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Common (and not so common) Legal and Technical Issues Involving the Transfer Act

Environmental Professionals' Organization of Connecticut

November 1, 2018
1:00 PM - 5:00 PM EDT

Speakers: Aaron D. Levy, Andrew N. Davis

November 1, 2018
1:00 PM - 5:00 PM EDT

Shipman & Goodwin 
Hartford Office
One Constitution Plaza
Hartford, CT
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Initially adopted in 1985, the Connecticut Transfer Act continues to have significant implications for real estate and business transactions throughout the state. As a result, clients are best served when their Licensed Environmental Processionals (LEPs) and environmental attorneys are engaged to work together before, during, and after a transaction to help them navigate the overlapping legal and technical aspects of Transfer Act compliance. Accordingly, understanding: (1) the sources of information upon which an LEP needs to rely on to provide its opinion regarding whether the site or business is an “establishment” per the Transfer Act; (2) the legal triggers for what constitutes a “transfer” for purposes of Transfer Act applicability; and (3) the risks and liabilities associated with Transfer Act compliance are critical for effectively advising clients about the Transfer Act and its implications. This 4-hour seminar will include a discussion of key technical and legal aspects of the Transfer Act, including how to determine whether a business or property meets the definition of an “establishment,” whether the Transfer Act applies to a given transaction (and, if it does, what forms to file and why), and potential liability for the “Certifying Parties.” This seminar also will address implications of the Transfer Act on a business transaction by providing a brief technical and legal overview of the Remediation Standard Regulations governing site investigations and remediation of “establishments,” practical considerations related to engineering and institutional controls (e.g., Environmental Land Use Restrictions, or “ELURs”), and options for achieving “no further action” (i.e., Verification (LEP)/Certification (DEEP)). Unlike the 2-hour seminar presented in May 2017 entitled “What LEPs Should Know About the Transfer Act,” this 4-hour program will provide more nuanced discussion regarding many of the common (and not-so-common) technical and legal issues that arise when advising clients on issues related to the Transfer Act.


  • Aaron Levy, Shipman & Goodwin LLP
  • Andrew Davis, PhD., Shipman & Goodwin LLP
  • Gordon Binkhorst, PhD., ALTA Environmental Corporation
  • Adam Henry, GZA GeoEnvironmental, Inc.

Continuing Education Credits (see note regarding earlier version of this class):

This program has been approved by the CT Board of Examiners of Environmental Professionals (LEP Board) for 4.0 CECs (Course # CTLEP-438(r)).

NOTE: This course is a revised and expanded version of initial program entitled "What LEPs Should Know About the Transfer Act" (CTLEP-438) offered on 5/4/17. If you took that class and claimed it for credit for the last LEP license renewal period, you cannot obtain any CECs for this class.

Program Agenda/Topics:

a. The Transfer Act - A Brief History: How did we get here?

b. Applicability: A coordinated technical and legal analysis

i. What is (and what is not) an “establishment” and who decides?
ii. Review of primary information sources relied on by LEPs
ii. When is a transfer of an establishment not a “transfer of establishment”?

c. Implications

i. Forms I, II, III and IV and the Environmental Condition Assessment Form (ECAF)
ii. Legal overview of the Remediation Standard Regulations (RSRs) (RCSA §§ 22a-133k-1 through 3) and APS
iii. Legal aspects and considerations related to Environmental Land Use Restrictions (ELURs) (CGS §§ 22a-133o through 133s)
iv. Verifications: Full, Portion, Interim
v. DEEP audits and practical considerations

d. Other Issues to Consider

i Implications of seller vs. buyer as Certifying Party
ii. Certifying Party - Joint and several liability until the site is verified?
iii. “Stacked forms” (e.g., transfer of a site after a Form III but prior to verification)
iv. New releases by non-certifying party

e. Final Summary, Questions & Answers

Please join us for a post-program reception including appetizers, wine and beer.


  • 1 - EPOC Members – $150.00
  • 2 - Non-members – $200.00
  • 3 - Gov't Employees/Students – $75.00
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