DEEP is excited to be getting back to our new normal consistent with the direction of Governor Lamont and as a result of the rapidly improving COVID-19 situation in Connecticut. Starting no later than June 1, all customer facing services will resume normal business operations. For detailed information for what this means at DEEP and for the public we serve, visit our "New Normal" website: DEEP New Normal Information

LEP Verification Audit Program
An Environmental Program Fact Sheet

Program Overview 

The Verification Audit Program is an evaluation process in which DEEP reviews verifications rendered by licensed environmental professionals (LEPs) to confirm that investigations have been conducted in accordance with prevailing standards and guidelines and that remediation has been completed in accordance with the Remediation Standard Regulations (RSRs).

Authorizing Statute:  Section 22a-133v(g) of the Connecticut General Statutes (CGS)

Verification

A verification is any written opinion the LEP is authorized by law to render pursuant to Sections 22a-133o, 22a-133x, 22a-133y, 22a-134a, and 32-769 of the CGS; Sections 22a-133k-1 through 22a-133k-3, inclusive, and 22a-133q of the RCSA; or any other law, regulation, order, permit, license or approval.  It includes both the Verification Form and any Verification Report or Final Remedial Action Report included with the form as supporting documentation.

After a verification is received it will be subject to one or more screening/review processes:
  • Administrative Screening (all verifications)
  • Technical Screening (select verifications)
  • Audit (based on technical screening)

Administrative Screening

DEEP screens all verifications that are submitted to ensure the verification is complete and supported with all required documentation. If the verification is determined to be incomplete, the verification will be administratively rejected.

Administrative Rejection [Stamped copy of Verification Form]: Applicable parties are emailed the following administrative rejection package:

Additional information regarding incomplete verifications, including historical rejection frequency, can be found at Administrative Rejection of Incomplete Verifications

Technical Screening

If the verification is determined to be administratively complete, various levels of technical screening may be performed for technical merit and RSR application.  If such screening finds that the verification is technically complete, the verification may be accepted, which completes the verification process. If technical concerns are identified during this screening process, the verification may be recommended for an audit.  DEEP selects verifications for audit based on:

  • incomplete documentation of the work performed by the LEP,
  • data gaps that appear to be significant in the investigation and/or remediation of the subject property,
  • apparent misapplication of RSR provisions,
  • the verification history of the LEP,
  • the environmental history of the property,
  • random for quality control, and
  • the discretion of the Commissioner.

Audit Procedures

When a verification is selected for an audit, a Notice of Audit (NOA) is issued to the LEP rendering the verification and to the Certifying Party, Responsible Party, or property owner, as applicable.  The LEP may be offered an opportunity to submit additional information supporting the verification and/or an audit meeting may be convened to discuss the issues identified by DEEP and to provide an opportunity for the LEP to support his/her rationale for the verification.  DEEP will consider all information presented by the LEP in support of his/her verification.  DEEP will notify all applicable parties on the final determination of the adequacy of the verification and close the audit.

Audit-related Correspondence

Any of the following correspondence may be sent to the Certifying Party, Responsible Party, or property owner and the LEP:
Notice of No Audit [Stamped copy of Verification Form]: Sent when the Commissioner does not intend to audit the verification rendered by the LEP.  The first and last page of the Verification Form is emailed to the applicable parties with the first page stamped “No Audit” and initialed and dated by DEEP.
Letter of Rejection:  Sent when the Commissioner determines the data presented to support the verification clearly indicate that compliance with the RSRs has not been achieved or demonstrated.   The Letter of Rejection will detail the reason(s) for rejection and the continued legal obligations of the Certifying Party, Responsible Party, or property owner, as applicable.  An audit meeting is not convened.   
Notice of Audit (NOA):  Sent when the Commissioner determines an audit of the verification is warranted.  The NOA will identify the apparent issues that necessitated the audit. 
 

Conclusion of Audit

Audited & Accepted [Stamped copy of Verification Form]: Sent when the Commissioner determines the verification had been validated during the audit. The first and last page of the Verification Form with the first page stamped "Audited and Accepted" is emailed to the applicable parties and initialed and dated by the Assistant Director of the Remediation Division.  The audit is closed and no further actions regarding the verification and audit proceedings are required.
Audit Findings:  Sent to the applicable parties when the Commissioner determines the verification is insufficient and thereby rejected.  The Audit Findings presents the setting for the verification, describes the audit process, itemizes the outstanding issues and deficiencies of the verification, and details the resultant legal obligations of the applicable parties for the investigation and remediation of the parcel, establishment, or release area, as applicable.  The audit is closed.
  • If the rejected verification was submitted pursuant to a Form III as defined in CGS Section 22a-134, the Certifying Party will be required to submit a revised schedule to complete investigation and/or remediation of the establishment and to submit a verification of compliance with the RSRs.
  • If the rejected verification supported the filing of a Form I, Form II, or Form IV as defined in CGS 22a-134, said filing is considered invalid and the Certifying Party must re-file a Form III, Environmental Condition Assessment Form, and filing fee.

Audit Timeline

In accordance with CGS section 22a-134a(g)(3)(A) the Commissioner shall complete an audit of a final site closure verification within 3 years of receipt of the final verification unless certain exceptions listed in the statute are met.  Generally, these exceptions are if the Commissioner has reason to believe: 
  • the verification was obtained through the submittal of inaccurate, erroneous, or otherwise misleading information or misrepresentations substantive to the verification; 
  • post-verification monitoring or operations and maintenance required as part of a verification has not been conducted;
  • the verification relies upon an environmental land use restriction (ELUR) that was not properly recorded on the land records;
  • there has been a violation of CGS sections 22a-134 to 22a-134e; and/or
  • the remediation may have failed to prevent a substantial threat to public health or the environment.
Audit Timelines Under Other Programs
CGS 22a-133y - For verifications submitted pursuant to CGS Section 22a-133y (one of the Voluntary Remediation Programs), the Commissioner must notify the property owner within 60 days of receipt of the Final Remediation Report if an audit is being conducted. The audit must be conducted within 6 months of that notice.
 
CGS 32-769 - For verifications submitted pursuant to CGS Section 32-769 (Brownfield Remediation and Revitalization Program), a verification is deemed approved unless a Notice of Audit is sent within 60 days of receipt.
 
CGS 22a-133x - There are no audit deadlines for verifications submitted pursuant to CGS Section 22a-133x (one of the Voluntary Remediation Programs).
 

Contact Information

REMEDIATION DIVISION
BUREAU OF WATER PROTECTION AND LAND REUSE
DEPARTMENT OF ENERGY & ENVIRONMENTAL PROTECTION
79 ELM STREET, SECOND FLOOR
HARTFORD, CT  06106-5127


This overview is designed to answer general questions and provide basic information. You should refer to the appropriate statutes for the specific language. It is your responsibility to comply with all applicable laws. The information contained in this fact sheet is intended only to acquaint you with the verification audit program and does not constitute the Department’s interpretation of the applicable laws.
DEP-LEP-FS-200

LEP Program

Content Last Updated May 19, 2021