DEEP: LEP Verification Audit Program Fact Sheet

LEP Verification Audit Program
An Environmental Program Fact Sheet

NOTE: This fact sheet provides a brief overview of the program established to audit verifications rendered by Licensed Environmental Professionals.

Program Overview

The verification audit program provides an evaluation process in which the Department reviews verifications rendered by a licensed environmental professional (LEP) to confirm that an investigation has been conducted in accordance with prevailing standards and guidelines and that remediation has been completed in accordance with the Remediation Standard Regulations (RSRs), Section 22a-133k-1 through -3 of the Regulations of Connecticut State Agencies (RCSA).

Authorizing Statute

Pursuant to Section 22a-133v(g) of the Connecticut General Statutes (CGS), the Commissioner may conduct audits of any actions authorized by law to be performed by an LEP.

Verification

Means verification as defined in Section 22a-134 of the CGS or any written opinion which the LEP is authorized by law to render (i) regarding an investigation, remediation, Environmental Land Use Restriction, or (ii) pursuant to Sections 22a-133o, 22a-133x, 22a-133y, and 22a-134a of the CGS; Sections 22a-133k-1 through 22a-133k-3, inclusive, and 22a-133q-1 of the RCSA; or any other law, regulation, order, permit, license or approval.

Audit Selection

Upon receipt of a verification, the Department conducts an initial review to ensure the verification is supported with proper documentation. The Department selects verifications for audit based on incomplete documentation of the work performed by the LEP; apparent data gaps in the investigation and/or remediation of the subject property; apparent misapplication of self-implementing site-specific alternative criteria as provided in the RSRs; the audit history of the LEP; at random for quality control; and at the discretion of the Commissioner.

Audit Timeline

Pursuant to CGS section 22a-134a(g)(3)(A), the Commissioner shall not conduct an audit of a final verification of an entire establishment after 3 years of receipt of the final verification.

In accordance with section 22a-133y, the Commissioner must notify the property owner within 60 days of her receipt of the Final Remediation Report if an audit of the remediation is being conducted. The audit must be conducted within 6 months of notice.

Pursuant to Section 1(f) of Public Act 06-184 (An Act Concerning Brownfields), the Commissioner must indicate acceptance of a verification within 90 days of receipt at certain state-funded Brownfield sites.

Auditing Procedures

When a verification has been selected for an audit, a Notice of Audit (NOA) will be issued to the LEP rendering the verification and the Certifying Party, responsible party, or property owner, as applicable. A meeting will be scheduled to discuss the issues identified by the Department and to provide a venue for the LEP to justify his/her rationale for the verification. Additional information in support of the verification may be presented at this time.

The Department will consider all information presented by the LEP in support of his/her verification and draft an Audit Report.

Notifications

Letter of No Audit: The applicable certifying party, responsible party, or property owner and the LEP may be notified that the Commissioner does not intend to audit the verification rendered by the LEP. This type of notification will only be applicable for site/establishment closure verifications.

Notice of Audit (NOA): The applicable certifying party, responsible party, or property owner and the LEP may be notified that the Commissioner is auditing the verification rendered by the LEP. The NOA will include the apparent issues which necessitated the audit.

Audit Findings: The Commissioner will issue a letter with the results of the audit to the LEP and applicable parties.

Audit Report: A report prepared by the Department which details the outstanding issues related to the LEP's verification. The Audit Report will be attached to the Audit Findings letter.

Termination of Audit

The audit process is terminated upon issuance of the Audit Findings. If the verification is determined to be appropriate, no further actions are required by the LEP or the applicable certifying party, responsible party, or property owner. If the verification is determined to be unacceptable, the applicable certifying party, responsible party, or property owner will be advised of their continuing legal responsibilities for investigation and remediation of the parcel, establishment, or release area.

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

860-424-3705

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 Departmentís interpretation of the applicable laws.
DEP-LEP-FS-200

LEP Program  | Remediation Programs and Information


Content Last Updated January 2008