The Findings section of a Phase I report

The Findings section names what the assessment turned up that may mean hazardous substances or petroleum products are, or are likely to be, at the subject property. The standard requires the section, says what it identifies, and puts significant data gaps in it. The class of each finding, and the reasons for it, are the work of the Opinions.

What the standard requires

A Findings section. The standard says the report shall have one. It identifies the features, activities, uses and conditions which, in the environmental professional's judgment, may point to hazardous substances or petroleum products being present or likely present at the subject property (E1527-21, 12.5).
A finding is not yet a class. Some findings, not necessarily all, may indicate a recognized environmental condition (REC), a controlled REC, a historical REC or a de minimis condition (E1527-21, 12.5). The rationale for the class is required in the Opinions (E1527-21, 12.6).
A controlled or historical REC. Identifying either is a process of several steps that shall be reflected in the Findings and Opinions section or sections. For a controlled REC the professional shall identify there the documentation that provides the control (E1527-21, 3.2.17.1, 3.2.39.1).
Weighed together. All information identified in the assessment should be evaluated together; the records review, site visit and interviews are meant to be used in concert (E1527-21, 7.3.1, 12.5).
Significant data gaps. These shall be identified in the Findings section, and the report shall also name what was consulted to address them, whether resources or sources of information. A data gap is not significant by itself (E1527-21, 12.5.1).
Documentation. Findings, opinions and conclusions shall be supported by documentation, included in the report or referenced well enough for another environmental professional to reconstruct the assessment. Where the professional leaves documentation out, the report shall give the reason. A source that turned up no findings shall be documented as well (E1527-21, 12.2).
Photographs and a site plan. Photographs of the features, activities, uses and conditions that indicate RECs and de minimis conditions shall be included. So shall a site plan marking roughly where the subject property's features, activities, uses and conditions are, as far as the professional deems them relevant (E1527-21, 12.3).
One section or two. The professional may choose to put findings and opinions in one combined section (E1527-21, 12.6). The standard's appendixes are nonmandatory. The suggested report format in one of them says the same, and that these sections also take in significant data gaps and deletions (E1527-21, X5.8).

What the federal rule says

The rule has no Findings section. The nearest it comes is this:

Releases and threatened releases identified as part of the all appropriate inquiries should be noted in the report of the inquiries.

40 CFR 312.20(h)

On data gaps that bear on what the inquiry can find, it says

such persons should identify such data gaps, identify the sources of information consulted to address such data gaps, and comment upon the significance of such data gaps

40 CFR 312.20(g)

How it is written

A finding entry identifies the feature, activity, use or condition and points to the documentation behind it (E1527-21, 12.2, 12.5). The place and the dates in the example below are this page's blanks, not items the Findings provision lists.

The standard treats identifying and reasoning as two steps. The Findings identify (E1527-21, 12.5). The Opinions give the professional's opinion and rationale on what the Findings identify (E1527-21, 12.6). In a combined section the two are presented together.

Not everything the report describes is a finding; what enters the Findings is what the professional judges may indicate presence or likely presence (E1527-21, 12.5). The features the site visit section lists are described in the report where identified, and documented as not found where they are not (E1527-21, 9.4). Where a record source identifies the subject property or a site within the search distance, the report shall include the professional's judgment on the listing's significance (E1527-21, 8.1.10).

A significant data gap is entered as the information that could not be obtained, with what was consulted to address it (E1527-21, 12.5.1). Its effect on the opinion is written in the Opinions (E1527-21, 12.6.2).

Example, with the facts in brackets:

[The feature, activity, use or condition] at [its location on or near the subject property], [its dates]. Source: [the record, the site visit observation or the interview, with its date]. [What the source shows, in a sentence or two.] The environmental professional judges that this may point to [hazardous substances or petroleum products] being present or likely present at the subject property. Opinion: see [the paragraph].

Example, with the facts in brackets:

Significant data gap: [the required information that could not be obtained], despite [the good faith efforts made]. Sources consulted to address it: [the sources]. Opinion on its effect: see [the paragraph].

What a reviewer checks

Does the report have a Findings section (E1527-21, 12.5)?
Does the section identify the features, activities, uses and conditions themselves (E1527-21, 12.5)?
Is every significant data gap identified in the Findings, with what was consulted to address it (E1527-21, 12.5.1)?
Is each finding supported by documentation that is in the report or adequately referenced, with a reason given for anything left out (E1527-21, 12.2)?
Are photographs included of what indicates a REC or a de minimis condition, and is there a site plan (E1527-21, 12.3)?
Is each finding covered by an opinion and its rationale (E1527-21, 12.6)?

This page is general reference for environmental professionals. It does not classify any property. ASTM E1527-21 is the standard and is not reproduced here; the judgment of the environmental professional on the facts governs.