Nick Steinke, Tellevate, 10 Tips for Implementing an Effective Audit Program, Midwest Environmental Compliance Conference, Chicago, October 29-30, 2015

1. Midwest Environmental Compliance
Conference
Chicago, IL – October 30, 2015
10 Tips for Implementing an
Effective Audit Program

2. Principal, Manager of
Tellevate’s Compliance
Services
– Certified environmental and
management systems auditor
– Previous experience as a
Regulatory Environmental
Engineer
– B.S. Manufacturing
Engineering, Boston University
Areas of expertise:
• Environmental
compliance
program support
• Air quality
compliance
• Multi-media
compliance
auditing
• Management
systems
• Agency
consultation and
litigation support
10/30/2015 For the MECC – Chicago 2
Nick Steinke, P.E., CPEA, SFP

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1. Obtain Management Support for
Established Project Objectives
Implementing an Effective Audit
Program
• Management Support is Key
• Use Management Priorities to Establish
Program Objectives
• Program Objective Considerations
• Compliance
• Continual Improvement
• Technical Assistance and Training

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2. Define the Audit Scope and
Protocol
Implementing an Effective Audit
Program
• Regulatory Scope
• Permits, Plans
• EMS?
• Protocol
• Content: Questions?
Checklists? Lists?
• Citations/References
• Updates

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3. Include Root Cause Analysis
and Other Key Metrics
Implementing an Effective Audit
Program
• Root Cause Analysis
• Map to EMS -> Business Processes
• Prioritize Findings
• Emergency | Regulatory | Policy | BMP
• Environmental Media Area
• Location (Facility? Building? Room?)
• Responsible Organization/Program Area

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4. Consider Technical
Assistance and Training
Implementing an Effective Audit
Program
• Plant Participation and Buy-In
• Corrective and Preventive Action
Timeframe
• Cost-Effective
• Promotes Open Communication
• Supports Root Cause Analysis
• Overall Program Success

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5. Leverage Technology
Implementing an Effective Audit
Program
• Data Collection
• Reporting
• Analysis
• Framework for Consistency
• Protocol Integration, Updates,
Customization
• Communication
• Within the Organization
• With Management

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6. Establish Formal Reporting
Process and Timeframe
Implementing an Effective Audit
Program
• Report Content
• Clear
• Concise
• Objective
• Clearly Distinguish Findings and
Recommendations
• Timeframe, Corrective Action and
Liability

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7. Establish Formal Corrective
Action Process
Implementing an Effective Audit
Program
• Audit Findings -> Report -> Now What?
• Timeframe
• Liability of Long/Undefined Internal
Process
• Roles and Responsibilities
• Corrective and Preventive Action
(Address the Root Cause)

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8. Use Qualified Auditors
Implementing an Effective Audit
Program
• Credibility
• Audit Quality
• Technical Assistance
• External Auditors
• Benchmarking
• Overcome Institutional Norms,
Constraints
• Stakeholder Perception
• Community and Regulator Perception

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9. Use Risk-Based Approach
Implementing an Effective Audit
Program
• Resource Considerations v.
Considerable Audit Protocol
• Focus Auditor Resources on Issues
with Greatest Risk
• Environmental Impact and Regulatory
Liability – What Else?
• EMS Alignment Keeps Process
Consistent with Organization Goals

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10. Document Formal Audit
Program
Implementing an Effective Audit
Program
• Clearly Define and Communicate
Program Objectives and Approach
• Establish Accountability
• Define Roles and Responsibilities
• Audit Program Manual/Procedures

13. QUESTIONS?
Nick Steinke
402.730.1660
nsteinke@tellevate.com
9/15/2015 For the Baltimore AR Fall National Meeting 13