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

2. ISO 14001 Components Policy Planning Implementation and Operation
Checking and Corrective Action
Management Review

3. ISO 14001 Elements Checking and Corrective Action involves:
Monitoring and measurement
Nonconformance and corrective and preventive action
Records
EMS Audits

4. 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
Performance indicators should be objective, verifiable and reproducible. Should be relevant to the organization’s activities, consistent with its environmental policy, practical, cost-effective, and technologically feasible.

7. Nonconformance and Corrective and Preventive Action
EPA Regions 9 & 10
and
The Federal Network for Sustainability

8. Requirements Establish procedures for Non-conformance with the EMS
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 identify potential 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

11. EPA Regions 9 & 10 and The Federal Network for Sustainability
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
ISO specifically mentions including training records and results of audits and reviews.
ISO14004 describes records as:
Legislative and regulatory requirements
Permits
Environmental aspects and their associated impacts
Environmental training
Inspection, calibration and maintenance activity
Monitoring data
Details of non-conformance: incidents, complaints and followup actions
Product identification: composition and property data
Supplier and contractor information
Environmental audits and management reviews
Records shall be legible, identifiable and traceable to the activity, product or service involved.
E. Records shall be stored and maintained so they are readily retrievable and protected against damage, deterioration or loss.

13. Documents vs. Records Documents Records
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 vs. Records
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

15. Scope of Records Records should cover:
Legislative and regulatory requirements
Permits
Environmental aspects and their associated impacts
Environmental training activity
Inspection, calibration and maintenance activity
Continued…

16. Scope of Records …Records should cover: 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

17. Requirements for Records Maintenance
Good environmental information management includes:
Identification
Collection
Indexing
Filing
Storage
Maintenance
Retrieval
Retention
Disposal

18. EPA Regions 9 & 10 and The Federal Network for Sustainability
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 Internal External
Certification audit
Surveillance audit

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