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Internal Audits and Other Tactics to Improve Your EHS Program

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Triumvirate Environmental
Triumvirate Environmental

Does your organization run internal audits regularly? Prepare for a regulator to come knocking at your door by catching areas of non-compliance before the inspector can. Internal audits allow you to identify gaps in your existing EHS programs and improve processes before an official inspection, so you can be confident in your audit-readiness.

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Internal Audits and Other Tactics to Improve Your EHS Program Grace Rosario, EHS Consultant Triumvirate Environmental
Meet Your Moderator 2 Nita Vaidya
3 During this Webinar ✓ All lines will be muted. ✓ Communicate via the questions tab in your webinar panel. ✓ Unanswered questions will be responded to personally after the webinar. ✓ Webinar recording and slides will be emailed to you tomorrow.
Grace Rosario EHS Consultant Triumvirate Environmental 4 Meet Your Presenter
Poll Question Does your organization currently run internal audits? 5
Agenda 6 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
Purpose • Corporate, internal audits are a form of quality assurance in many industries • Inspection of current processes and management systems to evaluate gaps without a regulatory burden • Proactive effort to get ahead of any regulatory audits • Confidence in your EHS program’s audit readiness at all times 7
Internal vs. External Audits 8 Internal Audit External Audit • A self-driven evaluation • A “dress rehearsal” to test preparedness for external audits and inspections • Performance and results DO matter: − A reflection of the site’s (and individual) performance in the eyes of the company’s senior leadership o Need to instill confidence that compliance and key risks are well managed − Results may be used to benchmark against other locations • Initiated and performed by a third party (regulatory agencies, certification registrars, and insurance companies) • The “real thing” (not a dress rehearsal) • Performance (good and poor) may result in: − Issuance or renewal of permit, license, certification, or registration − Citation, fine, or penalty issued by the third-party organization or relevant interested party − Impacts to business continuity (shutdown of facilitiy or loss of license/permit) or impacts to company reputation
Agenda 9 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
Audit Readiness 10 • Invest in document management! ▪ The best programs can come under scrutiny without strong document management practices ▪ Document and file retention guidelines, consistency in formats, assigning SOPs with a numbering system • Maintain a compliance calendar • Organization • Defined system and task owners
Audit Scope • Understand audit scope and areas of focus ▪ Often will focus on recently released procedures or updated processes • Ask for scope if one is not provided! • Prepare and organize supporting information around the scope • Ensure programs, procedures, and personnel involved in the audit scope areas are in good working order • Are we doing what we say we are doing? 11
Get the Word Out • With scope in hand, we can identify stakeholders who will need to be involved in the audit • Don’t venture alone – gather support from team members, facilities staff, key personnel 12
Review Past Audits • Familiarize yourself with previous audit findings ▪ Avoid repeat findings! • Run through findings and assess controls currently in place • Use past audits as a gap analysis for upcoming audit • Include stakeholders and key personnel in previous audit findings – all involved should have good understanding of progress being made, where you were, and improvements 13
Audit Logistics 14 • Agenda and schedule: Review schedule and make sure it works for you and the people involved. Assigning escorts and considering who will accompany auditors is important! • Determine who needs to be at opening, closing, and debrief meetings. • Book appropriate spaces for the audit and consider location of auditors’ work space and other accommodations. • Be neat and orderly in planning and clear with auditors on the time, place, and people they will be meeting. The more organized you look, the better your program will look!
Audit Timeline • Reception, site introduction, safety briefing • Opening meeting – review of scope, agenda, schedule • Introductory tour • Interviews, document reviews, topical tours • Daily debriefs • Closing meeting 15
Agenda 16 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
The Audit – Do’s • Take copious notes • Ask lots of questions to ensure you are clear on what the auditors are seeing/finding • Make a copy or keep account of any documentation provided to auditors • If the auditor takes a picture – so should you • Avoid hazardous areas such as confined spaces • Take the most direct route possible • Take actions to mitigate risks were possible 17
During the Audit – Don’ts • Don’t offer opinions or additional information in excess to inspector’s question • Don’t be his or her “buddy” • Don’t be overly confrontational or show frustration • Don’t be afraid to say “I don’t know” • Don’t be afraid to ask for clarification if you don’t understand or agree with something • Don’t speculate or assume • Don’t be evasive. Be direct, succinct, clear in responses • Don’t lie! 18
Agenda 19 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
Debriefs and Close Out • Each day should have a debrief. Inspectors may: ▪ Request documentation or supporting information ▪ Provide preliminary observations ▪ Ask questions regarding site operations • Your chance to clarify and question • Assign owners and take action immediately to close any gaps if possible • Closing Meeting may provide draft of findings – NOT the final report • Take notes and share them with the team for a master document. Avoid being surprised when final report is distributed • Team communication 20
Poll Question How well would your workplace perform if it was audited today? 21
Post-Audit • Address any immediately dangerous situations • Have an idea of where the findings will be and establish action plans • Eliminate immediate risks and determine root causes for long term solutions • Prioritize time – when audit report is distributed, have the resources to effectively address and implement changes • Keep moving on with your day-to-day! Don’t let the audit findings consume you 22
Audit Report and Response • The audit report should not be a surprise to you • Celebrate the positive observations • Provided a chance to review and respond to a draft version – use this time to ensure all statements are accurate and align with notes you have from audit. • Ask for clarification where necessary • Set action items, owners, and reasonable timelines for completion • Create recurring meetings to continue monitoring action items • Implement long-term solutions 23
Takeaways • Gain a different perspective on your programs • Identify positive observations and improvement opportunities ▪ Chance to shine, show off your hard work • Document management and organizational tools will continue to strengthen your program • Preparedness is not a one-time value – programs will be in place if and when an external auditor comes knocking 24
Agenda 25 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
Questions?
THANK YOU! CONTACT US! 1-888-834-9697 www.triumvirate.com

More Related Content

Internal Audits and Other Tactics to Improve Your EHS Program

  • 1. Internal Audits and Other Tactics to Improve Your EHS Program Grace Rosario, EHS Consultant Triumvirate Environmental
  • 3. 3 During this Webinar ✓ All lines will be muted. ✓ Communicate via the questions tab in your webinar panel. ✓ Unanswered questions will be responded to personally after the webinar. ✓ Webinar recording and slides will be emailed to you tomorrow.
  • 4. Grace Rosario EHS Consultant Triumvirate Environmental 4 Meet Your Presenter
  • 5. Poll Question Does your organization currently run internal audits? 5
  • 6. Agenda 6 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
  • 7. Purpose • Corporate, internal audits are a form of quality assurance in many industries • Inspection of current processes and management systems to evaluate gaps without a regulatory burden • Proactive effort to get ahead of any regulatory audits • Confidence in your EHS program’s audit readiness at all times 7
  • 8. Internal vs. External Audits 8 Internal Audit External Audit • A self-driven evaluation • A “dress rehearsal” to test preparedness for external audits and inspections • Performance and results DO matter: − A reflection of the site’s (and individual) performance in the eyes of the company’s senior leadership o Need to instill confidence that compliance and key risks are well managed − Results may be used to benchmark against other locations • Initiated and performed by a third party (regulatory agencies, certification registrars, and insurance companies) • The “real thing” (not a dress rehearsal) • Performance (good and poor) may result in: − Issuance or renewal of permit, license, certification, or registration − Citation, fine, or penalty issued by the third-party organization or relevant interested party − Impacts to business continuity (shutdown of facilitiy or loss of license/permit) or impacts to company reputation
  • 9. Agenda 9 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
  • 10. Audit Readiness 10 • Invest in document management! ▪ The best programs can come under scrutiny without strong document management practices ▪ Document and file retention guidelines, consistency in formats, assigning SOPs with a numbering system • Maintain a compliance calendar • Organization • Defined system and task owners
  • 11. Audit Scope • Understand audit scope and areas of focus ▪ Often will focus on recently released procedures or updated processes • Ask for scope if one is not provided! • Prepare and organize supporting information around the scope • Ensure programs, procedures, and personnel involved in the audit scope areas are in good working order • Are we doing what we say we are doing? 11
  • 12. Get the Word Out • With scope in hand, we can identify stakeholders who will need to be involved in the audit • Don’t venture alone – gather support from team members, facilities staff, key personnel 12
  • 13. Review Past Audits • Familiarize yourself with previous audit findings ▪ Avoid repeat findings! • Run through findings and assess controls currently in place • Use past audits as a gap analysis for upcoming audit • Include stakeholders and key personnel in previous audit findings – all involved should have good understanding of progress being made, where you were, and improvements 13
  • 14. Audit Logistics 14 • Agenda and schedule: Review schedule and make sure it works for you and the people involved. Assigning escorts and considering who will accompany auditors is important! • Determine who needs to be at opening, closing, and debrief meetings. • Book appropriate spaces for the audit and consider location of auditors’ work space and other accommodations. • Be neat and orderly in planning and clear with auditors on the time, place, and people they will be meeting. The more organized you look, the better your program will look!
  • 15. Audit Timeline • Reception, site introduction, safety briefing • Opening meeting – review of scope, agenda, schedule • Introductory tour • Interviews, document reviews, topical tours • Daily debriefs • Closing meeting 15
  • 16. Agenda 16 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
  • 17. The Audit – Do’s • Take copious notes • Ask lots of questions to ensure you are clear on what the auditors are seeing/finding • Make a copy or keep account of any documentation provided to auditors • If the auditor takes a picture – so should you • Avoid hazardous areas such as confined spaces • Take the most direct route possible • Take actions to mitigate risks were possible 17
  • 18. During the Audit – Don’ts • Don’t offer opinions or additional information in excess to inspector’s question • Don’t be his or her “buddy” • Don’t be overly confrontational or show frustration • Don’t be afraid to say “I don’t know” • Don’t be afraid to ask for clarification if you don’t understand or agree with something • Don’t speculate or assume • Don’t be evasive. Be direct, succinct, clear in responses • Don’t lie! 18
  • 19. Agenda 19 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A
  • 20. Debriefs and Close Out • Each day should have a debrief. Inspectors may: ▪ Request documentation or supporting information ▪ Provide preliminary observations ▪ Ask questions regarding site operations • Your chance to clarify and question • Assign owners and take action immediately to close any gaps if possible • Closing Meeting may provide draft of findings – NOT the final report • Take notes and share them with the team for a master document. Avoid being surprised when final report is distributed • Team communication 20
  • 21. Poll Question How well would your workplace perform if it was audited today? 21
  • 22. Post-Audit • Address any immediately dangerous situations • Have an idea of where the findings will be and establish action plans • Eliminate immediate risks and determine root causes for long term solutions • Prioritize time – when audit report is distributed, have the resources to effectively address and implement changes • Keep moving on with your day-to-day! Don’t let the audit findings consume you 22
  • 23. Audit Report and Response • The audit report should not be a surprise to you • Celebrate the positive observations • Provided a chance to review and respond to a draft version – use this time to ensure all statements are accurate and align with notes you have from audit. • Ask for clarification where necessary • Set action items, owners, and reasonable timelines for completion • Create recurring meetings to continue monitoring action items • Implement long-term solutions 23
  • 24. Takeaways • Gain a different perspective on your programs • Identify positive observations and improvement opportunities ▪ Chance to shine, show off your hard work • Document management and organizational tools will continue to strengthen your program • Preparedness is not a one-time value – programs will be in place if and when an external auditor comes knocking 24
  • 25. Agenda 25 Purpose of Internal Audits Preparations and Audit Readiness Audit Do’s and Dont’s Debriefs, Close Out and Takeaways Q&A