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ASTM PS11

1995 Edition, September 10, 1995

Complete Document

Provisional Standard Practice for Environmental Regulatory Compliance Audits



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Product Details:

  • Revision: 1995 Edition, September 10, 1995
  • Published Date: September 10, 1995
  • Status: Not Active, See comments below
  • Document Language: English
  • Published By: ASTM International (ASTM)
  • Page Count: 18
  • ANSI Approved: No
  • DoD Adopted: No

Description / Abstract:



1. Scope

1.1 Purpose--This provisional practice covers a reference to which consultants; industry; local, state, and federal agencies; judicial systems; and other interested parties may consult for definition and description of accepted practices, procedures, and policies associated with Environmental Regulatory Compliance Audits (audits). As such, this provisional practice is intended to satisfy the generally accepted expectations of all parties interested in audits.

1.2 Objectives--The objectives of this practice are to document minimum requirements for audits, ensure that the audit is practical and reasonable, identify some of the legal issues that are associated with audits, explain how Environmental Regulatory Compliance Audits are different from other types of activities called environmental audits and assessments, and present minimum criteria for auditor qualifications.

1.3 Focus:

1.3.1 The use of this provisional practice is strictly limited to the scope set forth in this section. There may be valid reasons for deviation from this scope in unique situations or situations that are not normally encountered, however, deviations from this provisional practice should be documented in Audit and Protocol Reports that cite this provisional practice as the basis of the audit.

1.3.2 This provisional practice focuses on evaluating the degree of conformity with environmental laws, regulations, standards, or policies, or combination thereof, that have been established by a regulating body. Users of this provisional practice should recognize that audits generally require both legal and technical judgments. This provisional practice is directed primarily at the technical part of auditing.

1.3.3 This provisional practice does not address action plans to resolve audit findings.

1.3.4 Nonscope issues may be included in an audit as clearly identified supplements. These supplements, if included, should be clearly described in a modified audit scope and agreed upon by all relevant parties prior to conducting the audit. To avoid confusion, issues related to audit scope supplements found during an audit should not be reported as audit findings, unless agreed upon by all parties conducting the audit. The evaluation of compliance with voluntary standards, policies, and documents related to best environmental practices may be included as supplements to the audit scope.

1.4 Organization of This Provisional Practice:

1.4.1 This provisional practice is organized in the following manner:

1.4.2 An appendix, discussing legal considerations, provides information on some legal issues associated with an audit. Both the user and producer should be aware of these legal considerations. For example, to the extent that a user is concerned about maximizing the confidentiality of the audit, the user should be aware of the specific process that needs to be followed to do so. Similarly, the producer needs to be cautious not to render improper legal judgments.

1.5 Provisional standards achieve limited consensus through approval of the sponsoring subcommittee.

1.6 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety and health practices and determine the applicability of regulatory limitations prior to use.