MOVEMENT 3. The Clients’s EMS Summaries I, II & III, and Compliance Power Tools.
It’s often been said,
There are five points to the compass: north, east, south, west…and where you are! And you can’t get to where you want to go, until you know your current location.
Movements 1 and 2 position the client to make wise business decisions about his regulatory compliance matters. In fact, decisions regarding regulatory compliance happen to be the top two- or-three most important decisions a senior manager makes on an annual basis, especially when his Regulatory Compliance Agenda indicates a status of non-compliance on one or more EHS compliance laws. Since setting priorities, implementing decisions, and meeting compliance deadlines are just as important as knowing the disposition of your company’s Regulatory Compliance Agenda, an important component of Vanguard’s service to the client is that of performing a regulatory review (annually, or as needed) with the client’s various stakeholders. This would include Sr. Management, the EHS Manager(s), Quality Assurance Manager (due to his role with ISO certifications, and all personnel associated with a client’s risk management planning.
Since Vanguard serves hundreds of clients throughout North America, our compliance services have been the object of dozens of inspections. Inspectors know Vanguard’s reputation for precision due diligence, reporting/permitting mastery, chemical accounting and the Defensible Documentation to support the client’s compliance programs for what’s required, as well as why certain compliance requirements are not applicable to the client’s facility. Though an inspection can present some tense moments for almost anyone, an inspection for a Vanguard client is a veritable “coffee break” for the client’s facility designee. Moreover, Vanguard makes every effort to be available for the purpose of technical representative in person, or by teleconference, if the time and nature of the inspection is announced in advance. Some inspections occur at random.
The centerpiece of the client’s Environmental Management System is best illuminated through EMS Summaries I, II and III. These summaries yield fact-based revelations on how the client’s company stands against 60+ laws and regulations imposed upon industry by the government. The client’s facility data is screened against the Government’s regulatory benchmarks to identify compliance gaps, or to simply eliminate such regulations that might otherwise become a part of the client Compliance Action Plan. These revelations yield the aforementioned Evidence-Based Compliance. (See Vanguard’s Four Primary Benefits) with precision. EMS Summaries I, II & III provide any inspector with the kind of Defensible Documentation to undergo the most rigorous of enforcement inspections. It’s printable (as needed).
EMS Summary I is fairly straight-forward. It lists the 20 laws and regulations automatically satisfied as a part of the client’s services that go with his Environmental Management System, be it EMS USA!, EMS California! or EMS Canada!. Vanguard knows to provide this feature as a part of the client’s compliance by virtue of knowing that the client has a regulated chemical inventory as contained within the client facility’s Safety Data Sheets (SDSs).
EMS Summary II launches a pursuit of determining which laws/regulations require compliance and which ones don’t. Summary II is dedicated to environmental protection issues only.
EMS Summary III, likewise, launches a pursuit of determining which laws/regulations require compliance and which ones don’t. However, Summary III is dedicated to occupational health & safety matters within the workplace, transportation-oriented regulations and terrorist-prevention issues overseen by the Department of Homeland Security.
At times, facilities within certain jurisdictions are accountable for compliance issues unique to their geographical location. These issues shall be inserted accordingly for those facilities whose needs on a state, county or local level needs to be addressed.
Three examples are:
- Source Reduction/Waste Minimization (SRWM) programs required by the States of Arizona, California, Georgia, Texas and Washington;
- Florida’s Environmental Resource Permit (ERP); and
- Michigan’s Pollution Incident Prevention Program (PIPP).
Compliance Gaps Identified and Three Risk Calculators
Some important compliance power tools within this movement consist of Compliance Gaps Identified, which lead directly to Three Risk Calculators. The component known as Three Risk Calculators relies on the following logic:
- What measurable risks (in terms of real dollars aligned with the governing agency’s civil penalties) have been altogether eliminated? In other words, the first risk calculator lends concrete numbers as a measurement of fines that will not occur, simply because Vanguard’s due diligence technologies eliminated such compliance risks as part of the client’s compliance action plan. What a great benefit in knowing what compliance issues don’t need to be tackled!
- There are times that a client’s compliance officer may not be certain whether compliance must be met, which implies items marked “to be determined” but may need some attention. With such risks left open for the potential of civil penalties, the second risk calculator allows a compliance officer to develop a to-do list for the purpose of risk elimination (moving such items to the first risk calculator) or developing an action plan that would include such regulations that would otherwise fall prey to negligence. With civil penalties so significant as $64,000 per day per violation (and more), regulatory compliance is not an arena where ambiguity will be tolerated by enforcement inspectors.
- The third risk calculator measures civil penalties that are certain to come if the client does nothing to address the compliance gaps illuminated in EMS Summaries II and III. Vanguard’s exhaustive Regulatory Calendar with Compliance Deadlines. Whether for the U.S. or Canada, the client’s EMS is set to federal deadlines for each month throughout the calendar year, or state/provincial deadlines applicable to companies within those jurisdictions.