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Compliance Audits, Recordkeeping, and Self-Audit
Programs
Most regulatory agencies have adopted a policy to support
companies, which audit their own facilities to correct any regulatory
violations in a timely manner. Depending on the circumstances of
the case, penalties sought for a violation discovered through self-auditing
and promptly reported to the District are significantly reduced
or when appropriate, waived in order to encourage all facilities
to implement an effective self-auditing program.
To determine whether a company is eligible for a reduced
or waived penalty, the regulatory agencies use the following criteria:
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The violation must be discovered by the facility
without any participation by the regulatory agency
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The violation must be reported voluntarily
by the facility, i.e. without any requirement to do so by
law, regulation, permit or agreement
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The violation must be reported promptly by
the facility to the appropriate agency as soon as possible
after discovery
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The violation must be corrected promptly and
effectively by the facility to reduce or eliminate all emissions
and to prevent recurrence of the violation
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AQMS recommends preparation of an Air Audit Compliance
Plan to provide a structured approach for achieving short and long-term
objectives for air compliance and pollution prevention. This includes
an assessment of current program operation through an internal “self-audit”
to establish facility’s level of compliance and non-compliance.
The assessment includes any issues or problems relating to establishing
full compliance (if areas of noncompliance exist) and maintaining
compliance in the future. Environmental managers can use the “self
audit” program to define for senior management, customers,
regulators, and the general public their proactive approach toward
environmental compliance and pollution prevention. The compliance
plan also supports program budgeting activities necessary to address
existing requirements, evaluate the impact of anticipated regulations,
and fund additional initiatives that will provide long-term benefits
to the organization.
< Back to EMS
and Compliance Audits
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