Continous compliance october 2019 webinar (2)
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Compliance can be broken down into three key questions: - What are your requirements? - What actions are you taking to meet your requirements? - How do you verify the actions are effective? These seemingly straightforward questions are surprisingly challenging to implement. Ultimately, your compliance program is only as good as your operational discipline which is only as good as your processes. So the real question is - Do your processes revolve around compliance or is compliance an afterthought? This webinar will discuss the key steps to embed compliance in your processes. You will walk away with a toolkit on how to achieve continuous compliance across your operations. Key Take-Aways: - A structure to move from reactive to preventative compliance - Tools to identify your processes that may have compliance issues - How to convince upper management that continuous compliance drives efficiency
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Continous compliance october 2019 webinar (2)
- 1. Continuous Compliance By Nimonik Embed compliance in your operations
- 2. About the speaker • CEO of Nimonik • Metallurgical engineer • Passionate about world-class compliance and easy-to-use software
- 3. Why? Go from a compliance program on paper to a comprehensive compliance program in practice Paper Practice
- 4. Role of compliance • From lagging to leading • From reactive to proactive • EHS Strategy Comprehensive EHS Compliance Environment managementsystem Health&Safety managementsystem OtherEHSmanagement systems EHS Excellence
- 5. Other Nimonik Compliance Webinars 7 steps to comprehensive compliance The 4 key types of regulations The not so hidden costs of non-compliance
- 6. Poll Which Nimonik webinars have you attended?
- 7. Agend a Non-compliance risks Compliance challenges Continuous compliance Q/A 01 02 03 04
- 9. Non-compliance risks Risks of non- compliance Accidents Penalties Reputation damage Product delays Regulated out of business 1 2 34 5
- 10. Penalties https://www.epa.gov/enforcement/enforcement-annual-results-numbers-glance-fiscal-year-2017
- 11. When non-compliance happens 2015, Los Angeles, “The Safety Manager was sentenced to three years of probation and will face fines and penalties of about $19,000 after pleading guilty to a single felony count of violating a workplace safety rule that caused a death.” – The Guardian 2016, Iowa, a business owner was sentenced to 24 months incarceration. He was also sentenced to three years supervised release following his imprisonment. He is required to pay $789,138.03 in restitution for knowingly storing hazardous waste without a permit. - EPA 2017, Ontario, “At least 11 employers sentenced to jail for safety violations in Ontario, figures show” – CBC
- 12. Penalties Source: EPA 2018 report
- 13. Source: X. D. Xu et al Reputational damage
- 14. Market access/Product delays German automotive parts company supplier shutdown in China affected 200 car models and 49 makers https://www.scmp.com/news/china/economy/article/2 112333/german-car-parts-supplier-says-chinas-green- campaign-will-slash
- 15. Regulated out of Business “186. An inspector may order the suspension of work or the complete or partial shutdown of a workplace and, if necessary, affix seals, if he considers a worker’s health, safety or physical well- being to be endangered.” – Act respecting occupational health and safety, Quebec “China Shuts Down Tens Of Thousands Of Factories In Widespread Pollution Crackdown” – Oct. 2017, Forbes.com
- 17. Compliance challenges Unsustainable programs Reduced workforce Increasing demand Poor processes Sporadic improvement Poor resources Lack of support from other departments
- 18. How to achieve continuous compliance
- 19. Poll What is your compliance approach – reactive or proactive?
- 20. Traditional Method Reactive compliance programs that are built out in a progressive and chaotic manner Our goal today is to explain a process for proactive behaviour Reactive Behaviour findings, audits, incidents, fines and penalties corporate initiatives and customer requests
- 21. Keep it Simple Stupid (KISS) Identify your applicable regulations, codes and standards What are your requirements? What actions are you taking Identify Verification Actions are being taken by the right people Actions have the desired compliance effect
- 22. Determine objectives, capacity & needs • Do we have the resources? • Do we have the people? • Do we have the organizational structure? Work from your objectives (continuous compliance) back to your capacity needs Objectives Compliance needs
- 23. Proactive management of compliance has many benefits Business Case for Compliance Establish expectations with staff and contractors Avoid delays on projects and product introduction Drive buy-in of your staff by linking process to requirements 02 01 03
- 24. An Analogy to Compliance: Quality Management In the 1970s, people associated Quality with High Cost. Lean manufacturing from Japan, flipped this on its head. Japanese companies solved quality issues at their source, leading to decrease in production costs. US Companies never recovered.
- 25. 7 steps for comprehensive compliance 2 Select requirements that apply to you 3 Implement a process with your subject matter experts Plan 4 Document your compliance actions 5 Monitor for changes to your requirements 7 Take action on non-compliance and opportunities for improvement Do Check Act 1 Identify your applicable regulations, codes and standards 6 Verify compliance with audits and management reviews Continuous Improvement
- 26. 7 steps for comprehensive compliance 2 Select requirements that apply to you 3 Implement a process with your subject matter experts Plan 4 Document your compliance actions 5 Monitor for changes to your requirements 7 Take action on non-compliance and opportunities for improvement Do Check Act 1 Identify your applicable regulations, codes and standards 6 Verify compliance with audits and management reviews Continuous Improvement
- 28. Embed into existing process Leverage existing systems and process Map your requirements Map your process Identify gaps between the two
- 29. Identify Gaps in your Compliance Matrix Process (Actions) Compliance Obligation Issuance of PPE to staff and contractors Personal Protective Equipment - Safety Regulation, s.45 Contradictory Process Management of used oil No Process Requirement for office lighting, regulations and standards
- 30. 7 steps for comprehensive compliance 2 Select requirements that apply to you 3 Implement a process with your subject matter experts Plan 4 Document your compliance actions 5 Monitor for changes to your requirements 7 Take action on non-compliance and opportunities for improvement Do Check Act 1 Identify your applicable regulations, codes and standards 6 Verify compliance with audits and management reviews Continuous Improvement
- 31. Actions Leverage Existing Processes Link Compliance Obligations to existing processes Create new processes based on compliance obligations and align them with current practices when possible Develop training and communication around these Compliance Obligations and Actions
- 32. Implement Compliance Obligations Document your compliance actions • Procedures & Processes: • Compliance management procedures • Compliance required procedures • Records: • Internal and external communication • Implementation outcome evidence • Permits & License: • National Pollutant Discharge Elimination System (NPDES) Permit Compliance Obligation Document Requirement, Responsibility Procedures Work instructions/SOPS Records and forms Why? Who when where? How? Evidence
- 33. Compliance Culture Culture is the outcome of our actions - that is, if we change our actions, we change our culture. Continuous compliance is about a culture of compliance all the time.
- 34. Compliance Culture Compliance Culture Operational Excellence Compliance Culture Safety Environment Safety Culture HR Finance
- 35. Rail Company in Illinois Requirement to have two people on all trains at all times. Catching this and linking it is real tough. Do you have a process for # of people on a train and is it being verified against regional requirements? EHS HR Operations ? ? ?
- 36. Do and Do Not ● Compliance is also about what you cannot do. ● For example, in most jurisdictions staff cannot obstruct an audit or inspector when they are on site investigating a spill or incident.
- 37. Time Sensitive Compliance •Construction project - work near wetlands can only be done during a specific timeframe and if the contractors work in the wetlands out of this time block, they get in trouble. •You need to manage not just compliance but also compliance within a set time.
- 38. NFPA 130 •Upgrading a train tunnel in Montreal, the contractor accepted to meet NFPA 130 as part of the contract but did not fully analyze the requirements of this standard. When they delivered, they realized they were not in compliance. They asked for additional budget (130 M), but this was refused as the contract stated that NFPA 130 was part of the contract… •They needed to implement compliance in their build process.
- 39. 7 steps for comprehensive compliance 2 Select requirements that apply to you 3 Implement a process with your subject matter experts Plan 4 Document your compliance actions 5 Monitor for changes to your requirements 7 Take action on non-compliance and opportunities for improvement Do Check Act 1 Identify your applicable regulations, codes and standards 6 Verify compliance with audits and management reviews Continuous Improvement
- 40. Verification Check actions are being taken and having the desired effect Compliance must be cultural, determine your cultural acceptance of compliance Verify people understand the processes Verify people are doing the process Verify the process is having the desired effect
- 41. Actions Are processes being followed and acted upon 3 Compliance Culture Do staff understand their compliance obligations 4 Recordable incidents Consequence of missing process and deviation from compliance obligations 1 Deviations Lack of resources or misalignment of process with operational reality 2 Pyramid of Compliance Work from the bottom up
- 42. Hole in first slice, creates holes in other slices... Accident trajectory Losses Identified Requirements Actions implemented Verification of Actions Verification of Impact of Action ● Identify your applicable regulations, codes and standards ● Miss a requirement, it will create holes in other slices ● Implement a process or map it to an existing process ● Verify compliance culture ● Verify actions are being taken ● Verify actions are having the desired impact
- 43. Take away Requirements, Actions, Verification Leverage existing processes and procedures Determine capabilities of your organization and if you can achieve your objectives 1 2 3
- 44. Mini-Audit 1 - Identify Do you have a central list of your operational procedures? 1 - Identify Do you have a central list of your compliance obligation sources and documents? 3 - Subject Matter Experts Is compliance part of your employee onboarding process? 6 - Verification Do your current processes link back to compliance obligations? 6 - Verification Do you have a review mechanism in place for changing compliance obligations? 6 - Verification Do you have an assessment of effectiveness on your compliance actions? Other Do your directors and c-suite view compliance as a cost or as a driver of operational excellence?
- 45. Help companies respect their compliance obligations - environment, safety, quality and more. Established 2008
- 47. Compliance Obligations 01 Audit Protocols 02 Audit 03 NimonikApp A web app to manage and action regulatory requirements Our Products EHS legal registers integrated with regulatory monitoring service on an easy to use web app for industries and jurisdictions worldwide Audit compliance to EHS regulations with comprehensive checklists Audit efficiently with an easy to use app available on web and mobile devices.