Z768-01

Z768-01Phase I EnvironmentalSite Assessment

CSA Standards Update ServiceZ768-01November 2001

Title: Phase I Environmental Site AssessmentPagination: 30 pages (viii preliminary and 22 text), each datedNovember 2001

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ASSOCIATION CANADIENNE DE CANADIAN STANDARDSNORMALISATION ASSOCIATIONBUREAU CENTRAL DE L’INFORMATION CONSOLIDATED MAILING LIST178 BOUL REXDALE 178 REXDALE BLVDTORONTO ON M9W 1R3 TORONTO ON M9W 1R3CANADA CANADA

CSA Standard

Z768-01Phase I Environmental

Site Assessment

Registered trade-mark of Canadian Standards Association®

Published in November 2001 by Canadian Standards AssociationA not-for-profit private sector organization

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© Canadian Standards Association — 2001

All rights reserved. No part of this publication may be reproduced in any form whatsoeverwithout the prior permission of the publisher.

© Canadian Standards Association Phase I Environmental Site Assessment

November 2001 iii

Contents

Technical Committee on Environmental Auditing and Related Investigations vi

Preface viii

0. Introduction 10.1 Purpose 10.2 Uses of Phase I ESAs 10.2.1 General 10.2.2 Financial 10.2.3 Baseline Studies 10.2.4 Due Diligence 10.2.5 Site Remedial Measures or Redevelopment 10.2.6 Risk Assessment 20.2.7 Interpretation of Phase I ESAs 20.2.8 Reduction of Uncertainty 20.3 Interrelationship between Phase I and Phase II ESAs 2

1. Scope 21.1 Purpose 21.2 Limitations 21.3 Mandatory Language 3

2. Definitions and Reference Publications 32.1 Definitions 32.2 Reference Publications 4

3. Principles 43.1 General 43.1.1 General Features of Phase I ESAs 43.1.2 Use of Phase I Principles 43.2 Objectivity and Independence 53.3 Conflict of Interest 53.4 Competence of the Assessor 53.5 Due Care 53.6 Systematic Procedures 53.7 Levels of Assessment 53.8 Inherent Limitations 6

4. Roles and Responsibilities 64.1 Responsibilities of the Client 64.1.1 Designation of a Contact 64.1.2 Communication of Information to the Assessor 64.1.3 Access 64.1.4 Health and Safety Issues 74.2 Responsibilities of the Assessor 74.2.1 Procedures 74.2.2 Communication 74.2.3 Health and Safety Considerations 7

Z768-01 © Canadian Standards Association

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4.2.4 Liability Insurance 74.3 Responsibilities of Users 7

5. Initiating a Phase I ESA 75.1 Establishing Needs and Objectives 75.1.1 Purpose and Use 75.1.2 Establishing Criteria 85.2 Defining the Scope of Work 85.3 Selecting and Contracting an Assessor 85.3.1 Selecting an Assessor 85.3.2 Contracting an Assessor 85.4 Access 85.5 Authorization 9

6. General Practices 96.1 Components of a Phase I ESA 96.2 Enhancements to a Phase I ESA 96.3 Scope of Work 96.4 Verification of Information 9

7. Conducting a Site Investigation 97.1 Records Review 97.1.1 Intent 97.1.2 Documentation of Sources 107.1.3 Time Frame 107.1.4 Search Distances 107.1.5 Extent of Records Review 107.1.6 Mandatory Records Review 107.1.7 Optional Records Review 127.1.8 Helpful Information 137.2 Site Visit 137.2.1 General 137.2.2 Interior Observations 147.2.3 Exterior Observations 157.3 Interviews 167.3.1 Purpose 167.3.2 Content 167.3.3 Methodology 167.3.4 Limitations 167.3.5 Interview Participants 167.3.6 Interviews Conducted for Prior Phase I ESAs 17

8. Evaluation of Information 17

9. Reporting of Information 179.1 General 179.2 Report Format 179.3 Deviations 179.4 Limitations 179.5 Assessor–Client Relationship 179.6 Findings 189.7 Conclusions 189.8 Names of Participants 189.9 Signatures and Qualifications 18


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9.10 References and Supporting Documentation 18

AppendicesA — Phase I and II Environmental Site Assessments and Remedial Investigations 19B — Remedial Investigation 20C — Phase I ESA Report Format 21D — Bibliography 22


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Technical Committee onEnvironmental Auditing andRelated Investigations

J. Reed Office of the Auditor General, ChairOttawa, Ontario

E.O. Villeneuve Noranda Incorporated, Vice-ChairToronto, Ontario

L. Bernard Consumers’ Association of Canada,Lutes Mountain, New Brunswick

M. Boudreau Certified General Accountants Associationof Canada,Ottawa, Ontario

C. Camplong Camplong & Associates, AssociateSchomberg, Ontario

S. Capstick Golder Associates Ltd., AssociateMississauga, Ontario

M. De Wit ICF Consulting Canada Inc., AssociateToronto, Ontario

N. Doucet Canadian Environmental Auditing Association,Mississauga, Ontario

A. Durand Imperial Oil Limited,Don Mills, Ontario

T.D. Ellison Canadian Waste Water Association,Ottawa, Ontario

J. Evans The Royal Bank of Canada,Toronto, Ontario

P. Farrow ICF Consulting Canada Inc.,Toronto, Ontario

J. Fjeldsted Manitoba Hydro,Winnipeg, Manitoba

D. Fraser Devro Consulting,Oakville, Ontario

G.A. Grant XCG Consultants Limited,Kitchener, Ontario


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A. Hazra Environment Canada,Ottawa, Ontario

D. Hopper Angus Environmental Ltd.,Don Mills, Ontario

L. Johannson E2 Management Corporation, AssociateGeorgetown, Ontario

L.E. Johnston Asul Environment,Limehouse, Ontario

B. Luzak Associated Environmental Site AssociateAssessors of Canada Inc.,Fenelon Falls, Ontario

M. Matthias Atomic Energy of Canada Limited,Mississauga, Ontario

H. Mawji Department of National Defence,Goose Bay, Newfoundland

R.G. Power Power Budd,Toronto, Ontario

E. Rodrigues Ontario Ministry of the Environment, Toronto, Ontario

R. Sinukoff Jacques Whitford Environment Limited,Markham, Ontario

K.M. van Rensburg Smith Lyons,Toronto, Ontario

S. Vervaet Nova Scotia Department of the Environment,Halifax, Nova Scotia

A. Willis The Canadian Institute of Chartered Accountants,Toronto, Ontario

D. Zimmerman CSA, Project ManagerToronto, Ontario


viii November 2001

Preface

This is the second edition of CSA Standard Z768, Phase I Environmental Site Assessment (Phase I ESA). Itsupersedes the first edition published in 1994. This Standard has been developed to assist clients andassessors in planning, implementing, and interpreting the results of Phase I ESAs. ASTM Standard E 1527 was an important source for this CSA Standard. As well, information andconcepts from Technical Committee members, stakeholders, and other published sources have beenincorporated in an attempt to account for the substantial regulatory differences between the US andCanada. It is worth noting that in the US, the ESA standard-setting process was intended to permit a userto satisfy one of the requirements to qualify for the “innocent landowner defense” against liability underthe Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA). In Canada, thedevelopment of guidelines and standards has been influenced by clients’ needs to make informeddecisions concerning potentially contaminated sites. This Standard was prepared by the Technical Committee on Environmental Auditing and RelatedInvestigations under the jurisdiction of the Strategic Steering Committee on the Environment, and hasbeen formally approved by the Technical Committee.

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Notes:(1) Use of the singular does not exclude the plural (and vice versa) when the sense allows.(2) Although the intended primary application of this Standard is stated in its Scope, it is important to note that itremains the responsibility of the users of the Standard to judge its suitability for their particular purpose.(3) This publication was developed by consensus, which is defined by CSA Policy governing standardization — Code ofgood practice for standardization as “substantial agreement. Consensus implies much more than a simple majority, butnot necessarily unanimity”. It is consistent with this definition that a member may be included in the Technical Committeelist and yet not be in full agreement with all clauses of this publication.(4) CSA Standards are subject to periodic review, and suggestions for their improvement will be referred to the appropriatecommittee.(5) All enquiries regarding this Standard, including requests for interpretation, should be addressed to CanadianStandards Association, 178 Rexdale Boulevard, Toronto, Ontario, Canada M9W 1R3. Requests for interpretation should(a) define the problem, making reference to the specific clause, and, where appropriate, include an illustrative sketch;(b) provide an explanation of circumstances surrounding the actual field condition; and(c) be phrased where possible to permit a specific “yes” or “no” answer. Committee interpretations are processed in accordance with the CSA Directives and guidelines governingstandardization and are published in CSA’s periodical Info Update. For subscription details, write to CSA Sales Promotion,Info Update, at the address given above.


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Z768-01Phase I EnvironmentalSite Assessment

0. Introduction

0.1 PurposeThis Standard establishes the principles and practices that are applicable to a Phase I Environmental SiteAssessment (ESA). The purpose of a Phase I ESA is to identify actual and potential site contamination. Such identification involves the evaluation and reporting of existing information collected throughrecords review, site visits, and interviews.

0.2 Uses of Phase I ESAs

0.2.1 GeneralPhase I ESAs may assist in reducing uncertainty about potential environmental liabilities and may be abasis for further investigation of the property. Phase I ESAs may be used to make informed decisionsabout property transactions, to identify certain baseline environmental conditions, to assist in meetingregulatory requirements, and as an initial step in site remediation.

0.2.2 FinancialClients such as property owners, purchasers, lenders, and tenants may face the potential for liabilities (eg,additional costs) when dealing with the remediation or management of contaminated property. Theseliabilities may arise from actions such as government-initiated orders, loss of land resale value (due tocontamination or perceived contamination), and litigation associated with contamination. Phase I ESAs can be used to estimate the likelihood, types, and locations of contamination that may bepresent at properties. The information generated by Phase I ESAs can be used by property owners,purchasers, lenders, and lessees to make informed decisions about property management, facilityoperations, and investments.

0.2.3 Baseline StudiesA Phase I ESA may be used as a component of baseline environmental information about a site. Whenoccupants or site uses change, a new Phase I ESA can be undertaken and compared with the baselineinformation to ascertain whether previous or current uses or activities may have had any environmentalimpact on the property (see also Clause 7.1.6.4).

0.2.4 Due DiligenceMany federal, provincial, and territorial environmental statutes provide for “strict liability” offences wherethe onus is on the responsible party to demonstrate that all reasonable care has been taken to prevent thecommission of the offence (ie, due diligence defence). Phase I ESAs conducted in conformance with thisStandard may be a contributing factor in establishing a due diligence defence.

0.2.5 Site Remedial Measures or RedevelopmentA Phase I ESA may provide a basis for evaluating the need for additional assessment or site remedialmeasures. Many of the tasks typically undertaken during Phase I ESAs are some of the initial steps ofdecommissioning or redeveloping a property.


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0.2.6 Risk AssessmentA Phase I ESA may be used to provide information for risk assessment activities.

0.2.7 Interpretation of Phase I ESAsInterpretation of a Phase I ESA report should(a) take into account the scope of work (see Clause 6.3);(b) recognize that the role of the assessor is to document evidence of actual or potential contaminationand not to judge the acceptability of risks associated with such contamination;(c) recognize that many of the conditions described in Phase I ESAs require further investigations toconfirm, refute, or delineate contamination; and (d) recognize that some of the information is accurate only at the time of collection; with time,conditions may change and the interpretation of Phase I ESA findings may be altered (see Clause 7.1.6.4).

0.2.8 Reduction of UncertaintyBecause a Phase I ESA does not include such tasks as sample gathering, laboratory testing, or intrusiveinvestigations, a Phase I ESA report can, in most cases, only describe the potential of contamination beingpresent or absent at a property. A Phase I ESA performed in accordance with the requirements of thisStandard is intended to reduce, but not necessarily eliminate, uncertainty regarding the potential forcontamination of a property. Where this potential has been identified, the further reduction orelimination of uncertainty requires the performance of a Phase II ESA (see Appendix A).

0.3 Interrelationship between Phase I and Phase II ESAsIt is essential that the steps covered in a Phase I ESA be taken, either separately or within the Phase II ESA,in order to allow the assessor to establish the appropriate scope, including the identification of substancesof concern. The information derived from a Phase I ESA is necessary to complete an effective Phase II ESA;however, it is not necessary to have a separate Phase I ESA document. The key technical feature that distinguishes Phase I and Phase II ESAs is the use of quantitative samplingand analytical techniques in Phase II studies. However, other important non-technical differences alsoexist. See Appendix A for further details.

1. Scope

1.1 PurposeThis Standard establishes the principles and practices that are applicable to a Phase I ESA. It is intendedto provide a consistent framework and minimum requirements for conducting Phase I ESAs that canaccommodate broader regulatory and liability requirements, as well as address pertinent site-specificrequirements. This framework involves preparing for and undertaking an investigation and interpretingand reporting on the information gathered. This Standard may be used prior to using CSAStandard Z769.

1.2 LimitationsThis Standard does not apply to environmental auditing or environmental management systems, whichare addressed in separate CSA Standards. This Standard does not involve the selection or implementationof any measuring, sampling, analytical, or remediation activities. Such activities may be included inPhase II and additional ESAs as applicable.


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1.3 Mandatory LanguageIn this Standard, “shall” is used to express a requirement, i.e., a provision that the user is obliged tosatisfy in order to comply with the standard; “should” is used to express a recommendation or thatwhich is advised but not required; and “may” is used to express an option or that which is permissiblewithin the limits of the standard. Notes accompanying clauses do not include requirements oralternative requirements; the purpose of a note accompanying a clause is to separate from the textexplanatory or informative material.

2. Definitions and Reference Publications

2.1 DefinitionsThe following definitions apply in this Standard:

Adjoining properties — any properties that are contiguous or immediately adjacent to the propertybeing assessed.

Assessor — a person or business entity that carries out a Phase I ESA according to the requirements ofthis Standard (see Clause 3.4).

Client — a person or business entity that commissions an assessor to perform a Phase I ESA.

Contamination — the presence of a substance of concern, or a condition, in concentrations aboveappropriate pre-established criteria in soil, sediment, surface water, groundwater, air, or structures.

Criteria — limits or levels for substances of concern that are established prior to commencing a Phase II ESA.

Environmental audit — a systematic process of objectively obtaining and evaluating evidenceregarding a verifiable assertion about an environmental matter to ascertain the degree of correspondencebetween the assertion and established criteria, and then communicating the results to the client. Averifiable assertion is a declaration or statement about specific subject matter that is supported bydocumented data.Note: Environmental matters that might be the subject of an environmental audit include those aspects of an auditee’sactivities that may have an impact on the environment, such as the policies, procedures, and practices established by theauditee to safeguard the environment. The particular aspects addressed in a given environmental audit depend on theobjectives and scope of the audit. In some cases, they may also relate to environmental aspects of training, health, safety,waste, hazardous materials, transportation, emergency response measures, etc.

Hazardous material — a material that may, upon exposure, constitute an identifiable risk to humanhealth or the natural environment. Hazardous material criteria are established with regard to appropriateregulatory requirements.

Neighbouring property — any properties that are contiguous or immediately adjacent to the site, inaddition to those that can reasonably be expected to have been a source of substances of concern on thesite.

Phase I Environmental Site Assessment (ESA) — the systematic process, as prescribed by thisStandard, by which an assessor seeks to determine whether a particular property is or may be subject toactual or potential contamination. A Phase I ESA does not involve the investigative procedures ofsampling, analyzing, and measuring unless enhancements are agreed upon between the client and theassessor (see Clauses 6.2 and 6.3).


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Note: The term “environmental audit” should not be used to describe a Phase I ESA. An environmental audit may includethe review of a Phase I ESA. As well, a Phase I ESA may include a review of previously performed environmental audits.

Phase II Environmental Site Assessment (ESA) — the systematic, iterative process, as outlined inCSA Standard Z769, by which an assessor seeks to characterize and/or delineate the concentrations orquantities of substances of concern related to a site and compare those levels to established criteria.

Property — land and any improvements to land, consisting of any physical object attached to the landwith some degree of permanence, including buildings and other fixtures. The terms “property” and“site” are used interchangeably in this Standard.

Site — a subset or combination of properties, as defined by the scope of work. The terms “site” and“property” are used interchangeably in this Standard.

Site owner/contact — the person designated by the client to have responsibility for the site and to actas a principal contact for the assessor.

User — a third-party person or business entity, other than the client, that uses and/or relies on theinformation obtained in a Phase I ESA. Note: Users include purchasers, lenders, and regulatory agencies.

2.2 Reference PublicationsThis Standard refers to the following publications and where such reference is made it shall be to theedition listed below.Note: Related reference publications are listed, for information purposes only, in Appendix D.

CSA StandardZ769-00,Phase II Environmental Site Assessment.

ASTM* StandardE 1527-93,Standard Practice for Environmental Site Assessments: Phase I, Environmental Site Assessment Process.

*American Society for Testing and Materials.

3. Principles

3.1 General

3.1.1 General Features of Phase I ESAsThe following principles describe general features of Phase I ESAs. They include the(a) use of competent, objective assessors;(b) need to determine an appropriate level of assessment; and(c) use of logical and systematic procedures during information gathering.

3.1.2 Use of Phase I PrinciplesThe principles given in Clause 3.1.1 can be used to help resolve ambiguities that may arise when(a) interpreting the terms of reference;(b) performing the discretionary aspects of a Phase I ESA; and/or(c) determining whether an adequate Phase I ESA has been conducted.


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3.2 Objectivity and IndependenceThe assessor shall be objective and free from influence throughout the ESA process. There shall be notaking control of and no exerting of any interference over the work being performed by the assessor. Ideally, the assessor should be independent of the client. Where an ESA is performed by in-housepersonnel of an organization, there should be a functional (ie, arm’s length) separation between theassessor and the client. In this situation, the relationship of the assessor to the organization and theproperty being assessed shall be clearly described in the Phase I ESA report.

3.3 Conflict of InterestThe assessor shall disclose to the client, and note in the Phase I Report, any conflict of interest. Theassessor should not have material interest, direct or indirect, in the subject property or the client. Exceptfor remuneration and information required for performance of the Phase I ESA, the assessor shall notreceive any profit or specialized information from the client that would benefit the assessor.

3.4 Competence of the AssessorThe assessor shall possess knowledge based on an appropriate combination of formal education, skills,experience, and training in order to provide a technically sound and rational Phase I ESA. The assessorshall be familiar with applicable federal, provincial, territorial, and local legislation and publishedguidelines used to evaluate the actual or potential presence of contamination on a property. The assessor shall have knowledge in technical areas relevant to the subject site, such as(a) water/waste water treatment;(b) manufacturing processes;(c) waste management;(d) control of air emissions;(e) building sciences;(f) geology/hydrogeology; and(g) chemical handling and storage.Note: The certification of assessors is beyond the scope of this Standard. There is currently no mechanism in Canada for certifying assessors.

3.5 Due CareIn the execution of a Phase I ESA, an assessor shall use the care, diligence, and judgement expected ofany assessor under similar circumstances. Clients should be made aware that assessors who are membersof professional associations may have rules of conduct, duties, or obligations established by thoseassociations.

3.6 Systematic ProceduresPhase I ESAs shall be conducted using methodologies appropriate for the objectives specified in the scopeof work (see Clause 6.3), including the use of standardized and generally agreed upon procedures. Theassessor shall collect information using procedures relevant to the assessment objectives. Sufficientinformation shall be obtained, evaluated, and presented to support the assessor’s conclusions.

3.7 Levels of AssessmentThis Standard constitutes a minimum level of assessment that is required for performance of a Phase IESA. Some clients may wish to obtain an enhanced level of assessment that requires expanding thePhase I ESA scope of work (see Clauses 6.2 and 6.3). The level or degree of information gathered shall be guided by the relevance of the information indetermining the environmental conditions of a site. Factors to be considered include the(a) types of activities that have occurred on the property and neighbouring properties;(b) legislation and published guidelines that apply to the property;(c) materials used at the property;(d) types of processes and operations at the property;


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(e) amount of information available concerning environmental compliance at the property; and(f) client’s need for additional information. The appropriate level of assessment should be documented in the scope of work (see Clause 6.3) of aPhase I ESA. The level of assessment may need to be expanded or otherwise revised during theperformance of a Phase I ESA if the information gathered suggests a higher likelihood of contaminationpresent than originally thought or the possible presence of contaminants other than those originallyanticipated. Clients and assessors need to balance the costs of a Phase I ESA against the time and level of effortrequired to gather additional information and reduce uncertainties about site conditions. There is a pointat which the cost of information to be obtained or the time required to gather it outweighs the usefulnessof the information and/or the timeliness of completing the Phase I ESA.

3.8 Inherent LimitationsWork completed in conformance with the requirements of this Standard has inherent limitations. Thefindings and conclusions regarding contamination of the property are based solely on the extent ofobservations and information gathered during the Phase I ESA. Assessors shall ensure that theirconclusions reflect any limitations encountered and that opinions expressed in their reports are well-supported by the findings.

4. Roles and Responsibilities

4.1 Responsibilities of the Client

4.1.1 Designation of a ContactThe client shall provide the assessor with a contact name and phone number, as well as the status of anyproperty transactions, where appropriate (eg, purchase and sale, foreclosure, and new loan), as thisinformation may be relevant to the property owner’s co-operation. Both a prime contact and, if possible,a backup contact shall be designated by the client and made reasonably available to the assessor duringthe performance of the Phase I ESA. Whenever possible, the client shall identify a person with good knowledge of the physical characteristicsand uses of the property (ie, the site representative). This person could be the property manager, thechief physical plant supervisor, or the head maintenance person.

4.1.2 Communication of Information to the AssessorUpon the assessor’s request, the client shall communicate information, based on either knowledge orexperience, that may be pertinent to the Phase I ESA. This information shall be communicated as soon aspossible, preferably before the assessor has commenced the site visit. Upon the assessor’s request, and as soon as possible, the client shall produce, or provide the necessaryauthorization to obtain, documents (eg, title deeds, drawings, and reports) that may be pertinent to thePhase I ESA and are in the possession of, or reasonably obtainable by, the client. Upon the assessor’s request, the client shall provide any necessary authorization to obtain access to theproperty and to third-party information and documents.

4.1.3 AccessThe assessor shall have access to the property during reasonable hours to fully inspect the property and tofreely perform interviews (see Clause 7.3). The party upon whom the assessor is relying for access shallmake all reasonable efforts to allow the assessor unrestricted access to the property. If areas of the site arenot accessible to the assessor, this should be clearly noted in the report.


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4.1.4 Health and Safety IssuesThe client shall provide information on any health and safety considerations that pertain to the Phase I ESA and of which the client is aware. This information could include any ongoing commercial orindustrial activities on site or any other situation that could pose a hazard to site personnel involved in thePhase I ESA.

4.2 Responsibilities of the Assessor

4.2.1 ProceduresThe assessor shall(a) follow the procedures outlined in this Standard; and(b) not undertake any activity that he or she is not qualified (and/or licensed, where applicable) toperform.

4.2.2 CommunicationThe assessor shall promptly communicate to the client(a) any limitations imposed on the assessment resulting from the time frame and the scope of workimposed by the client;(b) the environmental condition of the site as determined by the Phase I ESA; and(c) any significant deviations from the original scope of work, prior to carrying out these new activities.

4.2.3 Health and Safety ConsiderationsThe assessor shall observe all site health and safety considerations applicable to the work beingundertaken. Where the scope of the Phase I ESA warrants, an initial health and safety briefing shall beheld on site, prior to commencing on-site activities, and follow-up meetings shall be held as appropriatethroughout the work.

4.2.4 Liability InsuranceThe assessor shall carry adequate insurance throughout the duration of the assessment, including, but notlimited to, general liability and errors and omission insurance.

4.3 Responsibilities of Users Users who rely on or wish to use the results of a Phase I ESA shall notify both the client and the assessor,and shall obtain the written approval of the assessor and the client.

5. Initiating a Phase I ESA

5.1 Establishing Needs and Objectives

5.1.1 Purpose and UseThe client shall prepare a written statement that summarizes the purposes and the intended use of thePhase I ESA. The uses may include a(a) regulatory request, order, or direction;(b) liability assessment for a proposed acquisition or potential divestiture of a site;(c) due diligence investigation in support of a real estate or financing agreement;(d) baseline liability assessment for a tenancy at a site; and(e) due diligence investigation in compliance with a corporate environmental stewardship policy. The client shall identify the use and/or users of the Phase I ESA report. Included in this identification areany third parties who could have an interest in the Phase I ESA and the reliance that any of the client,


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users, or third parties could have on the Phase I ESA report. The assessor shall obtain from the client any requirements or restrictions regarding the respectiveresponsibilities of client and assessor to comply with regulatory reporting obligations. To the extent possible, the client shall identify whether the Phase I ESA is a stand-alone study or part ofan ongoing process designed to delineate the extent of contamination or develop data upon which aremedial design can be completed for the site.

5.1.2 Establishing CriteriaThe client and assessor shall establish a list of substances of concern for the Phase I ESA and shall identifythe source of the criteria to be used in the Phase I ESA. The list of substances of concern shall be basedon materials, volumes handled, and the potential toxicity or adverse impact these substances could haveas a result of mobility or the presence of sensitive receptors. Criteria shall be established prior to commencing the site investigation, and may include(a) currently applicable and reasonably foreseeable legal requirements (eg, contents, permits,environmental legislation, regulations, and regulatory policies);(b) other client-defined environmental requirements (eg, specific environmental conditions, managementpractices, systems and performance, industry and professional codes of practice and conduct, andorganizational policies);(c) requirements or legal claims of interested third parties (eg, insurance companies and financialorganizations); and(d) technological considerations, such as detection limits.

5.2 Defining the Scope of WorkThe scope of work shall identify(a) the client for whom the Phase I ESA is being prepared;(b) the objectives of the Phase I ESA;(c) the work to be completed for each component of the Phase I ESA (as listed in Clause 6.1), including,but not limited to, site boundaries, parameters to be investigated, and criteria to be used; and(d) any enhancements to the requirements of the principal components, as agreed upon between theclient and the assessor.

5.3 Selecting and Contracting an Assessor

5.3.1 Selecting an AssessorIn selecting an assessor, the client should determine the assessor’s suitability, taking into consideration theprinciples described in Clause 3. The assessor should be able to demonstrate, to the client’s satisfaction,that the proposed project team has the expertise and experience appropriate to the nature andcomplexity of the site.

5.3.2 Contracting an AssessorThere shall be agreement between the client and the assessor on the scope of work before any workbegins. A written agreement may also include reference to the requirements of this Standard, timing,cost, and other considerations. The terms and conditions of any contract between an assessor and aclient are beyond the scope of this Standard.

5.4 AccessThe assessor shall have access to the property during reasonable hours to fully inspect the property and tofreely perform interviews (see Clause 7.3). The party upon whom the assessor is relying for access shallmake all reasonable efforts to allow the assessor unrestricted access to the property.


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5.5 AuthorizationUpon the assessor’s request, the client shall provide any necessary authorization to obtain access to theproperty and to third-party information and documents.

6. General Practices

6.1 Components of a Phase I ESAThe four principal components of a Phase I ESA shall be as follows: (a) a records review;(b) a site visit;(c) interviews; and(d) an evaluation of information and reporting.

6.2 Enhancements to a Phase I ESAExamples of enhancements to a Phase I ESA may include, but are not limited to,(a) more-detailed conclusions than those required in Clause 9.7;(b) risk evaluations;(c) steps that could be taken to confirm, refute, or delineate contamination; and(d) recommendations respecting site remedial measures.

6.3 Scope of WorkThere shall be agreement between the client and the assessor on the scope of work before a Phase I ESAbegins. The scope of work, as agreed upon by the client and assessor, shall be included in the Phase IESA report and shall identify(a) the party for whom the Phase I ESA is being prepared;(b) the subject property;(c) the activities to be completed for the four components of the Phase I ESA, including a description ofthe optional records review items to be undertaken (see Clause 7.1.7); and(d) any enhancements to the requirements of this Standard. The successful completion of the Phase I ESA shall be judged against conformance with the scope ofwork.Note: The contractual and legal obligations between the assessor and the client are beyond the scope of this Standard.

6.4 Verification of InformationWhere practical, the assessor should verify the accuracy of the information obtained in the Phase I ESA. When arriving at a conclusion, the assessor may rely on the information obtained if the assessor haspersonal knowledge that the information is correct or can be corroborated.

7. Conducting a Site Investigation

7.1 Records Review

7.1.1 IntentThe records review shall be designed to collect data on past activities on the site that could be interpretedas contributing to existing contamination. The records review should be the first activity in a Phase I ESAand, as a result, should provide the assessor with(a) an in-depth understanding of the site history;(b) knowledge of a range of possibilities with respect to contamination; and


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(c) documentable facts with respect to actual contamination.

7.1.2 Documentation of SourcesThe Phase I ESA report shall document each source of information that was examined in the recordsreview, even if a source revealed nil findings or no response was received. Documentation of sources shallbe sufficient to enable reconstruction of the research either at a later date or by another party. Forexample, when obtaining regulatory information, the name of the regulatory body and individualproviding the information should be noted.

7.1.3 Time FrameInformation should be reviewed back to the first property use that may have affected the site’senvironmental condition (eg, prior to development) or to the extent that historical information allows.

7.1.4 Search DistancesSince neighbouring properties may affect, or be affected by, the property being assessed, appropriatesearch distances shall be determined and documented in the scope of work (see Clause 6.3). The subjectproperty shall require a records review consistent with the requirements of Clause 7.1.5. As a minimum,adjacent properties shall require a review of reasonably ascertainable records described in Clauses 7.1.6.1,7.1.6.2, and 7.1.6.3, and publicly available records described in Clause 7.1.6.7. The following factors shall be considered in determining search distances:(a) current and historical land use on the subject property and on neighbouring properties; (b) known or suspected contamination on the subject property and on neighbouring properties; and(c) where appropriate, proposed future use of the property, rezoning applications, or official plans fordevelopment.

7.1.5 Extent of Records ReviewThe assessor shall review the records that are described in Clause 7.1.6 and that are reasonablyascertainable. Specifically, reasonably ascertainable records are(a) provided by the client or publicly available;(b) obtainable within reasonable time and cost constraints; and(c) practically reviewable (ie, provided in a manner and form that yields information relevant to theproperty without the need for extraordinary analysis). Records described in Clause 7.1.7 may be reviewed if deemed appropriate by the client and assessor.

7.1.6 Mandatory Records Review

7.1.6.1 Aerial PhotographsAerial photographs may be useful for evaluating historic land usage and showing general site usage,structures and improvements, tank farms, pits and sumps, poor drainage areas, access to the property,adjacent land use, and areas of disturbed soil. Aerial photographs may be available from universities, public libraries, or companies that maintaincollections of large-scale photogrammetric projects. Aerial photographs are routinely taken by federal,provincial, and territorial agencies.

7.1.6.2 Property-Use RecordsSources of property-use information may provide insight into the potential presence of contamination. Property-use information includes(a) insurance records (eg, fire insurance maps); (b) property-use directories (eg, industrial or city directories); and(c) contaminated site and property-use registries (eg, British Columbia Contaminated Site Registry),where available.


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7.1.6.3 Title Search and Assessment RollsWhere excerpts from tax assessment rolls and previously completed title searches are made available tothe assessor by the client or other similar sources, these documents shall be reviewed. When unavailable,a title or assessment roll search should be performed if at least two other sources of mandatory recordscannot be found or are not reasonably ascertainable, and if the search would contribute to assessing theenvironmental condition of a site. Title searches provide information on the chronology of ownership. Assessment rolls specify the current owner of the property and adjoining properties.

7.1.6.4 Prior Phase I ESA ReportsPhase I ESAs performed in accordance with this Standard may include information that other parties maysubsequently want to use to avoid undertaking duplicative assessment procedures. Assessors shall usesome or all of the information in prior Phase I ESAs if, in the opinion of the assessor,(a) the information to be used was generated using procedures that meet or exceed the requirements ofthis Standard; and(b) the conditions at the property likely to affect actual or potential contamination have not changedsubstantially since the prior Phase I ESA was conducted. The assessor shall consider the amount of time since the prior Phase I ESA report was prepared as well asthe types of activities that occur at the property, conditions in the areas surrounding the property, andchanges in environmental legislation. Evaluating the reasonableness or thoroughness of a prior Phase I ESA should take into account thecircumstances under which the assessment was performed and the date when it was prepared. Note: Assessors should note that financial institutions generally require Phase I ESAs on which financing is to be based tobe less than one year old.

7.1.6.5 Company RecordsFor commercial and industrial properties, company records shall be examined. Useful documentsinclude:(a) site plans;(b) building plans;(c) permit records;(d) production and maintenance records (eg, process control diagrams);(e) asbestos surveys;(f) site utility drawings;(g) emergency response or contingency plans;(h) spill reporting plans and records;(i) inventories of chemicals and their usage (eg, WHMIS);(j) material safety data sheets; (k) environmental monitoring data;(l) waste management records;(m) inventory of underground and above-ground storage tanks; (n) environmental audit reports; and(o) prior relevant reports and studies (eg, Phase II ESAs, remediation reports; see also Appendix B).

7.1.6.6 Geological and Geotechnical ReportsExisting geological and geotechnical reports containing information that pertains to the nature of soilsand/or groundwater at the subject property shall be obtained and reviewed. (These reports almostalways contain limitation wording excluding disclosure of any environmental information.)

7.1.6.7 Regulatory InformationThe assessor shall obtain information regarding (a) permits (eg, certificates of approval, storage tank registrations, and plant operating permits) thatpertain to activities that may impact the condition of the property (eg, hazardous waste storage,treatment, and disposal, or other potential sources of contamination);


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(b) past, pending, outstanding, or continuing prosecutions, work orders, or control orders, or complaintsrelated to environmental compliance that may impact the condition of the property; and(c) violations of environmental statutes, regulations, by-laws, approvals, and permits that may impactthe condition of the property. In the event that an agency does not respond by the report date, the assessor shall provide documentedproof that an attempt was made to obtain the information and shall forward such information to theclient. In the event that responses from regulatory agencies are not received prior to completion of theremaining Phase I ESA tasks, sufficient additional evidence from other sources shall be collected tosubstantiate the Phase I ESA conclusions. A statement describing the additional information sources shallbe included in the Phase I ESA report.

7.1.7 Optional Records Review

7.1.7.1 Geological and Soil MapsMaps and reports are available from federal, provincial, and territorial agencies responsible formineral/natural resources and/or the environment. The availability, scale, and quality of these mapsvaries between jurisdictions. Bedrock geology maps contain information on geological units and features such as lithology, faults,folds, and formational contacts. Surficial geology maps contain information about the type and extent ofunconsolidated material. Hydrogeological maps can provide information about groundwater flowpatterns, aquifer yields, and groundwater chemistry. Soil maps provide information on soil types. Soil type is important in predicting leachability ofcontaminants, acidity, and other factors that influence migration of contaminants.

7.1.7.2 Topographic MapsTopographic maps are often available from various agencies (more often agencies with responsibility forcontrol of surface water and sewage collection). These maps are available at various scales. Comparingmaps from previous eras with present maps may assist in identifying areas of fill on a site.

7.1.7.3 Agreement of Purchase and SaleWhen an agreement of purchase and sale exists, it should be reviewed for information on vendorwarranties or special conditions concerning contamination.

7.1.7.4 Land Use DocumentsEnvironmental constraint maps and official plans may identify known or potentially contaminated lands. Municipal land use or engineering departments may be contacted for information regarding rezoning,subdivision, building, and demolition permits for the property.

7.1.7.5 Public Health ConcernsMunicipal or regional health departments may be contacted for information regarding public healthconcerns associated with contamination on the property, surrounding properties, or in the community ingeneral. Public health officers are frequently responsible for the inspection, permitting, and review ofwater distribution and sewage disposal systems.

7.1.7.6 Utility Company RecordsUtility companies may be contacted to verify the presence of utility distribution facilities.

7.1.7.7 Local Information SourcesMunicipal archives, public libraries, and other information sources may be consulted for historicalinformation about a site. Information that may be available includes photographs, maps, and newspaperclippings.


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7.1.8 Helpful InformationSources of information for the records review include, but are not limited to,(a) environmental audit reports;(b) public health notices regarding hazardous materials on the property or surrounding area;(c) well logs or water well databases;(d) inventories of waste disposal sites;(e) inventories of PCB waste storage sites;(f) inventories of coal gasification plants;(g) inventories of underground and above-ground storage tanks;(h) air, surface water, and groundwater quality data; (i) waste generator registries; and(j) prior environmental reports and studies (eg, Phase II ESAs, remediation reports).

7.2 Site Visit

7.2.1 General

7.2.1.1 Safety of the AssessorThe site visit shall be conducted with appropriate regard for the health and safety of the assessor.

7.2.1.2 TimingThe site visit should be conducted after completion of the records review. This enables the assessor totarget specific areas of the property for investigation. For example, areas of disturbed soil revealed in anaerial photograph should be visually inspected for evidence of contamination.

7.2.1.3 MethodologyThe assessor shall directly observe the subject property and shall record the method used to make theobservations. It may be necessary to observe adjoining properties from the boundaries of the subjectproperty or from publicly accessible areas.

7.2.1.4 LimitationsThe assessor shall record general limitations, including those imposed by physical obstructions (eg,adjacent buildings, bodies of water, and paved areas) and limiting conditions (eg, snow or rain, deniedaccess, inaccessible areas, and safety considerations).

7.2.1.5 Property UseThe assessor shall observe current uses or evidence of past uses of the property that involve, or haveinvolved, such activities as the use, treatment, storage, disposal, and generation of hazardous materials,landfilling, or the storage of waste water in impoundments. The assessor should also consider, to theextent possible, current or past uses of the adjoining and surrounding property.

7.2.1.6 Hazardous MaterialsA list of hazardous materials, including wastes, shall be prepared that records relative quantities ofmaterial, types of containers, and storage conditions.

7.2.1.7 Unidentified Substances When unidentified substances are observed on the property, the approximate quantities involved, typesof containers, and storage conditions shall be identified and described.


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7.2.1.8 Storage TanksThe approximate age, size, and, where possible, contents of each storage tank, as well as the location ofabandoned or previously removed tanks, shall be identified. Above-ground and underground storagetanks, vent pipes, fill pipes, or access ways indicating underground storage tanks shall be identified anddescribed.

7.2.1.9 Storage ContainersThe presence, condition, and, where possible, contents of storage containers such as drums, totes, and/orpails shall be identified and described.

7.2.1.10 OdoursStrong, pungent, or noxious odours, and their possible sources, shall be identified and described.

7.2.1.11 Potable Water SupplySources of potable water for the property shall be identified and described.

7.2.1.12 Special Attention ItemsThe assessor shall identify the potential presence of substances including, but not limited to,(a) polychlorinated biphenyls (PCBs);(b) asbestos-containing materials (ACMs);(c) lead;(d) ozone-depleting materials; and(e) urea foam formaldehyde insulation (UFFI). These substances and other conditions (eg, radon, mould, noise, electric and magnetic fields, andvibration) require special attention because of heightened public concern or specific environmentallegislation.

7.2.2 Interior Observations

7.2.2.1 GeneralThe interior of structures on the property shall be inspected for indications of contamination. Unlessaccess is available, it is not necessary to look under floors, above ceilings, or behind walls. Within reason,all accessible rooms within the structures shall be inspected.

7.2.2.2 Heating and Cooling SystemsHeating and cooling systems shall be identified and described in terms of the energy (fuel source) andmethods used to release or dispose of waste products (eg, combustion gases and ash).

7.2.2.3 StainsStains on floors, walls, or ceilings shall be identified and described. Where practical, the areal extent ofthe staining shall be identified and the likely spill source shall be described. The presence of cracks,proximity of floor drains and catch basins, or any other opportunities for contaminants to migrate awayfrom a source shall be described.

7.2.2.4 Drains and SumpsThe assessor shall note the location and condition of floor drains and sumps that show any evidence ofcontamination.

7.2.2.5 Mechanical EquipmentThe presence and, where possible, the current and past condition of hidden hydraulic lift equipment suchas elevators or in-ground vehicle hoists shall be identified and described.


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7.2.3 Exterior Observations

7.2.3.1 GeneralThe exterior structures on the property shall be inspected for indications of contamination. Thisinspection shall include an examination of the exterior surfaces of structures (eg, the roof) and of thegrounds.

7.2.3.2 Observation of Adjoining PropertiesThe grounds of the adjoining properties and associated structures shall be observed from the propertyand from publicly accessible vantage points.

7.2.3.3 Topographic, Geologic, and Hydrogeologic ConditionsThe topographic conditions of the property and surrounding area shall be observed and noted. Whereexposure of the subsurface exists (eg, trenches, pits, and ponds), the assessor shall observe and describe,in general terms, the geologic and hydrogeologic conditions.

7.2.3.4 General Description of StructuresThe assessor shall observe and generally describe the structures or other improvements on the property. This includes describing the number of buildings as well as their estimated age, number of storeys, andlocation.

7.2.3.5 WellsAbandoned and existing wells (eg, water, oil, gas, and disposal) shall be identified and described.

7.2.3.6 Sewage DisposalThe method of sewage disposal shall be identified and described. This includes indications of sewagesystems, such as septic systems or cesspools, on the property.

7.2.3.7 Pits and LagoonsPits and lagoons on the property and on adjoining properties shall be identified and described,particularly if they have been used in connection with waste disposal or waste treatment.

7.2.3.8 Stained MaterialsStained materials (eg, soil and asphalt) shall be identified and described.

7.2.3.9 Stressed VegetationThe locations and extent of stressed vegetation shall be identified and described.

7.2.3.10 FillAreas that appear to have been filled or graded by other than natural causes (or filled with material ofunknown origin) shall be identified and described.

7.2.3.11 Waste WaterWaste water or other liquid discharge (see Clause 7.2.3.12 for storm water) shall be identified anddescribed.

7.2.3.12 Watercourses, Ditches, or Standing WaterSurface water features (eg, ditches, streams, rivers, ponds, and lakes) on the property shall be identifiedand described. This should include storm water and runoff that may drain on or adjacent to the property.


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7.2.3.13 Roads, Parking Facilities, and Rights of WayPublic thoroughfares crossing or bordering the property shall be identified. This includes any roads,streets, parking facilities, or rights of way.

7.3 Interviews

7.3.1 PurposeThe purpose of the interviews is to corroborate or augment the information gathered in the recordsreview. The interview can also corroborate information from the site visit or provide information usefulfor planning the site visit.

7.3.2 ContentThe questions to be asked in interviews pertain to current and past activities and events that may affectenvironmental conditions at the subject property. The questions should pertain to the applicable itemsdetailed in Clauses 7.1 (records review) and 7.2 (site visit).

7.3.3 MethodologyQuestions may be asked in person, by telephone, or in writing, at the discretion of the assessor. Theassessor shall determine whether or not to ask questions before, during, or after the site visit.

7.3.4 LimitationsIf the assessor asks questions of a person but does not receive answers or receives only partial answers, theinterview may be deemed complete if(a) the questions have been asked (or an attempt has been made to ask the questions) in person or bytelephone, and written records have been kept by the assessor of this process; or(b) the questions have been asked in writing, and no answer or incomplete answers have been obtained,and at least one reasonable follow-up (a telephone call or written request) was made asking for responses. If the assessor was refused answers or did not receive complete answers to material questions, it shall bestated in the Phase I ESA report.

7.3.5 Interview Participants

7.3.5.1 Site PersonnelThe assessor shall attempt to arrange a mutually convenient appointment for interviewing the siterepresentative and a representative number of occupants of the property. Occupants may be interviewedin person or by telephone. Interviews should occur in connection with the site visit.

7.3.5.2 Third PartiesWhere appropriate, and with consent from the client, the assessor may interview third parties such asneighbours of the property and former employees.

7.3.5.3 Government OfficialsA reasonable attempt shall be made by the assessor to interview at least one staff member who isknowledgeable about the subject property and from at least one of the following types of governmentagencies (as applicable to the jurisdiction where the property is situated):(a) the local agency or regional office of the federal, provincial, territorial, or municipal agency havingjurisdiction over environmental matters in the area in which the property is located;(b) the public health agency serving the area in which the property is located;(c) the fire department serving the property; or(d) engineering and works departments. The assessor shall document the reasons for having chosen the subject agency.


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7.3.6 Interviews Conducted for Prior Phase I ESAsInformation obtained from prior Phase I ESA interviews conducted by the same assessor may be used asinformation in conducting interviews for current Phase I ESAs. The assessor should question personspreviously interviewed about any new information learned since the prior Phase I ESA was conducted.

8. Evaluation of InformationThe assessor shall evaluate the findings obtained in the records review, site visit, and interviews andpresent such information in a manner designed to help the client understand the significance of thefindings. To do this, the assessor shall(a) distinguish fact from opinion;(b) clearly identify areas of actual or potential contamination and the basis for all findings, including nilfindings; and(c) indicate the relative degree of uncertainty associated with evidence of potential contamination.

9. Reporting of Information

9.1 General Reporting shall consist of a written report and may also include a verbal discussion with the client of thecontent of the report, with a summary of the approach, findings, and conclusions. The assessor is responsible for the content of the report and should present information in a logical andunambiguous manner to help the client understand the significance of the findings. The assessor shall not report the results of the investigation to any government entity or other thirdparty unless required by law or authorized to do so by the client.

9.2 Report FormatThe report shall provide detailed documentation and evaluation of the data. A suggested format isoutlined in Appendix C. The Phase I ESA report shall be complete, so that it is a stand-alone document. 9.3 DeviationsThe report shall state if there have been any deviations from the principal components of a Phase I ESA(see Clause 6.1) and, if so, the reasons for those deviations. Any enhancements, as agreed upon in the scope of work, shall be listed individually and in detail in thePhase I ESA report.

9.4 LimitationsThe assessor shall report all limitations encountered in the Phase I ESA. The report shall describe thosetasks that were not performed due to limiting conditions.Note: A limiting condition exists only when it is impossible to perform the task to the degree intended by this Standard.

9.5 Assessor–Client RelationshipWhere a Phase I ESA has been conducted by in-house personnel, the report shall clearly describe therelationship of the assessor to the client and the property being assessed. The assessor should make asimilar declaration where it is deemed appropriate to clarify the relationship of the assessor to the client orproperty being assessed (eg, an assessor is retained jointly by a buyer and a seller of a property beingassessed).


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9.6 FindingsAll findings, including nil findings, resulting from the investigations performed shall be included in thereport. The report shall state the dates to which all of the findings relate. The report shall identify anddiscuss anomalous data. 9.7 Conclusions

9.7.1The report shall have a Conclusions section that states that the Phase I ESA has revealed(a) no evidence of contamination in connection with the property;(b) evidence of potential contamination in connection with the property (listed and described);(c) evidence of actual contamination in connection with the property (listed and described); or(d) evidence of actual and potential contamination in connection with the property (listed anddescribed).

9.7.2The assessor shall (a) present the conclusions in a manner designed to help the client understand their significance;(b) describe methods to reduce the level of uncertainty (eg, confirm, refute, or delineate contamination);and(c) provide the rationale for proposing such methods. The conclusions shall be supported by findings, including nil findings, that are sufficiently documentedto facilitate reconstruction of the findings and conclusions, either at a later date or by a third party. Thedate to which the conclusions relate shall be specified in the report.

9.8 Names of ParticipantsThe report shall name the key participants involved in performing the four principal components of thePhase I ESA (see Clause 6.1).

9.9 Signatures and QualificationsThe assessor responsible for the Phase I ESA shall provide original signatures confirming the performanceof the Phase I ESA and the findings and conclusions contained therein. A statement of qualifications ofthe assessor responsible for the Phase I ESA shall be included in the report. The statement shall documentthe assessor’s relevant combination of formal education, training, skills, and experience (see Clause 3.4).

9.10 References and Supporting DocumentationThe report shall provide documentation, including references and key exhibits, to support the findingsand conclusions contained in the report. Applicable federal, provincial, territorial, and local legislationand published guidelines used as a basis for findings or conclusions in a Phase I ESA shall be referenced inthe ESA report.


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Appendix APhase I and II Environmental Site Assessmentsand Remedial Investigations

Note: This Appendix is not a mandatory part of this Standard.

A1.The purpose of a Phase I ESA is usually to determine whether a particular property is or may be subject tocontamination. In some cases, sufficient information exists regarding substances of concern to eitherconclude with a Phase I ESA or to proceed directly to a Phase II ESA. The key technical feature that distinguishes Phase I and II ESAs is the use of quantitative sampling andanalytical techniques in Phase II studies; however, other important non-technical differences also exist.Depending on the scope of issues to be dealt with, a Phase II investigation may be much more expensiveand time-consuming than a Phase I ESA. Furthermore, Phase II assessments usually require contributionsfrom specialized environmental professionals. Unlike Phase I assessments conducted in conformance withthis Standard, the scope, duration, and cost of a Phase II ESA are highly dependent upon such factors as (a) the methods used; (b) the size of the site; (c) the number, type, and identity of suspected substances of concern; (d) the level of confidence desired in analytical results; and (e) the sample matrix.

A2.Phase II ESAs and remedial investigations differ primarily in their purpose. Whereas Phase II studies areundertaken to confirm the presence of substances of concern, remedial investigation studies areundertaken to develop remedies for unacceptable levels of contamination. While Phase II studies involvefield sampling and analysis, remedial investigations involve more interpretive procedures, and usuallyhave a limited field component. Because science, engineering, public policy, and social, economic, andlegal issues may directly affect the conclusions arising from a remedial investigation, professionals withexpertise in all of these areas may be required.


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Appendix BRemedial InvestigationNote: This Appendix is not a mandatory part of this Standard.

B1. Purpose

B1.1A remedial investigation should be performed whenever a Phase II assessment (or, rarely, a Phase Ienvironmental site assessment) reveals contamination that is(a) in contravention of local guidelines, standards, or regulations;(b) considered dangerous to human health or deleterious to the environment, immediately or in the longterm; or(c) deemed unacceptable by the client for any other reason.

B1.2The purposes of a remedial investigation are to(a) identify several feasible approaches to remedying the contamination, including in situ monitoring orrisk management;(b) critically compare these approaches by considering factors such as risks to workers, the surroundingpopulation, the environment, and economic and technical feasibility;(c) determine the extent of remedial measures required;(d) allow remediation costs to be estimated; and(e) select criteria against which the success of the remedial measures can be evaluated.Note: “Remedial investigation” is sometimes referred to as the third phase of an environmental site assessment (ie, PhaseIII ESA).

B2. Remedial Investigation Program Components

B2.1Remedial investigation programs must be developed on a site-specific basis in consultations between theclient and the professional supervising the Phase II study. The program may include elements such as(a) the assessment of storage, removal, disposal, and treatment alternatives for contaminated materials;(b) quantitative risk assessment for single contaminants and contaminant mixtures;(c) human and/or environmental exposure estimation;(d) computer modelling of environmental fate and transport processes; (e) the socio-economic impact analysis of remedial options;(f) the review of rationales for relevant environmental guidelines, Standards, and regulations; and(g) the development of site-specific criteria to ensure protection of human health and the environmentand to allow evaluation of the success of the remedial measures.

B2.2If remedial action is warranted, subsequent phases may include(a) treatability studies (bench-pilot/scale);(b) detailed design;(c) contract document preparation and tendering;(d) implementation;(e) monitoring and confirmation;(f) regulatory liaison and permitting; and(g) public consultation.


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Appendix CPhase I ESA Report FormatNote: This Appendix is not a mandatory part of this Standard.

Proposed Section Headings

1. Executive Summary

2. Introduction

3. Site Description

4. Records Review

5. Site Visit

6. Interviews

7. Findings

8. Evaluation of Findings

9. Conclusions

10. Qualifications of the Assessor

11. References and Supporting Documentation

12. Appendices A — Maps, Figures, and PhotographsB — Ownership/Historical DocumentationC — Regulatory DocumentationD — Documentation of Interviews


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Appendix DBibliographyNote: This Appendix is not a mandatory part of this Standard.

CSA StandardsCAN/CSA-ISO 9001-00, Quality management systems — Requirements (adopted ISO 9001:2000, third edition, 2000-12-15);

CAN/CSA-ISO 14015 (under preparation),Environmental management — Environmental assessment of sites and organizations (EASO).

ASTM* StandardE 1528-93, Standard Practice for Environmental Site Assessments: Transaction Screen Process.

Other PublicationsAssociation of Ground Water Scientists and Engineers (a Division of the National Ground WaterAssociation). Guidance to Environmental Site Assessments. Westerville, Ohio, USA: September, 1992.

Canada Mortgage and Housing Corporation. Evaluation Protocol for Site Toxicity. Ottawa, Ontario:October, 1992.

Canadian Council of Ministers of the Environment. Interim Canadian Environmental Quality Criteria forContaminated Sites. Winnipeg, Manitoba: September, 1991.

Canadian Council of Ministers of the Environment. National Classification System for Contaminated Sites.Winnipeg, Manitoba: March, 1992.

Consulting Engineers Council of Metropolitan Washington. Environmental Site Assessments. McLean,Virginia, USA: 1992.

Consulting Engineers of Ontario. Generally Accepted Standards for Environmental Investigations. Toronto,Ontario: April, 1993.

Corpus Information Services (a Division of Southam Business Communications, Inc.). Toxic Real EstateManual. Don Mills, Ontario: June, 1988.

*American Society for Testing and Materials.

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