Advancing Compliance Assurance and EHS Management Systems

C U S T O M S O L U T I O N S F O R C O M P L I A N C E [ R E A C H | R o H S | C P S I A | R S L | P R O P 6 5 ]

I N F O @ A S S E N T C O M P L I A N C E . C O M W W W . A S S E N T C O M P L I A N C E . C O M T E L : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1

ASSENTCOMPLIANCE

KRYSTAL CAMERONDIRECTOR – REGULATORY AFFAIRS613.882.1429 [email protected]

EVERYTHING YOU NEED TO KNOWCONFERENCE RECAP BY ASSENT COMPLIANCE



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ABOUT ASSENTAssent Compliance delivers SaaS Environmental Compliance Services to companies who must comply with local, national and global environmental regulations. Assent also supports its software division with a team of highly experienced industry consultants to provide our clients with turnkey compliance solutions. Industry experts at Tier 1 compa-nies rank Assent Compliance amongst the top environmental compliance solutions in the world and one of the only global solution providers to offer a full service solution from end to end.

OUR MISSIONIs to help our clients comply with environmental regulations in the most efficient and cost effective manner possible. This is achieved through SaaS automation of processes and working with clients to build efficient internal compliance programs that meet global compliance requirements.



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HOW THE ASSENT COMPLIANCE MANAGEMENT SYSTEM WORKS

INTEGRATES WITH MAJOR ERP/PLM

SYSTEMS

BUILT-IN CRM FOR COMPLIANCE TASKS, DUE DILIGENCE REPORTING

AND AUDIT TRAILS

MODULES TO COMPLY WITH ALL MAJOR ENVIRONMENTAL

REGULATIONS

PULLS BILL OF MATERIAL (BOM) INTO A CENTRALIZED COMPLIANCE DATA BASE

OR OPERATES AS A STAND-ALONE SYSTEM.

BUILD IPC 1752-A FORMS. IMPORT/EXPORT VIA XML

ALLOWS INTERNAL STAFF TO MAKE ENGINEERING OVERRIDE

ASSESSMENTS

COMMUNICATES WITH SUPPLY CHAIN IN BI-DIRECTIONAL FASHION

TO PROCURE ENVIRONMENTAL INFORMATION FROM SUPPLIERS

HOMOGENIZE PROPRIETARY SUPPLIER DOC FORMATS IN XML

ACTS AS A REPOSITORY FOR ANY COMPLIANCE RELATED MATERIAL




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Compliance Assessment Services For Environmental Regulations

Internal Standard Operating Procedure Consulting

Compliance Plan Development

Compliance Strategy Consulting

Conflict Mineral Compliance

IT System Integration

CONSULTING SERVICES



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OUR CLIENTSAssent serves clients ranging from Small Business to Fortune 500. In global supply chains companies of all sizes must comply with environmental regulations. Regardless of size Assent has products and services to help any sized company meet their environmental compliance obligations.



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OTTAWA, ONTARIO CANADA (HQ)

NEW YORK, NEW YORK

TAIPEI, TAIWAN

MUNICH, GERMANYLONDON, UK

KENYA(CONFLICT MINERALS)

BANGALORE, INDIA

OUR OFFICES



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KEY TOPICS• Managing global operations with its variety of regulatory requirements

• Prioritizing Material Risk

• Creating a Compliance Culture

• Leveraging existing systems – Lessons Learned

Compliance Benchmarking was a staple of the presentations for the topics above as every company explained their systems and processes.

• Domestic and International Regulatory Update – Trends



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MANAGING GLOBAL OPERATIONSCOMPLEXITIES IN AN EVER-CHANGING LANDSCAPE

Companies Presenting:

• Cargill

• Goldwind USA Inc.

• Corning

• Assent Client

Main Discussion Points:• Leverage Technology

• Whether in-house or external (resources and capability are company dependent), it is vital to succeeding at a global level

• Make it simple, keep it basic

• Training and Education

• Clear, Defined Goals

• Highest levels of Management must be involved

» Especially for global organizations, it must be a priority to the company from the top down

» To have them involved, you have to speak their language

• See the value and cost/benefit ratio



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• Feedback on SUCCESS as well as gaps or opportunities

• Methodology:

» Pick the toughest regulation and make that the standard

» Minimum standard should ensure compliance

» Customer requirements – above the law?

• Talent and expertise

• Use external resources if the internal expertise does not exist

» Hiring vs. Consulting vs. Training to acquire the internal expertise

• Every company is different

• Can use a combination

• Multiple areas are affected, not just compliance knowledge is needed

» Product Make-up

» Supply Chain

• Remediation is KEY

MANAGING GLOBAL OPERATIONSCOMPLEXITIES IN AN EVER-CHANGING LANDSCAPE



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PRIORITIZING MATERIAL RISKCompanies Presenting:• Siemens

• Ashland

Main Discussion Points:• Very similar themes to the previous session

• Technology is essential

» Spreadsheets DON’T work

• Not scalable

» Per business unit

» Growing regulations

• Too hard to track

• Management Involvement is essential

» Investment vs Expense

• “Getting the right people in the room” is vital to success

• Authorization Process caused Siemens a huge issue

• June ‘13 Authorization led to two substances added that were in Siemens’ products.

» Previous assumption was that 3 year window for response to authorization would be manageable.

» Did not anticipate one listing could affect several hundred products including system reagents.



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PRIORITIZING MATERIAL RISKSIEMENS

• REACTIVE vs. PROACTIVE Methodology

• Supply Chain

» Declarations to the list(s) as-is

• Testing as Solution

• Engineering Assessment after production

• Note – other presentations also looked at Reactive methodology:

» Always behind the curve

• Possible Consequences: Loss in sales, Redesigns and Recalls, Brand damage

• Supply Chain

• Larger List

» REACH – Registry of intentions and proposed, CoRAP, Restrictions

• Future possibility - Roadmap

» California- Prop 65 and Safer Consumer Products Chemical Candidate list.

» Maine’s Candidate Chemicals for Development of the Chemicals of High Concern list.

» Minnesota’s Chemicals of Concern list.

» EPA - List of Extremely Hazardous Substances and Chemicals for Endocrine Disruptor Screening.

» China’s List of Priority Hazardous Chemicals.

» SIN List?

• FMDs

• Use of risk identification and application for an effective approach

• Testing as QA, Due Diligence

• Compliance as part of Engineering Design

VS



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PRIORITIZING MATERIAL RISKASHLAND

• Heavy IT team involvement

• Internal Tool created

• Uses a “commonalities” approach:

• Legislative framework

» Substance Restriction vs Substance Classification vs Substance Registration

» Creation of flexible models to capture the basics of the multitude of regulations

• Overlap of actual substances in lists (and in products!) to minimize re-assessment

• Current vs. Future – SCALABILITY

• Standardization

• How information is given out

• How information is taken in

» Internally

» Externally



ASSENTCOMPLIANCECREATING A COMPLIANCE CULTURECompanies Presenting:

• The Toro Co.

• Universal Recycling Technologies

• Thomson Reuters

All 3 came back to the same 2 major points:

• Creating Culture:

• Begin with the Why

• Trust but verify

• Morale is vital

» Training and understanding the Why

• Training:

• Effective Learning Management System

» Written

» Multi-Language

» Verbal

• Literacy Issues

• Checks - Who has attended/seen - internally and supply chain

• Adaptation to the audience

» Professional/Office Workers vs. Custodial vs. Machinery

• Connect with other groups doing training, leverage the expertise and the time already being used



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LEVERAGING EXISTING SYSTEMS – LESSONS LEARNED• Tyson Foods

• Senior Operation Management was absolutely key to any traction in the compliance program

• Implementation of KEY requirements:

» Roles and responsibilities

» Corrective and preventive actions

» Compliance communications

» Contractor and Vendor management

» Internal inspections (where applicable)

• The tools and processes where already in place to assist with these!

• What does it all mean?:

• Employees do what’s important to their bosses! (or… culture changes starts at the top!).

• With any sales or marketing campaign, great results rely on good advertising (or... communication).

• Environmental and Safety Professionals really aren’t good at sales or marketing!



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DOMESTIC AND INTERNATIONAL REGULATORY UPDATE – TRENDS• EHS regulatory growth in both the US and abroad

• Compliance in general is growing everywhere!

• Developments and key EHS regulatory changes in the US and globally in the areas of:

• Air Emissions & Climate Change

• Waste Management

• CSR

• Chemicals Management

• Water Protection

• Enforcement and Liability Measures



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Global EHS Regulatory Growth: 2010-2013

Global EHS Regulatory Updates & Trends 4

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Credit: Meghan White – Enhesa



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Global EHS Regulatory Growth: 2013-Present


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Product Stewardship




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EHS Regulatory Growth: United States


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DOMESTIC AND INTERNATIONAL REGULATORY UPDATE – A FEW DETAILS…• EHS regulatory growth in both the US and abroad

• Compliance in general is growing everywhere!

» RoHS

• China

• South Korea

• India

• The Customs Union - Russian Federation, Kazakhstan and Belarus

• California

• Focus on Consumer Safety (State Level)



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• Developments and key EHS regulatory changes in the US and globally in the areas of:

• Air Emissions & Climate Change

• Waste Management

• CSR

» India: Companies are now required to spend at least 2% of its average net profits made during the previous 3 years on CSR initiatives

» EU: Close to making CSR a mandatory part of annual financial statements as per Directive 2013/34/EU

• Chemicals Management

» GHS – Global?

» Russia

» Taiwan

• Water Protection

• Enforcement and Liability Measures

» EHS cases are growing in number and in size

» Penalties are getting much more impactful

• Fines

• Lawsuits

• Detention

• ➢Public Disclosure

DOMESTIC AND INTERNATIONAL REGULATORY UPDATE – A FEW DETAILS… (CONT’D)



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RESOURCESThe recorded webinar and slide deck will be available on the Assent Compliance blog: http://assentcompliance.com/blog/

Thanks for attending!



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QUESTIONS?Please submit your questions in writing using the Q&A tool along the top menu tool bar.

Any questions not addressed during the Q&A portion of this webinar will be addressed in private correspondence after the webinar and in an FAQ document posted to the Assent Compliance Webinars page.

Thanks for attending!

WANT A [email protected]@AssentCompliance.com

Advancing Compliance Assurance and EHS Management Systems

Business

Transcript of Advancing Compliance Assurance and EHS Management Systems