checking & corrective action epa regions 9 & 10 and the federal network for sustainability
TRANSCRIPT
Checking & Corrective Action
EPA Regions 9 & 10
and
The Federal Network for Sustainability
2
ISO 14001 Components
PolicyPolicy
PlanningPlanning
Implementation and OperationImplementation and Operation
Checking and Corrective ActionChecking and Corrective Action
Management ReviewManagement Review
3
ISO 14001 Elements
Checking and Corrective Action involves:
• Monitoring and measurement
• Nonconformance and corrective and preventive action
• Records
• EMS Audits
Monitoring and Measurement
EPA Regions 9 & 10
and
The Federal Network for Sustainability
5
Requirements
• Document procedures to routinely monitor and measure activities with significant impacts
• Record progress on objectives & targets
• Calibrate equipment
• Evaluate compliance
• Keep records
6
Actions to Support Measurement
• Identify performance indicators
• Establish schedules for monitoring
• Establish record-keeping requirements
• Document measurement procedures
• Communicate to appropriate staff and
managers
Nonconformance and Corrective and Preventive
Action
EPA Regions 9 & 10
and
The Federal Network for Sustainability
8
Requirements
Establish procedures for detecting reporting investigating correcting preventing
Non-conformance with the EMS
9
Actions• Identify cause of nonconformance
• Determine appropriate response
• Ensure actions are appropriate to the size of the problem
• Identify personnel responsible for corrective action and their authorities
• Implement corrective action
10
Actions continued
• Investigate root cause to identifypotential preventive action
• Implement or modify controls to prevent repetition of the nonconformance
• Track progress on correction/prevention
• Document changes in written procedures
• Record the changes made
Records
EPA Regions 9 & 10
and
The Federal Network for Sustainability
12
Requirements
• Identify records associated with environmental issues
• Establish and maintain procedures for their identification, maintenance and disposal
13
Documents vs. Records
Documents– Offer guidance or
explain actions to be carried out
– Can be changed
Records– Provide verification
of things that have happened
– Cannot be changed
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• Documents are materials that provide management directions:– environmental policy
– internal standards and operating procedures
– EMS procedures
– organization charts
– emergency plans
• Records include– training records
– incident reports
– product information
– complaints and responses
– audit results
– management review meeting minutes
Documents vs. Records
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Scope of Records
Legislative and regulatory requirements
Permits
Environmental aspects and their associated impacts
Environmental training activity
Inspection, calibration and maintenance activity
Records should cover:
Continued…
16
Monitoring data
Details of non-conformance: incidents, complaints and follow-up action
Product identification: composition and property data
Supplier and contractor information
Environmental audits and management reviews
Scope of Records
…Records should cover:
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• Identification
• Collection
• Indexing
• Filing
• Storage
Good environmental information management includes:
• Maintenance
• Retrieval
• Retention
• Disposal
Requirements for Records Maintenance
EMS Audits
EPA Regions 9 & 10
and
The Federal Network for Sustainability
19
Requirements
• Determine whether the system conforms
• Assess whether it has been properly implemented and maintained
• Provide information to management
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Types of EMS Audit
• Complete
• Partial
• Certification audit
• Surveillance audit
• Internal
• External
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EMS Audit Protocol
Establish procedures that cover
• Scope
• Frequency
• Methodologies
• Audit responsibilities
• Reporting responsibilities
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Audit Program Establish audit schedule
Internal
External
Base on environmental importance of the activity
Consider results of previous audits
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Audit Process
• Document and record review
• Opening meeting• Site tour• Interviews
• Auditor conference(s)• Findings development• Closing meeting• Audit report
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Audit Outcomes
• Report to management
• Identify corrective actions
• Record audit results
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Continual Improvement
• Identify areas for improvement of EMS
• Determine root cause of nonconformance
• Develop corrective and preventive action plan
• Implement corrective and preventive actions
• Verify effectiveness of action plans
• Make changes to procedures
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Summary
• An EMS involves checking and corrective action procedures
• Identifies nonconformances and opportunities for improvement
• The system itself is audited
• Document changes in procedures
• Record changes made