Funderburg, Lisa, Stinson Leonard Street, Compliance Tools Top Ten Tips When Conducting an Audit,...
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Transcript of Funderburg, Lisa, Stinson Leonard Street, Compliance Tools Top Ten Tips When Conducting an Audit,...
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Compliance Tools: Top Ten Tips When Conducting an Audit
Midwest Environmental Compliance Conference
May 11-13, 2016
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Tune up….
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Check up….
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Audit
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Why?
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• Do we have to?
• Is it required by law?
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So, if we don’t HAVE to, then why do we audit?
• Because what you don’t know CAN hurt you.
• Avoid liability
• Continuous improvement
• Identify and resolve compliance issues
• Develop employee skills
• Share best practices
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An Ounce of Prevention…
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When?
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How?
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The Nuts and Bolts
• Opening Conference
• Facility Tour
• Audit (desk, detailed facility tour and interviews)
• Wrap Up Report Out Conference
• Draft Report
• Final Report
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Follow Up
• Priority rankings
• Audit tracking
• Updates
• Documenting follow up
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And the Top Ten ….
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10. Be Prepared.
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9. Use a Qualified Audit Team.
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8. Start making observations from the highway.
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7. Be Honest and Objective.
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6. Don’t be punitive.
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5. If you can’t think of something nice to say…..
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4. Incorporate Training and Coaching.
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3. Set Realistic Follow Up Plans….
…and implement them.
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2. Clearly Communicate Findings to All Stakeholders.
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1. What’s worse than not auditing at all?
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QUESTIONS?
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www.stinsonleonard.com
© 2015 STINSON LEONARD STREET LLP
SPEAKER INFORMATION:
LISA FUNDERBURG
Stinson Leonard Street LLP
225 North Water Street, Suite 402
Decatur, IL 62523-1475
217.615.3663