1. (a) Audit of Release Records (1) The commissioner may conduct an audit of any release record verified by an LEP or certified by a PEP to determine compliance with Chapter 445b of the Connecticut General Statutes and the RBCRs. Such audit may be a screening audit, a focused audit, or a full audit. For the purposes of this section, a release record shall be in compliance if it satisfies each relevant requirement of chapter 445b of the Connecticut General Statutes and the RBCRs. If no audit is conducted, no notification shall be required.

   1. (2) For the purposes of this section:

      1. (A) “Screening audit” means the administrative review of records by the commissioner in the manner specified by subsection (b) of this section;
      2. (B) “Focused audit” means the review of one release record by the commissioner, including requesting additional supporting information regarding the remediation of a release in the manner specified by subsection (c) of this section; and(C) “Full audit” means the thorough review of many or all release records associated with a release initiated after submission of a release remediation closure report, including requesting additional supporting information regarding the remediation of a release in the manner specified by subsection (d) of this section.
   2. (3) The commissioner may audit a release record that is not otherwise required to be submitted to the department, provided the commissioner requests such release record be submitted. For the purposes of calculating applicable deadlines for the audit of such a release record pursuant to subsections (b), (c), or (d) of this section, any deadline shall be calculated from the day such release record is verified by an LEP or certified by a PEP.

2. (b) Screening Audit (1) The commissioner may conduct a screening audit of any release record verified by an LEP or certified by a PEP. Except as provided in this subsection, a screening audit shall result in an outcome specified by subparagraph (B) of this subdivision not more than 180 days after submission of a release record. A screening audit:

   1. (A) May be commenced and conducted without notice to the person who verified or certified the release record or the person who created or maintained the release that is the subject of such release record, provided the commissioner may, in their sole discretion, notify any such person at any time;
   2. (B) May review and assess a release record in its entirety, or any part thereof, to determine compliance and may result in one of the following outcomes:

3. (i) Acceptance of the release record;

   1. (ii) Rejection of the release record, if the commissioner determines the release record is not in compliance; or(iii) If additional information is necessary to determine whether the release record is in compliance, commencement of a focused audit or full audit, pursuant to subsections (c) and (d) of this section.

   2. (2) If the commissioner determines a release record is not in compliance, the commissioner shall:

      1. (A) Reject the release record, and shall notify the person who verified or certified the release record and the person who created or maintained the release in writing;
      2. (B) Retain any fee associated with the release record; and(C) Require submission of a new release record that is in compliance, and may set a deadline for the submission of such record, provided that any deadline set pursuant to this subparagraph shall not extend the deadline for any fee associated with the release.
   3. (3) If additional information is required to determine whether a release record is in compliance, the commissioner shall notify the person who verified or certified the release record and the person who created or maintained the release in writing and shall commence a focused audit or full audit. A notice of audit, sent pursuant to this section, shall satisfy the requirements of this subdivision.

4. (c) Focused Audit (1) The commissioner may conduct a focused audit of any release record. Except as provided in this subsection, a notice of audit commencing a focused audit shall be sent not more than 180 days after submission of a release record, and such focused audit shall result in an outcome specified by subparagraph (D) of this subdivision not more than 18 months after submission of such release record. A focused audit may be commenced without conducting a screening audit. A focused audit:

   1. (A) Shall be commenced by providing a notice of audit to the person who verified or certified the release record and the person who created or maintained the release that is the subject of such record. Such notice shall:

5. (i) State the reason for such focused audit, which may include but need not be limited to, an issue identified during a screening audit or the random selection of a release record; and(ii) Specify additional information necessary for the commissioner to determine if the release record is in compliance, and the date by which such information shall be submitted;

   1. (B) May evaluate a release record in its entirety, may be limited only to specific issues identified in a screening audit, or may be limited to specific issues selected by the commissioner in their sole discretion for random audits;
   2. (C) May require additional information, which may include, but need not be limited to, responses to technical questions on the approach used to remediate the release, the commissioner shall request such information in writing, and specify a deadline for the submission of such information. If the requested information is not provided in the time required, the commissioner may determine the release record is not in compliance and reject the release record.
   3. (D) Shall result in one of the following outcomes:

6. (i) Acceptance of the release record, and notification, in writing, to the person who verified or certified the release record and the person who created or maintained the release;

   1. (ii) Rejection of the release record; or(iii) Commencement of a full audit conducted pursuant to subsection (d) of this section, if a release remediation closure report has been submitted for such release.

   2. (2) If the commissioner determines a release record is not in compliance, the commissioner:

      1. (A) Shall reject the release record, and shall notify the person who verified or certified the release record and the person who created or maintained the release in writing of the reasons for such rejection;
      2. (B) Shall retain any fee associated with the release record;
      3. (C) Shall require submission of a new release record that is in compliance, and may set a deadline for the submission of such record, provided that any deadline set pursuant to this subparagraph shall not extend the deadline for any fee associated with the release; and(D) May, in addition to rejecting the release record pursuant to this subdivision, commence a full audit of each release record associated with the release by providing a notice of audit pursuant to subsection (d) of this section.

7. (d) Full Audit (1) Not more than 180 days following the submission of a release remediation closure report, or, if a focused audit has been initiated pursuant to subsection (c)(1)(A) of this section, at any time before such focused audit reaches an outcome specified in subsection (c)(1)(D) of this section, the commissioner may commence a full audit of the remediation of such release by providing a written notice of audit. A full audit shall result in an outcome specified by subparagraph (D) of this section not more than 2 years after submission of a release remediation closure report. A full audit may be commenced without conducting a screening audit or focused audit. A full audit:

   1. (A) Shall be commenced by providing a notice of audit to the person who verified or certified the release remediation closure report and the person who created or maintained the release that is the subject of such release remediation closure report. Such notice shall:

8. (i) State the reason for the full audit, which may include but shall not be limited to, an issue identified during a screening audit, focused audit, or the random selection of a release record; and(ii) Specify additional information necessary to determine if each record associated with the release is in compliance and the date by which such information shall be submitted;

   1. (B) May evaluate a release record in its entirety, may be limited only to specific issues identified in a screening audit, or may be limited to specific issues selected by the commissioner in their sole discretion for random audits;
   2. (C) May require additional information, which may include, but need not be limited to, responses to technical questions on the approach to remediation of the release, the commissioner shall request such information in writing, and specify a deadline for the submission of such information. If the requested information is not provided in the time required, the commissioner may determine that the remediation is not in compliance and reject one or more release records associated with such release.
   3. (D) (i) Shall result in one of the following outcomes:

   4. (I) Acceptance of the release remediation closure report, and notification, in writing, to the person who verified or certified the release record and the person who created or maintained the release; or(II) Rejection of one or more release records associated with the release.

      1. (ii) If the commissioner rejects one or more release records regarding the remediation of the release, the commissioner shall specify the reasons for such rejection in writing and shall retain any fee associated with such release record. Upon rejection of any release record associated with a release, a new release remediation closure report shall be required to be submitted, in addition to the submission of any other record rejected by the commissioner. The commissioner may specify a timeline for the submission of additional release records and supporting information, including a new release remediation closure report. All provisions of the RBCRs shall remain in full force and effect until such time as all required release records regarding the remediation of such release, including a new release remediation closure report, have been accepted by the commissioner.

9. (e) No Audit Letters and Audit Determinations (1) No Audit Letters (A) Any person who submits a release remediation closure report may request that the commissioner issue a letter indicating that such release remediation closure report will not be subject to a focused or full audit if the commissioner determines that no such audit is necessary.

   1. (B) A request for a letter pursuant to subparagraph (A) of this subdivision shall be made in writing, on a form prescribed by the commissioner. Any such request shall be accompanied by a non-refundable fee of 500 dollars, payable in a manner prescribed by the commissioner.
   2. (C) The commissioner may determine that a focused or full audit of a release remediation closure report will not be conducted after conducting a screening audit or without conducting a screening audit. If a no audit letter is issued pursuant to subparagraph (A) of this subdivision without conducting a screening audit, no screening audit may be conducted after such letter is issued.
   3. (D) If a no audit letter is requested pursuant to this subdivision, the commissioner shall have a goal of determining whether to conduct a focused or full audit of the subject release remediation closure report not more than 90 days after the request is submitted. The commissioner shall report on the rate at which this goal is achieved in any report prepared pursuant to section 22a-134uu of the Connecticut General Statutes.

   4. (2) Audit Determinations for Real Estate Transactions Involving Single Family Homes Notwithstanding the requirements of this section, if a person submitting a release record to the commissioner indicates that remediation has been conducted and the release record has been prepared for the purposes of facilitating the purchase or sale of a single family home that is subject to a signed purchase and sale agreement, the commissioner shall:

      1. (A) Not more than 3 business days after submission of such release record, determine whether to audit such release record and notify the person submitting a release record of such determination in writing; and(B) If the commissioner determines to audit such a release record, reach an audit outcome specified by section 22a-134tt-13(c)(1)(D) or 22a-134tt-13(d)(1)(D)(i) of the RBCRs not more than 14 days following the submission of the release record or such release record will be considered to have been accepted.

10. (f) Reopened Verifications and Certifications (1) Notwithstanding any provision of this section, at any time following the submission of a release record verified by an LEP or certified by a PEP, the commissioner may commence a focused or full audit when:

    1. (A) The commissioner has reason to believe that a verification or certification was obtained through the submittal of materially inaccurate or erroneous information, or otherwise misleading information material to the verification, or that misrepresentations were made in connection with the submittal of the verification;
    2. (B) A verification is submitted pursuant to an order of the commissioner, in accordance with section 22a-134ss of the Connecticut General Statutes;
    3. (C) Any post-verification monitoring, or operations and maintenance, is required as part of a verification and which has not been completed;
    4. (D) A verification relies upon an environmental land use restriction, and such environmental land use restriction was not recorded on the land records of the municipality in which such land is located, in accordance with section 22a-133o of the Connecticut General Statutes and applicable regulations;
    5. (E) The commissioner determines that there has been a violation of the provisions of sections 22a-134qq to 22a-134tt, inclusive, of the Connecticut General Statutes; or(F) The commissioner determines that information exists indicating that the remediation may have failed to prevent a substantial threat to public health or the environment.
    6. (2) Such focused audit or full audit shall be commenced by providing the notice specified in subsection (c)(1)(A) or (d)(1)(A) of this section, which shall also include a statement of the reasons for reopening such verification or certification. A focused or full audit conducted pursuant to this subsection shall follow the procedures set out in subsections (c) and (d) of this section, except that such audit shall not be required to reach an outcome in the time specified in subsections (c)(1)(D) and (d)(1)(D)(i) of this section.
11. (g) Verification Necessary After Rejection If a release remediation closure report certified by a PEP is rejected, the commissioner may determine whether such release remains eligible for certification by a PEP.

12. (h) Frequency of Audits (1) The commissioner shall have a goal of conducting an audit of:

    1. (A) 10 percent of the releases assigned to tier 1A at the time that such release was initially assigned to a tier;
    2. (B) 20 percent of the releases assigned to tier 1B at the time that such release was initially assigned to a tier;
    3. (C) 10 percent of the releases assigned to tier 2 at the time that such release was initially assigned to a tier; and(D) 5 percent of the releases assigned to tier 3 at the time that such release was initially assigned to a tier.

    4. (2) For the purposes of subdivision (1) of this subsection, such audit:

       1. (A) Shall be conducted using the procedures specified in this section;
       2. (B) May be a full audit of all release records associated with such release or a screening or focused audit of one or more release records associated with such release; and(C) May be conducted after the submission of a release remediation closure report, or may be conducted at any time following the submission of a certified or verified release record regarding such release.

(Effective March 1, 2026)