1. Environmental Management Systems The ISO 14001 Approach
N.C. Health Physics Society
Boone, NC October 19, Julie Woosley
EMS Development Course
for Government Agencies,
Project Coordinator NC DPPEA
Tailor this page to whom you are speaking.

2. 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
I introduce the term “PDCA” here
I often use the term “activities, products, and services” here and reference the standard’s use of these terms

3. 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)

4. EMS Model Based on the P-D-C-A Model, Plan-Do-Check-Act Policy
Planning
Management
Review
Implementation
Checking
Corrective Action

5. 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

6. 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!

7. 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

8. ISO 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
I say here that is guidance on how to implement ISO 14001
10, 11, and 12 relate to auditing of the standard. I would note here that a new joint auditing standard is currently being developed that will eventually replace 14010, 14011, and This new standard ISO is an auditing standard that may be used for both ISO 9000 and ISO

9. 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

10. Becoming ISO 14001 certified
ISO is the only certification standard
Registration body examines EMS for conformity to the ISO 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
I typically read this whole slide – very important

11. 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)

12. World Picture 30,303 ISO 14001 cert. in world as of 6/01
1,480 ISO 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)

13. 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
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
Region I = New England
Region IX = California and western states
EMS and enforcement – note here that some states are using this as well. Meant to assist with repeat violations and other EMS benefits.

14. 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
EMS Development Course for Government Agencies
EMS Pilot Project with Pork Producers
DENR policy signed by Secretary. Encourages EMS adoption by regulated community and for DENR employees to learn about EMS.
Being considered in NC but only draft at this stage. Some states with legislation are OR, WI, and IL.
Federal agencies to be implementing EMS in future.
Sector-based EMS often designed by trade associations for members – templates.

15. 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 in meeting public policy goals.
Ci2 = Coalition for ISO Implementation
CMA = Chemical Manufacturers Assn.
10 states initially. Many more now.
MSWG states working to collect data from pilot EMS facilities to quantitatively measure EMS cost/benefits, compliance, etc.

16. What does ISO Say?

17. 17 Requirements in ISO 14001 Env. Policy 4.2 Document control 4.4.5
Env. Aspects 4.3.1
Operational control 4.4.6
Legal and other req
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
I mention the numbering system here. I also mention that presentation is to hit key elements, but all 17 are listed on this slide.
Meat of standard only 5 pages (I usually bring a copy of ISO with me to speak). Recommend they get a copy as all words are important.

18. 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

19. EMS Model Based on the P-D-C-A Model, Plan-Do-Check-Act Policy
Planning
Management
Review
Re-emphasize the PDCA here and continual improvement.
Implementation
Checking
Corrective Action

20. 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

21. 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

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

24. 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

25. Aspects and Impacts Consider: Example: 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!
I usually use the terms here non-regulated as well as regulated aspects.

26. Marine Corps ISO 14001 Pilot Project
Environmental Aspects
Surface Water Impacts
Waste Impacts
Soil Impacts
Air Impacts
Groundwater Impacts
Resource Impacts
Nuisance Impacts
Soil disturbance leading to Erosion and Sedimentation
Accidental Spillage - Vehicle /Helicopter/Equipment fluids
Gray water
Accidental Spillage - Vehicle/Helicopter/Equipment fluids
Fuel Consumption - Use of a Nonrenewable Resource
Training within a Natural Environment (Plant, Wildlife, Wetlands)
Training within species habitat
Disposal of Spill Residue
Disposal of Solid Waste
Disposal of Hazardous Waste
Particulate Matter from Operating Vehicles Off-road
Air Emissions from equipment and vehicles
Outdoor burning - PM
Encampment
Input (raw material and labor)
NOTES FROM DAWN SUDMEYER: We used this diagram as a tool to identify environmental aspects and generic impacts associated with each specific process conducted aboard Camp Lejeune.
We chose to show you this particular process, first because of its uniqueness to the military and second because of many aspects involved in encampment which are not compliance issues. The goal of ISO is to go beyond compliance. A diagram similar to this is another tool which can be used to look at processes without focussing on compliance issues.
Using these diagrams, we identified approximately 40 process representative of activities conducted aboard Camp Lejeune; based on these processes, we identified more than 400 environmental aspects and impacts. These diagrams can be applied to any process.
We found that using this diagram helped us to visualize the related aspects and impacts -- a picture is worth a thousand words.
I use this slide to help folks visualize aspects/impacts – one of the most confusing parts of the standard.
Conservation
Lead Responsibility - Fish and Wildlife Division, Compliance Division, and Planning Division

28. 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
2 slides on this idea. Both meant to show the ways that organizations may go about grouping and ranking aspects.
Examples of this on DPPEA’s web site.

29. 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
1.75 No
Natural Gas
Use
Resource depletion
1.50
Air pollution (Nox)
Use of Strong Acids
Spills to land or water
2.75
Yes

30. Scoring Guide for Ranking Significance
Marine Corps ISO Pilot Project
Scoring Guide for Ranking Significance
Environmental Planning Division

31. 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

32. Planning (4.3) Review policy Determine significant impacts Establish
obj./target
Determine legal/
other rqmts.

33. 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.

34. 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

35. Planning Develop Env. Mgmt. program Establish obj./target
Review policy
Develop Env. Mgmt. program
Determine significant impacts
Establish
obj./target
Determine legal/
other rqmts.

36. 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 months (date) Implementation period - 1 month (date)
Resources needed - 1 FTE for 4 months Est. Budget $12,000

38. 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, and require that employees have info. on EMS as well as knowledge of environmental impacts from operations and activities

39. (4.4.2) Training: Ex. Training Matrix

40. (4.4.5) Document Control – Ex. Matrix

41. Checking/Corrective Action (4.5)
Monitoring and
Measuring
(4.5.1)
Non-conformance and
Corrective/Preventive
Action
Records
(4.5.3)
EMS Auditing
(4.5.4)
(4.5.2)

42. (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

43. (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

44. (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

45. (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

46. EMS Model (Plan-Do-Check-Act)
Policy
Planning
Management
Review
Implementation
Checking
Corrective Action

47. (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

48. 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
If you are going to go down this path…
Internal champion key place to start
Gap analysis good place to start because organization has some type EMS now. Want to see where the gaps are. This helps them see that it isn’t impossible for them to do.
Teams may be used for part or all of the EMS design and implementation. Give examples of a team being used only for aspect/impact analysis for instance.
Most companies report that staff time is their largest cost.
Organization draws the fenceline. To what degree to involve suppliers/contractors? I often read the standard here. I then say Ford/GM are involving suppliers to a large degree. Varies. Organization decides. Also use example of on-site contractors during renovations/construction.
Tell them type of training they can get. (5 day lead auditor, 2-3 day internal auditor, etc.)
Accredited registrars and course providers on Registrar Accreditation Board’s website. No good reason not to use accredited firm but it is their choice.

50. For More Information
DPPEA offers free on-site EMS assistance and training
DPPEA EMS web site:
Julie Woosley Beth Graves,
EMS Gov. Project Coor. EMS Project Coor.
or (919)
Barb Satler, EMS and Pork Producer Coor.
(919) ,