The client engages an auditor to conduct a 53V audit and the auditor notifies EPA of their appointment within seven days. The pre-audit phase involves the client and auditor defining and agreeing on the audit objectives and scope. The objectives must include consideration of risk to the environment, water, substance or noise. The scope should identify the activity being audited, the relevant segment of environment and uses to be considered, and the audit criteria.

A risk assessment can also be conducted to refine the audit scope to focus on issues of concern and/or assess the risk of harm to beneficial uses.

Steps in the 53V audit process

1. Auditor reviews existing information about the activity, premises and/or segment of the environment.
2. Auditor collects and verifies evidence to support findings relating to the audit criteria. The auditor should be present during the conduct of field work and closely involved in onsite collection of information.
3. Auditor evaluates data to determine compliance with audit criteria.
4. Auditor prepares audit report. The report should clearly state the auditor’s professional opinion on the risks posed by the activity or industrial process to the environment, and provide justification.
5. A copy of the 53V audit report must be provided to EPA within seven days.