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Auditing Publications
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General Information
- Evaluation of EPA's Audit Policy (PDF) (Federal
Register, May 17, 1999) (12 pp, 152.4K)
This document responds to the most significant comments submitted on EPA's preliminary evaluation of and proposed changes to its Audit Policy issued on December 22, 1995 (60 FR 66,706). The Audit Policy provides incentives in the form of penalty waivers and reductions for regulated entities that voluntarily discover, promptly disclose and expeditiously correct violations of Federal environmental requirements.
Sample documents for use in self-disclosing environmental violations under EPA's Audit Policy
- Sample Status Report (PDF) (5 pp,
101.8K)
Some companies have used this report to provide information to EPA during the course of conducting an audit. The initial report, and subsequent periodic progress reports, have helped identify issues early in the auditing process and assisted in the overall progress of the audit. - Sample Disclosure Follow-up Letter (PDF)
(5 pp, 105.2K)
This is an example of what the Agency sends a company after receiving a self disclosure pursuant to EPA's Audit Policy. The letter provides companies with clear guidance on the kind of information needed by EPA to better understand the potential violations and determine whether a company's disclosure meets the conditions of the Audit Policy.
Audit Policy User's Survey (November 13, 1998)
EPA contracted with Science Applications International Corporation (SAIC)
to conduct a voluntary and confidential survey of companies that have disclosed
environmental violations under the EPA Audit Policy. The intent of the survey
was to aide EPA to better serve the regulated community and to help EPA
evaluate and improve the Audit Policy.
- Audit Policy Survey Invitation and Form (PDF) (9 pp, 286.4K)
- Audit Policy Survey Results (29 pp, 605.4K)