KEEPING PACE WITH COMPLIANCE
MANAGEMENT IN THE SMS APPROACH
JOHN EASTON – WHO AM I?• CRSP, MHSc, Occupational &
Environmental Health • Over 15 years’ experience in health
and safety• Led the development & implementation of an
ISO-based health and safety system at ToyotaIncluded comprehensive risk assessment program
• Director of Product Management for MedgateCollaborate with SME colleagues & customers to
align safety software with best practices
EHS MANAGEMENT SYSTEMS
2 KEY ELEMENTS OF THE SMS / EMS
Risk management
Compl iance management
WHAT IS COMPLIANCE MANAGEMENT?
COMPLIANCE MANAGEMENT
Requirement of management systems to track and maintain extensive libraries of ‘legal and other requirements’ and permits, and prove
compliance to those requirements.
“The organization shall establish and maintain a procedure for identifying and accessing the legal and other OH&S requirements that are applicable to it. The organization shall keep
this information up-to-date. It shall communicate relevant information on legal
and other requirements to its employees and other relevant interested parties.”
OHSAS 18001 DESCRIPTION
Compliance Management is not always easy
And keeping up with requirements often seems overwhelming
But effective compliance management IS Possible
WHAT IS COMPLIANCE MANAGEMENT?
Do you meet the basic requirements of a
compliance management system?
Don’t stop there!
Remember:The ultimate goal of the management
system is to improve the health, safety, and/or environmental performance of
the organization. It’s not just about ticking boxes!
COMPLIANCE MANAGEMENT
MANAGING COMPLIANCE
MANAGEMENT
TYPICAL COMPLIANCE MANAGEMENT WORKFLOW
Plan / Mitigate
Monitor / Report AssessReview workplace,
assess compliance to legal req’s/permits
IdentifyExtract & organize legislative
clauses / requirements, build library
Create plan to complete requirements & correct
non-conformances. Close out items in the plan
Identify requirements not being met & evaluate
consequential risk to org.
• Keeping requirements inventory up-to-date• Maintaining record history of changes made1. Inventory
• Recording actions associated with each req’mt• Ensuring management of change as req’s change2. Actions & MOC
• Tracking findings & corrective actions for addressing non-conformances
3. Non-conformances
4. Measuring
5. Integration
• Tracking & monitoring compliance management program performance visually & effectively
• Integrating compliance management into other components of your safety program
TOP 5 COMPLIANCE ISSUES
It starts and ends with data management
TACKLING COMPLIANCE ISSUES
How are you tracking data?
Requirement data gathered in a binder & put on a shelf: often forgotten & not actively incorporated into the safety program
PROBLEM SCENARIO 1:
Track & maintain legal & other requirements
spreadsheets
Risk Assessment / JHA
Desktop database 1
Audit & Inspection Programs Paper
records
Corrective Action Tracking
Simple software system
Education & Training
Desktop database 2
Incident Management
Paper / spreadsheets
Disparate data systems (each element managed in a silo): • Compromises data integrity• Maximum effort to input, maintain & extract data • Systems don’t talk to one another, data is unrelated
PROBLEM SCENARIO 2:
Track & maintain legal & other requirements
spreadsheets
Risk Assessment / JHA
Desktop database 1
Audit & Inspection Programs Paper
records
Corrective Action Tracking
Simple software system
Education & Training
Desktop database 2
Incident Management
Paper / spreadsheets
Data accuracy and report quality may be
questionable
Manual work, compiling data from disparate systems (takes hours, days)
PROBLEM SCENARIO 2:
Think of it as the common thread connecting the elements of your SMS
Compliance Management should be a dynamic and integral element of your safety program!
Track & maintain legal & other requirements
Risk Assessment / JHA
Audit & Inspection Programs
Corrective Action Tracking
Education & Training Incident Management
Compliance Management
SOLUTION: INTEGRATED SYSTEMS WITH COMPLIANCE AT THE CENTER
The integrated approach to compliance management is synergistic with the ultimate goal of the SMS: improving performance to
promote a healthier, safer workforce
ACHIEVING INTEGRATION
• Paper may slow you down• Relational databases (ie: an integrated
software solution) are most useful
EXAMPLE OF INTEGRATED WORKFLOW
Inspection linked to a compliance requirement -> inspection performed, finding noted -> recording the finding automatically kicks off the appropriate corrective action process, which can be monitored to completion
Ensures requirements are adhered to at every point and that workflows supporting legal and other requirements are integrated
Standardize Processes
Streamlines data entry and ensures that records are complete and accurate (useful for compliance audits)
Share Data
Automatically populates essential requirement details such as due dates and completion statuses for compliance actions.
Connect Requirements to safety program
Automate Communications
Email notifications, reminders, and business rules across the chain of command ensure compliance actions are reviewed / completed
BENEFITS OF INTEGRATION
2 KEY ELEMENTS OF THE SMS/EMS
Risk management
Compl iance management
INTEGRATING RISK & COMPLIANCE• Example of how to link Risk Management to
Compliance requirements via job inventory
INTEGRATING RISK & COMPLIANCE• Example of risk assessment:
Observe, classify, monitorUse the same principles for compliance
TAKE HOME MESSAGE
• Don’t simply implement & use your compliance management system to check off a box on your SMS to-do list
• Use compliance management to tie together your safety program elements and improve performance - thereby creating a safer, healthier, more productive work environment
CHOOSING A SYSTEM• There are many safety program data
management solutions – do your research• In my whitepaper of the same name:
Feature checklist of what to look for in an integrated compliance management solution
• Additional Medgate resources Compliance Management product detail Safety demo video (on compliance) Other whitepapers
MEDGATE’S SAFETY SOFTWARE• Learn more about Medgate’s
compliance management software, part of our Safety Suite
THANK YOU!