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
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
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
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
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.
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
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.