Wednesday September 28, 2016 8:00 – 9:15 AM

Opening Keynote An Overview of OSHA Kirk Sander Chief of Staff Occupational Safety and Health Administration Kirk Sander joined OSHA in August 2014, having previously served at the White House Office of Presidential Personnel, where he managed the appointment process for senior level positions for domestic agencies in the federal government, including the Departments of Housing and Urban Development, Health and Human Services, Justice, and Labor. Prior to joining the White House, Sander was special assistant to the director, Bureau of Safety and Environmental Enforcement, at the Department of the Interior. In that position, he worked on a wide variety of issues regarding the oil and gas industry, emergency response, and continuity of operations. Sander also worked at NASA where he advised the chief of staff and other top leadership on communications strategy, and managed the day-to-day operations of a high level presidential task force. Learning Field: Auditing Learning Level: Beginner

Wednesday September 28, 2016 9:45 – 10:35 AM

GS 1 When Culture is the Culprit Richard F. Chambers, CIA, QIAL, CGAP, CCSA, CRMA President and Chief Executive Officer The IIA Environmental, health and safety auditors face many challenges in serving their organizations. Bringing a

systemic, objective, and disciplined approach to assessing regulatory compliance in the workplace is

challenging enough when the tone at the top is healthy. However, when the culture is toxic, the work of EHS

auditors becomes much more complex.

In this session, participants will:

Explore how an organization’s culture influences its commitment to EHS.

Discuss the EHS auditor’s role in considering the impact of organizational culture.

Determine the factors that influence assessment of organizational culture.

Richard F. Chambers, CIA, QIAL, CGAP, CCSA, CRMA, is president and CEO of The Institute of Internal Auditors (IIA). He has more than four decades of internal audit and related experience. Chambers was national practice leader in Internal Audit Advisory Services at PricewaterhouseCoopers; inspector general of the Tennessee Valley Authority; deputy inspector general of the U.S. Postal Service; and director of the U.S. Army Worldwide Internal Review Organization at the Pentagon. He currently serves on the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Board of Directors; the International Integrated Reporting Council (IIRC); and The IIA Board of Directors. Previously, he served on the U.S. President’s Council on Integrity and Efficiency; the Audit Board of the City of Orlando, Fla.; The IIA Internal Audit Standards Board; and The IIA North American Board. Chambers received the Association of Government Accountants (AGA) Frank Greathouse Distinguished Leadership Award and the National Association of Black Accountants (NABA) Legacy Award. Accounting Today named him one of the Top 100 Most Influential People in Accounting in 2012, 2013, 2014, and 2015, as well as one of 10 tweeters worth following. The National Association of

Corporate Directors (NACD) named him one of the most influential leaders in corporate governance in 2013, 2014, and 2015. Chambers authored the award-winning book, Lessons Learned on the Audit Trail, which is available in five languages. Learning Field: Auditing Learning Level: Beginner

Wednesday September 28, 2016 10:45 – 11:35 AM

GS 2 Auditing the Audit Program – A QA Assessment of the Salt River Project EHS Audit Program Marcie Martin Senior Environmental Scientist Salt River Project Barbara Ruble, CPEA President Specialty Technical Consultants, Incorporated Does your internal audit program include provisions for periodic third-party quality assurance assessments? This session will review the methods and process used by specialty technical consultants to audit the Salt River Project Environmental, Health and Safety Audit Management System and examine the outcomes and benefits SRP realized from this effort. In this session, participants will:

Review criteria that may be selected to evaluate an EHS audit program.

Discuss the process involved in auditing the audit program.

Identify pros, cons, and potential benefits of a third-party QA assessment.

Marcie Martin is an EHS auditor and environmental site assessment coordinator at Salt River Project in Tempe, Ariz. She has 20 years of experience in environmental compliance and planning including environmental health and safety audits, environmental site assessments, environmental permitting, and National Environmental Policy Act documentation. Barbara Jo Ruble has more than 35 years of experience helping corporations to develop, assess, and improve their environmental management systems and compliance programs. She has developed comprehensive environmental, health and safety guidance manuals, training programs, and multi-media auditing protocols for various industrial clients and is the primary author of ISO 14001:2015 Environmental Management Systems: A Complete Implementation Guide. Ruble has performed more than 200 EHS compliance audits or management systems assessments of industrial facilities worldwide. She has also provided independent review of corporate EHS auditing programs. A member of The Auditing Roundtable since 1989, Ruble is a past president of the association and developed the Lead Auditor Training Course. Learning Field: Auditing Learning Level: Beginner

Wednesday September 28, 2016 1:00 – 1:50 PM

GS 3 Environmental Auditing in the Federal Government: Challenges and Lessons Learned in a Changing World Melissa Ellis, CPEA Senior Consultant Tellevate Evan Fitzgerald Principal Information Systems Kestrel Management The growing body of complex environmental regulations continues to challenge resource-constrained organizations. At the same time, regulatory agencies are utilizing new strategies and technology that increases the visibility of organizational environmental compliance (for example, EPA’s NextGen). In this context and framework, presenters will provide an overview of federal government environmental auditing programs, touching on the use of third-party audits, unique audit implementation challenges, and lessons learned. In this session, participants will:

Review techniques used by federal agencies to more effectively manage environmental risk to

increase sustainability.

Develop skills to effectively manage and improve environmental auditing programs and compliance

in the midst of expanding regulations and increased transparency.

Understand challenges to implementing an effective auditing program and apply proven

techniques to overcome these challenges.

Develop cost-effective strategies to implement environmental management systems and improve

environmental auditing programs in complex organizations.

Uncover tips to overcome technology challenges resulting at times from generational barriers.

Melissa Ellis has more than 20 years of environmental experience, conducting compliance and EMS audits, developing EHS management systems, and providing training for government, public utility, and commercial clients. Her career began with the Nebraska DEQ Air Quality Division, where she spent 17 years conducting inspections, providing technical assistance, and training. Evan Fitzgerald helps companies respond to their changing environmental, health, and safety needs and requirements by providing assistance with systems optimization. He specializes in implementing information technology (IT) solutions, ranging from software selection, to audit system design, to custom database

creation. He helps clients automate EHS systems from the ground up, improve existing systems, and optimize them to reduce costs and improve performance. Learning Field: Auditing (Governmental) Learning Level: Intermediate

Wednesday September 28, 2016 2:00 – 3:15 PM

Roundtable Breakouts 1-1 Intro to EHS Auditing Jamie White, CPEA Senior EHS Audit Consultant Trinity Consultants, Incorporated This introductory session is perfect for new EHS auditors, audit program managers who are incorporating EHS audits into their compliance program, and those who want to gain knowledge on the EHS audit process and benefits. This is an interactive presentation in which the facilitator engages attendees and encourages questions and comments. In this session, participants will:

Discover what EHS compliance audits are all about: why, when, how, and by whom EHS audits are

conducted.

Learn to recognize EHS compliance audit drivers.

Review the standards of conduct for EHS auditors.

Understand the steps involved in planning and performing an audit.

Discuss the development of audit reports.

Jamie White has conducted EHS audits in each of the 10 EPA regions as well as internationally. She is a member of The IIA's Environmental, Health & Safety Audit Center’s Advisory Board. She has conducted hundreds of audits for a variety of clients, including those in the chemical, oil and gas, pharmaceutical, and entertainment industries. Learning Field: Auditing Learning Level: Beginner Roundtable Breakouts 1-2 Integrating Internal Audit and Environmental, Health & Safety Frameworks to Enable Enterprise Planning and Risk Management Kathryn Pavlovsky Principal Deloitte Advisory Kathryn Pavlovsky serves as the Oil & Gas sector leader focusing on strategic risk, regulatory compliance, and transactions. Previously, she led Deloitte’s Environmental and Sustainability Consulting practices nationally.

Pavlovsky specializes in the areas of compliance, transactions, and disputes including damages valuation. Recently, she has been involved in assessing EHS/sustainability management frameworks, conducting risk and governance assessments and identifying performance and efficiency improvement opportunities. Pavlovsky also analyzes contingent liabilities and asset retirement obligations related to environmental liabilities for financial reporting and transactional purposes and quantifies environmental damages for investigation, litigation support, and insurance recovery. Additionally, she has assisted organizations with factoring social, environmental, and economic factors into business strategies, performance measurement systems, and external reporting. Prior to joining Deloitte, Pavlovsky adjusted complex environmental and personal injury claims for a commercial insurance carrier. Learning Field: Auditing Learning Level: Intermediate Roundtable Breakouts 1-3 Successful EHS Auditing Insights From A Client's Moderator: Jeff Powers, CSP Senior Consultant Antea Group David Matthews, CIH Consultant Antea Group Panelists: Marcia Fournier Corporate Environmental Social Responsibility Manager NSK Americas Brett Church Director of Environmental, Health and Safety Compass Group EHS audits can impact many areas of the organization including production, finance, quality, and risk management. Several business functions use EHS audit results to anticipate, identify, evaluate, and control risk. Do auditors always understand the reason for an audit, and the “full” scope? Recognizing the true objectives of the audit, and the real drivers, will help the audit process be viewed as a value- added benefit. In this session, participants will:

Share successful auditing experiences.

Understand the different types of EHS audits.

Discuss and understand who and what is driving the audit.

Examine auditing communication pitfalls and how to overcome them.

Jeff Powers is a Certified Safety Professional with more than 30 years of EHS experience. He specializes in assisting companies recognize, control, and mitigate EHS risks. A Certified ISO 14001 lead auditor and Sig Sigma Green Belt, his diverse experience includes EHS leadership roles in the automotive, building products, and foundry industries. Powers has developed, managed, and led numerous EHS audit processes throughout his career, ranging from internal audits to global auditing programs. He is a popular speaker for organizations interested in the topics of health and safety. David Matthews has more than 35 years of broad-based project and program management experience in occupational health and safety consulting. His expertise is in industrial hygiene and EHS auditing. A Certified ISO 14001 lead auditor, Matthews has experience in a variety of industries including aviation, agribusiness, defense contracting, food processing, hospitality, facility management, health care, risk management/insurance, and manufacturing. His management systems experience includes OSHA’s Voluntary Protection Programs, ANSI Z. 10, OHSAS 18001, and ISO 14001. He has taught OSHA Training Institute courses and has presented to state regulatory agencies and professional and trade associations.

Marcia Fournier has been responsible for managing the environmental management systems for NSK Americas, serving as the environmental, chemical and safety Manager. She is a Certified ISO 14001 lead auditor and has worked with internal and external staff in the development and implementation of EHS audit programs in North and South America. Her career has led her to assignments as an analytical chemist at Parke Davis and Stroh Brewery. Fournier also worked at a steel producer managing chemical processes and the safety and environmental requirements for the facility.

Brett Church has responsibility for OSHA/DOT/EPA compliance, account auditing, and workers’ compensation. Prior to joining Compass, he worked in the transportation industry for Cardinal Logistics Management Corporation as the director of safety. In that capacity he was responsible for EHS compliance and a trucking fleet comprised of 1,700 drivers. Prior to joining Cardinal, Church held safety positions in the construction and manufacturing sectors. Learning Field: Auditing Learning Level: Intermediate

Wednesday September 28, 2016 3:45 – 5:00 PM Industry Roundtable Breakout 2-1 Energy Jack A. Slotnick, CPEA, CPSA Consultant JAS Consulting Jack Slotnick retired in 2011 from ExxonMobil Corporation, where he managed their Downstream and Chemical, Safety, Health, and Environmental (SH&E) audit program. During his more than 41 years of service with ExxonMobil, Slotnick held various technical, operations, safety/environmental, and management positions. He also worked special assignments including development of an energy conservation/management program as well as preparing Mobil Oil’s early corporate environmental stewardship reports. In his last position, he managed the audit program and led more than 200 SH&E compliance and/or management system audits at offshore oil platforms, onshore drilling operations, gas recovery plants, petroleum refineries, chemical plants, and other supply and transportation operations around the world. Slotnick developed and taught an auditing course for refinery and chemical plant personnel concentrating on the mechanics of conducting process safety reviews. He was also responsible for monitoring and analyzing company SH&E performance at both site and business unit levels. Further he was responsible for oversight of ExxonMobil Chemical’s Responsible Care program. Since retiring, Slotnick has developed and taught classes in health, safety, environmental management, and sustainability to international oil and chemical company management teams and presented sessions at the Auditing Roundtable. In addition, he has helped companies develop and implement environmental and safety management systems. He is responsible for assisting the development of a process safety auditing program for the U.S. petroleum and petrochemical industry (API & AFPM) and has conducted numerous safety and process safety audits at refineries as part of the industry PSM review program. Slotnick is a former board member for both the Board of Directors for the Board of Environmental Auditor Certification (BEAC) and the Auditing Roundtable. Learning Field: Auditing Learning Level: Beginner Industry Roundtable Breakout 2-2 Utilities Marcie Martin Senior Environmental Scientist Salt River Project Marcie Martin is an EHS auditor and environmental site assessment coordinator at Salt River Project in Tempe, Ariz. She has 20 years of experience in environmental compliance and planning including

environmental health and safety audits, environmental site assessments, environmental permitting, and National Environmental Policy Act documentation. Learning Field: Auditing Learning Level: Beginner Industry Roundtable Breakout 2-3 Chemicals Bill Qualls, CPEA, CESCO Executive Director Responsible AG Learning Field: Auditing Learning Level: Beginner

Thursday September 29, 2016 8:00 – 9:15 AM Opening Keynote TSCA Amendments and Impacts Lawrence E. Culleen Partner Arnold & Porter Larry Culleen represents clients on administrative, regulatory, and enforcement matters involving federal agencies such as the U.S. Environmental Protection Agency (EPA), the U.S. Department of Agriculture, the U.S. Food and Drug Administration, and the Consumer Product Safety Commission. Culleen has broad experience advising clients on U.S. and international regulatory programs that govern commercial and consumer use chemicals, pesticides, and antimicrobials, as well as the products of biotechnology and nanoscale materials. Prior to joining the firm, Culleen held significant positions at the EPA serving as a manager in various risk management programs. During his tenure in the federal government, he served as its representative on core EPA programs to a variety of interest groups, trade associations, and government bodies, both foreign and domestic, including international cooperative organizations. Learning Field: Auditing Learning Level: Beginner

Thursday September 29, 2016 9:45 – 10:35 AM

GS 4 Key OSHA Issues for the Auditor Community Eric J. Conn Chair, OSHA Conn Maciel Carey PLLC Auditing is the most powerful safety function for employers. There is no better way to identify and fix safety compliance issues. However, OSHA, has been interfering in the audit space more and more over the past several years. From ignoring its long-standing policy against requesting internal audits during inspections and using them in enforcement actions, to proposing an amendment to the Process Safety Management Standard to mandate third party compliance audits. This presentation will touch on the areas of interface between OSHA enforcement and employers’ internal audit programs. Eric Conn focuses his practice on all aspects of occupational safety and health law, representing employers in inspections, investigations, and enforcement actions involving OSHA, state OSHA programs, the Chemical Safety Board, MSHA, EPA, and state and local safety related agencies. Conn also handles all aspects of OSHA litigation, from criminal prosecutions to appeals of citations. He conducts and directs attorney/client-privileged workplace safety audits, delivers safety training, and helps employers develop and implement compliant safety and health programs. Conn writes and speaks extensively on safety and health law issues, including as author of chapters in multiple OSHA treatises and editor of the OSHA Defense Report blog. Learning Field: Auditing Learning Level: Intermediate

Thursday September 29, 2016 10:45 – 11:35 AM

Roundtable Breakouts 3-1 Increasing Management's Comfort Over Sustainability Reports and Metrics Marie – France Hache, CIA Director, Sustainable Business Solutions PwC Leah Picker Manager, Sustainable Business Solutions PwC While some industries are just now grappling with the sustainability aspect as it relates to auditing, EHS auditors have already been living in that world. But questions remain on how to get management involved and arrive at an understanding of how metrics are decided, what they use, and what they mean. Participants will have an opportunity to give and receive in this exploratory session. In this session, participants will:

Expand knowledge on trends related to nonfinancial/sustainability reporting.

Explore and share approaches and methodologies to assess nonfinancial/sustainability information.

Discuss risks and opportunities to improve nonfinancial/sustainability reporting.

Marie Hache has more than 10 years of experience in sustainability and environmental reporting in Canada, Spain, and the U.S., and currently leads the SBS and conflict minerals practices for a portion of the southwest United States. She specializes in nonfinancial reporting, (pre-)assurance as well as improving sustainability programs and reporting using a long-term value creation lens. Hache advises companies on the development, implementation and assessment of their sustainability programs, KPIs, and carbon management strategies, as well as conducting sustainability and GHG emissions-related audits. She works with companies to assess risks and opportunities related to sustainability, including reporting initiatives such as GRI, DJSI, CDP, integrated reporting, and SASB. She has worked in various sectors, including utilities, manufacturing, transportation, pharmaceuticals, financial services, retail and hospitality. Leah Picker serves in PwC’s Trust and Transparency and Sustainable Business Solutions practices. She has been involved in a variety of sustainability assurance engagements including readiness assessments, internal audit assistance, and third-party assurance engagements. During 2015, Picker was a loaned employee from PwC to the Sustainability Accounting Standards Board (SASB) as an assurance consultant. Learning Field: Auditing Learning Level: Intermediate

Roundtable Breakouts 3-2 Assessing the Quality of Your Community Relationships: 12 Relationship Audit Criteria James Lukaszewski President The Lukaszewski Group Division The key to success, to maintaining existing and gaining new permits, is communication and positive relationship-building with the local community and a variety of regulatory and special publics. Keeping these relationships requires periodic audits of community relationships and of communication techniques and approaches. In this session, participants will:

Walk away knowing the major attributes of successful environmentally related communication

programs and strategies.

Learn and begin the process of building quality community relationships through ethical behavior,

analyzing the community’s needs through public consent models, and forming successful strategies by

prioritizing relationships by their core value impact.

Gain an understanding of the importance of addressing and responding to key audience concerns and

values promptly, managing communication, and planning for local governmental needs.

Receive handouts including audit checklists to help evaluate existing communication plans, strategies,

policies, and tactics.

James Lukaszewski is America’s Crisis Guru® has devoted his international practice to helping organizations and their leaders respond to serious trouble they are in or have caused; recover from the damage they suffer and cause; manage the victims they create and must care for; and repair reputational damage through constructive, workable ethical approaches. He is the author of 12 books, and hundreds of articles and webinars. Lukaszewski’s principal focus is crisis management and reduction, as well as leadership and reputation recovery. Learning Field: Auditing Learning Level: Intermediate Roundtable Breakouts 3-3 Auditing Beyond Compliance: Lessons Learned to Improve Industrial Facility Audits for Operational Integrity Lance Traves, CHMM President Labyrinth management Group, Incorporated

Many EHS audit programs today incorporate risk-based approaches to overall program design and implementation of corrective actions. Still, EHS audit programs generally fail to incorporate a risk-based methodology into the actual performance of a facility audit. This presentation briefly discusses the recent adoption of a risk-based audit methodology for the performance of internal audits by an offshore drilling contractor. In this session, participants will:

Be introduced to offshore oil and gas EHS risk management.

Review existing EHS risk-based auditing concepts.

Learn about Transocean's offshore drilling operations risk-based audit approach.

Gain insights on applying the offshore risk-based audit approach to EHS audits of land-based industrial

facilities.

Lance Traves has more than 30 years of consulting experience providing strategic EHS compliance and risk management solutions to industrial operations. His experience includes serving as a lead auditor for more than 100 EHS compliance audits and operational risk management reviews at a wide range of industrial operations. In 2014, he was approved as the Independent Consent Decree Compliance Auditor for the Consent Decree between the U.S. and Transocean related to the Macondo Well failure that caused the sinking of the Deepwater Horizon drillship and resulting hydrocarbon spill of national significance. Traves was also the lead auditor for the inaugural round of U.S. Safety and Environmental Management System (SEMS) program audits of an international oil company’s U.S. offshore drilling and production operations. Learning Field: Auditing Learning Level: Intermediate

Thursday September 29, 2016 11:35 – 12:45 PM

Lunch & Learn Internal Auditing Guidelines for ISO 14001:2015 – Understanding the Changes and Improving the Value Added by Internal Audit Milt Dentch Consultant MPD Consulting The new requirements of ISO 14001:2015 will provide an opportunity for internal auditors to expand their knowledge of their organization’s business model and strategic direction. While internal auditors will continue to assess the company’s approach to managing the environmental management system (EMS), they will also be reviewing how the organization manages risk related to the EMS and how the EMS is integrated into the organization’s business. In this session, participants will:

Gain knowledge of the new requirements of ISO 14001:2015/

Understand how to assess objective evidence related to ISO 14001:2015 requirements.

Receive tips on recognizing objective evidence that indicates conformance to the new requirements.

Develop new techniques in auditing to EMSs using audit trails.

Improve preparation of EMS’s nonconformances.

Milt Dentch has over 40 years of experience in a wide variety of industries. He is an exemplar global qualified lead auditor for Quality and Environmental Management Systems and a registrar-approved OHSAS 18001 lead auditor. He has conducted over 500 third-party audits to ISO 9001, ISO 14001, and ISO 18001 standards for companies throughout the Americas and Europe. In 2012, Dentch wrote Fall of an Icon: Polaroid after Edwin H. Land: An Insider’s View of the Once Great Company, plus two handbooks on ISO implementation guidance. Learning Field: Auditing Learning Level: Intermediate

Thursday September 29, 2016 1:15 – 2:15 PM GS 5 Frameworks for Nonfinancial Reporting: How EHS Auditing Can Provide Value to the Face of the Organization Douglas Hileman, CRMA, CPEA President Douglas Hileman Consulting LLC EHS professionals are familiar with Sustainability/Corporate Social Responsibility (CSR) reports; GRI’s G4 framework, which introduced materiality analysis and discussion; CDP frameworks for greenhouse gas (GHG) reporting and water reporting; and the Sustainability Accounting Standards Board (SASB)’s own EHS parameters it believes should be included in an organization’s 10-K. Individual industries and customers have their own requirements. Stakeholders use and rely upon this information to gauge financial, operational, and reputational impact on their organizations companies. In all of these frameworks, there is great opportunity for EHS auditors to be major contributors to the processes. In this session, participants will:

Learn basic elements of nonfinancial reporting frameworks that include EHS aspects.

Compare the requirements and risks to those typically included in EHS auditing programs.

Learn about risks that can arise from EHS components in nonfinancial reporting frameworks.

Begin to recognize how the mission and scope of traditional EHS auditing programs should be adjusted

to address current enterprise risks.

Douglas Hileman has 40 years of experience in EHS, including facility compliance, corporate compliance, EHS auditing, support to financial audits, and sustainability reporting, and launched his firm in 2008. He was active in the Auditing Roundtable, chairing five national meetings, and serving two years on the board. During six years at PwC, Hileman supported scores of financial audits, as well as internal audits. His firm has conducted assurance engagements for the SEC's Conflict Minerals Rule for each of the three years it has been applicable. He has served in leadership positions of The IIA at the local and global level, including serving as a member of Professional Issues/ Guidance Development Committee. He co-authored Internal Audit and the Second Line of Defense, an IIA Practice Guide released in 2016. Learning Field: Auditing Learning Level: Intermediate

Thursday September 29, 2016 2:45 – 4:00 PM

GS 6 Environmental Health & Safety Regulatory Developments: Trends, Directions and Developments Gary Lucks Environmental Attorney Beyond Compliance This session provides a high level summary of recent legislative, regulatory, and judicial environmental, health, and safety developments impacting businesses. Gary Lucks has extensive expertise in environmental, health, and safety (EHS) law, legislative affairs, and sustainability strategy and implementation from more than 20 years of experience advising Fortune 500 clients in clean tech, high tech, power, aerospace, biopharma, and many other industry sectors. He is a licensed attorney and scientist who has completed or overseen more than 400 major EHS compliance audits across the country. He advises clients on maintaining business continuity and license to operate while managing EHS risks. Lucks also specializes in sustainability strategy, implementation and reporting, environmental compliance counseling, environmental auditing, environmental management systems (EMS), training, and permitting. Lucks has published extensively on environmental law, legislation, and policy. He co-wrote a book on environmental law (California Environmental Law and Policy: A Practical Guide) which is used in law schools, colleges, by practitioners, and which has been cited in legal opinions) and wrote the Environmental Auditing Chapter in the California Environmental Law and Land Use Treatise. Lucks serves on the California State Bar Environmental Law Section’s Executive Committee and serves on the California State Bar Environmental Legislation Committee. He recently completed a four-year term as an Advisor to the Bay Area Air Quality Management District. Lucks has taught courses on environmental law, auditing, sustainability, climate change, and legislation for over 20 years at the University of California Extension, The IIA, and trade groups.

Learning Field: Auditing Learning Level: Intermediate