lev-os Phase I Environmental Site Assessment Report
Drafts a Phase I ESA establishing "all appropriate inquiries" under ASTM E1527-21 and 40 CFR Part 312 for CERCLA liability protection.
Prerequisites
Collect before drafting:
- Property identification — legal description, address, APN, coordinates, zoning
- Client purpose — acquisition, lending, corporate compliance, or other
- Site reconnaissance data — date, observations, photos, access limitations
- Historical sources — aerial photos, fire insurance maps, city directories, topo maps
- Regulatory database results — federal/state/tribal/local at ASTM search radii
- User questionnaires — owner/occupant questionnaires per ASTM E1527-21
- Interview notes — current/past owners, operators, local officials
- EP qualifications — credentials per 40 CFR § 312.10
- Prior reports (if any) — previous Phase I/II ESAs, remediation docs
Quick Start
- Confirm property ID, client purpose, and transaction timeline.
- Verify all prerequisite data is available; flag missing items as data gaps.
- Draft each report section sequentially per the structure below.
- Classify every identified condition as REC, CREC, HREC, or de minimis.
- State conclusions unambiguously; recommend Phase II if any RECs found.
Report Sections
| # | Section | Key Requirements |
|---|---|---|
| 1 | Title Page | Property legal description, address, APN, coordinates; preparer info; report/effective dates; client; project ID; confidentiality notice |
| 2 | Table of Contents | All sections, appendices, figures, tables with page refs |
| 3 | Executive Summary | 2-3 pages max; non-technical; state RECs/CRECs/HRECs or explicitly none; scope; data gaps; recommendations |
| 4 | Introduction & Scope | Client purpose; ASTM E1527-21 conformance statement; inclusions/exclusions; non-scope items evaluated |
| 5 | Site Description | Acreage; structures; USTs/ASTs; topography; surface water; current operations; surrounding area (1-mi radius); geology/hydrogeology |
| 6 | User-Provided Information | Questionnaire responses; completeness/credibility assessment; data gaps from non-response |
| 7 | Historical Use Review | Timeline from first developed use or 1940 (whichever earlier); aerial photo analysis (5-10 yr intervals); adjoining property history |
| 8 | Site Reconnaissance | Date/duration/weather; interior/exterior observations; drains, sumps, staining, drums, tanks, PCB equipment; access limitations |
| 9 | Interviews | Each interviewee: name, title, affiliation, contact, date, method; substantive findings; credibility assessment |
| 10 | Regulatory Records | Results at required search distances; orphan site analysis; data gap discussion |
| 11 | Findings: RECs/CRECs/HRECs | Each condition with factual basis, evidence sources, ASTM classification |
| 12 | Conclusions & Recommendations | Unambiguous determination; Phase II recs if warranted; data gap implications; counsel referral for liability |
| 13 | De Minimis & Non-Scope | De minimis conditions; non-scope items (ACM, LBP, radon, mold, wetlands); vapor intrusion evaluation |
| 14 | References | All sources by category with full citations |
| 15 | EP Qualifications | Credentials per 40 CFR § 312.10; education, certifications, experience |
| 16 | Appendices | Site maps, photos, questionnaires, database reports, historical docs, prior reports |
Condition Classifications
| Type | Definition | Must Include |
|---|---|---|
| REC | Presence or likely presence of hazardous substances/petroleum due to release, indicative conditions, or material threat of future release | Factual basis; evidence sources; contaminant ID |
| CREC | Past release addressed via risk-based corrective action with residual contamination under institutional/engineering controls | Residual contamination; specific controls; regulatory status; monitoring requirements |
| HREC | Past release remediated to unrestricted use; no residual contamination or controls | Historical condition; remediation performed; regulatory closure docs |
Regulatory Database Search Distances
| Database | Subject | 1/8 mi | 1/4 mi | 1/2 mi | 1 mi |
|---|---|---|---|---|---|
| NPL | ✓ | ✓ | ✓ | ✓ | ✓ |
| CERCLIS/SEMS | ✓ | ✓ | — | ✓ | — |
| RCRA CORRACTS | ✓ | ✓ | — | — | — |
| RCRA TSD | ✓ | — | — | ✓ | — |
| RCRA LQG/SQG | ✓ | ✓ | — | — | — |
| ERNS | ✓ | — | — | — | — |
| State equivalents | ✓ | Per state | Per state | Per state | — |
| Landfill/solid waste | ✓ | — | — | ✓ | — |
Historical Use Red Flags
Flag current or historical presence of: gas stations, automotive repair, dry cleaners, metal plating/finishing, chemical manufacturing/storage, printing/photo processing, fill placement/waste disposal, agricultural operations (pesticides).
CERCLA Shelf-Life
- Full Phase I: valid 1 year from completion to acquisition
- Site reconnaissance: within 180 days prior to acquisition
- Government records review: update if 180+ days old at acquisition
Pitfalls and Checks
- Conformance statement — explicitly declare ASTM E1527-21 conformance; document any deviations
- REC classification precision — use exact ASTM definitions; never conflate REC types
- Evidence-backed findings — every REC must cite specific observations, records, history, or interviews
- Data gaps — identify all; assess significance; recommend resolution
- No legal advice — direct liability questions to environmental counsel
- Non-invasive scope only — never imply subsurface sampling was performed
- Point-in-time limitation — acknowledge the assessment reflects conditions as of assessment date
- State-specific requirements — note state guidelines that exceed federal standards
- Vapor intrusion — evaluate for any property near known groundwater contamination; assess as potential REC
- Facts vs. opinions — clearly distinguish; state basis for professional judgment
- De minimis threshold — conditions below regulatory concern are not RECs; document but classify appropriately
- Non-scope items (ACM, LBP, radon, mold, wetlands) — only if client requests; separate from REC analysis