ASTM Transaction Screen (TSA)

The ASTM Transaction Screen (TSA) consists of a questionnaire for the site owner, occupants, and the environmental assessor supported by an environmental database review and limited historical search work. The TSA is best used for properties that have a relatively short developed life and are not believed to have current or historical site uses that are likely to have impacted the subject property.

Completion of the Transaction Screen Process in accordance with ASTM standards may allow the user to achieve their own “level of comfort” that no further inquiry is needed to assess a property’s environmental condition. However, the TSA report is not intended to satisfy the requirements to qualify for the “innocent landowner” defense to CERCLA (et al.) liability. In addition, completion of the TSA does not add contiguous property owner (CPO) and bona fide prospective purchaser (BFPP) defenses, collectively known as the “landowner liability protections,” or LLPs. Although a TSA should not and cannot be used in place of a Phase I Environmental Site Assessment, it may be a very useful tool in providing environmental information on properties where no environmental assessment would otherwise be performed.

Many of our clients order an ASTM Environmental Transaction Screen based on the appraised property value. We recommend considering the property type and use and developed age before making that choice.

Environmental Transaction Screens (ASTM 1528 – 06)

The ASTM Transaction Screen (ASTM 1528 – 06) is provided to clients that do not require the intensive investigation of a Phase I Environmental Assessment, but desire a degree of comfort in their property investigation activities. The Transaction Screen is a limited investigation and can follow the ASTM standard or lending institutions’ established protocols for this service. The Transaction Screen is commonly used to investigate non-industrial properties with values of less than $150,000.00.

Federated Environmental performs Environmental Transaction Screens in accordance with the ASTM standard practice when needed. In addition, Federated Environmental inspects properties for various environmental concerns not covered by the standard practice: lead-based paint, asbestos, radon, non-tidal wetlands, and others. Although not covered by the standard practice, may also represent an environmental risk, adversely affect the value of the property, or limit or restrict the use of the subject property.

Federated Environmental recommends that its clients carefully consider whether a full Phase I Environmental Site Assessment or simply an Environmental Transaction Screen is completed. Federated Environmental has relationships with numerous law firms that can assist the client in determining which investigation protocol should be completed. ASTM makes the following clarification on the practice:

The user may commence inquiry to identify recognized environmental conditions in connection with a property by performing either the Transaction Environmental Screen or the Phase I Environmental Site Assessment.
The Transaction Screen practice is intended primarily as an approach to conducting an inquiry designed to identify recognized environmental conditions in connection with a property. Environmental Site Assessments that are both more or less than the practice….may be appropriate in some circumstances (paraphrase). ASTM does not provide an explanation as to which practice is “appropriate” under specific circumstances.
If further inquiry is needed after performance of the Transaction Screen Process, the user must determine, in the exercise of the user’s reasonable business judgment, whether further inquiry may be limited to those specific issues identified as of concern or should proceed to a full Phase I Environmental Site Assessment.

The ASTM Transaction Environmental Screen includes the following investigative tasks:

A thorough site inspection to include identification of underground and aboveground tanks, bulk chemical storage/(mis)management, on-lot septic/drinking water wells, landfills or buried waste, pits, ponds, storage lagoons and impoundments, transformer/PCB equipment, contaminated adjacent properties, asbestos-containing materials (ACM), lead-based paint, radon gas accumulations, low frequency magnetic fields, endangered species/non-tidal wetlands, and other potential “red flag” environmental concerns.
A thorough review of federal, state, and local agencies to include the National Priority List (NPL), CERCLIS (“Superfund Sites”), Hazardous Waste Generators (RCRIS), Hazardous Waste Handlers (TSD), Emergency Responses to Spills (ERNS), State Listed Hazardous Waste Sites, Registered/Leaking Underground Tanks, and other specialized environmental databases.
An interview with the site occupant or property manager and the local fire department. The interviews conducted with the site occupant or property manager is completed to obtain specialized, first-hand information about the property. The fire department (and sometimes the health department) is interviewed to determine if the fire department has historically responded to any leaks, fires, explosions, or other incidents on-site that may have contributed contamination to the property or adjacent properties.

The ASTM Transaction Environmental Screen includes the completion of specific checklist in the practice, which includes site inspection observations and an interview questionnaire.

Below are twenty (20) of the TSA questionnaire questions based on the interview and physical site inspection aspects of the TSA (Practice E1528-06: Standard Practice for Environmental Site Assessments: Transaction Screen Process):

1a. Is the property used for an industrial use?

1b. Is any adjoining property used for an industrial use?

2a. Did you observe evidence or do you have any prior knowledge that the property has been used for an industrial use in the past?

2b. Did you observe evidence or do you have any prior knowledge that any adjoining property has been used for an industrial use in the past?

3a. Is the property used as a gasoline station, motor repair facility, commercial printing facility, dry cleaners, photo developing laboratory, junkyard or landfill, or as a waste treatment, storage, disposal, processing, or recycling facility (if applicable, identify which)?

3b. Is any adjoining property used as a gasoline station, motor repair facility, commercial printing facility, dry cleaners, photo developing laboratory, junkyard or landfill, or as a waste treatment, storage, disposal, processing, or recycling facility (if applicable, identify which)?

4a. Did you observe evidence or do you have any prior knowledge that the property has been used as a gasoline station, motor repair facility, commercial printing

facility, dry cleaners, photo developing laboratory, junkyard or landfill, or as a waste treatment, storage, disposal, processing, or recycling facility (if applicable, identify which)?

4b. Did you observe evidence or do you have any prior knowledge that any adjoining property has been used as a gasoline station, motor repair facility, commercial printing facility, dry cleaners, photo developing laboratory, junkyard or landfill, or as a waste treatment, storage, disposal, processing, or recycling facility (if applicable, identify which)?

5a. Are there currently any damaged or discarded automotive or industrial batteries, pesticides, paints, or other chemicals in individual containers of >5 gal (19 L) in volume or 50 gal (190 L) in the aggregate, stored on or used at the property or at the facility?

5b. Did you observe evidence or do you have any prior knowledge that there have been previously any damaged or discarded automotive or industrial batteries, or pesticides, paints, or other chemicals in individual containers of >5 gal (19 L) in volume or 50 gal (190 L) in the aggregate, stored on or used at the property or at the facility?

6a. Are there currently any industrial drums (typically 55 gal (208 L)) or sacks of chemicals located on the property or at the facility?

6b. Did you observe evidence or do you have any prior knowledge that there have been previously any industrial drums (typically 55 gal (208 L)) or sacks of chemicals located on the property or at the facility?

7a. Did you observe evidence or do you have any prior knowledge that fill dirt has been brought onto the property that originated from a contaminated site?

7b. Did you observe evidence or do you have any prior knowledge that fill dirt has been brought onto the property that is of an unknown origin?

8a. Are there currently any pits, ponds, or lagoons located on the property in connection with waste treatment or waste disposal?

8b. Did you observe evidence or do you have any prior knowledge that there have been previously, any pits, ponds, or lagoons located on the property in connection with waste treatment or waste disposal?

9a. Is there currently any stained soil on the property?

9b. Did you observe evidence or do you have any prior knowledge that there has been previously, any stained soil on the property?

10a. Are there currently any registered or unregistered storage tanks (above or underground) located on the property?

10b. Did you observe evidence or do you have any prior knowledge that there have been previously, any registered or unregistered storage tanks (above or underground) located on the property?

11a. Are there currently any vent pipes, fill pipes, or access ways indicating a fill pipe protruding from the ground on the property or adjacent to any structure located on the property?

11b. Did you observe evidence or do you have any prior knowledge that there have been previously, any vent pipes, fill pipes, or access ways indicating a fill pipe protruding from the ground on the property or adjacent to any structure located on the property?

12a. Is there currently evidence of leaks, spills or staining by substances other than water, or foul odors, associated with any flooring, drains, walls, ceilings, or exposed grounds on the property?

12b. Did you observe evidence or do you have any prior knowledge that there have been previously any leaks, spills, or staining by substances other than water, or foul odors, associated with any flooring drains, walls, ceilings or exposed grounds on the property?

13a. If the property is served by a private well or non-public water system, is there evidence or do you have prior knowledge that contaminants have been identified in the well or system that exceed guidelines applicable to the water system?

13b. If the property is served by a private well or non-public water system, is there evidence or do you have prior knowledge that the well has been designated as contaminated by any government environment health agency?

14. Does the owner or occupant of the property have any knowledge of environmental liens or governmental notification relating to past or recurrent violations of environmental laws with respect to the property or any facility located on the property?

15a. Has the owner or occupant of the property been informed of the past existence of hazardous substances or petroleum products with respect to the property or any facility located on the property?

15b. Has the owner or occupant of the property been informed of the current existence of hazardous substances or petroleum products with respect to the property or any facility located on the property?

15c. Has the owner or occupant of the property been informed of the past existence of environmental violations with respect to the property or any facility located on the property?

15d. Has the owner or occupant of the property been informed of the current existence of environmental violations with respect to the property or any facility located on the property?

16. Does the owner or occupant of the property have any knowledge of any environmental site assessment of the property or facility that indicated the presence of hazardous substances or petroleum products on, or contamination of, the property or recommended further assessment of the property?

17. Does the owner or occupant of the property know of any past, threatened, or pending lawsuits or administrative proceedings concerning a release or threatened release of any hazardous substance or petroleum products involving the property by any owner or occupant of the property?

18a. Does the property discharge waste-water (not including sanitary waste or storm water) onto or adjacent to the property and/or into a storm water system?

18b. Does the property discharge waste water (not including sanitary waste or storm water) onto or adjacent to the property and/or into a sanitary sewer system?

19. Did you observe evidence or do you have any prior knowledge that any hazardous substances or petroleum products, unidentified waste materials, tires, automotive or industrial batteries, or any other waste materials have been dumped above grade, buried and/or burned on the property?

20. Is there a transformer, capacitor, or any hydraulic equipment for which there are any records indicating the presence of PCBs?