Environmental Law: Overview

Practical Law Practice Note Overview 2-500-4092 (Approx. 28 pages)

Table of Contents 目录

1Key Environmental Law Requirements
关键环境法律要求
2Historical Background 历史背景
1. Climate Change 气候变化

Environmental Law: Overview
环境法概述
Regulatory Framework 监管框架

by Practical Law Real Estate
由实用法律房地产撰写

USA (National/Federal)

Key Environmental Law Requirements
关键环境法律要求

Regulatory Framework 监管框架

Congress adopts environmental legislation that is implemented and enforced by many federal and delegated state agencies (see Box, Historical Background). For example:
国会通过环境立法，并由许多联邦和授权的州机构实施和执行（见框，历史背景）。例如：

The Environmental Protection Agency (EPA) is primarily responsible for promulgating and enforcing environmental regulations. The Department of Justice (DOJ), through its Environment and Natural Resources Division, represents the EPA and other federal agencies in litigation brought to enforce these laws and regulations.
环境保护署（EPA）主要负责颁布和执行环境法规。司法部（DOJ）通过其环境和自然资源司代表 EPA 和其他联邦机构在诉讼中执行这些法律和法规。
The Council on Environmental Quality (CEQ) in the Executive Office of the President coordinates environmental efforts among federal agencies. One of its most significant responsibilities is issuing regulations and guidance governing environmental impact statements (EIS) under the National Environmental Policy Act (42 U.S.C. §§ 4321 to 4347) (NEPA).
总统行政办公室下属的环境质量委员会（CEQ）负责协调联邦机构之间的环境工作。其最重要的职责之一是根据《国家环境政策法》（42 U.S.C. §§ 4321 至 4347）（NEPA）发布管理环境影响声明（EIS）的法规和指导。
The Department of the Interior (DOI) has principal control over public lands and natural resources. The DOI and other natural resource trustees can bring claims for natural resource damages (NRD). These damages actions are separate from claims for costs of investigating and remediating contaminated sites.
内政部（DOI）对公共土地和自然资源拥有主要控制权。内政部及其他自然资源受托人可以提出自然资源损害（NRD）索赔。这些损害赔偿诉讼与调查和修复污染场地费用的索赔是分开的。
The Army Corps of Engineers (ACOE) enforces permit requirements for federal wetlands that fall under the jurisdiction of the Clean Water Act (33 U.S.C. §§ 1294 to 1281a) (CWA).
美国陆军工程兵团（ACOE）执行《清洁水法案》（33 U.S.C. §§ 1294 至 1281a）（CWA）管辖范围内的联邦湿地许可要求。

Many federal environmental laws delegate administration and enforcement responsibilities to state agencies, though the federal government retains residual authority to enforce federal laws if it concludes that a state is not doing so. States are generally free to adopt laws and regulations that are more stringent than federal law. Municipalities also may adopt laws addressing environmental issues if they do not conflict with state or federal law and are doing so with increasing frequency particularly regarding climate change (see Box, Climate Change).
许多联邦环境法律将管理和执行责任委托给州机构，尽管联邦政府保留在认为某州未履行职责时执行联邦法律的剩余权力。各州通常可以自由制定比联邦法律更严格的法律和法规。市政当局也可以在不与州或联邦法律冲突的情况下制定解决环境问题的法律，尤其是在气候变化方面，这种情况越来越频繁（参见框，气候变化）。

Environmental regulations are strictly enforced, although political and economic considerations do sometimes enter into the exercise of enforcement discretion. State and municipal enforcement varies more considerably. Federal and state regulators frequently inspect regulated facilities, issue administrative orders to require compliance, and impose civil penalties for violations. Agencies can also bring civil and criminal enforcement actions against polluters.
环境法规得到了严格执行，尽管政治和经济因素有时会影响执法的自由裁量权。州和市级的执法情况差异较大。联邦和州监管机构经常检查受监管的设施，发布行政命令要求遵守规定，并对违规行为处以民事罚款。机构还可以对污染者提起民事和刑事执法诉讼。

In addition to government regulators, non-government organizations (NGOs) and citizen groups play an active role in promoting environmental enforcement by:
除了政府监管机构外，非政府组织（NGO）和市民团体也在推动环境执法方面发挥着积极作用：

Routinely commenting on proposed regulations.
经常对拟议的法规发表评论。
Requesting and obtaining companies' filings.
请求并获取公司的备案文件。
Reviewing public information about companies' operations.
审查有关公司运营的公共信息。

NGOs and individual citizens have broad statutory rights to seek affirmative relief in court when regulators do not take diligent steps to correct violations. Many environmental laws encourage these suits by awarding attorney fees to successful litigants.
非政府组织和个人公民在监管机构未采取积极措施纠正违规行为时，拥有广泛的法定权利向法院寻求肯定性救济。许多环境法律通过向胜诉的诉讼人授予律师费来鼓励这些诉讼。

Water Discharges 水排放

The CWA is the primary federal law governing water pollution, though many state laws impose stricter requirements and cover a broader range of waters and wetlands. The CWA's major provisions:
CWA 是管理水污染的主要联邦法律，尽管许多州法律规定了更严格的要求，并涵盖了更广泛的水域和湿地。CWA 的主要条款：

Establish water quality standards.
制定水质标准。
Require a permit from the EPA or a delegated state agency before pollutants may be discharged into surface waters.
在向地表水排放污染物之前，需获得环保署或授权州机构的许可。
Require a permit from the ACOE for dredging or filling federal wetlands.
需要从美国陆军工程兵团获得疏浚或填充联邦湿地的许可。

Failure to obtain a water discharge permit or noncompliance with a permit can subject a company to substantial administrative, civil, and criminal penalties. Criminal penalties also may be imposed for knowing and willful violations of the CWA.
未能获得排水许可证或不遵守许可证规定可能会使公司面临巨额的行政、民事和刑事处罚。对于明知故犯和故意违反《清洁水法》的行为，也可能会施加刑事处罚。

Air Emissions 空气排放

Clean Air Act 清洁空气法案

The Clean Air Act (42 U.S.C. §§ 7401 to 7431) (CAA) regulates air emissions from mobile and stationary sources. The EPA implements several regulations under the CAA, including ones that:
《清洁空气法》（42 U.S.C. §§ 7401 至 7431）（CAA）规范了来自移动和固定源的空气排放。环保署根据《清洁空气法》实施了若干法规，包括以下内容：

Establish national ambient air quality standards (NAAQS) for:
制定国家环境空气质量标准 (NAAQS) 以：
- particulate matter; 颗粒物质;
- sulfur dioxide; 二氧化硫
- carbon monoxide; 一氧化碳
- nitrogen dioxide; 二氧化氮
- ozone; and 臭氧；和
- lead. 领导。
Require states to develop and periodically revise implementation plans to prevent air pollution from exceeding certain limits.
要求各州制定并定期修订实施计划，以防止空气污染超过特定限度。
Require new and significantly modified facilities to obtain upgraded permits and install stringent pollution control technology.
要求新建和重大改造的设施获得升级的许可证并安装严格的污染控制技术。
Require stationary sources to reduce toxic air emissions.
要求固定污染源减少有毒空气排放。
Phase out production and use of chemicals that destroy stratospheric ozone.
逐步淘汰生产和使用破坏平流层臭氧的化学品。

All major air polluters must obtain a Title V operating permit, typically issued by state authorities. The permit is required for:
所有主要空气污染源必须获得第五类操作许可证，该许可证通常由州当局颁发。该许可证要求：

All stationary sources that emit or have the potential to emit at least:
所有排放或有潜力排放至少以下物质的固定源：
- 100 tons per year of any air pollutant;
  每年 100 吨任何空气污染物；
- ten tons per year of any hazardous air pollutant; or
  每年十吨任何危险空气污染物；或
- 25 tons per year of any combination of hazardous air pollutants.
  每年 25 吨的任何组合的有害空气污染物。
Any source with a major source permit under the New Source Review Permitting Program (NSR) (see New Source Review).
任何根据新源审查许可计划（NSR）持有主要来源许可证的来源（参见新源审查）。
Affected sources under acid rain rules (see Acid Rain Program).
酸雨规则下的受影响来源（参见酸雨计划）。
Solid waste incineration units.
固体废物焚烧装置。
Nonmajor sources subject to national emission standards for hazardous air pollutants.
非主要来源受国家有害空气污染物排放标准的约束。

A Title V permit sets out steps that facilities must take to control air pollution, such as:
Title V 许可证规定了设施必须采取的控制空气污染的步骤，例如：

Limiting the types and amounts of air pollution released.
限制排放的空气污染类型和数量。
Meeting certain operating requirements for pollution control devices.
满足污染控制设备的特定操作要求。
Monitoring and keeping detailed records.
监控并保持详细记录。

The CAA and some state laws also require permits for certain minor sources of pollution. These permits are less rigorous but also may include emission limits and monitoring and recordkeeping requirements.
CAA 和一些州法律还要求对某些小型污染源进行许可。这些许可的要求较为宽松，但也可能包括排放限值以及监测和记录保存要求。

New Source Review 新源审查

The NSR program was established as part of the 1977 Clean Air Act Amendments and requires that new stationary sources of air pollution obtain permits before beginning construction. NSR permits are usually issued by state air pollution control authorities and specify:
NSR 项目是 1977 年《清洁空气法修正案》的一部分，要求新的固定空气污染源在开始建设之前获得许可证。NSR 许可证通常由州空气污染控制当局颁发，并规定：

The type of construction allowed.
允许的建设类型。
The emission limits that must be met.
必须达到的排放限值。
How the emission source must be operated.
排放源必须如何操作。

Acid Rain Program 酸雨计划

The CAA has special provisions applicable to power plants fueled by fossil fuels (commonly called the acid rain program). These provisions are designed to reduce sulfur dioxide emissions to ten million tons below 1980 levels through a market-based trading program for emission allowances. The program also:
CAA 对使用化石燃料的发电厂（通常称为酸雨计划）有特别规定。这些规定旨在通过一个基于市场的排放许可交易计划，将二氧化硫排放量减少到比 1980 年水平低一千万吨。该计划还：

Establishes nitrogen oxide emissions reduction standards for existing coal-fired utility boilers.
为现有燃煤电厂锅炉制定氮氧化物排放减少标准。
Allows emissions averaging to reduce costs.
允许通过排放平均来降低成本。

The acid rain program has been successful and is a model for other efforts to encourage the trading of pollution allowances. Although some courts have held that certain trading programs implemented by the EPA exceed that agency's statutory authority, the use of market-based mechanisms to reduce air pollution is still favored by many companies and environmental organizations.
酸雨计划取得了成功，并成为鼓励污染排放权交易的典范。尽管一些法院认为环保署实施的某些交易计划超出了该机构的法定权限，但许多公司和环保组织仍然支持使用基于市场的机制来减少空气污染。

Penalties 处罚

Failure to comply with the CAA can result in:
未能遵守《清洁空气法》可能导致：

Daily monetary civil penalties.
每日货币民事罚款。
Criminal penalties for willful and knowing violations including up to five years in federal prison.
故意和明知违反行为的刑事处罚包括最高五年联邦监禁。
Up to two years in federal prison for submission of false records.
提交虚假记录可被判处最高两年联邦监禁。

Environmental Impact Assessment
环境影响评估

NEPA requires federal agencies to prepare an environmental analysis for major federal actions that have the potential to significantly impact the environment. The CEQ oversees NEPA and its regulations. Major federal actions include private projects that receive federal permits or financing. Private projects that do not involve or involve only minimal federal approvals or financing are exempt from NEPA.
NEPA 要求联邦机构为可能对环境产生重大影响的主要联邦行动准备环境分析。CEQ 负责监督 NEPA 及其法规。主要联邦行动包括获得联邦许可或融资的私人项目。不涉及或仅涉及最少联邦批准或融资的私人项目不受 NEPA 约束。

Many states have adopted similar laws (sometimes called little NEPAs) that also require environmental reviews and are sometimes more stringent than their federal counterpart (see Practice Note, Environmental Impact Review: Overview: State Environmental Review). The adequacy of environmental review is frequently the subject of litigation. Failure to comply with NEPA or similar state law requirements may result in court-ordered suspension of projects.
许多州已经通过了类似的法律（有时称为小 NEPA），这些法律也要求进行环境评估，有时比联邦法律更为严格（参见实践说明，环境影响评估：概述：州环境评估）。环境评估的充分性经常成为诉讼的主题。不遵守 NEPA 或类似的州法律要求可能导致法院下令暂停项目。

There are three classes of actions under NEPA:
根据《国家环境政策法》（NEPA），行动分为三类：

Exempt projects: Projects are categorically exempt from NEPA if:
豁免项目：如果项目符合以下条件，则可根据《国家环境政策法》豁免：
- the proposed agency action is not a final agency action;
  拟议的机构行为不是最终的机构行为；
- the proposed agency action is excluded under a categorical exclusion;
  拟议的机构行动被排除在分类排除范围之外；
- the preparation of an environmental document would clearly and fundamentally conflict with another law; or
  编制环境文件将明显且根本地与另一法律相冲突；或
- the proposed agency action is nondiscretionary, and the agency does not have authority to take environmental factors into consideration.
  拟议的机构行动是非自由裁量的，且该机构无权考虑环境因素。
Environmental assessment (EA) required: An EA is required for agency actions that are not exempt and either:
需要进行环境评估（EA）：对于不豁免的机构行动，需要进行环境评估，并且：
- do not have a reasonably foreseeable significant impact on the quality of the human environment; or
  对人类环境质量没有合理可预见的重大影响；或
- the significance of the environmental impact is unknown.
  环境影响的意义尚不明确。
EIS required: An EIS is required for agency actions that have a reasonably foreseeable significant impact on the quality of the human environment.
需要环境影响报告书：对于可能对人类环境质量产生可预见的重大影响的机构行为，需要提交环境影响报告书。

An EIS under NEPA addresses impacts on:
根据《国家环境政策法》（NEPA），环境影响报告书（EIS）涉及以下方面的影响：

Air and water quality. 空气和水质。
Traffic. 交通。
Noise. 噪音。
Population patterns. 人口模式。
Species habitats. 物种栖息地。
Other environmental considerations.
其他环境因素。

If the lead federal agency conducting the environmental review issues a finding of no significant impact (FONSI), the agency does not have to prepare a full EIS. A federal agency conducting a review must consider the results of an EA or EIS before deciding whether to proceed with a project.
如果负责进行环境评估的联邦机构发布了无显著影响的结论（FONSI），该机构就不必准备完整的环境影响报告书（EIS）。进行评估的联邦机构在决定是否继续推进项目之前，必须考虑环境评估（EA）或环境影响报告书（EIS）的结果。

For additional information on EISs, see Practice Note, Environmental Impact Review: Overview.
如需了解有关环境影响声明（EIS）的更多信息，请参阅实务说明《环境影响评估：概述》。

Hazardous Waste 危险废物

The Resource Conservation and Recovery Act (42 U.S.C. §§ 6901 to 6992k) (RCRA) gives the EPA and delegated state agencies broad authority to regulate the generation, treatment, storage, transportation, and disposal of hazardous waste. Generators, transporters, and those who treat or dispose of hazardous waste must comply with a complex set of requirements. A manifest must accompany each shipment of hazardous waste from its origin to its disposal site. Owners and operators of hazardous waste facilities must:
资源保护与回收法案（42 U.S.C. §§ 6901 至 6992k）（RCRA）赋予环保署和授权的州机构广泛的权力，以监管危险废物的产生、处理、储存、运输和处置。危险废物的产生者、运输者以及处理或处置者必须遵守一套复杂的要求。每批危险废物从其起始地到处置地点的运输过程中，必须附有一份清单。危险废物设施的所有者和运营者必须：

Develop emergency plans. 制定应急计划。
Obtain sufficient insurance and financial assurance.
获得足够的保险和财务担保。
Train employees to handle hazards.
培训员工处理危险。
Obtain RCRA permits from the EPA or an authorized state. The permits:
从环保署或授权州获得 RCRA 许可证。许可证：
- describe the activities that a facility can conduct;
  描述设施可以进行的活动；
- outline facility design and operation;
  概述设施设计和运营；
- establish safety standards; and
  建立安全标准；并且
- describe activities that facilities must perform.
  描述设施必须执行的活动。

These regulations are strictly enforced and several individuals have gone to jail for flagrant violations. Failure to comply with the RCRA can result in:
这些法规被严格执行，已有数人因公然违反而入狱。不遵守《资源保护和回收法》可能导致：

Significant enforcement actions, including criminal prosecution.
重大执法行动，包括刑事起诉。
Administrative compliance orders and daily monetary penalties.
行政合规命令和每日罚款。
Penalties for violations that place people in imminent danger of death or serious bodily injury of up to:
违反规定导致人员面临死亡或严重人身伤害的紧迫危险的处罚最高可达：
- $250,000 for individuals plus 15 years in prison; and
  个人罚款$250,000，外加 15 年监禁；并且
- $1 million for corporations.
  100 万美元给公司。
Criminal liability for corporate executives who knowingly authorize or are willfully blind to hazardous waste violations.
对明知或故意忽视危险废物违规行为的公司高管的刑事责任。

Asbestos 石棉

The EPA regulates renovation and demolition of structures containing asbestos and requires advance notice before asbestos is disturbed. Waste generators, transporters, and disposal site operators must comply with EPA reporting and recordkeeping requirements. Several states and some local governments have enacted asbestos regulations stricter than the EPA's.
环保署对含有石棉的建筑物的翻新和拆除进行监管，并要求在石棉被扰动之前提前通知。废物产生者、运输者和处置场运营者必须遵守环保署的报告和记录保存要求。几个州和一些地方政府已经制定了比环保署更严格的石棉法规。

Removing or disposing of asbestos without following proper procedures can result in daily monetary penalties. The EPA also can bring criminal charges against a knowing or willful violator. Several actions have been brought against building owners, construction companies, and others who ordered demolition work on buildings without first properly determining whether asbestos was present.
未按照适当程序移除或处理石棉可能会导致每日罚款。环保署还可以对明知或故意违反者提起刑事指控。已经对建筑物所有者、建筑公司及其他在未先适当确定是否存在石棉的情况下下令拆除建筑物的行为提起了多项诉讼。

The Occupational Safety and Health Act (OSHA) also requires that employers protect their employees from asbestos exposure. As a result, many building owners adopt asbestos operating and management plans to train employees to recognize materials that may contain asbestos and to take steps to prevent inadvertent exposure.
职业安全与健康法（OSHA）还要求雇主保护其员工免受石棉暴露。因此，许多建筑物所有者采用石棉操作和管理计划，培训员工识别可能含有石棉的材料，并采取措施防止意外暴露。

Contaminated Land 污染土地

Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
综合环境反应、补偿与责任法 (CERCLA)

The Comprehensive Environmental Response, Compensation, and Liability Act (42 U.S.C. §§ 9601 to 9675) (CERCLA, also known as Superfund) addresses soil and groundwater contamination. The EPA's Office of Solid Waste and Emergency Response (OSWER) implements CERCLA. Many states have enacted comparable laws that meet and sometimes surpass CERCLA's broad liability provisions.
综合环境反应、补偿和责任法（42 U.S.C. §§ 9601 至 9675）（CERCLA，也称为超级基金）处理土壤和地下水污染问题。环保署的固体废物和紧急响应办公室（OSWER）负责实施 CERCLA。许多州已经颁布了类似的法律，这些法律符合并有时超越了 CERCLA 的广泛责任条款。

CERCLA's major effects are:
CERCLA 的主要影响是：

Making virtually any company with a current or past nexus to a contaminated facility liable.
使任何与受污染设施有当前或过去联系的公司几乎都负有责任。
Allowing the government and private parties to recover site investigation and clean-up costs from a broad range of potentially responsible parties (PRPs), including:
允许政府和私人当事方从广泛的潜在责任方（PRPs）中追回场地调查和清理费用，包括：
- current owners and operators of contaminated property;
  当前受污染财产的所有者和经营者；
- parties which owned or operated contaminated property when disposal occurred; and
  在废物处理发生时拥有或经营受污染财产的各方；
- generators and transporters of waste that ended up at a contaminated site.
  废物的产生者和运输者最终将废物送至受污染地点。
Giving the EPA authority to issue unilateral administrative orders compelling PRPs to investigate and clean up certain contaminated sites. Parties who do not comply face treble damages.
赋予环保署权力发布单方面行政命令，强制潜在责任方调查和清理某些污染场地。不遵守命令的当事方将面临三倍赔偿。
Requiring that certain spills be reported to the EPA, which can require investigation and remediation.
要求某些泄漏事件必须向环保署报告，环保署可以要求进行调查和补救。

After many years of limited funding for Superfund site cleanup, the EPA was granted $3.5 billion in funding under the Infrastructure Investment and Jobs Act of 2021 (Pub. L. No. 117-58 (2021)).
经过多年对超级基金场地清理的有限资助，环境保护署在 2021 年《基础设施投资和就业法案》（第 117-58 号公共法案（2021 年））下获得了 35 亿美元的资助。

Liability and Enforcement
责任与执行

Contaminated sites are identified through information provided by environmental groups, agencies, and other interested parties. A site evaluated by the EPA is entered into the Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS), the EPA's online inventory of potential hazardous substance release sites. If the site warrants federal action, it may be put on the National Priorities List (NPL), which authorizes spending federal funds on remediation. Sites also can be listed on state and local contaminated site lists.
污染场地通过环境团体、机构和其他相关方提供的信息进行识别。由环保署（EPA）评估的场地会被录入综合环境响应、补偿和责任信息系统（CERCLIS），这是环保署关于潜在危险物质释放场地的在线库存。如果该场地需要联邦行动，可能会被列入国家优先名单（NPL），这授权使用联邦资金进行修复。场地也可以被列入州和地方的污染场地名单。

PRPs can also face separate liability for NRD in claims brought by federal, state, local or tribal natural resource trustees. These NRD claims can be substantial, especially when:
潜在责任方（PRPs）还可能因联邦、州、地方或部落自然资源受托人提出的自然资源损害（NRD）索赔而面临单独的责任。这些自然资源损害索赔可能会非常巨大，特别是在以下情况下：

Contaminated sediments are present in lakes and rivers.
湖泊和河流中存在受污染的沉积物。
A source of public drinking water has been contaminated.
公共饮用水源已被污染。

If a PRP violates other provisions of CERCLA or fails to comply with a consent order, it can face daily monetary penalties.
如果潜在责任方违反《综合环境反应、补偿及责任法》的其他规定或未能遵守同意令，则可能面临每日罚款。

CERCLA liability is retroactive and also joint and several, which can result in:
CERCLA 责任具有追溯性，并且是连带和分别的，这可能导致：

Parties being liable for events that happened before CERCLA was enacted in 1980, even if the conduct was not barred by statute at the time.
在 1980 年《综合环境反应、赔偿及责任法》颁布之前发生的事件，各方仍需承担责任，即使当时的行为并未被法律禁止。
One PRP being liable for an entire site cleanup when multiple parties cause an indivisible harm.
一个潜在责任方在多个当事方造成不可分割的损害时，对整个场地的清理负全部责任。

A PRP that sends hazardous waste to a site faces almost certain liability unless it qualifies for a limited number of defenses. A PRP cannot simply claim that it was not negligent because its conduct was consistent with industry standards. However, a bona fide prospective purchaser of contaminated property will not be deemed a PRP if it conducts all appropriate inquiry into the property (see Environmental Diligence) and exercises reasonable care related to existing contamination after the purchase.
向某地发送危险废物的潜在责任方（PRP）几乎肯定会面临责任，除非其符合有限的几项抗辩理由。潜在责任方不能仅仅声称其行为符合行业标准而不构成过失。然而，如果一个善意的潜在购买者对受污染的财产进行了所有适当的调查（参见环境尽职调查），并在购买后对现有污染采取了合理的护理措施，则不会被视为潜在责任方。

Lender Liability 贷方责任

Under CERCLA and comparable state laws, lenders generally are not liable for contamination of a borrower's facility unless they participate in managing the facility. After a foreclosure, a lender must attempt to divest itself of the property at the earliest reasonable time. Holding a lien on contaminated property or having an unexercised ability to influence a borrower's operations does not constitute participation in management. However, a lender's conduct can be deemed participation in management if the lender:
根据《综合环境反应、补偿及责任法》（CERCLA）和类似的州法律，除非贷款人参与管理借款人的设施，否则贷款人通常不对借款人设施的污染负责。在止赎后，贷款人必须在合理的最早时间内尝试将该财产转让。持有受污染财产的留置权或拥有未行使的影响借款人运营的能力不构成参与管理。然而，如果贷款人的行为被视为参与管理，则贷款人可能被认为参与管理。

Exercises decision-making control over environmental compliance issues and undertakes responsibility for the handling or disposal of hazardous substances.
对环境合规问题行使决策控制，并承担处理或处置危险物质的责任。
Exercises enough control of a facility that it assumes responsibility for day-to-day decision-making on environmental compliance.
对设施行使足够的控制权，以至于承担起环境合规日常决策的责任。

Lenders are expressly permitted to do any of the following without being deemed part of a facility's management:
贷方明确被允许进行以下任何操作，而不会被视为设施管理的一部分：

Inspect and monitor a borrower's facility or property.
检查和监控借款人的设施或财产。
Protect the environment from a release of contamination.
保护环境免受污染物的释放。
Conduct a response action if it does not constitute participation in management.
如果不构成参与管理，则进行响应行动。
Provide advice to prevent or cure a borrower's default.
提供建议以防止或解决借款人的违约。
Change the terms of the security interest.
变更担保权益的条款。

CERCLA also contains a safe harbor provision allowing lenders to engage in workouts and foreclose on contaminated property without assuming environmental liability. Many state environmental laws have similar safe harbors. In a workout, a lender that did not participate in management during the life of the loan may:
根据《综合环境反应、赔偿和责任法》（CERCLA），其中包含一个安全港条款，允许贷款人在不承担环境责任的情况下进行债务重组和对受污染财产进行止赎。许多州的环境法律也有类似的安全港。在债务重组中，如果贷款人在贷款期间未参与管理，则可以：

Maintain a borrower's business activities.
维持借款人的业务活动。
Wind up operations. 结束业务。
Undertake a response action.
采取应对行动。
Sell, re-lease, or liquidate the facility.
出售、重新租赁或清算该设施。
Take actions to preserve, protect, or prepare the property for sale.
采取行动以保存、保护或准备财产出售。

For additional information on lender environmental liability, see Practice Notes, Commercial Real Estate Loans: Lender's Environmental Liability and Commercial Real Estate Loans: Minimizing the Environmental Risk for Lenders under CERCLA.
有关贷款人环境责任的更多信息，请参阅实务说明《商业房地产贷款：贷款人的环境责任》和《商业房地产贷款：根据 CERCLA 减少贷款人的环境风险》。

Environmental Liability in Transactions
交易中的环境责任

An asset purchaser's environmental liability is usually determined under state law. Sellers retain their pre-closing liability. Purchasers only inherit liability resulting directly from ownership of the purchased assets. Purchasers are generally not liable for environmental issues that arise from past acts or previously divested assets. Important exceptions can apply if:
资产购买者的环境责任通常由州法律决定。卖方保留其在交易完成前的责任。购买者仅继承直接因购买资产的所有权而产生的责任。购买者通常不对因过去行为或先前转让的资产引起的环境问题负责。重要的例外情况可能适用，如果：

The purchaser agrees to assume the seller's liabilities.
买方同意承担卖方的债务。
The transaction is a consolidation or de facto merger.
该交易是合并或事实上的合并。
The purchaser is a mere continuation of the selling company.
购买方只是出售公司的延续。
The transaction is entered into fraudulently to escape liability.
该交易是为了逃避责任而欺诈性地进行的。

A selling company also may remain liable under common law principles for property damage and personal injury. Sellers sometimes try to shift these risks to a purchaser by seeking a waiver and indemnity for all environmental claims related to purchased assets. The parties' respective leverage in the transaction determines whether waivers or indemnity are attainable.
销售公司在普通法原则下仍可能对财产损失和人身伤害承担责任。卖方有时试图通过寻求对所有与购买资产相关的环境索赔的豁免和赔偿，将这些风险转移给买方。交易中各方的相应影响力决定了豁免或赔偿是否可行。

A company retains all its liabilities in a share sale. Shareholders (including former shareholders) are not typically liable for corporate liabilities. In rare instances shareholders, corporate officers, and employees can be liable if they personally participate in operations that result in contamination. This typically applies to closely-held companies.
公司在股份出售中保留其所有负债。股东（包括前股东）通常不对公司负债承担责任。在极少数情况下，如果股东、公司高管和员工亲自参与导致污染的操作，他们可能会承担责任。这通常适用于私人控股公司。

Environmental Diligence 环境尽职调查

Environmental due diligence is often undertaken in mergers and in asset and share sales, especially when transactions involve companies with current or past industrial operations. Even properties not used in a manner that suggests contamination can have significant environmental liabilities from past uses (for example, a shopping mall built on a former landfill or a fast-food restaurant built on a former gasoline service station).
环境尽职调查通常在并购以及资产和股份销售中进行，特别是当交易涉及当前或过去有工业操作的公司时。即使是未以可能导致污染的方式使用的物业，也可能因过去的用途而具有重大环境责任（例如，建在前垃圾填埋场上的购物中心或建在前加油站上的快餐店）。

Environmental due diligence typically covers:
环境尽职调查通常包括：

Previous and current uses and conditions.
以前和当前的用途和条件。
Potential liability for on- or off-site contamination.
潜在的现场或非现场污染责任。
Compliance history and status.
合规历史和现状。
Litigation and enforcement risks.
诉讼和执行风险。
Upcoming regulations which could potentially impact the business sector.
即将出台的法规可能会对商业部门产生影响。
Occupational health and safety exposures.
职业健康与安全暴露。
Requests under the Freedom of Information Act (FOIA) or a state equivalent for information not readily available online.
根据《信息自由法》（FOIA）或州级同等法律提出的获取未在网上公开信息的请求。

Due diligence investigations vary considerably depending on the type of company or property being purchased. A Phase I environmental site assessment is usually conducted, which includes:
尽职调查因所购买的公司或财产类型不同而有很大差异。通常会进行第一阶段环境现场评估，其中包括：

A tour of the property and any on-site facilities.
参观物业及任何现场设施。
Interviews of the current owner or operator and any neighboring landowners.
对现任所有者或经营者以及任何邻近土地所有者的采访。
A review of: 审查：
- databases (including permits, permit applications, compliance records, and enforcement and litigation materials);
  数据库（包括许可证、许可证申请、合规记录以及执法和诉讼材料）；
- property and area maps; and
  财产和区域地图；及
- photos of the property. 房产照片。
Visual observations of adjacent properties.
对相邻物业的目视观察。

If timing or confidentiality concerns are critical, cleanup cost estimates may be developed based on existing information and professional judgment. Compliance with current standards for Phase I investigations is necessary for an asset purchaser to be eligible for CERCLA's all appropriate inquiry defense.
如果时间或保密问题至关重要，清理成本估算可以基于现有信息和专业判断进行。资产购买者必须遵守当前的第一阶段调查标准，才能有资格获得《综合环境反应、赔偿和责任法》的所有适当调查抗辩。

If a Phase I assessment suggests that the site is contaminated, Phase II testing may be conducted, including a sampling of soil and groundwater. It can also involve locating and testing underground storage tanks (see Practice Note, Underground Storage Tanks: Environmental Regulation, Remediation, and Liability Issues). Environmental consultants generally conduct assessments on behalf of purchasers and sellers.
如果第一阶段评估表明该地点受到污染，则可以进行第二阶段测试，包括对土壤和地下水的采样。它还可能涉及定位和测试地下储罐（参见实践说明，地下储罐：环境法规、修复和责任问题）。环境顾问通常代表买方和卖方进行评估。

The EPA's all appropriate inquiry standard requires that a qualified professional conduct the site assessment. Issues typically covered in an engagement letter with an environmental consultant include:
EPA 的所有适当调查标准要求由合格的专业人员进行现场评估。与环境顾问签订的聘用信中通常涵盖的问题包括：

Staffing. 人员配置。
Educational or experience levels necessary to meet applicable statutory standards.
达到适用法定标准所需的教育或经验水平。
Fees and billing terms. 费用和账单条款。
The scope of the assessment.
评估范围。
The timing of the report.
报告的时间。
Documents to be provided to the client.
需提供给客户的文件。
Treatment of field notes and data and other documents compiled during the project.
在项目期间编制的现场记录、数据和其他文件的处理。
Confidentiality. 保密。
Warranties and indemnities.
保证与赔偿。
Limitations on liability.
责任限制。
Standard of care. 护理标准。

For guidance on the 2021 updates to standards for conducting a Phase I assessment, see Practice Note, ASTM E1527-21 Updated Standards for Phase I Environmental Site Assessments. For a form of environmental diligence access letter, see Standard Document, Environmental Due Diligence Access Letter Agreement.
关于 2021 年第一阶段评估标准更新的指导，请参阅《实践说明，ASTM E1527-21 第一阶段环境现场评估更新标准》。关于环境尽职调查访问函的格式，请参阅《标准文件，环境尽职调查访问函协议》。

Historical Background 历史背景

Some common law principles that protect environmental rights originally come from the colonial era and English law. Modern environmental law began developing with events in the 1960s that led to a burst of legislative activity during the 1970s, including:
一些保护环境权利的普通法原则最初源自殖民时代和英国法律。现代环境法始于 20 世纪 60 年代的一些事件，这些事件在 20 世纪 70 年代引发了一系列立法活动，包括：

The circulation of NASA photographs of Earth, which increased awareness of ecosystems' fragility.
美国国家航空航天局拍摄的地球照片的传播，提高了人们对生态系统脆弱性的认识。
Several national environmental organizations beginning to press their agenda on Congress, the White House, and the courts.
一些国家环境组织开始向国会、白宫和法院施加他们的议程。

In the landmark case Scenic Hudson Pres. Conference v. Fed. Power Comm'n, 354 F.2d 608 (2nd Cir. 1965), the plaintiff challenged the proposed construction of a hydro power plant near the Hudson River. The court's opinion provided two important principles:
在具有里程碑意义的案件 Scenic Hudson 保护会议诉联邦电力委员会案，354 F.2d 608（第 2 巡回法庭，1965 年），原告对拟在哈德逊河附近建造水电站提出了质疑。法院的意见提供了两个重要原则：

Environmental organizations have standing to challenge conduct that might impact the environment.
环境组织有权对可能影响环境的行为提出质疑。
Federal agencies must consider alternatives that mitigate environmental impact before approving major projects.
联邦机构在批准重大项目之前，必须考虑减轻环境影响的替代方案。

In 1969, Congress adopted NEPA to codify the Scenic Hudson principles. After demonstrators around the country demanded more focused governmental action, the Nixon administration created the EPA. Over the next few years, Congress enacted more than a dozen major environmental statutes, including:
1969 年，国会通过了《国家环境政策法》（NEPA），以将哈德逊风景区原则编纂成法。在全国各地的示威者要求政府采取更有针对性的行动后，尼克松政府成立了环境保护署（EPA）。在接下来的几年里，国会颁布了十多项主要的环境法规，包括：

The Clean Air Act (1970).
《清洁空气法案》（1970 年）
The Clean Water Act (1972).
《清洁水法案》（1972 年）
The Safe Drinking Water Act (1974).
安全饮用水法案（1974 年）。
The Resource Conservation and Recovery Act (1976).
资源保护与回收法案（1976 年）。
The Toxic Substances Control Act (1976).
有毒物质控制法（1976 年）。

Hazardous substance disposal led to public outcry over environmental conditions in the 1980s. After New York officials evacuated the Love Canal community due to contamination from decades of industrial disposal, Congress enacted CERCLA. This triggered hundreds of lawsuits and eventual cleanups of former waste disposal sites. After the Bhopal chemical explosion in India, Congress enacted the Emergency Planning and Community Right to Know Act (EPCRA) to let communities prepare for similar incidents. In response to the Exxon Valdez spill in Alaska, the Oil Pollution Control Act of 1990 (OPA) imposed significant liability for oil spills.
有害物质处理在 20 世纪 80 年代引发了公众对环境状况的强烈抗议。由于数十年的工业废物处理导致污染，纽约官员疏散了拉夫运河社区，随后国会通过了《综合环境反应、补偿和责任法》（CERCLA）。这引发了数百起诉讼，并最终清理了以前的废物处理场地。在印度博帕尔化学爆炸事件后，国会通过了《紧急规划和社区知情权法》（EPCRA），以使社区为类似事件做好准备。为了应对阿拉斯加的埃克森瓦尔迪兹漏油事件，1990 年的《油污染控制法》（OPA）对漏油事件施加了重大责任。

The environmental agenda during the 1990s focused largely on air pollution. Frustrated by the EPA's perceived inaction on air pollution, Congress passed major amendments to the CAA to create a comprehensive permitting program with stricter requirements for pollution control devices.
1990 年代的环境议程主要集中在空气污染问题上。由于对环保署在空气污染问题上的不作为感到不满，国会通过了《清洁空气法》的重大修正案，创建了一个全面的许可计划，并对污染控制设备提出了更严格的要求。

Climate Change 气候变化

Since the 1990s, the threat of global warming has emerged as a significant environmental concern. In 1992, the UN Earth Summit in Rio de Janeiro resulted in the United Nations Framework Convention on Climate Change (UNFCCC). The UNFCCC has adopted several notable climate change resolutions, including:
自 20 世纪 90 年代以来，全球变暖的威胁已成为一个重要的环境问题。1992 年，里约热内卢的联合国地球峰会促成了《联合国气候变化框架公约》（UNFCCC）。《联合国气候变化框架公约》通过了几项重要的气候变化决议，包括：

The Kyoto Protocol (1997), mandating reductions of greenhouse gases for signatory countries. The George W. Bush administration formally rejected the Kyoto Protocol and essentially withdrew from global climate change diplomacy. Several states brought suit to compel the EPA to regulate greenhouse gases. This culminated in a landmark 2007 decision by a divided Supreme Court which directed the EPA to address the issue (Massachusetts v. E.P.A., 549 U.S. 497 (2007)).
京都议定书（1997 年）要求签署国减少温室气体排放。乔治·W·布什政府正式拒绝了京都议定书，并基本上退出了全球气候变化外交。几个州提起诉讼，要求环保署（EPA）监管温室气体。这最终在 2007 年由分裂的最高法院作出具有里程碑意义的裁决，指示环保署解决这一问题（马萨诸塞州诉环保署，549 U.S. 497 (2007)）。
The Paris Agreement (December 2015), effective November 2016, aiming to limit the rise in global temperatures in the 21st century to below two degrees Celsius. The United States initially ratified the Paris Agreement, withdrew from it on November 4, 2020, and rejoined it on February 19, 2021. The withdrawal by the US from the Paris Agreement was one of many actions taken by the Trump administration to reverse the Obama administration's energy and climate change policies and narrow the EPA's authority.
《巴黎协定》（2015 年 12 月），于 2016 年 11 月生效，旨在将 21 世纪全球气温升高幅度限制在两摄氏度以下。美国最初批准了《巴黎协定》，于 2020 年 11 月 4 日退出，并于 2021 年 2 月 19 日重新加入。美国退出《巴黎协定》是特朗普政府为扭转奥巴马政府的能源和气候变化政策并缩小环保署权力所采取的众多行动之一。
The UAE Consensus (2023), in which 200 signatories agreed to a phase-down of coal power and to transition away from fossil fuels.
《阿联酋共识》（2023 年），其中 200 名签署方同意逐步减少煤电并转向非化石燃料。

For information on these and other UNFCCC actions, see Practice Note, UNFCCC, the Kyoto Protocol and the Paris Agreement.
有关这些及其他《联合国气候变化框架公约》行动的信息，请参见实务说明、《联合国气候变化框架公约》、《京都议定书》和《巴黎协定》。

The Biden administration has reverted to many of the Obama-era policies and implemented additional policies to combat climate change. In addition, state and local authorities have increasingly adopted legislation addressing climate change.
拜登政府恢复了许多奥巴马时代的政策，并实施了额外的政策以应对气候变化。此外，州和地方当局也越来越多地通过了应对气候变化的立法。

For more information on recent US climate change policies, see:
有关最近美国气候变化政策的更多信息，请参见：

Practice Note, Biden Administration Energy and Climate Change Policies and Regulations: 2024 Tracker.
实务说明，拜登政府能源和气候变化政策与法规：2024 年追踪器。
Article, Biden Administration Energy and Climate Change Policies and Regulations: 2023 Tracker.
文章：拜登政府能源和气候变化政策与法规：2023 年追踪器。
Practice Note, Recent Developments in Building Emissions and Energy Efficiency Laws (Commercial Real Estate) (Select States and Cities).
实务说明：建筑排放和能源效率法律的最新发展（商业房地产）（特定州和城市）。
Climate Change Laws and Legal Updates Toolkit (Commercial Real Estate).
气候变化法律和法律更新工具包（商业房地产）。

End of Document 文件结束

Resource ID 2-500-4092Document Type Practice note: overview
资源编号 2-500-4092 文件类型实践说明：概述

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PLC 美国公司与并购，PLC 美国公司与证券，PLC 美国金融，PLC 美国金融服务，PLC 美国法务部，PLC 美国房地产

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This resource is periodically updated for necessary changes due to legal, market, or practice developments. Significant developments affecting this resource will be described below.
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