Environmental Compliance Auditing Flashcards

Under EPA's Audit Policy (Incentives for Self-Policing), within how many days of discovery must a violation generally be disclosed in writing to EPA?

Answer: 21 days

The Audit Policy requires written disclosure within 21 days of discovering that a violation has, or may have, occurred.

Which penalty component does EPA typically still collect even when a facility meets all Audit Policy conditions?

Answer: Economic benefit of noncompliance

EPA keeps the right to recover any significant economic benefit so violators do not profit from noncompliance.

A facility meets every Audit Policy condition except that the violation was not found through systematic discovery. What gravity-based penalty reduction may it receive?

Answer: 75%

Without systematic discovery, EPA reduces gravity-based penalties by 75% if all other conditions are met.

Which international standard gives guidelines for auditing management systems, including environmental management systems?

Answer: ISO 19011

ISO 19011 provides guidance on audit principles, managing audit programs, and conducting management system audits.

During an audit, an employee says waste drums are inspected weekly, but no inspection logs exist. How should the auditor treat this?

Answer: Record it as a finding because the claim cannot be verified with objective evidence

Audit findings rely on verifiable objective evidence, and a missing required record is itself a compliance gap.

What is the main purpose of an audit closing meeting?

Answer: To present preliminary findings to management and clear up any misunderstandings

The closing meeting presents findings and conclusions so the auditee understands them before the final report.

Which ISO 14001:2015 clause requires an organization to conduct internal audits at planned intervals?

Answer: Clause 9.2

Clause 9.2 sets the internal audit requirements within the Performance Evaluation section.