EMS In Depth: Aspects/Impacts, Objectives/Targets ... · Leadership Planning ... Don’t worry about collecting data. Significant Aspects and Impacts Different Ways of Determining

EMS In Depth: Aspects/Impacts, Objectives/Targets, & Internal Audits

Workshop

Iowa Department of Natural Resources Johnston, Iowa August 1, 2018

Presented by: Cory Sander PSARA Technologies, Inc.

Visit us at www.psara.com

Welcome

Facilitator Introduction

Fundamentals

Workshop Content and Materials

Introductions of Attendees

What is your name?

Where do you work?

What is your title and job responsibilities?

What experience do you have with EMS?

What do you hope to gain from this workshop?

EMS Refresher

What IS an EMS?

Environmental Management System

Similar to any other management system

Method for carefully and deliberately controlling

performance (i.e., processes, procedures, and programs)

Integrated within an organization

Used to ensure an organization can fulfill tasks and achieve

goals

Continual improvement

EMS Refresher

What IS NOT an EMS?

Disorganized approach to managing performance

Informal and undocumented

Detached environmental responsibilities

Entirely focused on compliance

Flawless

EMS Refresher

What are Some Benefits of an EMS?

Reduced influences on the environment

Improved environmental compliance

Enhanced public image

Cost savings

Reduced risks

Improved employee satisfaction

EMS Refresher

What are the Key Elements of an EMS?

Context of the organization

Leadership

Planning

Environmental aspects (and impacts)

Environmental objectives (and targets) and

planning

Support

Operation

Performance evaluation

Internal audit

Improvement

Environmental Aspects

(and Impacts)

Environmental Aspects and Impacts

What are Environmental Aspects and Impacts?

ISO 14001:2015 definitions

An aspect is an “element of an organization’s activities

or products or services that interacts or can interact

with the environment”

An impact is “any change to the environment, whether

adverse or beneficial, wholly or partially resulting from

an organization’s environmental aspects”




An aspect is an “

pduhwhh

”

An impact is “yhh,whh

db,whypyu

p”



Layman’s terms

An aspect is a cause (reason)

An impact is an effect (result) on the environment

“Because of ____X______, ____Y______ happened”

(Aspect) (Impact)

“Because of the oil spill, the soil has become

contaminated”

“Because of the air emissions, the atmosphere has

become polluted”


What aspects (causes) and impacts (effects) do you see here?


What aspects (causes) and impacts (effects) do you see here?


What are the Requirements for Aspects and Impacts?

1. Identify

2. Prioritize (significant aspects and impacts)

3. Include

4. Communicate

5. Maintain

Continual Improvement


Methods for Identifying Aspects and Impacts

An organization’s aspects (causes) originate from its

activities, products, and services

“Grouping” methodology

“Surveying” methodology

“Mass balancing” methodology

“Back-calculating” methodology

“Potpourri” methodology




Focuses on one category at a time

Starts with activities, moves to products, and finishes

with services







Typically focuses on areas

Starts at one end of the facility / site (property) and

finishes at the other end










Typically macroscopic

Starts with inputs and finishes with outputs


People

Equipment

Chemicals

Water

Electricity

Solid Waste

Fumes

Widgets

Wastewater

Heat

Radiation








“Back-calculate” methodology

Focuses on impacts

Evaluates each



“Back-calculate” methodology




Typically combines two methods

“Grouping” and “Surveying” combo is popular

Starts at one end of the facility / site (property)

Focuses on one area at a time

Lists out all activities, products, and services

Moves to the next area and repeats

Finishes at the other end of the facility / site

(property)






The plain truth

No “magic bullet”

Best method depends on organization

Pros and Cons for each method



Helpful hints

Use consistent terminology and lists / selections

Environment

Impacts

Aspects

Use Excel (or some other software)

Copy and Paste

“Pick From Drop-down List”

Data Validation

Filters



Helpful hints

Use what is already available / common within your

organization

Maps / diagrams

Flowcharts

Quality / safety / ergonomic analyses

Budgets



Helpful hints

Brainstorm with a group

Variety of people / experiences

Don’t get too many “cooks in the kitchen”

Avoid ISO definitions

Don’t overthink / over-analyze



Helpful hints

Reference other organizations similar in size / scope

Don’t discriminate

Environmental policy

Abnormal and emergency situations

Maintenance, contractors, suppliers, visitors

Planned / new APS

Adverse / beneficial impacts



Helpful hints

Maintain on an annual basis

Keep it simple!!!

Focus on what your organization can control /

influence

Generalize

Do a draft then finalize

Don’t forget the life cycle perspective


Significant Aspects and Impacts

Air

Emissions

Paper

Recycling

Hazardous

Waste

Disposal

Gasoline

Usage

Electricity

Usage

Chemical

Spills

Oil Spills

Water

Usage

Electronic

Waste

Disposal

Organization

As with any organization, everything is not managed equally. Some things are more important than others


Air

Emissions

Paper

Recycling

Hazardous

Waste

Disposal

Gasoline

Usage

Electricity

Usage Chemical

Spills

Oil Spills

Water

Usage

Electronic

Waste

Disposal

Environmental

Management System

Organization

Those things that are more important are addressed as a priority by the EMS


Identify

2. Prioritize

Activities / Products / Services

Environmental Aspects (Causes)

Environmental Impacts (Effects)

Oil Management Oil Spills Degradation of Water Quality

General Office Support Electricity Usage Depletion of Natural Resources

Equipment Operation Air Emissions Degradation of Air Quality

Equipment Operation Gasoline Usage Depletion of Natural Resources


Out of all the houses available in your area, how do you decide which ones to go see?

The process of buying a home is a good example of prioritizing


Different Ways of Determining Significance

Align with environmental policy. Include criteria and provide

consistent results

“All-in” methodology

“Comparative” methodology

“Scoring” methodology



“All-in” methodology

All aspects and impacts are significant

Criteria -> everything

Definitely provides consistent results




Compares each aspect and impact relative to something

Criteria -> another organization, industry, geographic

location, etc.







Focuses on a few characteristics

Values each characteristic

Calculates total value based on a formula

Very common method






The plain truth

No “magic bullet”

Best method depends on organization

Pros and Cons for each method



Helpful hints

Be consistent

Use Excel (or some other software)

Use what is already available / common within your

organization

Don’t worry about collecting data



Helpful hints




Avoid ISO / technical definitions


Document “rules” for consistency

Reference other organizations similar in size / scope



Helpful hints

Avoid criteria with overlap

Include a “trump card”, if necessary

Maintain on an annual basis



Helpful hints

Keep it simple!!!

Use easy “rules”

Do a draft then finalize

Conduct a reality check

Communicate



Examples &

Discussion

Environmental Objectives

(and Targets)

Environmental Objectives & Targets

What are Environmental Objectives & Targets?


An objective is a “result to be achieved set by the

organization consistent with its environmental policy”

A target is…



Layman’s terms

An objective is the overall environmental change your

organization wants to achieve

A target is the measurable outcome of the change





Objective



Monday

Thursday

Target



Objective -> “The Big Picture” -> “30,000 Foot View”



Target -> Zoomed-In View -> Site/Facility Level


Developing, Implementing, and Maintaining

Requirements

Consistent with the environmental policy

Measurable (if practical)

Monitored

Communicated

Updated as appropriate

Determine how they will be done, what resources are

needed, who will be responsible, when will they be

completed…

At relevant functions and levels

Take into account significant aspects and obligations

Consider risks and opportunities



Typical Practices

Developing

Initiated by “core” EMS team / senior management

Use significant aspects & impacts list

Identify ways to reduce / increase environmental

impacts with focus on continual improvement

Outside conversations and data gathering

Draft, review, modify, and finalize

Iterative and lengthy process



Typical Practices

Implementing

Approval

Managed by the “core” EMS team

Responsibilities assigned

Departments / groups / outside organizations

Team building

Communicated within the organization and to

appropriate stakeholders



Typical Practices

Maintaining

Coordinated by the “core” EMS team

Routine reviews of progress

Communication

Adjustments, as needed


Examples of Strong & Weak Os & Ts

Characteristics of Strong Os & Ts

Objectives

Directly linked to significant aspects & impacts

“Big picture”

Focused on desired environmental change

Brief, clear, concise



Characteristics of Strong Os & Ts

Targets

Directly linked to objectives

Measurable

Include baselines



Characteristics of Weak Os & Ts

Objectives

Not linked to significant aspects & impacts

Detailed / wordy

Task-related

No direct environmental connection



Characteristics of Weak Os & Ts

Targets

Not linked to objectives

Task-related

Not measurable

No baselines










Helpful Hints

Relearn / Rethink

Coincide with other planning processes (e.g., budgeting)

Correlate to Environmental Policy and Significant Aspects &

Impacts

Start with existing / planned organizational goals

Talk with other groups / departments within your

organization

Talk with pollution prevention services

Talk with other companies

Search the web


Helpful Hints





Identify multiple potential Os & Ts for Significant Aspects &

Impacts


Helpful Hints

Be practical

Don’t overcomplicate them

Do drafts then finalize

Get approval

Review and update on a monthly basis

Communicate

Adjust, as needed, for good reasons and document why


Environmental Objectives (and Targets)

Examples &

Discussion

Internal Audits

EMS Internal Audits

What is an Internal Audit?

ISO 14001:2015 definition

An audit is a “systematic, independent and documented

process for obtaining audit evidence and evaluating it

objectively to determine the extent to which the audit

criteria are fulfilled”

An internal audit is conducted by the organization

itself, or by an external party on its behalf


Layman’s terms

An internal audit is a checkup of your organization’s

EMS on routine, planned intervals according to an

established process

EMS Internal Audits


EMS Internal Audits


What are we checking?

Conformity to the organization’s own requirements and

the requirements of the ISO standard

Implementation and maintenance

EMS Internal Audits


What are the core components of an internal audit?

Preparation

Scope, frequency, and schedule

Internal auditors

Plan and checklists

Execution

Opening meeting

Interviews, document / record reviews & field

observations

Closing meeting

Audit report and follow-up

EMS Internal Audits

EMS Internal Audits

Preparation


Scope

What’s fair game?

What’s in and what’s out?

Variations?

Why?

EMS Internal Audits

Preparation


Frequency

How often?

Why?

EMS Internal Audits

Preparation


Schedule

What day(s)?

Time(s)?

Shift(s)?

Requirement(s)?

Who?

Where?

Why?

EMS Internal Audits

Preparation

Internal auditors

Finding internal auditors

Difficult

New staff

Consultants

Partnerships

EMS Internal Audits

Preparation

Internal auditors

Desired characteristics of internal auditors

Neutral and fair

Inquisitive

Unafraid

Tactful

Conversationalist

Some environmental knowledge or interest

EMS Internal Audits

Preparation

Plan and checklists

Plan

Tool to coordinate the process

Documents the scope and schedule

Concept / elements are fairly standard between

organizations

Layout varies much more

Typically developed and communicated at least 1

month prior to start of audit

Can include areas and special instructions

EMS Internal Audits

Preparation

Plan and checklists

Checklists

Tool to assist auditors

Includes “canned” questions for each requirement

Concept / elements are fairly standard between

organizations

Layout varies much more

Typically allows for documenting notes and

preliminary results

Can include special instructions

EMS Internal Audits

Examples of Good & Weak Preparation

Good preparation

Inclusive

Timely

Detailed, clear, concise

Documented

Communicated

Creative

Mentally rehearsed

Questioned

EMS Internal Audits


Weak preparation

Exclusive

Last minute

Vague

Verbal

Private

Unimaginative

Unrehearsed

Uncontested

EMS Internal Audits


EMS Internal Audits


EMS Internal Audits


EMS Internal Audits

Helpful Hints

Consider the organization

Consider other schedules / commitments

Consider previous audit(s)!!

Start with previous preparations

Rethink

Talk with others





EMS Internal Audits

Helpful Hints

Do drafts then finalize

Get approval

Communicate

Adjust for good reasons, as needed, and document why


Environmental Internal Audits - Preparation

Examples &

Discussion

Execution

Opening meetings

Introductions

Review of plan and needed changes

Logistics and fundamentals

Discuss process and expected results

Open discussion

EMS Internal Audits

Execution

Interviews, document / record reviews & field observations

Document objective evidence

Observations

Conversations

Review of documents and records

Follow audit plan

Communicate

EMS Internal Audits

Execution

Closing meetings

Disclose preliminary findings

Discuss next steps

Open discussion

EMS Internal Audits

Execution

Audit reports and follow-up

Document final results of audit

What about undetermined findings?

Findings are investigated

Actions for findings are assigned

Actions are implemented

Findings & actions are checked

Findings & actions are closed

EMS Internal Audits

Examples of Good & Weak Execution

Good execution

Punctual

Professional

Focused

Understanding

Creative

Confident

Honest

Open-minded

Non-judgmental

EMS Internal Audits


Weak execution

Late

Disorderly

Private

Pushover

Obsessive

Undocumented

Know-it-all

Critical

EMS Internal Audits

Execution

EMS Internal Audits

Execution

EMS Internal Audits

Execution

EMS Internal Audits


EMS Internal Audits


EMS Internal Audits

Helpful Hints

Opening meetings

Be friendly and patient

Introduce everyone

Document why changes to plan are needed, if any

Get names and contact information of key people

Talk safety

Include disclaimers

Discuss how possible findings will be managed during

onsite visit

Use a sign-in sheet

EMS Internal Audits

Helpful Hints

Interviews, document / record reviews & field observations


Use checklists if necessary or needed

Explain “what’s going on” to interviewees

Consider using simple terminology / layman’s terms

Ask hypotheticals

Stay away from “Yes / No” questions

Follow “audit trails”

Rethink

Listen

Communicate

EMS Internal Audits

Helpful Hints

Closing meetings


Give compliments

Discuss changes to plan

Agree to disagree, if necessary. Explain auditor

obligations

Include disclaimers

Get names and contact information of key people

Use a sign-in sheet

EMS Internal Audits

Helpful Hints

Audit reports and follow-up

Complete ASAP

Include actual and potential nonconformities

Be practical

Don’t overcomplicate

Use organizational-standards for level of detail

Use tabular format

Draft, submit for comments, finalize

Organizations are best equipped to determine root

cause(s) and corrective actions and preventive actions

Corrective actions ≠ preventive actions

Involve auditors in closures

EMS Internal Audits

Helpful Hints

EMS Internal Audits

Continual Improvement

Environmental Internal Audits - Execution

Examples &

Discussion

Open Discussion / Facilitator Q&A / Additional Networking

Questions??

ISO 14001 Revision

Evaluations

Thank you for attending

Contact PSARA anytime

Cory Sander @ 614-917-3074

[email protected]

Stay around for additional questions or comments and

networking

Hope to see you or talk to you again soon