Environmental Management SystemsThe ISO 14001 Approach

N.C. Health Physics SocietyBoone, NC

October 19, 2001

Julie WoosleyEMS Development Course for Government Agencies,

Project Coordinator NC DPPEA

What is an EMS? Systematic way of managing an organization’s

environmental affairs Based on Plan-Do-Check-Act Model (PDCA) Focused on Continual Improvement of system Addresses immediate and long-term impact of an

organization’s products, services and processes on the environment.

A tool to improve environmental performance

Some EMS Models ISO 14001 Metal Finishers National Biosolids Partnership Project XL with the United Egg Producers Agriculture EMS models (livestock, soybean) SGIA model Federal facility models (CEMP, DOE guide) Compliance-focused EMS (CFEMS) Commission for Env. Cooperation (CEC guide)

EMS ModelPolicy

Planning

Implementation

CheckingCorrective Action

ManagementReview

Based on the P-D-C-A Model, Plan-Do-Check-Act

Why Implement an EMS?To get your environmental ducks in a row!

Struggling to stay in compliance and keep track of regulations/laws

Environmental management just one of many responsibilities

Establish a framework to move beyond compliance Vehicle for positive change; improved employee

morale, enhanced public image Employee turnover

Why Implement an EMS ?More reasons: Helps to identify the causes of environmental

problems. better to make a product right the first time cheaper to prevent a spill or other accident cost effective to prevent pollution

Trade and competitive issues Inconsistency in environmental regulation and enforcement

Many individual parts may already be in place – just need to unify under the EMS umbrella!

ISO 14000: A series of standards

Created by the International Organization of Standardization, a non-governmental organization (NGO) established in 1947, located in Switzerland (see handout for more info) ISO is not an acronym - from the Greek iso, meaning

equal (as in isothermal)

ISO is a worldwide federation of national standards bodies from over 100 countries; American National Standards Institute (ANSI) is US representative They have created many standards: ISO 9000, film speeds

ISO 14000 Family A series of guidance documents and standards

to help organizations address environmental issues. Ones below deal with EMS. 14001: Environmental Management Systems 14004: EMS general guidelines 14010: Guidelines for Environmental Auditing 14011: Guidelines for Auditing of an EMS 14012: Auditing - Qualification criteria

To Whom Do the Standards Apply? Standard is Voluntary Large and Small Business & Industry Service Sectors (hospitals, hotels, etc.) City and County Government Applicable to all types of organizations, of

all sizes anywhere in the world

Becoming ISO 14001 certified ISO 14001 is the only certification standard Registration body examines EMS for conformity

to the ISO 14001 standard Not a compliance audit, an EMS audit Facility awarded registration Does NOT mean that products are more

environmentally friendly Does mean have a documented EMS that is fully

implemented and consistently followed

External Drivers for ISO 14001? Suppliers encouraged to consider an EMS

by: IBM Xerox (30,000) Bristol-Myers Squibb (15,000) Ford and GM Toyota- choice of 3 MP&M, Others??

Approx. 271,000 ISO 9000 certifications worldwide (est. 380 NC certifications)

World Picture

30,303 ISO 14001 cert. in world as of 6/01 1,480 ISO 14001 cert. in US as of 6/01 54 companies known certified in NC, and one

municipality US is 5th in number of certifications behind Japan

(6,648), the UK (2,500), Germany (2,400), and Sweden (1,911)

EMSs and the Federal Government Published Federal Register notice 3/12/98 EPA “Aiming for Excellence” Report Sept. 99; part of

Draft EMS Action Plan http://www.epa.gov/ems Clinton signed Executive Order 4/00 requiring federal

facilities to have an EMS by 2005 EPA Performance Track June 2000 – requires an EMS Office of Water funded pilot efforts in 10 states, pilot

program with governments, pilot with Biosolids Assoc. New MP&M (Metal Products and Machinery) Effluent

Guidelines: final rule may include EMS-based exemptions (P2 option)

EMS and Enforcement

N.C. EMS Related Activities

NC DENR EMS policy Aug. 1999 State Regulatory Innovation legislation Sector-based EMSs (paper industry, screen-

printing, metal finishing, furniture): see http://www.p2pays.org/iso/sector

EMS Development Course for Government Agencies

EMS Pilot Project with Pork Producers

Multi-State Working Group Many states (founding states are AZ, CA, IL, MA, MN,

NC, OR, PA, TX, WI)

EPA, NGO’s, National Institute of Standards & Technology, CI2, CMA

Implemented pilot projects with industry Goal: To understand and communicate the value

of ISO 14000 in meeting public policy goals.

What does ISO 14001 Say?

17 Requirements in ISO 14001Env. Policy 4.2 Document control 4.4.5

Env. Aspects 4.3.1 Operational control 4.4.6

Legal and other req. 4.3.2 Emergency preparedness and response 4.4.7

Obj. and targets 4.3.3 Monitoring and measurement 4.5.1

Env. Mgmt. Program 4.3.4 Corrective/preventive action 4.5.2

Structure and Responsibility 4.4.1 Records 4.5.3

Training, awareness, and competence 4.4.2

EMS audit 4.5.4

Communication 4.4.3 Management Review 4.6

EMS documentation 4.4.4

ISO 14001 Key Elements

Policy Statement Identification of Significant Environmental Impacts Development of Objectives and Targets Implementation Plan to Meet Obj. and Targets Training Management Review

How you meet the elements is up to you

EMS ModelPolicy

Planning

Implementation

CheckingCorrective Action

ManagementReview

Based on the P-D-C-A Model, Plan-Do-Check-Act

ISO 14001 Policy Statement (4.2) Management’s declaration of commitment to the

environment. Policy Statement

3 Main Elements (Big 3) Commitment to Compliance Commitment to Prevention of Pollution, and Commitment to Continual Improvement

Broader definition of pollution prevention Available to Interested Parties

EMS Policy Statement Must be appropriate to the nature, scale and

environmental impacts of the organization’s activities, products or services

Provides a framework for setting and reviewing objectives and targets

Way of communicating environmental mission internally and externally

Broader definition of pollution prevention than EPA’s: not just source reduction,but also recycling, treatment, disposal, and material substitution

HOW TWO N.C. COMPANIES COMMUNICATED THEIR POLICY STATEMENT TO EMPLOYEES

EMS ModelPolicy

Planning

Implementation

CheckingCorrective Action

ManagementReview

Aspects and Impacts (4.3.1) An organization evaluates and addresses its

own significant aspects, including non-regulated aspects

May be positive or negative Think from the fenceline:

Aspect: Cause or Input: Element of an organization’s activities, products, or services which can interact with the environment

Impact: Effect or Output: Any change to the environment, whether adverse or beneficial, resulting from an organization’s activities, products, or services

Aspects and Impacts Consider:

Air emissions Solid/hazardous waste Water effluents Contamination of land Noise, vibration and odor Land use, energy use, water use Raw material and resource use Positive environmental issues

Example: Aspect - Radioactive material Impact – Transportation and storage issues;

Environmental contamination

Not just regulated issues!

Marine Corps ISO 14001 Pilot Project

Encampment

Lead Responsibility - Fish and Wildlife Division, Compliance Division, and Planning Division

Environmental Aspects

Input (raw material and labor)

Conservation

Soil disturbance leading to Erosion and SedimentationAccidental Spillage - Vehicle /Helicopter/Equipment fluidsGray water

Soil disturbance leading to Erosion and SedimentationAccidental Spillage - Vehicle/Helicopter/Equipment fluidsGray water

Accidental Spillage - Vehicle/Helicopter/Equipment fluidsGray water

Fuel Consumption - Use of a Nonrenewable ResourceTraining within a Natural Environment (Plant, Wildlife, Wetlands)Training within species habitat

Disposal of Spill ResidueDisposal of Solid WasteDisposal of Hazardous Waste

Particulate Matter from Operating Vehicles Off-roadAir Emissions from equipment and vehiclesOutdoor burning - PM

Surface Water Impacts

Waste Impacts

Soil Impacts

Air Impacts

Groundwater Impacts

Resource Impacts

Nuisance Impacts

Ranking (4.3.1)

The organization shall establish and maintain procedures to identify its environmental aspects in order to determine those which can have a significant impact on the environment.

Rank aspects and impacts in order to assess their significance

Company-specific

Ranking/Significance Scoring

Consider: Environmental Concerns

Regulatory/legal exposure; health/env. risks; conservation Business Concerns:

Effect on the public image; community concerns Cost savings; cost recovery period; equipment/facility

Other issues: Scale, duration, and zone of impact Probability of occurrence - frequent, likely, possible,

rarely, unlikely Severity of impact - catastrophic, severe, moderate, minor

Example Significance Matrix

Activity, Product, Service

Aspect Impact Legal Liability

Public Concern

Frequency Severity OSR Significance

(OSR>2.5)

Dissolve Mineral

Ore

Water use

Resource

depletion

1 3 2 1 1.75 No

Natural Gas

Use

Resource depletion

1 1 2 2 1.50 No

Natural Gas

Use

Air pollution (Nox)

1 2 2 1 1.50 No

Use of Strong Acids

Spills to land or water

3 2 3 3 2.75 Yes

Scoring Guide for Ranking SignificanceEnvironmental Planning Division

Weight = 2 Weight = 2 Weight = 1.5 Weight = 2

PROCESS ASPECTSPOTENTIAL

IMPACTS

DEGREE OF

IMPACTFREQUENCY OF IMPACT

POTENTIAL FOR

REGULATORY OR LEGAL EXPOSURE

COMMUNITY INPUT TOTAL

Dry Cleaning Air Emissions Degradation of Air Quality - VOCs

3 4 3 3 24.5

Marine Corps ISO 14001 Pilot Project

Legal and Other Environmental Requirements (4.3.2) Setting legal framework for the EMS

have a procedure to identify and access the legal requirements: state, federal, local

have a documented system for keeping up-to-date communicate to the right people

Industry-specific requirements CMA Responsible Care Int’l.Chamber of Commerce (ICC) Charter

Other voluntary requirements EPA ClimateWise, WasteWise, 33/50 Program Green Seal

Planning (4.3)

Establishobj./target

Review policy

Determine significant impacts

Determine legal/other rqmts.

Objectives &Targets (4.3.3) The organization shall establish and maintain

documented environmental objectives and targets.

Can include commitment to: reduce waste reduce or eliminate release of pollutant design product to minimize environmental impact in

production, use, and disposal.

Be realistic. Keep objectives simple, flexible, and measurable.

OBJECTIVES & TARGETS

Reduce generation of hazardous waste

Improve indoor air quality by reducing solvent odors

Prevent spills Reduce electrical use

Reduce spent solvent by 80% by 01/2002

Reduce emissions by 90% by 05/2002

Max. of 2 /yr. by 2003

Reduce electricity use by 10% by 08/2002

Planning

Establishobj./target

Review policy

Determine significant impacts

Determine legal/other rqmts.

Develop Env. Mgmt. program

Env. Mgmt. Program

Plan: Switch to aqueous cleaning process Action- Substitute water based cleaning process

for vapor degreasing process Responsibilities - Process Engineering Schedule -

Bench top trials - 2 months (date)Full scale pilot - 3 months (date)Implementation period - 1 month (date)

Resources needed - 1 FTE for 4 months - Est. Budget $12,000

EMS ModelPolicy

Planning

Implementation

CheckingCorrective Action

ManagementReview

Implementation (4.4) Structure/responsibility (4.4.1)

Training, awareness, & competence (4.4.2)

Communication (internal/external) (4.4.3)

Env. Mgmt. System Documentation (4.4.4)

Document control (4.4.5)

Operational control (4.4.6)

Emergency preparedness and response (4.4.7)

Sections overlap: For example, 4.4.2 and 4.4.6 require that employees have info. on EMS as well as knowledge of environmental impacts from operations and activities

(4.4.2) Training: Ex. Training Matrix

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Awareness Training N/A N/A 5/9/00 5/9/00 8/11/00 8/29/00 NR 5/9/00 5/12/00 9/11/00 5/12/00 5/12/00 5/9/00 5/11/00

Environment Management System Manual EMS-0100.000 0 NR 2/14/00 NR 3/8/00

EMS Review Procedure EMS-0100.001 08/30/00 2/14/00 NR 4/10/00 5/8/00 3/8/00

Document Control Procedure EMS-0100.002 0 2/14/00 NR 4/10/00 5/8/00 3/8/00

Aspects and Impacts Procedure EMS-0100.003 0 5/15/00 2/14/00 NR 5/10/00 5/8/00 3/8/00

Corrective/Preventative Action Report Procedure

EMS-0100.004 25/9/00 5/9/00 8/30/00 8/29/00 NR 5/9/00 8/28/00 9/11/00 8/30/00 8/30/00 5/9/00 5/9/00

Training Procedure EMS-0100.005 1 12/18/00 NR 4/10/00 12/18/00 12/18/00

Roles and Responsibilities Listing EMS-0100.006 0 8/30/00 2/14/00 8/30/00 8/29/00 NR 4/10/00 1/27/00 5/8/00 3/8/00

Objective and Targets - Improvement Plan Summary

EMS-0100.007 1 NR 8/29/00 NR

External Communications Procedure EMS-0100.008 1 6/28/00 6/28/00 8/11/00 8/29/00 NR 6/28/00 6/29/00 9/11/00 8/30/00 8/30/00 8/4/00 6/28/00

Environmental Management System Audit EMS-0100.011 0 NR 5/8/00

Sewer Overflow / Reporting Procedure (Press Release);Media List; Distribution list; Emergency Phone list

EMS-0100.012 3NR 9/1/00 NR 9/1/00

Monitoring and Measuring Procedure EMS-0100.013 0 NR NRLegal and Other Requirements EMS-0101.001 1 NR

EMS Management Procedures

Document Title Document # Revision Retain Frequency Controlled Copy Locations

Environment Management System Manual

EMS-0100.000 0 As Needed

As Needed w U: Drive 1. Long Creek Operations 2. Crowders Conf. Room 3. PW Director’s Office 4. Pretreatment Office 5. Superintendent's Office

EMS Review Procedure EMS-0100.001 0 As Needed

As Needed w U: Drive 1. Long Creek Operations 2. Crowders Conf. Room 3. PW Director’s Office 4. Pretreatment Office 5. Superintendent's Office

Document Control Procedure EMS-0100.002 0 As Needed

As Needed w U: Drive 1. Long Creek Operations 2. Crowders Conf. Room 3. PW Director’s Office 4. Pretreatment Office 5. Superintendent's Office

ENVIRONMENTAL MANAGEMENT SYSTEM DOCUMENTS

Procedures for Environmental Management System

(4.4.5) Document Control – Ex. Matrix

Checking/Corrective Action (4.5)

Monitoring andMeasuring (4.5.1)

Records (4.5.3)

Non-conformance andCorrective/Preventive Action

(4.5.2)EMS Auditing (4.5.4)

(4.5.1) Monitoring and Measuring

The organization shall establish and maintain documented procedures to monitor and measure ... the key characteristics of its operations that can have a significant impact on the environment.

Track how well the system is working Measure the key characteristics of those activities

that can have significant impacts Analyze the root causes of problems

(4.5.2) Non Conformance and Corrective and Preventive Action

Develop procedure for investigating, correcting, and preventing system deficiencies

Set up process for assigning responsibilities for and tracking completion of corrective action

Set up process to revise EMS procedures based on corrective actions

(4.5.3) Records

The organization shall establish and maintain procedures for the identification, maintenance and disposition of environmental records

Include - training records, audits, management reviews

(4.5.4) EMS Auditing

Develop internal EMS audit program Are all EMS requirements met?

(Are we meeting the standard?) Is the system working?

(Are we doing what we said we would?)

Determine audit frequency and procedures; train auditors; keep records of audits, findings, and follow up actions

EMS Model (Plan-Do-Check-Act)Policy

Planning

Implementation

CheckingCorrective Action

ManagementReview

(4.6) Management Review Reviews EMS to ensure its continuing

suitability, adequacy and effectiveness Reviews process to ensure necessary

information is collected for evaluation Review must be documented Consider changes to:

policy objectives other EMS elements

Thoughts on Going for ISO 14001 Attend an overview class (need a champion,

know what’s coming) Start with gap analysis or “road map” 6-18 months to design and fully implement Work in teams or task groups Staff resources Incorporate Health and Safety? Level of Involvement of Suppliers/Contractors Training (internal/lead auditor, overview) Using an accredited trainer/registrar

For More Information

DPPEA offers free on-site EMS assistance and training DPPEA EMS web site: http://www.p2pays.org/iso/

Julie Woosley Beth Graves,

EMS Gov. Project Coor. EMS Project Coor.

919-715-6527 or 800-763-0136 (919) 715-6506

Julie.Woosley@ncmail.net Beth.Graves@ncmail.net

Barb Satler, EMS and Pork Producer Coor.

(919) 715-6519, barb.satler@ncmail.net