Program Level 2 and 3 compliance audits
Facilities with Program Level 2 and 3 processes must perform compliance audits at least once every three years (40 CFR §§68.58 and 68.79). How does a facility submit its compliance audit to EPA?
Facilities are not required to submit three year compliance audits to EPA; however, facilities should maintain records of the audit on site, and may be required to provide the audit record to an implementing agency official in conjunction with a facility inspection. The compliance audit should consist of at least one person knowledgeable in the applicable processes verifying that the procedures and practices under the risk management program are adequate and being followed. Additionally, the owner or operator should determine and document an appropriate response to each of the findings of the audit and document deficiencies that have been corrected. The two most recent audit reports should be retained on site, unless one is more than five years old (40 CFR §§68.58 and 68.79).
A sample checklist that can be used to conduct a compliance audit and record any findings or comments is available on page 6-25 of the General Guidance on Risk Management Programs for Chemical Accident Prevention (40 CFR Part 68) (EPA550-B-04-001).
Although a facility is not required to submit documentation to EPA for simply conducting a compliance audit, a facility may trigger the requirements to resubmit or correct its risk management plan (RMP) if an action taken to address an audit deficiency is listed in §§68.190 or 68.195, respectively.