internal compliance auditing background, process, and tools for success presented by: ronald taylor,...
TRANSCRIPT
INTERNAL COMPLIANCE
AUDITING
Background, Process, and Tools for Success
presented by: Ronald Taylor, Environmental Affairs Compliance Manager
EPA states:… “it is USEPA policy to
encourage the use of environmental auditing to help achieve and maintain compliance and identify / correct unregulated hazards”…
THE EPA AUDIT POLICY
1. Systematic discovery though audits and management systems
2. Voluntary discovery3. Prompt disclosure (defined as
within 21 days)4. Discovery is independent of
government or 3rd party plaintiff5. Correction and Remediation
THE AUDIT POLICY
6. Prevent reoccurrence7. No repeat violations8. Some violations are excluded9. Cooperation
EPA INCENTIVES FOR AUDITING
• Gravity based penalties will not be pursued. (all 9 elements in place)
• 75% reduction in gravity based penalties. (elements 2 – 9 in place)
• No recommendation for criminal prosecution. (elements 2 – 9 in place)
• No routine request for audit reports.• Kentucky, if voluntary disclosure,
will not seek civil penalties.
HIGHER EDUCATION FOCUS
• Region 1 began in 2004– initial focus on educating the community– basic compliance– best management practices– sustainability
• UK received communication in 2007• Additional communication to UK
Healthcare in 2008
ADVANTAGES• Increased awareness• Helps drive accountability• Helps meet audit policy criteria• Recognition of exemplary practices• Identification of improvement
opportunities• Proactive response to compliance
KEYS FOR SUCCESS
• Upper management support• Good audit tools• Well defined audit criteria• Timely follow up and closure• An integrated approach
CHALLENGES
• Audit scope identification• Effective and timely closure• Corrective action verification• Accountability• Potential for FOIA requests
Knowledge is Power. To be forewarned is
to be forearmed
quoted from: “Environmental Audits and Inspections: What Every U (and University Attorney) Should Know
Michael Sermersheim and Ronald Baylor, June 2004
THE PROFILE
• Establishes audit scope• Based on activities within audited
entity• Accuracy is key
THE AUDIT
• Applicable questions built from profile
• Used for field evaluation• Good training tool
CORRECTIVE ACTION TRACER
• Compiles identified compliance issues
• Tracking tool for completion• May also add compliance due dates
and recommendations• May send reminder messages
SUCCESS STORIES
• Location asked for blank audit to use in training
• Last 2 campus regulatory inspections resulted in no Notices of Violation
• Enhanced communication between EMD and SAA’s