Checking & Corrective Action EPA Regions 9 & 10 and The Federal Network for Sustainability

Checking & Corrective Action

EPA Regions 9 & 10

and

The Federal Network for Sustainability

2

ISO 14001 Components

PolicyPolicy

PlanningPlanning

Implementation and OperationImplementation and Operation

Checking and Corrective ActionChecking and Corrective Action

Management ReviewManagement Review

3

ISO 14001 Elements

Checking and Corrective Action involves:

• Monitoring and measurement

• Nonconformance and corrective and preventive action

• Records

• EMS Audits

Monitoring and Measurement

EPA Regions 9 & 10

and

The Federal Network for Sustainability

5

Requirements

• Document procedures to routinely monitor and measure activities with significant impacts

• Record progress on objectives & targets

• Calibrate equipment

• Evaluate compliance

• Keep records

6

Actions to Support Measurement

• Identify performance indicators

• Establish schedules for monitoring

• Establish record-keeping requirements

• Document measurement procedures

• Communicate to appropriate staff and

managers

Nonconformance and Corrective and Preventive

Action

EPA Regions 9 & 10

and

The Federal Network for Sustainability

8

Requirements

Establish procedures for detecting reporting investigating correcting preventing

Non-conformance with the EMS

9

Actions• Identify cause of nonconformance

• Determine appropriate response

• Ensure actions are appropriate to the size of the problem

• Identify personnel responsible for corrective action and their authorities

• Implement corrective action

10

Actions continued

• Investigate root cause to identifypotential preventive action

• Implement or modify controls to prevent repetition of the nonconformance

• Track progress on correction/prevention

• Document changes in written procedures

• Record the changes made

Records

EPA Regions 9 & 10

and

The Federal Network for Sustainability

12

Requirements

• Identify records associated with environmental issues

• Establish and maintain procedures for their identification, maintenance and disposal

13

Documents vs. Records

Documents– Offer guidance or

explain actions to be carried out

– Can be changed

Records– Provide verification

of things that have happened

– Cannot be changed

14

• Documents are materials that provide management directions:– environmental policy

– internal standards and operating procedures

– EMS procedures

– organization charts

– emergency plans

• Records include– training records

– incident reports

– product information

– complaints and responses

– audit results

– management review meeting minutes

Documents vs. Records

15

Scope of Records

Legislative and regulatory requirements

Permits

Environmental aspects and their associated impacts

Environmental training activity

Inspection, calibration and maintenance activity

Records should cover:

Continued…

16

Monitoring data

Details of non-conformance: incidents, complaints and follow-up action

Product identification: composition and property data

Supplier and contractor information

Environmental audits and management reviews

Scope of Records

…Records should cover:

17

• Identification

• Collection

• Indexing

• Filing

• Storage

Good environmental information management includes:

• Maintenance

• Retrieval

• Retention

• Disposal

Requirements for Records Maintenance

EMS Audits

EPA Regions 9 & 10

and

The Federal Network for Sustainability

19

Requirements

• Determine whether the system conforms

• Assess whether it has been properly implemented and maintained

• Provide information to management

20

Types of EMS Audit

• Complete

• Partial

• Certification audit

• Surveillance audit

• Internal

• External

21

EMS Audit Protocol

Establish procedures that cover

• Scope

• Frequency

• Methodologies

• Audit responsibilities

• Reporting responsibilities

22

Audit Program Establish audit schedule

Internal

External

Base on environmental importance of the activity

Consider results of previous audits

23

Audit Process

• Document and record review

• Opening meeting• Site tour• Interviews

• Auditor conference(s)• Findings development• Closing meeting• Audit report

24

Audit Outcomes

• Report to management

• Identify corrective actions

• Record audit results

25

Continual Improvement

• Identify areas for improvement of EMS

• Determine root cause of nonconformance

• Develop corrective and preventive action plan

• Implement corrective and preventive actions

• Verify effectiveness of action plans

• Make changes to procedures

26

Summary

• An EMS involves checking and corrective action procedures

• Identifies nonconformances and opportunities for improvement

• The system itself is audited

• Document changes in procedures

• Record changes made