ENVIRONMENTAL MANAGEMENT

DELEGATE MANUAL

Zain Institute of occupational Safety Health and Environment

Office#33-G Aashiana Centre,Gulberg III, Lahore
Contact No: 03325028926

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PURPOSE, BENEFITS OF EMS & PDCA CYCLE

1. Purpose of an environmental management system

The purpose of this International Standard is to provide

organizations with a framework to protect the
environment and respond to changing environmental
conditions in balance with socio-economic needs. It
specifies requirements that enable an organization to
achieve the intended outcomes it sets for its
environmental management system.

A systematic approach to environmental management can provide top

management with information to build success over the long term and create
options for contributing to sustainable development by

• protecting the environment by preventing or mitigating adverse

environmental impacts
• mitigating the potential adverse effect of environmental conditions on the
organization
• assisting the organization in the fulfilment of compliance obligations
• enhancing environmental performance
• controlling or influencing the way the organization‘s products and services
are designed, manufactured, distributed, consumed and disposed by
using a life cycle perspective that can prevent environmental impacts from
being unintentionally shifted elsewhere within the life cycle
• achieving financial and operational benefits that can result from
implementing environmentally sound alternatives that strengthen the
organization‘s market position
• communicating environmental information to relevant interested parties
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 This environmental Standard, like other International Standards, is not
intended to increase or change an organization‘s legal requirements.

2. Benefits of environmental management system

It is becoming more and more important to

demonstrate that organisations are thinking
about their environmental impact and putting in
place systems that will not only benefit the
environment but will also reduce costs and
improve efficiency within the organization.

The benefits of showing conformance to the ISO 14001 standard are

numerous:
• Cost savings in waste, recycling and consumption
• Advantage over competitors when tendering for business
• Management of environmental risks
• Compliance with individual countries environmental regulations
• Demonstrates your commitment to improving the environment
• Shows you are a responsible future focused organisation
• Can reduce insurance cover costs
• Can increase employee engagement in the knowledge that they are
working in an environmentally friendly organization

Having a well-defined Energy Management System (EMS) framework will

provide your organisation with a systematic approach to compliance. In some
cases regulatory bodies are more flexible with companies with performance and
public accountability records.

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 Environmental Management System

When establishing and improving an environmental management system an

organization should focus on areas of obvious benefit, for example those that
provide immediate environmental or cost benefit. The environmental
management system approach detailed in this international standard is founded
on the "Plan-Do-Check-Act" (PDCA) management model.

The environmental management system model and the ongoing process of

continual improvement are illustrated in Figure 1. For more information on the
PDCA model, see the practical help box below.

Figure 1 — Environmental management system model for this International Standard

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 The environmental management system model - Guidance

PDCA is an ongoing, iterative process that

enables an organization to establish, implement
and maintain its environmental policy and continual
improve its environmental performance. The steps of this ongoing process are
as follows:

a) Plan:

1) understand the organization and its context (4.1) and the needs and
expectations of interested parties (4.2)
2) determine the scope of (4.3) and implement the environmental
management system (4.4)
3) ensure leadership and commitment from top management (5.1)
4) establish an environmental policy (5.2)
5) assign responsibilities and authorities for relevant roles (5.3)
6) identify environmental aspects and associated environmental impacts
(6.1.2)
7) identify and have access to applicable compliance obligations (6.1.3)
8) determine those aspects which are significant and the organizational
risks associated with threats and opportunities related to these
significant aspects that need to be addressed (6.1.4)
9) plan to take actions to address risks associated with threats and
opportunities determined above, and evaluate effectiveness of these
actions (6.1.5)
10) establish environmental objectives (6.2.1) and define indicators and a
programme to achieve them (6.2.2)

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 b) Do:

1) implement the processes including the resources required to achieve

this (7.1)
2) determine the necessary competence of person(s) and ensure these
persons are competent
3) (7.2) and aware (7.3)
4) determine the needs for communication and communicate internally
and externally (7.4)
5) ensure an appropriate method for creating and updating (7.5.2)
and controlling (7.5.3)
6) documented information
7) plan, implement and control operational control processes needed to
meet the environmental management system requirements (8.1)
8) determine potential emergency situations and accidents and how it
responds to them (8.3)
c) Check:

1) monitor and measure processes

2) evaluate the effectiveness of the environmental management system
through monitoring and using key performance indicators (9.1.1)
3) evaluate conformity with compliance obligations (9.1.2)
4) conduct periodic internal audits (9.2)
5) review the organization's environmental management system to ensure
continuing suitability, adequacy and effectiveness (9.3)

d) Act:

1) take action to deal with nonconformities (10.1)

2) take action to continually improve the performance of the
environmental management system (10.2)

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 Plan-Do-Check-Act model

The basis for the approach underlying an

environmental management system is founded on
the concept of Plan-Do-Check-Act (PDCA). The
PDCA model provides an iterative process used by
organizations to achieve continual improvement. It
can be applied to an environmental management
system and to each of its individual elements. It
can be briefly described as follows.

• Plan: establish environmental objectives and processes necessary to

deliver results in accordance with the organization‘s environmental policy.
• Do: implement the processes as planned.
• Check: monitor and measure processes against the environmental policy,
including its commitments, environmental objectives and operating
criteria, and report the results.
• Act: take actions to continually improve.

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 Figure 1 shows how the framework introduced in this International Standard
could be integrated into a PDCA model, which can help new and existing users
to understand the importance of a systems approach

e. Continual Improvement

If improvement is defined as making a change

that results in a better outcome, then continual
improvement is simply always identifying and
making changes that result in better outcomes.
Continual improvement is a concept that is
central to management theories and programs.

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 CONTEXT OF THE ORGANIZATION

This Chapter deals about the clause requirement context of the organisation

1. Understanding the organization and its context

An organisation needs to determine the external and

internal context within which it operates, relevant to its
purpose and that can affect its ability to achieve the
intended outcomes of the management system.

The term "intended outcome" means what the

organization intends to achieve by
implementing its environmental management system, which includes enhancement of
environmental performance, conformance to compliance obligations and fulfilment of
environmental objectives. These are the minimal, core outcomes. However, the
organization can set additional intended outcomes, such as going beyond the
environmental management system or legislative requirements, for example by adopting
social and environmental sustainability principles, if it decides that it could benefit from
this.

This is necessary as organizations do not operate in isolation but are influenced by

external and internal issues such as the availability of financial support and the
involvement of their employees.
The context of the organization can also be influenced by its
• complexity, structure, activities and geographical locations of its
functional units in both a corporate and local context.

The context of the organization also includes the natural environment in which it operates.
The natural environment imposes conditions, including events, which affect the
organization's activities, products and services. Conditions

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can be existing or subject to gradual change whereas an event includes a sudden
occurrence, which is typically explained by an extreme situation and should be
considered when designing the environmental management system. For business
continuity and to identify business and environmental opportunities, it is of value for the
organizations to identify, evaluate and, where appropriate, manage the consequences of
such conditions.
To understand which issues can be important, an organization should consider those
that

• are key drivers and trends

• can present problems
• reflect changing circumstances
• can be leveraged for beneficial effect, including improved environmental
performance
• present opportunities for competitive advantage, including cost
reduction, value for customers, or improvement of the organization's
reputation and "brand".

An organization implementing or improving its environmental management system or

integrating its environmental management system within itsexisting business
processes should conduct a context review that includes the following key areas:

a. identification of the relevant external and internal issues, including

environmental conditions, and events, which relate to the organization's
activities products and services,
b. consideration of how these issues can affect the organization's purpose
and ability to achieve the intended outcomes of its environmental
management system,
c. understanding of how the above points a and b can be addressed, and
d. identification of opportunities to improve its environmental
performance.

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The review can also include additional considerations such as

• environmental sustainability in terms of procurement,

• opportunities for competitive advantage including cost reduction and
value for customers, and
• life cycle thinking.

a. External issues - Guidance

Considerations can include:

• Cultural
• Social
• Political
• Financial
• Technological
• Economic
• Natural
• Supply chain management
• Competition
• Market and public demand

External sources that can contribute to its knowledge can include:

• customers, suppliers and partners
• business councils
• sector organizations
• chambers of commerce
• government bodies
• international agencies
• consultants
• academic research
• local news media
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 b. Environmental conditions including events - Guidance

An environmental condition that can affect the organization's

activities, products and services can include, for example a
climatic temperature change that can prevent the organization
from growing particular types of agricultural products.

An example of an environmental event could be flooding as a result of extreme weather,

which can affect the organization's activities such as where and how the organization
stores hazardous substances in order to prevent pollution.

Consideration of some of the following sources of information can assist an organization

to identify its environmental conditions including events:

▪ meteorological, geological hydrological and ecological information

▪ historical disaster information related to the organization's location
▪ general information documents, such as brochures, catalogues, annual
reports, operations manuals, process flowcharts, or quality and product
plans
▪ reports from previous audits, assessments or reviews, such as initial
environmental reviews or life cycle assessments
▪ information from other management systems, such as quality or
occupational health and safety technical data reports, published
analyses or studies or lists of toxic substances
▪ applicable compliance obligations
▪ codes of practice, national and international policies, guidelines and
programmes
▪ purchasing data
▪ product specifications, product development data, Safety Data Sheets
(M/CSDS), or energy and material balance data

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 ▪ waste inventories
▪ monitoring data
▪ environmental permit or licence applications
▪ views of, requests from, or agreements with interested parties
▪ reports on emergency situations and accidents

c. Internal issues - Guidance

Considerations can include:

• Organizational governance and structure
• Legal compliance
• Policies, objectives and the strategies
• Capability and capacity
• Information systems
• Internal relationships with, and perceptions and values of, internal
interested parties
• Management systems and standards
• Organizational style and culture
• Contracts

Methods that can be used to examine relevant internal factors include gathering
information related to the current management system as considered above, including
interviews with persons previously or currently working under the organization's
control, and evaluation of internal and external communications.

The process used by an organization to develop an understanding of its context should

result in knowledge that can be used by the organization to guide its efforts to plan,
implement and operate its environmental management system. The process should be
approached in a practical manner that adds value to the organization and yields a
general, conceptual understanding of the most important issues. The process can be
simple or complex depending on the needs of the organization. It can be useful to
document the process and its results.

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The results of this context review can be used to assist the organization in understanding
its context and setting the scope of its environmental management system, determining
its risk associated with threats and opportunities, developing or enhancing its
environmental policy, setting its environmental objectives, and determining the
effectiveness of its approach to maintaining conformity with applicable compliance
obligations.

2. Understanding the needs and expectations of interested parties

a. General
Interested parties are part of the context in which an organization operates. Developing a
relationship with interested parties enables communication, which leads to understanding
and the potential for building trust and mutual respect. This relationship need not be
formal.

An organization can benefit from a process or mechanism that enables the identification
of the needs and expectations of interested parties that it has to or chooses to comply
with. The methods used and resources applied reflect the size and nature of the
organization, the finances available, the risk imposed, and the organization's level of
maturity with regard to environmental management.

An organization is expected to gain a general (i.e., high-level, not detailed)

understanding of the expressed needs and expectations of those internal and external
interested parties that have been determined to be relevant, so that the knowledge gained
can be considered.

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 b. Determining interested parties

Interested parties can be both internal and external to the organization. An interested
party can be a
• person, a regulating agency, a supplier or customer, a neighbourhood
association, or other legally constituted organization.

In any case, the parties that have made their interests in the organization's environmental
management known are considered relevant interested parties. There is no generic or
static list of interested parties for all organizations, or even for a single
organization, as interested parties can
change over time and dependon the sector
or industry or the geographic location the
organization operates in. Changes in the
organization's context can also result in a
change in interested parties.

c. Determining needs and expectations of interested parties

An organization should determine the needs and expectations ofrelevant interested

parties. It is important to not only identify those that are obligatory and stated but also
those that are generally implied (i.e. expectedas a norm). An organization need only
determine the needs and expectationsof interested parties relevant to the environmental
management system. Relevant interested parties can have some needs that are not
relevant to the organization's environmental management system and thus not all their
needs are necessarily considered.

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An organization can already have determined the needs and expectations of its
relevant interested parties, for example, through an engagement process as part of
developing a sustainability strategy. This knowledge can be used as input to designing
the environmental management system.

Examples of interested parties and their needs and expectations

Dimension Examples of interested party Examples of needs and

expectations
By responsibility Investors Expect risk associated with threats and
opportunities that can affect an investment
to be managedto protect
and/or provide a return on investment
By influence Non-governmental organizations Need cooperation to meet their specific
environmental objectives
By proximity Neighbours Expect socially acceptable
performance, honesty and integrity

By dependency Employees (person(s) doing work Expect to work in a safe and healthy
under the organization's control) environment

By representation Trade union representatives Need collaboration on

environmental policy position

By authority Regulatory or statutory agencies Expect demonstration of

compliance with the law

d. Determining compliance obligations

An organization can determine that its relevant interested

parties have many relevant needs and expectations and it
can be necessary to evaluate and prioritise them. After
prioritization, the organization should decide which of these
it hasto comply with and which ones it voluntarily
chooses to comply with. This knowledge can then contribute to its compliance obligations
as detailed in 6.1.3.
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There is no single approach to evaluating needs and expectations, and an organization
should use an approach that is appropriate to its scope, nature and scale, and is suitable
in terms of detail, complexity, time, cost and availability of reliable data.

Where requirements are set by a regulatory body, the organization should gainknowledge
of those broad areas of legislation that can be applicable to it, such as air quality
standards, discharge limits, waste disposal regulations, licensing requirements for
operating the facility, etc.

In the case of voluntary commitments, the organization should gain broad knowledge of
the relevant needs and expectations, such as a
• customer requirements, voluntary codes, agreements with community
groups or public authorities
so that the organization can understand the implications these can have on the
achievement of the intended outcomes of its environmental management system.

e. Use and application of the needs and expectations of interestedparties

The outputs from 4.2.1 to 4.2.3 should be sufficient to assist in setting thescope of
the organization's environmental management system, setting its
• environmental policy
• determining its significant environmental aspects
• compliance obligations
• other risks associated with threats and opportunities for the
organization, and
• setting its performance objectives.
The organization can find it useful to document this information to facilitate itsuse in the
other clauses of the standard.

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 3. Determining the scope of the environmental management system

The organization determines the boundaries and applicability of

the environmental management system in order to establish
its scope. The scope is
unique to each organization, and it is the responsibility of each organizationto identify
the specific inputs from Clauses 4.1 and 4.2, the physical boundaries for one or more
locations, and organizational sphere of control and influence upon which this
determination occurs. The scope is intended to clarify the spatial, functional and
organizational boundaries to which the environmental management system applies.

An organization has the freedom and flexibility to define the scope of the environmental
management system and to include the entire organization or specific operating units of
the organization, but it should not define the scope in a way that excludes a significant
environmental aspect which is under the control of the organization's management. If an
activity, product or service is performed by a process undertaken by a supplier or a
contractor, the organization should carefully consider its ability to control or influence this
process, and determine whether it lies within its scope or not. An inappropriately narrow
or exclusive scope could undermine the credibility ofthe environmental management
system with its interested parties and reduce the organization's ability to achieve the
intended outcomes of its environmental management system.

If the organization changes its sphere of control or influence, expands its operations or
acquires more property, or divests business lines or property, the scope should be
reconsidered, along with other changes likely to impact the environmental management
system.

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The organization should consider externally-provided activities, products and services
when determining the scope of the environmental management system. Organizations
can have control of externally provided activities, products and services that have or can
have significant environmental impacts through the organization's leadership or influence
them by contractual arrangement or other agreement.

There are several methods for documenting the scope and making it available to the
organization's interested parties, e.g.,

• using a written description

• a site map, an organizational diagram,
• a webpage, posting an ISO 14001 certificate, etc.

Once someone requests the organization's scope or policy, they become an interested
party. When documenting its scope, the organization can consider using an approach
that identifies the activities involved, the products and services that result and their
application and/or the location where they occur, for example

• manufacturing machines and spare parts for combustion engines at site

A, or
• marketing, design and execution of training intended for individuals and
organizations in general

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Environmental Policy:

This clause of the standard requires that an

EMS policy developed and approved by top
management and relating to the scope of
the EMS be formulated and in place. This is
usually a short statement that provides a
framework for setting environmental
objectives and planning actions to achieve
environmental objectives. There are some
specific items that must be addressed in the policy, and includes a commitment
to the protection of the environment, including prevention of pollution and other
specific commitments relevant to the context of the organization, including the
nature, scale and environmental impacts of itsactivities, products and services.
The policy also includes a commitment to fulfil its compliance obligations and a
commitment to continual improvement of the EMS to enhance environmental
performance.

In addition, the policy needs to be communicated to all employees, to other

people working on behalf of the organization, and be available to interested
parties. The policy must be documented, implemented, and maintained and this
means that it is kept up to date and validated through the management reviews
and supported by the whole of the EMS.

1. EMS Policy Requirements

The following requirements to be considered while writing the policy statement

• its mission, vision, core values and beliefs,
• guiding principles,
• the needs and expectations of, and communication with, interested
parties,

• the internal and external issues that are relevant to the

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 environmental management system, including specific
local or regional conditions,
• coordination with other organizational policies (e.g. quality,
occupational health and safety),
• the actual and potential effects on the organization's activities
from external environmental conditions, including events,
• its commitment to comply with legal requirements and other
requirements to which the organization subscribes, and
• its commitments related to protection of the environment,
prevention of pollution and continual improvement.

The responsibility for setting environmental policy rests with an organization's top
management. The environmental policy should be consistent with, and can be included
in or linked with, other policy documents of the organization such as those associated
with quality, occupational safety and health and social responsibility. The organization's
management is responsible for implementing the policy and for providing input to the
formulation and modification of the policy. The policy should be communicated to all
persons working under the organization's control. In addition the policy should be
available to interested parties. It is the organization's decision to make the policy available
in an unrestricted manner, such as posting it on a website, or after information about the
identity, needs and expectations of the interested party is provided.

Protection of the environment and prevention of pollution – Guidance

Organizations are and should increasingly be aware of the environment in which they
operate, for example by availability of resources, air and water quality and the impacts
associated with climate change related to their organization. Therefore by committing to
protection of the environment, including prevention of pollution, the organization is
contributing to its own sustainability and the sustainability of society.

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Protection of the environment

How an organization can protect the environment is connected

to its activities, products and services and its location(s). It can
be undertaken throughout an organization's value chain from
direct control e.g. practical site based measures or indirectly
through supply chain, product use or disposal.

Practical measures to protect the environment can include:

• Improved efficiency in use of natural resources, such as water and fossil
fuels. An example is reducing the use, or engaging in re-use or recycling
of, natural resources relative to production, such as metals. This can limit
the environmental impacts associated with its extraction, beneficiation, use
and final disposal.
• Protection of biodiversity, habitats and ecosystems – through direct on-
site conservation, or indirectly through procurement decisions, such as
buying materials from verified sustainable sources.
• Climate change mitigation – avoiding or reducing emissions of
greenhouse gases, or adopting carbon neutral policies can reduce its
contribution to climate change.
• Improvement in air and water quality – through avoidance, substitution,
reduction or abatement.

Prevention of pollution

Prevention of pollution can be incorporated throughout the

life cycle of a product or service from the design and
development, through manufacture, distribution and
usage to end of life. Such strategies can help an
organization to not only conserve resources

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and reduce waste and emissions but also save money and produce more competitive
products and services. (Guidance on integrating environmental aspects into product
design and development can be found in ISO/TR 14062 and ISO 14006).

Source reduction can often be the most effective practice because it has the double
benefit of avoiding the generation of waste and emissions and simultaneously saving
resources. However, prevention of pollution through source reduction is not practical in
some circumstances. The organization should consider using a hierarchy of approaches
for prevention of pollution. Such a hierarchy should give preference to preventing pollution
at its source, and can be structured as follows:

➢ source reduction or elimination (including environmentally sound design

and development, material substitution, process, product or technology
changes and efficient use and conservation of energy and material
resources);
➢ internal reuse or recycling (reuse or recycling of materials within the
process or facility);
➢ external reuse or recycling (transfer of materials offsite for reuse or
recycling);
➢ recovery and treatment (recovery from waste streams on or offsite,
treatment of emissions, and releases on wastes on or offsite to reduce
their environmental impacts);
➢ control mechanisms, such as incineration or controlled disposal, where
permissible. However, the organization should use these methods only
after other options have been considered.

Environmental policy and sustainability – Guidance

A growing number of international organizations, including government, industry

associations and citizens' groups, have developed guiding principles intended to
support environmental sustainability. These guiding

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principles help organizations to define the overall scope of their commitment to the
environment as one of the three dimensions of sustainability and provide a common
set of values. Guiding principles can assist an organization in developing its policy,
which should be unique to theorganization for which it is developed.

The policy can also include other commitments to

➢ sustainability and associated guiding principles (e.g. UN Agenda 21/Global

Compact, Equator Principles)
➢ minimize any significant adverse environmental impacts of new
developments through the use of integrated environmental management
procedures and planning
➢ design products taking into account environmental aspects, and
sustainability principles

Note:

1. The EMS policy can be linked with other policy documents of the
organization and should be consistent with the organization‘s overall
business policies and with its policies for other management disciplines,
e.g. quality management or Environmental management.

2. The Auditor need to verify if the Top Management has demonstrated

commitment and ensures that the EMS policy is established and are
compatible with the strategic direction and the context of the organization.

3. Related Documents

a. EMS Policy Statement

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 4. Auditor’s Approach

1. Is the organization‘s EMS policy appropriate to the Purpose and context

of the organization, including nature & Scale and environmental
impacts of its activities, products and services?
2. Does the organization‘s EMS policy provide the framework for setting
EMS objectives?
3. Does the organization‘s EMS policy include a commitment to the
protection of the environment, including prevention of pollution and
other specific commitments relevant to the context of the organization?
4. Does the organization‘s EMS policy include a commitment to continual
improvement of the Environmental management system to enhance
environmental performance?
5. Does the organization‘s EMS policy includes a commitment to at fulfil
EMS compliance obligations?
6. Is the organization‘s EMS policy documented, implemented &
maintained?
7. Is the organization‘s EMS policy communicated to all persons working
under the control of the organization?
8. Is the organization‘s EMS policy available to interested parties?
9. Is the organization‘s EMS Policy coordination with other organizational
polices, e.g. quality management or Environmental management?
10. Is the policy can also include other commitments to sustainability and
associated guiding principles?
11. Is the policy can also include other commitments to design products
taking into account environmental aspects and sustainability
principles?

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 RISK ASSESSMENT

1. Environmental Risk Assessment

To order to understand what is meant by environmental risk assessment it is important

to be familiar with the concepts of hazard and risk. These terms have different meanings
and are not interchangeable. The following definitions are used here.

Hazard: is the inherent potential for something to cause harm. Hazards

can include substances, machines, energy forms, or the way work is
carried out.

Risk: is a combination of the likelihood or probability that the hazard will

cause actual harm and the severity of the consequences.

In general, the term environmental covers the physical surroundings that are common to
everybody including air, water, land, plants and wildlife. The definition used in the
Environmental Protection Act 1990 is that the environment '... consists of all, or any, of
the following media, namely the air, water and land'.

Thus environmental risk assessment covers the risk to all ecosystems, including humans,
exposed via, or impacted via, these media. The term environmental risk assessment does
not normally cover the risks to individuals or the general public at large from consumer
products or from exposure in the work place, where other specific legislation applies.

Stages in carrying out an environmental risk assessment

Before carrying out an environmental risk assessment it is important to clearly set out the
problem being addressed and the boundaries within which any decisions on
environmental risk are to be made. This is sometimes known as problem formulation
and can typically define the risk of what, to whom (or

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which part of the environment), where (location) and when (in time). This can also assist
in selecting the level and types of assessment methodology to be used in the
environmental risk assessment itself.

Environmental risk assessment can be thought of as containing the following key stages.

1. Hazard identification. This would typically include identification of the

property or situation that could lead to harm.

2. Identification of the consequences if the hazard was to occur.

3. Estimation of the magnitude of the consequences. This can include

consideration of the spatial and temporal scale of the consequences
and the time to onset of the consequences. When considering
chemicals, this step can sometimes be termed release assessment.

4. Estimation of the probability of the consequences. There are three

components to this, the presence of the hazard, the probability of the
receptors being exposed to the hazard and the probability of harm
resulting from exposure to the hazard. This step can sometimes be
called exposure assessment or consequence assessment.

5. Evaluating the significance of a risk (often termed risk characterization

or risk estimation) is the product of the likelihood of the hazard being
realised and the severity of the consequences. This step may also
consider the uncertainty associated with both the hazard and the risk.

A concept frequently used in environmental risk assessment is that of the source –

pathway – receptor. In this conceptual model the pathway between a hazard source
(for example a source of contamination) and a receptor (for example a particular
ecosystem) is investigated. The pathway is the linkage by which the receptor could
come into contact with the source (a number of pathways often need to be considered).
If no pathway exists then no risk exists. If a pathway exists linking the source to the
receptor, then the consequences of this are determined. This approach is used in
the

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assessment of contaminated land, but can be, and is, applied to many other areas. An
EHSC note is available on the assessment of contaminated land (see bibliography).

1 Note: There is a wide range of different terminologies used in this area. However, most of the different

terminologies can normally be related to one of these steps.

Example Sources Example Pathways Example Receptors

• Contaminated Soils • Air • People
• Contaminated water • Water • Domestic and
• Leaking drums • Soil commercial property
• Industrial process • Food Chain • Infrastructure
releases • Ecosystems
• Animals
• Plants
• Controlled waters

At the end of the risk assessment process, existing controls should be recorded and
further measures may need to be considered to reduce or eliminate the risks identified.
Detailed consideration of risk management is beyond the scope of this paper but, in
general terms, risk management can be achieved by reducing or modifying the source,
by managing or breaking the pathway and/or modifying the receptor.

The final stage is the evaluation of the significance of the risk which involves placing it in
a context, for example with respect to an environmental standard or other criterion
defined in legislation, statutory or good practice guidance.

The amount of effort and detail required in assessing each risk can vary widely, but is
generally proportionate to its priority and complexity. Thus environmental risk
assessments can be carried out on several levels. An example of a relatively common,
simplistic, approach based on a risk ranking matrix is shown below. The meanings of
high, medium, low and very

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low can be determined in various ways, for example using a descriptive or numerical
scale, or often based on expert judgement. Once risks have been identified, the matrix
allows the relative importance to be easily determined, and the risk can then be
prioritised and an appropriate risk management strategy or plan can be implemented.
Other relatively simple approaches include the use of assessment sheets whereby the
materials and activities are listed, and any potential impacts for the environment are
described.

Environmental Risk Assessment Matrix

High Medium risk Medium risk High risk High Risk

Medium Low risk Medium risk Medium risk High Risk
Consequences of
hazard being

Low Low risk Low risk Medium risk Medium risk

realised

Very low Very low risk Low risk Low risk Medium risk
1 Very low Low risk Medium High
Likelihood of hazard being realised

In more complex cases, it may be appropriate to use quantitative risk assessment

approaches. Such approaches can define the pathway and consequences using
modelling/estimation techniques that allow the level of exposure of a receptor, and the
consequences to the receptor, to be better determined. In some cases probabilistic
models can be used to estimate the actual probability of risk occurring.

Uses of environmental risk assessment

There are a wide range of uses of environmental risk assessment and, although the
specific methodology and the responsibility for carrying out the assessment may vary,
the core principles and the key stages of the process are fundamentally the same in each
case. There is a wide range of legislation that encompasses the principles of
environmental risk assessment in relation to chemicals. The European Environment
Agency (1998) publication lists some of these but the area is rapidly changing and it is
impractical to provide a complete list here. Specific guidance is often available for each
piece of legislation. The principles of environmental risk assessment are also applied

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in a number of other areas, for example flood protection, noise pollution and planning.

Some examples of the use of environmental risk assessment are givenbelow.

• Assessing the impacts of chemicals used at existing sites (for example

for the Control of Major Accident Hazards (COMAH) Regulations (1999),
Environmental Permitting Regulations (2010) and other similar
legislation).
• Assessing the impacts of products generated by individual
companies/sites due to their use or transport etc.
• Assessing potential impacts of new developments, new sites or new
processes as part of the planning procedure (for example in relation to
the Town and Country Planning Regulations (2011)). This is often known
as Environmental Impact Assessment or EIA.
• Assessing the impacts of products, processes or services over their life
cycle (life cycle assessment or LCA). An EHSC note on LCA is available
(see bibliography).
• Consideration of risks to the environment in a company‘s environmental
management system (EMS) or eco-management and audit scheme
(EMAS). Such schemes are based on continual environmental
improvement in which risk assessment plays animportant part. An EHSC
note is available on EMS (see bibliography).
• Registration, Evaluation, Authorisation and Restriction of Chemicals
Regulation. Environmental risk assessment is a key component of
determining the safe use of chemicals under this legislation.

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 2. Actions to Address Risk Associated With Threats and Opportunities

NOTE Numbers refer to the clauses in this International Standard

Figure 1 — Relationship between 4.1, 4.2, 6.1, 8.1 and 9

The relationship between the planning process and other parts of the standard is shown
in figure 1. Planning is critical for determining and taking the actions needed to ensure the
environmental management system can achieve its intended outcomes. It is an ongoing
process, used both to establish and implement elements of the environmental
management system and to maintain and improve them, based on changing
circumstances and inputs and outputs of the environmental management system itself.

The planning process can help an organization identify and focus its resources on those
areas that are most important for protecting the environment. It also enables fulfilment of
compliance obligations, other environmental policy commitments, and for identifying and
achieving its environmental objectives. Information generated in the planning process is
an important input for determining operations that need to be controlled. Information can
also be used in the establishment and improvement of other parts of the environmental
management system, such as identifying training and competency, monitoring and
measurement needs.

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Organizations face a range of risks associated with threats and opportunities that can
affect the achievement of its intended outcomes. The organizationfirst needs to identify
the significant aspects associated with its activities,products and services that can interact
with the environment, and any other significant sources of risk associated with threats and
opportunities for the organization, considering the organization's context.

3. Significant environmental aspects

a. Overview
In order to establish an effective environmental management
system the organization should develop its understanding of
how it can interact with
the environment, including the elements of its activities, products and services that can
have an environmental impact. The elements of an organization's activities, products and
services that can interact with the environment are called environmental aspects.
Examples include
• a discharge
• an emission
• consumption or reuse of a material, or generation of noise.
An organization implementing an environmental management system should identify the
environmental aspects it can control and those that it can influence.

Changes to the environment, either adverse or beneficial, that result wholly or partially
from environmental aspects are called environmental impacts. Examples of adverse
impacts include
• pollution of air, and
• depletion of natural resources.

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Examples of beneficial impacts include
• improved water or
• soil quality.

The relationship between environmental aspects and associated impacts is one of

cause and effect. An organization should have an understanding of those aspects that
have or can have significant impacts on the environment,
i.e. significant environmental aspects.

Since an organization can have many environmental aspects and associated impacts, it
should establish criteria and a method to determine those that it considers significant.
Several factors should be considered when establishing criteria, such as environmental
characteristics, information on applicable compliance obligations, and the concerns of
interested parties (internal and external). Some of these criteria can be applied to an
organization's environmental aspects directly and some to their associated environmental
impacts.

Identifying significant environmental aspects and associated impacts is necessary in

order to determine where control or improvement is needed and to set priorities for
management action based primarily on environmental factors. An organization's
• environmental policy,
• objectives
• training
• communications
• operational controls and
• monitoring programmes should be primarily based on knowledge of
its significant environmental aspects.

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Issues such as applicable compliance obligations, views of interested parties, and other
sources of risk associated with threats and opportunities for the organization, such as
environmental conditions, including events, can also be taken into account. The
identification of significant environmental aspects is an ongoing process. It enhances an
organization's understanding of its relationship to the environment and contributes to
continual improvement of its environmental performance through enhancement of its
environmental management system.

As there is no single approach for identifying environmental aspects and environmental

impacts and determining significance that suit all organizations, the guidance that follows
serves to explain key concepts for implementing or improving an environmental
management system. Each organization should choose an approach that is appropriate
to its scope, the nature and scale of its environmental impacts and that meets its needs
in terms of detail, complexity, time, cost and availability of reliable data. The use of (a)
procedure(s) to apply the approach selected can help to achieve consistent results.

b. Understanding activities, products and services

All activities, products and services have some impact on the environment, which can
occur at any or all stages of the activities, products or services life cycle,
• i.e. from raw material acquisition and distribution, to use and disposal.

An organization should understand its activities, products and services in order to be able
to identify the associated aspects and impacts that fall within the scope of its
environmental management system. It can be useful to group its activities, products and
services to assist in the identification and evaluation of the associated environmental
aspects and impacts. A grouping or category could be based on common characteristics,
such as organizational units, geographical locations and operations workflow.

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 c. Identifying environmental aspects

When identifying its environmental aspects within the

scope of its environmental management system, the
organization should consider a life cycle perspective
andthose aspects associated with its past,
current and planned activities, products and services. In all cases, the organization should
consider normal and abnormal operating conditions including start-up and shut-down
maintenance and emergency situations and accidents.

In addition to those environmental aspects an organization can control directly, it should

also consider aspects that it can influence, e.g. those related to products and services
used by the organization and those related to products and services it provides. When
evaluating its ability to influence the environmental aspects an organization should give
consideration to legal requirements or contractual agreements, its policies, local or
regional issues and its obligations and responsibilities to interested parties.

The organization should also consider the implications on its own

environmental performance, for example by the purchase of products
containing hazardous materials, activities carried out by contractors or
subcontractors, design of products and services, materials, goods or services supplied
and used, and the transport, use, reuse or recycling of products placed on the market.

To identify and have an understanding of its environmental aspects, an organization

should collect quantitative and/or qualitative data on the characteristics of its activities,
products and services such as inputs and outputs of materials or energy, processes and
technology used, facilities and locations and transportation methods. In addition it can be
useful to collect information on

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 a) cause and effect relationships between elements of its activities, products,
and services and possible or actual changes to the environment
b) environmental concerns of interested parties
c) possible environmental aspects identified in government regulations and
permits, in other standards, or by industry associations, academic
institutions, etc.

The process of identifying environmental aspects benefits from the participation of those
individuals who are familiar with the organization's activities, products and services.
Although there is no single approach for identifying environmental aspects, the approach
selected can consider
• emissions to air
• releases to water
• releases to land
• use of raw materials and natural resources (e.g. land use, water use)
• use of energy
• energy emitted (e.g. heat, radiation, vibration)
• waste and by-products
• physical attributes (e.g. size, shape, colour, appearance)

Consideration should therefore be given to aspects arising from the organization's

activities, products and services, including
• design and development
• manufacturing processes
• packaging and transportation
• environmental performance and practices of contractors, and suppliers
• waste management
• extraction and distribution of raw materials and natural resources, and
• distribution, use and end of life

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 d. Understanding environmental impacts

An understanding of an organization's environmental impacts related to identified

environmental aspects is necessary when determining significance, especially those that
can lead to potential emergency situations. Many approaches are available. An
organization should choose one that suits its needs.

Readily available information on the types of environmental impacts associated with an

organization's environmental aspects can be adequate for some organizations. Other
organizations can choose to use cause-and-effect diagrams or flowcharts illustrating
inputs, outputs or mass/energy balances or other approaches such as environmental
impact assessments or life cycle assessments.
NOTE For more information refer to ISO 14040, ISO 14041, ISO 14042 and ISO
14043 for guidance on life cycle assessments

The approach chosen should be capable of recognizing

• positive (beneficial) environmental impacts as well as negative (adverse)

environmental impacts,
NOTE Environmental aspects with potential beneficial impacts can present opportunities for the
organization to improve environmental conditions. Environmental aspects with adverse impacts can pose
a threat to the organization which can undermine its ability to meet its policy commitments.

• actual and potential environmental impacts,

• the part(s) of the environment that can be affected, such as air, water, soil,
flora, fauna, or cultural heritage,
• the characteristics of the location that can affect the environmental impact
such as local weather conditions, height of water table, soil types, etc.,
and
• the nature of the changes to the environment (such as global vs. local
issues, length of time for which the impact occurs, or potential for the
impact to accumulate in strength over time).

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Possible information sources for determining environmental aspectsand
environmental impacts - Guidance

Possible information sources include

a) general information documents, such as brochures, catalogues and
annual reports,
b) operations manuals, process flowcharts, or quality and product plans,
c) reports from previous audits, assessments or reviews, such as initial
environmental reviews or life cycle assessments,
d) information from other management systems, such as quality or
occupational health and safety,
e) technical data reports, published analyses or studies, or lists of toxic
substances,
f) applicable compliance obligations,
g) codes of practice, national and international policies, guidelines and
programmes,
h) purchasing data,
i) product specifications, product development data, Material or Chemical
Safety Data Sheets (MSDS/CSDS), or energy and material balance data,
j) waste inventories,
k) monitoring data,
l) environmental permit or licence applications,
m) views of, requests from, or agreements with interested parties, and
n) reports on emergency situations and accidents.

e. Determining significant environmental aspects

Significance is a relative concept that is relative to the context. What is significant for one
organization is not necessarily significant for another.

When establishing criteria for significance, an organization should consider

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environmental criteria such as scale, severity and duration of the impact, or type, size
and frequency of an environmental aspect.

Significance criteria can be applied to an organization's environmental aspects or to

their associated impacts. Environmental criteria can apply to both environmental aspects
and environmental impacts, but in most situations they apply to environmental impacts.
When applying criteria, an organization can set levels (or values) of significance to be
associated with each criterion. For example, criteria could be based on a combination of
likelihood (probability/frequency) of an occurrence and its consequences
(severity/intensity). Some type of scale or ranking can be helpful in assigning significance,
for example quantitatively in terms of a numeric value, or qualitatively in terms of levels
such as high, medium, low or negligible.

An organization can find it useful to evaluate the significance of an environmental aspect

and associated impacts by combining results from the criteria. It should decide which
environmental aspects are significant, e.g. by using a threshold value.

To facilitate planning, an organization should maintain appropriate information on the

environmental aspects identified and those considered significant, including those that
can occur in potential emergency situations. The organization should use this information
to understand the need for and to determine operational controls, including those
necessary to mitigate or respond to actual emergency situations. Information on identified
impacts should be included as appropriate. It should be reviewed and updated
periodically, and when circumstances change to ensure it is up to date. For these
purposes, it can be helpful to maintain them in a list, register, database or other form.

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NOTE The determination of significant environmental aspects does not require an environmental impact
assessment.

4. Risk associated with threats and opportunities

The environmental management system provides

value for the organization, its interested parties, and the
environment by addressing the risks associated with
threats and opportunities. A robust, credible and
reliable environmental management system can support the long-term viability of the
organization. Without managing the risk, the organization may not achieve its intended
outcomes nor be able to respond to environmental conditions, including events.

There are three possible sources of threats and opportunities that need to be addressed:
1) significant environmental aspects
2) compliance obligations
3) other issues that need to be addressed that can affect the viability of
the organization, that is its ability to achieve the intended outcomes
of the environmental management system, prevent or reduce
undesired effects or achieve continual improvement

Threats and opportunities related to other issues affecting the environmental

management system can include external environmental conditions, including events, or
inadequate human or financial resources to develop and implement the environmental
management system.

The organization chooses the method by which the risks associated with threats and
opportunities are determined. The approach chosen can involve a very simple qualitative
process or a full quantitative assessment depending on

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the context in which the organization operates, (e.g., size of the organization,
technological sector and maturity level of the environmental management system). The
approach can be in series for all sources of threats and opportunities, or can involve
separate evaluations for each, conducted in parallel.

The process starts with applying an understanding of the context in which the
organization operates, including issues that can affect the intended outcomes of the
environmental management system (4.1) and relevant needs and expectations of
interested parties, including those the organization adopts as compliance obligations
(4.2). These become inputs in determining the organization's significant aspects (6.1.2)
and identifying how the organization's compliance obligations (6.1.3) apply.

The series approach (see diagram in figure 2): The organization can determine its
significant environmental aspects, compliance obligations, and any other issues related
to the organization and its environmental management system, and then conduct an
assessment of risk for all three sources of threats and opportunities.

The parallel approach (see diagram in figure 3): When determining significant
environmental aspects and compliance obligations, the determination of threats and
opportunities for the organization is integrated in this process. It is then applied to
determine any other risks associated with threats and opportunities for the organization
related to issues and requirements identified in 4.1 and 4.2.

The results of this determination are inputs for planning actions, for establishing the
environmental objectives (6.2) and for controlling relevant operations in order to prevent
adverse environmental impact and other undesired effects (8.1).

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The results can also have implications for other areas of the environmental management
system, for example determining competency needs and communications related to the
environmental management system, determining monitoring and measurement needs,
establishing the internal audit programme, and developing emergency response
procedures.

Threats and opportunities can affect the organization and its ability to achieve the
intended outcomes of the environmental management system. Threats affecting the
organization can be caused by, for example

a) significant environmental aspects, such as where a pollution incident

tarnishes the organization's reputation,
b) nonconformities with compliance obligations, which can result in fines,
costs for corrective action, and potentially losing the social license to
operate,
c) environmental conditions, including events, impacting the environment,
such as where climate change causes reduced water availability, which
again can have a financial viability effect as the price of water can
increase due to shortages,
d) views of interested parties on the environmental performance of an
organization which can mobilize broader opposition, and
e) environmental aspects, e.g. a very small spill that hardly contaminate
soil or groundwater, and is therefore not determined as significant from an
environmental perspective, can nevertheless constitute a risk associated
with threats and opportunities to an organization by affecting its image as
being an environmentally conscious enterprise.

Opportunities for the organization can include

a) identifying new technology, such as control equipment that can reduce

polluting discharges,
b) optimizing water use such as recycling water, or
c) working with interested parties to defuse opposition to a proposed waste

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 disposal method.

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 59
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Figure 2 — Series approach – Actions to address risks and opportunities

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 61
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Figure 3 — Parallel approach – Actions to address risks and opportunities

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 5. Planning to take action

The intent of this clause is to encourage organizations to think about and plan how they
should take action to address significant environmental aspects, compliance obligations
and threats and opportunities that can affect the organization or its environmental
management system, using a combination of approaches/methods and determine its
effectiveness.

Planning to take action to meet the intended outcome of the environmental management
system can be done by adopting and using a single approach/method such as setting an
objective, operational control, or through emergency preparedness.

Alternatively, the organization can use a combination of approaches/methods that include

objectives and operational controls involving a combination of control hierarchies. Either
method requires consideration of the life cycle perspective, emergency preparedness and
monitoring and measurement. Typically, organizations adopt and use a combination of
approaches/methods.

Organizations can adopt a variety of methods and techniques to do this evaluation,

ranging from statistical techniques to comparisons of monitoring and measuring results
with expected performance levels.

Some legislative requirements can specify the need for validation or verification of
performance capability and actual performance of some controls. In some instances,
organizations choose to evaluate the effectiveness of the approaches/methods outside
of the environmental management system. This can be done for example through
environmental management systems or engineering processes. Where these
approaches/methods are conducted outside the environmental management system, this
should be referenced within the environmental management system.

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Table A.1 shows examples of environmental aspects, impacts and threats and
opportunities and the planned action to address them for several activities.

Related Documents

1. Actions to address risks and Opportunities General

2. Actions to address risks and Opportunities Environmental aspects

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 ENVIRONMENTAL OBJECTIVES

1. Environmental objectives

In the planning process, an organization sets

objectives to fulfil the commitments established in
its environmental policy and achieve other
organizational goals. The process of setting and
reviewing objectives and implementing
programmes to achieve them provides a
systematic basis for the
organization to improve environmental performance in some areas whilst maintaining its
level of environmental performance in others. Both management and operational
performance can be addressed through the setting of objectives.

2. Planning actions to achieve environmental objectives

a. Setting objectives

In setting objectives, an organization should consider several inputs, including

• principles and commitments in its environmental policy
• its significant environmental aspects (and information developed in
determining them)
• applicable compliance obligations to which the organization subscribes
• threats and opportunities related to other issues affecting the
environmental management system that need to be addressed
• effects of achieving objectives on other activities and processes
• relevant needs and expectations of interested parties
• technological options and feasibility
• financial, operational, and organizational considerations, including
information from suppliers and contractors

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 • possible effects on the public image of the organization
• findings from environmental reviews
• other organizational goals

Objectives should be set at the top level of the organization and at other levels and
functions where activities important to meeting the environmental policy commitments and
overall organizational goals are carried out. Objectives should be consistent with the
environmental policy and commitments to the protection of the environment including the
prevention of pollution, conformity with applicable compliance obligations, and continual
improvement.

An environmental objective can be expressed directly as a specific performance level, or

can be expressed in a general manner and further defined by one or more targets, that
is, a detailed performance requirement that needs to be met in order to achieve an
environmental objective. When targets are set, they should be measurable. Targets may
need to include a specified time frame to be delivered by the programme.

The environmental objectives an organization sets should be considered as part of

its overall management objectives. Such integration can enhance the value of not only
the environmental management system but also the other management systems to which
the integration applies.

Objectives can be applicable across an organization or more narrowly to site- specific or

individual activities. For example, a manufacturing facility may have an overall energy-
reduction objective that can be achieved by conservation activities in one individual
department. In other situations however, all parts of an organization need to contribute in
some way to achieve the organization's overall objective. It is also possible that different
parts of an organization, pursuing the same overall objective, may need to implement
different actionsto achieve their departmental objectives.

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An organization should identify the contributions of different levels and functions of the
organization in achieving the objectives, and make the individual members of the
organization aware of their responsibilities.

Documentation and communication of objectives improves an organization's ability to

achieve its objectives. Information concerning objectives should be provided to those
responsible for achieving them and to other personnel who need such information to carry
out related functions, such as operational control.

b. Programme(s) for achieving objectives

Part of the planning process should include the elaboration of a programme for achieving
the organization's environmental objectives. The programme should address
• roles, responsibilities,
• processes, resources,
• timeframes,
• priorities and the actions necessary for achieving the environmental
objectives.

These actions can deal with individual processes, projects, products, services, sites or
facilities within a site. Organizations can integrate programmes to achieve environmental
objectives with other programmes within their strategic planning process. Programmes
to achieve objectives helpan organization to improve its environmental performance. They
should be dynamic. When changes in processes, activities, services and products within
the scope of the environmental management system occur, the objectives and associated
programmes should be revised as necessary.

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To achieve its objectives, an organization can find it useful to follow a process: for each
policy commitment, identify each objective that corresponds to that commitment, establish
one or more programmes to achieve each objective, and identify specific performance
indicators and actions to implement each programme. The specific objectives should
then be redefined to ensure that the performance indicators and actions can address
them. This process can be repeated as appropriate, for example if the policy is changed
or after a management review.

c. Performance indicators

An organization should establish measurable

environmental performance indicators. Such
indicators should be objective, verifiable and
reproducible. They should be appropriate to the
organization's activities, products and
services, consistent with its environmental policy, practical, cost-effective and
technologically feasible. These indicators can be used to track an organization's progress
in achieving its objectives They can also be used for other purposes, such as part of an
overall process for evaluating and improving environmental performance. The
organization should consider the use of both management and operational environmental
performance indicators appropriate to its significant environmental aspects.

An organization's environmental performance indicators are an important tool for

monitoring continual improvement.

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Performance indicators — Guidance

Progress towards an objective can generally be measured using

environmental performance indicators such as

• quantity of raw material or energy used

• quantity of emissions such as CO2
• waste produced per quantity of finished product
• efficiency of material and energy used
• number of environmental incidents (e.g. excursions above limits)
• number of environmental accidents (e.g. unplanned releases)
• percentage waste recycled
• percentage recycled material used in packaging
• number of service vehicle kilometres per unit of production
• quantities of specific pollutants emitted, e.g. NOx, SOx, CO, VOCs, Pb,
CFCs
• investment in environmental protection
• number of prosecutions
• land area set aside for wildlife habitat
• number of persons trained in environmental aspect identification
• percentage of budget spend on low emission technology

Related Documents

1. Environmental objectives and planning to achieve them – EnvironmentalObjective

Auditor’s Approach

1. Has the organization established environmental objectives at relevant

functions and levels?
2. Does the organization maintain these documented objectives?
3. Are the organization‘s EMS objectives measureable, where

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practicable?
4. Are the organization‘s EMS objectives communicated to interested
parties?
5. Are the organization‘s EMS objectives consistent with its EMS policy?
6. Are the organization‘s EMS objectives monitored?
7. Are the organization‘s EMS objectives updated as appropriate?
8. Are the organization‘s EMS objectives consistent with its commitment
to the prevention of Pollutions?
9. Are the organization‘s EMS objectives consistent with its commitment
to compliance obligations?
10. Are the organization‘s EMS objectives consistent with its commitment
to continual improvement?
11. When establishing and reviewing its objectives, does the organization
consider its financial requirements?

12. When establishing and reviewing its objectives, does the organization
consider its operational requirements?
13. When establishing and reviewing its objectives, does the organization
consider its business requirements?
14. When establishing and reviewing its objectives, does the organization
consider the views of interested parties including the views of workers?
15. Are the objectives and targets consistent with the EMS policy, including
the commitment to measuring and improving EMS performance?
16. Are the objectives set by the organization specific?
17. Are the objectives set by the organization achievable?
18. Are the objectives set by the organization relevant?
19. Are the objectives and targets set by the organization timely?
20. Does the organization record the back ground and reasons for setting
the objectives, in order to facilitate their future review?

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 COMPLIANCE OBLIGATIONS AND EVALUATION

1. General

Compliance obligations can result in threats and opportunities for the organization. An
organization should establish, implement and maintain procedures to identify and have
access to compliance obligations that are applicable to the environmental aspects of its
activities, products and services. The purpose of such procedures is to enable the
organization to be aware of the various requirements and determine how they apply to
the environmental aspects of the organization's activities, products and services. An
organization should ensure that appropriate information about applicable compliance
obligations is communicated to all persons working under the organization's control, such
as contractors or suppliers whose responsibilities relate to, or whose actions can affect,
the organization's compliance with such requirements.

2. Legal requirements

The organization can access one or more information

sources as a means to identify legal requirements related to
its environmental aspects. Such sources can include
governmental,regulatory agencies, industry associations or
trade groups, commercial databases and publications and
professional advisors and
services. The process should enable the organization to anticipate and prepare for new
or changed legal requirements, so that it can maintain conformity. The organization
should also consider how planned or new developments and new or modified activities,
products and services can affect its compliance status.

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 3. Other compliance obligations

The organization also needs to determine how other

compliance obligations it has adopted, originating from
other interested parties (as identified in 4.2), relate to
the organization's environmental aspects. The process
should enable the organization to
consider and prepare for new or changing needs and expectations from these parties, so
that preparatory action can be taken as appropriate to maintain conformity. The
organization should also consider how planned or new developments and new or
modified activities, products and services can affect its interested parties and their
relevant needs and expectations.

4. Documented information

The organization should maintain documented information of its compliance obligations

which could be in the form of a register or list. This can help to maintain awareness and
transparency with regard to applicable requirements. This register should be reviewed
periodically to ensure it remains up to date. This register or list could include

• the source or origin of the compliance obligation,

• an overview of the compliance obligation, and
• how the obligation relates to the organization's aspects and/or
relevant requirements of interested parties.

The organization should ensure that persons doing work under its control are aware of
the importance of conforming to its compliance obligations. Such persons can include
employees, contractors and suppliers, for example wherethe organization relies upon the
supplier to provide sub-components or materials that conform to these obligations.

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Commitment to compliance - Guidance

Conformity with applicable compliance obligations is a core commitment of an

environmental management system. This commitment should be reflected in the planning
process and implemented throughout the environmental management system. Top
management should periodically review the adequacy of the environmental management
system to ensure its effectiveness, including its compliance- related components.

For convenience, the principal compliance-related components of the environmental

management system are summarized in the following list. An organization should
establish, implement and maintain processes and provide adequate resources to
a) establish a policy that includes a commitment to satisfy applicable
compliance obligations,
b) identify, have access to and understand applicable compliance
obligations,
c) set objectives that consider the need for compliance,
d) achieve compliance-related objectives, by implementing
• programmes that identify roles, responsibilities, procedures, means
and timeframes to achieve compliance-related objectives, and
• operational controls (including procedures, as necessary) to implement
the commitment to compliance and compliance-related objectives,
e) ensure that all persons working under the organization's control areaware
of related procedures that apply to them, and the consequences of failing
to meet applicable compliance obligations,
f) ensure that all persons working under the organization's control have the
necessary competence regarding applicable compliance obligations,
related procedures that apply to them, and the importance of meeting
applicable compliance obligations, on the basis of appropriate education,
training, or experience,

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 g) periodically evaluate conformity with applicable compliance obligations,
h) identify any instances of noncompliance or nonconformity (and
foreseeable potential noncompliance or nonconformity) and take prompt
action to identify, implement and follow up corrective actions,
i) maintain and retain documented information of its conformity with
applicable compliance obligations,
j) address compliance-related features when conducting periodic audits
of the environmental management system, and
k) consider changes in applicable compliance obligations when undertaking
the management review. The commitment to compliance reflects an
expectation that an organization employ a systematic approach to achieve
and maintain conformity with applicable compliance obligations.

5. Evaluation of compliance

The organization should evaluate its compliance by

monitoring, measuring, analysing and reviewing its
performance against its compliance obligations (as
determined in 4.2 and 6.1.3). This process allows the
organization to demonstrate its
commitment to satisfy compliance obligations and to mitigate potential legal action or
action from its interested parties.

All compliance obligations need to be evaluated periodically although the frequency and
the timing of each can differ depending on:

• the organization's legal requirements,

• relevance of other requirements adopted as compliance obligations,
• changes to the compliance obligations,
• the organization's past performance relating to a compliance obligation,
and

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 • expected variations in performance of a process or activity, e.g. the

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performance of a waste water treatment plant can vary depending onthe volume of
waste water received.

Evaluation of compliance should be an iterative process which utilises the output from
other areas of the environmental management system when determining the compliance
status of the organization. For example:

• The scope and frequency of internal audits can take into account
compliance obligations and can be analysed and contribute to the
evaluation of compliance.
• Determination of significant environmental aspects, and risk associated
with threats and opportunities, planning of actions and environmental
objectives, and development of processes for awareness, external
communication and operational planning and control, can take into
account compliance obligations. The effectiveness of such measures can
provide evidence of compliance.
• Monitoring, measuring, analysis and evaluation can be established taking
into account compliance obligations, and the results can be used to
evaluate compliance.

The organization can choose to review reports and communication providedby interested
parties (e.g. regulatory site inspection reports or customer audits), or communicate with
them specifically on their compliance obligations.

Where a failure or potential failure to meet a compliance obligation is identified, the

organization should take action. The organization's nonconformity and corrective action
procedure could be used to deal with such nonconformities. Where appropriate the
organization can communicate or report on nonconformities to the relevant interested
party for that compliance obligation.

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By evaluating compliance, the organization should gain knowledge and understanding its
compliance status. Top management should maintain an awareness of the organization's
compliance status and review the organization's fulfilment of its compliance obligations at
the management review. The frequency of compliance evaluation activities should be
appropriate to maintain knowledge and understanding of its status of conforming to its
compliance obligations. Compliance evaluation should be conducted in a timely manner
in relation to the management review.

The organization should retain documented information as evidence of its evaluation of

compliance. This could include:

• internal and external audit reports

• results of monitoring and measurement
• internal and external communications and reports

Related Documents
1. Actions to address risks and Opportunities – Compliance Obligations

Auditor’s Approach

1. Has the organization maintained documented information?

2. Has the organization determined and have access to the compliance
obligations related to its environmental aspects?
3. How does this compliance obligation apply to the organization?
4. Does the organization keep information about its compliance
obligations up‐to‐date?
5. Does the organization communicate relevant information on
compliance obligations to persons working under the control of the
organization?
6. Does the organization communicate relevant information on
compliance obligations to other relevant interested parties?

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 7. Has the organization established and implemented the processes
needed to evaluate fulfillment of its compliance obligations?
8. Has the organization determined the frequency that compliance will
be evaluated?

9. Does the organization keep documented information of the results of

the periodic evaluations?
10. Has the organization evaluated compliance and taken action if
needed?
11. Has the organization maintained knowledge and understanding of its
compliance status?
12. Has the organization established and implemented the documented
information for periodically evaluating compliance with which it
subscribes?

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 UK Legislations

Important Environmental Laws

1. Environmental Protection Act 1990

2. Town & Country Planning Act 1990
3. Water Resources Act 1991
4. Water Industry Act 1991
5. Water Industry Act (Scotland) 2002
6. Control of Pollution Act 1974
7. Sewerage (Scotland) Act 1968
8. Clean Air Act 1993
9. Environment Act 1995
10. Pollution Prevention and Control Act 1999
11. Climate Change Act 2008
12. Energy Act 2008
13. Environmental Permitting (England & Wales) Regulations 2010
14. Hazardous waste regulations 2005
15. Landfill regulations

Environmental Protection Act 1990

The Act is in 9 parts the first three of which are of greater importance to many
manufacturing operations.

Part I (Sections 1-28) deals with Integrated Pollution Control (IPC) and LocalAuthority
Air Pollution Control (LAPC) and is enacted by a series of Statutory Instruments. A key
requirement for IPC processes is the use of BATNEEC (Best Available Technique
Not Entailing Excessive Cost) and BPEO (BestPracticable Environmental Option).
BPEO does not apply to APC processes. Part 1 has now been replaced with The
Pollution Prevention and Control(England and Wales) Regulations, SI 2000/1973,
which implement the ECDirective 96/61/EC on Integrated Pollution Prevention and
Control (IPPC).

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Part II covers Waste on Land (Sections 29- 78) and is again enacted by a series of
Statutory Instruments and Codes of Practice. Section 34 deals with the Duty of Care.
Part III (Sections 79 – 85) covers Statutory Nuisance and Clean Air and empowers
Local Authorities to abate a statutory nuisance or to prevent oneoccurring.
Part IV (Sections 86 – 99) imposes duties on local authorities to keep publicplaces
clear of litter.
Part V (Sections 100 – 105) amended the Radioactive Substances Act 1960,but has
itself been subsequently repealed by the Radioactive Substances Act 1993.
Part VI (Sections 106 -127) governs the control and use of genetically modified
organisms (GMO‘s).
Part VII (Sections 128 – 139) deals with nature conservation and the enforcing
authorities.
Part VIII (Sections 140 -155) provides for controls on dangerous substances,
contaminated land and a variety of other diverse environmental concerns. Section 143
on contaminated land was repealed by the Environment Act1995, which inserted a Part
IIA on contaminated land into this Act.
Part IX (Sections 156 -164) outlines general provisions. Section 157 outlines offences by
corporate bodies.

Town & Country Planning Act 1990

Planning legislation was first introduced shortly after World War II in 1947. It has more
recently been updated and consolidated in the Town & Country Planning Act 1990.
Legislation requires applicants to submit an application for the grant of planning consent.
Such applications are considered by development control officers prior to a
recommendation being made to the local planning authority. Application may
subsequently be approved, with or without conditions or may be refused. Applicants have
a right of appeal against refusal and or conditions

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Water Industry Act 1991 & Water Industry (Scotland) Act 2002

The Water Industry Act of 1991, section 118, deals with the duties of theEnglish and
Welsh water company‘s supply of water, provision of sewerage services and control of
discharges to foul sewer through a consentingmechanism.

The Water Industry (Scotland) Act 2002 established Scottish Water as the corporate
body who are now responsible for the discharge of water and sewerage functions
previously held by existing authorities

Sewerage (Scotland) Act 1968

The Sewerage (Scotland) Act 1968 deals with the duties of the water service authorities
in supply of water, provision of sewerage services and control of discharges to foul sewer
through a consenting mechanism.

Water Resources Act 1991

The Water Resources Act 1991, section 88, deals with discharges made to controlled
waters in England and Wales (coastal waters, inland waters, rivers, streams, underground
streams, canals, lakes and reservoirs, groundwater). The EA sets standards for
discharges into controlled waters that take into consideration the ability of the water to
assimilate the polluting substance. One role of the EA is to control the discharges made
by the water service companies.

The Environmental Permitting Regs 2010 amend part of this Act. Consents fordischarges
are no longer covered under this Water Resources Act.

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Control of Pollution Act 1974 (COPA)

COPA deals with discharges made to Scottish controlled waters (coastal waters, inland
waters, rivers, streams, underground streams, canals, lakes and reservoirs,
groundwater). SEPA sets standards for discharges into controlled waters that take into
consideration the ability of the water to assimilate the polluting substance. One role of
SEPA is to control the discharges made by the water service authorities.

Clean Air Act 1993

The Clean Air Act 1993 provides a control mechanism for the protection of the
environment from smoke, dust and fumes. As in the case of other Acts already described
this legislation is enacted by a series of statutory instruments which add detail to the
provisions of the Act. Black smoke is monitored by use of the Ringlemann chart.

Environment Act 1995

The Environment Agency (EA) and Scottish Environmental Protection Agency (SEPA)
now offers a single contact for business and is a move towards the Government‘s aim of
single permitting.
The Act invests Local Authorities with the duty to inspect their area to identify any
contaminated land therein, and to serve remediation notices if deemed necessary.
The Act establishes a legal base for regulations on packaging recovery in accordance
with the EU‘s Packaging Directive 94/62/EC.
The Act further provides for national strategies for waste and air quality.

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Packaging Waste Regulations

The Producers Responsibility Obligations (Packaging Waste) Regulations, SI 2007/871

implement EC Directive 94/62/EC and are concerned with the recovery and recycling of
packaging waste. The legislation sets out roles of individual companies, registered
schemes and the regulator (EA/SEPA). The intention is to ensure that the UK meets its
national recovery and recycling target of 70% by the year 2010. The regulation sets out
six key packaging activities in the packaging chain (as outlined on the slide opposite).

Recovery of packaging waste can be by recycling (i.e. reprocessed into a new material),
by converting into energy or into compost.

A person is classed as a producer of packaging if: they supply packaging materials or

products; they handled more than 50 tonnes of packaging or packaging materials per
annum; and their turnover was £2M or over in the previous financial year.

The regulations implement recovery schemes for packaging waste which tend to be run
by private companies. Organisations that fall under the packaging waste regulations will
generally join these schemes in order to meet their packaging waste obligation.

Waste Carriers

The Waste (England & Wales) Regulations 2011 introduce a two-tier system for
waste carrier, broker and dealer registration.

You need to register as an upper tier carrier or broker if you want to carry, broker or deal
in other people’s controlled waste, or if you carry your own construction or demolition
waste.

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Upper tier registration lasts for three years and requires a fee to register or renew
registration.

You need to register as a lower tier carrier if you only carry, broker or deal in animal by-
products, waste from mines/quarries, and waste from agricultural premises. You also
need to register as a lower tier carrier if you carry, broker or deal in other people‘s waste
and are a waste collection, disposal or regulation authority or a charity or voluntary
organisation. From the end of December 2013 you will also need to register as a lower
tier carrier if you normally and regularly carry controlled waste produced by your own
business, other than construction or demolition waste.

Registration as a lower tier carrier, broker or dealer is currently free and lasts indefinitely,
unless your registration is revoked or withdrawn.

Special Waste Regulations

The Special Waste Regulations 1996 were made under Section 33 of the Environmental
Protection Act 1990. The regulations introduced a consignment note procedure for
Special Wastes. In England and Wales the Special Waste Regulations have been
repealed by the Hazardous Waste Regulations 2005.
Note: In Scotland the current Special Waste Amendment (Scotland) Regulations 2004
are still in place and special waste has the same definition as hazardous waste.
In Scotland SEPA must be notified before the disposal of all Special Waste by the
consignment note system. The system requires a 5 copy pad of consignment notes.
Waste producers and consignors must maintain a register of notes for three years.

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Hazardous Waste Regulations 2005

The above regulation implement the European hazardous waste directive and came into
action on the 1st july 2005. The purpose of the regulations is to provide an effective system
of control for wastes, which are dangerous and difficult to handle, to ensure they are
soundly managed from their production to their final destination for disposal or recovery.

Landfill Regulations

The Landfill (England and Wales) Regulations 2002 and the Landfill (Scotland)
Regulations 2003, as amended, implement the requirements of the 1999 EU Landfill
Directive and made significant change so the control regime for operating a landfill site.

The Directive‘s overall objective is to prevent or reduce, as far as possible, the negative
effects of landfilling on the environment, as well as any resultant risk to human health.

Under the regulations co-disposal of hazardous with other wastes is banned (from 16 July
2004). Hazardous waste has to be pre- treated before it can be landfilled (this requirement
began on 16 July 2004).

Liquid wastes cannot be landfilled and waste with total organic content (TOC)of more
than 6% is no longer accepted for landfill.

Hazardous waste being landfilled will have to meet the general waste acceptance criteria
(WAC) set out in schedule 1 to the Landfill Regulations

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Climate Change Act 2008

The Climate Change Act 2008 received Royal Assent on 26 November 2008, and
established a framework for the UK to achieve its long- term goals of reducing
greenhouse gas emissions. It also created powers to introduce national emissions trading
schemes through secondary legislation, to develop waste reduction schemes and to
introduce minimum charges for single-use carrier bags.

Key provisions are listed on the slide opposite and also include a requirement that the
government should ensure adequate protection for the environment as the energy
market changes.

The guidance on the way companies should report greenhouse gas emissions is being
co- ordinated by DEFRA.

Energy Act 2008

The Energy complements the Climate Change Act 2008 by addressing the need to tackle
climate change through the reduction of carbon emissions.
It includes provisions which strengthen the regulatory framework by putting in place new
legislative measures to reflect the availability of new technologies, such as carbon capture
and storage, emerging renewable technologies and smart meters; and to respond to
changing requirements for security of supply infrastructure, such as offshore gas storage.

Pollution Prevention and Control Regs 2000

The Pollution Prevention and Control Regulations came into force on 1st August 2000.
The regulations were amended in Scotland in 2005 and replaced in England and Wales
in 2007 (Also refer to later slides on the

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Environmental Permitting Regulations 2007 and 2010). They are made under the Pollution
Prevention and Control Act 1999 and implement the EC Directive 96/61/EC on
Integrated Pollution Prevention and Control (IPPC). They establish a new regime for the
control of industrial and all other installations that have a considerable impact on the
environment and shall replace Part 1 of the Environmental Protection Act 1990. This
regime is commonly referred to as ―PPC‖.

Environmental Permitting Regulations 2007

The Environmental Permitting (England and Wales) Regulations 2007 (EPR) came into

force on 6th April 2008, apply to England and Wales only and replace the previous
provisions with regard to: Pollution Prevention and Control Permits in the Pollution
Prevention and Control (England and Wales) Regulations 2000 and Waste Management
Licenses as required under the Waste Management Licensing Regulations. The EPR
system also encompasses the permits previously required for landfill, waste incineration
and the operation of large combustion plants.

Environmental permits are required for industrial and waste activities which could harm
human health and the environment unless they are controlled. They apply to installations
classed as either Part A(1), Part A(2) or Part B. Part A(1) is more polluting compared to
Part A(2) and Part A(2) more than Part B.

Schedule 1 sets out the activities which need to be controlled. Where an activity falls
under these Regulations, the operator must obtain a permit. Such operations that meet
the requirements of Schedule 2 and fall within a description of the operations in Schedule
3 can be exempt and don‘t require a permit.

A single site permit can be issued which authorises multiple sites under the same Permit.

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Environmental Permitting Regulations 2010

The NEW Environmental Permitting (England and Wales) Regulations 2010 came into

force on the 6th April 2010. They extend the current system of environmental permits. The
areas they now also cover are listed on the slide opposite.

If you currently hold a water discharge consent, groundwater authorisation or radioactive

authorisation you will not have to re-apply. Your consent or authorization will automatically
become an environmental permit when the new regulations come into force.

Exemptions for certain activities still apply

End of Life Vehicles Regulations 2003

The End of Life Vehicles (ELV) Regulations 2003 require producers of vehicles to set up
collection, treatment and disposal systems to make sure that vehicles and their
components in vehicles can be recovered, reused and recycled at the end of their life.

The ELV (Producers Responsibility) Regulations 2005 content the requirements for
producers to register responsibility for vehicles placed on the market and apply for
approval of their vehicle collection system. They also introduce reuse, recovery and
recycling targets for end-of-life vehicles treated at authorised treatment facilities.

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Control of Asbestos Regulations 2006

Bans the import, supply and new use of asbestos. Outlines employers‘ duties to assess
risks and limit employees‘ exposure.

These Regulations bring together the three previous sets of Regulations covering the
prohibition of asbestos, the control of asbestos at work and asbestos licensing.

The duties under the Control of Asbestos Regulations 2006 are largely the same as under
the previous regulations, but there are some important changes:
• There is a new, lower control limit (which no one must go over) of 0.1
fibres per millilitre of air measured over four hours.
• Work with textured coatings will, generally, not need to be done
by a licensed contractor. It will still need to be done safely by trained,
competent people working to certain standards.
• Employers need a licence to carry out work in their own premises with
their own workers if the work would otherwise require a licence.
• Suitable training required for anyone who is, or may be, exposed to
asbestos.

WEEE Regulations 2006 and Amends

The waste electrical and electronic equipment (WEEE) Regulations aim to:

• Reduce the amount of WEEE being produced and to encourage

everyone to reuse, recycle and recover it.
• Improve the environmental performance of businesses that
manufacture, supply, use, recycle and recover electrical and electronic
equipment.

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Reduce the amount of WEEE sent to landfill. Requires producers of electrical and
electronic equipment to register and cover the costs of collecting, treating, recovering and
disposing of equipment when it reaches the end of its life.

REACH Regulations 2007

REACH is a new European Union (EU) regulation concerning the Registration, Evaluation,

Authorisation and restriction of Chemicals. It came into force on 1st June 2007 and
replaces a number of European Directives and Regulations with a single system.

It applies to most chemical substances manufactured in, or imported into, the EU in

quantities of one tone or more per calendar year.

The European Chemicals Agency (ECHA) manage registration, evaluation, authorisation

and restriction processes for chemical substances across the EU.

The UK REACH Competent Authority is hosted by the Health and SafetyExecutive (HSE)
and their responsibilities under this legislation include: provision of advice to UK
businesses on REACH; enforcing compliance; and working with ECHA.

Environmental Damage (Prevention and Remediation) Regulations 2009

Environmental Damage (Prevention and Remediation) Regulations 2009 came into force

in England on 1st March 2009 to implement the requirements of the Environmental

Liability Directive into UK law.
They aim to prevent environmental damage by imposing obligations on operators of
economic activities requiring them to prevent, limit or remediate environmental damage.
They apply to damage to protected species, natural habitats, sites of special scientific
interest (SSSIs), water and land.

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If the environmental damage is caused by an installation, waste operation or mobile plant
that requires a permit or registration under the Environmental Permitting (England and
Wales) Regulations 2010, then the enforcing authority is either the Environment Agency
(EA) or the local authority (LA), depending who issued the permit or registration.

In other cases the enforcing authority will be the: Environment Agency (EA), with regard
to damage to water; local authority, with regard to damage to land; Natural England, with
regard to damage to protected species, natural habitats and SSSIs; and the Secretary of
State, with regard to damage in the continental shelf or territorial seas.

Certain activities or incidents are exempt, for example oil pollution covered by international
convention and damage caused by radioactivity.

Batteries and Accumulators Regulations 2009

The Batteries and Accumulators Regulations 2008 came into force on 9th May 2009,
implement the EU Battery Directive 2006 and regardless of their shape, volume, weight,
material compositions or use, and whether or not they are incorporated into appliances.

New primary batteries are single use batteries and accumulators are more commonly
known as rechargeable batteries.

The regulations set out the requirements for waste battery collection, treatment, recycling
and disposal for all battery types including arrangementsby which the UK intends to meet
waste portable battery separate collection targets of 25% by 2012 and 45% by 2016.

The main groups affected by these regulations and the Batteries and Accumulators
(Placing on the Market) Regulations 2008 are those wishing to put batteries in the UK
market, battery distributors/retailers, waste battery collectors, recyclers and exporters.

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OPERATIONAL PLANNING & CONTROL AND
EMERGENCY PREPAREDNESS

1. Operational control

The organization should ensure that its operations and associated processes are
conducted in a controlled way in order to fulfil the commitments of its environmental policy,
achieve its environmental objectives, and manage its significant environmental aspects
and its risk associated with threats and opportunities. To plan for effective and efficient
operational controls, an organization should identify where such controls are needed and
for what purpose. It should establish the types and levels of controls that meet the
organization's needs. The operational controls selected should be maintained and
evaluated periodically for their continuing effectiveness.

When determining controls, or considering changes to existing controls, consideration

should be given to eliminating or reducing the risk associated with adverse environmental
impacts or other types of threats according to the following hierarchy:

• elimination, such as banning the use of PCBs, CFCs, etc.

• substitution, such as change of solvent-based paint to water-based paint
• engineering controls, such as emission controls, abatement technology,
etc.
• administrative controls, such as procedures, visual controls, work
instructions, SDSs, etc.

To avoid deviations that can occur from the environmental policy, environmental
objectives and applicable compliance obligations, documented information can be
developed as appropriate, to explain, for example

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 • a specific sequence of activities that needs to be carried out
• necessary qualifications of the personnel involved (including any
workmanship required)
• key variables that need to be kept within certain limits (such as time,
physical, biological)
• characteristics of the materials to be used
• characteristics of the infrastructure to be used
• characteristics of the products resulting from the process.

2. Identifying needs for operational controls

An organization can use operational controls to

• manage identified significant environmental aspects
• ensure conformity with compliance obligations
• achieve objectives and ensure consistency with its environmental policy,
including the commitment to protection of the environment and the
prevention of pollution and continual improvement
• avoid or minimize risk associated with threats to the environment or the
organization
• optimize opportunities

Based upon the scope of its environmental management system, an organization should
determine operational controls (see 6.1 and 6.2) for its product development cycle and
operations, including those related to functions such as research and development,
design; sales, marketing, purchasing, and facility management.

The type and extent of control or influence to be applied during the product life cycle
should be defined within the environmental management system.

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An organization should consider how external providers and outsourced processes can
affect its ability to manage its environmental aspects and meet its compliance obligations.
An organization should establish operational controls that are needed, such as
documented procedures, contracts or supplier agreements or end user instructions, and
communicate them to its contractors, suppliers and users as appropriate. An outsourced
process canbe subject to control or influence and is one in which:

a) the function or process is integral to the organization's functioning;

b) the function or process is needed for the management system to achieve
its intended outcome;
c) the liability for the function or process conforming to requirements is
retained by the organization; and
d) the organization and the external provider have an integral relationship
e.g. one where the process is perceived by interested parties as beingcarried out by the
organization.

3. Establishing operational controls

Operational controls are a specified way of managing activities and can take various
forms, such as procedures, work instructions, physical controls, use of competent
personnel or any combination of these. The choice of the specific control methods
depends on a number of factors, such as the skills and experience of people carrying out
the operation and the complexity and environmental significance of the operation itself.
An organization can choose to plan and establish processes to enhance its ability to
implement controls ina consistent manner (see 6.2.2).

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A common approach to establishing operational controls can include:

a) choosing a method of control

b) selecting acceptable operating criteria
c) establishing processes, as needed, that define how identified operations
are to be planned, carried out and controlled
d) documenting these processes, as needed, in the form of instructions,
signs, forms, videos, photos, etc.
e) applying technological options, such as automated systems, materials,
equipment and software

Operational controls can also include provisions for measurement and monitoring and
evaluation and for determining whether operating criteria are being met.

Once operational controls have been established, an organization should monitor the
continuing application and effectiveness of these controls as well as plan and take any
action needed.

4. Emergency preparedness and response

In planning a response to an emergency situation

consideration should be given to the initial
environmental impact that can result, and any
secondary impact that can occur as a result of
responding to the initial environmental impact. For
example, in responding to a fire, the potential for
contaminated fire-water runoff should be taken into
account.

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In planning for emergency preparedness, potential consequences of abnormal operating
conditions and emergency situations and their mitigation should be taken into account.

Emergency preparedness and response - Guidance

When identifying potential emergency situations special attention should be paid to start-
up and shutdown conditions and reasonably foreseeableemergency conditions that can
result from this.

This can include different types of situations, such as small scale spillages of chemicals
or failure of emission abatement equipment, and serious environmental situations
endangering humans and environment to a broad extent. The organization should be
prepared for each type of reasonableforeseeable emergency situation.

Environmental emergencies include those that derive from external environmental

conditions, including events, e.g. flooding or from acts by other organizations such as
discharges to land or water combining with those from another organization operating on
the same site.

It is the responsibility of each organization to establish (an) emergency preparedness and

response procedure(s) that suits its own particular needs. In establishing its
procedure(s), the organization should include consideration of

• actual and potential external environmental conditions, including natural

disasters
• the nature of on-site hazards, e.g. flammable liquid, storage tanks,
compressed gases and measures to be taken in the event of spillages or
accidental releases
• the most likely type and scale of an emergency situation or accident,

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 • equipment and recourses needed
• the potential for (an) emergency situation(s) or accident(s) at a nearby
facility (e.g. plant, road, railway line)
• the most appropriate method(s) for responding to an accident or
emergency situation
• the actions required to minimize environmental damage
• emergency organization and responsibilities
• evacuation routes and assembly points
• a list of key personnel and aid agencies, including contact details, e.g.
fire department, spillage clean-up services
• the possibility of mutual assistance from neighbouring organizations,
• internal and external communication processes
• mitigation and response action(s) to be taken for different types of
accident or emergency situation(s)
• process(es) for a post-accident evaluation to establish and implement
corrective and preventive actions
• periodic testing of emergency response procedure(s)
• information on hazardous materials, including each material's potential
impact on the environment, and measures to be taken in the event of
accidental release
• training or competency requirements including those for emergency
response personnel and testing its effectiveness

Related Documents

1. Operational Planning and Control

2. Emergency Preparedness and response

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Auditor’s Approach

1. Has the organization established, implemented, controlled and maintained

the processes needed to meet the EMS requirements and implemented
the actions identified?
2. Has the organization established operating criteria for the processes?
3. Has the organization implemented control of the processes in accordance
with the operating criteria?
4. Does the controls include engineering controls and procedures?
5. Does the organization controls follow any hierarchy?
6. Does the organization control planned changes and review the
consequences of unintended changes, taking action to mitigate any
adverse effects?
7. Has the organization ensured outsourced processes are controlled or
influenced?
8. How the organization ensures the consistency with a life cycle
perspective?
9. Has the organization established controls as appropriate to the EMS
requirements?
10. Has the organization determined EMS requirements for the procurement
of products and services?
11. Has the organization communicated its relevant EMS requirements
toexternal providers (contractors)?
12. Has the organization considered the need to provide information about
potential significant environmental impacts associated with transportation
or delivery?
13. Has the organization considered use and end-of-life treatment and final
disposal of its products and services?
14. Does the organization maintain the documented information?
15. Has the organization established, implemented and maintained the
documented information to identify the potential for emergency situations?

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 16. When identifying potential emergency situations, does the organization
give consideration to emergencies that can occur both during normal

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operations and abnormal conditions (e.g. operation start‐up or shut‐ down, construction
or demolition activities)?
17. Has the organization established and implemented a documented
information to respond to emergency situations?
18. Does the emergency response documented information define the roles,
responsibilities and authorities of those with emergency response duties,
especially those with an assigned duty to provide an immediateresponse?
19. Does the emergency response documented information set out details of
evacuation procedures?
20. Does the emergency response procedure set out information necessary
for undertaking the emergency response (e.g. plant layout drawings,
identification and location of emergency response equipment, identification
and location of hazardous materials, utility shut‐off locations, contact
information for emergency response providers)?
21. In planning its emergency response does the organization take account of
the requirements of emergency services agencies?
22. In planning its emergency response does the organization take account of
the needs of other relevant interested parties, e.g. family, neighbours, local
community, media?
23. Does the organization ensure that emergency response equipment is
inspected and/or tested at regular intervals?
24. Has the organization determined the training needed for personnel who are
assigned emergency response duties and does it ensure that this training
is received?
25. Do tests of the organization‘s documented information to respond to
emergency situations involve relevant interested parties, e.g. emergency
services and neighbours, as appropriate?
26. Does the organization periodically review and, where necessary, revise its
emergency preparedness and response procedure?

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 POLLUTION MANAGEMENT

This chapter deals about various types of Pollution Management techniques.

Environmental Pollution:

It can be defined as any undesirable change

in physical, chemical, or biological
characteristics of any component of the
environment i.e. air, water, soil which can
cause harmful effects on various forms of life
or property.

Pollution: The term pollution can be defined as influence of any substance causing
nuisance, harmful effects, and uneasiness to the organisms.

Pollutant: Any substance causing Nuisance or harmful effects or uneasiness to the

organisms, then that particular substance may be called as the pollutant.

Various Pollution Control methods we are going to deal in this chapter are

• Noise Management
• Air Pollution Management
• Water Pollution Management
• Solid Waste Management
• Hazardous Material Management

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Noise Management

1. What Is Noise Pollution?

The most common definition of noise is "unwanted sound." A
sound might be unwanted because it is:

Loud
Unpleasant or annoying
Intrusive or distracting

The word "noise" descends from the Latin word "nausea," meaning seasickness, or, more
generally, any similar sensation of disgust, annoyance, or discomfort.

Noise pollution refers to sounds in the

environment that are caused by humans and that
threaten the health or welfare of human or animal
inhabitants.

The most common source of noise pollution by far,

the one that affects the most people on the planet
is motor
vehicles. Aircraft and industrial machinery are also major sources. Additional noise
pollution is contributed by office machines, sirens, power tools, and other equipment.

Noise pollution is not easy to measure, because the very definition of noise depends on
the context of the sound and the subjective effect it has on the people hearing it. One
person's idea of exultant, joyful music might be another person's pure torment.

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Sound Measurement
The decibel (abbreviated dB) is the unit used to measure the
intensity of a sound. The decibel scale is a little odd because the
human ear is incredibly sensitive. Your ears can hear everything
from your fingertip brushing lightly over your skin to a loud jet
engine. In terms of power, the sound of the jet engine
is about 1,000,000,000,000 times more powerful than the smallest audible sound. That's
a big difference!

On the decibel scale, the smallest audible sound (near total silence) is 0 dB.A sound
10 times more powerful is 10 dB. A sound 100 times more powerful than near total silence
is 20 dB. A sound 1,000 times more powerful than near total silence is 30 dB. Here
are some common sounds and their decibelratings:

Near total silence - 0 dB

A whisper - 15 dB

Normal conversation - 60 dB

A lawnmower - 90 dB

A car horn - 110 dB

A rock concert or a jet engine - 120 dB

A gunshot or firecracker - 140 dB

You know from your own experience that distance affects the intensity of sound -- if you
are far away, the power is greatly diminished. All of the ratings above are taken while
standing near the sound.

Any sound above 85 dB can cause hearing loss, and the loss is related both to the
power of the sound as well as the length of exposure. You know thatyou are listening
to an 85-dB sound if you have to raise your voice to be heard by somebody else. Eight
hours of 90-dB sound can cause damage to your ears; any exposure to 140-dB sound
causes immediate damage (and causes actual pain).

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 2. Sources of Noise Pollution:

Some Major Sources of noise pollution are

Industrial Sources
Transport Vehicles
Household
Public Address System
Agricultural Machines
Defence Equipment
Miscellaneous Sources

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Industrial Sources:

Textile Mills, Printing Presses, Engineering establishments and metal works etc.
contribute heavily towards noise pollution.

Transport Vehicles:

Automobile revolution in urban centers has proved to

be a big source of noise pollution. Increasing traffic has
given rise to traffic jams in congested areas where the
repeated hooting of horns by impatient drivers pierce
the ears of all road users.

Household:

The household is an industry in itself and is a source of many indoor noises such as the
banging of doors, noise of playing children, crying of infants, moving of furniture, loud
conversation of the inhabitants etc. Besides these are the entertainment equipment in
the house, namely the radio, record- players and television sets. Domestic gadgets like
the mixer-grinders, pressure cookers, desert coolers, air- conditioners, exhaust fans,
vacuumcleaners, sewing and washing machines are all indoor sources of noise pollution.

Public Address System:

In India people need only the slightest of an excuse for using loud speakers. The reason
may be a religious function, birth, death, marriage, elections, demonstration, or just
commercial advertising. Public system, therefore, contributes in its own way towards
noise pollution.

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Agricultural Machines:

Tractors, thrashers, harvesters, tube wells, powered tillers etc. have all made agriculture
highly mechanical but at the same time highly noisy.

Defence Equipment:

A lot of noise pollution is added to the atmosphere by artillery, tanks, launching of rockets,
explosions, exercising of military airplanes and shooting practices.

Miscellaneous Sources:

The automobile repair shops, construction-works, blasting, bulldozing, stone crushing

etc. are other sources of noise pollution.

3. Effects of Noise Pollution:

Hearing Problems
Health Issues
Sleeping Disorders
Cardiovascular Issues
Trouble Communicating
Effect on Wildlife

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Noise Management Strategy

4. Methods to reduce noise Pollution:

(1) Control at Receiver’s End:

For people working in noisy installations, ear-protection aids like ear-plugs, ear-muffs,
noise helmets, headphones etc. must be provided to reduce occupational exposure.

(2) Suppression of Noise at Source:

This is possible if working methods are improved by:
a. Designing, fabricating and using quieter machines to replace the noisy
ones.
b. Proper lubrication and better maintenance of machines.
c. Installing noisy machines in sound proof chambers.
d. Covering noise-producing machine parts with sound-absorbing materials
to check noise production.
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 e. Reducing the noise produced from a vibrating machine by vibration
damping i.e. making a layer of damping material (rubber, neoprene, cork
or plastic) beneath the machine.
f. Using silencers to control noise from automobiles, ducts, exhausts etc.
and convey systems with ends opening into the atmosphere.
g. Using glass wool or mineral wool covered with a sheet of perforated metal
for the purpose of mechanical protection.

(3) Acoustic Zoning:

Increased distance between source and receiver by zoning of noisy industrial areas, bus
terminals and railway stations, aerodromes etc. away from the residential areas would go
a long way in minimizing noise pollution. There should be silence zones near the
residential areas, educational institutionsand above all, near hospitals.

(4) Sound Insulation at Construction Stages:

a. Sound travels through the cracks that get left between the door and the
wall. For reducing noise, this space (jamb frame gap) should be packed
with sound absorbing material.
b. Sound insulation can be done by constructing windows with double or
triple panes of glass and filling the gaps with sound absorbing materials.
c. Acoustical tiles, hair felt, perforated plywood etc. can be fixed on walls,
ceilings, floors etc. to reduce noise (especially for sound proof recording
rooms etc.)

(5) Planting of Trees:

Planting green trees and shrubs along roads, hospitals, educational institutions etc. help
in noise reduction to a considerable extent.

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 (6) Legislative Measures:
Strict legislative measures need to be enforced to curb the menace ofnoise
pollution. Some of these measures could be:
a. Minimum use of loudspeakers and amplifiers especially near silence
zones.
b. Banning pressure horns in automobiles.
c. Framing a separate Noise Pollution Act.

Noise reducing in Machines and Structures

Vibration Control:

Most noise sources (except for aerodynamic noise) are associated with vibrating
surfaces. Hence the control of vibration is an important part of any noise control
programme. Vibration control can be achieved by isolation, damping and by avoiding
resonance in structures and machine parts.

Vibration Isolation:

High noise can result because of vibration transmission from a source to some
structure which is a better noise radiator than the source itself. Hence vibration isolation
is an important consideration while designing machines and their mountings.

Machine Foot Isolation

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Vibration Damping

Noise characteristics of structures are determined by mass, stiffness and damping. The
increased damping results in faster decay of unforced vibrations and reduced amplitude
at resonance of structures subject to steady excitations. It is possible to introduce
additional damping to a structure by means of damping layers of viscoelastic material.

Damping Thin Plates

Avoiding Resonances

Natural frequencies of the structures should be estimated at the design stage and, if
required, the structure should be stiffened so that the natural frequencies of the structure
are usually increased above the frequency of the excitation forces.

Barriers

Barriers can be designed between noise sources and receivers to avoid noise.

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Air Pollution Management
1. What is Air Pollution?
Air pollution is the introduction of particulates, biological molecules, or other harmful
materials into Earth's atmosphere, causing disease, death to humans, damage to other
living organisms such as food crops, or the natural or built environment. Air pollution may
come from anthropogenic or natural sources.

2. Sources of Air Pollution:

Air Pollutants

Primary air pollutants - Materials that when released pose health risks in their
unmodified forms or those emitted directly from identifiable sources.

Secondary air pollutants - Primary pollutants interact with one another, sunlight, or
natural gases to produce new, harmful compounds

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Primary Air Pollutants

Five major materials released directly into the atmosphere in unmodified forms.
- Carbon monoxide
- Sulfur dioxide
- Nitrogen oxides
- Hydrocarbons
- Particulate matter

Carbon monoxide

• Produced by burning of organic material (coal, gas, wood, trash, etc.)

• Automobiles biggest source (80%)
• Cigarette smoke another major source
• Toxic because binds to hemoglobin, reduces oxygen in blood

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Sulfur dioxide

• Produced by burning sulfur containing fossil fuels (coal, oil)

• Coal-burning power plants major source
• Reacts in atmosphere to produce acids
• One of the major components of acid rain

Nitrogen Oxides

• Produced from burning of fossil fuels

• Contributes to acid rain, smog
• Automobile engine main source

Hydrocarbons

• Hydrocarbons - organic compounds with hydrogen, carbon

• From incomplete burning or evaporated from fuel supplies
• Major source is automobiles, but some from industry

Particulates

• Particulates - small pieces of solid materials and liquid droplets (2.5 mm

and 10 mm)
• Examples: ash from fires, asbestos from brakes and insulation, dust
• Easily noticed: e.g. smokestacks
• Can accumulate in lungs and interfere with the ability of lungs to
exchange gases.

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Secondary Pollutants

• Ozone
• PAN (peroxy acetyl nitrate)
• Photochemical smog
• Aerosols and mists (H2SO4)

Ozone

• Ozone (O3) is a highly reactive gas composed of three oxygen atoms.

• Tropospheric ozone – what we breathe -- is formed primarily from
photochemical reactions between two major classes of air pollutants,
volatile organic compounds (VOC) and nitrogen oxides (NOX).

PAN

• Smog is caused by the interaction of some hydrocarbons and oxidants

under the influence of sunlight giving rise to dangerous peroxy
acetylnitrate(PAN).

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Photochemical Smog
• Photochemical smog is a mixture of pollutants which includes particulates,
nitrogen oxides, ozone, aldehydes, peroxyethanoyl nitrate (PAN),
unreacted hydrocarbons, etc. The smog often has a brown haze due to
the presence of nitrogen dioxide. It causes painful eyes.

Aerosols and mists (H2SO4)

• Aerosols and mists are very fine liquid droplets that cannot be effectively
removed using traditional packed scrubbers. These droplets can be
formed from gas phase hydrolysis of halogenated acids (HCl, HF, HBr),
metal halides, organohalides, sulfur trioxide (SO3), and phosphorous
pentoxide (P2O5).

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 3. Effects of Air Pollution

Human Health Effects

• Exposure to air pollution is associated

with numerous effects on human health, including
pulmonary, cardiac, vascular, and
neurological
impairments.
• The health effects vary greatly from
person to person. High-risk groups
such as the elderly, infants, pregnant
women, and sufferers from chronic
heart and lung diseases are more
susceptible to air pollution.
• Children are at greater risk because they are generally more active outdoors
and their lungs are still developing.
• Exposure to air pollution can cause both acute (short-term) and chronic
(long-term) health effects.
• Acute effects are usually immediate and often reversible when exposure to
the pollutant ends. Some acute health effects include eye irritation,
headaches, and nausea.
• Chronic effects are usually not immediate and tend not to be reversible when
exposure to the pollutant ends. - Some chronic health effects include
decreased lung capacity and lung cancer resulting from long-term exposure
to toxic air pollutants.

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Effects on Human respiratory System

• Both gaseous and particulate air

pollutants can have negative effects
on the lungs.
• Solid particles can settle on the walls
of the trachea, bronchi, and
bronchioles.
• Continuous breathing of polluted air
can slow the normal cleansing action
of the lungs and result in
more particles reaching the lower portions of the lung.
• Damage to the lungs from air pollution can inhibit this process and
contribute to the occurrence of respiratory diseases such as bronchitis,
emphysema, and cancer.

Schematic drawing, causes and effects of air

pollution: (1) greenhouse effect, (2) particulate
contamination, (3) increased UV radiation, (4) acid
rain, (5) increased ground level ozone
concentration, (6) increased levels of nitrogen
oxides.

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Acid Rain:

Acid Rain is the result of the emissions of sulfate and nitrates into the atmosphere from
the burning coal to produce electricity and deposited to the earths surfaces as an acid.
The debate goes on today if acid rain is the major cause of the fish to disappear in the
lakes and streams in the Adirondack region.

Ozone Depletion

The Ozone layer is a thin layer in the atmosphere made up of oxygen atoms
(03) that absorb harmful ultraviolet radiation (UV-B) from reaching the earth‘s surface.
The ozone is being depleted by chemicals released into the atmosphere like
chlorofluorocarbons (CFCs), carbon tetraflouride, methyl chloroforms,
chlorofluoromethanes (aerosol repellents and as refrigerants). The problem is when
CFC's reach the ozone layer, it is broken down by theUV -B rays and it is these free
chlorine atoms that do the damage to the ozone. One free chlorine atom will destroy
100,000 ozone molecules before it dies off.

Global Warming:

Global warming is the result of thetroposphere trapping

heat causing a greenhouse effect. Studies have shown
that the rise in CO2 has a direct relationship with
temperatures rising on earth. CO2 and other
greenhouse gas is produced by, burning of fossil fuels
(coal, oil), transportation, deforestation practices,
agricultural practices(cattle and rice farming).

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 4. Methods to reduce Air Pollution
Principles of Controls, Source Control

Source Control Technology

• Air quality management sets the tools to control air pollutant emissions.
• Control measurements describe the equipment, processes or actions
used to reduce air pollution.
• The extent of pollution reduction varies among technologies and
measures.
• The selection of control technologies depends on environmental,
engineering, economic factors and pollutant type.

Settling Chambers

• Settling chambers use the force of gravity to remove solid particles.

• The gas stream enters a chamber where the velocity of the gas is
reduced. Large particles drop out of the gas and are recollected in
hoppers. Because settling chambers are effective in removing only larger
particles, they are used in conjunction with a more efficient control
device.

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 120
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Cyclones

• The general principle of inertia

separation is that the particulate-
laden gas is forced to change
direction. As gas changes direction,
the inertia of the particles causes
them to continue in the original
direction and be separated from the
gas stream.
• The walls of the cyclone narrow toward the bottom of the unit, allowing
the particles to be collected in a hopper.
• The cleaner air leaves the cyclone through the top of the chamber,
flowing upward in a spiral vortex, formed within a downward moving
spiral.
• Cyclones are efficient in removing large particles but are not as efficient
with smaller particles. For this reason, they are used with other
particulate control devices.

Electrostatic Precipitators (ESPs)

1. An ESP is a particle control device that uses electrical forces to move

the particles out of the flowing gas stream and onto collector plates.
2. The ESP places electrical charges on the particles, causing them to be
attracted to oppositely charged metal plates located in the precipitator.
3. The particles are removed from the plates by "rapping" and collected in a
hopper located below the unit.
4. The removal efficiencies for ESPs are highly variable; however, for very
small particles alone, the removal efficiency is about 99 percent.
5. Electrostatic precipitators are not only used in utility applications but also
other industries (for other exhaust gas particles) such as cement (dust),

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 pulp & paper (salt cake & lime dust), petrochemicals (sulfuric acid mist),
and steel (dust & fumes).

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Change in Fuel:

This technique involves the use of less polluting fuel to reduce air pollution. Use of low
sulfur fuel instead of high sulfur fuel by electric utilities is an example of this method.

Control of gaseous pollutants from stationary sources

The most common method for controlling gaseous pollutants is the addition of add-on
control devices to recover or destroy a pollutant.
There are four commonly used control technologies for gaseous pollutants:
- Absorption
- Adsorption,
- Condensation
- Incineration (combustion)

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Absorption

• The removal of one or more selected components from a gas mixture by

absorption is probably the most important operation in the control of
gaseous pollutant emissions.
• Absorption is a process in which a gaseous pollutant is dissolved in a
liquid.
• As the gas stream passes through the liquid, the liquid absorbs the gas,
in much the same way that sugar is absorbed in a glass of water when
stirred.
• Absorbers are often referred to as scrubbers, and there are varioustypes
of absorption equipment.
• The principal types of gas absorption equipment include spray towers,
packed columns, spray chambers, and venture scrubbers.
• In general, absorbers can achieve removal efficiencies greater than 95
percent. One potential problem with absorption is the generation of waste-
water, which converts an air pollution problem to a water pollution problem

Adsorption

• When a gas or vapor is brought into contact with a solid, part of it is

taken up by the solid. The molecules that disappear from the gas either
enter the inside of the solid, or remain on the outside attached to the
surface. The former phenomenon is termed absorption (or dissolution)
and the latter adsorption.
• The most common industrial adsorbents are activated carbon, silica gel,
and alumina, because they have enormous surface areas per unit weight.
• Activated carbon is the universal standard for purification and removal of
trace organic contaminants from liquid and vapor streams.
• Carbon adsorption systems are either regenerative or non-regenerative.

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 - Regenerative system usually contains more than one carbon bed. As
one bed actively removes pollutants, another bed is being regenerated
for future use.
- Non-regenerative systems have thinner beds of activated carbon. In a
non-regenerative adsorber, the spent carbon is disposed of when it
becomes saturated with the pollutant.

Condensation

• Condensation is the process of converting a gas or vapor to liquid. Any

gas can be reduced to a liquid by lowering its temperature and/or
increasing its pressure.
• Condensers are typically used as pretreatment devices. They can be used
ahead of absorbers, absorbers, and incinerators to reduce the total gas
volume to be treated by more expensive control equipment. Condensers
used for pollution control are contact condensers and surface condensers.
• In a contact condenser, the gas comes into contact with cold liquid.
• In a surface condenser, the gas contacts a cooled surface in which cooled
liquid or gas is circulated, such as the outside of the tube.
• Removal efficiencies of condensers typically range from 50 percent to
more than 95 percent, depending on design and applications.

Incineration

• Incineration, also known as combustion, is most used to control the

emissions of organic compounds from process industries.
• This control technique refers to the rapid oxidation of a substance through
the combination of oxygen with a combustible material in the presence of
heat.
• When combustion is complete, the gaseous stream is converted to carbon
dioxide and water vapor.
• Equipment used to control waste gases by combustion can be divided in
three categories:

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5. Air Pollution – Template

Item Name of the Contaminan Unit of Concentration Period of Additional

Contaminan t Code Concentratio Time Notes
t n

Solid Waste Management

1. What is Solid Waste Management?

Solid waste management is a polite term for garbage management. As longas humans
have been living in settled communities, solid waste, or garbage, has been an issue, and
modern societies generate far more solid waste than early humans ever did. Daily life in
industrialized nations can generate several pounds (kilograms) of solid waste per
consumer, not only directly in the home, but indirectly in factories that manufacture goods
purchased by consumers. Solid waste management is a system for handling all of this
garbage, and includes municipal waste collection, recycling programs, dumps, and
incinerators.

Routes of Exposure to Hazards Caused by the Mismanagement of Solid Waste

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 2. Sources and types of Solid waste:

▪ Households Domestic Waste

▪ Commercial Establishments Commercial Waste
▪ Institutions Institutional Waste
▪ Industries Industrial Waste
▪ Open Space defecation Sanitation Residues
▪ Municipal Cleaning Service Municipal Cleaning Waste
▪ Agriculture Agricultural Waste
▪ Construction/ Demolition Construction Waste

Classification of Solid Wastes

Type Description Sources
Garbage Food Waste: Wastes from the Households,
preparation, cooking and serving of Institutions and
food. Market refuse, waste from commercial concerns
the handling, storage and sale of such as hotels, stores,
produce and meat restaurants, markets
etc.
Combustible and Combustible – (Primary
non-combustible Organic) Paper, Cardboard,
Cartons, Wood, boxes, plastic,
rags, cloth, bedding, leather,
rubber, grass, leaves, yard
trimmings etc.

Non Combustible –
(Primary Inorganic) metals, tin,
cans, glass, bottles, Crockery,
Stones etc.

Ashes Residue from fires used for

cooking and for heating
building cinders
Bulky Wastes Large auto parts, tyres, Streets, Sidewalks,
stoves, refrigerators, other alleys, Vacant lots,
large appliances, furniture, etc.
large crates, trees, branches,
stumps etc
Street Wastes Street Sweepings dirt, leaves, etc.

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 Dead Animals Dogs, Cats, rats, donkeys etc.

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 Abandoned vehicles Automobiles and Spare parts

Construction Roofing, and sheathing scraps, Construction

and demolition wastes rubble, broken concrete, plaster, and Demolition Sites
conduit pipe, wire, insulation, etc.

Industrial Wastes Solid Wastes resulting from Factories, Power

industry processes and Plants, etc.
manufacturing operations such as
food processing wastes, boiler
house cinders, wood, plastic and
metal scraps, shavings etc.

Hazardous Wastes Pathological Wastes, explosives, Households, hospitals,

radioactive materials etc. institutions, stores,
industry etc

Animal and Manure, Crop residues etc. Livestock, farms,

Agricultural Wastes feedlots and
agriculture
Sewage treatment Coarse screening grit, septic tank Sewage treatment
residue sludge, dewatered sludge. plants and septic
tanks.

3. Effects of Solid Waste Pollution

• Contaminates water and air, resulting into diseases and dysentery in

Human beings.
• Mosquitoes breed in the stagnant water, blocked due to waste
choked in the drains.
• Decomposition of solid waste spreads obnoxious odor in the air, thus
polluting it.
• Burning of waste, especially plastic adds up obnoxious fumes in the air.
• Garbage dumps and decomposed waste helps many harmful species
to breed in them.
• The infected water supply also leads to large scale epidemics.

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Waste Hierarchy

• Eliminate (Do not produce the waste in the first place)

• Minimize/Reduce,(Produce less of the waste)
• Reuse (Use again in the same form)
• Recycle (Process material and use again in a different form)
• Recovery (Incineration with energy recovery)
• Disposal (Landfill, preferably with methane capture)

Functional Elements of Solid Waste Management System

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 4. Methods to reduce Solid Waste Pollution

Waste minimization means the feasible reduction of hazardous waste that is generated
prior to treatment, storage and disposal. It is defined as any source reduction or recycling
activity that results in the reduction of the total volumeof hazardous waste, or toxicity of
hazardous waste, or both. Practices that are considered in waste minimization include
recycling, source separation, product substitution, manufacturing process changes and
the use of less toxic raw materials.

(i) Management support and employee participation: A clear

commitment by management (through policy, communications and
resources) for waste minimization and pollution prevention is essential
to earn the dedication of all employees. For this to happen, a formal
policy statement must be drafted and adopted.
(ii) Training: As with any activity, it is important for management to train
employees so that they will have an understanding of what is expected
of them and why they are being asked to change the way things are
done. Employees must be provided with formal and on-the- job training
to increase awareness of operating practices that reduce both solid and
hazardous waste generation.

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 (iii) Waste audits: A programme of waste audits at the departmental level
will provide a systematic and periodic survey of the industries designed
to identify areas of potential waste reduction. The audit programme
includes the identification of hazardous wastes and their sources,
prioritization of various waste reduction actions to be undertaken.

(iv) Good operating practices: These practices involve the procedural or

organizational aspects of industry, research or teaching activities and,
in some areas, changes in operating practices, in order to reduce the
amount of waste generated..

(v) Material substitution practices: The purpose of these practices is to

find substitute materials, which are less hazardous than those currently
utilized and which result in the generation of waste in smaller quantities
and/or of less toxicity.

(vi) Technological modification practices: These practices should be

oriented towards process and equipment modifications to reduce waste
generation. These can range from changes that can be implemented in
a matter of days at low cost to the replacement of process equipment
involving large capital expenditures.

(vii) Recycling options: These options are characterized as use/reuse and

resource recovery techniques. Use and reuse practices involve the
return of a waste material either to the originating process or to another
process as a substitute for an input material. Reclamation practices
tender a waste to another company.

(viii) Surplus chemical waste exchange options: Inter-and-intra-

department chemical exchange is to be implemented and encouraged
by employers/employees. Material exchanges not only reduce wastes
but also save money – both are important considerations, during
times of fiscal crisis.

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 5. Solid Waste - Format
Total Quantity (Kg)
During the During the
previous current financial
Financial Year year
a) From Process
b) From Pollution Control Facility
c) Quantity recycled or re-utilized
within the unit
Sold
Disposed

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WATER POLLUTION MANAGEMENT

1. What is Water Pollution?

Most of Water Pollution is man-made. It may also

occur naturally by addition of soil particles
through erosion, animal wastes and leaching of
minerals from rocks.

2. Sources of Water Pollution

The major source of water pollution is the waste water discharged from industries and
commercial bodies. These industries are chemical, metallurgical, food processing
industries, textile and paper industries. They discharge several organic (oils, fats,
phenols, organic acids, grease etc.) and inorganic pollutants (fine particles of different
metals, chlorides, sulphates, oxides of iron, cadmium, acids and alkalis etc.) that proves
highly toxic to living beings.

1. Chemical fertilizers and pesticides have become essential for present

day high yielding crops. Consequently, they have become a potential
source of water pollution. These fertilizers contain nitrogen,
phosphorous and potassium which on excess may reach the ground
water by leaching or may be mixed with surface water of rivers, lakes
and ponds by runoff and drainage.
2. The Power generating plants use water as coolants and release hot
water into the original source. Sudden raise in temperature kills fish and
other aquatic animals.
3. Washing clothes near lakes and rivers causes detergents also causes
a condition called ―Eutrophication‖ which blocks sunlight from
entering inside and reduces oxygen values in the water causing an
inhabitable environment.
4. ‗Oil Spills‘ are caused when giant oil tankers and oil rigs which are
present in the oceans are damaged by either natural or human errors

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cause a long-time damage to the ocean as oil is lighter than water andfloats on water
forming a layer blocking sunlight.
5. Certain natural disasters like flash floods and hurricanes cause the
intermixing of water with harmful substances on the land.

Types of water pollution

1. Pollution by Point Sources: Contamination of water bodies by

substances released from a single, identifiable source such as a pipe-
Most common example is the industrial pollution where a lot many
harmful substances are released into water bodies.

2. Pollution by nonPoint Sources: Contamination of water bodies by

substances that do not come from a discrete, specified source.

Fig: Technological approach for Water Pollution Treatment

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Effects of Water Pollution:

• Groundwater contamination from pesticides causes reproductive damage

within wildlife in ecosystems.
• Sewage, fertilizer, and agricultural run-off contain organic materials that
when discharged into waters, increase the growth of algae, which causes
the depletion of oxygen. The low oxygen levels are not able to support
most indigenous organisms in the area and therefore upset the natural
ecological balance in rivers and lakes.
• Swimming in and drinking contaminated water causes skin rashes and
health problems like cancer, reproductive problems, typhoid fever and
stomach sickness in humans. Which is why it‘s very important to make
sure that your water is clean and safe to drink.
• Industrial chemicals and agricultural pesticides that end up in aquatic
environments can accumulate in fish that are later eaten by humans. Fish
are easily poisoned with metals that are also later consumed by humans.
Mercury is particularly poisonous to small children and women. Mercury
has been found to interfere with the development of the nervous system in
fetuses and young children.
• Ecosystems are destroyed by the rising temperature in the water, as coral
reefs are affected by the bleaching effect due to warmer temperatures.
• Human-produced litter of items such as plastic bags and 6-pack rings can
get aquatic animals caught and killed from suffocation.
• Water pollution causes flooding due to the accumulation of solid waste
and soil erosion in streams and rivers.
• Oil spills in the water causes animal to die when they ingest it or encounter
it. Oil does not dissolve in water so it causes suffocation in fish and birds.

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 3. Methods to reduce Water Pollution:

Some Physical, Chemical and biological Waste water Treatment Methods.

Physical Method: Physical treatment process include gravity separation, phase change
system such as Air steam stripping of volatile from liquid waste, adsorption, reverse
osmosis, ion exchange , electro dialysis.

Chemical Method: Chemical methods usually aimed at transforming the hazardous

waste into less hazardous substances using techniques such as PH neutralization,
oxidation or reduction and precipitation.

Biological Method: Biological treatment method used micro organisms to degrade

organic pollutant in the waste stream.

Thermal methods: Thermal destruction process that are commonly used include
incineration and pyrolysis incineration is becoming more preferred option in pyrolysis the
waste material is heated in the absence of oxygen to bring about chemical

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decomposition.

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Fixation/immobilization/stabilization techniques involved the dewatering the waste
and solidifying the remaining material by mixing it with stabilizing agent such as Portland
cement or pozzolanic material, or vitrifying it to createa glassy substance. For hazardous
inorganic sledges, solidification process is used

Physical Chemical Biological

Sedimentation Chlorination Activated Sludge
Treatment Methods
Screening Ozonation Trickling Filtration
Aeration Neutralization Oxidation Ponds
Filtration Coagulation Lagoons
Flotation and Skimming Adsorption Aerobic Digestion
Degassification Ion Exchange Anaerobic Digest
Equalization Septic Tanks
Lagoons

Screening: Removes larger entrained objects and sedimentation. Sedimentation:

Separating solids from liquids in large tanks. Many solids andoil / fats, can be
encourage to float to the top and are scraped off. Other solids settle to the bottom.
Aeration: It is the process by which air is circulated through, mixed with ordissolved
in a liquid or substance.
Skimming: The act of removing floating material from the surface of a liquid.

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Water Pollution: Template
Report of Analysis of Treated Effluent showing performance of treatment plant for the
month of

Sample Collected on

Sample tested on

By the laboratories

Dates on which
Maximum Concentration There was
On which
Sl. Polluting Permissible of range of break
No Parameters limits or parameters as down or under
ranges per report failure of performance
the plant was noticed

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HAZARDOUS MATERIAL MANAGEMENT

1. What is meant by Hazardous Material Pollution?

Material that, when improperly handled, can cause substantial harm to human health and
safety or to the environment. Hazardous wastes can take the form of solids, liquids,
sludges, or contained gases, and they are generated primarily by chemical production,
manufacturing, and other industrial activities. They may cause damage during
inadequate storage, transportation, treatment, or disposal operations. Improper
hazardous-waste storage or disposal frequently contaminates surface and groundwater
supplies. People living in homes built near old and abandoned waste disposal sites may
be in a particularly vulnerable position. In an effort to remedy existing problems andto
prevent future harm from hazardous wastes, governments closely regulate the practice
of hazardous-waste management.

2. Source of Hazardous Materials:

Waste Category Sources

Biomedical research facilities, colleges and
Radioactive substances university laboratories, offices, hospitals, nuclear
power plants,
etc.
Agricultural chemical companies, battery shops,
car washes, chemical shops, college and
university laboratories, construction companies,
electric utilities, hospitals and clinics, industrial
Toxic chemicals cooling towers, newspaper and photographic
solutions, nuclear power plants, pest control
agencies, photographic processing facilities,
plating shops,
service stations, etc.
Biomedical research facilities, drug, Companies,
Biological wastes
hospitals, medical clinics etc.
Dry cleaners, petroleum reclamation plants,
Flammable wastes petroleum refining and processing facilities,
service
stations, tanker truck cleaning stations, etc
Construction companies, dry cleaners, ammunition
Explosives
production facilities, etc.

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 3. Effects of Hazardous Materials:

Hazardous materials in various forms can cause death, serious injury, long- lasting health
effects, and damage to buildings, homes, and other property.

It is harmful to humans, plants and animals.

Hazardous waste exposure can potentially destroy an entire ecosystem.
It mixes with landfills and sits for years or even generations and
contaminates the surrounding environment.
It emits gases that are both foul-smelling and toxic.
When hazardous wastes are released in the air, water, or on the land they
can spread, contaminating even more of the environment and posing
greater threats to our health. For example, when rain falls on soil at a
waste site, it can carry hazardous waste deeper into the ground and the
underlying groundwater.
Exposures can be either acute or chronic.
➢ Acute Exposure: It is a single exposure to a hazardous substance
for a short time. Health symptoms may appear immediately after
exposure; for example, the death of a fly when covered with bug
spray or a burn on your arm when exposed to a strong acid such
as from a leaking battery.
➢ Chronic Exposure: It occurs over a much longer period of time,
usually with repeated exposures in smaller amounts. For example,
people who lived near a leaking hazardous waste dump did not
notice the health effects of their chronic exposure for several years.
Chronic health effects are typically illnesses or injuries that take a
long time to develop, such as cancer, liver failure, or slowed growth
and development.

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 4. Methods to reduce Hazard Material Pollution:
Waste Category Collection Equipment and accessories
Radioactive substances Various types of trucks and railroad
equipment depending on characteristics
of wastes; special marking to show
safety hazard; heavy loading equipment
to handle
concrete-encased lead Containers
Toxic chemicals Flatbed trucks for wastes stored in
drums; tractor-trailer tank truck
combination for large volumes of
wastes; railroad tank cars; special
interior linings such as glass,
fibreglass or rubber.
Biological wastes Standard packers’ collection truck with
some special precautions to prevent
contact between wastes and the collector;
flatbed
trucks for wastes stored in drums.
Flammable wastes Same as those for toxic chemicals, with
special colourings and safety warning
printed on vehicles
Explosives Same as those for toxic chemicals with
some
restriction on transport routes,
especially through residential areas.

Requirements for Establishing Hazardous Materials Storage Areas

Before starting a project involving the construction of hazardous material

storage areas, approval must be obtained from the Abu Dhabi General
Directorate of Civil Defense. Construction activities must be based on the
specifications, requirements, and standards set forth by theDirectorate.
The location of the storage area must be selected based on the necessary
conditions and standards and on the type and quantity of materials to be
stored.
Storage areas must be designed so employees and others can easily
enter and exit the area without any difficulties, especially during
emergency situations or other occupational safety incidents.

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 The capacity of a storage area must be able to accommodate the different
hazardous materials stored there.

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 Storage areas must be properly ventilated, dry, and temperature
controlled and must not be exposed to direct sunlight. These areas must
be located far away from direct flames or other heat sources (e.g., boilers,
ovens) that may exist at a facility.
There must be enough light in the storage area so employees and others
can see the hazardous materials, detect any issues, and read the hazard
warning labels.
To reduce the chances of exposure and possibly fire spreading to other
buildings and facilities at the site, a storage area must be isolated from
these structures.
The floor of the storage area must be made of non-absorbent and
impermeable materials. The floor must be free of cracks and not be
slippery.
Once a storage area has been designated for a particular hazardous
material or hazardous class, only that substance may be stored in the
designated store.
Storage areas must be fenced to help prevent any unauthorized access.
Only approved personnel must have access to the storage area.
Hazardous materials must be properly stored away from the fence.

Requirements for Signage, Equipment, Training, and Related Items

Warning signs must be posted outside the hazardous materials storage

area indicating that the stored contents inside are potentially dangerous.
The warning sign should include the ―skull with crossed bones‖ and the
hazard placards of the stored materials.
A map must be provided that indicates the location and the types of
hazardous materials in the area and where emergency kits and firefighting
equipment are located. The layout should be posted outside the storage
area so it is accessible to employees and others.
Material Safety Data Sheets (MSDSs) must be available for all stored
materials and must be accessible to all employees and others. All

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employees must be fully trained on how to interpret the important information contained
in MSDSs.
Storage areas must be equipped with spill-control kits and emergency
tools.
Mechanical equipment used to lift and handle storage containers and
packages must be spark proof to reduce the risk of fire. Only authorized
employees who have completed training may use the mechanical
equipment. These employees must be constantly monitored to help
ensure that incidents do not occur.

Hazard Warning Labels

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How to Handle Hazardous Materials

Follow all the storage instructions on the

product label
Be sure to store all volatile products in
well-ventilated areas.
Make certain you store flammable
products in the recommended
temperature range.
Keep all hazardous materials out of the reach of children and away from
all animals
Use the original container to store the hazardous material.
Reduce the amount of hazardous materials you keep in storage
Do periodic maintenance storage areas.

5. Hazardous - Radioactive Material - Template

Department

No BR Radionuclid Chemica Activity Date Storage Remarks Person Signature

No e l Form Purchase Receive Locatio In
d d n charge

Date Signature

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Description of storage and treatment of hazardous waste – Template

Date Method of Storage Date Method of

of hazardous treatment of
wastes hazardous wastes

Details of disposal of hazardous waste – Template

Date of Concentration of Site of Persons

Disposa hazardous disposal(identify the involved in
l constituents in the final location on the disposal
waste form relevant layout
drawing for
reference)

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 PERFORMANCE EVALUATION

An organization should have a systematic approach,

using competent personnel, for monitoring and
measuring, analysing and evaluating its environmental
performance on a regular basis. This should enable the
organization to report and communicate accurately on its
environmental performance.

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 1. Monitoring and measurement

Monitoring generally refers to processes where observations are made over time, without
necessarily using instrumentation. Measuring generally refers to processes where
instrumentation is typically used to determine qualitative or quantitative properties.
Measuring therefore can imply the need for additional controls to ensure the sustained
reliability of such instrumentation (e.g. calibration), where appropriate.

An organization should determine what should be monitored and measured, where and
when it should be monitored and measured, and what methods should be used. To focus
resources on the most important measurements, the organization should identify the key
indicators associated with its significant environmental impacts that can be monitored and
measured and that provide the most useful information. Such indicators could include
physical parameterssuch as temperatures, pressures, pH, and material utilization, energy
efficiency, choice of packaging and transportation.

Monitoring and measuring can serve many purposes in an environmental management

system, such as

• tracking progress on meeting policy commitments, achieving objectives

and continual improvement
• providing information to identify significant environmental aspects
• collecting data on emissions and discharges to meet applicable
compliance obligations
• collecting data on consumption of water, energy or raw materials to meet
objectives
• providing data to support or evaluate operational controls
• providing data to evaluate the organization's environmental performance
• providing data to evaluate the performance of the environmental
management system

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NOTE 1 See ISO 14031 for further guidance on environmental performance.
NOTE 2 See ISO/TS 14033 for guidance and examples on handling quantitative
environmental information.

Monitoring and measuring should be conducted under controlled conditions with

appropriate processes for assuring the validity of results, such as:

• selecting sampling and data collection techniques,

• adequate calibration or verification of monitoring and measuring
equipment,
• measuring standards traceable to international or national measuring
standards,
• use of competent personnel, and
• use of suitable quality control methods that includes data interpretation
and trending.

Written procedures for conducting monitoring and measuring can help to provide
consistency in measurements and enhance the reliability of data produced.

Organizations should consider, where appropriate, using laboratories whose testing

techniques have been either accredited by a national accreditation body or approved by
the regulators. If accreditation or approval is not possible or available, then the
organization can consider random double testing toverify the accuracy of results.

The results of monitoring and measuring should be analysed and used to identify
nonconformities, compliance status, performance trends and opportunities for continual
improvement. Data analysis can include consideration of the data quality, validity,
adequacy and completeness necessary to produce reliable information. Statistical tools
can be used to increase the reliability of decisions on whether or not a certain objective
was achieved. These tools can include, as appropriate, graphical techniques,

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indexing, aggregating or weighting. Where the performance requirements are not met,
corrective action should be taken in a timely manner to correct the deviation.

2. Internal audit

Internal audits of an organization's environmental

management system should be conducted at planned
intervals to determine and provide information to
management on whether the system conforms to planned
arrangements and has been properly implemented and
maintained. They can also be performed to identify
opportunities for improvement in an organization's
environmentalmanagement system.

NOTESee ISO 19011 for guidance on environmental management system auditing.

3. Management review

An organization's top management should, at

intervals that it determines, conduct a review of its
environmental management system to evaluate the
system's continuing suitability, adequacy and
effectiveness. This review should cover the
environmental aspects of
activities, products and services that are within the scope of the environmental
management system. The planned intervals for a management review can be coordinated
with the organization's planning and budgeting cycle and topmanagement's review of its
overall business performance.

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Inputs to the management review can include

• results of internal audits and evaluations of conformity with compliance

obligations
• communication from external interested parties, including complaints
• the environmental performance of the organization
• the extent to which objectives have been met
• status of corrective actions
• follow-up actions from previous management reviews
• changing circumstances, including
• the organization's context
• changes in the organization's products, activities and services
• results of the evaluation of significant environmental aspects and risks
associated with threats and opportunities from planned or new
developments
• changes in applicable compliance obligations
• the views of interested parties
• advances in science and technology
• lessons learned from emergency situations and accidents
• recommendations for improvement

Outputs from the review of the environmental management system caninclude

decisions on
• the system's suitability, adequacy and effectiveness
• changes to physical, human and financial resources
• actions related to possible changes to environmental policy, objectives
and other elements of the environmental management system
• actions
• related to the organization's business strategy and other business
processes

Documented information retained as evidence of the results of management review

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can include copies of meeting agenda items, lists of attendees,

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presentation materials or hand-outs, and management decisions recordedin a memo
to file, reports, minutes, or tracking system.

Each organization can decide for itself those who should participate in the management
review. Typically, this includes environmental staff (who compile and present the
information), managers of key units (whose operations include significant environmental
aspects or who are responsible for key environmental management system
elements, such as competence, documented information, etc.), and top managers (who
evaluate the performance of the environmental management system, identify
improvement priorities, provide resources, and ensure that follow-up is effective).

Related Documents

1. Monitoring, Measurement, analysis and evaluation – Evaluation

of Compliance

2. Internal audit – Internal audit programme

3. Management Review

Auditor’s Approach

1. Has the organization established implemented, controlled and

maintained EMS requirements and to implement the actions
identified?
2. Has the organization established operating criteria for the processes?
3. Does the organization control the processes in accordance with the
operating criteria?
4. Has the organization considered engineering controls and
procedures?
5. Does the organization control the planned changes?
6. Does the organization review the consequences of unintended
changes, taking action to mitigate any adverse effects?
7. Has the organization ensured the outsourced processes are
controlled or influenced?

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 8. Does the organization ensure the consistency with a life cycle
perspective?
9. Has the organization established controls as appropriate to ensure
its EMS requirements are addressed in the design and development
process for the product or service, considering each stage of its life
cycle?
10. Has the organization determined its EMS for the procurement of
products and services as appropriate its life cycle?
11. Does the organization communicate its relevant EMS requirements
to external providers, including contractors?
12. Has the organization considered the need to provide information
about potential significant environmental impacts associated with the
transportation or delivery, use end of life treatment and final disposal
of its products and services?
13. Has the organization monitored, measured, analyzed and evaluated
their processes?
14. Has the organization ensured that calibrated or verified monitoring
and measurement equipment is used and maintained, as
appropriate?
15. Has the organization communicated EMS performance and
effectiveness internally and externally?
16. Has the organization tracking progress on meeting policy
commitments, achieving objectives and continual improvements?
17. Has the organization provided information to identify significant
environmental aspects?
18. Has the organization collected data on emissions and discharges to
meet applicable compliance obligations?
19. Has the organization collected data on consumption of water, energy
or raw materials to meet objectives?
20. Has the organization provided date to support or evaluate operational
controls?
21. Has the organization provided data to evaluate the organization‘s

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 EMS performance?

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 22. Has the organization considered sampling and data collection
techniques?
23. Has the organization considered adequate calibration or verification
of monitoring and measurement equipment?
24. Are the organization measuring standards traceable to national or
international measuring standards?
25. Does the organization‘s top management review the Environmental
management system, to ensure its continuing suitability, adequacy &
effectiveness?
26. Has top management determined the planned intervals at which it will
review the Environmental management system?
27. Do management reviews include assessing the need for changes in
the Environmental management system?
28. Is the documented information of the management reviews retained?
29. Do management reviews consider the results of evaluations of
compliance with applicable compliance obligations to which the
organization subscribes?
30. Do management reviews consider the EMS performance of the
organization?
31. Do management reviews consider the status of corrective actions and
preventive actions?
32. Do management reviews consider follow‐up actions from previous
management reviews?
33. Do management reviews consider recommendations for
improvement?
34. Are the outputs from management reviews consistent with the
organization‘s commitment to continual improvement?
35. Do the outputs from management reviews include decisions and
actions related to possible changes to EMS performance?
36. Do the outputs from management reviews include decisions and
actions related to possible changes to the external and internal
issues?

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 37. Do the outputs from management reviews include decisions and
actions related to possible changes to the needs and expectations of
interested parties including compliance obligations?
38. Do the outputs from management reviews include decisions and
actions related to possible changes to its significant environmental
aspects & risks and opportunities?
39. Do the outputs from management reviews include decisions related
to continual improvement opportunities?
40. Do the outputs from management reviews include decisions related
to any need for changes to the EMS, including resources?
41. Do the outputs from management reviews conclude on the continuing
suitability, adequacy and effectiveness of the EMS?
42. Do the outputs from management reviews include any implications for
the strategic direction of the organization?
43. Do the outputs from management reviews any opportunities to
improve integration of the EMS with other business processes?

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 COMMUNICATION

Communication of environmental information

should be based on, and consistent with, the
informationgenerated within the environmental
management system and with the internal evaluation of the organization's environmental
performance (see 9.1).

Communication of environmental information should be consistent with thefollowing

principles:
• transparency, appropriateness and credibility, and
• responsiveness and clarity.

NOTEFurther information on environmental communication is available in ISO 14063.

In determining how it intends to communicate, the organization should consider different

communication methods that can encourage understanding and acceptance of an
organization's environmental management efforts and promote dialogue with interested
parties. Methods of communication include, for example: informal discussions;
organization open days, focus groups, community dialogue, involvement in community
events, websites and e-mail, press releases, advertisements and periodic newsletters,
annual (or otherperiodic) reports and telephone hotlines.

Organizations should retain documented information of its communications asappropriate

in order to

• recall the history of specific interested party communication, inquiries or

concerns,
• understand the nature of various interested party engagements over
time, and
• improve an organization's effectiveness in developing future

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communication and in following up and addressing the concerns of specific
interested parties as needed.

Some communications need not be documented if there is no added benefit to the

environmental management system. Examples include informal communications and
social media.

An organization should take into account its nature and size, its significant environmental
aspects and the nature and needs and expectations of its interested parties when
establishing its communications process(es).

An organization should consider the following process steps:

• gather information, or make inquiries including from relevant interested
parties(4.2)
• determine the target audience(s) and information or dialogue needs
• select information relevant to the audience's interests
• decide on the information to be communicated to the target audience(s)
• determine which methods and formats are appropriate for communication
• evaluate and periodically determine the effectiveness of the
communications process

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 1. Internal communication

Communication between and among the levels

and functions within an organization is crucial to
the effectiveness of the environmental
management system. For example,
communication is important for problem solving,
for coordination of activities, for follow up on
action plans
and for further development of the environmental management system. The provision of
appropriate information to those working under the organization's control serves to
motivate them and encourage acceptance of the

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organization's efforts to improve its environmental performance. This can assist
employees to fulfil their responsibilities and the organization to meet its environmental
objectives. An organization should have a process which allows communication from all
levels of the organization. This can allow comments and suggestions to be made to
improve the environmental management system and/or the environmental performance
of the organization. It is often important to provide information to external providers, such
as contractors and suppliers. Results from environmental management system
monitoring, audit and management review should be communicated to appropriate
personswithin the organization.

2. External communication

Communication with external interested parties can be an

important and effective tool for environmental management. An
organization should consider the potential costs and benefits of
different approaches in developing a communication plan that
is appropriate
for its particular circumstances. It should also consider whether to communicate externally
to its interested parties about its environmental aspects including those that relate to the
distribution, use and disposal of products as part of the product chain.

NOTEFor more information on product documentation see the ISO 14020 series.

At a minimum, an organization should establish, implement and maintain procedures for

receiving, documenting and responding to relevant communication from external parties.
An organization can also find it useful to document its procedure for external
communication.

An organization should have in place a process for communicating with external

interested parties in case of emergency situations or accidents that could affect or
concern them.

NOTESee also 8.3 on emergency preparedness and response.

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Related Documents

1. Communication - General

Auditor’s Approach

1. Has the organization established implemented and maintained

documented information for internal & external communication among
the various levels and functions of the organization with regard to its
EMS processes and the Environmental management system?
2. Has the organization established and implemented a documented
information for communication with contractors and other visitors to the
workplace with regard to its EMS risks and the Environmental
management system?
3. Has the organization established and implemented a documented
information for receiving, documenting and responding to relevant
communications from external interested parties with regard to its EMS
issues and the Environmental management system?
4. Are these documented information maintained?
5. Does the organization take into account its compliance obligations?

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 DOCUMENTED INFORMATION

The organization should develop and maintain

adequate documented information to ensure that
its environmental management system is
operating effectively, is understood and by
persons working under the
control of the organization and other interested parties, and that processes associated
with the environmental management system are carried out as planned. Organizations
should develop and maintain adequate documented information. The purpose of such
documented information is to provide necessary information to employees and other
interested parties as appropriate. Documented information should be collected and
maintained ina way that reflects the culture and needs of an organization, building onto
and improving its existing information system.

Documented information in the form of procedures, plans, and programmes, for

example, should be maintained as appropriate to ensure consistency, currency and
repeatability of outcomes. Evidence of the outcome (records) should be retained as
evidence of the results, in order to demonstrate effective implementation of the
requirements.

The extent of the documentation can differ from one organization to anotherbut it should
describe the environmental management system. An organization can choose to
document its management system in the form of a manual, which constitutes an overview
or summary of the system and can provide direction to related documented information.
The structure of any such environmental management system manual need not follow the
clause structure of ISO 14001 or any other standard (see Practical help – Documented
information below).

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For effective management of its key activities (i.e. those related to its identified significant
environmental aspects), an organization should plan a process, or specified way to carry
out the activities. This process can be defined by a procedure that can be documented,
and can describe in appropriate detail how the process is managed.

If an organization decides not to document a procedure, affected employees need to be

informed as appropriate, through communication or training, of the requirements to be
satisfied. Documented information that provides information on results achieved or
evidence of activities performed (a record) are part of an organization's documentation,
but are generally controlled through different management processes.

Documented information can be managed in any medium (paper, electronic, photos,

posters) that is useful, legible, easily understood and accessible to those needing the
information contained therein.

If processes of the environmental management system are aligned with those from other
management systems, an organization can combine relevant environmental documented
information with documented information of these other management systems.

Documented information - Guidance

Examples of documented information include
a) statements of policy and objectives
b) description of the scope of the environmental management system
c) descriptions of programmes and responsibilities
d) information on significant environmental aspects
e) procedures
f) process information
g) organizational charts
h) internal and external standards
i) site emergency plans
j) records (evidence of an outcome)

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 1. Creating and updating

When creating and updating documented information the organization shouldensure

appropriate:

• identification and description (e.g. a title, date, author, or reference

number)
• format (e.g. language, software version, graphics) and media (e.g.
paper, electronic)
• review and approval for suitability and adequacy

2. Control of documented information

Control of environmental management system

documented information is important to ensure that

• information can be identified with the appropriate organization, division,

function, activity or contact person,
• information maintained by the organization is regularly reviewed, revised
as necessary and approved by authorized personnel prior to issue,
• current versions of relevant documented information are available at all
locations where operations essential to the effective functioning of the
system are performed, including documents necessary to ensure
requirements are met, and
NOTE Where the availability of documented information is not practicable, actions that
conform to prescribed practices can be considered adequate.
• information that is obsolete is promptly removed from all points of issue
and points of use. In some circumstances, for example, for legal and/or
knowledge preservation purposes, documented information that is
obsolete can be retained as evidence of the results achieved.

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Documented information can be effectively controlled by

• developing an appropriate format that includes unique titles, numbers,

dates, revisions, revision history and authority
• assigning the review and approval of documented information maintained
by the organization to individuals with sufficient technical capability and
organizational authority
• maintaining an effective distribution system

Related Documents

1. Documented information – Control of documented information

Auditor’s Approach

1. Has the organization included documented information required by

international standard?
2. Has the organization included documented information determined by
the organization for the effectiveness of the EMS?
3. Has the organization ensured appropriate identification anddescription
when creating and updating documented information?
4. Has the organization ensured appropriate format and media when
creating and updating documented information?
5. Has the organization ensured appropriate review and approval for
suitability and adequacy when creating and updating documented
information?
6. Has the organization ensured the documented information is available
and suitable for use?
7. Has the organization ensured the documented information is
adequately protected?
8. Has the organization addressed the distribution, access, retrieval and
use of documented information?

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 9. Has the organization addressed the storage, preservation and
legibility?

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 10. Has the organization addressed the control of changes, retention and
disposition?
11. Is the external origin documented information (EMS) identified and
controlled?

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 LEADERSHIP COMMITMENT, ROLES,
RESPONSIBILITIES AND AUTHORITIES AND
RESOURCES, COMPETENCE, AWARENESS

Top management sets the organization's mission, vision and values based on its context,
the needs and expectations of its interested parties, and business objectives, and reflect
these in its strategic plans. Top managementcommitment, accountability and leadership
are vital for the successful implementation of the environmental management system,
including the capability to achieve intended outcomes. Leadership commitment means
providing physical and financial resources as well as direction, and active personal
involvement that supports effective environmental management and communicates its
importance.

1. Leadership Commitment

Leadership commitment should ensure that the environmental management system

• is not managed in isolation and separately from the central strategy of

the business,
• is considered when strategic business decisions are made.
• is aligned with business objectives,
• benefits from the appropriate level of resources (see 7.1),
• receives the appropriate involvement from across the business,
• provides real value to the organization, and
• continually improves and remains successful in the long term.

The environmental policy and objectives are aimed at meeting the environmental
component of the organization's strategic plans and form the basis for its environmental
management system. Top management, when

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planning or reviewing its strategy, should consider at an early stage the
environmental performance of the product or service life cycle. For example, the
opportunity for improving the environmental performance of a building or product is
greater if environmental criteria are considered at the design stage rather than leaving it
until its construction or manufacture.

The environmental management system can be more effective and enduring if it is

intrinsic to the strategic direction of the organization and integrated within business
processes (e.g., corporate governance, accountancy, performance management, sales,
purchasing, marketing and manufacturing).

The management of an organization should determine and make available appropriate

resources to establish, implement, maintain and improve the environmental management
system. These resources should be provided in a timely and efficient manner.

Top management should communicate the importance of effective environmental

management and conformance to the environmentalmanagement system requirements
through direct involvement or delegation of authority, as appropriate. The communication
can be formal or informal, and can take many forms including visual and verbal.

Leadership also requires supporting others in the organization in relevant management

roles so they in turn can apply leadership to their own area of responsibility, relative to
the environmental management system. This can allow leadership and commitment with
respect to the environmental management system to cascade down through the
organization. By demonstrating leadership and commitment, top management is able to
direct and support employees of the organization and others working on its behalf to fulfil
the intended outcomes of the organization's environmental management system.

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 2. Organizational roles, responsibilities and authorities

Successful establishment, implementation and maintenance of an environmental

management system depend on how top management defines and assigns
responsibilities and authority within the organization (see – Structure and
responsibility - Guidance).

The top management should assign (a) representative(s) or function(s) with sufficient
authority, awareness, competence and resources to

a) ensure the establishment, implementation and the maintenance of the

environmental management system at all applicable levels of the
organization, and
b) report back to top management on the environmental management
system, including environmental performance and its opportunities for
improvement.

These responsibilities and authorities can be combined with other functions or

responsibilities.

An organization should define and communicate the responsibilities and authorities of

persons working under the organization's control whose work relates to its environmental
management system. Environmental responsibilities should not be seen as confined to
the environmental function, and include other areas of an organization.

Areas could include operational management or other staff functions (e.g. design,
purchasing, engineering, quality, etc.). The resources provided by the top management
should enable the fulfilment of the responsibilities assigned. The responsibilities and
authorities should be reviewed when a change in structure of the organization occurs.

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To ensure effective establishment and implementation of an environmental management
system, it is necessary to assign appropriate responsibilities. The examples in table 2
illustrate environmental responsibilities.

Structure and responsibility - Guidance

Example of environmental responsibilities Typical person(s) responsible
Establish overall direction [intended outcomes] President, chief executive officer (CEO),
Board of directors
Develop environmental policy President, CEO, and others as appropriate
Develop environmental objectives and programmes Relevant managers
Consider environmental aspects during the design Product and service designers, architects
process
Monitor overall environmental management system Chief environmental manager
performance
Assure conformity with compliance obligations All managers
Promote continual improvement All managers
Identify customers' expectations Sales and marketing staff
Identify requirements for suppliers Purchasers, buyers
Develop and maintain accounting procedures Finance/accounting managers
Conform to environmental management system All persons working under the organization's
requirements control
Review the operation of the environmental Top management
management system
NOTE Companies and institutions have different organizational structures and need to define environmental
management responsibilities based on their own work processes. In the case of an SME, for example, the owner
can be the person responsible for all of these activities.

3. Resources

When identifying the resources needed, anorganization

should consider
• infrastructure,
• externally provided resources,
• information systems,
• training,
• technology, and
• financial, human and other resources specific to its operations.

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Resources should be provided in a timely and efficient manner.

Resource allocations should consider the organization's current and future needs. In
allocating resources, an organization can track the benefits as well as the capital and
operational costs of its environmental or related activities. Issues such as the cost of
pollution control equipment (capital) and the time personnel spend on making the
environmental management system effective (operational) can be included. Resources
and their allocation should be reviewed periodically, and in conjunction with the
management review to ensure their adequacy. In evaluating adequacy of resources,
consideration should be given to planned changes and/or new projects or operations.

Human, physical and financial resources - Guidance

The resource base and organizational structure of smaller organizations can encounter
certain limitations on environmental management system implementation. To overcome
these limitations, an organization can consider cooperative strategies. Options can
include:

• larger client and supplier organizations, to share technology and

knowledge,
• other organizations in a supply chain or local basis to define and address
common issues, share experiences, facilitate technical development, use
facilities jointly, and collectively engage external resources,
• standardization organizations, associations, chambers of commerce, for
training and awareness programmes, and
• universities and other research centres, to support productivity
improvements, life cycle perspective and innovation.

Knowledge is an important resource for establishing or improving the environmental

management system. When addressing future challenges, the organization should take
into account its current knowledge base and

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determine how to acquire or access the necessary additional knowledge.

4. Competence

Knowledge, understanding, skills or abilities enable an

individual to gain the necessary competence with regard
to environmental performance. All persons doing work
under the control of the organization that affect or can
affect its environmental performance and the
achievement of the intended outcomes of its environmental management system should
be competent, based on training, education, experience, or a combination of these, as
determined by the organization. These persons include the organization's own staff
members, as well as those working under its control, such as external providers.

The competence requirements for these persons are not limited to those doing work that
have or can have significant impacts on the environment but also those who manage a
function or undertake a role which is critical to achieving the intended outcomes of the
environmental management system. The content of the practical help box below is not
intended to provide an exhaustive list of competencies for the implementation of an
environmental management system but to provide examples to assist an organization in
determining its competence needs.

Many organizations do not have access to all these competencies and they often procure
competent service providers to ensure environmental performance and the achievement
of the intended outcomes of the environmental management system.

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Examples of competence needs - Guidance
Clause Clause requirement Competence needs
Knowledge and understanding of the external and internal issues
and environmental conditions, including events, that can affect
the organization.
Knowledge and understanding of the relevant interested parties
4 Context of the organization and their requirements.
The ability to determine, define and document the scope of the
organization.
The ability to develop, implement and improve an environmental
management system.
Knowledge and understanding of leadership concepts such as
communication, human behaviour and organizational culture.
Knowledge and understanding of the implications of setting and
implementing an environmental policy.
Knowledge and understanding of resource availability and its
application to an environmental management system, including
the assignment of responsibilities and authorities.
Knowledge and understanding of the importance of
environmental performance to achieve the intended outcome of
5 Leadership the environmental management system.
Ability to integrate the environmental management system into
the organization's management system.
Knowledge and understanding of assessment tools that could be
used to deliver improvement of environmental performance,
such as indicators.
The ability to conduct management reviews and ensure
improvement in environmental performance.
The ability to ensure that the environmental management system
requirements are fulfilled.
Knowledge and understanding of the organization's activities,
products and services and associated environmental impacts.
The ability to determine the significant environmental aspects.
Knowledge and understanding of the organization's compliance
obligations and their application to the environmental aspects.
6 Planning The ability to determine risks associated with threats and
opportunities associated with the intended outcome of the
environmental management system.
The ability to plan to take action to address significant
environmental aspects and organizational risks associated with
threats and opportunities.
Knowledge and understanding of the importance of documented
7 Documented information information to achieving the intended outcome of the
environmental management system.

Knowledge and understanding of the need to plan the control of

Operation the organization's significant environmental aspects and
8
associated risks associated with threats and opportunities.
The ability to apply the hierarchy of control to the organization's
significant environmental aspects and associated risks
associated with threats and opportunities.

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 Knowledge and understanding of the use of indicators to
measure environmental performance.
Knowledge and understanding of the need to satisfy the
organization's compliance obligations.
The ability to apply indicators to the monitoring and
measurementof environmental performance.
9 Performance evaluation The ability to analyse and act upon the results of environmental
performance and the organization's compliance obligations.
Knowledge and understanding of the development of audit
programmes to determine the effectiveness of the
organization's environmental management system.

The organization should identify the necessary competencies required to fulfil the
intended outcome of the environmental management system and address gaps.
Documented information can be useful to ensure that identified competency needs are
addressed, track progress on closing any gaps, and to enable communication of relevant
information to interested parties.

Competence can be acquired through training. An organization's trainingprocess(es)

should include
• identification of training needs,
• design and development of a training plan or programme to address
defined training needs,
• delivery of the training,
• evaluation of the training result, and
• documentation and monitoring of training received.
An organization can evaluate the effectiveness of the training to confirm theintended
result of the training is being achieved.

5. Awareness

Top management has a key responsibility for

building awareness and motivating employees
by
promoting an organization's environmental values and how they can contribute towards

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its business strategy. The intended outcomes of promoting awareness are to provide
knowledge and generate behavioural change.

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Top management should ensure persons working under the organization'scontrol are:

• aware of its environmental policy; and its commitment to the policy;

• encouraged to:
• promote environmental performance;
• contribute toward achieving the intended outcomes of the environmental
management system;
• accept the importance of achieving the environmental objectives for
which they are responsible or accountable.

Top management should also ensure that all persons working under theorganization's
control are made aware of:
• the importance of conforming to the requirements of the environmental
management system,
• their contribution to the effectiveness of the environmental management
system,
• the benefits of improved environmental performance,
• their responsibilities and accountabilities within the environmental
management system,
• the significant actual or potential environmental aspects and associated
impacts of their work activities, and
• the consequences of the departure from applicable environmental
management system requirements, including the organization's
compliance obligations.

Examples of methods to increase awareness can include internal communication, visual

signs and banners, campaigns, training or education, and mentoring.

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Related Documents

1. Competence
2. Roles & Responsibilities Matrix

Auditor’s Approach

1. Does top management demonstrate leadership & commitment with

respect to the EMS policy?
2. Is the top management taken accountability for the effectiveness ofthe
environmental management?
3. Does the top management ensure that the environmental policy and
environmental objectives are compatible with the strategic direction and
the context of the organization?
4. Has the top management ensured that the resources needed for the
environmental management system are available?
5. Has the top management communicated the importance of effective
environmental management and of conforming to the environmental
management system requirements?
6. Has top management ensured that the environmental management
system achieves its intended outcomes?
7. How the top management promotes continual improvement?
8. Does top management of the organization take ultimate responsibility
for the Environmental management system?
9. Has top management ensured the availability of resources essential
to establish, implement, maintain, and improve the environmental
management system?
10. Has the organization defined roles & allocated responsibilities and
accountabilities to facilitate effective environmental management?
11. Has the organization delegated authorities to facilitate effective
environmental management?
12. Do all persons with management responsibility within the organization

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 demonstrate their commitment to the continual improvement of EMS
performance?

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 13. Does the organization ensure that all persons in the workplace take
responsibility for aspects of EMS over which they have control?
14. Does the organization ensure that all persons in the workplace adhere
to the organization‘s applicable EMS requirements?
15. Does the organization maintain documented information to
demonstrate that any person under its control performing tasks who
can impact on EMS are competent on the basis of appropriate
education, training or experience?
16. Does the organization identify training needs associated with its EMS
risks?
17. Does the organization provide training or take other action to meet
identified EMS training needs?
18. Does the organization evaluate the effectiveness of training provided
or other action taken to meet identified EMS training needs?
19. Has the organization established, implemented and maintained
documented information to make persons working under its control
aware of their roles and responsibilities?
20. Has the organization established and implemented documented
information to make persons working under its control aware of
emergency preparedness and response requirements?
21. Has the organization established and implemented a documented
information to make persons working under its control aware of the
potential consequences of departure from specified procedures?
22. Are documented information for EMS awareness training maintained?
23. Does the organization‘s training documented information take into
account differing levels of responsibility?
24. Does the organization‘s training documented information take into
account differing levels of ability, language skills and literacy?

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 IMPROVEMENT

This chapter deals about the clause requirement Improvement

1. Nonconformity and corrective action

Checking involves measurement, monitoring

and evaluation of an organization's
environmental
performance. Corrective action consists of
identifying and correcting problems in the
environmental management system.

A process for identifying nonconformity in the environmental management system and

taking corrective action helps an organization operate and maintain the environmental
management system as it intends. Keeping records and managing them effectively gives
the organization a reliable source of information on the operation and results of the
environmental management system. Periodic audits of the environmental management
system help the organization verify that the system is designed and operating according
to plan. All of these tools support the evaluation of performance.

For an environmental management system to be effective on an ongoingbasis, an

organization should have

• a systematic method for identifying nonconformity,

• taking immediate action(s),
• analysing the cause of the nonconformity and taking corrective action,
• preferably preventing problems before they occur.

Nonconformity is non-fulfilment of a requirement. A requirement can be statedin

relation to the management system or in terms of environmental

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performance. Situations can occur where part of the system cannot function as intended
or environmental performance requirements are not met.

Examples of such situations can include

• system performance
• failure to establish environmental objectives
• failure to define responsibilities required by an environmental
management system, such as responsibilities for achieving objectives or
for emergency preparedness and response
• failure to periodically evaluate conformity with compliance obligations
• environmental performance
• energy reduction objectives are not achieved
• maintenance requirements are not performed as scheduled
• operating criteria (e.g. permitted limits) are not met

The internal audit process described in 9.2 is one way of periodically identifying
nonconformities. Identification of nonconformities should also be made part of routine
responsibilities, with individuals closest to the work noting potential or actual problems.

Once a nonconformity is identified, it should be investigated to determine the cause, so

that corrective action can be focused on the appropriate part of the system. In developing
a plan for addressing a nonconformity, an organization should consider what actions need
to be taken to address (mitigate) the problem, what changes need to be made to correct
the situation [to restore normal operation(s)], and what should be done to prevent the
problem from recurring [to eliminate the cause(s)]. The character and timing of such
actions should be appropriate to the nature and scale of the nonconformity and the
environmental impact.

If a potential problem is identified but no actual nonconformity exists, action should be

taken to prevent problems before they occur. Potential problems can be identified using
methods such as extrapolating corrective action of

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actual nonconformities to other applicable areas where similar activities occur, trend
analysis, or hazard operability studies and should be dealt with in Clause 6.1.

Management should ensure that corrective actions and action taken to prevent problems
before they occur have been implemented, and that there is systematic review and follow-
up to ensure their effectiveness.

Establishing procedures for addressing actual and potential nonconformities and for
taking corrective actions and actions taken to prevent problems before they occur helps
to ensure consistency in this process. Such procedures should define responsibilities,
authority and steps to be taken in planning and carrying out corrective actions and actions
taken to prevent problems before they occur. When the actions taken result in changes
to the environmental management system, the process should ensure that all related
documented information and competency needs are updated, approved, and that
changes are communicated to all who need to know.

2. Continual improvement
a. Opportunities for improvement

Continual improvement is a key attribute of an effective environmental management

system.

Continual improvement is accomplished through the achievement of environmental

objectives and the overall enhancement of the environmental management system or any
of its components.

An organization should continually evaluate its environmental performance and the

performance of its environmental management system processes to identify
opportunities for improvement. Top management should be involved directly in this
evaluation through the management review process.

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The identification of environmental management system deficiencies also provides
significant opportunities for improvement. To realize such improvements, an organization
should not only know what deficiencies exist, but understand why they exist. This can be
achieved by analysing the root causes(s) of environmental management system
deficiencies.

Some useful sources of information for continual improvement include

• experience gained from corrective actions

• external benchmarking against best practices
• intended or proposed changes to compliance obligations
• results of environmental management system and compliance audits
• results of monitoring of key characteristics of operations
• results of progress towards achieving objectives
• views of interested parties, including employees, customers and
suppliers

b . Implementation of continual improvement

Continual improvement of the environmental

management system can become increasingly
difficult to achieve as the system's performance
improves. When opportunities for improvement are
identified, they should be evaluated to
determine what actions should be taken. The actions for improvement should be planned,
and changes to the environmental management system should be implemented
accordingly. Improvements need not take place in all areas simultaneously (see also
4.4.1).

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Examples of improvement - Guidance

Some examples of improvement include

• establishing a process for evaluating new materials to promote the use of

less harmful materials
• improving an organization's process for identifying its compliance
obligations so that new compliance obligations are identified in a more
timely fashion
• improving employee training on materials and handling to reduce an
organization's generation of waste
• introducing waste water treatment processes to allow water reuse,
• implementing changes in default settings on reproduction equipment to
print two-sided copies at a printing office
• redesigning delivery routes to reduce fossil fuel consumption by
transportation company(ies)
• setting objectives to implement fuel substitution in boiler operations
and reduce particulate emissions
• developing a culture of environmental improvement within the
organization
• developing partnerships with interested parties
• considering sustainability in the organization's business process

Related Documents

1. Nonconformity and corrective action

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Auditor’s Approach

1. Has the organization determined opportunities for improvement and

implement necessary actions to achieve the intended outcomes of its
EMS?
2. How the organizations react when any nonconformity occurs?
3. How the organizations take action to control and correct the
nonconformities?
4. Has organization evaluated the need for action to eliminate the causes
of the nonconformities?
5. How the organization monitor the reoccurrence of the nonconformities?
6. Has the organization reviewed the nonconformities?
7. Has the organization determined the causes of the nonconformities?
8. How the organization determines the nonconformity is potential?
9. How do you ensure the actions to be implemented?
10. Has organization reviewed the effectiveness of any corrective action
taken?
11. Is any change done in the EMS?
12. Has the organization retained documented information?
13. Has the organization have a plan for continual improvement of the EMS
performance?
14. Has the organization identified, where the continual improvement
required in the Environmental management system?

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