iso 14001 4.5.1 monitoring and measurement 4.5.2 ...infohouse.p2ric.org/ref/32/31109.pdf · 4.5.1...

ISO 14001ISO 14001

4.5.1 Monitoring and Measurement4.5.1 Monitoring and Measurement

4.5.2 Nonconformance and Corrective 4.5.2 Nonconformance and Corrective and Preventative Actionand Preventative Action


The organization shall establish and The organization shall establish and maintainmaintain documented proceduresdocumented procedures to monitor to monitor and measure, on a regular basis, the key and measure, on a regular basis, the key characteristics of its operations and characteristics of its operations and activities that can have a significant impact activities that can have a significant impact on the environment. This shall include the on the environment. This shall include the recording of information to track recording of information to track performance, relevant operational controls performance, relevant operational controls and conformance with the organizations and conformance with the organizations environmental objectives and targets.environmental objectives and targets.

4.5.1 Monitoring and measurement4.5.1 Monitoring and measurement

1.1. Identify key characteristics and develop Identify key characteristics and develop process for tracking to show EMS process for tracking to show EMS performance.performance.

2.2. Develop method for monitoring Develop method for monitoring conformance with operational controls.conformance with operational controls.

3.3. Develop method for tracking progress Develop method for tracking progress towards achievement of objectives and towards achievement of objectives and targets. targets.


1.1. Identify key characteristics of operations Identify key characteristics of operations and activities that can have significant and activities that can have significant impact and trackimpact and track

a)a) Not just for aspects of objectives and targets Not just for aspects of objectives and targets but for all significant aspects/impacts. but for all significant aspects/impacts.

b)b) Provides early warning problems with Provides early warning problems with specific aspects and impacts.specific aspects and impacts.

c)c) Provides baseline for sig. aspects/impacts that Provides baseline for sig. aspects/impacts that may have future objectives and targetsmay have future objectives and targets

d)d) Intent is to go beyond management simply Intent is to go beyond management simply asking whether we were fined last quarterasking whether we were fined last quarter

Key CharacteristicsKey Characteristics

Solid waste volume, recycling Solid waste volume, recycling volumevolume

LandfillingLandfilling

noise level, traffic volumenoise level, traffic volumeLocal aestheticsLocal aesthetics

Raw material, water, energy Raw material, water, energy consumptionconsumption

Natural resources Natural resources impactimpact

Air emission, chemical Air emission, chemical consumption, air quality analysisconsumption, air quality analysis

Air quality Air quality impact impact

Wastewater volume, pollutant Wastewater volume, pollutant loading, # and volume of spills, loading, # and volume of spills, water quality analysis, violationswater quality analysis, violations

Surface water Surface water impactimpact

Total Phosphorus

012345

Jan-

99

Jul-9

9

Feb-

00

Aug-

00

Mar

-01

Sep-

01

Apr-

02

Month

Con

cent

ratio

n (m

g/l)

Electrical UsageKilow atts Used per Million Gallon Treated

02,0004,0006,000

Jan

Mar

May Ju

l

Sep

Nov

kwh/

mg

1999 2000 2001

Chlorine Usage

0102030405060708090

100110

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov DecMonth

lbs/

mg

2000 2001

Biosolids Nickel

0100200300400

Jan-

98

Jul-9

8

Jan-

99

Jul-9

9

Jan-

00

Jul-0

0

Jan-

01

Jul-0

1

Mo n t h


Direct MeasurementDirect Measurement–– Measuring a critical quantity or qualityMeasuring a critical quantity or quality

Indirect MeasurementIndirect Measurement–– Filling out of forms during the process Filling out of forms during the process

indicating tasks were performed correctlyindicating tasks were performed correctly–– Periodic observations of tasks to ensure that it Periodic observations of tasks to ensure that it

is being properly conductedis being properly conducted–– Periodic interviews with personnel to ensure Periodic interviews with personnel to ensure

that they are aware of requirementsthat they are aware of requirements


2.2. Monitor conformance with operational Monitor conformance with operational controlscontrols

a)a) Provides evidence to management that Provides evidence to management that operational controls are being followedoperational controls are being followed

b)b) Typically relies on indirect measurements Typically relies on indirect measurements techniquestechniquesExamples: observance performing procedure,Examples: observance performing procedure,interviews with operators during internal interviews with operators during internal audits, review completed checklists or forms.audits, review completed checklists or forms.


3.3. Track progress towards achieving Track progress towards achieving objectives and targetsobjectives and targets

a)a) Provides evidence to management that Provides evidence to management that progress is being made on objectives and progress is being made on objectives and targetstargets

b)b) Relies on direct and indirect measurementRelies on direct and indirect measurementExamples: actual performance indicators, Examples: actual performance indicators, report by staff on program action steps, report by staff on program action steps, resulting documents, trainings, etc.. resulting documents, trainings, etc..


1.1. Identify key characteristics and develop Identify key characteristics and develop process for tracking to show EMS process for tracking to show EMS performance.performance.

2.2. Develop method for monitoring Develop method for monitoring conformance with operational controls.conformance with operational controls.

3.3. Develop method for tracking progress Develop method for tracking progress towards achievement of objectives and towards achievement of objectives and targets. targets.


Monitoring equipment shall be calibrated Monitoring equipment shall be calibrated and maintained and records of this process and maintained and records of this process shall be retained according to the shall be retained according to the organizations procedures.organizations procedures.


Monitoring equipment used to measure the Monitoring equipment used to measure the identified key characteristics will need to be identified key characteristics will need to be calibrated.calibrated.–– May develop separate procedure for this May develop separate procedure for this

requirement or include in other procedures.requirement or include in other procedures.–– Typically a listing of equipment requiring Typically a listing of equipment requiring

calibration, reference of calibration method, calibration, reference of calibration method, frequency, and responsible party.frequency, and responsible party.

–– Is calibration done internally or externallyIs calibration done internally or externally


The organization shall establish and The organization shall establish and maintain a maintain a documented proceduredocumented procedure for for periodically evaluating compliance with periodically evaluating compliance with relevant environmental legislation and relevant environmental legislation and regulations.regulations.


A documented environmental compliance A documented environmental compliance program should address at minimumprogram should address at minimum–– Audit scope (areas to cover)Audit scope (areas to cover)–– Audit responsibilitiesAudit responsibilities–– Audit process (training, team structure)Audit process (training, team structure)–– Audit scheduleAudit schedule–– Audit reporting (format, distribution, followAudit reporting (format, distribution, follow--up)up)

Relationship of 4.5.1 to other elementsRelationship of 4.5.1 to other elements

4.5.1 requires periodic 4.5.1 requires periodic evaluation of compliance evaluation of compliance with requirementswith requirements

4.3.2 requires the 4.3.2 requires the identification of legal and identification of legal and other requirementsother requirements

4.5.1 requires the 4.5.1 requires the organization to track organization to track progress towards progress towards achievementachievement

4.3.3 and 4.3.4 require 4.3.3 and 4.3.4 require the establishment of the establishment of objectives and targets and objectives and targets and programsprograms

4.5.1 requires the 4.5.1 requires the measurement of measurement of effectiveness of those effectiveness of those controlscontrols

4.4.6 requires procedures 4.4.6 requires procedures for control of activities for control of activities that can have significant that can have significant impactimpact

4.5.2 Nonconformance and corrective 4.5.2 Nonconformance and corrective and preventative actionand preventative action

The organization shall establish and The organization shall establish and maintain procedures for defining maintain procedures for defining responsibility and authority for handling responsibility and authority for handling and investigating nonconformance, taking and investigating nonconformance, taking action to mitigate any impacts caused and action to mitigate any impacts caused and for initiating and completing corrective and for initiating and completing corrective and preventative action.preventative action.


EMS auditEMS audit

Scrubber Scrubber failurefailureRoutine Routine inspectioninspectionEMS audit EMS audit

Actual releaseActual releaseRoutine Routine InspectionInspectionEMS AuditEMS Audit

Method of Method of DiscoveryDiscovery

Complete Complete aspect and aspect and impact impact analysis of analysis of new material new material

Conduct Conduct maintenance maintenance to get back on to get back on scheduleschedule

Place Place berm berm or or other method other method of control at of control at drain entrancedrain entrance

Corrective Corrective ActionAction

Require all new Require all new chemical chemical purchases to be purchases to be reviewed by EEreviewed by EE

Make Make supervisor supervisor accountableaccountableReplace pumpReplace pump

Revise Revise procedureprocedureConduct Conduct RetrainingRetraining

Preventative Preventative ActionAction

Improper Improper handling handling resulting in resulting in contaminaticontaminationon

Failure to review Failure to review aspects and impacts: aspects and impacts: Responsible party did Responsible party did not evaluate new raw not evaluate new raw materialmaterial

Shut downsShut downsReleasesReleasesPermit Permit ViolationsViolations

Procedure not Procedure not followed: followed: scrubber scrubber maintenance is not maintenance is not being conducted as being conducted as required (3 in 5 months)required (3 in 5 months)

Release to Release to environmentenvironment

Inadequate procedure:Inadequate procedure:Storm drain not sealed Storm drain not sealed prior to acid unloading. prior to acid unloading. Unloading procedure Unloading procedure does not cover actiondoes not cover action

Potential Potential OutcomeOutcome

Example Example nonconformancenonconformance


Clause 4.5.2 essentially requires a Clause 4.5.2 essentially requires a systematic action plan to fix problems systematic action plan to fix problems identified during monitoring and identified during monitoring and measurement and EMS audits.measurement and EMS audits.Need to consider developing a corrective Need to consider developing a corrective and preventative action form to track and and preventative action form to track and control activities to correct or prevent major control activities to correct or prevent major non conformances and determine non conformances and determine responsibilities and authorities.responsibilities and authorities.

Nonconformance Major or Minor

Identify Non-conformance

Monitoringand Measuring

RegulatoryAgency

Inspection

ExternalComunication

Accident /Near Miss Routine

Inspections

EMS Audit

Resolve Issue

Evaluate &Record

Major orMinor

No AdditionalAction

Required

ManagementSatisfied

Root cause

CorrectiveMeasure

Evaluate &close

YES

YESNO

NO


Any corrective and preventative action Any corrective and preventative action taken to eliminate the causes of actual or taken to eliminate the causes of actual or potential nonconformances shall be potential nonconformances shall be appropriate to the magnitude of the appropriate to the magnitude of the problems and commensurate with the problems and commensurate with the environmental impact encountered.environmental impact encountered.


The organization shall implement and The organization shall implement and record any changes in the documented record any changes in the documented procedures resulting from corrective and procedures resulting from corrective and preventative action. preventative action.

4.5.1 and 4.5.24.5.1 and 4.5.2

To see Gastonia’s or procedures go to To see Gastonia’s or procedures go to http://www.p2pays.org/iso/tools/manuals.htmhttp://www.p2pays.org/iso/tools/manuals.htm

iso 14001 4.5.1 monitoring and measurement 4.5.2 ...infohouse.p2ric.org/ref/32/31109.pdf · 4.5.1...

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