EMS Checklist(ISO 14001 model)

EPA Regions 9 & 10

and

The Federal Network for Sustainability

2005

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Plan Do Check Act

Environmental

Policy

Continual Improvement

Planning

Implementation &

Control

Checking & Corrective Action

Management

Review

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4.2 Policy

� Top management shall define the organizations environmental policy and ensure that it:

a) is appropriate to the nature, scale and environmental impacts of its activities, products or services;

b) includes a commitment to continual improvement and prevention of pollution;

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4.2 Policy c) includes a commitment to comply their relevant

environmental legislation and regulations, and with other requirements to which the organization subscribes;

d) provides the framework for setting and reviewing environmental objectives and targets;

e) is documented, implemented and maintained and communicated to all employees;

f) is available to the public.

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Planning

IdentifyActivities,Products

andServices

IdentifyEnvironmentalAspects and Impacts

DetermineSignificantEnvironmentalAspects

Determine Legal and OtherRequirements

Establish

Objectivesand

Targets

Develop

EnvironmentalManagement

Program

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4.3 Planning

Establish, Maintain, and Document:� 4.3.1 - Procedure to identify Environmental Aspects.

a) Activities products and services that it “can control and those that it can influence”,

“Activities” for Feds include -

– Mission: what ‘facility/Agency’ is designed to do,

– Activities that support the mission,

– Actions that are both regulated and not regulated.

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4.3 PlanningEstablish, Maintain, and Document:� b) Those which have or can have significant impacts on

the environment. Determined by you.

What is important in your situation -

– Likelihood, severity, frequency, duration, boundaries, stakeholder concerns,

– Reflects normal, unique, emergency conditions, and environmental impact

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4.3 PlanningEstablish, Maintain, and Document:

� 4.3.2 - Procedure to identify legal and other requirements.

a) Identify and have access to all legal requirements that apply to your facility’s aspects – use audit guides or protocols,

b) Identify other requirements to which you “subscribe” e.g., Executive Orders, agency/bureau policies or voluntary practices.

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4.3 PlanningEstablish, Maintain, and Document:

� 4.3.3 - Environmental objectives and targets.

a) Considering: “legal and other requirements”, significant aspects, financial and technical limitations, interested parties input, policy commitment and commitment to pollution prevention,

b) Results will guide how you measure progress.

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4.3 Planning� 4.3.3 - Program for achieving objectives and

targets,

a) including responsible individuals (assign responsibility - function and level), and

b) time frames (what will be done, when, and how is it measured)

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Implementation and Operation

Structure andResponsibility

Training,Awareness and

Competence

Document Control

EmergencyPreparedness and

Response

Communication

Operational Control

Organization &Accountability

Capabilities &Communications

Controls

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4.4 Implementation and Operation

� 4.4.1 – a) Resources, roles, responsibility and authority defined, documented, communicated,b) Management provides resources for implementation of the system,c) Management identifies Management Representative who is responsible for and has authority for:

1. Managing EMS implementation,2. Reporting to top management on EMS progress.

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4.4 Implementation and Operation

� 4.4.2 - Identification of training needs, and procedures for training, awareness and competence.

a) Establish and maintain a procedure for training relevant to: 1) EMS - awareness including policy,2) Relationship between employee activities and environmental

impacts.

b) Ensure competence training to:1) Regulatory requirements,2) Standard operating procedures.

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4.4 Implementation and Operation

� 4.4.3 Procedures for communications. Establish and maintain a procedure

a) For internal communication between levels and functions in both directions,

b) For addressing external communications

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4.4 Implementation and Operation

� 4.4.4 EMS documentation.a) Describes core elements of management system and interaction,b) Provides direction to related documentation.

� 4.4.5 Procedures for Document Control.Establish and maintain procedures for controlling system documentsa) Can be located - are legible, dated and maintained,

b) Reviewed and revised as necessary and approved,c) Current versions are available to practitioner,d) Obsolete documents are removed from use, ande) Obsolete documents may be retained for legal or knowledge purposes if necessary.

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4.4 Implementation and Operation

� 4.4.6 Operational Control – identification and control of procedures associated with policy,

aspects, objectives and targets.a) Identify operations and activities associated with significant environmental aspects,b) Establish and maintain procedures for addressing activities that affect significant aspects to avoid deviations from policy and objectives and targets,c) Considering goods and services, communicate procedures to suppliers and contractors

� 4.4.7 Procedures related with Emergency Preparedness Response. Establish and maintain procedures toa) Identify potential for emergencies,b) Address accidents and emergencies,c) Prevent, respond to and mitigate environmental impacts,d) Review and revise procedures after emergency or accident,e) Test where appropriate.

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Checking and Corrective Action

Records

Monitoring andMeasuring

Periodic Internal EMS Audits

Non-conformance,Corrective and

Preventive Action

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4.5 Checking and Corrective Action

� 4.5.1 Establish and maintain documented procedures to Monitor and Measure operations and activities related to related to significant environmental aspects.a) Formally track performance, and operational control,b) Reflect objectives and targets,c) Maintain and calibrate monitoring equipment

� 4.5.2 Establish and maintain a procedure to periodically assess compliance with environmental regulations and other requirements

� 4.5.3 Establish and maintain procedures to address Non-Conformance and Corrective and Preventive Action, defining responsibility and authority to address non-conformancea) Mitigate impacts,b) Identify cause,c) Develop corrective action and implement it,d) Modify procedures if necessary to prevent recurrence.

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4.5 Checking and Corrective Action

� 4.5.4 Establish and maintain procedures for identification, storage, protection, retrieval, retention and disposal of Environmental Records.a) Must be legible, identifiable and traceable to the activity, product or service involved,b) Demonstrate conformance to Standard

� 4.5.5 Establish and maintain a program and procedure for periodic Environmental Management System Audit to determine if the EMSa) Is being properly implemented and maintained, b) Conforms to the standard, andc) Audit information provided to management.

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Management Review

Take account of:• audit findings• progress records on objectives changes to facilities• changes in activities, products or services• changes in technology• concerns of interested parties• other relevant information

To Assess the• suitability,• adequacy, and• effectiveness of the EMS

In order to determine the need for change and improvement to:• the environmental policy• the objectives and targets• other elements of the EMS

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4.6 Management Review

� 4.6 Top Management shall, at determined intervalsa) Review EMS to ensure suitability, adequacy and effectiveness,b) Ensure necessary information is collected, c) Review is documented,d) Review shall address the possible need for changes.

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Plan Do Check Act

Environmental

Policy

Continual Improvement

Planning

Implementation &

Control

Checking & Corrective Action

Management

Review

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An Effective EMS1. Meets the requirements (conformance with the “shalls”)

2. Consistency with the various elements inter-related (i.e., Significant aspects reflected in emergency planning, etc.)

3. Mechanisms are in place for continual improvement. To improve the EMS and organizational performance supported by management commitment and support.

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Remember…

• The EMS and related measurement tools are just that, tools. Alone, they will not guarantee success. The organization must use the tools, not just have them.

• An effective EMS is “alive”; constantly measuring performance, making adjustments, and looking for opportunities for continual improvement,

• Accountability is critical.

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An EMS...

• Is a management system.• Is more than compliance - includes safety, energy,

water etc. and non-regulated impacts.• Supports mission! • Takes time - it is a process, not an event. • Requires the environmental people to get out of

their box.• EMS requires commitment - its not a part-time

job.