Kentucky Audits: What you need to know

Governing Law and Regulations

Audit privilege and penalty waiver: Kentucky Revised Statutes (KRS) 224.01-040

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Definitions: KRS 224.01-040(1)

Audit privilege: KRS 224.01-040(2)

Exceptions to privilege: KRS 224.01-040(3) to KRS 224.01-040(6)

Burden of proof: KRS 224.01-040(4)

Penalty waiver: KRS 224.01-040(8)

Regulatory Agency

Kentucky Energy and Environment Cabinet Department for Environmental Protection (DEP)

See ADDRESSES & CONTACTS for addresses and telephone numbers.

See national section for basic information and federal regulations.

Comparison: State vs. Federal

Rules. Kentucky has enacted a law that protects environmental audit results from disclosure and allows DEP to waive civil penalties where violations are voluntarily disclosed. Kentucky's audit rule follows the basic provisions of the U.S Environmental Protection Agency's (EPA) audit policy. For more information on EPA audit policies, see the national section AUDITS.

Administration and enforcement. DEP, together with Kentucky courts, administers and enforces the evidentiary privilege for environmental audit reports in the state.

State Audit Requirements


KRS 224.01-040(1)

Environmental Audit

Kentucky defines "environmental audit" as a voluntary, internal, and comprehensive evaluation of one or more facilities or activities at such facilities, or of management systems related to a facility or activity that is designed to identify and prevent noncompliance and to improve compliance with statutory or regulatory requirements.

An environmental audit may be conducted by the owner or operator, by the owner's or operator's employees, or by independent contractors.

Audit Report

The environmental audit report includes a set of documents, each labeled ...

>> Read more about Audits

State Requirements

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Kentucky Audits Resources

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