790 Environmental Management Systems (EMS)

Step 20: Evaluating Compliance

Organizations must periodically examine whether they are meeting all their compliance obligations, including both mandatory requirements (dictated by laws and regulations) and voluntary commitments (like industry standards, agreements with community groups, and contractual relationships). The EMS team might choose to evaluate compliance during an EMS audit (described in Step 19) or at a separate time. When determining how often to evaluate compliance, the team should factor in the importance of the requirements, whether the requirements have changed recently, and the organization’s track record of meeting requirements.

Nonconformances identified should be addressed and corrected in a timely manner (see Step 23). A process should be in place to systematically identify, correct, and prevent violations. The EPA provides guidance for effective compliance management at their website, Resources and Guidance Documents for Compliance Monitoring.

The audit team can develop checklists to evaluate on-going compliance and performance issues. Even though checklists are used, still allow flexibility to investigate specific areas of concern not identified on the checklists. Areas of nonconformance can be ranked based on the type of violation:

• regulatory
• company
• policy
• good-management practice
• minor requiring no formal action

Performance audits are an important tool to measure your EMS and compliance. They help you effectively prioritize allocation of resources to achieve the most significant impact on the environment. They measure productivity of audit staff and the efficiency of operating management to respond. They quantify progress toward company goals. They help reduce potential liability risks, and they provide useful information for management to assess progress and to communicate success with the company’s stakeholders. Below are steps in conducting compliance audits.

Evaluating compliance is a key part of an Environmental Management System (EMS). The main purpose is that it helps an organization ensure it meets legal, regulatory, and internal environmental requirements. The steps below outline how an organization can evaluate its EMS compliance effectively:

1. Identify Applicable Requirements: The organization must gather all environmental laws, regulations, permits, and internal policies that apply to its operations. This includes local, state, and federal rules, as well as industry standards and customer requirements.
2. Determine Compliance Obligations: Once all requirements are identified, the organization must understand what actions are necessary to stay in compliance. This may involve monitoring emissions, maintaining equipment, or following proper waste disposal procedures.
3. Review Operational Activities: The organization must examine processes and operations to check if activities align with legal and internal requirements. This includes inspecting equipment, observing work practices, and reviewing procedures.
4. Conduct Internal Audits: Regular audits must be performed to verify compliance. Trained personnel evaluate whether the EMS is being followed and whether legal requirements are being met. Audits help identify gaps, errors, or areas for improvement.
5. Document Findings: All compliance checks, audits, and inspections must be documented. This includes any nonconformities found, corrective actions taken, and follow-up activities.
6. Correct Nonconformities: If any compliance issues are found, the organization must take steps to correct them. This includes identifying the root cause, fixing the problem, and preventing it from happening again.
7. Evaluate and Improve: After corrections are made, the organization must evaluate whether the changes were effective. Lessons learned from compliance reviews should be used to improve the EMS and prevent future problems.

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