Environmental Management Systems (EMS)
Implementation Guide for the
Foundry Industry
INDIANA
CAST METALS
ASSOCIATION
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Environmental Management Systems (EMS)
Implementation Guide for the
Foundry Industry
April 2004
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INDIANA | x^me*
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Foundry Industry— EMS Implementation Guide
Acknowledgments
This Environmental Management System Implementation Guide for the Foundry Industry was
developed by the Sector Strategies Division of the U.S. Environmental Protection Agency (EPA)
Office of Policy, Economics and Innovation in partnership with the American Foundry Society
and Indiana Cast Metals Association.
This EMS Guide is a combination of examples and tools from EPA-sponsored EMS source
documents and actual industry examples developed during the EPA Sector Strategies Foundries
EMS pilot. Important contributions were made by the following individuals and organizations:
Amy Blankenbiller and Dwight Barnhard, AFS; Blake Jeffries, INCMA; Kathy Cole, Fort
Wayne Foundry; John Haney, Atlas Foundry; Cynthia Hann, Dalton Foundry; Ken Moore,
Interstate Castings; Kyle Morton, Bremen Castings; Doug Smith, Rochester Metal Products; and
Jim White, Grede Foundries, Inc.
Introduction
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Foundry Industry— EMS Implementation Guide
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Introduction
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Foundry Industry— EMS Implementation Guide
Table of Contents
Introduction and User's Guide v
Index of Tools and Examples vii
Module 1: Laying the Groundwork for EMS 1-1
Module 2: Environmental Policy 2-1
Module 3: Environmental Aspects 3-1
Module 4: Legal and Other Requirements 4-1
Module 5: Objectives and Targets 5-1
Module 6: Environmental Management Programs 6-1
Module 7: Structure and Responsibility 7-1
Module 8: Training, Awareness, and Competence 8-1
Module 9: Communication 9-1
Module 10: EMS Documentation and Document Control 10-1
Module 11: Operational Control 11-1
Module 12: Emergency Preparedness and Response 12-1
Module 13: Monitoring and Measurement 13-1
Module 14: Nonconformance and Corrective and Preventive Action 14-1
Module 15: Records 15-1
Module 16: EMS Audits 16-1
Module 17: Management Review 17-1
Introduction iii
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Foundry Industry— EMS Implementation Guide
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Introduction
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Foundry Industry— EMS Implementation Guide
Introduction and User's Guide
This Environmental Management System Implementation Guide for the Foundry Industry (EMS
Guide) is a combination of examples and tools from EPA-sponsored EMS source documents and
actual industry examples developed during the EPA Sector Strategies Foundries EMS pilot.
The EMS Guide is meant to assist foundries in weaving environmental decision-making into the
fabric of the way they do business. The purpose is not only to achieve better compliance
assurance, but also to improve environmental performance in areas such as resource
conservation, energy efficiency, water-use efficiency, land use, and mitigation of impacts
associated with noise, odor, and dust. As a result of comprehensive planning, rigorous
implementation, regular checking, and effective corrective action, EMSs are helping foundries to
consistently meet their environmental goals and commitments. Foundries that have an effective
EMS are becoming more efficient and more competitive.
Many foundries have components of an EMS already in place. This EMS Guide encourages the
user to identify and build on existing components whenever possible. It describes an EMS that is
based on the elements of the ISO 14001 Standard and also incorporates EPA's National
Environmental Performance Track emphasis on sustained compliance, pollution prevention, and
information sharing with the community. Though there are other types of EMSs that one could
adopt, and EPA does not specifically endorse any individual EMS standard, the ISO 14001 EMS
is the most widely recognized and one that many companies are beginning to require their
suppliers to adopt. Therefore, moving in the direction of implementation and maintenance of an
EMS based on the ISO 14001 Standard may be a wise business decision. The choice to build an
EMS that, if desired, could be certified in the future, may make sense for you based on your
business goals and needs. Facilities implementing an EMS that meets the requirements of the
ISO 14001 Standard can either self-declare conformance or seek third-party registration.
To facilitate your implementation process, this EMS Guide contains 17 modules - an initial
laying-the-groundwork module followed by 16 modules, each of which corresponds to an EMS
element. Each module contains:
Guidance that explains the EMS element and recommends what should be established and
maintained for this element to be suitable and effective;
A set of review questions and worksheets that are meant to be used as tools to make EMS
adoption easier and more thorough;
Sample procedures as required by the ISO 14001 Standard, and accompanying forms that
will be used to document conformance with the procedures. The tools are meant to serve as
templates that can be customized by your foundry to define roles, responsibilities, activities,
and recordkeeping for that EMS element; and
Examples of how a foundry might document and record information associated with the
requirements of its EMS. Usually these are examples of how to complete the recommended
forms.
Introduction
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Foundry Industry— EMS Implementation Guide
The EMS Guide recommends that facilities establish, at a minimum, the several documented
procedures required by the ISO 14001 Standard. In this EMS Guide are sample procedures and
other examples of how a foundry might document and record its EMS. Revising these examples
should be much easier than starting with a blank page. However, when using these examples, it
is crucial to review the requirements of your facility in accordance with company policies and
the most recent federal, state, and local requirements.
Introduction
VI
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Foundry Industry— EMS Implementation Guide
Index of Tools and Examples
Module 1: Laying the Groundwork for EMS
Tool 1-1
Tool 1-2
Tool 1-3
Documents/Information to Have Available for ISO 14001 Gap Analysis
Gap Analysis Tool/Self Assessment Checklist
Sample Worksheet for Persons Responsible for EMS Development
Example 1-1: Example Schedule for EMS Implementation
Module 2: Environmental Policy
Tool 2-1: Generalized Environmental Policy Template
Example 2-1
Example 2-2
Example 2-3
Example Foundry Environmental Policy
Example Foundry Environmental Policy
Example Foundry Environmental Policy
Module 3: Environmental Aspects
Tool 3-1: Sample Procedure for Identification of Environmental Aspects and
Determination of Significant Aspects
Tool 3-2: Sample Form for Identification and Significance Determination of
Environmental Aspects
Example 3-1: The Link Between Aspects and Impacts
Example 3-2: Process Flow Diagram for a Typical Green Sand Foundry
Example 3-3: A Foundry's Numerical Scoring System Approach
Module 4: Legal and Other Requirements
Tool 4-1: Legal and Other Requirements Worksheet
Tool 4-2: Information Resources for Legal Requirements
Tool 4-3: Sample Procedure for Identification of Legal and Other Requirements
Tool 4-4: Foundry Industry Operations: Sample Form for Environmental and Other
Legal Requirements
Tool 4-5: Sample Worksheet for Identifying Legal Requirements
Example 4-1: Regulatory Checklist for Foundry Facilities
Module 5: Objectives and Targets
Tool 5-1: Considerations for Developing Objectives and Targets
Tool 5-2: Objectives and Targets Worksheet
Tool 5-3: Sample Procedure for Identification of Objectives and Targets
Example 5-1: Possible Objectives and Targets Organized by Category
Example 5-2: Possible Objectives and Targets Organized by Category
Introduction
vii
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Foundry Industry— EMS Implementation Guide
Module 6: Environmental Management Programs
Tool 6-1: Environmental Management Program Worksheet
Tool 6-2: Sample Form for Environmental Management Programs
Tool 6-3: Sample Procedure for Environmental Review for New Purchases, Processes,
and Products
Tool 6-4: Sample New Purchase Approval Form for Environmental Review of New
Processes, Products, and Activities
Example 6-1: Environmental Management Program for Reduction of Permitted Air
Emissions
Example 6-2: Environmental Management Program for Solid Waste from the Sand
System
Module 7: Structure and Responsibility
Tool 7-1
Tool 7-2
Tool 7-3
Tool 7-4
Structure and Responsibility Worksheet
Sample EMS Responsibilities Descriptions
Sample EMS Responsibilities Form
Functions to Include in Your EMS Team and Possible Roles
Example 7-1: Responsibility Matrix
Module 8: Training, Awareness, and Competence
Tool 8-1
Tool 8-2
Tool 8-3
Two Areas of EMS Training
Training, Awareness, and Competence Worksheet
Sample Training Needs Analysis Form
Example 8-1: Training Needs Analysis Form
Module 9: Communication
Tool 9-1
Tool 9-2
Tool 9-3
Tool 9-4
Tool 9-5
Levels of Stakeholder Interest
Communications Worksheet
Sample Procedure for Communication with Stakeholders
Sample Form for Stakeholders and Environmental Issues
Sample Form for Stakeholder Communication Record
Module 10: EMS Documentation and Document Control
Tool 10-1
Tool 10-2
Tool 10-3
Tool 10-4
Tool 10-5
Tool 10-6
Tool 10-7
Tool 10-8
EMS Documentation Worksheet
Sample Worksheet for Development of EMS Documentation
Sample Outline for EMS Manual and Other EMS Documents
Sample Procedure for EMS Documentation
Document Control Worksheet
Sample Procedure for Document Control
Sample Document Control Form
Sample Document Index Form
Introduction
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Foundry Industry— EMS Implementation Guide
Module 11: Operational Control
Tool 11-1: Partial List of Typical Activity Areas and Operational Controls at a Foundry
Facility
Tool 11-2: Linking SEAs to Operational Controls, Measurement Indicators, Job
Functions, Responsible Parties, and Locations of Documents
Tool 11-3: Procedure for Contractors and Sub-contractors
Tool 11-4: Environmental Briefing Packet and Contractor Method Statement Template
Example 11-1
Example 11-2
Example 11-3
Example 11-4
Operational Control for Container Labeling
Operational Control for Hazardous Waste Satellite Accumulation Areas
Operational Control for Empty Chemical Container Handling
Operational Control for New Material Purchasing
Module 12: Emergency Preparedness and Response
Tool 12-1
Tool 12-2
Tool 12-3
Emergency Preparedness and Response Worksheet
Emergency Preparedness and Response Requirements Matrix
Procedures for Emergency Preparedness and Response
Module 13: Monitoring and Measurement
Tool 13-1: Monitoring and Measurement Worksheet
Tool 13-2: Sample Procedure for Monitoring and Measurement
Tool 13-3: Sample Form for Compliance Tracking
Tool 13-4: Calibration Log
Example 13-1: Example of Links Between Aspects, Objectives and Targets, Operational
Controls, and Monitoring and Measurement
Example 13-2: Linking Monitoring Processes to Operational Controls
Module 14: Nonconformance and Corrective and Preventive Action
Tool 14-1
Tool 14-2
Tool 14-3
Tool 14-4
Corrective and Preventive Action Worksheet
Sample Procedure for Corrective and Preventive Action
Sample Corrective and Preventive Action Notice (CAPAN)
Sample Corrective and Preventive Action Tracking Log
Module 15: Records
Tool 15-1: Records Management Worksheet
Tool 15-2: Sample Checklist for Records of Supporting Documentation
Tool 15-3: Sample Procedure for Environmental Records
Tool 15-4: Index of Environmental Records
Example 15-1: Sample of Environmental Records File Organization
Example 15-2: Sample EMS Records Management Table
Introduction
IX
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Foundry Industry— EMS Implementation Guide
Module 16: EMS Audits
Tool 16-1: EMS Auditing Worksheet
Tool 16-2: Sample Procedure for EMS Audits
Tool 16-3: Sample Audit Plan Form
Tool 16-4: Sample Form for Communications to Audit Team
Tool 16-5: Sample Form for Internal Assessment Checklist
Tool 16-6: Sample EMS Audit Summary Form
Tool 16-7: Sample Form for EMS Audit Findings
Example 16-1: Sample Questionnaire for EMS Audits
Example 16-2: Sample Checklist for Top Management EMS Audits
Module 17: Management Review
Tool 17-1
Tool 17-2
Tool 17-3
Management Review Worksheet
Sample Procedure for Management Review
Sample Management Review Record
Introduction
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Foundry Industry— EMS Implementation Guide
Module 1: Laying the Groundwork for EMS
Guidance and Tools
EMS Planning - Getting Started
Section 4.4.1 of the ISO 14001 Standard outlines requirements for structure and responsibility
within an Environmental Management System. Identifying primary roles and responsibilities is
covered more thoroughly in Module 7 of this manual. However, in order to begin building an
Environmental Management System, a few key individuals must be identified. This section
provides tips on getting started.
A primary role is the EMS Coordinator, who will be responsible for managing the day-to-day
EMS tasks at the facility. The EMS Coordinator will work with an Environmental Management
Representative (EMR), who is a member of the facility's top management group. These
assignments should be documented in a position description that defines the responsibilities and
duties associated with the role and on relevant organization charts. Note that in a small business,
the EMR could be the owner. Additionally, the roles of EMS Coordinator and EMR could be
filled by the same individual.
Next, facilities typically identify a team of individuals (Cross Functional Team (CFT)) that will
help implement the EMS. There are no requirements for how many people should be on the
team or what types of people should be assigned to the team. Following are some general
guidelines for successful team building:
The Management Representative typically chairs the team meetings. Appoint someone to
record meeting minutes.
Team members should be selected from different areas, functions, and levels within the plant
(Quality, Operations (melting, molding, finishing, etc.), Shipping/Receiving, Engineering,
Maintenance, Finance, Human Resources, etc.). One of the most valuable components of
building the EMS is providing the time for these individuals to discuss environmental issues
together.
Assign only those who are interested and can spend the time (at least 40 hours over the
course of implementation).
Document designation of Cross Functional Team members either with a memo from the
Facility Manager or on an organizational chart. Post these on bulletin boards to raise general
awareness.
Try to limit Cross Functional Team meetings to 4 hours or less. Weekly meetings for shorter
periods tend to be more successful than longer meetings held only once a month.
Laying the Groundwork for EMS
Module 1 — 1
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Foundry Industry— EMS Implementation Guide
EMS Planning - Gap Analysis
The facility should conduct an initial review or "gap analysis" to understand what is already
being done and to evaluate ways to improve and build on existing programs and activities. This
is an important part of laying the groundwork for your EMS.
A gap analysis is designed to answer the following questions:
How well are the organization and its environmental programs performing?
What standards of environmental performance does the organization hope to achieve?
What parts of the ISO 14001 EMS do we already have in place, even partially?
Where are there gaps between objectives and performance?
What existing programs and activities can serve as the best foundation for improved
environmental performance?
Through this process, many organizations will probably find ways to address some of the EMS
components at little or no cost.
Prior to beginning the gap analysis, it is helpful to pull together materials you will be
referencing. Tool 1-1 is a list of materials that can be useful in conducting a gap analysis. Not
all of these will be applicable to your specific facility, and not all of them are necessary to
conduct a gap analysis. The list is, however, a good reference to consult as you prepare for your
gap analysis.
Tool 1-2 is a gap analysis tool/self-assessment checklist that can be used to assess current
programs and specific needs of a facility. Tool 1-3 is a sample worksheet of roles,
responsibilities, time commitment, and budget for individuals responsible for EMS development.
Note that Tool 11-3 refers to activities that are described later in this EMS Guide.
Laying the Groundwork for EMS
Module 1 — 2
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Foundry Industry— EMS Implementation Guide
Tool 1-1: Documents/Information to Have Available for ISO 14001 Gap
Analysis
1. General
1.1. ISO 9000 or QS 9000 program manual and procedures
1.2. General facility policies and procedures
1.3. Facility process flow diagrams
1.4. Current facility corrective action plans
1.4.1. From audits
1.4.2. From inspections
1.4.3. From risk assessments
1.5. Facility audit results
1.6. Facility regulatory inspection results
2. Environmental Policy
2.1. Draft or final Environmental Policy or Health, Safety, and Environmental Policy
3. Environmental Aspects
3.1. Lists of prioritized environmental issues/activities
3.2. Procedures for developing lists of prioritized activities
3.3. HAZOP studies
3.4. Incident investigations
4. Legal & Other Requirements
4.1. Environmental compliance files
4.2. Written guide to compliance files
4.3. Title V Air Operating Permit (usually identifies applicable regulatory requirements)
4.4. Mechanism for tracking permits/rules
4.4.1. Subscriptions to regulatory services
4.4.2. Contracts for regulatory updates
4.4.3. Procedures for periodic rule checking
5. Objectives & Targets
5.1. Plant-wide environmental goals or objectives
5.2. Major capital projects
5.3. Procedure for establishing goals and objectives
6. Environmental Management Programs
6.1. Management of change procedure
7. Structure & Responsibility
7.1. Organizational chart
7.2. Job descriptions related to environmental activities
7.3. Mechanisms for making job/task assignments
7.4. List of regular environmental meetings
7.4.1. Within Environmental Department
7.4.2. With top management
8. Training, Awareness & Competence
8.1. Descriptions of existing environmental training at the facility
8.2. Training matrix
8.3. Training tracking records
Laying the Groundwork for EMS
Module 1 — 3
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Foundry Industry— EMS Implementation Guide
8.4. Craft progression process or competency requirements
8.5. Contractor management/training programs
9. Communication
9.1. Existing mechanisms for communicating with employees
9.1.1. Bulletin boards
9.1.2. Newsletters
9.1.3. Staff meetings (safety meetings, "tool-box" meetings, all staff meetings,
etc.)
9.2. Procedures for updating/posting information
9.3. Procedures for responding to outside communications (calls, letters, inquiries, etc.)
9.4. Training for top management on media handling
10. EMS Documentation
10.1. Examples of other maintained documents (written plans, Website, procedures)
10.2. Environmental procedures/policy manual or file
11. Document Control
11.1. Document control policy and procedures
11.2. Scope of current document control program
11.3. Record retention policy/procedures
11.4. Procedure format
12. Operational Control
12.1. Preventive maintenance schedules and procedures
12.2. Waste minimization/pollution prevention plans
12.3. Process safety management procedures
12.4. Contractor management/training program
12.5. Standard operating procedures
13. Emergency Preparedness & Response
13.1. Copies of emergency plans
13.1.1. SPCC Plan
13.1.2. Storm Water Pollution Prevention Plan
13.1.3. Incident Response Plan
13.1.4. Evacuati on PI an
13.1.5. Other emergency plans
13.2. Schedule and procedures for drills (fire, evacuation, spill, etc.)
14. Monitoring & Measurement
14.1. Examples of current process and environmental measurements
14.2. Calibration procedures and records for monitoring equipment (Preventive
Maintenance Program)
14.3. Facility internal inspection/audit procedures and schedules
15. Nonconformance & Corrective & Preventive Action
15.1. Reports on nonconformances from ISO or QS 9000 audits
15.2. Facility corrective action tracking program
15.3. Incident Investigation Procedure
Laying the Groundwork for EMS
Module 1 — 4
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Foundry Industry— EMS Implementation Guide
16. EMS Audits
16.1. Description of ISO or QS 9000 audit program
16.2. Example ISO or QS 9000 audit report and corrective action list
16.3. ISO or QS 9000 audit team membership
17. Management Review
17.1. Management directives on environmental activities
17.1.1. Policies
17.1.2. Mandates
17.1.3. Goals
17.2. List of regular management meetings
Laying the Groundwork for EMS
Module 1 — 5
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Foundry Industry— EMS Implementation Guide
Tool 1-2: Gap Analysis Tool/Self-Assessment Checklist
Facility Name: Date: Assessor(s):
EMS Requirement
Yes
No
N/A
Findings/Remarks
Closed
Module 2: Environmental Policy
Does your facility have an environmental
policy?
Policy is specific to facility and signed by
top management.
Policy is appropriate to the nature and
scale and environmental impacts of its
activities, products, or services.
Policy includes a commitment to
continuous improvement in environmental
performance and prevention of pollution.
Policy includes a commitment to sharing
information on EMS performance with the
community.
Policy includes a commitment to comply
with relevant environmental laws,
regulations, and other requirements
applicable to the facility.
Policy provides a framework for setting
and reviewing environmental objectives
and targets.
Policy is documented, implemented, and
maintained.
Policy is communicated to all employees.
Policy is made available to the public
through display in reception area or by
other means.
Module 3: Environmental Aspects
Facility has a procedure to identify the
activities, products, or services that can
interact with the environment (i.e.,
environmental aspects) that it can control
in order to determine those which have or
can have significant impacts.
Facility has considered on-site contractor
activities in its significant aspect
determination.
Laying the Groundwork for EMS
Module 1 — 6
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Foundry Industry— EMS Implementation Guide
EMS Requirement
Yes
No
N/A
Findings/Remarks
Closed
Aspects associated with significant
environmental impacts are considered
when setting facility's environmental
objectives.
Module 4: Legal & Other
Requirements
Facility has a procedure to identify and
have access to legal and other
requirements.
Facility maintains access to all current
federal, state, and local regulations and
ordinances through the computer or by
some other means.
Module 5: Objectives and Targets
Facility has identified environmental
objectives and targets.
Facility has considered technological
options, financial, operational, and
business requirements in establishing its
objectives and targets.
Facility has considered legal and other
requirements in establishing objectives and
targets.
Facility has considered the views of
interested parties in establishing objectives
and targets.
Facility objectives and targets are
consistent with environmental policy.
Module 6: Environmental Management
Programs
Facility has established and maintained
programs for achieving objectives and
targets.
New activities, products, or services are
reviewed for potential environmental
programs plans and controls.
Facility has identified the means and time-
frame for achieving objectives and targets.
Facility has defined roles and
responsibilities for achieving objectives
and targets at each relevant function and
level within organization.
Laying the Groundwork for EMS
Module 1 — 7
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Foundry Industry— EMS Implementation Guide
EMS Requirement
Yes
No
N/A
Findings/Remarks
Closed
Module 7: Structure & Responsibility
Facility has defined the roles,
responsibilities, and authorities to facilitate
implementation of the EMS.
Facility management has appointed a
management representative with defined
roles to implement the EMS.
Facility has a procedure for providing
appropriate incentives for personnel to
meet EMS requirements.
Facility environmental management
representative reports on the performance
of the EMS to top management for review
and continuous improvement.
Module 8: Training, Awareness &
Competence
The organization has performed an
environmental training needs analysis.
Personnel whose work may create a
significant impact or is associated with a
significant aspect have received
appropriate training, education, and/or
experience to ensure job competence.
Facility has a procedure to make its
employees aware of the importance of
conformance with policy and procedures
and the requirements of the EMS.
Facility has a procedure to make its
employees aware of the significant impacts
associated with their work, and their roles
and responsibilities as they pertain to
conformance with the environmental
policy and the EMS.
Facility has a procedure to make its
employees aware of the potential
consequences of departure from operating
procedures.
Module 9: Communication
Facility has a procedure for internal
communication between the various levels
and functions.
Laying the Groundwork for EMS
Module 1 — 8
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Foundry Industry— EMS Implementation Guide
EMS Requirement
Yes
No
N/A
Findings/Remarks
Closed
Facility has a procedure for disseminating
and communicating relevant information
regarding the EMS, including the facility's
environmental performance improvements,
throughout the organization.
Facility has a procedure for receiving,
documenting, and responding to relevant
communication from external parties.
Facility has considered a process for
external communication relative to
significant aspects and recorded decision
on how to proceed.
Module 10: EMS Documentation and
Document Control
Facility has information in paper or
electronic form to describe the core
elements of the management system and
their interactions.
Facility has information in paper or
electronic form to provide directions on
how to find appropriate documents.
Facility has a procedure for controlling all
documents required by the EMS.
Documents and forms are reviewed for
adequacy by authorized personnel prior to
use or release.
Relevant documents are accessible for the
areas to which they apply.
Obsolete documents are promptly removed
from all points of use or otherwise assured
against unintended use.
Obsolete documents retained for legal or
preservation purposes are properly
identified.
Facility has a procedure for defining
responsibility concerning the creation and
modification of documents.
Documentation is legible, dated, and
readily identifiable; maintained in an
orderly manner; and retained for a
specified period.
Laying the Groundwork for EMS
Module 1 — 9
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Foundry Industry— EMS Implementation Guide
EMS Requirement
Yes
No
N/A
Findings/Remarks
Closed
Module 11: Operational Control
Facility has identified operations
associated with significant environmental
aspects.
Facility has planned maintenance in order
to ensure that they are carried out under
specified conditions.
Operations associated with significant
aspects have documented procedures to
cover situations where their absence could
lead to deviations from the policy,
objectives, and/or targets.
Procedures stipulate operating conditions.
Facility has a procedure to identify
significant aspect of goods and services
used by the organization and to
communicate relevant procedures and
requirements to the suppliers and
contractors.
Facility has a procedure for prevention of
pollution and waste minimization to
accomplish goal of environmental policy.
Module 12: Emergency Preparedness &
Response
Methods for preventing, mitigating, and
responding to releases that require
emergency response have been established
and maintained at the facility and involve
the appropriate response personnel.
Roles and responsibilities for
communications within the facility and for
obtaining outside support services (e.g.,
police, fire) have been established and
maintained at the facility.
The emergency preparedness and response
procedures are reviewed and revised as
needed, in particular after an incident
occurs.
Laying the Groundwork for EMS
Module 1 —10
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Foundry Industry— EMS Implementation Guide
EMS Requirement
Yes
No
N/A
Findings/Remarks
Closed
Module 13: Monitoring and
Measurement
Facility has documented procedures for
monitoring and measuring key
characteristics of operations associated
with significant aspects.
Facility has established metrics to track
performance, relevant operational controls,
and conformance with objectives and
targets.
Monitoring and measuring equipment is
calibrated and maintained as evidenced by
appropriate records.
Facility has documented procedures for
periodically evaluating compliance with
relevant environmental laws and
regulations.
Facility has a process for planning,
scheduling, and implementing internal
environmental regulatory compliance
assessments, including the identification of
necessary resources.
Managers and/or supervisors are
designated to ensure that control and
improvement plans are established,
implemented, and monitored.
Module 14: Nonconformance and
Corrective and Preventive Action
Facility has a procedure for defining
responsibility and authority for handling
and investigating nonconformance.
Facility has a procedure for taking action
to mitigate environmental impacts and for
initiating corrective and preventive action.
Each corrective or preventive action is
appropriate in scale to the magnitude of
problems and to the environmental impact.
Facility records and makes changes in
documented procedures resulting from
corrective and preventive actions.
Laying the Groundwork for EMS
Module 1 —11
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Foundry Industry— EMS Implementation Guide
EMS Requirement
Yes
No
N/A
Findings/Remarks
Closed
Module 15: Records
Facility has a procedure to identify,
maintain, and dispose of environmental
records.
Each activity responsible for maintaining a
record has the responsibility for
establishing the method for filing and
indexing the records for accessibility.
Facility record procedure is consistent with
corporate record retention procedures.
Module 16: EMS Audits
Facility has a program and procedure for
planning, scheduling, and implementing
periodic internal EMS audits.
An audit schedule exists for each activity
to be audited. Audit frequency is based on
priority basis that accounts for previous
audit results, the relative importance of the
activity, and is not less than once per year
for each activity.
A facility audit team has established a
checklist of questions relating to the EMS,
which are reviewed and amended as
necessary based on audit findings and
other factors.
The facility has a process for audit results
to be provided to management for review.
Module 17: Management Review
Management reviews of the EMS are
conducted at set intervals.
The management review addresses the
possible need for changes to policy,
objectives, process, and/or other elements
of the EMS.
Laying the Groundwork for EMS
Module 1 —12
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Foundry Industry— EMS Implementation Guide
Tool 1-3: Sample Worksheet for Persons Responsible for EMS Development
Roles
Individual(s)
Responsible
% of Time
Designated
Budget
Environmental Management Representative (EMR)
(defined further in Module 7) (in small businesses, this
could be the owner).
EMS Coordinator (defined further in Module 7).
EMS Cross Functional Team Participants (defined
further in Module 7).
Conducting gap analysis (see discussion in Module 1).
Identifying and determining significance of
environmental aspects (see Module 3).
Identifying and determining applicability of legal and
other requirements (see Module 4).
Competency-based training (see Module 8).
Operational controls (see Module 11).
Emergency preparedness and response (see Module
12).
Monitoring and measurement of "key characteristics"
of operations and activities that can have significant
environmental impacts (i.e., the "significant
environmental aspects") (see Module 13).
Periodic evaluations of environmental compliance (see
Modules 13 and 14).
Handling and investigating nonconformance with the
EMS (see Module 14).
Records management (see Module 15).
Internal EMS audits (see Module 16).
Contact Person:
Date Completed:
Note:
Most of these blocks will be filled in as development of the EMS progresses. This worksheet will help track progress and serve
to remind the Cross Functional Team and management of necessary assignments.
Laying the Groundwork for EMS
Module 1 —13
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Foundry Industry— EMS Implementation Guide
Examples
Example 1-1 shows a typical EMS implementation schedule. Plan to spend 9-12 months, on
average, developing your system.
Example 1-1: Example Schedule for EMS Implementation
Task Name
1 st Quarter
2nd Quarter
3rd Quarter
4th Quarter
Jul | Aug | Sep
Dec
Jan Feb Mar
Apr | May | Jun
Oct Nov Dec
Making the Commitment: Creating a Policy Statement and
Determining the Scope
Cross Functional Team
Form the team
IS014001 Implementation Training
Conduct GAP Analysis/Self Assessment
Develop schedule
Define Role & Responsibilities
Aspects & Significant Aspects
Identify Aspects
Legal & Other Requirements
Determine Significant Aspects
Objectives & Targets
Develop Objectives & Targets
Submit Aspects, O&T, and Policy for Mgmt Review
EMPs
Identify EMP tasks, responsibilities, & completion dates
Submit EMPs for management review
Develop operational controls
Develop monitoring & measurement procedures
Determine roles, responsibilities, & authorities
Training Programs
Develop training needs
Revise training needs & program procedures
Internal Auditing
Develop procedure, checklist, & schedule
Internal Audit Training
Conduct audits
Corrective & preventive actions
Laying the Groundwork for EMS
Module 1 —14
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Foundry Industry— EMS Implementation Guide
Module 2: Environmental Policy
Guidance and Tools
Once your facility has its EMS team (the EMR, EMS Coordinator, and CFT) trained and in
place, the next step is to create a working draft of your facility's environmental policy. As your
EMS team moves forward, the policy should serve as the foundation for your EMS and provide a
unifying vision of environmental principles that will guide the actions of employees and
management. This policy statement should provide the framework for setting environmental
objectives and targets.
Your EMS should be based upon a documented and clearly communicated policy. In order to
meet the requirements of ISO 14001, your policy must include the following elements:
Commitment to continued improvement and pollution prevention;
Commitment to comply with environmental laws and regulations and other requirements to
which your organization subscribes; and
Framework for setting and reviewing environmental objectives and targets.
In addition, your environmental policy must be:
Appropriate in nature, scale, and environmental impacts of your facility's activities, products,
or services;
Documented, maintained, and communicated to all employees; and
Available to the public.
The EMS policy should set out the facility's overall commitment to a cleaner environment.
Examples of commitments that should be stated in your EMS policy are those presented by
EPA's National Environmental Performance Track program:
Compliance with legal requirements and any voluntary commitments;
Pollution prevention;
Continuous improvement in environmental performance, including areas not subject to
regulations; and
Sharing information about environmental performance and the operation of your EMS with
the community.
Environmental Policy
Module 2 — 1
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Foundry Industry— EMS Implementation Guide
Hints:
Apply existing company policies, written or implied. If your current policy is implied, such
as a dedication to meet environmental laws, document the concepts in writing.
Keep your policy simple and understandable, yet explicit. Be direct - the wording in your
policy should avoid general statements such as "We are committed to excellence and
leadership in protecting the environment" unless you can demonstrate how such a
commitment is being met.
The environmental policy can be a stand-alone document or it can be integrated with your
health & safety, quality, or other organizational policies.
Consider involving a wide range of people from your organization to develop your policy.
This approach should increase commitment and ownership.
Make sure that your employees understand the policy. Options for communicating your
policy internally include posting it at the shop floor communication center, in breakroom and
bathrooms, using paycheck stuffers, incorporating the policy into training classes and
materials, and referring to the policy at staff or all-hands meetings. Test awareness and
understanding before your audits by asking employees what the policy means to them and
how it affects their work.
The policy also should be communicated externally. You can meet this requirement by
posting a copy of your policy in the reception area of your plant. More aggressive strategies
include: placing the policy on business cards, in newspaper advertisements, and in annual
reports, among other options. How you communicate your policy should be factored into
your overall strategy for external communication (see later discussion in Module 9 regarding
Communication).
Consider how you would demonstrate that you are living by the commitments laid out in the
policy. This is a good test of whether or not the policy is a "living document."
Tool 2-1 is a generalized template for an environmental policy that could be adapted to your
facility. Remember: Top management must commit to the environmental policy statement, with
the company president or operations manager signing and dating it.
Environmental Policy
Module 2 — 2
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Foundry Industry— EMS Implementation Guide
Tool 2-1: Generalized Environmental Policy Template
[YOUR FACILITY'S NAME] ENVIRONMENTAL POLICY
[Facility Name] is committed to managing environmental matters as an integral part of our
business planning and decisions. Manufacturing and environmental protection must continue to
be compatible goals. To obtain these goals, we will adhere to the following principles:
COMPLIANCE
We will comply with applicable laws and regulations and will implement programs and
procedures to ensure compliance with legal requirements and voluntary commitments. [Facility
Name] shall promote a workplace in which all employees are properly trained to comply with
environmental requirements and procedures, to meet environmental program goals, and to take
personal responsibility for implementation of the program.
POLLUTION PREVENTION AND RESOURCE MANAGEMENT
We are committed to pollution prevention and the continual improvement of our environmental
performance. We commit to eliminate, or reduce to the maximum practical extent, the release of
contaminants into the environment, first through pollution prevention (material substitution and
source reduction), then recycling, and finally through treatment and control technologies.
We will employ management systems and procedures designed to prevent activities and/or
conditions that pose a threat to human health, safety, or the environment, and we will work to
minimize our impact on the environment.
COMMUNICATION
We will communicate our commitment to environmental quality and to our company's
environmental performance to our employees, vendors, customers, and external stakeholders.
CONTINUOUS IMPROVEMENT
We will measure our progress as best we can and report on our efforts on an annual basis. We
will continuously seek opportunities to periodically review and demonstrate continuous
improvement in the facility's environmental performance, including areas not subject to
regulations.
Management at all levels of [Facility Name] is responsible for ensuring that this policy is
communicated and adhered to by all employees and subcontractors, and that it is made available
to interested members of the public.
{Signature} President Date
Environmental Policy
Module 2 — 3
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Foundry Industry— EMS Implementation Guide
Examples
Examples 2-1 through 2-3 are examples of foundry policies that conform to the criteria cited in
Module 2.
Example 2-1: Example Foundry Environmental Policy
Foundry Corporationl
Environmental Management System Policy
Foundry Corporationl believes the health and safety of its employees and the protection of the
natural environment are critical concerns in the operation of its business.
Therefore, it is the policy of Foundry Corporationl to:
Actively pursue process innovation in order to reduce and eliminate waste from its operations
and prevent environmental pollution.
Routinely review and assess its operations for the purpose of making continual improvements
in areas of health, safety and environmental concern, beyond those legally required, where
such improvements provide significant benefits.
Comply with all applicable laws, regulations and standards in its product development,
manufacturing, marketing and distribution activities.
Using its established EMS policy, this facility will develop annual safety and environmental
goals, and implement action plans in accordance with corporate performance standards to ensure
that its operations comply with this policy.
Foundry Corporationl will provide the support and resources necessary, as its commitment to
these goals and objectives.
Furthermore Foundry Corporationl is committed to continual improvement in the environmental
performance of the company and shall to the best of its ability:
Promote pollution prevention and take steps to conserve resources through energy
conservation and recycling.
Implement, maintain, and continuously improve an effective environmental management
system.
Regularly communicate our environmental performance with all employees and neighbors.
All employees have been informed of this policy and are expected to incorporate sound health,
safety and environmental practices in the conduct of their jobs.
{Signature} President Date
Environmental Policy
Module 2 — 4
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Foundry Industry— EMS Implementation Guide
Example 2-2: Example Foundry Environmental Policy
Foundry Corporation2
Environmental Policy Statement
Foundry Corporation2 is committed to achieving the highest world wide environmental standard.
We are concerned for the well being of our employees and our environment. This policy is
designed to address the company's environmental concerns and then insure a continuous
commitment to environmental awareness and excellence.
It is the policy of Foundry Corporation2 to:
Comply with all applicable federal, state and local environmental regulations while also
complying with other voluntary initiatives to reduce our Environmental Impacts.
Pursue waste minimization and pollution prevention strategies via the implementing and
tracking of targets and objectives that we evaluate quarterly.
Strive to continually improve our Environmental Management System to become more
efficient and environmentally conscious in our operations.
Routinely train our employees and communicate with our neighbors the applicable aspects of
the company's Environmental Management System.
In following our Environmental Policy, Foundry Corporation2 will become a safer and more
environmentally sound company for our employees, customers, suppliers and our community.
President Facility Manager
Environmental Policy
Module 2 — 5
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Foundry Industry— EMS Implementation Guide
Example 2-3: Example Foundry Environmental Policy
Environmental Policy of
Foundry Corporations
Foundry Corporation3 is committed to continually striving to protect its employees and the
environment by being responsive and responsible. In achieving that goal we are committed to
the prevention of pollution and to the continuing effort of improving the processes and
procedures of our facility to be as compatible with our surrounding environment as possible.
To that end, Foundry Corporation3 sets out the following Environmental Policy objectives:
1. To comply with any and all applicable laws, regulations and other applicable voluntary or
non-regulated requirements to ensure that our organization is a diligent community
partner;
2. To establish procedures by which we can continually set and review our environmental
objectives and goals to evaluate our compliance and conformance;
3. To develop processes to document, implement and maintain our efforts associated with
improving our environmental performance;
4. To create a procedure for effectively communicating this information to the employees of
Foundry Corporation3; and
5. To make information about our environmental management system available to the public.
In following this policy, Foundry Corporation3 will become a safer and more environmentally
sound company for our employees, customers, suppliers and our community.
President
Environmental Policy
Module 2 — 6
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Foundry Industry— EMS Implementation Guide
Module 3: Environmental Aspects
Guidance and Tools
To plan for and control its environmental impacts, an organization must know what these
impacts are. But knowing what the impacts are is only part of the challenge - you also should
know where these impacts come from and which impacts are significant. Stated another way,
how does your organization (i.e., your products, services, and activities) interact with the
environment?
Environmental aspect (EA): An element of a company's activities, products, or services that
can or does interact with the environment (create an environmental impact).
Environmental impact: Any change to the environment, whether adverse or beneficial,
resulting from a company's activities, products, or services.
You will need to identify environmental aspects that the organization:
Can control, or
Over which it can have an influence.
Your organization is not expected to manage issues outside its sphere of
influence or control. For example, while your organization could decide
to exert some management control or influence over the use phase of the
product, it would also be understandable to claim that the use phase is not
under your control or influence. Similarly, if your organization
manufactures a product that is subsequently incorporated into another
product (for example, a bumper that becomes part of an automobile),
your organization does not control the environmental aspects of that
"finished" product (the automobile). Another example might be noise
generated by train traffic that traverses your property - it could be
reasonable to assert that this is out of your control. Thus, your focus
should be on the environmental aspects of your products or services.
The relationship between aspects and impacts is often one of cause and effect. The term
"aspects" can be either positive (such as making a product out of recycled materials) or negative
(such as discharging toxic materials to a stream).
Once you have identified the environmental aspects of your products, activities, and services,
you should determine which aspects could have significant impacts on the environment. For
example, emissions of fugitive dust and other particulate matter (an aspect) may lead to
pulmonary impairment in humans (an impact). Positive aspects, such as use of recycled paper or
other materials, have positive impacts - in this case, conservation of natural resources.
Environmental Aspects
Module 3 — 1
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Foundry Industry— EMS Implementation Guide
Once you have identified the environmental aspects associated with your facility's products,
activities, and services, you will determine what subset of these are likely to have significant
impacts. The determination, resulting in your list of significant environmental aspects (SEAs),
will be one of the most crucial steps in EMS planning. It can be one of the most challenging as
well as one of the most rewarding. Decisions you make in this step will affect many other
system elements, such as setting objectives and targets, establishing operational controls, and
defining monitoring needs, as discussed later in this EMS Guide. Careful planning of this
activity will pay dividends later.
Start by assembling your Cross Functional Team (CFT) and reviewing Section 4.3.1 of the ISO
14001 Standard and the associated guidance in Annex A of the Standard. This section of the
standard requires that an organization identify the environmental aspects of their activities,
products, and services.
To identify your environmental aspects you will need a detailed understanding of all the
processes and support activities that allow you to generate products and services. To assist in
this process, assemble the following materials:
o Process flow diagrams;
o Plant diagrams;
o Environmental cost data (waste disposal, permit fees, energy and water use,
consultant fees, training, etc.);
o Material Safety Data Sheets (MSDSs);
o Incident reports (spills, complaints, fires, etc.); and
o List of legal and other requirements (see Module 4).
Discuss with the team members the definition of aspects and impacts, and develop a set of
impacts to reference - this will help make your list more consistent. For impacts, consider
(actual or potential):
o Waste (sand, refractories, slag, dust, etc.);
o Natural resource use (water, chemicals, landfill space, etc.);
o Energy use;
o Air emissions;
o Impact to surface water or sewer system;
o Impact to soil and groundwater (spills/releases);
o Noise;
o Odors; and
o Others (light, radiation, vibration, etc.).
Determine the categories of activities at your facility (e.g., receiving, melting, core making,
mold making, pouring, grinding, and shipping).
Pick one category and sketch a simple flow chart, noting inputs (chemicals, materials,
energy, natural resources, etc.) and outputs (product, emissions, wastes, etc.). Look at the
various activities (or aspects) associated with the inputs and the impacts (actual or potential)
associated with the outputs. Record the identified aspects and impacts (see Tool 3-2).
Environmental Aspects
Module 3 — 2
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Foundry Industry— EMS Implementation Guide
Remember to look at services as well as products. While the need to examine on-site
operations might be obvious, you also should consider the potential impacts of what you
might do "off-site" (such as servicing equipment at customer sites). Similarly, the
environmental aspects of the products, vendors, and contractors you use may be less obvious,
but should still be considered. You will also want to consider normal operating conditions,
shut-down and start-up situations, as well as reasonably foreseeable emergency
situations.
Section 4.3.1 of the ISO 14001 Standard requires that organizations consider their significant
impacts when setting objectives and targets. But which impacts are significant? ISO 14001
does not define the word "significant". Instead, each organization must determine which of
its impacts are significant. Your team, therefore, will define the criteria that will be used to
determine significance.
o One criterion may be whether or not the associated aspect is subject to
environmental regulation or the subject of already established company policy.
o Another criterion might be tied to the views of interested parties. One of the
commitments of your EMS policy must be good communication with external
stakeholders. Thus, the aspects that they consider important, perhaps have lodged
complaints about, could be significant in your EMS.
o Other criteria often include the magnitude, frequency, and duration of the impact.
Some organizations use a numerical scoring system (see Example 3-3), others simply use a
criteria based approach.
You may choose to use the worksheets and forms in the tools provided in this module to
capture some of your ideas. Using these worksheets will give you a "jump start" on
implementing this EMS element.
Once you have identified environmental aspects, impacts, and significant environmental
aspects you will use this information as a basis for setting your objectives and targets, which
will be discussed in Module 5. You must effectively manage and control all aspects that are
significant as a result of being subject to environmental regulations. This does not mean
that you need to improve your performance on all of your significant aspects at once.
There may be good reasons (such as cost, availability of technology, or scientific uncertainty)
for making environmental improvements regarding some significant aspects now while
deferring action on others.
Environmental Aspects
Module 3 — 3
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Foundry Industry— EMS Implementation Guide
Tool 3-1: Sample Procedure for Identification of Environmental Aspects and
Determination of Significant Aspects
1.0 Purpose
This procedure defines the method for the identification of environmental aspects of the
[Your Facility's Name] operations and determination of significance for aspects that
have actual or potential significant impacts on the environment.
2.0 Procedure for Environmental Aspect Identification
Procedure lor
Environmental
Aspect
Identification
Establish Cross
Functional Team
(CFT)
Determine Core
Processes and
Supporting
Activities
Inspect each
Pro c e s s/ Activity
and Conduct
Material Balance
Identify and
Record Aspects
Proceed U)\
/ Determination \
of Significant j
\ Environmental J
^••x^Aspeels
3.0 Responsibilities of the CFT
The facility Cross Functional Team (CFT) led by the Environmental Management
Representative (EMR) or his designee is responsible for completing the form for each
core process and supporting activity within a facility. If possible, members of the CFT
must conduct a physical inspection when completing this form. The completed form is a
material balance of a process or activity and is used to identify environmental aspects.
At a minimum, the CFT will review and revise the completed forms, by means of
physical inspection, as necessary at issuance, annually, prior to and immediately
following implementation of new or modified processes/activities.
Environmental Aspects
Module 3 — 4
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Foundry Industry— EMS Implementation Guide
All environmental aspects are evaluated for significance as defined below in the
Procedure for Determination of Significant Environmental Aspects.
The following procedure is used to fill out the Aspect Identification portion of Tool 3-2,
Sample Form for Identification and Significance Determination of Environmental
Aspects.
The material balance consists of identifying all raw materials, chemicals, and utilities
used as inputs along with their relative usage rates, and all output as product and by-
products produced.
The latter is all wastes produced, all recycled materials, water discharges, and air
emissions known for the process(es), and any available rates of production.
For inputs and outputs, identify the category of aspects, the mode of operation under
which the aspect is conducted (normal, startup, shutdown, or emergency), and the
quantity or volume used per month.
Inputs
• Supplies: Enter the major, non-chemical supplies used in the process.
• Chemicals: Enter any chemical materials used in the process.
• Energy Use: Enter energy type and usage. (Levels are relative to the facility.)
• Water Use: Enter water type (e.g., city, well, storm, process, chilled) and usage.
(Levels are relative to the facility.)
• Other Inputs: Enter inputs that are not covered clearly in other categories.
Outputs
• Products: List all products produced by the process specifically produced for sale.
Recyclable and Chemical By-Product (e.g., foundry sand) outputs are entered in the
waste section.
• Air Emissions: List all air emissions whether they are drawn directly through a stack
or are discharged into the room and escape as fugitive emissions.
• Noise/Odor/Radiation: Include noise and odor as an air emission if potentially
noticeable outside the facility and list any potential radiation emitted from the facility.
• Water Discharges: Enter all wastewater streams that discharge directly to storm or
sanitary sewer systems or surface waters. Containerized wastewater should be
included in the waste section.
• Solid / Residual Wastes: Wastes are any materials intended to be discarded or
disposed of, whether regulated or not, and include liquids, solids, and gases. Also
include recycled materials, returnable containers, and chemical by-products under this
category.
• Storm Water Discharges: List all storm water discharges from all process areas.
• Spills: Enter all potential spills that might occur in all process areas.
• Other Outputs: Enter outputs that are not covered clearly in other categories.
Environmental Aspects
Module 3 — 5
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Foundry Industry— EMS Implementation Guide
4.0 Procedure for Determination of Significant Environmental Aspects
Where appropriate, individual aspects can be grouped. (For example, if consumption of
energy is listed as an environmental aspect in several areas, the CFT could choose to
group these listings such that consumption of energy appears just once on a facility-wide
form.)
Using the Significance Determination portion of Tool 3-2, the CFT or a subset thereof
shall evaluate, using its best judgment, each identified aspect and determine whether or
not it is significant. The environmental aspects of [Your Facility's Name] may be
considered by the CFT to be "significant" where the aspect has an impact on the
environment and meets one or more of the following criteria:
1. Subject to specifically relevant legislation, regulation, and/or permit requirements
that address significant impacts to the environment. This will likely include
aspects associated with processes and activities if (1) environmental regulations
specify controls and conditions, (2) information must be provided to the
authorities, and/or (3) there are or may be periodic inspections or enforcements by
the authorities. Potential aspects that are subject to environmental regulations in
the event of incidents will be recognized as significant when such as event occurs.
2. Subject to or associated with environmentally-related company goals, directives,
policies or subject to or associated with voluntary covenants to which the
company had committed.
3. Subject to or associated with community concerns, such as those previously
expressed in the form of complaints or critical inquiry. This criterion only shall
be reviewed when an aspect is not significant because criteria 1 or 2 apply.
4. Based on technical and business conditions, has a high potential for pollution
prevention or resource-use reduction. This criterion only shall be reviewed when
an aspect is not significant because criteria 1 or 2 apply.
5. Associated with potential release to the environment from the high environmental
loading due to one or more of the following:
a. Toxicity (compositional characterization of materials and wastes)
b. Amounts (volumes and masses or release)
c. Amounts (consumption of renewable and non-renewable resources)
d. Frequency of episodes
e. Severity of actual or potential impacts
This criterion only shall be reviewed when an aspect is not significant because criteria 1
or 2 apply.
5.0 Frequency
This procedure is to be repeated at least annually, if not more frequently. More frequent
updates apply especially to new project or processes that effect the list of the facility's
significant aspects.
Environmental Aspects
Module 3 — 6
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Foundry Industry— EMS Implementation Guide
6.0 Records
Tool 3-2 is maintained by the Environmental Management Representative (EMR) or his
designee.
Environmental Aspects
Module 3 — 7
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Foundry Industry— EMS Implementation Guide
Tool 3-2: Sample Form for Identification and Significance Determination of Environmental Aspects
Person Completing Form: Area/Process: Date:
ASPECT IDENTIFICATION
SIGNIFICANCE DETERMINATION
OBJECTIVES AND TARGETS*
Category/ Aspect
Mode
SD= shutdown,
ST=startup,
NM=normal,
E = emergency
Quantity or
Volume (e.g.,
lbs/month)
Legal Requirements
Company Goal or
Policy
Community Concern
Potential Release to
the Environment
Pollution Prevention
Potential
I or S
Rationale for
Significance (S) or
Insignificance (I)
Objective & Type
C = control or maintain
S = study or investigate
I = improve
Target
Supplies:
Chemicals:
Energy Use:
Water Use:
Products:
Air Emissions:
Noise/Odor/Radiation:
Water Discharges:
Environmental Aspects
Module 3 — 8
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Foundry Industry— EMS Implementation Guide
ASPECT IDENTIFICATION
SIGNIFICANCE DETERMINATION
OBJECTIVES AND TARGETS*
Category/ Aspect
Mode
SD= shutdown,
ST=startup,
NM=normal,
E = emergency
Quantity or
Volume (e.g.,
lbs/month)
Legal Requirements
Company Goal or
Policy
Community Concern
Potential Release to
the Environment
Pollution Prevention
Potential
I or S
Rationale for
Significance (S) or
Insignificance (I)
Objective & Type
C = control or maintain
S = study or investigate
I = improve
Target
Solid/Residual Wastes:
Storm Water Discharges:
Spills:
Other Inputs and Outputs:
Notes:
• This part will be discussed in Module 5, Objectives and Targets. A filled-in version of this form can be found in Example 3-3.
Environmental Aspects
Module 3 — 9
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Foundry Industry— EMS Implementation Guide
Examples
The following examples provide step-by-step guidance on identifying environmental aspects and
determining significance of environmental aspects in the foundry industry.
Example 3-1 provides examples of links between aspects and impacts.
Example 3-2 provides a process flow diagram for a typical green sand foundry.
Example 3-3 is an example of a numerical scoring system approach used by a foundry.
Example 3-1: The Link Between Aspects and Impacts
Aspects
Potential Impacts
Emissions of fugitive dust and other particulate
matter
Pulmonary impairment in humans
Discharges to sanitary sewer
Upsets and disruptions at local Publicly-Owned
Treatment Works (POTW)
Spills and leaks
Soil and groundwater contamination
Electricity use
Air pollution, global warming
Use of recycled paper
Conservation of natural resources
Environmental Aspects
Module 3 —10
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Foundry Industry— EMS Implementation Guide
Example 3-2: Process Flow Diagram for a Typical Green Sand Foundry
' Partictia&s,
, orgrnt cmpounds,
K HAFs, VOCs
Raw Materials Inputs
Sand
Particulates
Sand & Binder
Mixing
Core Forming
yoa.KAFs )
Core Curing
Moid &Core
Assembly
Mold
Making
Raw Materials Inputs
•[.Vl.i! Scrap 01 Ingot
•Alloys
•Fluxing Agents
T
Particulates
Scrap & Charge
Preparation
Metal Melting
•Cupola Furnace
•Electric-Arc Furnace
~Induction Furnace
•Roverberatop/ Furnace
~Crucible Furnace
/ Partkiiates, metal oxide. ^
* fiums. carbcn monoxide, )
VOCs. HAFs '
f Hydrocarbons, %
carbon monoxide, ^
S moke ^ *
""J1 PorHciiki&s, S
* nitrogen oxides, ^
f carbon monoxides, *
, metal oxide fimes, j
\ sulftirdkxade i
^^t^Spent refrcctoryS^
material
Wet scruhbe
i&vxster vw
wk pH
/ 1
Sand
Preparation &
i Treatment
•Lump Knockout
~Screening
~Metal Removal
•Thermal Treatment
~Wet Scrubbing
•Other
Mold Pouring,
A
Tapping, Treatment,
Cooling
Slag & Dross
Removal
3
Particulate?,
carbon m epoxides,
metal oxitte fumes, >
sulfur dioxide f
Casting
Shakeout
Farticda
k"
it fools
abrasives
y^Wa
\
Waste sand,fsies md
lumps, metals
1 Particulates, VOCs )
\
'"'k'
Cleaning, Finishing,
& Coating
Spent soh&nts, abrssn&s,
coatmgs. wastewater
treatment sludge
Inspection &
Shipping
Source: Adaptedfrom Kotzin, Air Pollution Engineering Manual: Steel Foundries,
1992.
Environmental Aspects
Module 3 —11
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Foundry Industry— EMS Implementation Guide
Example 3-3: A Foundry's Numerical Scoring System Approach
ISO14001 ASPECTS, IMPACTS, AND SIGNIFICANCE REGISTER
1 - ASPECT IDENTIFICATION
2 - SIGNIFICANCE DETERMINATION
CATEGORY
ASPECTS / SOURCE
ANNUAL
USAGE
SOURCE
POSSIBLE IMPACT
LEGAL
REQUIREMENTS
COMPANY
GOALS/POLICY
PUBLIC
CONCERNS
POTENTIAL
RELEASE TO THE
ENVIRONMENT
POLLUTION
PREVENTION
POTENTIAL
FREQUENCY
PROBABILITY
RANKING NUMBER
INPUTS:
SUPPLIES:
IRON SCRAP
MELT
USE OF RECYCLED MATERIAL
1
1
1
1
0
1
5.0
HARDWARE
ASSEMBLY
USE OF NATURAL RESOURCE
0
1
0
1
0
1
3.0
CARDBOARD
CARTONING
USE OF NATURAL RESOURCE
0
2
0
1
0
2
5.0
SHRINK WRAP
SHIPPING
USE OF NATURAL RESOURCE
0
2
0
1
0
2
5.0
BANDING, PLASTIC
SHIPPING
USE OF NATURAL RESOURCE
0
1
0
1
0
2
4.0
PALLETS
CARTONING
USE OF NATURAL RESOURCE
0
2
0
1
0
2
5.0
SAND
MOLDING/CORE MAKING
USE OF NATURAL RESOURCE
0
2
1
1
0
2
6.0
PRE-MIX
MOLDING
USE OF NATURAL RESOURCE
0
1
0
1
0
2
4.0
GRINDING WHEELS
FINISHING
USE OF NATURAL RESOURCE
0
1
0
1
0
2
4.0
STEEL SHOT
FINISHING
USE OF NATURAL RESOURCE
0
1
0
1
0
2
4.0
CHEMICALS:
FLUX
MELT
SOIL & GROUNDWATER CONTAMINATION
1
0
0
1
1
1
4.0
PARTING AGENT
MOLDING
SOIL & GROUNDWATER CONTAMINATION
3
1
1
2
1
2
10.0
BINDER (PART I)
MOLDING
SOIL & GROUNDWATER CONTAMINATION
1
1
1
1
0
1
5.0
BINDER (PART II)
MOLDING
SOIL & GROUNDWATER CONTAMINATION
1
1
1
1
0
1
5.0
ENERGY USE:
NATURAL GAS
FURNACES
USE OF NATURAL RESOURCE
1
3
0
1
1
3
9.0
ELECTRICITY
PLANT-WIDE USAGE
AIR POLLUTION, GLOBAL WARMING
1
3
0
1
1
3
9.0
PROPANE
LIFT TRUCKS
USE OF NATURAL RESOURCE
1
1
0
1
2
2
7.0
GASOLINE
LIFT TRUCKS
SOIL & GROUNDWATER CONTAMINATION
1
0
0
1
1
2
5.0
WATER USE:
CITY WELL
USAGE
USE OF NATURAL RESOURCE
1
3
0
2
1
1
8.0
Environmental Aspects
Module 3 —12
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Foundry Industry— EMS Implementation Guide
Module 4: Legal and Other Requirements
Guidance and Tools
Setting the Legal Framework for Your EMS
Section 5.4.3 of ISO 14001 requires organizations to define and have access to their legal and
other requirements. Compliance with these legal requirements is one of the main pillars upon
which your environmental policy should be based. The potential costs of non-compliance
(possible damage to the environment, revenue loss and impact on public image, for example) can
be very high.
An effective EMS will build on what you already have and should include processes to:
Identify and communicate applicable legal and other requirements; and
Ensure that these requirements are factored into the organization's management efforts.
New or revised legal requirements might require modification of your environmental objectives
or other EMS elements. By anticipating new requirements and making changes to your
operations, you might avoid some future compliance obligations and their costs.
Getting Started
Your EMS should include a procedure for identifying, having access to, and analyzing
applicable legal and other requirements. "Other requirements" might include industry codes of
practice or similar requirements to which your organization might subscribe.
I.egal requirements include, hut are not limited to:
• rederal requirements.
• Slate and local requirements: and
• IVrmil conditions.
Other requirements might include:
• Customer (such as maintaining an ISO I4<)()| system), packaging, lalx-ling.
etc .
• Parent company or corporate requirements:
• Industry or trade group codes of practice.
• IAIS req u i lenient (eg. re\ ieuing the legal and other requirements list
annually). and
• Neighborhood or community associations.
Legal and Other Requirements
Module 4 — 1
-------
Foundry Industry— EMS Implementation Guide
Identifying applicable regulations, interpreting them, and determining their impacts on your
operations can be a time-consuming task. Fortunately, there are many sources for obtaining
information about applicable laws or regulations. These sources include:
Commercial services (with updates offered on-line, on CD-ROM, or in paper form);
Regulatory agencies (federal, state and local);
American Foundry Society (www.afsinc.org);
The Internet (see EPA Website at www.epa.gov);
Consultants and attorneys; and
Customers, vendors and other companies.
Once the applicable environmental requirements have been identified and adopted into the
appropriate operations, communicate these requirements (and plans for complying with them) to
employees, on-site contractors and others, as needed. Communicating "other applicable
requirements" (as well as their influence on the organization) is an important but often
overlooked step. Keep in mind that different people may have different information needs.
As with many EMS elements, this is not a "one time" activity. Because legal and other
requirements change over time, your process should ensure that you are working with up-to-date
information. The list of legal and other requirements for your facility should be reviewed and
updated:
When changes in the plant affect legal status;
When the regulations change;
When permits are renewed or modified;
When customer requirements change (packaging, materials, reporting, etc.); and
Annually.
To begin the process of identifying applicable regulations and help determine their impacts on
your operations, it will be helpful to keep a list of answers to the questions in Tool 4-1 for
current use and future reference.
Legal and Other Requirements
Module 4 — 2
-------
Foundry Industry— EMS Implementation Guide
Tool 4-1: Legal and Other Requirements Worksheet
Questions
Do we ha\e an existing process lor
idenlil\ my iipplicahlo leyal and oilier
reiiuirenienls1'
ll\es. docs lhat process need lo he
reused' lnwhalwa\'
W ho needs lo he imohed in this process
w illnn our oryani/alion1' \\ hal should
llieir responsibilities lie"'
Wlial sources of inloi iiKtlion do we use
lo i (.1 e 11111 \ appl icahle I e l: a I and oilier
reiiuirenienls1'
Are ihese sources adequate and clTccli\c''
I low often do we re\iew ihese sources
lor possible chanyes1'
I low do we ensure I hat we ha\c siccess lo
leyal and oilier reiiuirenienls1.' (I.isl an\
nielhods used, such as on-sile lib ran . use
ol'Wehsiles. commercial ser\ ices, elc )
I low do we coniniuniciite inlorniiilion
on leyal and oilier rei|uiremenls lo people
\\iillin lhe oryani/.alion who need such
inlormalion1'
W ho is responsible lor anal\/.my new or
modified leyal rei|uiremenls lo delermine
how we illil!lit lie alTecled'
I low will we keep information on leyal
and oilier rei|uiremenls up-lo-(l:ilc'
Our next step on legal and other
requirements is to ...
Your Answers
Legal and Other Requirements
Module 4 — 3
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Foundry Industry— EMS Implementation Guide
Tool 4-2 describes a variety of commercial and non-commercial sources of information on
federal and state environmental laws and regulations. This list is not intended to be
comprehensive. Appearance on this list should not be construed as an endorsement by EPA of
any commercial products listed here.
Tool 4-2: Information Resources for Legal Requirements
Source
Description
USEPA Web Site
Provides a variety of information of environmental laws and
regulations as well as tools and compliance guidance.
(http://www.epa.gov)
USEPA
Small Business Ombudsman
(1-800-368-5888)
Regulatory explanations and guidance, research, case studies,
contacts for additional information.
Small Business Assistance
Programs (various states) and
Other State Agencies
Guidance on regulations and compliance issues. Initially focused on
Clean Air Act requirements, but expanding into other environmental
media.
US Small Business
Administration
Various services available to small businesses in the US.
US Government Printing Office
(202-512-1800)
Federal Register published daily with all federal proposed and final
rules. (Also available on line via GPO Access.)
Trade and Professional
Associations
Trade associations provide a variety of services related to
environmental laws and regulations, including regulatory updates
and training.
American Foundry Society (AFS)
(847)824-0181
Regulatory explanations and guidance, research, contacts for
additional information, (http://www.afsinc.org)
Counterpoint Publishing
(1-800-998-4515)
CD-ROM and Internet dial-up access to legal / regulatory
information for federal government and all 50 states, updated daily.
Bureau of National Affairs
(1-800-372-1033)
Information on EHS laws, regulations and activities at international,
national, and state level. Paper and electronic access available.
Thompson Publishing Group
(1-800-677-3789)
Manuals on a variety of federal and state environmental programs
with monthly updates and newsletters.
Business & Legal Reports, Inc.
(1-800-727-5257)
Access to federal and state regulations with monthly updates
available on CD-ROM.
Aspen Law and Business
(1-800-638-8437)
Publishes compliance manuals with regular update service for
RCRA and Clean Air Act.
The following Tool 4-3 is a sample procedure for identification of legal and other requirements
that incorporates the principles presented in the guidance. This tool references Tool 4-4, which
provides a sample form for foundry industry operations. Tool 4-5 provides another sample
worksheet for identifying legal requirements by environmental media/program.
Legal and Other Requirements
Module 4 — 4
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Foundry Industry— EMS Implementation Guide
Tool 4-3: Sample Procedure for Identification of Legal and Other
Requirements
1.0 Purpose
[Your Facility's Name] is committed to complying with all applicable environmental
regulations. This procedure describes how [Your Facility's Name] identifies applicable
regulations and other requirements.
2.0 Procedure
2.1 The Environmental Management Representative (EMR) is responsible for tracking
applicable environmental laws and regulations and evaluating their potential impact
on the facility's operations. He or she employs several techniques to track, identify,
and evaluate applicable laws and regulations. These techniques include commercial
databases, information from the trade association, direct communication with
national and state regulatory agencies, and periodic refresher training on
environmental laws.
2.2 As necessary, the EMR may call upon off-site resources such as consultants or
attorneys.
2.3 The EMR compiles and maintains updated copies of applicable environmental laws
and regulations and other requirements.
2.4 The EMR, working with the EMS Coordinator and Cross Functional Team (CFT),
correlates these regulations to the business activities and environmental aspects
associated with them using Tool 4-4.
3.0 Frequency
Periodic: Depends on information source.
4.0 Records
Tool 4-4 is maintained by the EMS Coordinator. The EMR maintains access to the
applicable regulations.
Legal and Other Requirements
Module 4 — 5
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Foundry Industry— EMS Implementation Guide
Tool 4-4: Foundry Industry Operations: Sample Form for Environmental and Other Legal Requirements
Identification
Production Process
Facility Support
Category/
Aspect
Legal and Other
Requirements
Description
Melting
Core Making
Molding
Pouring, Cooling, and
Shakeout
Grinding and
Finishing
Purchase of Raw
Material
Facility Plant
Maintenance
Tank Farm and Fuel
Transfer
Chemical and Waste
Storage
Administration
Generation of Power,
Compressed Air,
Steam, and Process
Water
Medical Facilities for
Employees
*
See Example 4-1 on how to fill out this form.
Legal and Other Requirements
Module 4 — 6
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Foundry Industry— EMS Implementation Guide
Tool 4-5: Sample Worksheet for Identifying Legal Requirements
MEDIA/
PROGRAM
PLANS/
PERMITS
SOURCES/
DISCHARGES
KNOWLEDGE OF
REGULATIONS
MGMT.
PROCEDURES
CAA
SDWA
UIC
FIFRA
NPDES
Wetlands
RCRA
Generator
Status:
TSCA/PCBs
UST
Legal and Other Requirements
Module 4 — 7
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Foundry Industry— EMS Implementation Guide
Examples
Example 4-1 provides a comprehensive list of environmental laws applicable to the foundry
industry.
Legal and Other Requirements
Module 4 — 8
-------
Foundry Industry— EMS Implementation Guide
Example 4-1: Regulatory Checklist for Foundry Facilities
Identification
Production Process
Facility Support
Category
Legal and Other
Requirements
Description
Melting
Core Making
Molding
Pouring, Cooling
and Shakeout
Grinding and
Finishing
Purchase of Raw
Material
Facility Plant
Maintenance
Tank Farm and Fuel
Transfer
Chemical and
Waste Storage
Administration
Generation of
Power, Compressed
Air, Steam, and
Process Water
Medical Facilities
for Employees
*
%
Air Emissions
40 CFR Part 50
NAAQS national
Primary and
Secondary Air
Quality Standards
X
X
X
X
X
Air Emissions
40CFR Part 51
Emission of
Hazardous Air
Pollutants
X
X
X
X
X
Air Emissions
40 CFR Part 52
Emission of
Hazardous Air
Pollutants
X
X
X
X
X
Air Emissions
40 CFR Part 60
40 CFR 60.42c
and 60.43c
(Boiler
emission
standards for
sulfur dioxide
and PM)
Verification of VOC
Emissions
X
X
X
X
Air Emissions
40 CFR Part 63
National Emissions
Standards for
Hazardous Air
Pollutants for Source
Categories
X
X
X
X
X
X
X
Legal and Other Requirements
Module 4 — 9
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Foundry Industry— EMS Implementation Guide
Example 4-1: Regulatory Checklist for Foundry Facilities
Identification
Production Process
Facility Support
Category
Legal and Other
Requirements
Description
Melting
Core Making
Molding
Pouring, Cooling
and Shakeout
Grinding and
Finishing
Purchase of Raw
Material
Facility Plant
Maintenance
Tank Farm and Fuel
Transfer
Chemical and
Waste Storage
Administration
Generation of
Power, Compressed
Air, Steam, and
Process Water
Medical Facilities
for Employees
*
Air Emissions
40 CFR Part 68
Chemical Accident
Prevention
Provisions
X
Air Emissions
40 CFR Part 72
Permits (Title V)
X
X
X
X
X
X
Solid/Liquid
Waste
40 CFR Parts
261-265
Hazardous Waste -
RCRA
X
X
X
X
X
X
X
Solid/Liquid
Waste
40 CFR Part
279
Standards for the
Management of Used
Oil
X
X
X
Solid/Liquid
Waste
40 CFR Parts
265, 280
Underground Storage
Tanks (USTs)
X
X
Solid/Liquid
Waste
40 CFR Part
300
Hazardous Ranking
System (HRS)
X
X
X
X
X
X
X
X
X
Solid/Liquid
Waste
40 CFR Part
302
Hazardous
Substances and
Reportable Quantities
X
X
X
X
X
X
X
X
Legal and Other Requirements
Module 4 —10
-------
Foundry Industry— EMS Implementation Guide
Example 4-1: Regulatory Checklist for Foundry Facilities
Identification
Production Process
Facility Support
Category
Legal and Other
Requirements
Description
Melting
Core Making
Molding
Pouring, Cooling
and Shakeout
Grinding and
Finishing
Purchase of Raw
Material
Facility Plant
Maintenance
Tank Farm and Fuel
Transfer
Chemical and
Waste Storage
Administration
Generation of
Power, Compressed
Air, Steam, and
Process Water
Medical Facilities
for Employees
*
%
Solid/Liquid
Waste
40 CFR Part
311
Hazardous Materials
Management/W orker
Protection
X
Solid/Liquid
Waste
40 CFR Part
355
Extremely Hazardous
Substances (EHS)
X
X
X
X
X
X
X
X
Solid/Liquid
Waste
40 CFR Part
710
Toxic Substances
Control Act (TSCA)
X
X
Solid/Liquid
Waste
CERCLA 103
Hazardous Waste
Storage
X
X
X
X
X
X
X
X
Waste Water
Discharge
NPDES State
Permit
Stormwater
Discharge Permits
X
X
X
X
X
X
X
X
Waste Water
Discharge
40 CFR Parts
121-125
NPDES 122
Stormwater
Discharge Permits
X
X
X
X
X
X
X
Waste Water
Discharge
40 CFR Parts
400-409
Effluent Guidelines
and Standards
X
X
X
X
X
X
X
X
Spills
40 CFR Part
112
Oil Spill Prevention
(SPCC)
X
X
X
Legal and Other Requirements
Module 4 —11
-------
Foundry Industry— EMS Implementation Guide
Example 4-1: Regulatory Checklist for Foundry Facilities
Identification
Production Process
Facility Support
Category
Legal and Other
Requirements
Description
Melting
Core Making
Molding
Pouring, Cooling
and Shakeout
Grinding and
Finishing
Purchase of Raw
Material
Facility Plant
Maintenance
Tank Farm and Fuel
Transfer
Chemical and
Waste Storage
Administration
Generation of
Power, Compressed
Air, Steam, and
Process Water
Medical Facilities
for Employees
*
%
Emergency
Planning and
Community
Right to Know
29 CFR Part
1910.1200
and 40 CFR
Part 370
MSDSs on
Chemicals Required
byOSHA
X
X
X
X
X
X
X
X
Emergency
Planning and
Community
Right to Know
40 CFR Part
372
Form R (TRI)
Toxic Substances
Processed or Used in
Excess Quantities
X
X
X
X
X
X
X
X
X
X
PCBs
40 CFR Part
761
PCB Regulations
X
* Applicable to all components of the facility.
Legal and Other Requirements
Module 4 —12
-------
Foundry Industry— EMS Implementation Guide
Module 5: Objectives and Targets
Guidance and Tools
Section 4.3.3 of ISO 14001 requires organizations to establish environmental objectives and
targets.
Objectives: ()\ cialI cn\ ironmental goals arising from the cn\ironmental policy thai the
facility determines lo achic\c. and arc quantifiable where practical
Targets Detailed performance requirements (quantified \\here\er practicable) based on
an cn\ ironmental ohjccli\ c The target needs to be set and met in order for the
cn\ ironmental objecti\ e to be achic\ ed
You determine what objectives and targets are appropriate for your organization. These goals
can be applied organization-wide or to individual units, departments, or functions - depending
on where the implementing actions will be needed.
In setting objectives, keep in mind your environmental policy, including its "pillars." You
should also consider your significant environmental aspects, applicable legal and other
requirements, the views of interested parties, your technological options, and financial,
operational, and other organizational considerations. Tool 5-1: Considerations for Developing
Objectives and Targets summarizes correlations of the considerations mentioned above.
Tool 5-1: Considerations for Developing Objectives and Targets
Policy
Objectives
and
Environmental
Management
Program
x* \ X
Finance ^ [ Operations |
Other Business
Considerations
Technology
Objectives and Targets
Module 5 — 1
-------
Foundry Industry— EMS Implementation Guide
There are no "standard" environmental objectives that make sense for all organizations. Your
objectives and targets should reflect what your organization does, how well it is performing, and
what it wants to achieve.
Here are some things to think about to expedite the determination of your facility's
environmental objectives and targets:
Setting objectives and targets should involve people in the relevant functional area(s). These
people should be well positioned to establish, plan for, and achieve these goals. Involving
people helps to build commitment.
Get top management buy-in for your objectives. This should help to ensure that adequate
resources are applied and that the objectives are integrated with other organizational goals.
In communicating objectives to employees, try to link the objectives to the actual
environmental improvements being sought. This should give people something tangible to
work towards.
Objectives should be consistent with your overall mission and plan and the key commitments
established in your policy (pollution prevention, continual improvement, and compliance).
Targets should be sufficiently clear to answer the question: "Did we achieve our
objectives?"
Be flexible in your objectives. Define a desired result, then let the people responsible
determine how to achieve the result.
Objectives can be established to maintain current levels of performance as well as to improve
performance. For some environmental aspects you might have both maintenance and
improvement objectives.
Communicate your progress in achieving objectives and targets across the organization.
Consider a regular report on this progress at staff meetings.
To obtain the views of interested parties, consider holding an open house or establishing a
focus group with people in the community. These activities can have other payoffs as well.
It is best to start with a limited number of objectives (three to five) and then expand the list
over time. Keep your objectives simple initially, gain some early successes, and then build
on them.
Make sure your objectives and targets are realistic. Determine how you will measure
progress towards achieving them.
Keep in mind that your suppliers (of service or materials) can help you in meeting your
objectives and targets (e.g., by providing more "environmentally friendly" products).
If an environmental aspect is not significant then it does not need an objective and target.
Objectives and Targets
Module 5 — 2
-------
Foundry Industry— EMS Implementation Guide
Use your answers to the questions provided in Tool 5-2: Objectives and Targets Worksheet to
help you begin the process of determining your facility's objectives and targets. A sample
procedure for identifying objectives and targets is provided in Tool 5-3: Sample Procedure for
Identification of Objectives and Targets.
Tool 5-2: Objectives and Targets Worksheet
Questions
Your Answers
Do we ha\e an existing process lor selling and
re\ iow mil: en\ ironmenlal objectives iind laruels"'
II"so. does thai process need lo lie re\ ised"' In
w lull \\ a> (s)"'
W ho needs lo he inxolxed in llns process wiihin
our ortjani/alion''
Shoukl an\ oulside parlies lie invoked''
W hen is lhe best lime lor us lo implement lhis
process ' Can il he linked lo another existing
ortjani/.alioiKil process (like our annual or
strategic planning process) '
W'lial are our existing en\ ironnien(:il »o:ils '
1 low were lliese developed"' Who was in\ol\ed"'
Wlial factors were considered in sellmy lliese
goals'.'
Who are our interested p:irlics"'
1 low do we obtiiin their xiews'
Mow elTcctixe has our process been"'
How can we elTecli\el\ and cfllcienlK trsick our
progress and communiciilc the results '
W ho is in llie hesl position lo do this".'
Our next step on emironmenliil objectixcs :ind
t:ir»ets is to ...
Objectives and Targets
Module 5 — 3
-------
Foundry Industry— EMS Implementation Guide
Tool 5-3: Sample Procedure for Identification of Objectives and Targets
1.0 Purpose
[Your Facility's Name] sets objectives for environmental improvement and develops targets and action
plans to meet those objectives. These objectives are directly related to the company's significant
environmental aspects and follow from its environmental policy commitments.
2.0 Procedure
2.1 Top plant management sets environmental objectives for [Your Facility's Name] such that the
plant has one or more environmental objectives at any one time. The environmental objectives
and targets are recorded using Tool 3-2. For every significant environmental aspect, an
appropriate objective and target will be established.
2.2 The Cross Functional Team is responsible for developing and recommending potential new
environmental objectives to top plant management. In identifying potential new objectives, the
CFT considers the following:
• Environmental policy
• The significant environmental aspects of the company
• Applicable laws and regulations and potential future laws and regulations
• Practical business criteria, such as the potential costs and benefits of pursuing a particular
environmental objective
• The views of employees and other interested parties
2.3 Once environmental objectives are established by top plant management, the Environmental
Management Representative (EMR) assigns responsibility (to the manager of the operations in
question, where appropriate) for developing targets and action plans to realize the objectives.
Sometimes, this may require an alternatives evaluation as the first target (or action item). This
will be developed in Module 6.
3.0 Frequency
Environmental objectives are reviewed on a yearly basis. The targets and action plans are developed
and revised as needed by the CFT.
4.0 Records
Environmental objectives are recorded using Tool 3-2 and the targets and Environmental Management
Programs (EMPs) that correspond to each objective are recorded using Tool 6-2: Sample Form for
Environmental Management Programs. The EMR or designee is responsible for maintaining these
records.
Objectives and Targets
Module 5 — 4
-------
Foundry Industry— EMS Implementation Guide
Examples
Examples 5-1 and 5-2 provide possible objectives and targets for hypothetical foundries.
Example 5-1: Possible Objectives and Targets Organized by Category
...
Objectives
Targets
Supplies
Reduce use of silica sand
Improve process control in core making and molding areas to
reduce core and mold scrap by 10%.
Reduce amount of supplies used
Increase recycling of supplies (abrasive media, oil, wood,
plastic, laser cartridges, metal, paint booth water) by January
2005.
Implement reuse program by January 2005.
Chemicals
Reduce use of hazardous chemicals
Increase use of low-hazard mold parting agent by 15% by
January 2005 (based on 2003 usage rates).
Energy Use
Reduce energy use
Reduce electricity use by 10% by January 2005 (based on 2003
usage rates).
Reduce natural gas use by 15% by January 2005 (based on 2003
usage rates).
Water Use
Reduce water use
Reduce water use by 10% by January 2005 (based on 2003
usage rates).
Air Emissions
Reduce air emissions
Evaluate paving roadways to reduce fugitive road dust.
Reduce air emissions by 10% by January 2005 (primarily
particulates and VOCs).
Noise/Odor/Radiation
Reduce odor releases
Conduct study to identify odor sources by 3rd quarter 2004.
Water Discharges
Improve process wastewater quality
Create water balance through sampling project by 3rd quarter
2004.
Improve storm water discharge
quality
Cover scrap bins by summer 2005.
Solid/Liquid Wastes
Paint waste reduction
Modify purchasing procedures to eliminate bulk paint purchases
when no immediate use is identified.
Hazardous waste reduction
Reduce hazardous waste by 15% by January 2005 (based on
2003 production rates).
Spills
Reduce occurrence of spills
Reduce spill occurrence by 10% by January 2005.
Objectives and Targets
Module 5 — 5
-------
Foundry Industry— EMS Implementation Guide
Example 5-2: Possible Objectives and Targets Organized by Category
Area/Activity
Significant
Aspect/Impact
Objective
Target
Responsibility
Action
Plan
Review
Frequency
Accomplishment
Status
• Metal
Casting
• Induction
Furnace
Natural Resources
Reduce the use
of electricity.
Reduce electrical
consumption by 3% based on
the 2003 consumption levels.
Measure use based on
kilowatt-hours per ton of
melted metal.
Joe Stephens
#1
Every 6
Months
• Molding
• Maintenance
Excess Sand
Disposal
Reduce sand
disposal by
20%.
Obtain regulatory
approval for beneficial use
of sand. Reuse sand in
asphalt.
Mark Royer
#2
Every 6
Months
• Grinding and
Finishing
• Maintenance
Waste Disposal
Eliminate
grinding of
casting X-38.
Outsource grinding of
casting X-38 to qualified
vendors.
Rick Brushel
#3
Every 6
Months
• Molding
• Binder
Addition
• Gas-fired
Smelting
Air Emissions
Reduce VOC
emissions from
A-Line Sand
System by
10%. Reduce
particulate
emissions.
Investigate feasibility of
low VOC and particulate
binder systems. Develop
plan for implementation.
Jerry Newsome
#4
Every 6
Months
When establishing its environmental objectives, the facility considered its legal and other requirements, its significant environmental aspects, its technological
options, and its financial, operational, and business requirements and the views of interested parties.
Approved by: Date:
Title:
Objectives and Targets
Module 5 — 6
-------
Foundry Industry— EMS Implementation Guide
Module 6: Environmental Management Programs
Guidance and Tools
Section 4.3.4 of ISO 14001 requires organizations to establish
and maintain programs for achieving their objectives and targets.
These are referred to as environmental management programs
(EMPs) EMPs consist of action plans that are necessary to
achieve environmental objectives and targets. Therefore, your
EMPs should be linked directly to your objectives and targets —
that is, they form the bridge between concept and application.
Progress toward objectives and targets should be measurable (see
Module 13).
To ensure its effectiveness, your EMP should define:
The responsibilities for achieving targets (who will do it?);
The steps for achieving targets (how will they do it and what
specifically will be done?); and
The time frame for achieving those targets (when will they do it?).
If you don't have enough information to create a quantifiable target, then one of the steps of the
program should be to collect data or evaluate the program in the effort of establishing a
measurable target later.
Keep in mind that your EMPs should be dynamic. For example, consider modifying your
programs when:
Objectives and targets are modified or added;
Relevant legal requirements are introduced or changed;
Substantial progress in achieving your objectives and targets has been made (or has not been
made); or
Your products, services, processes, or facilities change or other issues arise.
Your action plan need not be compiled into a single document. A "road map" to several action
plans is an acceptable alternative, as long as the key responsibilities, tactical steps, resource
needs, and schedules are defined adequately in these other documents.
Objectives and
Targets Established
Monitoring and
Measurement
Environmental
Management Program
Defined
Environmental Management Programs
Module 6 — 1
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Foundry Industry— EMS Implementation Guide
Here are some things to think about to expedite the planning for and implementation of your
facility's EMP:
Build on the plans and programs you have now for compliance, health & safety, or quality
management.
Involve your employees early in establishing and carrying out the program.
Clearly communicate the expectations and responsibilities defined in the program to those
who need to know.
In some cases, your EMP may encompass a number of existing operating procedures or work
instructions for particular operations or activities. In other cases, new operating procedures
or work instructions might be required to implement the program.
Re-evaluate your action plan when you are considering changes to your products, processes,
facilities, or materials. Make this re-evaluation part of your change management process.
Keep it simple and focus on continual improvement of the program over time.
There may be real opportunities here! Coordinating your environmental program with your
overall plans and strategies may position your organization to exploit some significant cost-
saving opportunities.
Use your answers to the questions provided in Tool 6-1: Environmental Management
Program Worksheet to help you begin the process of planning for and implementing your
EMP. An example of a form you can use to document your action plans is provided in Tool 6-2:
Sample Form for Environmental Management Programs.
Change is an important part of business survival for most companies. Products, technologies,
and ways of doing things are updated regularly. To avoid creating new "significant
environmental aspects" that must be addressed later, it is helpful to integrate new processes,
products, and activities into the EMP that you are developing for the rest of your company. You
can do so by setting up a procedure for reviewing new processes, products, or activities while
they are in the planning stage. One way to accomplish this is to create a sign-off form to be
circulated among the people responsible for, or affected by, the new process or product,
including those responsible for the area of the company where the new process or activity will be
implemented.
A procedure for environmental reviews is provided in Tool 6-3: Sample Procedure for
Environmental Review for New Purchases, Processes, and Products. Tool 6-4: Sample New
Purchase Approval Form for Environmental Review of New Processes, Products, and
Activities is an example of a sign-off form that can be used for such reviews. The form is a
model that should be modified to reflect your company's activities and environmental policy.
Environmental Management Programs
Module 6 — 2
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Foundry Industry— EMS Implementation Guide
Tool 6-1: Environmental Management Program Worksheet
Questions
Your Answers
Do xxc liaxc an t*\islin« process lor establishing
cm ironmcnlal management programs'
II XCS. (.Iocs lluil pi'OCCSS llccd lo Iv ICXIScd' In
w hal \\ a>
What cm ironmcnlal niiinaycnicnl programs do
xxc lime in phice now '
What is llie hiisis lor our em ironnieiiUil
management programs (lor example, do tlicx
consider our em ironmcnlal ohjcclix cs. our
cm ironmcnlal policx coniniilnieiils. and oilier
ortjani/alional priorities)"'
W ho needs lo he inxolxed in the dcsiun and
implementation of these programs within our
or^ani/alion'
When is the hest lime lor us to establish and
rex ie\x such programs'' Can this elTort he linked
to an cxisliiiL! organization process (such as our
budget, pkimiiiil!. oraudituiij cxcles) '
1 loxx do xxe ensure that ch:in«>cs lo products,
processes, equipment, ;md inl'r:istmetnre are
considered in our programs '
1 loxx xx ill xxe otherxxise keep our programs up-to-
diite'
Our next step on en\ironmenliil miiiiii«>cnicnl
pro!>r:uns is to ...
Environmental Management Programs
Module 6 — 3
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Foundry Industry— EMS Implementation Guide
Tool 6-2: Sample Form for Environmental Management Programs
Area/Department(s):
Process:
Significant Aspect:
Legal & Regulatory Requirement:
Objective:
Target:
Category :
Improve
Control
Investigate
Action Plan:
Task/Action
Items
Responsible
Party
Responsibilities
Resources
Needed
Project
Start Date
Project Completion
Date
Comments/Deliverables
See Example 6-1: Environmental Management Program for Reduction of Permitted Air Emissions and Example 6-2:
Environmental Management Program for Solid Waste from the Sand System on how to fill out this form.
Environmental Management Programs
Module 6 — 4
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Foundry Industry— EMS Implementation Guide
Tool 6-3: Sample Procedure for Environmental Review for New Purchases,
Processes, and Products
[Note: This procedure will almost certainly need to be substantially modified in order to fit the situation of your
company. Smaller companies may not have a formal new product design or facilities engineering group, for
example. The key is to find a way (that can be documented and verified, ifpossible) of ensuring that when new
chemicals are being purchased, when new products are being developed, or when a facility is being substantially
modified, environmental considerations are taken into account.
1.0 Purpose
When purchasing new chemical supplies, modifying its processes, and making new products, [Your
Facility's Name] strives to ensure that environmental considerations, particularly those related to
significant environmental aspects (SEAs), are taken into account.
2.0 Procedure
2.1 When processing an order for a new chemical or other potentially harmful input, the purchasing
manager clears the purchase with a member of the Cross Functional Team (CFT). The CFT member
initials the box marked "environmental approval" in the New Purchase Approval Form to signify his
or her approval of the purchase.
2.2 [Your Facility's Name] has a product development group and facilities engineering group. The
product development group develops potential new products that [Your Facility's Name] could
offer (sometimes these are identified by the sales and marketing group, sometimes they are identified
internally). The facilities engineering group is responsible for reconfiguring (or, in some cases,
expanding) the facility's production lines to produce new products.
2.3 The product development group notifies a member of the CFT before final approval of a new
product design. The CFT member reviews the design in light of the facility's SEAs and
environmental objectives and targets. When the CFT member is satisfied that the new design is in
accordance with the plant's environmental goals, s/he initials the appropriate box in the Design
Approval Form, which is sent to the president for approval.
2.4 The facilities engineering group is responsible for notifying a member of the CFT before final
approval of any Facility Modification or Expansion Plan. (The Facility Modification or Expansion
Plan is required for any facilities engineering job that costs more than $20,000.) The CFT member
reviews the plan in light of the facility's SEAs and environmental objectives and targets. When the
CFT member is satisfied that the new design is in accordance with the plant's environmental
management goals, s/he initials the appropriate box in the Facility Modification or Expansion Plan
form, which is sent to the operations manager for ultimate approval.
3.0 Frequency
As new chemicals are purchased, new products are developed, and/or production lines are modified.
4.0 Records
The New Purchase Approval Forms are maintained by the purchasing manager. The Design Approval
Forms are maintained by the product development group. The Facility Modification or Expansion Plans are
maintained by the facilities engineering group.
Environmental Management Programs
Module 6 — 5
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Foundry Industry— EMS Implementation Guide
Tool 6-4: Sample New Purchase Approval Form for Environmental Review of New Processes, Products, and
Activities
Area Company
New Process, Product,
or Activity
Environmental
Review by
Manager/Date
Environmental
Effects
Pollution Prevention Opportunities
Contact for form:
Date Completed:
Environmental Management Programs
Module 6 — 6
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Foundry Industry— EMS Implementation Guide
Examples
Example 6-1: Environmental Management Program for Reduction of Permitted Air
Emissions and Example 6-2: Environmental Management Program for Solid Waste from
the Sand System provide completed examples of Tool 6-2: Sample Form for Environmental
Management Programs.
Environmental Management Programs
Module 6 — 7
-------
Foundry Industry— EMS Implementation Guide
Example 6-1: Environmental Management Program for Reduction of Permitted Air Emissions
Area/Department(s): All areas with permitted emissions
Process: AU
Significant Aspect: Point Sources. Particulate Matter (PM10). VOC. CI" emissions. CO. H2S. NOX. Chemical Odiferous Compounds.
and Other Nuisance Emissions
Legal & Regulatory Requirement: None
Objective: Reduce Permitted Emissions
Target: 10% Reduction by January 2005, relative to year 2003 baseline)
Category ^ Control/Maintain Improve
Study or Investigate
Task/Action Items
Responsible Party
Resources
Needed
Project Start
Date
Project
Completion Date
Comments (C)/Deliverables (D)
Develop preliminary
evaluation of technical
feasibility and cost
effectiveness of gas-fired
smelter modification
alternatives
Facility Maintenance
Coordinator
Vendor quotes,
estimate of
reductions
2/1/2004
3/01/2004
D - Technical feasibility report of process
modification alternatives
D - Comparative cost analysis of process
modification alternatives
Develop preliminary
evaluation of technical
feasibility and cost
effectiveness to reduce
particulates from mold
making, melting, tapping,
blasting, grinding, and
finishing
Facility Maintenance
Coordinator
Vendor quotes,
estimate of
reductions
2/1/2004
3/01/2004
D - Technical feasibility report of process
modification alternatives
D - Comparative cost analysis of process
modification alternatives
Environmental Management Programs
Module 6 — 8
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Foundry Industry— EMS Implementation Guide
Task/Action Items
Responsible Party
Resources
Needed
Project Start
Date
Project
Completion Date
Comments (C)/Deliverables (D)
Develop preliminary
evaluation of technical
feasibility and cost
effectiveness to reduce
chlorine emissions from
chlorine de-magging
Facility Maintenance
Coordinator
Vendor quotes,
estimate of
reductions
2/1/2004
3/01/2004
D - Technical feasibility report of process
modification alternatives
D - Comparative cost analysis of process
modification alternatives
Compile emission reduction
results
Environmental
Coordinator
Emissions data
11/1/2003
1/31/2005
D - Prepare report of results and
recommendations
Environmental Management Programs
Module 6 — 9
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Foundry Industry— EMS Implementation Guide
Example 6-2: Environmental Management Program for Solid Waste from the Sand System
Area/Department(s): Maintenance
Process: Sand System
Significant Aspect: Solid Waste from the Sand System
Legal & Regulatory Requirement: Yes (40 CFR. state rules and regulations, company directive)
Objective: Study waste reduction
Target: Complete study by March 2002 (relative to year 2001 baseline)
Category:
Control/Maintain
Improve
X
Investigate
No. 1 Action Plan: Study of Potential Waste Reduction
Task/Action Items
Responsible
Party
Resources
Needed
Project Start
Date
Project Completion
Date
Comments (C)/Deliverables (D)
Identify potential waste
reduction initiative
lohn Smith,
Environmental
Manger
August 1,
2001
October 1, 2001
D-List of steps to be taken to fulfill
initiative and responsibilities
Identify list of suitable
technology to achieve
volume reduction
CFT
October 1,
2001
October 31„ 2001
D-List of potential technology
Identify list of suitable
vendors that supply
technology available to
achieve volume reduction
CFT
November 1,
2001
November 31, 2001
D-List of potential vendors of compactors
and waste compaction technology
Develop evaluation on
technical feasibility and cost
effectiveness of select
compacting products
CFT
December 1,
2001
February 1, 2001
D-Comparative cost analysis of compactor
technology
D-Technical feasibility analysis of select
compactor technology
Environmental Management Programs
Module 6 —10
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Foundry Industry— EMS Implementation Guide
Task/Action Items
Responsible
Party
Resources
Needed
Project Start
Date
Project Completion
Date
Comments (C)/Deliverables (D)
Present recommendation to
management for waste
reduction
CFT
March 1,
2002
March 31, 2002
D-List of evaluations and recommendations
for waste reduction
Environmental Management Programs
Module 6 —11
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Foundry Industry— EMS Implementation Guide
This page intentionally left blank
Environmental Management Programs
Module 6 —12
-------
Foundry Industry— EMS Implementation Guide
Module 7: Structure and Responsibility
Guidance and Tools
As discussed in Module 7, it is important to designate, as soon as possible, the Environmental
Management Representative (EMR), the EMS Coordinator, and members of the Cross
Functional Team (CFT) who will be responsible for promoting and developing your EMS. It is
also important to designate who will be responsible for other environmental activities.
This module addresses the task of creating an ongoing structure that ensures the facility is
equipped with sufficient personnel and other resources to meet its objectives and targets and to
ensure compliance with legal requirements. The facility should also provide appropriate
incentives for personnel to meet the EMS requirements.
Tool 7-1: Structure & Responsibility Worksheet is a set of questions for you to consider in
establishing the structure and responsibility element of your EMS. Tool 7-2: Sample EMS
Responsibilities Descriptions provides an example descriptions of roles and responsibilities
associated with an EMS that can be placed in your facility's EMS Manual. When complete,
Tool 7-3: Sample EMS Responsibilities Form can provide documentation of who in your
facility fill key EMS roles.
Throughout the process of assigning responsible persons in the EMS, it is important to take into
consideration the job functions and skills that would make a strong contribution to the EMS
team. Tool 7-4: Functions to Include in Your EMS Team and Possible Roles provides a list
to help identify these skills. However, the list does not suggest that a company would need all of
these skills.
Structure and Responsibility
Module 7 — 1
-------
Foundry Industry— EMS Implementation Guide
Tool 7-1: Structure & Responsibility Worksheet
Questions
Your Answers
1 low do wc define roles, responsibilities, mill
iiuthorities lor cn\ironmcnlal management now'.'
Is this process efleeti\e?
W ho is should be our Kn\ironmenlitl
.M;in;i<>cnicnl Representing e'.' Docs ill is
individual ha\ c I lie ncccssar\ authority to carr\
oul the responsibilities of this job'
Are our kc\ roles and responsibilities lor
cn\ironmcnlal management documented in some
manncr'' If so. how (cu . job descriptions,
organizational charts. responsibility matrix. etc )'
1 low arc l!.MS roles mid responsibilities
communiciilcd within our or^ani/ation'
1 low do we ensure that :ulequ;ite resources ha\c
been allocated for cn\ironmcnlal management''
1 low is this process intet>r:ited with our overall
budtjcluitj process '
1 low are cm ironmcnlal expenditures tr:ickcd'
1 low will we keep this information up-to-diite'
Our next step on structure nncl responsibility is
to ...
Structure and Responsibility
Module 7 — 2
-------
Foundry Industry— EMS Implementation Guide
Tool 7-2: Sample EMS Responsibilities Descriptions
[Your Facility's Name] has established an Environmental Management Representative (EMR), an
EMS Coordinator, and a Cross Functional Team (CFT) with the following responsibilities:
• Environmental Management Representative. The EMR is the member of [Your Facility's Name]
top plant management group responsible for the functioning of the EMS. It is his or her job to
ensure that all tasks relating to the EMS are identified and completed in a timely manner. He or
she is also responsible for reporting periodically to the top plant management group on the
progress and results of the EMS.
• EMS Coordinator. The EMS Coordinator's responsibility is to identify, assign, schedule, provide
the necessary support for, and ensure completion of all tasks relating to the EMS. The
Coordinator works closely with the Management Representative and with the CFT. The EMS
Coordinator is also responsible for maintaining this EMS Manual, under the leadership of the
EMR. The functions of Coordinator and EMR may be filled by the same person.
• Cross Functional Team. The CFT (which also serves as the plant's safety committee) is
comprised of 6-8 supervisors and employees from major groups or areas within the plant. The
CFT is responsible for ensuring that EMS activities in their areas are carried out and for reporting
the results of these activities to the team as a whole. In addition, the CFT itself undertakes certain
EMS activities such as the selection of significant environmental aspects. The CFT meets to
discuss the EMS on at least a monthly basis.
Records
The EMS Coordinator maintains an updated list of EMR, EMS Coordinator, and CFT members using
Tool 7-3: Sample EMS Responsibilities Form.
Structure and Responsibility
Module 7 — 3
-------
Foundry Industry— EMS Implementation Guide
Tool 7-3: Sample EMS Responsibilities Form
The following table lists [Your Facility's Name] Environmental Management Representative,
EMS Coordinator, and Cross Functional Team members:
EMS Function
Name
Regular Position
Environmental Management
Representative
EMS Coordinator
Cross Functional Team members
Structure and Responsibility
Module 7 — 4
-------
Foundry Industry— EMS Implementation Guide
Tool 7-4: Functions to Include in Your EMS Team and Possible Roles
Company Function
Expertise Brought to EMS Team
How They Can Help (Possible Roles)
Production
Management of environmental aspects of production
Help identify aspects; provide input to objectives
and targets; participate in environmental
management programs; serve as trainers and internal
auditors; help carry-out corrective and preventive
action
Maintenance
Management of environmental aspects of equipment
maintenance
Implement preventive maintenance program for key
equipment; support identification of environmental
aspects
Facilities Engineering
Management of environmental aspects of new construction
and installation/modification of equipment
Consider environmental impacts of new or modified
products and processes; identify pollution prevention
opportunities
Storage/Inventory
Management of environmental aspects of raw material and
product storage and in-facility transportation
Help identify aspects; provide input to objectives
and targets; participate in environmental
management programs; serve as trainers and internal
auditors; help carry-out corrective and preventive
action
Shipping, Receiving,
Transportation, Logistics
Management of environmental aspects of shipping,
receiving, and transportation
Help identify aspects; provide input to objectives
and targets; participate in environmental
management programs; serve as trainers and internal
auditors; help carry-out corrective and preventive
action
Product Design
System for examining environmental aspects of new
designs
Participate in product-related objectives, targets, and
EMPs
Quality
Quality management system, including document control
procedures
Support document control, records management, and
employee training efforts; support integration of
environmental and quality management systems
Human Resources
Training on environmental issues and inclusion of
environmental incentives in performance measurement
system
Define competency requirements and job
descriptions for various EMS roles; train temporary
workers and contractors; maintain training records;
integrate environmental management into reward,
discipline, and appraisal systems
Structure and Responsibility
Module 7 — 5
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Foundry Industry— EMS Implementation Guide
Company Function
Expertise Brought to EMS Team
How They Can Help (Possible Roles)
Environmental
System for complying with environmental regulations and
management of environmental records
Provide an organizational and functional role in
establishing and maintaining the EMS
Purchasing
System for procurement (including screening of suppliers,
material composition of components)
Develop and implement controls for chemical/other
material purchases and for communicating
requirements to contractors and suppliers
Sales/Marketing
Environment-related commitments to customers
Assist with communications with external
stakeholders
Public Relations
System for communicating with public on environmental
issues
Assist with communications with external
stakeholders
Accounting/Finance
System for tracking environmental costs of operations
Track data on environmental-related costs (such as
resource, material, and energy costs, waste disposal
costs, etc.); prepare budgets for environmental
management program; evaluate economic feasibility
of environmental projects
Line Workers
Thorough knowledge of processes and operations
Provide first-hand knowledge of environmental
aspects of their operations; support training for new
employees
Top Management
Capability for ensuring continual improvement
Communicate importance of EMS throughout
organization; provide necessary resources; track and
review EMS performance
Structure and Responsibility
Module 7 — 6
-------
Foundry Industry— EMS Implementation Guide
Examples
Example 7-1: Responsibility Matrix lists EMS activities and how they might apply to the
various facility personnel that perform these and other facility functions.
Example 7-1: Responsibility Matrix
Legend: L=Lead Role
S=Supporting Role
Plant
Manager
EHS
Manager
HR
Manager
Maintenance
Purchasing/
Materials
Engineering
Production
Supervisor(s)
Finance
EMR
Employees
Communicate importance of
environmental management
L
S
S
Coordinate auditing efforts
L
S
S
Track/analyze new regulations
(and maintain library)
L
Obtain permits and develop
compliance plans
L
S
Prepare reports required by
regulations
L
Coordinate communications
with interested parties
L
Train employees
S
L
Integrate environmental into
recruiting practices
L
Integrate environmental into
performance appraisal process
L
Communicate with contractors
on environmental expectations
L
Comply with applicable
regulatory requirements
L
L
S
S
S
S
S
S
S
S
Conform with organization's
EMS requirements
L
L
S
s
S
s
S
S
S
S
Maintain equipment / tools to
control environmental impact
L
Monitor key processes
S
L
Coordinate emergency
response efforts
L
S
Identify environmental aspects
of products, activities, or
services
S
L
S
S
S
s
S
s
s
Establish environmental
objectives and targets
L
S
S
Develop budget for
environmental management
S
L
Structure and Responsibility
Module 7 — 7
-------
Foundry Industry— EMS Implementation Guide
Plant
Manager
EHS
Manager
HR
Manager
Maintenance
Purchasing/
Materials
Engineering
Production
Supervisor(s)
Finance
EMR
Employees
Maintain EMS records
(training, etc.)
L
Coordinate EMS document
control efforts
S
L
Structure and Responsibility
Module 7 — 8
-------
Foundry Industry— EMS Implementation Guide
Module 8: Training, Awareness, and Competence
Guidance and Tools
Section 4.4.2 of ISO 14001 requires organizations to identify training needs and to establish
training procedures. It requires that all personnel, whose work may create a significant impact
on the environment, receive appropriate training. Personnel performing the tasks that can cause
significant environmental impacts must be competent on the basis of appropriate education,
training, and/or experience.
As shown in Tool 8-1, every employee should be aware of the environmental policy, the
significant environmental impacts of their work activities, key EMS roles and responsibilities,
procedures that apply to their work, and the importance of conformance with EMS requirements.
Employees also should understand the potential consequences of not following EMS
requirements (such as spills, releases, and fines or other penalties).
Training should be tailored to the different needs of various levels or functions in the
organization. However, training is just one element of establishing competence, which is
typically based on a combination of education, training, and experience. For certain jobs
(particularly tasks that can cause significant environmental impacts), you should establish criteria
to measure the competence of individuals performing those tasks.
Training is needed both in technical work and for general awareness on the part of all employees.
Tool 8-1: Two Areas of EMS Training
AWARENESS
(ALL EMPLOYEES)
TASK
SPECIFIC
For employees
associated with
significant aspects
The following are some examples of areas where training is needed:
Legal requirements;
Ability to recognize new problems;
Training, Awareness, and Competence
Module 8 — 1
-------
Foundry Industry— EMS Implementation Guide
Technical skills needed to solve problems;
Procedures to implement operational controls;
Any new procedures or needs related to significant environmental aspects; and
Awareness of the company's environmental policy and the EMS and its objectives.
Don't overlook the need for ongoing training when experiencing employee turnover. Be sure
that new employees are trained soon after they arrive.
Go through the action steps listed below and use Tool 8-2: Training, Awareness &
Competence Worksheet to help you identify, plan for, and track the training needed to assist in
developing and putting your EMS in place.
Identify all job functions that affect the environment. Small companies may wish to identify
individuals. Identify who is responsible for employee health and safety.
Identify the training and type of training these people currently receive that relates to
environmental and health and safety concerns.
Determine if EMS education could be included in this training or whether there should be
special EMS training, at least in the beginning.
Identify training materials or programs available outside your company. Some places to
check include:
o Trade associations;
o Small Business Administration;
o EPA;
o State Departments of Environmental Protection;
o Suppliers; and
o Certified contractors.
You will probably be able to identify some general training needs now, but will need to return to
this module to add specific technical training needs that may be identified as you proceed with
the EMS. Tool 8-3 provides a sample Training Needs Analysis Form.
Training, Awareness, and Competence
Module 8 — 2
-------
Foundry Industry— EMS Implementation Guide
Tool 8-2: Training, Awareness & Competence Worksheet
Questions
Your Answers
Do wo h:i\c :tii existing process for
em ironiiioii(ill lr;iinin»?
II'so. (.Iocs lluil process nccil lo be rex ised' In
xx luil xx a> (s)'*
Wliiil types ol li iiininii do xxe prox ide noxx (e y .
nexx employee oricnlcilion. contractor iriiininy.
sul'elx ircunintj)'
1 loxx xxould lAIS-rekiled iminintj lllxxithour
cMsliny liiiiniiiij proL:rani''
W ho is responsible for (riiinin<> now? Who else
illil!Ill need lo he mxolxed xxilhin our
oiiJiiniAilion
1 loxx do xxe determine tr;iinin<> needs noxx(I.isl
methods used ) Are these processes el'l'cclix e.'
W ho is responsible lor ensuring lluil employees
receixe appropriate training' 1 loxx do xxe truck
{mining to ensure xxe lire on uiryef'
1 loxx do xxe eMiliiiite (mining effect i\eness?
(List methods used, such as course exalualion.
posl-lraininu testing, beliax lor ohserx alion.)
1 low do we establish competency, whore
needed? (I.isl methods used, such as professional
certifications )
What ;ire the key job functions iincl nclix ilios
xx here xxe need lo ensure enx ironmcnlal
competency '
Our next step on Iniining, ;iw;ircncss
competence is to ...
Training, Awareness, and Competence
Module 8 — 3
-------
Foundry Industry— EMS Implementation Guide
Tool 8-3: Sample Training Needs Analysis Form
.lolls AITeelinji
l.n\ i nm men (
1 mining Needs
Mow lo Tr;iin
\\ luii/l.c'iiiilh
liud^el
( omplelion
Diile
\\ ho is
Responsible
Contact Person:
Date Completed:
See Example 8-1: Training Needs Analysis Form on how to fill out this form.
Training, Awareness, and Competence
Module 8 — 4
-------
Foundry Industry— EMS Implementation Guide
Examples
Example 8-1 provides abbreviated information on how to fill out Tool 8-3.
Training, Awareness, and Competence
Module 8 — 5
-------
Foundry Industry— EMS Implementation Guide
Example 8-1: Training Needs Analysis Form
Jobs AITcclinii
Kn\ i roil in cut
Tr;iinin<> Needs
1 low (o l i iiin
\YIk>ii/I.cii<>|Ii
Budget
Com plot ion
Diilc
W ho is
kosponsihlo
Staff EH&S Person
Environmental Policy
Staff Training
Session
Once/Two hrs.
?
?
?
Production Employees
Emergency Preparedness
& Response
Contact Person:
Date Completed:
Training, Awareness, and Competence
Module 8 — 6
-------
Foundry Industry— EMS Implementation Guide
Module 9: Communication
Guidance and Tools
Section 4.4.3 of ISO 14001 requires organizations to establish procedures for internal and
external communication of environmental activities. This communication should:
• Demonstrate management's commitment to the environment;
Make others aware of the organization's environmental policy and commitment to the
environment;
Address concerns about the organization's environmental activities by external parties;
Establish a line of communication that clearly defines emergency responsibilities; and
Distribute throughout the organization relevant information regarding the EMS, including the
facility's environmental performance improvements.
Identifying Stakeholders
Stakeholders include anyone who has a stake in your company's environmental performance.
This group can play an important role in helping your company develop an EMS. Employees
have strong stakeholder interest in your company and can provide substantial support for EMS
development. Customers, suppliers, and neighbors can provide useful inputs. In addition,
establishing partnerships with trade associations, suppliers, professional associations, and
community colleges can be very helpful in developing parts of your EMS.
The following list provides types of stakeholders:
Intcriiiil Stakeholders
K\lern;il Stakeholders
• 1 !lliplo\ CCS
• Neighbors
• Shareholders
• ( ommumlN Organizations
• ( uslomcrs
• 1 ji\ ironmcnlal Groups
• Suppliers
• Larger Companies
• Investors & Insurers
• The Media
• Trading Parlners
• The (ieneral Public
How to Work With Your Stakeholders
The next stage of the process is to establish dialogue with stakeholders. You may view this as an
opportunity to further refine your understanding of the various interests of the groups. You
might think about the different kinds of stakeholders as forming ever-broader circles around your
business (see Tool 9-1). Begin with the innermost circle and work outward.
Communication
Module 9 — 1
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Foundry Industry— EMS Implementation Guide
Tool 9-1: Levels of Stakeholder Interest
Neighbors
Customers/
Staff
Suppliers
When working with either internal or external stakeholders, including your Cross Functional
Team (CFT), effective communication will facilitate a smooth implementation of your EMS.
You will want to follow these effective rules of communication:
Begin early in the process. Let people know what you are doing. In most cases, you will
need the cooperation of several people within your company to gather information and
develop an EMS that will work. In small and large organizations alike, early communication
will pay off in greater acceptance of the resulting system.
Set your communication objectives. Decide what you want to achieve in your
communication. Setting this goal will help you get the right message across without
overwhelming people with too much information, spending too much time, or missing the
mark. It is helpful to create an EMS for your company. The procedure should outline what
kinds of information will be communicated to external stakeholders, and how the company
will document and respond to communications from external stakeholders. The procedure
should include who reports what, to whom, and when.
Communicate regularly and integrate EMS communication. To build support for the
EMS, try to communicate on a regular basis. Some simple means of regular communication
can usually be accomplished without straining resources - for example, a bulletin board
posting, email messages, or articles in the organization newsletter. Don't forget to consider
direct word-of-mouth communication, particularly in smaller organizations. Talking directly
with key individuals at regular intervals may be the best mechanism for ensuring good
communication. Use existing channels of communication to get the message out on your
EMS activities.
Communication
Module 9 — 2
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Foundry Industry— EMS Implementation Guide
Consider various methods of communication when informing stakeholders about your
company and what you are doing, or plan to do, to protect the environment. Methods may
include:
o Discussion in company meetings;
o Updating the company Website;
o Scheduling tours of your facility;
o Producing a fact sheet about your facility's activities, the EMS program, and why
and how your company would like to include stakeholders;
o Holding public meetings when you feel it is appropriate.
Track communication from stakeholders to your company and the response made to
that communication. A procedure for documenting and responding to stakeholder
communication should be established and a person appointed to be responsible for carrying it
out.
Note: Section 4.4.3 of the Standard states that "the organization shall consider processes for
external communication on its significant environmental aspects and record its decision." You
may choose to review requests for information on an individual basis and communicate and
record your decision. Typically a facility will do its best to respond in kind to all good-faith
communications from stakeholders about environmental issues, including complaints, comments,
and information requests. However, your facility may not choose to respond in all cases,
particularly if the request is made in bad faith or if sensitive information is requested.
Tool 9-2: Communications Worksheet is a set of questions to help you structure your
communications approach and lead to improvements. Tool 9-3: Sample Procedure for
Communications with Stakeholder and associated Tools 9-4 and 9-5 can augment the previous
worksheet. Working through the set of questions in a tabular form may result is a more clear set
of action items.
Communication
Module 9 — 3
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Foundry Industry— EMS Implementation Guide
Tool 9-2: Communications Worksheet
Questions
Your Answers
Who are our key e\lern:il stakeholders''
1 low were these stakeholders identified'
Willi regard In our orijani/.alion. wlial arc llic key
concerns of these stakeholders'
1 low do we know this '
Wlial com inunit\ oulrc;ich efforts arc we making:
now (or ha\c we made in llic recall |xisl)"*
1 low successful ha\c llicsc cl'l'orls Ivcn'
\\ luit methods do we use lor external
communicalions'' Which appear lo lie llic mosl
effects e'
W ho Ikis priniiiiN responsibility lor cMcrnal
communications''
1 low do we »:ilher ;iiul ;in:ilvzc inloriiintion lo lv
communicalcd'.'
Who Ikis responsihilitv lor this'
1 low do we coniniiiniciile iiitern;ill\ (as well us
Willi our suppliers and coniraclors)"' Wlial
processes do we ha\c lo respond lo interiinl
inquiries, concerns and suj^cslions1.'
Mow elTecti\e are these methods'
Our next step on communication is to ...
Communication
Module 9 — 4
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Foundry Industry— EMS Implementation Guide
Tool 9-3: Sample Procedure for Communication with Stakeholders
1.0 Purpose
To ensure that interested external stakeholders receive appropriate information about the
facility's environmental activities.
2.0 Procedure
2.1 The Cross Functional Team (CFT) identifies stakeholders and their potential
interests in the environmental performance of our Facility using Tool 9-4, Sample
Form for Stakeholders and Environmental Issues. If the CFT decides that
proactive communication on environmental issues is necessary with any group,
that decision is recorded on Tool 9-4 and responsibility is designated.
2.2 When any form of communication is received regarding the corporation's
environmental performance or management from a stakeholder, that
communication is immediately forwarded to the Environmental Management
Representative (EMR).
2.3 The EMR considers the nature of the communication and makes a decision on
whether and how to respond to it based on the guidance in Tool 9-4. The EMR is
responsible for maintaining records of each such communication and response
using Tool 9-5, Sample Form for Stakeholder Communication Record.
Where internal actions are necessary to address the communication, this is noted
on Tool 9-5 and a Corrective Action Form is initiated.
3.0 Frequency
As per environmental communication.
4.0 Records
Records of environmental communications from stakeholders and your corporation's
responses are kept by the EMR and are tracked using Tool 9-5. An updated version of
Tool 9-4 is kept in this EMS Manual.
Communication
Module 9 — 5
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Foundry Industry— EMS Implementation Guide
Tool 9-4: Sample Form for Stakeholders and Environmental Issues
Stakeholder
Potential Kn\i roil in en t 1 Interest
IVoiH'lne C'oiiiiiiuniciilion Phin
(if desired)
Person Responsible
Contact Person: Date Completed:
Communication
Module 9 — 6
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Foundry Industry— EMS Implementation Guide
Tool 9-5: Sample Form for Stakeholder Communication Record
Date Communication Received
Type of Communication
Received From
Address/Telephone Number/
E-Mail
Content of Communication (attach copy if possible)
Will [Your Facility's Name] Respond?
YES NO
Date of Response
Person Responding
Position
Nature of Response (attach copy ifpossible)
Are Internal Actions Necessary? (If Yes, fill out a Corrective Action Form.)
Contact Person: Date Completed:
Communication
Module 9 — 7
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Foundry Industry— EMS Implementation Guide
This page intentionally left blank
Communication
Module 9 — 8
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Foundry Industry— EMS Implementation Guide
Module 10: EMS Documentation and Document
Control
Guidance and Tools
Requirements for system documentation are presented in several sections of ISO 14001,
including Section 4.4.4, Environmental Management System Documentation, and Section 4.4.5,
Document Control. Documentation is important to the success of your EMS for several reasons:
Word-of-mouth information is not as reliable as written documentation.
Creating documentation helps you assess the progress of your EMS and evaluate results.
Documentation is vital to maintaining consistency in an EMS over time and from department
to department. In most companies, change is a fact of life; new products are developed, the
company grows, and employees change positions or leave the company. Accurate
documentation will make it much easier to maintain an effective and flexible EMS during
these changes.
The EMS Manual
An EMS manual provides a place to identify all relevant environmentally significant procedures
and practices in a single source. The EMS manual typically does not house the complete EMS
documentation but is rather used as a road map to other associated documents. It should describe
what the EMS consists of, where other related documents are located, and where records of
performance can be found. It should be a "one-stop-shopping" outline of all other sources of EMS
paperwork. For most companies this will be a simple binder, for others it may be a Website.
Other EMS Documentation
In addition to the EMS manual, your organization should maintain other documentation of its
EMS. First, you should document the processes used to meet the EMS criteria. (For example,
"How do we identify environmental aspects?" "How do we implement corrective actions?")
This documentation generally takes the form of system procedures. In addition, you might
maintain area-or activity-specific documentation (such as work instructions) that instructs
employees on how to carry out certain operations or activities.
EMS documentation is related to (but not the same as) EMS records. EMS documentation
describes what your system consists of (i.e., what you do and how you do it), while EMS
records demonstrate that you are doing what the documentation said you would do. Module 15
provides information on EMS records.
How to Develop Your Documentation
The basic steps in preparing EMS documentation include:
EMS Documentation and Document Control
Module 10 — 1
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Foundry Industry— EMS Implementation Guide
Step 1: Determine how EMS documentation can be integrated into existing documents.
Before you dive into your documentation, learn how deep the water is. Find out what
documentation already exists, what its purpose is, and whether it works. The goal of this search
is to locate materials you can use to begin your EMS implementation and documentation. Many
facilities use the same format for all their documents. An example of existing documentation
might be a quality plan or tracking report. See Tool 10-1 through Tool 10-4 to assist you in
developing EMS documentation while following these steps.
Keep EMS documentation simple. Choose a format that works best for your organization.
Your manual does not need to describe every detail of your EMS. Instead, the manual can
provide references to other documents or procedures.
Use the results of your preliminary assessment to prepare your EMS documentation. In
the course of conducting this assessment, you should have collected or prepared useful
material on how your organization satisfies the selected EMS criteria. The box on the next
page illustrates what constitutes EMS documentation.
The usefulness of your EMS manual can be improved by including the facility's mission
statement and vision or guiding principles (if these exist). These will improve understanding
of the organization and how the EMS supports its overall goals.
An EMS manual can be a useful tool for explaining your EMS to new employees, customers,
and others.
EMS documentation should be updated as needed, based on any system improvements you put in
place. However, if you put too much detail in an EMS manual, you might need to update it
frequently.
Step 2: Tailor the documentation to your organization's individual needs.
Here are some questions to help you determine what fits your needs:
How can you incorporate documents that already exist rather than creating new ones?
Does your business operate in a single location or many? This will affect who creates some
of the documents and where they are located. It may also affect how many versions of a
document might be necessary to cover different circumstances.
What is your current computer capability? Many companies use an electronic system to
maintain documents.
What security precautions do you need? As a computer system becomes larger and can be
accessed by more people, electronic information can more likely be edited and destroyed.
Security, or at least restrictions on who can change data, can be a critical issue for many
companies.
EMS Documentation and Document Control
Module 10 — 2
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Foundry Industry— EMS Implementation Guide
Step 3: Determine a standard format for all documents.
Before developing your EMS documents, plan the format (document and page appearance). If a
company standard exists, use it. If not, the need for EMS documentation provides an opportunity
to create a standard company format. Consider whether pages are single- or double-sided and
why; choose margins, header, footer, typefaces, text, headings, etc. Include plans for bulleted
and numbered lists, tables, and even paragraph spacing. Once you have a consistent format for
documents, anyone who writes one will use the established electronic format and fill in the
necessary text. All documents will look like part of an organized, integrated system. Most
important, documents will be it easier to read and understand!
Wlisil constitutes K.MS (lociimentsilion? Consider (lie following:
• Your en\ironmenlal policy.
• Your organizational structure and l
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Foundry Industry— EMS Implementation Guide
Don't make your procedure more complicated than it needs to be. While larger organizations
often have complex processes for document control, smaller organizations can use simpler
processes.
Limiting distribution can make the job easier. Could everyone have access to one or a few
copies? Determine how many copies you really need and where they should be maintained
for ease of access.
Consider using a paperless system through a local area network or the organization's internal
Website. There also are a number of commercial software packages that can simplify the
document control effort.
Prepare a document control index that shows all of your EMS documents and the history of
their revision (see Tool 10-5 through Tool 10-8). Include this index in your manual. Also, if
multiple paper copies of documents are available at the facility, prepare a distribution list,
showing who has each copy and where the copies are located.
As your procedures or other documents are revised, highlight the changes (by underlining,
boldface, etc.). This will make it easier for readers to find the changes.
EMS Documentation and Document Control
Module 10 — 4
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Foundry Industry— EMS Implementation Guide
Tool 10-1: EMS Documentation Worksheet
Questions
Your Answers
Do we ha\e exislin" dociimen(;ilion of our
i:ms'
ll\es. Inm is llns 1!\ 1S documenlalion
iiiitiiilitiued? (Lkvli'omciilK ' In paper lorm1')
Who is responsible lor niaiiilLiiiiiiiL! kMS
documentation w iillin our or^ani/alion
Do we ha\ e iin KMS ni:inii:il or oilier summan
document lluil describes the ke\ elements of the
i:\is-
II'so. (.Iocs this document dcscnhc the Iink:i«os
anioiiL! s\stem elements1'
W hiil does our K.MS dociimenliilion consist
of (l.isl components such as en\ ironmcntal
pohc\. IAIS maiiiuil. acti\ it\ -le\ el procedures or
work instructions. cmcruencN plans, etc )
Is our L.MS documentation inle<>r;iled with
oilier or<>;ini/;ition;il dociiinentiilion (such as
human resource plans ori|ualil\ procedures)1.'
II"so. how do we ensure proper coordination
between en\ ironmenlal and these oilier
functions'
1 low will we keep our LMS documentation up-
to-diite1.'
Our next step on UMS documentation is to ...
EMS Documentation and Document Control
Module 10 — 5
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Foundry Industry— EMS Implementation Guide
Tool 10-2: Sample Worksheet for Development of EMS Documentation
l.isl I'\islillvi
Documents
Dclcrminc
l-'ormal: Who/
Dale Completed
l)c\elop
Prolog pc
(Coiilenl): Who/
Dale Completed
Assign W riling:
W ho/ Dale
Re\ ie\\ W riling/
Compare lo
ProioM pe:
W ho/ Dale
Added lo
Document l.isl/
Dale
Who Mas
Access
W here Located
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
List Documents
to be Created
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
Contact Person:
Date Completed:
EMS Documentation and Document Control
Module 10 — 6
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Foundry Industry— EMS Implementation Guide
Tool 10-3: Sample Outline for EMS Manual and Other EMS Documents
Basic EMS Manual
• Index/Revision History/Distribution List
• Environmental Policy
• Description of How Our EMS Addresses Each of the EMS Elements (and linkages among
these elements)
- How We Identify Significant Environmental Aspects
- How We Access and Analyze Legal and Other Requirements
- How We Establish and Maintain Objectives and Targets
- How the Organizational Structure Supports EMS (organization charts, key
responsibilities)
- How We Train our Employees and Ensure Competence
- How We Communicate (internally and externally)
- How We Control EMS Documents
- How We Identify Key Processes and Develop Controls for Them
- How We Prepare for and Respond to Emergencies
- How We Monitor Key Characteristics of Operations and Activities
- How We Identify, Investigate, and Correct Nonconformance
- etc.
Environmental Management Program Description
• Annual Objectives and Targets
• Action Plans (to achieve objectives and targets)
• Tracking and Measuring Progress
EMS Procedures
• Index/Revision History/Distribution List
• Organization-wide Procedures (for some EMS elements there might be more than one
procedure)
- Environmental Aspects Identification
- Access to Legal and Other Requirements
- Training, Awareness, and Competence
- Internal Communication
- External Communication
- Document Control
- Change Management Process(es)
- Management of Suppliers / Vendors
EMS Documentation and Document Control
Module 10 — 7
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Foundry Industry— EMS Implementation Guide
- Emergency Preparedness and Response
- Monitoring and Measurement
- Calibration and Maintenance of Monitoring Equipment
- Compliance Evaluation
- Corrective and Preventive Action
- Records Management
- EMS Auditing
- Management Review
• Procedures/Work Instructions for Specific Operations or Activities
- Waste Management
- Wastewater Treatment (These are examples only)
- Operation of the Paint Line
Other EMS Documentation (Emergency Response Plans, etc.)
EMS Documentation and Document Control
Module 10 — 8
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Foundry Industry— EMS Implementation Guide
Tool 10-4: Sample Procedure for EMS Documentation
1.0 Purpose
To ensure effective operation of the EMS, [Your Facility's Name] documents the
procedures of its EMS and keeps records of the outcomes of EMS processes, and of the
important environmental issues facing the plant. The EMS Manual comprises the
documentation that describes the core elements of the EMS and their interactions and
provides direction to related documentation.
2.0 Procedure
The Environmental Management Representative (EMR) documents the procedures that
define [Your Facility's Name] EMS in the manual. The Cross Functional Team (CFT)
formally reviews and, if necessary, revises this manual on an annual basis. Revised
manuals are assigned a new revision number (a minor set of revisions would change the
number from, say, 1.1 to 1.2; a major revision would change the number from, say, 1.1 to
2.0). Finally, the EMS Coordinator ensures that no employees or managers use outdated
revisions of this manual.
3.0 Frequency
Manual review and revision on an annual basis.
4.0 Records
Maintained as outlined in the procedure.
[Tool 10-5 provides you with the beginning framework for document control by
presenting you with important questions that need to be addressed. Tool 10-6 provides
an example of a procedure for document control, and Tool 10-7 and Tool 10-8 will help
you manage your documents once they have been created.]
EMS Documentation and Document Control
Module 10 — 9
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Foundry Industry— EMS Implementation Guide
Tool 10-5: Document Control Worksheet
Questions
Your Answers
l)n xxe haxc an existing process lor controlling
L\1S documents'
If \es. dues thai process need lo lie rex ised' In
XX ll;il XXilX
W ho needs lo he imohed m llns process xxiihin
our omani/alion'
Who needs iiccess lo controlled copies of L\IS
documents' 1 loxx do xxe ensure lluil lliex haxc
access'
1 loxx do xxe ensure thai 1!\ 1S documents arc
periodic:ill\ renewed :incl updated as
ncccssarx "'
Who has aulhorilx lo <>ener:ile nexx documents or
modify existing ones ' 1 loxx is this process
managed''
1 loxx are users iilerled lo the e\islence of nexx
1!\IS documents or rex isions lo existing ones''
1 loxx do xxe ensure thai obsolete documents arc
nol used '
Is our L\IS document conlrol process inte<>r;iled
with other or<>;ini/;ilion;il functions (such as
i|ualil\)"'
If so. Iioxx do xxe ensure proper coordination
Ivlxxeen enx ironmenlal and other functions1'
Our next step on document control is to ...
EMS Documentation and Document Control
Module 10 —10
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Foundry Industry— EMS Implementation Guide
Tool 10-6: Sample Procedure for Document Control
1.0 Purpose
This procedure defines the mechanism for controlling EMS documents. The purpose of
this procedure is to ensure that those personnel requiring access to EMS documents have
the most up-to-date versions and are aware of the document control process.
2.0 Procedure
2.1 The Environmental Management Representative (EMR) or designee shall be
responsible for coordinating, developing, issuing, and controlling environmental
management system documents.
o Procedures shall be in a format that is consistent with other controlled documents
at the facility.
o Documentation shall be legible, dated (with dates of revision) and readily
identifiable, maintained in an orderly manner, and retained for a specified period,
o The EMR or designee shall maintain a master set of EMS documents,
o Each area or department manager or designee should maintain a list of, or have
access to, all EMS documents relevant to their area or department, as applicable,
o Relevant documents are available at the locations where they are needed,
o Personnel ensure current versions are available and used,
o Obsolete document are promptly removed from all points of issue and points of
use, or otherwise assured against unintended use.
o The Cross Functional Team shall review and approve changes to EMS
documents.
o All controlled documents shall be marked with the words "CONTROLLED
DOCUMENT"
o Controlled versions of system documents may be placed on the computer system
for access by area or department personnel,
o All controlled documents issued by the EMR or designee shall be recorded on a
Master Document List,
o The EMR or designee shall:
¦ Provide notice to affected personnel to ensure that they are aware of the
new or revised document; and
¦ Issue controlled copies of those documents to appropriate personnel.
2.2 The EMS Coordinator is not responsible for maintaining records of environmental
training and emergency response preparations; the operational control procedures
themselves; or the New Purchase Approval Forms, the Design Approval Forms, or
the Facility Expansion or Modification Plans. These records are maintained by the
appropriate person or group.
2.3 The EMR or designee will control all EMS documents and records from items 1 and
2 using Tool 10-7, Sample Document Control Form and Tool 10-8, Sample
Document Index Form.
EMS Documentation and Document Control
Module 10 —11
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Foundry Industry— EMS Implementation Guide
3.0 Frequency
Manual review and revision on an annual basis.
4.0 Records
Maintained as outlined in the procedure.
EMS Documentation and Document Control
Module 10 —12
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Foundry Industry— EMS Implementation Guide
Tool 10-7: Sample Document Control Form
Document
Who Will I so ll
I'crniiincnl Location
Periodic Re\ iow Schedule/
Who
W hen Ciin lie
Desl roved
/
/
/
/
/
/
/
/
/
Contact Person:
Date Completed:
EMS Documentation and Document Control
Module 10 —13
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Foundry Industry— EMS Implementation Guide
Tool 10-8: Sample Document Index Form
Document
Revision Number
1
2
3
4
5
6
Environmental Policy
Environmental Manual
Procedure 1: Environmental
Aspects Identification
Procedure 2: Access to Laws and
Regulations
Procedure 3: Setting Objectives &
Targets
Procedure 4: Environmental
Training
Procedure 5: External
Communications
Procedure 6: Internal
Communications
Procedure 7: Document Control
Procedure 8: Emergency
Preparedness
Procedure 9: Corrective Action
Procedure 10: Records
Management
Procedure 11: EMS Audits
Procedure 12: Management
Reviews
Procedures 13-X (list individually)
EMS Audit Checklist
Other plans & documents related
to above procedures (list
separately, e.g., SPCC Plan,
Emergency Response Plan, etc.).
Other forms and checklists (list)
(Columns to be filled out with information such as the name of individual that revised document,
his/her position/department, and dates(s) of revision.)
EMS Documentation and Document Control
Module 10 —14
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Foundry Industry— EMS Implementation Guide
Module 11: Operational Control
Guidance and Tools
To function in line with your environmental policy, objectives, and targets, the operations and
activities that are associated with significant environmental aspects (SEAs) must be under
control. The facility must plan these activities, including maintenance, to ensure that they are
carried out under specified conditions by establishing and maintaining documented procedures to
cover situations where their absence could lead to deviations from the environmental policy
(including the commitments to compliance and pollution prevention) or from your objectives and
targets. These operational controls usually take the form of documented procedures, work
instructions, best management practices, or posted placards.
For the SEAs for which you have established objectives and targets for improvement or study,
the corresponding environmental management programs (EMPs) will serve as a form of
operational control. What are left are SEAs for you to maintain compliance with legal
requirements (or conformance with facility policy).
Most foundries already have the vast majority of the necessary compliance-related operational
controls documented. Even so, the job of canvassing the entire facility and its operations to
match existing procedures, work instructions, best management practices, and posted placards
with the list of SEAs determined in Module ¥ is a crucial one. Likewise, there are two additional
tasks associated with this module:
Ensuring that the procedures you have are suitable and adequate; and
Filling the gaps that you have identified where new procedures will be required.
Here is a set of steps to help you begin the process of developing your facility's operational
control procedures.
Step 1: Operational controls are documented procedures that are associated with operations and
activities that have identified SEAs. Tool 11-1: Partial List of Typical Activity
Areas and Operational Controls at a Foundry Facility is an example of what a set of
operational controls might include (for those indicated by an asterisk (*), examples are
provided at the end of this module). Using Tool 11-2: Linking SEAs to Operational
Controls, Measurement Indicators, Job Functions, Responsible Parties, and
Locations of Documents, determine which of the necessary procedures and work
instructions you already have in place as well as gaps where new procedures will need
to be documented.
Step 2: Document operational control procedures for identified activities where controls are
absent (see Example 11-1: Operational Control for Container Labeling, Example
11-2: Operational Control for Hazardous Waste Satellite Accumulation Areas,
Example 11-3: Operational Control for Empty Chemical Container Handling, and
Example 11-4: Operational Control for New Material Purchasing).
Operational Control
Module 11 — 1
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Foundry Industry— EMS Implementation Guide
Step 3: Capture your approach for controlling the environmental aspects of on-site contractors
and their sub-contractors in a written procedure. Tools 11-3 and 11-4 provide a
template. Include these customized procedures and templates in your EMS manual.
Step 4: Training needs associated with operational controls need to be identified, planned for,
and tracked. Training needs associated with operational controls is addressed in
Module 8 on Tool 8-3: Sample Training Needs Analysis Form.
Tool 11-1: Partial List of Typical Activity Areas and Operational Controls at
a Foundry Facility
Category of Activity Operational Control
Purchase of Raw Materials Sub-contractor Requirements
New Material Purchasing*
Raw Material and Waste Storage and Waste Manifest/Chain of Custody
Handling Above Ground Tank Inspection
Spill Reporting and Clean-up
Secondary Containment Inspection
Hazardous Waste Area Inspection
Bulk Storage and Containment
Bulk Liquids Transfer
Containerized Material Storage
Hazardous Waste Satellite Accumulation*
Container Labeling*
Empty Container Handling*
Hazardous Waste Operations Procedure
Control of Discharge and Disposal
Waste Consolidation Guidelines
Shops and Facility Maintenance Environmental Compliance Assessment Checklist
Maintenance and Machine Shop Checklist
Disposition of Fluorescent Bulbs, Batteries, and
Mercury Items
Critical Ranges of Vital WWTP Operational Indicators
Other Wastewater Plant SOPs
Tracking of SOx Emissions from Internal Combustion
Engines
Centralized Air Pollution Control SOPs
Regulatory Reporting Calendar
Wastewater Management
Air Quality Management
Operational Control
Module 11 — 2
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Foundry Industry— EMS Implementation Guide
Drafting Operational Controls
Use your answers to the following questions to begin planning documented procedures to cover
operational activities and situations where their absence could lead to deviations from the
environmental policy:
Have we identified operations and activities associated with significant environmental
aspects, legal requirements, and environmental objectives? If not, how will this be
accomplished?
Who should be involved?
What operations and activities are associated with significant environmental aspects (and
thereby legal requirements)?
How are the above operations and activities controlled?
How do we know whether these controls are adequate (i.e., to manage significant aspects, to
ensure compliance, to achieve objectives)?
How do we train employees and contractors on relevant operating controls?
If new controls are needed (or existing ones need to be revised), what is our process for doing
so? Who needs to be involved in this process?
The sample procedure provided in Tool 11-3: Procedure for Contractors and Sub-
contractors, along with Tool 11-4: Environmental Briefing Packet and Contractor Method
Statement Template, define the process for controlling the environmental aspects of on-site
contractors and their sub-contractors, and can be customized to fit the needs of your facility.
It is useful to involve the people who will implement the procedures in drafting these controls.
You can accomplish this in several ways:
Meet with workers and have them describe current procedures. Discuss the environmental
objective desired and obtain their input on operational controls (procedures) to ensure that
the objectives will be met.
Have someone (possibly an intern) interview the workers to establish current
(undocumented) procedures, then draft or revise operational controls. Have the workers and
a manager review the draft and incorporate their input.
Remember to keep written operational controls simple and concise. They should include the
appropriate actions, precautions, and notifications required. Focus on activities that may lead to
significant impacts and avoid getting overwhelmed by trying to control every activity and
process.
Operational Control
Module 11 — 3
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Foundry Industry— EMS Implementation Guide
Designate Responsibility for Maintaining and Reviewing Operational
Controls
Designate those responsible for maintaining the controls and for reviewing them to ensure that
procedures are followed and deviations are corrected. Generally, the workers responsible for the
SEA under consideration will be responsible for implementing the associated operational
controls. The immediate line manager would most likely be responsible for regular review of the
controls. It is helpful to list those people responsible for each set of procedures. Tool 11-2:
Linking SEAs to Operational Controls, Measurement Indicators, Job Functions,
Responsible Parties, and Locations of Documents has a column for assigning operational
control responsibilities.
Develop Operational Control-related Training
Achieving success in meeting environmental objectives for each SEA depends upon making sure
that each person responsible for maintaining or reviewing controls has received adequate
training. After operational controls are drafted, develop a training program that ensures that
everyone understands the controls and their role in ensuring that they are followed. Training can
include on-the-job training. Tool 8-3: Sample Training Needs Analysis Form in Module 8 is
provided to help your facility to determine training needs associated with operational controls. It
should help you identify, plan for, and track the training needs of your employees. This
information should be combined with general environmental training when creating an integrated
training needs analysis for your EMS.
Take Corrective Action When Objectives Are Not Met
Take action to correct failures in operational controls as quickly as possible to meet
environmental objectives. You can record corrections made on Tools 14-3 and 14-4, the sample
corrective and preventive action tools included in Module 14.
Operational Control
Module 11 — 4
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Foundry Industry— EMS Implementation Guide
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Parties, and Locations of Documents
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Operational Control
Date Complete:
Module 11— 5
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Foundry Industry— EMS Implementation Guide
Tool 11-3: Procedure for Contractors and Sub-contractors, Including
Environmental Briefing Packet and Contractor Method Statement Template
1.0 Purpose/Scope
This procedure defines the process for controlling the environmental aspects of on-site
contractors and their sub-contractors at the [Facility's Name],
2.0 Activities Affected
All areas and departments authorizing contractors to work on-site.
3.0 Forms Used
Environmental Briefing Packet and Contractor Method Statement Template (Tool
11-4)
4.0 References
ISO 14001:1996, Element 4.4.6
5.0 Definitions
Method Statement: a written statement prepared by a contractor that outlines the work
to be undertaken and the method(s) for minimizing and managing environmental
impacts. The method statement includes an assessment of the environmental issues
associated with specified work activities and measures necessary to minimize
environmental impacts.
6.0 Exclusions
6.1 Contractor activities and services that are not performed at the facility.
6.2 Contractors performing emergency services.
6.3 Contractors providing clerical, accounting, or other similar administrative
services.
7.0 Procedure
7.1 A Cross Functional Team led by the Environmental Management
Representative (EMR) or designee develops a process to obtain and review
contractor method statements.
7.2 The need for contractor services is identified and a request for a Method
Statement is prepared by the initiating activity.
7.3 Information related to contractor on-site activities shall be documented by the
contractor using a Contractor Method Statement.
7.4 Completed Contractor Method Statement forms will be submitted to the
initiating activity. The EMR or designee will evaluate Method Statements to
identify potential environmental issues and concerns.
Operational Control
Module 11 — 6
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Foundry Industry— EMS Implementation Guide
7.5 Prior to on-site work contractors shall:
7.5.1 Be provided with information and documents to ensure their
awareness of the [Facility's Name] EMS and their conformance to
it.
7.5.2 Submit a completed Contractor Method Statement to the initiating
activity.
7.6 While on site, contractors shall conform to the [Facility's Name] EMS and to
all applicable legal and other requirements.
Contractors shall maintain records as specified by the EMS and by contract
requirements.
8.0 General Rules
Contractors shall ensure their on-site staff is aware of [Facility's Name] requirements.
9.0 Records
Records shall be retained consistent with the Procedure for Environmental Records.
Record of Revisions
Revision Date Description Sections Affected
Operational Control
Module 11 — 7
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Foundry Industry— EMS Implementation Guide
Tool 11-4: Environmental Briefing Packet and Contractor Method Statement
Template
Introduction
The [Facility's Name] Environmental Management System is designed to meet the requirements
of ISO 14001 Standard. The principle elements of the EMS and environmental policy are:
1. To establish and operate effective procedures aimed at controlling environmental
performance to comply with all relevant environmental legislation and regulations;
2. To set objectives and targets aimed at achieving continual improvement in environmental
performance; and
3. To introduce improvements that contribute to the prevention of the pollution at the
source, where possible.
An important part of the EMS relates to the control of contractors and their sub-contractors, who
are required to comply with [Facility's Name] environmental policies and procedures.
The nature of the contractor activities is such that contractor personnel have significant potential
to affect the environmental performance and regulatory compliance of the facility. Contractor
personnel and the facility must therefore work together to achieve the facility's environmental
policy, the environmental objectives and targets, and the protection of the environment.
Contractors must be aware of the importance of compliance with relevant environmental
legislation and regulations, and the consequences of non-compliance.
The contractor is responsible for developing a Contractor Method Statement and returning it to
the [Facility Name] Environmental Management Representative or designee.
The contractor is responsible for communicating to all contractor personnel the information in
their Method Statement as well as information from the Contractor Environmental Briefing
Package.
Contractor Personnel Environmental Information
[Facility '.s Name] Environmental Management System
All contractors working at [Facility's Name] are required to comply with the requirements of the
EMS and the environmental policy. This Environmental Guide provides general details of the
Environmental Management System and Environmental Policy.
Environmental Management Basics—Contractors on-site
Contractors shall not allow discharges to drains and/or sewers without prior approval from the
EMS Coordinator.
Operational Control
Module 11 — 8
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Foundry Industry— EMS Implementation Guide
Contractors shall provide adequate spill/release prevention for all bulk materials.
Contractors shall immediately notify the [Facility's Name] Safety Committee Champion and the
Project Manager of any spills, releases, or other environmental incidents.
Contractors shall immediately notify the EMS Coordinator and the Project Manager of any
abnormal conditions found during excavation at the facility. Visibly discolored soils, soils with a
discernible odor, and/or heavily stained concrete must not be removed from the site without prior
approval of the EMS Coordinator.
Contractors shall properly label, store, and dispose of all waste materials generated from their
activities per [Facility's Name] procedures or guidance.
If [Facility's Name] personnel are required to work with potentially hazardous materials brought
on-site by a contractor, prior approval of the material by the EMS Coordinator is required.
Contractors must be sensitive to the effects of noise, odor, light, fugitive dust emissions, and
traffic movement to the facility and the local community.
Contractors shall be required to prepare and maintain records pertaining to the work performed
in accordance with environmental regulatory requirements, including record retention
requirements.
Contractors shall ensure protection of the natural environment surrounding the work area.
Contractors shall ensure that all employees are properly trained on such things as the proper
handling of material and equipment, proper response to incidents involving their material, and
general information relating to the [Facility's Name] Environmental Management System.
Environmental Management System Documents
[Facility's Name] may wish to include or provide the following information prior to
contractors/sub contractors beginning work:
• Environmental Policy;
Index of Environmental Management System procedures; and
(Example)
Title of Procedure
ISO 14001 Element
Environmental Review for New Purchases, Processes, and
Products
4.4.6
Index of local procedures and work instruction.
Operational Control
Module 11 — 9
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Foundry Industry— EMS Implementation Guide
(Example)
System Procedure/
Work Practice
Number
Title
Issue Date
Contractor Method Statement
The contractor shall prepare and maintain information, including a clear method statement,
regarding contractor/sub-contractor activities, which outlines the work to be undertaken and the
method(s) for minimizing environmental impacts and maintaining compliance with
environmental regulations.
Note: To assist in organizing and maintaining information, background information sections
have been included (sections I, II, III). Sections can be modified or deleted as required when
requesting a method statement from contractors.
[Facility's Name] Personnel To Complete Sections I, II, and III
Suppliers to Complete Sections IV, V, and VI
Operational Control
Module 11 —10
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Foundry Industry— EMS Implementation Guide
Section I Your Information (type or print):
Niinu':
Phone Number:
l;i\ Nil in hoi-:
Dept Name:
Dept Nu in her:
Section II Requisition Information (type or print):
Requisition Number:
Project Nu in bo r (if
applicable):
Section III Service or Activity to be performed (check all that apply):
Materials hemical
(Prodiiclion/Non-
prodnction)
Paint
Sol\cnt
Sealer
Treatment Chemicals
l ubricants. Oils. Creases
(iasolinc
.Janitorial/Maintenance
Other (specif)
Other (spccil\)
l-'iicilit ios 'C 'cinst met ion:
l.lcctrical
Paint
Structural
Roofing
Mechanical
(•eneral ( ontraclor
\ rcli'l" niii iiConsu It inii
Other (speeil\)
Indusli'iiil Sen ices
(Includes
l.n\ ironmcnlal Sen ices)
Asbestos
lead
Miiinlciiiincc
Janitorial
1'.ineriicnc\ Response
r.n\. ( (insulting
Paint Booth Cleaning
Waste Management
Other (spccil>)
Containcri/ation:
5 (>:il. or l.ess
1)I'll ins
Totes
ISulk Tanks
T\»e ol'Contract:
Commodity Management
On-site Manager Pro\ided
Total Cost Contract
Section IV Supplier/Contractor Information (Circle all that apply):
Current Supplier/Contractor to this Facility
New Supplier/Contractor to this Facility
Currently Involved in Other Facility Project(s)
ListProject(s):
Operational Control
Module 11 —11
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Foundry Industry— EMS Implementation Guide
Complete Information in Table Below (type or print):
Name:
Address:
City:
State:
Phone Number:
Fax Number:
President/General
Manager:
Facility Site
Coordinator:
Email Address:
Phone Number:
Mobile Number:
Fax Number:
Pager:
24-Hour Emergency
Number:
Sub-contractor Information (type or print):
Type
Firm Name
Architectural
Mechanical
Electrical
HVAC
Industrial Services
Painting
Roofing
Asbestos
Architectural/Engineering
Consulting Firm
Sampling/Testing
Chemical Supplier
Operational Control
Module 11 —12
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Foundry Industry— EMS Implementation Guide
Type
Firm Name
Other (specify)
Scrap/Salvage Dealer
Waste Disposal
Demolition Disposal
Note: It is strongly recommended that you have your subcontractors and suppliers involved at this facility complete
a separate environmental briefing package for the facility's review.
Supplier/Contractor is financially responsible for on-site environmental remediation actions
resulting from incidents involving their employees and subcontractors. To minimize the risk of
environmental accidents please review and initial the items contained in the Environmental
Management Basics table below:
Environmental Management Basics
Supplier/Contractor
Initials
Supplier/Contractor understands the importance of compliance with relevant
environmental legislation and regulations and the consequences of non-compliance.
Suppliers/Contractors working at the facility are required to comply with and ensure
that their employees and any Suppliers/Sub-Contractors or agents comply with the
facility's Environmental Management System (EMS) and environmental policy.
Suppliers/Contractors acknowledge receiving or were made aware of the facility's
environmental policy as well as applicable system procedures and work practices.
Suppliers/Contractors shall not discharge anything to drains and/or
sewers without prior approval from the facility's EMS Coordinator. Spills and other
releases to the environment must be immediately reported to the Safety Committee
Champion.
Suppliers/Contractors shall provide adequate spill release prevention, as approved by
the facility's EMS Coordinator.
Suppliers/Contractors shall immediately notify the facility's EMS
Coordinator and the Project Manager of any abnormal conditions found
during excavation activities at the facility.
Suppliers/Contractors shall properly label, store, and dispose of all of their waste
materials used on-site in accordance with facility procedures and all legal
requirements.
If facility personnel are required to work with potentially hazardous
materials brought on-site by a contractor, prior approval of the material
by the EMS Coordinator is required.
Suppliers/Contractors shall minimize the effects of noise, odor, light,
fugitive dust emissions, and traffic movement on and/or adjacent to
facility property.
Suppliers/Contractors shall obtain, prior to commencing work, all
necessary environmental approvals or permits and present copies of
such permits to the facility's EMS Coordinator.
Suppliers/Contractors were informed of actions to be taken during an
actual emergency situation.
Suppliers/Contractors understand that the facility may interrupt
Supplier/Contractor activities that violate facility policies and/or all
legal requirements.
Operational Control
Module 11 —13
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Foundry Industry— EMS Implementation Guide
Section V Contractor Method Statement
Respond to the following questions (use additional space where required):
This method statement must be completed, signed, and returned to the facility's Environmental
Management Representative before contracted work commences.
Work Description
Briefly describe the work to be performed while on-site, including the activities of each of the
suppli ers/contractors.
Air Emissions
Will the work you perform produce or cause the release of any air emissions? YES NO
IF YES, list air emissions and method for preventing impact to the environment.
Water Discharges
Will the work you perform produce or cause the release of any wastewater? YES NO
IF YES, how will the wastewater be handled?
Operational Control
Module 11 —14
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Foundry Industry— EMS Implementation Guide
Materials
What materials (chemicals, oils, etc.) and/or equipment will you be handling or bringing on-site
to perform the contracted work?
Training
Your employees should be trained on the proper handling of materials and equipment, and the
proper response to incidents involving these materials. Describe the training your employees
receive.
Waste Generation
Will the work you perform result in any wastes? YES NO
IF YES, list the disposal location as well as amounts and types of wastes expected and the
proposed disposal method.
Will any wastes generated be recyclable? YES NO
IF YES, list the recyclable and where and how they will be recycled.
Energy
Will the work you perform consume energy (electricity, compressed air, natural gas, steam,
etc.)? YES NO
Operational Control
Module 11 —15
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Foundry Industry— EMS Implementation Guide
IF YES, explain what type of energy will be consumed, and how you will minimize
consumption.
Other
Are there any other ways in which your work will be affecting and/or protecting the
environment? YES NO
IF YES, please describe below.
Other
Describe methods for minimizing waste, emissions, and energy usage from on-site.
Other
Describe any environmental monitoring to be performed including sampling methods, frequency,
analytical requirements, and laboratory to be used.
Other
Identify environmental legal requirements applicable to the work that was not already addressed
by the facility.
Operational Control
Module 11 —16
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Foundry Industry— EMS Implementation Guide
Section VI. Supplier/Contractor Certification (review and sign):
I have reviewed and understand the information contained in this document. I also understand
that [Facility's Name] Personnel have the right to inspect our activities and those of our
Suppliers/Contractors with regards to our on-site activities. I further understand that activities
pertaining to service and/or maintenance contracts may only require submission of this form on
an annual basis. The facility's Environmental Management Representative should be contacted
to make this determination.
Name
Title
Signature
Date
Operational Control
Module 11 —17
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Foundry Industry— EMS Implementation Guide
Examples
Example 11-1: Operational Control for Container Labeling, Example 11-2: Operational
Control for Hazardous Waste Satellite Accumulation Areas, Example 11-3: Operational
Control for Empty Chemical Container Handling, and Example 11-4: Operational Control
for New Material Purchasing and their supporting checklists provide example operational
control procedures. Revise these sample operational control procedures if you wish to use them.
In revising them, it is crucial to review the requirements of your facility in accordance with
company policies and the most recent federal, state, and local requirements.
Operational Control
Module 11 —18
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Foundry Industry— EMS Implementation Guide
Example 11-1: Operational Control for Container Labeling
1.0 Purpose
To maintain safety on-site and ensure that, in the event of a spill of a hazardous or non-
hazardous substance, the Emergency Coordinator follows the correct procedure.
2.0 References
2.1 RCRA Subtitle C (40 CFR 262)
3.0 Responsibility
3.1 The Environmental Engineer or designee shall assure that [Facility's Name]
makes available labels for container labeling and ensures that employees who
handle and dispose of hazardous and non-hazardous wastes understand the
labeling procedures outlined here.
3.2 Managers of each department are responsible for providing the Environmental
Engineer with a list of employees who handle or may potentially handle
hazardous and nonhazardous wastes.
4.0 Procedure for Labeling Containers
4.1 All containers of hazardous and non-hazardous substances should have a label.
The label should include, at a minimum:
4.1.1 Chemi cal name
4.1.2 Hazard warning
4.1.3 Date
4.1.4 User department
4.2 All labels must be legible and written with a permanent marker.
4.3 Labels that have been damaged or removed must be replaced.
4.4 If a chemical is transferred to a portable or temporary container, then that
container must also have a label.
4.5 If a chemical is flammable, an additional "DANGER/FLAMMABLE" label is
required.
Approved by:
Environmental Management Representative
Operational Control
Module 11 —19
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Foundry Industry— EMS Implementation Guide
Example 11-2: Operational Control for Hazardous Waste Satellite
Accumulation Areas
1.0 Purpose
Maintain compliance with federal and state regulations for accumulating hazardous waste
temporarily in various work areas at [Facility's Name],
2.0 References
2.1 40 Code of Federal Regulations 261
2.2 40 Code of Federal Regulations 262
2.2 State Hazardous Waste Regulations (to be completed by each facility)
3.0 Definitions
3.1 Satellite Accumulation Area (SAA): an area within the facility at the point of
generation that can have a maximum of 55-gallons of each type of hazardous
waste generated at that location. Only one container of each type of waste may be
used for accumulation in each designated SAA.
3.2 Accumulation Start Date: the date when a container stored in a SAA becomes full.
The container must be moved from that location to the waste storage area within 2
days.
3.3 Full: for the purposes of this instruction, a container shall be considered to be full
when waste has reached within 4-inches from the top of the container.
4.0 Responsibility
4.1 The EMS Coordinator is responsible for overall implementation and checking for
implementation of this operational control procedure. The designated Production
Supervisor for each production process is responsible for implementation of this
procedure in his or her work area.
4.2 The Hazardous Waste Managers are responsible for implementation of steps
defined below for their respective SAAs.
4.3 Employees that add waste to SAAs are responsible for the items described below
for employees.
5.0 Procedure
5.1 SAAs shall be designated and tracked by the EMS Coordinator. The EMS
Coordinator will maintain a map showing each SAA. The EMS Coordinator will
maintain a list of all Hazardous Waste Managers.
5.2 Supervisors of areas that generate hazardous waste on a regular basis will have a
Hazardous Waste Manager in their area. The Supervisor must notify the EMS
Coordinator of any changes to Hazardous Waste Managers within his or her
production area. The Supervisor also must notify the EMS Coordinator of the
number of waste types and containers to be used in his or her SAA and of any
requests for new SAAs or requests to modify an SAA.
5.3 Supervisors for areas that may generate hazardous waste on a one-time basis will
coordinate with the EMS Coordinator to have the waste picked up in a timely
manner. Waste should not be accumulated in these areas on a regular basis.
5.4 Each area that is designated as an SAA must comply with the following procedure.
Operational Control
Module 11 — 20
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Foundry Industry— EMS Implementation Guide
5.4.1 Only one container for each defined type of hazardous waste is allowed in
the SAA at any given time. The containers will be obtained from the EMS
Coordinator and will be compatible with the waste they are to contain.
5.4.2 The container must have labels with the words "Hazardous Waste" on it
before any waste can be added to the container. Labels are available from
the EMS Coordinator. As an alternate, a marker or other means should be
used to put these words on the accumulation container.
5.4.3 The label also must include a description of the type of waste in the
container. The Environmental Manager will conduct any waste analysis and
provide waste labels or waste labeling instructions for each waste.
5.4.4 The container will not be dated until the container is full (defined as having
waste to within 4-inches from the top of the container).
When the container is full it will be dated. The Supervisor for each SAA is
responsible for having the container moved to the hazardous waste storage
area within 48 hours of it being filled and dated.
5.4.5 If a new container is needed when the existing container is full, the full one
must be moved immediately to the storage area.
5.4.6 Hazardous Waste Managers should inspect their SAA area daily. These
inspection records will be maintained by the SAA area in case of an
inspection or internal audit. The Supervisor is responsible for making sure
the inspection records are up-to-date for his or her SAA.
5.4.7 Each employee that adds waste to a container in an SAA should read the
sign above the SAA area and make sure that the instructions are followed
each time the container is accessed. For example, the waste is placed in the
correct container, the container is closed after the addition of waste, etc.
These checks do not need to be documented. The Supervisor is responsible
for making sure that each employee knows to do this check and does them.
5.4.8 The EMS Coordinator will conduct a weekly inspection of all SAAs at this
facility.
6.0 Records
6.1 The Hazardous Waste Managers will use the Weekly Hazardous Waste Satellite
Storage Inspection Checklist to note that they have checked their area for the day.
This form will be maintained at the SAA for which they are responsible.
6.2 The signs posted above each SAA document that employees conduct "each use"
checks.
6.3 The EMS Coordinator will complete the Weekly Hazardous Waste Satellite
Storage Inspection Checklist and maintain this checklist in the Environmental
Office.
6.4 Training requirements for personnel supporting hazardous waste accumulation are
documented under Training Operational Controls.
7.0 Revision—Date: March 2005
Approved by:
Environmental Management Representative
Operational Control
Module 11 — 21
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Foundry Industry— EMS Implementation Guide
Weekly Hazardous Waste Satellite Storage Inspection Checklist
Date: Inspection Completed by:
Note: Inspect each of the following hazardous waste satellite storage areas on a weekly basis.
Note any problem and record the corrective action taken to resolve the problem.
Inspect each area for the following:
(a) Condition of drums (leaking, bulging, rusting);
(b) Cleanliness of area;
(c) Drums or containers properly closed;
(d) Drums or containers properly labeled;
(e) Drums or containers dated when full; and
(f) Full drums or containers moved to the 90-day hazardous waste storage area within 48 hours.
Satellite Accumulation Sites
Good Needs
_L_
2_
_3_
_4_
_5_
6.
Satellite Accumulation Sites: „ T
Condition Improvement
Operational Control
Module 11 — 22
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Foundry Industry— EMS Implementation Guide
Example 11-3: Operational Control for Empty Chemical Container Handling
1.0 Purpose
This procedure outlines the method for handling empty chemical containers.
2.0 References
2.1 Standards Applicable to Generators of Hazardous Waste (40 CFR 262)
2.2 General Information, Regulations, and Definitions (49 CFR 171)
2.3 Hazardous materials table, special provisions, hazardous materials
communications, emergency response information, and training requirements
(49 CFR 172)
2.4 Shippers-general requirements for shipments and packagings (49 CFR 173)
2.5 [Insert any state agency rules that apply]
3.0 Responsibility
3.1 The Environmental Engineer or designee will ensure that employees at
[Facility's Name] properly handle empty chemical containers.
4.0 Procedure for Handling Empty Chemical Containers
4.1 Containers that previously held hazardous materials are exempt from further
regulation after certain conditions are met. Two of the most important
conditions are that the containers are "empty" and properly managed.
4.2 If the container held a material that can be easily poured, then all material left
in the container must be removed by any means, such as pumping, aspirating,
or draining.
4.3 If the material is non-pourable, then all material that can be feasibly removed
by physical means such as scraping or chipping must be removed.
4.4 If the container held an acute or extremely hazardous material or waste, the
container shall be triple-rinsed using a cleaner capable of removing the material
(must be done by a licensed facility).
4.5 The following is the normal practice for empty chemical container disposal.
Container Type
250- and 500-gallon totes
55-gallon metal drums
55-gallon plastic drums
Less than 55-gallon metal
Less than 55-gallon plastic
General Disposal Method
Returned to the vendor
Shipped to an approved scrap metal recycling facility
Shipped to an approved plastic recycling facility
Place on pallets for incineration
Place in normal trash container after emptying
Approved by:
Environmental Management Representative
Operational Control
Module 11 — 23
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Foundry Industry— EMS Implementation Guide
Example 11-4: Operational Control for New Material Purchasing
1.0 Purpose/Scope
This work instruction describes the procedures used to control the purchase and use of
chemicals within [Facility's Name], This procedure also aids in compliance with
governmental environmental and health and safety regulations.
2.0 Responsibility
The Purchasing Department, with assistance from the Environmental Management
Representative, is responsible for ensuring that only approved materials will be
purchased. All employees are responsible for ensuring that only approved chemicals are
used in the plant.
3.0 Procedure
3.1 The Purchasing Department maintains a list of approved materials. [Link to list of
approved materials.]
3.2 Only those materials on the list of approved chemicals can be purchased and/or
brought into the facility (this includes samples).
3.3 To approve a new material:
3.3.1 Complete the top portion of Form XXX - Chemical Approval Form.
Submit the form and a copy of the Material Safety Data Sheet (MSDS) for
the material to the Environmental Manager.
3.3.2 The Environmental Manager will evaluate the material based on the
information provided and indicate if the material is approved or not on the
bottom portion of the form.
3.3.3 If approved, the Environmental Manager will submit the form to the
Purchasing Department. The Purchasing Department will add the material
to the list of approved materials and file the form.
3.3.4 If not approved, the Environmental Manager will return one copy the form
to the requester and file one copy of the form with the MSDS along with
any other rejected substances.
3.4 Upon receipt of a shipment of materials/hazardous substances, the accompanying
MSDS will be forwarded to the Environmental Manager. The Environmental
Manager is responsible for maintaining MSDSs for all hazardous substances in the
plant.
4.0 Reference
List of Approved Chemicals
5.0 Records
Completed Chemical Approval Forms—Form No. XXX
Operational Control
Module 11 — 24
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Foundry Industry— EMS Implementation Guide
Module 12: Emergency Preparedness and Response
Guidance and Tools
Despite an organization's best efforts, the possibility of accidents and other emergency situations
still exists. Effective preparation and response can reduce injuries, prevent or minimize
environmental impacts, protect employees and neighbors, reduce asset losses, and minimize
downtime. Section 4.4.7 of ISO 14001 requires organizations to establish and maintain
procedures to identify and respond to emergency situations and to prevent and mitigate the
environmental impacts that may be associated with them.
An effective emergency preparedness and response program should include provisions for:
Assessing the potential for accidents and emergencies;
Preventing incidents and their associated environmental impacts;
Plans / procedures for responding to incidents;
Periodic testing of emergency plans/procedures; and,
Mitigating impacts associated with these incidents.
Consistent with the focus on continual improvement, it is important to review your emergency
response performance after an incident has occurred. Use this review to determine if more
training is needed or if emergency plans/procedures should be revised.
I sel'ul information sources include, hut are not limited lo:
• Material s;ilcly data sheets.
Plant layout.
• Process flow diagrams.
• I-nuineerinu drawings.
. Design codes and standards, and
• Specifications 011 safety systems (alarms, sprinklers, etc )
Emergency Preparedness and Response
Module 12 — 1
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Foundry Industry— EMS Implementation Guide
Emergency Response is another area where you should not have to start from scratch. Several
environmental and health and safety regulatory programs require emergency plans and/or
procedures. First review what you have now and assess how well it satisfies the items discussed
previously.
Make sure existing plans are controlled documents (are they dated and in accordance with your
documentation procedures?)
Whether you are creating new or reviewing existing plans, keep the following in mind. Two
planning components that many organizations overlook are how they identify the potential for
accidents and emergencies and how they mitigate the impacts of such incidents. A cross-
functional team (CFT) (with representatives from engineering, maintenance, and environmental
health & safety, for example) can identify most potential emergencies by asking a series of "what
if' questions related to hazardous materials, activities, and processes employed at the site. In
addition to normal operations, the team should consider start-up and shutdown of process
equipment, and other abnormal operating conditions.
Ask yourself: Does everyone (including new employees) know what to do in an emergency?
How would contractors or site visitors know what to do in an emergency situation?
Communicate with local officials (fire department, hospital, etc.) about potential emergencies at
your site and how they can support your response efforts.
Hints
Mock drills can be an excellent way to reinforce training and get feedback on the
effectiveness of your plans / procedures.
Post copies of the plan (or at least critical contact names and phone numbers) around the site
and especially in areas where high hazards exist. Include phone numbers for your on-site
emergency coordinator, local fire department, local police, hospital, rescue squad, and others
as appropriate.
Revise and improve your plan as you learn from mock drills, training, or actual
emergencies.
Emergency Preparedness and Response
Module 12 — 2
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Foundry Industry— EMS Implementation Guide
Checklist lor Kmcrgcncv Prop;!redness 21ml Response Phins
Docs your plan describe the following:
_i Potential emergency siiLuilions (such as fires. explosions, spills or releases of
hazardous materials, and natural disasters)'
_i I lazardous materials used on-site (and their locations).'
_i Key organizational responsibilities (includinu emergency coordinator) '
_i Arrangements with local emergency support pro\iders"'
_i l-mergency response procedures, including emeruency communication procedures'
_i Locations and types of emeruency response equipment'
_i Maintenance of emeruency response equipment'
_i Training testing of personnel. includinu the on-site emeruency response team (if
applicable)"'
_i Testinu of alarm public address systems'
_i l'\acuation routes and exits (map), and assembly points'
Tools 12-1 and 12-2 are worksheets to help your facility guide the process of ensuring that its
emergency preparedness and response procedures are adequate and that they are well integrated
into your EMS. Tool 12-3 provides procedures for emergency preparedness and response.
Emergency Preparedness and Response
Module 12 — 3
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Foundry Industry— EMS Implementation Guide
Tool 12-1: Emergency Preparedness and Response Worksheet
Questions
Your Answers
1 la\c wc renewed our operations :tiul :uli\ilies
lor potential cmcrijcnc\ situations'
If not. how will this ho iUTomplished' W ho
should be imohed'
Do our existing cmcrijcnc\ plans describe how wc
will piVMMit incidents and associated
cm ironmcnlal unpads''
H'nol. how will this ho nccoinplished' W ho
should be in\ol\ed'
1 la\c wc I lit i nod personnel on their roles and
responsibilities during emergencies'
W hat emergency equipment do we maintain .'
1 low do wc know that this equipment is adequate
lor our needs '
1 low do cont rsictors nnd other \isitors know
what to do in an cmcrijcnc\ situation '
When was our last cmcrtjcnc\ drill ' Is there a
plan schedule lor conducting future drills '
1 la\c we established a leedbiick loop so we can
learn from our experiences '
Our next step on emergency preparedness A
response is to ...
Emergency Preparedness and Response
Module 12 — 4
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Foundry Industry— EMS Implementation Guide
Tool 12-2: Emergency Preparedness and Response Requirements Matrix
I'otcnliitl Kmer«ioncv
Scensirio
Polenlhd
Kn\ironnicnliil Impiicl
Action
Required
Procedures
Needed
liitininii
Needed
Emergency Preparedness and Response
Module 12 — 5
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Foundry Industry— EMS Implementation Guide
Tool 12-3: Procedures for Emergency Preparedness and Response
1.0 Purpose/Scope
This procedure defines the framework for preparing for and responding to emergencies involving
potential environmental incidents at [Facility's Name].
2.0 Procedure
2.1 Potential environmental incidents and emergencies likely to occur at the facility shall be
identified semi-annually by the Cross Functional Team and documented in on the
Emergency Preparedness and Response Requirements Matrix (Tool 12-2).
2.2 Methods to respond to, mitigate, and prevent environmental emergencies shall be
established and maintained at the facility in the Security Office by the Emergency
Response Coordinator.
2.3 Roles and responsibilities for communications within the facility and for obtaining
outside support services shall be established and maintained at the facility via the
emergency plans.
2.4 Mock drills or table-top exercises will be conducted at least annually. The EH&S
Department shall maintain records of these tests. Methods to respond to, mitigate, and
prevent environmental emergencies shall be amended as required based on the results of
these tests.
2.5 Following an environmental emergency, the cause of the emergency and corresponding
emergency methods shall be reviewed. Corrective/preventive actions will be identified
and undertaken by implementing the Procedure for Corrective and Preventive Action.
Methods to respond to, mitigate, and prevent releases that arise as a consequence of an
environmental emergency shall be amended as required and the Environmental
Management Representative or EMS Coordinator notified. Changes shall be
documented.
2.6 Where applicable, regulatory agencies shall be notified by the EMS Coordinator of
environmental incidents consistent with the Procedure for Communication with
Stakeholders.
3.0 General Rules
All emergency response activities are to be conducted within boundaries of training levels,
appropriate procedures, and governmental regulations.
The Facility Manager shall designate an Emergency Response Coordinator.
4.0 References
Procedure for Environmental Aspects, Objectives and Targets, and Programs
Procedure for Corrective and Preventive Action
Procedure for Communication with Stakeholders
ISO 14001:1996, Element 4.4.7
[Facility's Name] Emergency Preparedness and Response Plan
Procedure for internal and external notifications (i.e., contact, organization name, and phone
number of facility emergency response coordinator, facility response team personnel, federal,
Emergency Preparedness and Response
Module 12 — 6
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Foundry Industry— EMS Implementation Guide
state, and local officials)
Procedure for establishment of a response management system
Procedure for preliminary assessment of the situation, including and identification of incident
type, hazards involved, magnitude of the problem, and resources threatened
Procedure for establishment of objectives and priorities for response to the specific incident,
including immediate goals/tactical planning (e.g., protection of workers and public as priorities),
mitigating actions (e.g., discharge/release control, containment, and recovery, as appropriate) and
identification of resources required for response
Procedure for implementation of tactical plan and mobilization of resources
Procedure for termination and follow-up actions
Procedure for incident documentation
Procedure for training and exercises/drills
Procedure for response critique and plan review and modification process
5.0 Records
Records are to be maintained as outlined in the procedure.
Emergency Preparedness and Response
Module 12 — 7
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Foundry Industry— EMS Implementation Guide
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Emergency Preparedness and Response
Module 12 — 8
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Foundry Industry— EMS Implementation Guide
Module 13: Monitoring and Measurement
Guidance and Tools
Section 4.5.1 of ISO 14001 requires organizations to establish procedures to monitor and
measure key characteristics of their operations and activities that can have a significant impact
on the environment.
Which operations and
activities can have
significant environmental
impacts?
What are the key
characteristics of these
operations and activities?
How do we measure
these characteristics?
Monitoring and measurement enables an organization to:
Evaluate environmental performance;
Analyze root causes of problems;
Assess compliance with legal requirements;
Identify areas requiring corrective action; and,
Improve performance and increase efficiency.
In short, monitoring helps you manage your organization better.
Pollution prevention and other strategic opportunities are
identified more readily when current and reliable data are
available.
Your organization should develop procedures to:
Monitor and measure key characteristics of operations and activities that can have significant
environmental impacts and/or compliance consequences;
Track performance (including your progress in achieving objectives and targets);
Calibrate and maintain monitoring equipment; and,
Through internal audits, periodically evaluate your compliance with applicable laws and
regulations.
Identifying Key Characteristics
Assemble your Cross Functional Team to decide what operations need to be monitored and/or
measured in order to track progress towards meeting your objectives and targets. Record this
information in the meeting minutes. Most effective environmental measurement systems use a
combination of process and outcome measures. Outcome measures look at results of a process
or activity, such as the amount of waste generated or the number of spills that took place.
Process measures look at "upstream" factors, such as the amount of paint used per unit of
product or the number of employees trained on a topic. Select a combination of process and
Monitoring and Measurement
Module 13 — 1
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Foundry Industry— EMS Implementation Guide
outcome measures that are right for your organization. Keep monitoring requirements limited to
key process characteristics, and focus on the things that you can control.
Progress on Meeting Objectives
You should measure progress on achieving objectives and targets on a regular basis and
communicate the results of such measurement to top management. To measure progress in
meeting objectives, select appropriate performance indicators. Performance indicators can help
you to understand how well your EMS is working. Start by identifying a few performance
indicators that are:
Simple and understandable;
Objective;
Measurable; and
Relevant to what your organization is trying to achieve (i.e., its objectives and targets).
Data collected on performance indicators can be quite helpful during management reviews (see
Module 17). So, select indicators that will provide top management with the information it needs
to make decisions about the EMS.
Calibrating Equipment
A component of monitoring and measurement is equipment calibration. Your facility should
identify process equipment and activities that truly affect your environmental performance. As a
starting point, look at those key process characteristics you identified earlier. Some
organizations place critical monitoring equipment under a special calibration and preventive
maintenance program, or at least insure that they are part of the facility's regular PM program.
This can help to ensure accurate monitoring and make employees aware of which instruments are
most critical for environmental monitoring purposes. Some organizations find it is more cost-
effective to subcontract calibration and maintenance of monitoring equipment than to perform
these functions internally.
Regulatory Compliance
Determining your compliance status on a regular basis is very important. You should have a
procedure to systematically identify, correct, and prevent violations. Effectiveness of the
compliance assessment process should be considered during EMS management review.
Communicating Performance
People respond best to information that is meaningful to "their world." Putting environmental
information in a form that is relevant to their function increases the likelihood they will act on
the information. Be sure to link your measurement program with your communications
program and other elements of the EMS (such as management reviews, as discussed later).
Monitoring and Measurement
Module 13 — 2
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Foundry Industry— EMS Implementation Guide
Documenting Your Monitoring and Measurement Process
Use your answers to the questions provided in Tool 13-1 to guide your facility in establishing
and implementing monitoring and measurement procedures. Tool 13-2 is sample procedure that
your facility can adopt for assuring environmental regulatory compliance. Tool 13-3 is an
example of a compliance tracking form to be used in association with the procedure. Tool 13-4
is an example of documenting calibration measures.
Monitoring and measuring can be a resource-intensive effort. One of the most important
steps you can take is to clearly define your needs. While collecting meaningful information
is clearly important, resist the urge to collect data "for data's sake."
Review the kinds of monitoring you do now for regulatory compliance and other purposes
(such as quality or health and safety management). How well might this serve your EMS
purposes? What additional monitoring or measuring might be needed?
Make measuring and monitoring reports applicable to the operational staff and meaningful
for management.
Monitoring and measurement procedures and work instructions should be incorporated into
as many existing work instructions as possible. Delegate these revisions to supervisors or
area managers.
You can start with a relatively simple monitoring and measurement process, then build on it
as you gain experience with your EMS.
Monitoring and Measurement
Module 13 — 3
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Foundry Industry— EMS Implementation Guide
Tool 13-1: Monitoring and Measurement Worksheet
Questions
Your Answers
1 hue we identified operations iincl iictmties
associated Willi siymllc^iiil en\ironmenlal aspects,
lejjal ivl|iiiivnicnls. and en\ ironmenlal objectix es'.'
II". not how will this Iv accomplished'
What l\pe(s) dI" monitoring and measurement do
we need In ensure that opemlioiiiil controls arc
IvniiJ implemented corrcclK'
\\ hat l\pc(s) dI' monitoring and measurement do
we need lo ensure that we are complying Willi
iippliciihle le«yil requirements?
W'lial l\pc(s) of monitoring and measuremenl do
we need lo ensure that we are 2H'hie\in<> our
en\ ironmenlal objectnes t:ir»ets?
1 low do we idenlil'\ the equipment used for an\ of
ihe monitoring or nieasuremenl listed above''
1 low will we ensure lhal momlonn^ and
measuremenl equipment is propcrK cnlihi iited
iiiul niiiintiiinecr'
W'lial process do we ha\e lo periodically e\;ilu:ile
compliance with le«:i 1 requirements' Mow
effective is this process.'
Our next step on monitoring and measurement is
to ...
Monitoring and Measurement
Module 13 — 4
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Foundry Industry— EMS Implementation Guide
Tool 13-2: Sample Procedure for Monitoring and Measurement
1.0 Purpose
This procedure defines the mechanism for the monitoring and measurement of significant
environmental aspects associated with [Facility's Name] operations and activities, the
calibration and maintenance of monitoring equipment, and the evaluation of compliance
with relevant environmental legal and policy requirements.
2.0 Procedure
2.1 Monitoring and Measurement of Significant Aspects, Objectives and Targets, and
Operational Controls
2.2.1 The monitoring and measurement of key characteristics and environmental
performance associated with significant aspects will be specified in
environmental management programs and documented using Environmental
Measurement Indicators Log.
2.2.2 The monitoring and measurement of conformance to specified
environmental objectives and targets will be accomplished through the
internal system audit process and through the creation of Corrective Action
Requests.
2.2.3 Operational controls will be monitored and measured as indicated in
applicable environmental management programs, procedures, work
practices, or visual aids. The methods, frequencies and responsible parties
for completing the monitoring and measuring activities will be specified in
these documents, e.g., SOPs for Air and Wastewater Pollution Control
Systems, O&M Procedures for Equipment and Pollution Control Systems,
Title V Air, NPDES, and POTW Permits.
2.2 Calibration and Maintenance of Environmental Monitoring Equipment
2.2.1 Relevant areas and departments shall ensure that environmental monitoring
equipment is calibrated and maintained at a frequency consistent with
manufacturers' recommendations, or at least every year if those
recommendations are unknown. Relevant areas and departments shall
maintain calibration and maintenance records as necessary to prove
conformance with this procedure.
2.2.2 Calibration and maintenance of environmental monitoring equipment shall
be addressed in area and department preventative maintenance programs,
where applicable, or in local work practices, if desired.
2.2.3 Each applicable area and department will maintain a list of EMS equipment
requiring calibration and the corresponding calibration frequency using
Calibration Log (Tool 13-4).
2.3 Evaluation of Compliance
The evaluation of compliance with relevant environmental legal requirements shall
be accomplished through the implementation of Procedures for Environmental
Monitoring and Measurement
Module 13 — 5
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Foundry Industry— EMS Implementation Guide
Management System and Regulatory Compliance Audits. Document compliance
monitoring activities using the Compliance Tracking Log (Tool 13-3).
3.0 Frequency
Ongoing.
4.0 Records
Compliance assessment results are recorded by the Cross Functional Team (CFT) using
the compliance assessment protocol. Records are maintained by the EMS Coordinator.
Monitoring and Measurement
Module 13 — 6
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Foundry Industry— EMS Implementation Guide
Tool 13-3: Sample Form for Compliance Tracking
Person
Responsible
Requisition
Root C'iiiise
Compliance
Check Dsite
Results
C'orrecli\e
Aclion/l):ite
Compliance
\ cril'icil/l):ile
Monitoring and Measurement
Module 13 — 7
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Foundry Industry— EMS Implementation Guide
Tool 13-4: Calibration Log
1 nil iciilor
\lc;isuivnvnl Mclhoil
Li|ui|niicnl I sctl
l!i|ui|imail cliIihiiilod
(.Ink- melhoi.1
Contact Person:
Date Completed:
Monitoring and Measurement
Module 13 — 8
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Foundry Industry— EMS Implementation Guide
Examples
An illustration of how monitoring and measurement is tied to the significant aspects, objectives
and targets, and operational controls of facility's EMS is presented in Example 13-1. An
illustration of how calibration needs are tied to significant aspects, operational controls, key
characteristics of the operation, and monitoring and measurement methods is presented in
Example 13-2.
Example 13-1: Example of Links Between Aspects, Objectives and Targets,
Operational Controls, and Monitoring and Measurement
Si» n i ii I
Aspect
Objectne
Tsir«et
()per:ition;il Control
Monitoring iincl
Measurement
Air emissions
from gas-fired
smelters
C-Maintain
compliance and
S-Investigate
potential for
reduction
Ongoing
• Title V Permit
• Centrifugal
Collector O&M
• Pressure drop
monitoring log
• Compliance audit
• Regulatory
reporting
• EMS audits
Solid waste from
the sand system
S-Investigate
potential for
reduction
Complete study
by January 2005
• Solid waste
reduction EMP
• Waste reduction
tracking metric
• EMS audits
Monitoring and Measurement
Module 13 — 9
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Foundry Industry— EMS Implementation Guide
Example 13-2: Linking Monitoring Processes to Operational Controls
Operation with
Significant
Environmental Operational
Aspect Controls
Key Characteristics
of Operation
or Activity
Monitoring or
Measurement
Methods
Liquid
Waste
Storage
(significant aspect is
potential for spills)
• Generator
procedure
Storage area
procedure
New Chemical
Purchasing
(significant aspect is
waste generation)
Purchasing
Approval
procedure
Use of proper
containers
Segregation of
incompatibles
Inspections of
storage area
Inspections of
storage area
Availability of 1
spill equipment
EHS Manager ¦
approval of all
new chemical
purchases
• Inspections of 1
storage area
• Periodic review ¦
of Material
Safety Data
Sheets (MSDSs)
• Inspections of
chemical storage
lockers
Equipment
Calibration
Needs
• None
• None
• None
• None
Monitoring and Measurement
Module 13 —10
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Foundry Industry— EMS Implementation Guide
Module 14: Nonconformance and Corrective and
Preventive Action
Guidance and Tools
Section 4.5.2 of ISO 14001 states that the organization shall establish and maintain procedures
for defining responsibility and authority for handling and investigating nonconformance, taking
corrective action to mitigate any impacts caused, and for initiating and completing corrective and
preventive action.
No EMS is perfect. You will probably identify problems with your system (especially in the
early phases) through audits, measurement, or other activities. In addition, your EMS will need
to change as your organization changes and grows. To deal with system deficiencies, your
organization needs a process to ensure that:
Problems (including nonconformities) are identified and
investigated;
Root causes are identified;
Corrective and preventive actions are identified and
implemented; and
Actions are tracked and their effectiveness is verified.
EMS nonconformities and other system deficiencies (such as
legal noncompliance) should be analyzed to detect patterns or
trends. Identifying trends allows you to anticipate and prevent
future problems.
Focus on correcting and preventing problems. Preventing
problems is generally cheaper than fixing them after they occur
(or after they reoccur). Start thinking about problems as
opportunities to improve!
Determining Causes of Problems and Identifying
Corrective Actions
You will need to establish a method to determine the causes of
failing to meet a target. In some cases, the cause might not be
difficult to understand. Other times, however, the cause might
not be obvious. Make sure your actions are based on good
information and analysis of causes. While many corrective
actions may be "common sense," you need to look beneath the
surface to determine why problems occur. Many organizations use the term "root cause" in their
corrective and preventive action processes. While this term can be used to describe a very
kc\ Slcps
0
ldcuiil\ I lie problem
0
ln\ csim;itc in iclcnl11\ the
root c;iusc
0
( ome up u ilh solution
0
Implement solution
0
1 )oeumeul solution
0
('onuiiuuie;ile solution
0
1 !\ ;ilu;ite elTeeli\ eness of
solution
Win do IMS Problems Occur?
Typical causes include:
0
I'oor eonuiiiime;iliou
0
|-';iull\ or niissnm procedures
0
1 a|111piileiit 11i;iHi11ictkiil
lor l;iek of ni;iiiileii;iuee)
0
1 ;iek ol" milium
0
Lick of uudersi;un.liim
(of requirements)
0
Liilurc tii enforce rules
0
('oitccIin e ;iclious l;nl to
nddress root c;iiises of
problems
Nonconformance and Corrective and Preventive Action
Module 14 — 1
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Foundry Industry— EMS Implementation Guide
formal analysis process, it can also mean something simpler - looking past the obvious or
immediate reason for a nonconformance to determine why the nonconformance occurred.
Once you document a problem with respect to meeting targets, the company must be committed
to resolving it. Take action as quickly as possible. First, make sure assigned responsibilities for
actions and schedules are clear.
Employees in the shop may recognize the need for corrective action and provide good ideas for
solving problems. Find ways to get them involved in the improvement process. It's important to
determine whether a lapse is temporary or due to some flaw in the procedures or controls. For
this reason, communicate any findings to employees, and provide any follow-up training for
changes in the procedures that may result.
Here are some things to think about to expedite the determination of your facility's corrective
and preventive action process:
If your organization has an ISO 9001 management system, you should already have a
corrective and preventive action process for quality purposes. Use this as a model (or
integrate with it) for EMS purposes.
Some organizations find that they can combine some elements of their management review
and corrective action processes. These organizations use a portion of their management
review meetings to review nonconformities, discuss causes and trends, identify corrective
actions, and assign responsibilities.
The amount of planning and documentation needed for corrective and preventive actions will
vary with the severity of the problem and its potential environmental impacts. Don't go
overboard with bureaucracy - simple methods often work quite effectively.
Once you document a problem, the organization must be committed to resolving it in a
timely manner. Be sure that your corrective and preventive action process specifies
responsibilities and schedules for completion. Review your progress regularly and follow up
to ensure that actions taken are effective.
Rule of thumb: Corrective actions should (1) resolve the immediate problem, (2) consider
whether the same or similar problems exist elsewhere in the organization, and (3) prevent the
problem from recurring. The corrective action process also should define the responsibilities
and schedules associated with these three steps.
Initially, most EMS problems may be identified by your internal auditors. However, over the
long run, many problems and good ideas may be identified by the people doing the work.
This should be encouraged. Find ways to get employees involved in the system
improvement process (for example, via suggestion boxes, contests, or incentive programs).
Use your answers to the questions provided in Tool 14-1: Corrective and Preventive Action
Worksheet to guide your facility in establishing and implementing a corrective and preventive
action program. Tool 14-2: Sample Procedure for Corrective and Preventive Action
provides a sample procedure for conducting corrective and preventive action. Supporting Tool
Nonconformance and Corrective and Preventive Action
Module 14 — 2
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Foundry Industry— EMS Implementation Guide
14-3: Sample Corrective and Preventive Action Notice (CAPAN) can be used to document
the use of your procedure. Supporting Tool 14-4: Sample Corrective and Preventive Action
Tracking Log can be used to track corrective and preventive actions. Sample Corrective and
Preventive Action Notice (CAPAN) could also be combined with the Sample Form for EMS
Audit Findings (see Tool 16-7 in Module 16).
Nonconformance and Corrective and Preventive Action
Module 14 — 3
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Foundry Industry— EMS Implementation Guide
Tool 14-1: Corrective and Preventive Action Worksheet
Questions
Your Answers
l)n xxe liaxe an existing process lor correclixe and
prex cut i \ e act ion'*
If xes. dues that process nccil lo lie rex ised' In
xx luil xx ax
W ho needs lo he imohed in this process xxilhin
our or^ani/alion'
1 low arc nonconformities and oilier potential
sx stem deficiencies identified'' (l.isl melhods
such ;is audils. eniploxee suujjcslions. oiiijouiij
nioniloruiij. etc.)
1 loxx do xxe delei'inine the c:iuses of
nonconformities and oilier sxsleni deficiencies.'
1 loxx is this information used '
1 loxx do xxe I nick the sliilus of our correclix e and
prex enlix e actions.'
1 low is can inl'orniiition on nonconformilies and
correclixe aclions he used within the KMS (for
example, in management rex iexx meetings. in
eniploxee training sessions, in rex iexx of
procedures, elc ) '
1 loxx do xxe ensure the elTcclncness of our
correclixe and prcxcnlixe aclions '
Our next step on correctse iiiul prc\enli\e
iiction is to ...
Nonconformance and Corrective and Preventive Action
Module 14 — 4
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Foundry Industry— EMS Implementation Guide
Tool 14-2: Sample Procedure for Corrective and Preventive Action
1.0 Purpose
The purpose of this procedure is to establish and outline the process for identifying,
documenting, analyzing, and implementing preventive and corrective actions.
2.0 Scope
Preventive or corrective actions may be initiated using this procedure for any
environmental problem affecting the organization.
3.0 General
3.1 Corrective action is generally a reactive process used to address problems after they
have occurred. Corrective action is initiated using Tool 14-3: Sample Corrective
and Preventive Action Notice (CAPAN), as the primary vehicle for
communication. Corrective action may be triggered by a variety of events,
including internal audits and management reviews. Other items that might result in
a CAP AN include neighbor complaints or results of monitoring and measurement.
3.2 Preventive action is generally a proactive process intended to prevent potential
problems before they occur or become more severe. Preventive action also is
initiated using the CAP AN. Preventive action focuses on identifying negative trends
and addressing them before they become significant. Events that might trigger a
CAP AN include monitoring and measurement, trends analysis, tracking of progress
on achieving objectives and targets, response to emergencies and near misses, and
customer or neighbor complaints, among other events.
3.3 CAPANs are prepared, managed, and tracked using the preventive and corrective
action database.
3.4 The EMR (or designee) is responsible for reviewing issues affecting the EMS, the
application and maintenance of this procedure, and any updates to EMS documents
affected by the preventive and corrective actions.
3.5 The EMR is responsible for logging the CAP AN into the database, and tracking and
recording submission of solutions in the database. The requester and recipient of the
CAP AN are responsible for verifying the effectiveness of the solution. The EMR is
responsible for overall tracking and reporting on preventive and corrective actions.
3.6 Personnel receiving CAPANs are responsible for instituting the required corrective
or preventive action, reporting completion of the required action to the EMR, and
assuring sustained effectiveness.
3.7 Completed records of CAPANs are maintained in the database for at least two years
after completion of the corrective or preventive action.
4.0 Procedure
4.1 Issuing a CAP AN
4.1.1 Any employee may request a CAP AN. The employee requesting the
CAP AN is responsible for bringing the problem to the attention of the EMR.
Nonconformance and Corrective and Preventive Action
Module 14 — 5
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Foundry Industry— EMS Implementation Guide
The EMR is responsible for determining whether a CAP AN is appropriate
and enters the appropriate information into the corrective and preventive
action database. Responsibility for resolving the problem is assigned to a
specific individual ("the recipient").
4.1.2 The EMR, working with the recipient, determines an appropriate due date
for resolving the CAP AN.
4.2 Determining and Implementing Corrective and Preventive Actions
4.2.1 The CAP AN is issued to the recipient, who is responsible for investigation
and resolution of the problem. The recipient is also responsible for
communicating the corrective or preventive action taken.
4.2.2 If the recipient cannot resolve the problem by the specified due date, he / she
is responsible for determining an acceptable alternate due date with the
EMR.
4.3 Tracking CAPANs
4.3.1 Close-out of CAPAN's should be tracked by the EMR or his designee using
Tool 14-4: Sample Corrective and Preventive Action Tracking Log.
CAPANs whose resolution dates are overdue appear on the Overdue
Solutions report. The EMR is responsible for issuing this report on a weekly
basis to the Plant Manager and the recipients of any overdue CAPANs.
4.3.2 Records of CAPANs are maintained in the database for at least two years
after completion of the corrective or preventive action.
4.4 Tracking Effectiveness of Solutions
The recipient of a CAP AN, in conjunction with the requester, are responsible for
verifying the effectiveness of the solution. If the solution is deemed not effective,
the CAP AN will be reissued to the original recipient.
Nonconformance and Corrective and Preventive Action
Module 14 — 6
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Foundry Industry— EMS Implementation Guide
Tool 14-3: Sample Corrective and Preventive Action Notice (CAPAN)
Issue Date:
Solution Due Date:
Requested by:
Issued to:
Problem Statement:
Most Likely Causes:
Suggested Solutions/Preventions:
Action Taken:
Measured Results:
Corrective and Preventive Action Closed by:
Date:
Contact for Notice:
Date Completed:
Nonconformance and Corrective and Preventive Action
Module 14 — 7
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Foundry Industry— EMS Implementation Guide
Tool 14-4: Sample Corrective and Preventive Action Tracking Log
(APAN
Nil in her
Requested
|}\
Issued To
Plan Due
(l);ile)
Plan
Completed
(l)iile)
( orree(i\e
iiud
l*re\ onl i\e
Action
( ompleled
(l)iile)
r.lTee(i\ euess
Verified
(l)iile)
(APAN
dosed
(l)iile)
Nonconformance and Corrective and Preventive Action
Module 14 — 8
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Foundry Industry— EMS Implementation Guide
Module 15: Records
Guidance and Tools
Section 4.5.3 of ISO 14001 requires organizations to identify and maintain necessary
environmental records. Records provide evidence that the processes that make up your EMS are
being implemented as described. The purpose of records management is fairly simple - you
should be able to demonstrate that your organization is actually implementing the EMS as
designed. While records have value internally, over time you may need to provide evidence of
EMS implementation to external parties (such as customers, a registrar, or the public).
Records management is sometimes seen as bureaucratic, but it is difficult to imagine a system
operating consistently without accurate records.
The basics of records management are straightforward: you need to decide what records you will
keep, how you will keep them and for how long. You should also think about how you will
dispose of records once you no longer need them.
If your organization has an ISO 9001 (or other) management system, you should have a process
in place for managing records. This process could be adapted for EMS purposes.
Start by identifying what EMS records are required.
Review the procedures and work instructions you have
developed for your EMS to determine what evidence is
needed to demonstrate implementation. Also consider
records that are required by various legal requirements.
Focus on records that add value - avoid bureaucracy. If
records have no value or are not specifically required, don't
collect them. The records you choose to keep should be
accurate and complete.
You may need to generate certain forms in order to
implement your EMS. When these forms are filled out, they become records. Forms should
be simple and understandable for the users.
Establish a records retention policy and stick to it. Make sure that your policy takes into
account records retention requirements specified in applicable environmental
regulations.
If your organization uses computers extensively, consider using an electronic EMS records
management system. Maintaining records electronically can provide an excellent means for
rapid retrieval of records as well as controlling access to sensitive records.
Identify which records, if any, might require additional security. Do you need to restrict
access to certain records? Should a back-up copy of critical records be maintained at another
location?
kc\ Qui'slinns
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Records
Module 15 — 1
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Foundry Industry— EMS Implementation Guide
Types of records you might maintain include the following:
Legal, regulatory, and other code requirements;
Results of environmental aspects identification;
Reports of progress towards meeting objectives and targets;
Permits, licenses, and other approvals;
Job descriptions and performance evaluations;
Training records;
EMS audit and regulatory compliance audit reports;
Reports of identified nonconformities, corrective action;
Plans, and corrective action tracking data;
Hazardous material spill / other incident reports;
Communications with customers, suppliers, contractors, and other external parties;
Results of management reviews;
Sampling and monitoring data;
Maintenance records; and
Equipment calibration records.
Tool 15-1 is a worksheet to guide your facility in setting up an effective record-keeping system.
Tool 15-2 is a checklist of some of the key records necessary to support your EMS. There will
be other records you will need to demonstrate performance of your EMS, but those in Tool 15-2
are specific to the system operation. A Sample Procedure for Environmental Records is
proved as Tool 15-3, along with accompanying Tool 15-4, Index of Environmental Records.
Records
Module 15 — 2
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Foundry Industry— EMS Implementation Guide
Tool 15-1: Records Management Worksheet
Questions
Your Answers
1 ki\e we identified wluil records need In lv
ivuiinUimed' Where is this defined
1 ki\e we deleinuned records retention times '
Where is this defined''
1 ki\e we esuihlislied an cflcclixe stor:i}>c :tnd
retrieMil s\ stem'
Our next step on records is to ...
Records
Module 15 — 3
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Foundry Industry— EMS Implementation Guide
Tool 15-2: Sample Checklist for Records of Supporting Documentation
Facility organization chart
Facility environmental policy and standards
Staffing and organization chart for your facility
Supporting documentation for reporting and communication networks such as
meeting notices, meeting minutes, memoranda, etc.
Written environmental program performance and status reports
Facility-specific environmental policies and procedures
Records
Module 15 — 4
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Foundry Industry— EMS Implementation Guide
Tool 15-3: Sample Procedure for Environmental Records
1.0
Purpose/Scope
This procedure identifies the management of environmental records at the [Facility's
Name],
2.0
Procedure
o Records shall be maintained and retained as specified in the Index of Environmental
Records (Tool 15-4).
o Record retention will be consistent with applicable legal and other requirements.
o Each area or department manager or designee shall have access to a master list of all
EMS records relevant to their area or department, as applicable.
o Each employee responsible for maintaining a record has the responsibility for
establishing the method for filing and indexing records to ensure accessibility.
3.0
Frequency
Ongoing.
4.0
Records
Records shall be retained as specified in this procedure.
Records
Module 15 — 5
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Foundry Industry— EMS Implementation Guide
Tool 15-4: Index of Environmental Records
Document #
Record Title
Retention
(yrs)
Controlled By
Location
Records
Module 15 — 6
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Foundry Industry— EMS Implementation Guide
Examples
Example 15-1 provides a sample file organization for environmental records, while Example
15-2 is a sample EMS records management table.
Example 15-1: Sample of Environmental Records File Organization
Air Emissions Regulations
Air Emissions Fees
Air Emissions Inventories
Air Emissions Permits
Air Permit Applications
Air Permit(s): Historical
Annual Licenses & Fees
Compliance Reporting
Compliance Plans
Community Right-to-Know
EPCRA Regulations
EPCRA Reporting
Hazardous Waste Regulations
Hazardous Waste Permit/ID Number
Hazardous Waste Fees
Hazardous Waste Biennial Report
Hazardous Waste: Open Manifests
Hazardous Waste: Closed Manifests
Historical Data
Indoor Air Quality
Loss Prevention Information
Other Permits & Permit Applications
Pollution Prevention (P2) Regulations
Pollution Prevention Fees
Pollution Prevention Reporting
Recycling Information
Recycling Projects
Special Wastes
Solid Waste Permit
Solid Waste Fees
Spill Reports
Spill Response Actions
Storm Water Regulations
Storm Water Permit
VOC/HAPs Reporting
VOC Annual Analysis
Wastewater Regulations
Wastewater Fees
Wastewater Permit
Wastewater: Semi-Annual Reporting
Records
Module 15 — 7
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Foundry Industry— EMS Implementation Guide
Example 15-2: Sample EMS Records Management Table
Title: EMS RECORDS MANAGEMENT TABLE
Doc. No.: EMF-4.5.3
Revision Date: November 7, 2000
Approval by:
Print Date: Mav 5. 2004 (Uncontrolled document if printed)
Page 1 of 2
EMS Records Management Table
The following table lists records related to the Environmental Management System, in
accordance with EMP and Section 4.5.3 of ISO 14001.
Record Type
Person Responsible
Location
Tile
Method
Retention
Minimum
ADMINISTRATION
Records on costs - purchasing,
operations, and disposal
Office Manager
Admin. Office
Date order
3 years
Utility bills
Office Manager
Admin. Office
Date order
3 years
Record of annual waste
quantity received
Office Manager
Admin. Office
Date order
Life of
company
Certificates of Insurance
Office Manager
Admin. Office
Date order
Life of
company
Waste analysis sheets
Office Manager
Admin. Office
Customer
name
3 years
Waste manifests - outgoing
Office Manager
Admin. Office
Date order
3 years
ENVIRONMENTAL
Incident reports
Env. Dept.
Env. Office
Date order
3 years
Complaint reports
Env. Dept.
Env. Office
Date order
3 years
EMS communications with
external parties
Env. Dept.
Env. Office
Issue
3 years
Decision regarding external
communication of significant
environmental aspects
Env. Dept.
Env. Office
Date order
3 years
Records
Module 15 — 8
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Foundry Industry— EMS Implementation Guide
Record Type
Person Responsible
Location
Tile
Method
Retention
Minimum
Major source determination
records
Env. Dept.
Env. Office
Date order
Life of
company
Title V permit exemption
Env. Dept.
Env. Office
Date order
Life of
company
Correspondence regarding air
notices
Env. Dept.
Env. Office
Date order
5 years
Odor control system permit
Env. Dept.
Env. Office
Date order
5 years or
per permit
Air emission reports
Env. Dept.
Env. Office
Date order
5 years
Records on waste disposal sites
used
Env. Dept.
Env. Office
Site name
Life of
company
EMS monitoring inspection
reports
Env. Dept.
Env. Office
Date order
5 years
Records
Module 15 — 9
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Foundry Industry— EMS Implementation Guide
This page intentionally left blank
Records
Module 15 —10
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Foundry Industry— EMS Implementation Guide
Module 16: EMS Audits
Guidance and Tools
Once your organization has established its EMS, verifying the implementation of the system will
be critical. To identify and resolve EMS deficiencies you must actively seek them out.
In a smaller organization, periodic audits can be particularly valuable. Managers are often so
close to the work performed that they may not see problems or bad habits that have developed.
Periodic EMS audits will help determine whether all of the requirements of the EMS are being
carried out in the specified manner.
For your EMS audit program to be effective, you should:
Audil Procedures Should
Develop audit procedures and protocols;
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Determine an appropriate audit frequency;
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Select and train your auditors; and
0
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Maintain audit records.
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Results of your EMS audits should be linked to the corrective
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and preventive action process, as described earlier.
While they can be time-consuming, EMS audits are critical to EMS effectiveness. Systematic
identification and reporting of EMS deficiencies to management provides a great opportunity to:
• Maintain management focus on the environment,
Improve the EMS and its performance, and
Ensure the system's cost-effectiveness.
How Frequently Do We Need to Audit?
To determine an appropriate frequency of your EMS audits, consider the following factors:
The nature of your operations and activities,
Your significant environmental aspects / impacts (which you identified earlier),
The results of your monitoring processes, and
The results of previous audits.
It is recommended that all parts of the EMS should be audited at least annually. You can audit
the entire EMS at one time or break it down into discrete elements for more frequent audits.
EMS Audits
Module 16 — 1
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Foundry Industry— EMS Implementation Guide
Regularly revisiting your environmental aspects and objectives is an essential step in developing
an EMS that achieves the goal of continuous environmental improvements. The regular review
of aspects can be used to change the priorities already established, or to examine activities that
were set aside. The regular review can be part of a planned "phasing in" process, wherein
different parts of your company's operations are reviewed until all your company's activities are
included in your EMS. The regular review of aspects is the foundation for your company's
continuing improvement.
What Do We Need to Audit?
As part of your audits, it is critical that you regularly review your company's environmental
aspects and objectives. Over time, you will probably add to the list of environmental aspects and
you may need to re-rank the aspects as your activities change and as new information becomes
available. Here are some things to check:
New process review - have any changes introduced new environmental aspects?
Worksheets from the most recent environmental aspect identification and ranking exercises -
is there new information on chemical effects? If so, update your worksheets.
Communication received from stakeholders - do any comments suggest a need for re-ranking
your aspects?
Environmental objectives and targets - what new ones will your company set for this time
period?
Pollution prevention program - has information become available from this effort that would
add aspects or objectives?
Audit program - have your audits turned up information on where your EMS and
environmental programs could be improved? Would this information be useful in your
aspect identification process or in redesigning your objectives?
Who Will Perform the Audits?
You should select and train EMS auditors. Auditor training should be both initial and ongoing.
Commercial EMS auditor training is available, but it might be more cost-effective to link up with
businesses or other organizations in your area. Contact NADCA for assistance in this area.
Auditors should be trained in auditing techniques and management system concepts.
Familiarity with environmental regulations, facility operations, and environmental science can be
a big plus, and in some cases may be essential to adequately assess the EMS.
Some auditor training can be obtained on-the-job. Your organization's first few EMS audits can
be considered part of auditor training, but make sure that an experienced auditor leads or takes
part in those "training" audits.
EMS Audits
Module 16 — 2
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Foundry Industry— EMS Implementation Guide
Auditors should be independent of the activities being audited. This can be a challenge for
small organizations.
If your company is registered under ISO 9001, consider using your internal quality auditors as
EMS auditors. While some additional training might be needed for EMS auditing, many of the
required skills are the same.
How Should Management Use Audit Results?
Management can use EMS audit results to identify trends or patterns in EMS deficiencies.
The organization also should ensure that identified system gaps or deficiencies are corrected in a
timely fashion and that corrective actions are documented.
Linkages Among EMS Audits, Corrective Action and
Management Reviews
Management
Reviews
Periodic
EMS Audits
EMS
Established
Corrective Action
Process
Your EMS audits should focus on objective evidence of conformance. During an audit,
auditors should resist the temptation to evaluate, for example, why a procedure was not
followed - that step comes later.
During an audit, auditors should review identified deficiencies with people who work in the
relevant area(s). This will help the auditors verify that their audit findings are correct. This
also can reinforce employee awareness of EMS requirements.
If possible, train at least two people as internal auditors. This will allow your auditors to
work as a team. It also allows audits to take place when one auditor has a schedule conflict,
which is often unavoidable in a smaller organization!
Before you start an audit, be sure to communicate the audit scope, criteria, schedule, and
other pertinent information to the people in the affected area(s). This helps to avoid
confusion and facilitate the audit process.
Consider integrating your EMS and regulatory compliance audit processes, but keep in
mind that these audit processes have different purposes. While you might want to
communicate the results of EMS audits widely within your organization, the results of
compliance audits might need to be communicated in a more limited fashion.
EMS Audits
Module 16 — 3
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Foundry Industry— EMS Implementation Guide
Final thought: An EMS audit is a check on how well your system meets your established
EMS requirements. An EMS audit is not an audit of how well employees do their jobs. In
addition, audits should be judged on the quality of findings, rather than on the number of
findings.
Tool 16-1 is a worksheet that will guide your facility in establishing and implementing an EMS
audit program. Tool 16-2 provides a sample procedure for conducting internal EMS audits.
Tools 16-3,16-4,16-5,16-6, and 16-7 are sample forms that can be used to document planning,
implementation, reporting, and follow-up associated with your internal EMS audits.
EMS Audits
Module 16 — 4
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Foundry Industry— EMS Implementation Guide
Tool 16-1: EMS Auditing Worksheet
Questions
Your Answers
1 la\e we developed an KMS midit pio^i itm '
If noi. how will this he accomplished'
W ho need to he imohed in ihe audit
process'
Is ihcre iinother midil pro»r:im wiih which
our l.\IS audits could he linked (lor example,
our (,|ual 11> or heal ill sal et\ maiKHJcmenl
s\ stem audits) '
1 la\e we detenuined an apprnpnate iiudit
frequency'' W'hal is the hnsis lor the existing
lVet|uencN ' Should the lVei.|iicnc\ of audils be
modified"'
1 la\e we selected L\IS audilors1' W'hal are
the qiiiilil iciilions of our audilors '
W'hal tmining has heen conducled or is
planned for our l!\IS auditors1'
1 la\e we conducted KMS iiudits as described
in ihe and11 program1.' Where are llie resulls ol
such audils described1'
Mow are I he resulls of L\IS audils
communiciilcd lo lop management1'
1 low are ihe records of lliese audils
maintained'
Our next step on liMS auditing is to ...
EMS Audits
Module 16 — 5
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Foundry Industry— EMS Implementation Guide
Tool 16-2: Sample Procedure for EMS Audits
1.0 Purpose
To define the process for conducting periodic audits of the environmental management
system (EMS). The procedure defines the process for scheduling, conducting, and
reporting of EMS audits.
2.0 Scope
This procedure applies to all internal EMS audits conducted at the site.
The scope of EMS audits may cover all activities and processes comprising the EMS or
selected elements thereof.
3.0 General
3.1 Internal EMS audits help to ensure the proper implementation and maintenance of
the EMS by verifying that activities conform with documented procedures and that
corrective actions are undertaken and are effective.
3.2 All audits are conducted by trained auditors. Auditor training is defined by
Procedure [to be developed by the facility]. Records of auditor training are
maintained in accordance with the Sample Procedure for Environmental
Records (Tool 15-3).
3.3 When a candidate for EMS auditor is assigned to an audit team, the Lead Auditor
will prepare an evaluation of the candidate auditor's performance following the
audit.
3.4 The Environmental Management Representative (EMR) is responsible for
maintaining EMS audit records, including a list of trained auditors, auditor training
records, audit schedules and protocols, and audit reports.
3.5 EMS audits are scheduled to ensure that all EMS elements and plant functions are
audited at least once each year. Sample Audit Plan Form (Tool 16-3) shall be
used to document the facility's audit plan.
3.6 The EMR is responsible for notifying EMS auditors of any upcoming audits a
reasonable time prior to the scheduled audit date. Plant areas and functions subject
to the EMS audit will also be notified a reasonable time prior to the audit. Tool
16-4 shall be used to communicate with the facility's EMS audit team.
3.7 The Lead Auditor is responsible for ensuring that the audit, audit report and any
feedback to the plant areas or functions covered by the audit is completed per the
audit schedule. Tools 16-5 and 16-6 shall be submitted to the EMR in conjunction
with the audit report.
3.8 The EMR, in conjunction with the Lead Auditor, is responsible for ensuring that
Sample Form for EMS Audit Findings (Tool 16-7) are prepared for audit
findings, as appropriate.
EMS Audits
Module 16 — 6
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Foundry Industry— EMS Implementation Guide
4.0 Procedure
4.1 Audit Team Selection - One or more auditors comprise an audit team. When the
team consists of more than one auditor, a Lead Auditor will be designated. The
Lead Auditor is responsible for audit team orientation, coordinating the audit
process, and coordinating the preparation of the audit report.
4.2 Audit Team Orientation - The Lead Auditor will assure that the team is adequately
prepared to initiate the audit. Pertinent policies, procedures, standards, regulatory
requirements and prior audit reports are made available for review by the audit
team. Each auditor will have appropriate audit training.
4.3 Written Audit Plan - The Lead Auditor is responsible for ensuring the preparation
of a written plan for the audit. The Sample Form for Internal Assessment
Checklist (Tool 16-5) may be used as a guide for this plan.
4.4 Prior Notification - The plant areas and / or functions to be audited are to be
notified a reasonable time prior to the audit.
4.5 Conducting the Audit
4.5.1 A pre-audit conference is held with appropriate personnel to review the
scope, plan and schedule for the audit.
4.5.2 Auditors are at liberty to modify the audit scope and plan if conditions
warrant.
4.5.3 Objective evidence is examined to verify conformance to EMS
requirements, including operating procedures. All audit findings must be
documented.
4.5.4 Specific attention is given to corrective actions for audit findings from
previous audits.
4.5.5 A post-audit conference is held to present audit findings, clarify any
misunderstandings, and summarize the audit results.
4.6 Reporting Audit Results
4.6.1 The Team Leader prepares the audit report, which summarizes the audit
scope, identifies the audit team, describes sources of evidence used, and
summarizes the audit results.
4.6.2 Findings requiring corrective action are entered into the corrective action
database.
4.7 Audit Report Distribution
4.7.1 The EMR is responsible for communicating the audit results to responsible
area and / or functional management. Copies of the audit report are made
available by the EMR.
4.7.2 The EMR is responsible for ensuring availability of audit reports for
purposes of the annual management review.
EMS Audits
Module 16 — 7
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Foundry Industry— EMS Implementation Guide
4.8 Audit Follow-up
4.8.1 Management in the affected areas and / or functions is responsible for any
follow-up actions needed as a result of the audit.
4.8.2 The EMR is responsible for tracking the completion and effectiveness of
corrective actions.
4.9 Recordkeeping
Audit reports are retained for at least two years from the date of audit completion.
The EMR is responsible for maintaining such records.
EMS Audits
Module 16 — 8
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Foundry Industry— EMS Implementation Guide
Tool 16-3: Sample Audit Plan Form
Area oi' l-'unclion (o
ho Audited
I.OSUl
Auditor
Audit Tesim
Mom hers
T:ir»ot
l);tle
Spociiil Instructions
EMS Audits
Module 16 — 9
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Foundry Industry— EMS Implementation Guide
Tool 16-4: Sample Form for Communications to Audit Team
ENVIRONMENTAL MANAGEMENT SYSTEM AUDIT
Lead Auditor:
Audit Team Members:
Audit Area: Target Due Date:
Listed above is the area to be audited. The due date given is the target to have the entire audit completed, including
the report and follow-up meeting with the responsible area management. Listed below are the areas of
environmental management systems criteria that you are to assess. If you have any questions, please call me.
Special instructions, if any, are listed below. Thank you for your help. Effective audits help make an effective
environmental management system.
Policy
Environmental Aspect identification
Environmental Management Program
Training, Awareness, Competence
EMS Documentation
Operational Controls
Monitoring and Measurement
Records
Management Review
Special Instructions:
Legal and Other Requirements
Objectives and Targets
Structure and Responsibility
Communication
Document Control
Emergency Preparedness
Nonconformance / Corrective Action
Management System Audits
EMR (signature)
EMS Audits
Module 16 —10
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Foundry Industry— EMS Implementation Guide
Tool 16-5: Sample Form for Internal Assessment Checklist
Internal Assessment Team:
Date of Internal Assessment:
Signed:
EMS Procedures
Check each item assessed (includes auditing of records, where applicable):
Environmental policy (adherence to policy commitments)
Environmental objectives (progress; implementation of action plans)
EMS responsibilities
Identification of Environmental Aspects
Identification of Legal Requirements
Identification of Significant Environmental Aspects
Development of Objectives, Targets, and Action Plans
Conducting an Alternatives Evaluation
Development of Operational Controls
Environmental Training (Awareness and Task-Specific)
Emergency Preparedness
Review of New Products and Processes
Documentation
Conducting a Compliance Assessment
Conducting an Internal Assessment
Taking Corrective Action
Management Review
EMS Performance
Achieved objective #1
Achieved objective #2
Achieved objective #3
Contact Person: Date Completed:
EMS Audits
Module 16 —11
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Foundry Industry— EMS Implementation Guide
Tool 16-6: Sample EMS Audit Summary Form
EMS A UDIT SUMMARY SHEET
Organization Audited:
Lead Auditor: Date:
ELEMENT NUMBER AND DESCRIPTION
AUDIT RESULTS
No. of Majors / No. of
Minors
A, N, or
X*
4.2
Environmental Policy
4.3
Planning
4.3.1
Environmental Aspects
4.3.2
Legal and Other Requirements
4.3.3
Objectives and Targets
4.3.4
Environmental Management Program(s)
4.4
Implementation and Operation
4.4.1
Structure and Responsibility
4.4.2
Training, Awareness, and Competence
4.4.3
Communication
4.4.4
EMS Documentation
4.4.5
Document Control
4.4.6
Operational Control
4.4.7
Emergency Preparedness and Response
4.5
Checking and
Corrective Action
4.5.1
Monitoring and Measurement
4.5.2
Corrective and Preventive Action
4.5.3
Records
4.5.4
EMS Audit
4.6
Management Review
TOTAL
Legend:
A = Acceptable: Interviews and other objective
evidence indicate that the EMS meets all the
requirements of that section of the standard.
N = Not Acceptable: The auditor has made
the judgment that, based on the number and
type of nonconformances, the requirements
of that section of the EMS are not being
met.
X = Not Audited
EMS Audits
Module 16 —12
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Foundry Industry— EMS Implementation Guide
Tool 16-7: Sample Form for EMS Audit Findings
EMS A UDIT FINDINGS FORM
Type of Finding (circle one):
Nonconformance: Major Minor Positive Practice Recommendation
Description (include where in the organization the finding was identified):
EMS 14001 (or other EMS criteria)
Reference:
Date:
Finding Number:
Auditor:
Auditee's Rep.
Corrective Action Plan (including time frames):
Preventive Action Taken:
Individual Responsible for Completion of the
Corrective Action:
Date Corrective Action Completed:
Corrective Action Verified By:
Date:
EMS Audits
Module 16 —13
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Foundry Industry— EMS Implementation Guide
Examples
Examples 16-1 and 16-2 are sample questionnaires/checklists that you can customize for use in
guiding the work of your internal EMS audit team.
Example 16-1: Sample Questionnaire for EMS Audits
Principle 1: Management Commitment
1-1 Has your parent company issued a formal, written statement of environmental policy? When?
How was your facility or operation made aware of this policy?
1 -2 Has senior management issued a facility-specific, formal, written statement of environmental
policy? When? How were facility personnel made aware of this policy? Do new personnel
receive a copy of the policy? How?
1 -3 What procedures arc in place for regular review of and updates to the policy?
1-4 Has your facility established short- and long-term environmental goals? Please describe the
key objectives and targets.
1 -5 How and by whom arc these goals developed? Did representatives of a variety of functions
and levels within the facility work together to develop environmental objectives and targets?
1 -6 What is the basis for your environmental goals? Are thev based on compliance with legal
requirements? Parent company directives? Environmental impacts of the facility's mission?
Pollution prevention? Public perception? Employee initiatives?
EMS Audits
Module 16 —14
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 1: Management Commitment (Continued)
1 -7 What arc vour most recent environmental initiatives?
1-8 What is the approval process for new environmental initiatives at vour facility?
1 -9 How arc funds allocated for new environmental initiatives? For the environmental program?
Who is ultimately responsible for these funding decisions?
1-10 Is staffing for the environmental program appropriate to program requirements and facility
environmental goals? What mechanisms exist to adjust staffing level or staff capabilities?
1-11 Arc managers familiar with facility and operation-specific environmental policies, regulations,
and pollution prevention opportunities? Do managers participate in process reviews,
assessments, environmental committees, or other activities to improve environmental
performance?
1-12 How is this facility perceived by local environmental groups and the surrounding community?
Arc there any specific issues, i.e., noise, water quality, that arc of particular concern?
EMS Audits
Module 16 —15
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 2: Compliance Assurance and Pollution Prevention
2-1 How and how often docs the facility's environmental staff communicate with federal, state, and
local regulatory agencies? Historically, how would you characterize the facility's relationship
with these agencies?
2-2 Has the facility taken advantage of any EPA Technical Assistance programs? Other
environmental technical assistance programs?
2-3 How docs facility staff track and interpret new federal, state or local regulations, policies and
programs, or changes to existing regulations, policies, and programs?
2-4 How arc programs and procedures updated to reflect these changes?
2-5 How docs facility staff maintain environmental documentation and records, e.g.. manifests.
TRI data? Who is responsible for reporting to federal or state agencies? Parent company?
2-6 Docs the facility have an Emergency Response Plan? Spill Plan? What arc the established
procedures for an environmental emergency?
EMS Audits
Module 16 —16
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 2: Compliance Assurance and Pollution Prevention (Continued)
2-7 Has the facility performed a pollution prevention assessment?
2-8 Docs the facility have a pollution prevention plan that addresses all environmental impacts and
compliance programs?
2-9 Does the facility have a formal plan to reduce or eliminate the purchase and use of hazardous
materials and ozone depleting chemicals? Docs the facility have a hazardous materials
pharmacy or similar program?
2-10 Docs the facility have an affirmative procurement program?
EMS Audits
Module 16 —17
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 3: Enabling Systems
3-1 Docs the facility have a formal, facility-wide environmental training program?
3-2 How arc training requirements determined?
3-3 How arc training records maintained?
3-4 What is the annual budget for environmental training?
3-5 Is funding available for staff development training opportunities?
3-6 What guidance is provided to staff concerning compliance with new or updated environmental
regulations or policies?
EMS Audits
Module 16 —18
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 3: Enabling Systems (Continued)
3-7 How do managers communicate environmental performance issues or goals to staff?
3-8 What other mechanisms are used to increase staff environmental awareness'.' New sletters'.'
Seminars'?
3-9 Is there a formal outreach effort to communicate the facility's environmental activities and
programs to the community'?
3-10 How docs the facilitv evaluate the effectiveness of outreach efforts'?
EMS Audits
Module 16 —19
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 4: Performance and Accountability
4-1 What arc the routine reporting relationships between the environmental management program and
upper level management?
4-2 How docs the environmental staff communicate with upper management about environmental
performance and the status of specific environmental initiatives?
4-3 How docs the environmental program communicate with managers and staff about
environmental performance and the status of environmental initiatives?
4-4 How do employees provide input to environmental decisions?
4-5 Arc environmental duties included in staff job descriptions and performance standards?
4-6 How is excellence in environmental performance recognized and rewarded?
4-7 How do managers review and respond to poor environmental performance?
EMS Audits
Module 16 — 20
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 5: Measurement and Improvement
5-1 What mechanisms arc used to track and measure facility environmental performance? How
often is such measurement performed?
5-2 Does the facility have a self audit or self monitoring program in place?
5-3 Docs facility environmental staff conduct routine facility inspections? Tests of pollution
control and monitoring equipment?
5-4 What arc the current procedures for reporting an environmental problem? How docs facility
environmental staff track corrective action?
Does the parent company review facility environmental performance? How often arc such
reviews conducted?
5-6 Arc written protocols or guidance documents used to conduct environmental performance
reviews? Arc summary reports available?
EMS Audits
Module 16 — 21
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Foundry Industry— EMS Implementation Guide
Example 16-1: Sample Questionnaire for EMS Audits (Continued)
Principle 5: Measurement and Improvement (Continued)
5-7 Docs this facility participate in any cooperative environmental programs with state, local or
private organizations?
5-8 Docs this facility participate in any federal voluntary initiatives such as ENKRGYStaR or
Performance Track?
5-9 What new environmental initiatives arc planned for the facility?
EMS Audits
Module 16 — 22
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Foundry Industry— EMS Implementation Guide
Example 16-2: Sample Checklist for Top Management EMS Audits
Function: TOP MANAGEMENT
1. Environmental Policy
Top Management
Objective Evidence
a. Describe your role in the development of the
environmental policy.
b. How do you know that your policy is appropriate for
your activities, products, and services?
c. What is management's role in the review and revision of
the policy?
d. How does management ensure continued adherence to
the policy throughout the company?
e. How does the policy help guide organizational decisions?
f. How are employees made aware of the environmental
policy?
g. How is the policy made available to the public?
[Auditor Note: Is there evidence that the policy was issued bv
top management? (e.g., Is the policy signed? By whom? At
what level in the organization are they?)]
Notes:
2. Objectives and Targets
Top Management
Objective Evidence
a. What are the environmental objectives and targets for
your organization? What is your role in approving them?
What are the relevant functions and levels within your
organization that support the attainment of each of the
objectives and targets?
b. How are the environmental objectives linked to other
organizational goals (and vice versa)?
c. Are the objectives/targets consistent with the goals of the
environmental policy for prevention of pollution and
continual improvement?
d. How were the objectives and targets developed by or
communicated to management?
e. How does management keep up with progress in meeting
their objectives and targets throughout the year?
f. How often are you informed of the status of the
objectives and targets?
g. On what basis are the objectives and targets reviewed
and modified?
Notes:
EMS Audits
Module 16 — 23
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Foundry Industry— EMS Implementation Guide
Example 16-2: Sample Checklist for Top Management EMS Audits (Cont.)
3. Structure and Responsibility
Top Management
Objective Evidence
a. At what level within the organization is the designated
EMR placed?
Auditor Note: Is the EMR at a level within the organization
to effectively implement an EMS for his/her organization?]
b. What authority does the EMR have to carry out his/her
responsibilities?
c. How does the organization assess its resource needs for
environmental management? How are these factored
into operating and strategic plans (and vice-versa)?
d. What resources (financial, technical personnel) has
management provided to develop or maintain the EMS?
e. How are you informed on the performance of the EMS?
Do you receive routine reports?
f. Are responsibilities for the environmental management
of the organization documented? If so, where?
Is an integrated structure in place in which accountability
and responsibility are defined, understood, and carried
out?
g. How are these responsibilities communicated to all
employees (including managers)?
Notes:
4. Communication
Top Management
Objective Evidence
a. How are you informed of the environmental issues
within your organization? How often does this take
place? Does this include compliance issues?
b. How are you kept up to date with progress in meeting
your organization's environmental objectives and
targets?
How is this information passed on to your managers?
c. How do you communicate with the organization on
environmental issues?
How is this done? How frequently?
d. How does the organization handle inquiries from
interested parties (e.g., the public, regulators, other
organizations) on environmental matters?
Who has responsibility for responding to such
inquiries?
EMS Audits
Module 16 — 24
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Foundry Industry— EMS Implementation Guide
Example 16-2: Sample Checklist for Top Management EMS Audits (Cont.)
5. Management Review
Top Management
Objective Evidence
a. Describe the organization's management review
process.
b. How often are management reviews performed? How
was this frequency determined?
c. Who is involved in the management review process?
What are their roles in this process?
d. What changes have been made to the EMS as a result of
the last review?
Notes:
EMS Audits
Module 16 — 25
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Foundry Industry— EMS Implementation Guide
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EMS Audits
Module 16 — 26
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Foundry Industry— EMS Implementation Guide
Module 17: Management Review
Guidance and Tools
Management reviews are one key to continual improvement and for ensuring that the EMS will
continue to meet your organization's needs over time.
The goal of the review allows management to bring about overall improvements. The scope and
frequency of the review should depend upon the size and complexity of the organization and the
complexity and amount of activity of your EMS.
To maintain continual improvement, suitability, and effectiveness of your environmental
management system, and thereby its performance, your organization's senior management
should review and evaluate the environmental management system at defined intervals, such as
quarterly. The scope of the review should be comprehensive, though not all elements of an
environmental management system need to be reviewed at once, and the review process may
take place over a period of time. Review of the policy, objectives, and procedures should be
carried out by the level of management that define them. Following is a checklist of some of the
things that should be included in the management review:
Results from assessment;
The extent to which objectives and targets have been met;
The continuing suitability of the environmental management system in relation to changing
conditions and information; and
Concerns among relevant interested parties.
Questions for management to consider include:
Is our environmental policy still relevant to what we do?
Performance toward objectives, targets and EMPs (charts, tales and graphs are encouraged to
show results)
Can we set new measurable performance objectives?
What are the results of our internal audits?
What is the status of corrective and preventive actions?
Are roles and responsibilities clear and do they make sense?
Are we applying resources appropriately?
Are we meeting our regulatory obligations?
Management Review
Module 17 — 1
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Foundry Industry— EMS Implementation Guide
Do changes in laws or regulations require us to change some of our approaches?
Are the procedures clear and adequate? Do we need others? Should we eliminate some?
What effects have changes in materials, products, or services had on our EMS and its
effectiveness?
What stakeholder concerns have been raised since our last review?
Create a continual improvement plan and check progress. Document observations, conclusions,
and recommendations for necessary action. Assign action items for follow-up, and schedule the
next regular review.
Management reviews also offer a great opportunity to keep your EMS efficient and cost-
effective. For example, some organizations have found that certain procedures and processes
initially put in place were not needed to achieve their environmental objectives or to control key
processes. If EMS procedures and other activities don't add value, eliminate them.
The key question that a management review seeks to answer:
"Is the system working?" (i.e., is it suitable, adequate, and effective, given our needs?)
Hints
Two kinds of people should be involved in the management review process:
o People who have the right information / knowledge; and
o People who can make decisions about the organization and its resources (top
management).
Determine management review frequency that will work best for your organization. Some
organizations combine these reviews with other meetings (such as director meetings). Other
organizations hold "stand-alone" reviews. At a minimum, consider conducting management
reviews at least once per year.
During management review meetings, make sure that someone records what issues were
discussed, what decisions were arrived at, and what action items were selected. Results of
management reviews should be documented.
Management reviews should assess how changing circumstances might influence the
suitability, effectiveness, or adequacy of your EMS. Changing circumstances might be
internal to your organization (such as new facilities, new raw materials, changes in products
or services, new customers, etc.) or might be external factors (such as new laws, new
scientific information or changes in adjacent land use).
After documenting the action items arising from your management review, be sure that
someone follows up. Progress on action items should be tracked to completion.
Management Review
Module 17 — 2
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Foundry Industry— EMS Implementation Guide
As you assess potential changes to your EMS, consider other organizational plans and
goals. In this way, environmental decision-making can be integrated into your overall
management and strategy.
Tool 17-1 is a questionnaire to guide your facility in establishing and maintaining an EMS
management review element. If you desire to make a documented procedure for management
review of your facility's EMS, then Tool 17-2 is a sample procedure you could adapt. Tool 17-3
can be used to record implementation of your procedure.
Management Review
Module 17 — 3
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Foundry Industry— EMS Implementation Guide
Tool 17-1: Management Review Worksheet
Questions
Your Answers
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rex lexxs ' Who is responsible lor presenting
llns inlormalion''
1 loxx do xxe ensure that cli;in<>in<>
circiimsliinces (both internal and external lo
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process'
1 low do xxe ensure that the recommendiilions
of management rex lexxs are I nicked ;ind sicled
upon'
Our next step on management review is to ...
Management Review
Module 17 — 4
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Foundry Industry— EMS Implementation Guide
Tool 17-2: Sample Procedure for Management Review
1.0 Purpose
To ensure the effectiveness of the EMS and its continual improvement, [Your Facility's
Name] top management periodically reviews the important elements and outcomes of the
EMS.
2.0 General
The management review process is intended to provide a forum for discussion and
improvement of the EMS and to provide management with a vehicle for making any
changes to the EMS necessary to achieve the organization's goals.
3.0 Procedure
3.1 In preparation for the management review, the environmental management
representative (EMR) gathers the following information and makes it available to
top plant management, including the owner and President of [your corporation]
and the plant manager:
• Environmental policy
• List of the Cross Functional Team (CFT) members and others responsible for
major parts of the EMS
• List of significant environmental aspects and criteria of significance
• Update on compliance status of the plant and on any potential upcoming
regulations that might require an advance strategy
• List of environmental objectives and targets
• Environmental performance results (from monitoring and measuring
significant environmental aspect indicators and indicators of progress toward
environmental objectives and targets)
• Bullet-point descriptions of other accomplishments of the EMS (e.g., number
of people trained)
• Results of most recent EMS internal assessment, compliance assessment and
corrective actions taken
• Description and documentation of feedback from stakeholders (if received)
• Analysis of the costs and benefits of the EMS (as quantitative as possible)
3.2 Top plant management meets to review and discuss the information presented. The
EMR and EMS Coordinator will also be present. Depending on its review, top
management may direct specific and/or significant changes in the scale and
direction of the EMS in order to improve its effectiveness and business value. The
conclusions and directives that result from the management review are recorded and
kept by the EMS Coordinator.
Management Review
Module 17 — 5
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Foundry Industry— EMS Implementation Guide
4.0 Frequency
Quarterly.
5.0 Records
Results of management reviews are recorded using Sample Management Review
Record (Tool 17-3). Records are kept by the EMS Coordinator.
Management Review
Module 17 — 6
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Foundry Industry— EMS Implementation Guide
Tool 17-3: Sample Management Review Record
Date of review meeting
Persons present at meeting
Name
Position
Conclusions
Actions to be taken
Person(s) responsible
Signed:
Environmental Management Plant Manager
Representative
Management Review
Module 17 — 7
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Foundry Industry— EMS Implementation Guide
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Management Review
Module 17 — 8
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