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Environmental Regulatory Compliance Audits

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About the Course

Though the scope of corporate or facility environmental management has blossomed to include management systems, sustainability, greening, and more, environmental regulatory compliance remains a top concern of managers and executives. One reason is that unlike most other environmental programs, stiff financial fines and penalties are a real consequence of noncompliance. There are other important reasons such as:

  1. The need to ensure compliance to meet the requirements of approved environmental management systems (EMS) and;
  2. Widespread recognition that maintaining environmental compliance is often considered the minimum standard of care for responsible managers. Finally, publicly visible noncompliance may result in damaging negative publicity.

There is a reborn and growing recognition that environmental regulatory compliance is an essential and unavoidable step to higher levels of responsible environmental program management. Compliance, as a corporate or organizational goal, cannot be avoided or minimized.

As the first voluntary consensus standard on environmental auditing in the US (United States), many private and government organizations, including USEPA, have relied on ASTM E2107, Standard Practice for Environmental Regulatory Compliance Audits, as an invaluable resource for understanding accepted practices in environmental regulatory compliance audits.

E2107 is the only voluntary consensus audit standard based on current US practices, that accommodates unique nuances of US legal issues and federal and state policies, specifically highlights the role of legal counsel, and deals with regulatory compliance as a focus. This seminar is your opportunity to receive a detailed explanation of this unique and valuable reference document.

After attending this seminar, you will understand this standard's value to you. The standard can be useful for consistently specifying work for internal or external auditors, scoping contracts, and negotiating agreements with regulatory agencies. Just having agreement on the standard use of terms such as audit, auditor, audited entity, and auditing entity as defined by the document will make the seminar a worthwhile experience.

Who Should Attend
  • Environmental management professionals and compliance officers 
  • Attorneys advising on or addressing compliance matters 
  • Environmental agency representatives 
  • Health and safety specialists 
  • Anyone responsible for environmental compliance auditing and environmental management 
  • Anyone interested in conducting an internal audit or hiring a professional to conduct an external audit regardless of experience level 

Note: This is not a seminar on how to conduct environmental audits or environmental site assessments. While anyone is welcome to attend, it is assumed that people attending the seminar will have some experience with environmental compliance programs and auditing.

Course Description

Purpose of the Standard

  • Awareness of benefits and risks associated with audits 
  • Awareness of legal issues 

Terminology/definitions of terms specific to this standard

Significance and Use of the Standard

  • Intended use 
  • Other audit criteria 
  • Related ASTM standards 
  • Related ISO guidelines 
  • Additional services 
  • Conditions 


  • Audit authority 
  • Lead auditor 
  • Auditor 
  • Audited entity 
  • Auditing entity 

Auditor Qualifications and Staffing

  • Competence 
  • Objectivity 
  • Independence 
  • Audit team staffing 

The Audit Process

  • Pre-visit activities 
  • Site-visit activities 
  • Post-visit activities 

Audit Record Management and Audit Report Preparation

  • Record keeping 
  • Working papers 
  • Audit report 

Wrap Up

Why ASTM Standard Practice E2107 Is Important

This is the only voluntary consensus audit standard that:

  • It is based upon US practices. 
  • Accounts for the unique nuances of U.S (United States). legal issues and Federal (i.e., EPA) and state policies. 
  • Highlights the role of legal counsel. 
  • Addresses regulatory compliance as a focus. 
  • It was designed for all potential users. Small business, large business, and government agencies will find it useful. 

Frank J. Priznar is President of PRIZIM Inc. in Gaithersburg, Maryland. Widely recognized as an experienced environmental management consultant, he leads ASTM activities in environmental auditing and management systems. Through PRIZIM Inc., Mr. Priznar offers a broad spectrum of technical and management services to organizations seeking ways to improve their environmental, health, and safety programs. Mr. Priznar has conducted or participated in hundreds of environmental audits since 1981. 


Lennart A. Sundquist, formerly a Senior Environmental Analyst at the Baltimore Gas and Electric Company, was responsible for the planning and performance of environmental audits of that company's facilities. Mr. Sundquist has over 25 years of extensive auditing experience, having performed compliance audits in both the nuclear and environmental fields since 1970. Mr. Sundquist is an active member of ASTM Committee E50. 


Robert E. Hurt, REM, CPEA, is currently Director of Corporate Environmental, Health and Safety Affairs at Dal-Tile International Inc headquartered in Dallas, Texas. Mr. Hurt was involved throughout the ASTM audit standard development since its inception in 1990. He has been conducting and leading environmental regulatory compliance audits since the mid 1980s and has had primary responsibility for development and management of a corporate environmental audit program for his former employer. He is a Registered Environmental Manager (NREP) and a Certified Professional Environmental Auditor (BEAC). 

J. Andrew Irwin, PE, EA is President of Irwin Engineers, Inc. in Natick, Massachusetts. An active member of ASTM E50.04, Mr. Irwin was instrumental in helping shape the final version of the audit standard. Through his firm Mr. Irwin offers chemical engineering and environmental management services to corporate and government clients. He has extensive experience in scoping, leading, conducting, and reporting on environmental audits at client facilities.

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