controlled substances, petroleum and petroleum products, pollutants, contaminants, and hazardous substances within the scope of CERCLA (E1903-19, 1.1). Its main tool is the chemical testing of soil, groundwater and other environmental media sampled where target analytes are likeliest to be, to learn whether they are there and, if so, enough about them to meet the user's objectives (E1903-19, 6.2). Its procedures rest on the scientific method, so that what it reports about the property is objective, representative, reproducible and defensible (E1903-19, 1.1).

What it covers

Substances. The practice is not only for CERCLA concerns; the standard says it is useful for a wide range of target analytes, diffuse anthropogenic contamination and naturally occurring substances included, and for users who have no CERCLA concern at all (E1903-19, 4.1.3).
Media. The environmental media are soil, sediment, rock, soil gas, groundwater, surface water and air (E1903-19, 3.1.16).
Place. The site under study may reach past the property line where the objectives need it, to follow target analytes moving off the property or onto it (E1903-19, 3.1.45).
Use. The practice is voluntary, serving parties who want to look into releases already known, or likely release areas, or to assess whether substances are present or likely present, for legal or business reasons (E1903-19, 4.1.1). Its scope is specific to the site and to the context (E1903-19, 4.1.4).

The user's objectives come first

The standard is written for a user who wants sound, scientifically valid data on what conditions at the property actually are, whether or not a Phase I called those conditions RECs or data gaps (E1903-19, 1.2). It names six objectives such a user may hold, and says the list is not complete (E1903-19, 1.2):

Whether there has been a CERCLA release of hazardous substances, for purposes that include the landowner liability protections (E1903-19, 1.2.1).
Information on continuing obligations, such as the reasonable steps that keep those protections in place (E1903-19, 1.2.2).
Threshold knowledge of substances on properties that fall within CERCLA's definition of a brownfield site, as needed to qualify for EPA brownfields remediation grants (E1903-19, 1.2.3).
Conditions that may pose a risk of bodily injury, or a risk to the environment or to human health, and so of tort liability (E1903-19, 1.2.4).
Business environmental risk in transfers, financing, insurance and other contracts (E1903-19, 1.2.5).
Disclosing liabilities, contingent ones included, in financial statements and securities reports (E1903-19, 1.2.6).

The scope follows the objectives, and both may be refined as the work goes on (E1903-19, 1.3). The Phase II Assessor and the user must share an understanding of the context and of the questions the assessment is to answer, and the scope must be defined against them (E1903-19, 1.4). The objectives must be written down in a Statement of Objectives (E1903-19, 5.1.1). How much confidence the user wants in the answer shapes how much testing is done (E1903-19, 1.4.1). Scoping a Phase II covers that step.

How it relates to a Phase I and to RECs

A Phase I under ASTM E1527-21 includes no testing or sampling of soil, water, air or building materials (E1527-21, 7.4). A Phase II may follow a Phase I done under E1527, E2247 or the All Appropriate Inquiries rule, or a transaction screen under E1528 (E1903-19, 1.1.2). The standard's nonmandatory legal appendix assumes that a user who wants a CERCLA landowner liability protection already has an inquiry that complies with that rule (E1903-19, X1.1.2).

The Phase I's calls do not bind the Phase II: an earlier decision to classify a condition or area as a REC, or not to, does not settle whether the Phase II should investigate it (E1903-19, 1.1.2). A likely release area can be a REC from a Phase I, but it need not be one (E1903-19, 3.1.27). The Phase II Assessor must read any Phase I report along with the other reasonably ascertainable information, and judge independently whether it is complete, accurate and sufficient to build on (E1903-19, 7.2). Phase I vs. Phase II sets the two side by side.

What it does not do

It does not always characterize the whole site. Full site characterization is not required every time, though the practice can be used for one when the user's objectives call for it (E1903-19, 1.3.3).
It does not remove all uncertainty. No Phase II can, and any sample may or may not stand for a larger population (E1903-19, 4.2.1).
It generally need not be exhaustive. There comes a point where the cost and time of more information outweigh its benefit (E1903-19, 4.2.2).
It sets no level of concern. The standard does not define the levels at which target analytes matter to the user; users may apply regulatory criteria, liability principles or objectives of their own (E1903-19, 4.1.2.2).
It does not weigh business risk or give advice. The user weighs business environmental risk in light of the data, with legal and business advisors and the Phase II Assessor (E1903-19, 4.1.2.1). Giving legal or business advice is not the Phase II Assessor's role (E1903-19, 4.2.5).
It does not replace regulators or set a standard of care. The practice does not supersede what regulatory authorities require, and it does not define a legal standard of care for the professional services or for any one Phase II (E1903-19, 1.5).
It does not settle reliance or the contract. Whether anyone besides the user may use or rely on the work is a contractual matter for the user and the Phase II Assessor (E1903-19, 4.1.5). Beyond Section 5, the standard leaves the content and form of their contract open (E1903-19, 5.3).

This page is general reference for environmental professionals. It does not assess any property. ASTM E1903-19 is the standard and is not reproduced here; the judgment of the Phase II Assessor on the facts governs.