Who can perform a Phase II

ASTM E1903-19 gives the work to a Phase II Assessor, who must first meet the definition of environmental professional in the Phase I standard, ASTM E1527 (E1903-19, 3.1.32). On top of that, the person needs enough education, professional training and relevant experience to carry out environmental investigations under the practice, or to be in responsible charge of them, and to interpret the data into opinions and conclusions about target analytes in environmental media at the property (E1903-19, 3.1.32). Meeting the environmental professional definition is necessary, then, but it is not enough on its own.

The first test: environmental professional

E1903-19 points to the environmental professional definition at section 3.2.32 of E1527 (E1903-19, 3.1.32). E1903-19 was approved in November 2019 (E1903-19, footnote 1), about two years before E1527-21 (E1527-21, footnote 1). In E1527-21 the definition sits at 3.2.30, and 3.2.32 there defines the ERNS list (E1527-21, 3.2.30, 3.2.32).

E1527-21 defines an environmental professional as a person who meets the education, training and experience requirements of 40 CFR 312.10(b), which it reprints in nonmandatory Appendix X2 (E1527-21, 3.2.30). Under that rule, an environmental professional is a person who "possesses sufficient specific education, training, and experience necessary to exercise professional judgment to develop opinions and conclusions regarding conditions indicative of releases or threatened releases" (40 CFR 312.10). The person must also come through one of four routes (40 CFR 312.10):

a current Professional Engineer or Professional Geologist license or registration issued by a state, tribe, U.S. territory or Puerto Rico, with relevant experience equivalent to three years working full time;
federal, state, tribal, U.S. territorial or Puerto Rican licensing or certification for inquiries under 40 CFR 312.21, with that same experience;
an engineering or science degree at bachelor's level or above from an accredited higher education institution, with relevant experience equivalent to five years working full time; or
relevant experience equivalent to ten years working full time.

Relevant experience involves participating in AAI, environmental site assessments or other site investigations, understanding surface and subsurface environmental conditions and how they are evaluated, and using professional judgment about signs of releases or threatened releases to the property (40 CFR 312.10(b)).

The second test: competence for a Phase II

Qualification for one kind of Phase II does not necessarily establish competence for another (E1903-19, 3.1.32). The standard says a Phase II Assessor should understand, and have experience in, the parts of these fields that bear on the work: the scientific method; hydrogeology; geochemistry; techniques of environmental investigation and exploration; reading chemical testing data; and the commercial and industrial operations that use and handle the site's target analytes and produce the related wastes (E1903-19, 3.1.32).

The practice leaves the judgment calls to that person: the Phase II Assessor must judge the information in hand against the objectives to determine whether it is enough, and must judge independently whether the data gathered are sufficient (E1903-19, 1.3.1). The assessor must independently review and evaluate all relevant information that is reasonably ascertainable, including any Phase I report (E1903-19, 7.2), and must determine which areas need investigating (E1903-19, 7.3). The Phase II Assessor shall write out the methods and tasks for reaching the user's objectives (E1903-19, 5.1.4) and shall build quality assurance and quality control into the assessment (E1903-19, 4.2.1.3). The report conveys the Phase II Assessor's conclusions and carries that person's signature (E1903-19, 9.1, 9.2).

Employee or contractor

The Phase II Assessor may work as the user's employee or as an independent contractor (E1903-19, 3.1.32). Either way, payment, remuneration or job security may not depend on the results or conclusions, and the Phase II Assessor must carry out and evaluate the work objectively, without regard to any outcome the user hopes for (E1903-19, 5.2). Giving legal or business advice is not the Phase II Assessor's role (E1903-19, 4.2.5).

Licenses and signatures

The standard notes that some jurisdictions may license the people who do certain activities within a Phase II (E1903-19, 3.1.32). The report must carry the Phase II Assessor's signature, with the professional seal, license type and number that the local jurisdiction or the user requires, if any (E1903-19, 9.2). For the Phase I inquiry, the rule says its definition "does not preempt state professional licensing or registration requirements such as those for a professional geologist, engineer, or site remediation professional" (40 CFR 312.10).

People who do part of the work

The standard's nonmandatory contracting appendix says the Phase II Assessor may engage others, such as drillers and laboratories, and suggests the contract may say who selects them and what certifications, licenses and qualifications they need (E1903-19, X2.2). In the body of the standard, any laboratory used for chemical testing shall hold accreditation under the state requirements that apply (E1903-19, 4.2.1.3). The same appendix suggests giving the user a written account of qualifications on request, including those of each responsible assessor, and accepting only activities for which the assessor has the necessary qualifications and any applicable license (E1903-19, X2.9.6, X2.9.7). Beyond these, the standard names no qualification for others who help in the field (E1903-19, 3.1.32, X2.2).

Compared with a Phase I

A Phase I must be performed by an environmental professional, or under that person's supervision or responsible charge (E1527-21, 4.3, 7.5.1). The rule lets a person who does not qualify assist with the inquiry while working under the supervision or responsible charge of someone who does (40 CFR 312.10). A Phase II asks for more: E1903-19 starts from the environmental professional definition and adds the competence to run a sampling investigation and read its chemical data (E1903-19, 3.1.32).

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.