Evaluating Compliance

Dr Emma Goodchild
Manager, ENVIRON, Manchester

Agenda

Background

ISO 14001 Requirements

Meaning of Evaluation

Process for a Compliance Evaluation

Summary

Background

The value of ISO 14001 was / is being reduced by
certified companies being prosecuted

New clause was introduced in 2004 version of
standard on Evaluation of Compliance

Presents a key challenge to most organisations due
to very wide scope and the significant knowledge
required

As a result is a common area of non-compliance
during external audits

ISO 14001 Structure

4.2

4.6

Environmental
Policy
4.3

Management
Review

Planning

ISO 14001
Overview
Checking
& Corrective
Action
4.5

Implementation
& Operation 4.4

ISO 14001 ELEMENTS

4.5 Checking

REQUIREMENTS

4.5.1 Monitoring & Measurement

4.5.2 Evaluation of Compliance

4.5.3 Nonconformity, Corrective Action & Preventative Action

4.5.4 Control of Records

4.5.5 Internal Audit

ISO 14001 ELEMENTS

4.3.3 Evaluating Compliance

Consistent with its commitment to compliance, the

organisation shall establish, implement and maintain a
procedure(s) for periodically evaluating compliance
with applicable legal requirements

The organisation shall evaluate compliance with other
requirements to which it subscribes

The organisation shall keep records of the results of
periodic evaluations

Meaning of Evaluating

measure or estimate the nature, quality, ability,
extent, or significance of

to draw conclusions from examining

To make a judgement based on criteria

A systematic determination of significance of
something or someone using criteria against a set of
standards

Suggested Procedure for Evaluating

Compliance
1. Clearly identify legal and other requirements
2. Relate requirements to processes and activities
3. Select competent person to carry out evaluation
4. Develop checklist or other approach
5. Carry out evaluation
6. Assess extent to which the organisation meets
requirements
7. Review and report to senior management

Identification of Legal Requirements

Legislation, including Acts and Regulations

EU Regulations (which stay as EU wide
Regulations)

EU Directives (may not yet enacted into UK Law)

Permits, licenses or other authorisations

Orders issued by regulators

Planning permissions

Examples of Permits

IPPC Permits

Part B Local Authority Permits

Surface Water Discharge Consents

Trade Effluent Discharge Consents

Consent to Discharge to Land

Abstraction Licences

Planning Permissions

Identification of Other Requirements

Non-Regulatory Guidance

Voluntary Principals or Codes of Practice

Corporate Requirements

Contracts

Requirements of Trade Associations

Agreements with Non-governmental organisations

Agreements with general public

Select Competent Person (s)

Ideally with expertise in all legislation that applies to
the organisation

Competence is based on training, qualifications and
experience

Consider external assistance if organisation does
not have necessary expertise in-house

Establish Checklist

Base on existing Register of Legal & Other Requirements
(Clause 4.3.2)

Commercially available checklists can be used but will need
to be reviewed to include only those applicable to
environmental aspects

Identify applicability of each piece of legislation (i.e. which
areas of the site are affected)

Identify what needs to be checked to evaluate compliance for
each piece of legislation

Consider what is already being done to assess compliance

Examples of Ongoing Compliance

Evaluations

Routine Day to Day monitoring
Trade effluent monitoring and analysis data
Surface water monitoring and analysis data

Non-Routine Periodic Monitoring

Stack monitoring
Asbestos surveys

Routine Inspections and checks

Internal audits
Against permits / consents
Against relevant procedures (pull out which requirements are legally
required to assist internal auditors)

Example Checklist Waste Documents

Duty of Care Transfer Notes?

Waste Carriers Licences?

Final Disposal Site Licences?

Hazardous Waste Registration?

Hazardous Waste Consignment Notes?

Quarterly Returns from Contractors?

Packaging Certificate of Compliance?

Carry Out Evaluation

Evidence
Verbal
Interviews
Physical
Observations
Documentary

Records

Example Observations

Aboveground Storage Tanks

Underground Storage Tanks

Drum and Container Storage

Waste Segregation & Storage

Bunds & Impermeable Surfaces

Hazardous Materials Storage

Spills / Staining

Example Records

Leak Tests on Refrigeration Systems

Qualification of Refrigeration Contractors

Maintenance on Interceptors

Maintenance of Pollution Control Equipment

Tank Integrity Tests

Testing results on Transformers for PCBs

Asbestos register and management plan

Spill records and response

Assess Extent of Compliance

Review all findings

Categorise findings e.g.:
Major Regulatory (e.g. lack of permit or consent)
Minor Regulatory (e.g. failure to meet requirement)
Observation (e.g. isolated weakness)
Best Management Finding (e.g. against other
requirement or best practice)

Prioritisation of findings

Reporting & Review

Document findings in a stand-alone report (but can
reference routine monitoring or other audits)

Prioritise findings so that its clear where the noncompliances exist and their significance

Include legal or best practice citation against each finding

Address findings through established non-conformance
process

Ensure corrective and preventative actions are identified

Transfer longer terms actions onto Management
Programmes

Summary
Key things to remember:

MUST have a comprehensive register of legal and other
requirements as a starting point but focus on key legislation

MUST check permits and consents line by line

MUST assign a competent person(s) to undertake the
evaluation and document why they are considered
competent

MUST establish a procedure for evaluating compliance
(usually documented)

MUST keep records of evaluations

MUST ensure findings are prioritised and addressed