Evaluating Compliance

Dr Emma Goodchild
Manager, ENVIRON, Manchester

ISO 14001 Requirements 
Meaning of ‘Evaluation’ 
Process for a Compliance Evaluation 

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 .

6 Environmental Policy 4.4 .5 Implementation & Operation 4.3 Management Review Planning ISO 14001 Overview Checking & Corrective Action 4.2 4.ISO 14001 Structure 4.

ISO 14001 ELEMENTS 4.5.5 Checking REQUIREMENTS  4.3 Nonconformity.5.5.2 Evaluation of Compliance  4.5. Corrective Action & Preventative Action  4.5 Internal Audit .5.1 Monitoring & Measurement  4.4 Control of Records  4.

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 . the organisation shall establish.3 Evaluating Compliance  Consistent with its commitment to compliance.3.ISO 14001 ELEMENTS 4.

quality.Meaning of ‘Evaluating’  measure or estimate the nature. 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 . ability.

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

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 .Identification of Legal Requirements  Legislation.

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 .

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.3. 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 .Establish Checklist  Base on existing Register of Legal & Other Requirements (Clause 4.

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 Carrier’s 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 .

g. failure to meet requirement) – Observation (e. against ‘other requirement’ or best practice)  Prioritisation of findings . isolated weakness) – Best Management Finding (e.Assess Extent of Compliance  Review all findings  Categorise findings e. lack of permit or consent) – Minor Regulatory (e.g.g.g.g.: – Major Regulatory (e.

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 .