[co-author: Jace Pohlman]
There are many types of audits in Environmental, Health, and Safety (EHS). These include regulatory agency inspections (scheduled and unexpected), internal company requirements, maintenance and certifications, and during acquisitions and sales. In the three-part series so far, we’ve looked at ways for your business to Get ready for an auditAs well as What to expect at an audit day. We will conclude the article by discussing what to do following an audit.
The auditor completed the tour of the cannabis facility and reviewed business records… Now, what?
Audit Debrief
After the audit, the auditor will likely hold a debrief or closing meeting with management covering the audit’s findings, any infractions, and ways to fix non-compliant practices. This meeting is important as it not only shows your business what corrective actions you need to take but also allows you to ask questions to the auditor. Here are some tips to help you get through the audit debrief stage.
Tips for Audit Debriefing
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Have Key personnel from the company were present at the meeting(In person or via phone) to get a first impression and ask questions about the next steps (including timing).
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Ask for a Verbal summary of the findingsor any other form of the page results to keep on file.
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Use the debriefing to Clarify any misunderstandingsInterpretations of certain requirements. This is a chance for the auditor (likely a government agency), to verify that any corrections are being made are correct.
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Don’t argue the auditor’s findings. There will be an opportunity to appeal or argue later. The time is not right after the audit.
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Lastly, it’s important to Take your time. Audits can be long and it’s understandable to want this final step done quickly. However, don’t let that get in the way of asking questions, clarifying the auditor’s findings, or providing additional color around your operations
Resolve identified gaps in compliance or Deficiency
While this may seem obvious, if an internal or external audit identifies any areas of non-compliance it’s It is crucial These issues can be resolved in a Timely. However, not all issues can be identified in the same way. The company could prioritize areas of noncompliance to help them better allocate resources and staff. The process will be easier if you can focus on small, manageable tasks to resolve compliance gaps.
Future Compliance: Use Audit Results
Audit results can also provide a framework for EHS compliance. Businesses can use the auditor’s findings and suggestions to create new operating procedures that create an environment of accountability and compliance.
Implement internal audits
Internal audits are a tool to help you achieve accountability. These audits are used to check on the business at set times to ensure everything is ready for audit time. If there is a high-regulated area of a facility it might be beneficial to conduct internal audits throughout each year to ensure that the operations and personnel are ready for audit time.
Track regulatory requirements
Businesses can also create a type report to allow for the tracking and monitoring of certain regulatory requirements throughout the calendar year. These reports can include the following:
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Summary of the previous audit, with any infractions or issues that the auditor noted
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Federal, state, and local regulatory requirements
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Identifying the responsible parties and individuals involved in certain situations.
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Weekly compliance checks with results
The goal is to identify areas of the business which are subject to compliance requirements, and then to create a system to track compliance through continuous checks.
Personnel Education & Training
Employee education is an important part of maintaining compliance. Training exercises that are monthly or quarterly can keep employees current on the latest changes to the law. Important personnel can be kept up-to-date by sending out a weekly email that includes notable updates on audit topics or regulatory requirements.
A Culture of Compliance
An audit will not fix every infraction. This is just one piece of the EHS compliance audit puzzle. Your business is committed to creating a better world for customers, employees, and the planet by taking the audit results into account and creating a culture that encourages continuous compliance through training and internal reporting.
We hope that this series has helped you better understand, plan for, and respond to EHS audits in marijuana industry.
Read Part 1 of the series: Environment, Health & Safety audit: How cannabis businesses can prepare
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