Template

EPA 744-R-00-012
December 2000
Integrated
Environmental
Management
Systems
A Company Manual Template
for Small Business
U.S. Environmental Protection Agency
Office of Pollution Prevention and Toics
Ac!no"ledgments

This document was prepared by Eastern Research Group, Inc. of Lexington, MA, as part of an
effort to show how esign for the En!ironment "fE# technica$ wor% cou$d be used to support
de!e$opment of an Integrated En!ironmenta$ Management &ystem "IEM&#. The ERG pro'ect
team inc$uded a!id Ga$braith, (wen a!is, and )eff *antin.
The E+A +ro'ect (fficer is ,aren *hu, with the fE +rogram in the (ffice of +o$$ution
+re!ention and Toxics. -i$$ .anson is irector of the fE +rogram. Important contributions
were made by Ted *ochin and )enny /isher of the fE +rogram staff. Additiona$ support was
pro!ided by Abt Associates, *ambridge, MA and from the 0ni!ersity of Tennessee, ,nox!i$$e
*enter for *$ean +roducts and *$ean Techno$ogies. The Abt pro'ect team inc$uded *hery$
,eenan and Libby +ar%er. The 0ni!ersity of Tennessee pro'ect team inc$uded ,erry ,e$$y, Lori
,incaid and Mary &wanson.
1e wou$d a$so $i%e to ac%now$edge insights and expertise recei!ed from Marci ,inter of the
&creen +rinting and Graphic Imaging Association Internationa$ "&GIA#, /airfax, 2A, and from
/oster ,night of The Lexington Group, Lexington, MA.
#ore"ord
Why Have an IEMS Manual For Your Company?
/or a sma$$ or medium3si4ed company de!e$oping an IEM&, the 5uestion of how to document
the system itse$f can be cha$$enging. Many sma$$er companies $ac% experience in de!e$oping
documentation for their business processes and worry about ha!ing to de!e$op extensi!e
documentation for their IEM&. In the course of a pi$ot pro'ect sponsored by E+A6s esign for
the En!ironment "fE# +rogram and a trade association, the sma$$ and medium3si4ed companies
participating in the pro'ect re5uested additiona$ guidance on how to document their IEM&s in a
concise, user3friend$y manua$. They wanted to achie!e the fo$$owing benefits from effecti!e
documentation7
Abi$ity to maintain and impro!e their IEM&s as personne$ and responsibi$ities change "i.e.,
the system is $ess dependent on a sing$e person#.
Impro!ed system imp$ementation7 procedures are c$ear and easy to fo$$ow, and emp$oyees
%now where to $oo% to find the procedures and records they need.
8ua$ity impro!ement and systemati4ation across other company management systems.
To meet this re5uest and to he$p other sma$$ and mid3si4ed companies document their IEM&s, the
fE +rogram has de!e$oped the fo$$owing company manua$ temp$ate. The company manua$
temp$ate contains procedures and associated formats for an IEM& that is designed according to
the princip$es set forth in Integrated Environmental Management Systems: Implementation
Guide "E+A 9::3R3;;3;<<#. This guide is a!ai$ab$e on fE6s website at or through E+A6s
+o$$ution +re!ention Information *$earinghouse at
The temp$ate itse$f contains a co!er page, tab$e of contents, and comp$ete documentation for the
fictiona$ &mith *orporation6s IEM&. As you wor% through the temp$ate you wi$$ see instructions
"in italics# on how to tai$or each section to the specific re5uirements of your own sma$$3 to
medium3si4ed company.
Using This Company Manual Template
+$ease %eep the fo$$owing points in mind as you ma%e use of this company manua$ temp$ate7
Adapt this manual template to your particular company and its IEMS. The temp$ate itse$f
contains a co!er page, tab$e of contents, and comp$ete documentation for the fictiona$ &mith
*orporation6s IEM&. As you wor% through the temp$ate you wi$$ see instructions "in italics#
on how to tai$or each section to the specific re5uirements of your own sma$$3 to medium3
si4ed company. -rac%eted and ita$ic text is a$so used to refer you to the re$ated section in the
IEMS Implementation Guide "see abo!e#. =ou wi$$ probab$y want to add, e$iminate, and>or
modify the procedures and other manua$ e$ements to fit your company6s IEM&.
This manual template contains a good base set of procedures. The IEM& procedures
contained in this temp$ate represent the core set of procedures norma$$y documented as part
of an I&( <:;;<3comp$iant EM&. =ou may choose to inc$ude a$$ of these procedures
"regard$ess of whether you e!entua$$y wi$$ see% certification of your EM& to I&( <:;;<#, or
to add, remo!e, or modify procedures so that the documentation ref$ects your organi4ation
and your EM&.
If it wont be useful! its not worth your time. As you are adapting this company manua$
temp$ate, design it so that it wi$$ be used "and further adapted# o!er time. It is much more
important to ha!e a $i!ing manua$ than a perfect manua$ that 'ust sits on the she$f.
"ic# an appropriate level of detail for your company. In genera$, the $arger a company is, the
more detai$ed its procedures are?but e!en this may !ary according to your company6s
cu$ture.
If you already have a system for documentation and document control! develop your IEMS
manual to fit that system. There are no specifications or criteria for the system used to
document your IEM&. It ma%es sense to use whate!er system you norma$$y use for
de!e$oping and maintaining simi$ar documentation.
$our manual should reference wor#sheets! templates! or company records! where applicable.
This manua$ ma%es reference to numbered temp$ates that direct$y fo$$ow the corresponding
procedures, as we$$ as to other records maintained e$sewhere n the company. "To he$p $ocate
these too$s within the manua$, see the index that fo$$ows.# If you use additiona$ formats or
wor%sheets "i.e., such as the supporting wor%sheets presented in the IEMS Implementation
Guide#, inc$ude those as we$$.
Integrated Environmental Management System (IEMS
Manual
Smith Corporation
!anuary "# $%%&
'evision &(%
+repared by7 @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@
"IEM& Management Representati!e#
Appro!ed and Authori4ed by7 @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@
"+resident#
Smith Corp( ) IEMS Manual
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*age i
Ta+le o, Contents
Tab$e of *ontents...................................................................................i
+urpose of This Manua$.........................................................................<
efinitions, Abbre!iations, and List of +rocedures..............................A
*ompany escription7 &mith *orporation............................................:
&mith *orporation6s IEM&7 Introduction and &cope............................B
En!ironmenta$ +o$icy............................................................................C
IEM& Responsibi$ities...........................................................................9
%ocumentation
RE&+3;<7 IEM& Responsibi$ities..................................D
IEM& *omponents, +rocedures, and ocumentation...........................E
Identification of En!ironmenta$ Aspects "+3EA#......................<;
%ocumentation
EA3;<a7 -asic and &upporting (perations..................<<
EA3;<b7 -asic and &upporting (perations?Materia$
/$ow iagrams....................................................................................<A
EA3;A7 En!ironmenta$ Aspects...................................<F
EA3;F7 .ea$th, &afety, and +otentia$ En!ironmenta$
*oncerns <:
EA3;:7 Exposure to *hemica$s and Materia$s.............<B
Identification of Lega$ Re5uirements "+3LR#...........................<C
%ocumentation
LR3;<7 App$icab$e Lega$ Re5uirements......................<9
Identification of &ignificant En!ironmenta$ Aspects "+3&EA#. <D
%ocumentation
&EA3;<7 etermining &ignificant En!ironmenta$
Aspects A;
e!e$opment of (b'ecti!es, Targets, and Action +$ans "+3(T+#
A<
%ocumentation
(T+3;<7 En!ironmenta$ (b'ecti!es............................AF
(T+3;A7 En!ironmenta$ Management +$an................A:

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*age i
*onducting an A$ternati!es E!a$uation "+3AE#........................AB
%ocumentation
AE3;<7 A$ternati!es Identification..............................A9
AE3;A7 E!a$uation of A$ternati!es..............................AD
AE3;F7 E!a$uation of En!ironmenta$ Effects..............AE
AE3;:7 E!a$uation of +erformance.............................F;
AE3;B7 E!a$uation of Regu$atory *oncerns................F<
AE3;C7 E!a$uation of *osts.........................................FA
e!e$opment of (perationa$ *ontro$s "+3(*#.........................FF
%ocumentation
(*3;<7 IEM& (perationa$ *ontro$ +rocedures...........FB
En!ironmenta$ Training "Awareness and Tas%3&pecific# "+3ET#
FC
Emergency +reparedness "+3E+#..............................................FD
Re!iew of Gew +urchases, +rocesses, and +roducts "+3G+++#
FE
ocumentation and ocument *ontro$ "+3#..........................:<
*onducting a *omp$iance Assessment "+3*A#........................:F
%ocumentation
*A3;<7 *omp$iance Trac%ing Log..............................::
*onducting an Interna$ Assessment "+3IA#..............................:B
%ocumentation
IA3;<7 Interna$ Assessment *hec%$ist.........................:9
IA3;A7 Interna$ Assessment Record.............................:D
Ta%ing *orrecti!e Action "+3T*A#..........................................:E
%ocumentation
T*A3;<7 *orrecti!e Action /orm...............................B;
*ommunication with &ta%eho$ders "+3*&#...............................B<
%ocumentation
*&3;<7 &ta%eho$ders and En!ironmenta$ Issues..........BF
*&3;A7 &ta%eho$der *ommunication Record..............B:
Management Re!iew "+3MR#...................................................BB
%ocumentation
MR3;<7 Management Re!iew Record.........................B9
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*urpose o, This Manual
&'ne or more paragraphs describing the purpose of this manual within your companys
IEMS.(
The purpose of this manua$ is to ser!e as a high3$e!e$ Hroad mapI to &mith *orporation6s
IEM& and to house the procedures which &mith *orporation fo$$ows in imp$ementing and
maintaining its IEM&.
This manua$, and subse5uent re!isions, is distributed by the IEM& coordinator to senior
p$ant management "inc$uding the IEM& management representati!e#, and the IEM&
committee. It wi$$ be made a!ai$ab$e to a$$ &mith *orporation emp$oyees, especia$$y those
in!o$!ed in performing wor% re$ated to the IEM&.
This manua$ a$so ser!es as the basis for &mith *orporation6s interna$ assessment of its
IEM&.
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-e,initions# .++reviations# and /ist o, *ro0edures
&)ist of all abbreviations used in the manual and definitions of relevant terms.(
Definitions
%esign for the Environment *%fE+7 An approach to incorporating opportunities for ris%
reduction and wise resource use into business decision3ma%ing, de!e$oped through
partnerships between the 0.&. En!ironmenta$ +rotection Agency and industry, academic,
and other sta%eho$ders
Environmental aspect *EA+7 An e$ement of &mith *orporation6s acti!ities, products, or
ser!ices that can or does interact with the en!ironment "create an en!ironmenta$ impact#
Environmental impact7 Any change to the en!ironment, whether ad!erse or beneficia$,
resu$ting from &mith *orporation6s acti!ities, products, or ser!ices
Significant environmental aspect *SEA+7 An en!ironmenta$ aspect deemed by the &mith
*orporation as ha!ing, or potentia$$y ha!ing, a significant impact on the en!ironment
Alternatives evaluation7 +rocess by which a$ternati!e methods for comp$eting a particu$ar
function are e!a$uated using business and en!ironmenta$ criteria
,on-conformity7 iscrepancy between &mith *orporation6s actua$ IEM& acti!ities and the
procedures $aid out in this manua$ "i.e., where the actua$ acti!ities do not fo$$ow the
procedures#
Indicator7 A measurab$e parameter or predictor of performance "in this case, of
en!ironmenta$ performance#
.oot cause analysis7 &ystematic process to unco!er under$ying causes of a particu$ar issue
or prob$em
Abbreviations
fE esign for the En!ironment
EA En!ironmenta$ Aspect
EM& En!ironmenta$ Management &ystem
&EA &ignificant En!ironmenta$ Aspect
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*age 1
List of Procedures
"A$phabetica$#
+3AE *onducting an A$ternati!es E!a$uation
+3*A *onducting a *omp$iance Assessment
+3*& *ommunication with &ta%eho$ders
+3 ocumentation and ocument *ontro$
+3EA Identification of En!ironmenta$ Aspects
+3E+ Emergency +reparedness
+3ET En!ironmenta$ Training "Awareness and Tas%3&pecific#
+3IA *onducting an Interna$ Assessment
+3LR Identification of Lega$ Re5uirements
+3MR Management Re!iew
+3G++ Re!iew of Gew +urchases, +rocesses, and +roducts
+3(* e!e$opment of (perationa$ *ontro$s
+3(T+ e!e$opment of (b'ecti!es, Targets, and Action +$ans
+3&EA Identification of &ignificant En!ironmenta$ Aspects
+3T*A Ta%ing *orrecti!e Action
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Company -es0ription2 Smith Corporation
&Several paragraphs describing the activities of your company! its location*s+! and its
mission and/or values.(
&mith *orporation is a medium3si4ed business dedicated to the manufacture of high 5ua$ity
widgets for a !ariety of $arge industria$ customers. &mith *orporation owns and operates
two p$ants, one in )ones!i$$e, ,entuc%y, and one in )ohns!i$$e, Tennessee.
&mith *orporation was founded in <EBC and has since bui$t and maintained the reputation
of being a responsi!e supp$ier of high 5ua$ity products, a good emp$oyer, and a good
community member.
'ev( &(% (!anuary "# $%%&
*age 3
Smith Corporation4s IEMS2 Introdu0tion and S0ope
&Two or three paragraphs that introduce your IEMS and describe its purpose and scope.(
&mith *orporation has de!e$oped and is maintaining an IEM& in order to ensure that we
continue to supp$y a high 5ua$ity product to our customers whi$e pro!iding a safe, hea$thy
wor%p$ace for our emp$oyees and acting as a responsib$e member of our community. The
&mith *orporation6s IEM& is designed to he$p us understand our en!ironmenta$ impacts
and, through proacti!e management, reduce the ris%s that our producti!e operations pose to
our emp$oyees and to the en!ironment. The IEM& is a$so the means through which we
fo$$ow through on the commitments expressed in our en!ironmenta$ po$icy.
Scope of Smith 0orporations IEMS
&mith *orporation6s IEM& present$y co!ers on$y the )ones!i$$e, ,= p$ant. More
specifica$$y, the IEM& co!ers a$$ operations occurring on3site at the p$ant, from the point of
entry of raw materia$s and energy to the point of exit of finished manufactured products. In
addition to manufacturing processes and acti!ities, a$$ on3site anci$$ary operations fa$$
within the scope of the IEM&, inc$uding maintenance, grounds%eeping, offices, and the
acti!ities of on3site contractors. The IEM& exc$udes the en!ironmenta$ aspects of products
to the extent that &mith *orporation does not ha!e inf$uence o!er their design or
disposition. The IEM& does ta%e waste disposa$ into account in e!a$uating the
en!ironmenta$ impacts of on3site acti!ities, e!en though &mith *orporation may not
u$timate$y be the fina$ disposer of its waste.
&mith *orporation p$ans to extend the IEM& to the )ohns!i$$e, TG p$ant after it has been in
p$ace for se!era$ years at the )ones!i$$e p$ant.
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*age 5
Environmental *oli0y
&'ne or two paragraphs about the importance of the environmental policy in your
companys IEMS. See Module 1 in the IEMS Implementation Guide.(
The core of &mith *orporation6s IEM& is our en!ironmenta$ po$icy. The en!ironmenta$
po$icy states in broad terms the principa$ en!ironmenta$ commitments of &mith
*orporation. It is signed by our +resident and has been communicated to a$$ emp$oyees.
The en!ironmenta$ po$icy is posted on bu$$etin boards throughout the p$ant and is a!ai$ab$e
on re5uest to the pub$ic, customers, and authorities. The IEM& coordinator is responsib$e
for ensuring that on$y the most recent !ersion of the en!ironmenta$ po$icy is posted and
a!ai$ab$e.
The en!ironmenta$ po$icy of &mith *orporation is reproduced be$ow.
&Insert environmental policy(
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IEMS 'esponsi+ilities
&Several paragraphs describing how the overall responsibility for maintaining the IEMS is
distributed within your company. See Module 2 in the IEMS Implementation Guide.(
&mith *orporation has estab$ished an IEM& management representati!e, coordinator, and
committee with the fo$$owing responsibi$ities7
Management representative. The IEM& management representati!e is the member of
&mith *orporation6s top p$ant management group responsib$e for the functioning of the
IEM&. It is his or her 'ob to ensure that a$$ tas%s re$ating to the IEM& are identified and
comp$eted in a time$y manner. .e or she is a$so responsib$e for reporting periodica$$y
to the top p$ant management group on the progress and resu$ts of the IEM&.
0oordinator. The IEM& coordinator6s responsibi$ity is to identify, assign, schedu$e,
pro!ide the necessary support for, and ensure comp$etion of a$$ tas%s re$ating to the
IEM&. The coordinator wor%s c$ose$y with the management representati!e and with the
committee. The IEM& coordinator is a$so responsib$e for maintaining this manua$,
under the $eadership of the management representati!e. The functions of coordinator
and management representative may be filled by the same person.
0ommittee. The IEM& committee "which a$so ser!es as the p$ant6s safety committee# is
comprised of C3D super!isors and emp$oyees from ma'or groups or areas within the
p$ant. The committee is responsib$e for ensuring that IEM& acti!ities in their areas are
carried out and for reporting the resu$ts of these acti!ities to the committee as a who$e.
In addition, the committee itse$f underta%es certain IEM& acti!ities such as the se$ection
of significant en!ironmenta$ aspects. The committee meets to discuss the IEM& on at
$east a month$y basis.
.ecords
The IEM& coordinator maintains an updated $ist of management representati!e,
coordinator, and committee members using format RE&+3;< "IEM& Responsibi$ities#.
'ev( &(% (!anuary "# $%%&
*age 7
'ES*)%&2 IEMS 'esponsi+ilities
The fo$$owing tab$e $ists the &mith *orporation6s IEM& management representati!e,
coordinator, and committee7
IEMS Fun0tion 8ame 'egular *osition
Management Representati!e
IEM& *oordinator
IEM& *ommittee
*ontact +erson7 ate *omp$eted7
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IEMS Components# *ro0edures# and -o0umentation
The fo$$owing pages of this manua$ present the components of &mith *orporation6s IEM&
and procedures by which these components are carried out. The fo$$owing e$ements are
inc$uded for each component7
A statement of the purpose of the component?in other words, how the acti!ity fits into
the IEM&.
*hrono$ogica$$y ordered and numbered steps that ma%e up the procedure for carrying
out the component. These steps describe what actions are ta%en and who is responsib$e
and ma%e reference to records or documentation "e.g., formats# where appropriate.
Mention of the fre5uency with which the procedure is carried out.
&ummary $ist of records referenced in the procedure and person"s# responsib$e for
maintaining them.
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Identi,i0ation o, Environmental .spe0ts (*)E.
&See Modules 2 and 3 in the IEMS Implementation Guide.(
"urpose
In order to understand and manage its actua$ and potentia$ en!ironmenta$ impacts, &mith
*orporation identifies the en!ironmenta$ aspects of its acti!ities, products, and ser!ices as
they fa$$ within the scope of the IEM&. As a subset of this acti!ity, &mith *orporation
identifies the hea$th and en!ironmenta$ concerns re$ated to particu$ar chemica$s used in the
p$ant.
"rocedure
<. 0sing processing mapping "or input>ouput f$ow charts#, the IEM& committee
identifies the basic manufacturing and supporting operations that fa$$ within the
scope of the IEM&. These are recorded using format EA3;<, with supporting
materia$ f$ow diagrams and tab$e using format EA3;<b.
A. The IEM& coordinator arranges for the en!ironmenta$ aspects of these operations to
be identified by a team of se!era$ emp$oyees from the operation in 5uestion, using
the process mapping approach where feasib$e and under the o!ersight of the IEM&
coordinator or a committee member where appropriate.
F. En!ironmenta$ aspects, and their actua$ or potentia$ impacts "5uantified to the extent
possib$e#, are $isted by operation using format EA3;A "simi$ar to 1or%sheet <3B in
the IEMS Implementation Guide#.
:. If the en!ironmenta$ aspect in!o$!es use of a potentia$$y harmfu$ chemica$, the
IEM& committee is responsib$e for researching the %nown hea$th and en!ironmenta$
concerns and $isting these using format EA3;F "simi$ar to 1or%sheet F3< in the
IEMS Implementation Guide#.
4re5uency
This procedure is repeated annua$$y to ensure that any new en!ironmenta$ aspects are
identified.
.ecords
/ormats EA3;<a and EA3;<b "-asic and &upporting (perations, /$ow iagrams#, EA3;A
"En!ironmenta$ Aspects#, and EA3;F ".ea$th and En!ironmenta$ *oncerns# are maintained
by the IEM& coordinator.
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E.)%&a2 :asi0 and Supporting ;perations
The fo$$owing are the basic "manufacturing# and supporting operations that fa$$ within the
scope of &mith *orporation6s IEM&7
<.
A.
F.
:.
B.
C.
9.
D.
E.
<;.
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E.)%&+2 :asi0 and Supporting ;perations < Material Flo= -iagrams
&Sample diagrams(
Product or Service Component Parts
>eneri0 Input);utput -iagram ,or ;,,i0e ;perations
Copying
*aper
Toner
*rinted -o0uments
Waste *aper
Used Toner
;dors
Energy
>eneri0 Input?;utput -iagram ,or a Manu,a0turing ;peration
Manu,a0turing
Step
Chemi0als
Water
Chemi0al Waste
Materials Waste
Waste Water
.ir 'eleases
Materials
Energy
*rodu0t ,or
8e@t Step
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&1
E.)%$2 Environmental .spe0ts
The en!ironmenta$ aspects of the basic and supporting operations identified in format EA3;< are $isted in the fo$$owing tab$e.
;peration Input?;utput
Environmental .spe0t
(Auanti,y i, readily possi+le Environmental Impa0t
'ev( &(% (!anuary "# $%%& *age
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Identi,i0ation o, /egal 'eAuirements (*)/'
&See Module 2 in the IEMS Implementation Guide.(
"urpose
&mith *orporation is committed to comp$ying with a$$ app$icab$e en!ironmenta$
regu$ations. This procedure describes how &mith *orporation identifies app$icab$e
regu$ations.
"rocedure
<. The IEM& management representati!e is responsib$e for trac%ing app$icab$e
en!ironmenta$ $aws and regu$ations and e!a$uating their potentia$ impact on the
company6s operations. .e or she emp$oys se!era$ techni5ues to trac%, identify, and
e!a$uate app$icab$e $aws and regu$ations. These techni5ues inc$ude commercia$
databases, information from the trade association, direct communication with
nationa$ and state regu$atory agencies, and periodic refresher training on
en!ironmenta$ $aws.
A. As necessary, the management representati!e may ca$$ upon off3site resources such
as consu$tants or attorneys.
F. The management representati!e compi$es and maintains updated copies of
app$icab$e en!ironmenta$ $aws and regu$ations.
:. The management representati!e, wor%ing with the IEM& coordinator and
committee, corre$ate these regu$ations to the business acti!ities and en!ironmenta$
aspects associated with them using format LR3;< "simi$ar to 1or%sheet <3C in the
IEMS Implementation Guide#.
4re5uency
+eriodic7 depends on information source.
.ecords
/ormat LR3;< "App$icab$e Lega$ Re5uirements# is maintained by the IEM& coordinator.
The IEM& management representati!e maintains copies of the app$icab$e regu$ations.
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/')%&2 .ppli0a+le /egal 'eAuirements
The fo$$owing tab$e pro!ides a $ist of en!ironmenta$ regu$ations that app$y to &mith *orporation6s acti!ities. The specific
operation"s# to which each regu$ation app$ies are a$so shown. The operations are a subset of those $isted on format EA3;A.
'egulatory .gen0y 'egulation and Spe0i,i0 *rovision
;peration(s to =hi0h *rovision
.pplies
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Identi,i0ation o, Signi,i0ant Environmental .spe0ts (*)SE.
"urpose
&mith *orporation focuses its management efforts on the most significant of its
en!ironmenta$ aspects. To determine its &EAs, &mith *orporation systematica$$y
e!a$uates its en!ironmenta$ aspects using en!ironmenta$ and business criteria.
"rocedure
<. The IEM& coordinator compi$es a master $ist of en!ironmenta$ aspects onto format
&EA3;< based on the $ists submitted from each area "which are compi$ed on format
EA3;A#. 1here appropriate, indi!idua$ aspects are grouped. "/or examp$e, if
consumption of energy is $isted as an en!ironmenta$ aspect in se!era$ areas, the
coordinator cou$d choose to group these $istings such that consumption of energy
appears 'ust once on the master $ist.#
A. The IEM& committee then rates each aspect according to the fo$$owing criteria7
Regu$atory concerns
+o$$ution
Ris%, inc$uding effects of chemica$s and materia$s, impact on wor%ers, impact
on the surrounding community, impact on the en!ironment, safety, and noise
Gatura$ resource use
F. 0sing format &EA3;< "simi$ar to 1or%sheets F3Ba and F3Bb in the IEMS
Implementation Guide#, aspects are assigned a re$ati!e !a$ue of L, M3L, M, M3.,
or . in each category, where / stands for $ow impact "or ris%, or potentia$ for
regu$atory issues#, M for medium, and H for high. Information recorded on
formats EA3;F and LR3;< are used to assist the committee in rating each aspect in
the categories of ris% and regu$atory concerns, respecti!e$y.
:. A HTota$ Ran%ingI is de!e$oped for each aspect by adding the scores for each
category using the fo$$owing !a$ues7 L K <L M3L K AL M K FL M3. K :L . K B.
B. 1ith a$$ but the $ast co$umn of format &EA3;< comp$ete, the committee ma%es a
fina$ determination as to which aspects are significant. As a genera$ guide, the
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aspects that score the highest number of points are considered significant. The
committee, howe!er, shou$d use its best 'udgement in determining significance.
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C. Aspects identified as significant are indicated on format &EA3;<.
9. At this point, the IEM& committee may ta%e an initia$ cut at de!e$oping indicators
for the &EAs "at $east one indicator per &EA#. These pre$iminary indicators,
which wi$$ be re!iewed $ater "see the procedure on operationa$ contro$s, +3(*#,
can be noted using format (*3;<.
4re5uency
This procedure is repeated on an annua$ basis.
.ecords
/ormat &EA3;< "etermining &ignificant En!ironmenta$ Aspects# is maintained by the
IEM& coordinator.
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SE.)%&2 -etermining Signi,i0ant Environmental .spe0ts
The fo$$owing tab$e shows the IEM& committee6s e!a$uation of the &mith *orporation6s en!ironmenta$ aspects based on se$ected
criteria. Those aspects chosen as significant are indicated in the fina$ co$umn.
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-evelopment o, ;+Ee0tives# Targets# and .0tion *lans (*);T*
&See Modules 3 and 6 in the IEMS Implementation Guide.(
"urpose
The &mith *orporation sets ob'ecti!es for en!ironmenta$ impro!ement and de!e$ops
targets and action p$ans to meet those ob'ecti!es. These ob'ecti!es are genera$$y direct$y
re$ated to the company6s significant en!ironmenta$ aspects and fo$$ow from its
en!ironmenta$ po$icy commitments.
"rocedure
<. Top p$ant management sets en!ironmenta$ ob'ecti!es for the &mith *orporation
such that the p$ant has one or more en!ironmenta$ ob'ecti!es at any one time. The
current en!ironmenta$ ob'ecti!es are recorded using format (T+3;<. 1here
possib$e, en!ironmenta$ ob'ecti!es are 5uantified and at $east one indicator
de!e$oped.
A. The IEM& committee is responsib$e for de!e$oping and recommending potentia$
new en!ironmenta$ ob'ecti!es to top p$ant management. In identifying potentia$
new ob'ecti!es, the committee considers the fo$$owing7
En!ironmenta$ po$icy
The &EAs of the company, considering especia$$y those &EAs that pose
chemica$
ris%
App$icab$e $aws and regu$ations and potentia$ future $aws and regu$ations
+ractica$ business criteria, such as the potentia$ costs and benefits of pursuing
a
particu$ar en!ironmenta$ ob'ecti!e
The !iews of emp$oyees and other interested parties
F. (nce en!ironmenta$ ob'ecti!es are estab$ished by top p$ant management, the
IEM& coordinator assigns responsibi$ity "to the manager of the operations in
5uestion, where appropriate# for de!e$oping targets and action p$ans to rea$i4e the
ob'ecti!es. The targets and action p$an that correspond to each ob'ecti!e are
recorded by the responsib$e person using format (T+3;A "simi$ar to /igures 93a
and 93b of the IEMS Implementation Guide#. &ometimes, this may re5uire an
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a$ternati!es e!a$uation as the first target "or action item#. &ee +3AE, H*onducting
an A$ternati!es E!a$uation,I for more detai$.
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4re5uency
En!ironmenta$ ob'ecti!es are re!iewed on a year$y basis. The targets and action p$ans are
de!e$oped and re!ised as needed by the committee.
.ecords
En!ironmenta$ ob'ecti!es are recorded using format (T+3;< "En!ironmenta$ (b'ecti!es#,
and the targets and action p$ans that correspond to each ob'ecti!e are recorded using
format (T+3;A "Action +$an#. The IEM& coordinator is responsib$e for maintaining these
records.
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;T*)%&2 Environmental ;+Ee0tives
The fo$$owing is a $ist of &mith *orporation6s current en!ironmenta$ ob'ecti!es.
;+Ee0tive 'elated SE.
'elated Environmental *oli0y
*rovision
*er,orman0e Measurement
Indi0ator(s
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Indi0ator(s
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Action +$an
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-udget
&chedu$e
Re!iew cyc$e
Target 7 1
Action +$an
+erson"s# responsib$e
-udget
&chedu$e
Re!iew cyc$e
Target 7 3
Action +$an
+erson"s# responsib$e
-udget
&chedu$e
Re!iew cyc$e
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Condu0ting an .lternatives Evaluation (*).E
"urpose
&mith *orporation periodica$$y conducts an a$ternati!es e!a$uation to identify !iab$e
approaches to reaching an en!ironmenta$ ob'ecti!e. An a$ternati!es e!a$uation is a too$ for
identifying a$ternati!e products and>or processes and e!a$uating them compared to the
base$ine based on business and en!ironmenta$ criteria.
"rocedure
<. The IEM& coordinator appoints a sma$$ group, o!erseen by a committee member or
by the re$e!ant operations manager, to identify and e!a$uate a$ternati!es to a
particu$ar acti!ity or process where an a$ternati!es e!a$uation is re5uired for
meeting an en!ironmenta$ ob'ecti!e.
A. The group first identifies the function that this acti!ity or process performs in
&mith *orporation6s operations. The group a$so characteri4es the base$ine, or the
current manner in which the function is being carried out.
F. The group then brainstorms a$ternati!e ways of accomp$ishing this function.
+otentia$ a$ternati!es inc$ude using a different materia$ or chemica$, changing wor%
practices, and>or changing process techno$ogies. A$ternati!es are recorded using
format AE3;< "simi$ar to 1or%sheet :3< of the IEMS Implementation Guide#, and
the most promising a$ternati!es are assigned to indi!idua$ members of the group
for further research.
:. The group then e!a$uates the base$ine and a$ternati!es based on the fo$$owing
considerations7 operationa$ performance, cost, regu$atory imp$ications, and
en!ironmenta$ impact. The group uses formats AE3;A "simi$ar to 1or%sheet :3<;
of the IEMS Implementation Guide# to record its findings "and formats AE3;F to
AE3;C, as needed#.
B. The group ma%es a recommendation and presents its recommendation to the IEM&
committee and appropriate operations managers.
4re5uency
As often as necessary in the context of de!e$oping targets and action p$ans to meet
en!ironmenta$ ob'ecti!es.
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.ecords
/ormats AE3;< "A$ternati!es Identification# and AE3;A "E!a$uation of A$ternati!es# are
maintained by the IEM& coordinator, as we$$ as AE3;F to AE3;C to pro!ide, as necessary,
supporting documentation.
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.E)%&2 .lternatives Identi,i0ation
&ignificant En!ironmenta$ Aspect"s#7
/unction7
:aseline *otential .lternatives
+roducts
Techno$ogies
1or% +ractices
Recyc$ing>Reuse
Treatment
isposa$
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.E)%$2 Evaluation o, .lternatives
/unction7
.lternative *er,orman0e
'egulatory
Considerations Cost
Environmental
E,,e0ts ;verall Evaluation
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/unction7
.lternative Ho= Well it WorBs Time Ease o, Use
;verall *er,orman0e
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-ase$ine
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.E)%32 Evaluation o, 'egulatory Con0erns
/unction7
.lternative
.ppli0a+le 'egulations
'eAuired Controls Cost o, Complian0e
;verall 'egulatory
Con0erns Evaluation
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.E)%52 Evaluation o, Costs
/unction7
.lternative 'a= Material /a+or -isposal Total Cost Savings 8et Cost
-ase$ine
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-evelopment o, ;perational Controls (*);C
&See Module 9 in IEMS Implementation Guide. Ma#e sure to integrate your process for
developing and documenting operational controls for SEAs into whatever process your
company already has in place for operational controls.(
"urpose
-y de!e$oping operationa$ contro$ procedures for critica$ acti!ities "i.e., those acti!ities
associated with &EAs#, &mith *orporation intends to mitigate and contro$, to the extent
possib$e, the en!ironmenta$ impacts associated with its &EAs.
"rocedure
<. The IEM& committee, with additiona$ input from other emp$oyees as needed,
carries out a root cause ana$ysis of each &EA to determine the under$ying
cause"s# of the en!ironmenta$ impact. As part of the root cause ana$ysis, the
committee wi$$ determine the need for "and ade5uacy of, if a$ready existing#
operationa$ contro$ procedures to contro$ the critica$ acti!ities re$ated to the &EA
in 5uestion and record its findings on format (*3;< "simi$ar to 1or%sheet C3< in
the IEMS Implementation Guide#. The committee, with input from operations
managers as needed, wi$$ a$so se$ect one or more indicators per &EA for
purposes of monitoring &mith *orporation6s en!ironmenta$ performance as
re$ated to the &EAs.
A. 1here there is a need to create or modify an operationa$ contro$ procedure, the
IEM& committee assigns a member of the committee to draft an operationa$
contro$ procedure, based on consu$tation with the emp$oyees who underta%e that
procedure. In many cases, a separate operationa$ contro$ procedure may not be
re5uired, rather the integration of en!ironmenta$ contro$ procedures into an
existing procedure. The operationa$ contro$ procedure shou$d ta%e the form of a
H1or% Instruction,I name$y a summary $ist of re5uired steps or measures. In
addition to describing the steps necessary to carry out the particu$ar acti!ity in an
en!ironmenta$$y sound manner, the wor% instruction shou$d a$so inc$ude steps to
conduct monitoring, where app$icab$e.
F. After the operationa$ contro$ procedure has been de!e$oped and imp$emented, its
status is recorded as such on format (*3;<. The procedure itse$f enters into the
re$e!ant &mith *orporation operator6s handboo% and>or is posted at the site of
the acti!ity in 5uestion.
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4re5uency
As new &EAs are identified. /or existing &EAs, a re!iew of the associated root cause
ana$ysis and operationa$ contro$ procedures is conducted year$y.
.ecords
/ormat (*3;< "IEM& (perationa$ *ontro$ +rocedures# is maintained by the IEM&
coordinator. The procedures themse$!es are maintained in the re$e!ant &mith
*orporation operator6s handboo% and>or posted at the site of the acti!ity in 5uestion.
"&
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;C)%&2 IEMS ;perational Control *ro0edures
SE. Indi0ator(s
.sso0iated !o+
Fun0tions
E@isting ;perational
Control *ro0edures
;perational Control
*ro0edures -evelopment?
Modi,i0ation 8eeded
'esponsi+le?
Status
/o0ation
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*ontact +erson7 ate *omp$eted
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Environmental Training (.=areness and TasB)Spe0i,i0 (*)ET
&See Modules 9 and : in the IEMS Implementation Guide; Module : offers a sample format
for trac#ing training in case your <. staff does not do this already.(
"urpose
To ensure that its emp$oyees carry out their duties in as en!ironmenta$$y responsib$e a
manner as possib$e, &mith *orporation pro!ides a$$ emp$oyees with en!ironmenta$
awareness training on en!ironmenta$ issues and pro!ides tas%3specific training to those
emp$oyees whose 'obs are associated with significant en!ironmenta$ aspects.
"rocedure
Awareness Training
<. A$$ new emp$oyees recei!e a <B3minute introduction to the &mith *orporation6s
IEM&, specifica$$y its en!ironmenta$ po$icy, significant en!ironmenta$ aspects, and
en!ironmenta$ ob'ecti!es. This introduction, which inc$udes an opportunity for the
new emp$oyees to as% 5uestions about the IEM&, is gi!en by the human resources
".R# manager as part of his genera$ orientation for new emp$oyees. Records of
emp$oyees who ha!e recei!ed this introduction are maintained by the .R
department.
A. Each year emp$oyees are in!ited to a company picnic. (ne of the schedu$ed e!ents
for this picnic is a <B minute ta$% by a member of &mith *orporation6s IEM&
imp$ementation committee. This person spea%s about the en!ironmenta$
accomp$ishments of the &mith *orporation, the state of its IEM&, and the goa$s for
the coming year. These remar%s pro!ide an update to the initia$ IEM& awareness
training recei!ed by emp$oyees.
Tas%3&pecific Training
F. 0sing the root cause ana$ysis as a too$ "see +3(* and format (*3;<#, the IEM&
committee, wor%ing in coordination with the appropriate operations managers,
identifies the 'ob functions that are associated significant$y with each &EA.
:. The IEM& committee, in con'unction with the re$e!ant operations manager, then
determines what training emp$oyees performing each of these 'ob functions shou$d
recei!e in order to contro$ actua$ en!ironmenta$ impacts to the greatest possib$e
extent.
"1
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B. (perations managers are responsib$e for ensuring that their emp$oyees recei!e the
appropriate tas%3specific en!ironmenta$ training. 1here possib$e, en!ironmenta$
training is integrated with other types of training "e.g., operationa$# that emp$oyees
are recei!ing. The .R manager %eeps records of the training recei!ed by each
emp$oyee.
4re5uency
Awareness training is gi!en to new emp$oyees during their first wee% at &mith *orporation.
Tas%3specific training is gi!en to re$e!ant emp$oyees as they ta%e on a new function that is
associated with a &EA. Tas%3specific training is updated, as necessary.
.ecords
Records of the awareness and tas%3specific training recei!ed by each emp$oyee are %ept by
the .R manager. The 'ob functions associated with en!ironmenta$$y critica$ acti!ities "i.e.,
those functions that shou$d recei!e tas%3specific training# are $isted on format (*3;<.
""
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Emergen0y *reparedness (*)E*
&,ote: this procedure assumes that your company has a general emergency response plan
in place! into which environmental considerations can be integrated.(
"urpose
As part of its IEM&, &mith *orporation stri!es to ensure that the en!ironmenta$ impacts
associated with any emergency situations are minimi4ed to the greatest extent possib$e.
"rocedure
<. &mith *orporation has an Emergency Response *ommittee charged with
identifying potentia$ emergency scenarios and de!e$oping and ensuring the
imp$ementation of appropriate procedures, shou$d an emergency situation de!e$op.
A. 1ith the assistance of the IEM& coordinator, the Emergency Response *ommittee
a# identifies the potentia$ negati!e significant en!ironmenta$ impacts associated
with potentia$ emergency scenarios, b# incorporates measures to minimi4e these
impacts into emergency response procedures, and c# ensures that ade5uate training
"inc$uding simu$ations# is pro!ided to appropriate &mith *orporation staff to
imp$ement these procedures.
F. The Emergency Response *ommittee maintains records of the potentia$ emergency
scenarios it is prepared for, the potentia$ en!ironmenta$ impacts associated with
each scenario, and the procedures estab$ished to minimi4e these impacts. The .R
manager %eeps records of training recei!ed by staff on imp$ementation of
emergency response procedures.
4re5uency
The Emergency Response *ommittee meets 5uarter$y to re!iew the status of its wor%.
.ecords
Records of emergency scenarios, associated potentia$ en!ironmenta$ impacts, and
procedures to mitigate these impacts are %ept by the Emergency Response *ommittee.
Training records are %ept by the .R manager.
"3
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'evie= o, 8e= *ur0hases# *ro0esses# and *rodu0ts (*)8***
&,ote: This procedure will almost certainly need to be substantially modified in order to fit
the situation of your company. Smaller companies may not have a formal new product
design or facilities engineering group! for e=ample. The #ey is to find a way *that can be
documented and verified! if possible+ of ensuring that when new chemicals are being
purchased! when new products are being developed! or when a facility is being
substantially modified! environmental considerations are ta#en into account. See Module >!
?or#sheet >-2 in the IEMS Implementation Guide.(
"urpose
1hen purchasing new chemica$ supp$ies, modifying its processes, and ma%ing new
products, &mith *orporation stri!es to ensure that en!ironmenta$ considerations,
particu$ar$y those re$ated to &EAs, are ta%en into account.
"rocedure
<. 1hen processing an order for a new chemica$ or other potentia$$y harmfu$ input, the
purchasing manager c$ears the purchase with a member of the IEM& committee.
The IEM& committee member initia$s the box mar%ed Hen!ironmenta$ appro!a$I in
the Gew +urchase Appro!a$ /orm to signify his or her appro!a$ of the purchase.
A. &mith *orporation has a product de!e$opment group and faci$ities engineering
group. The product de!e$opment group de!e$ops potentia$ new products that &mith
*orporation cou$d offer "sometimes these are identified by the sa$es and mar%eting
group, sometimes they are identified interna$$y#. The faci$ities engineering group is
responsib$e for reconfiguring "or, in some cases, expanding# the faci$ity6s
production $ines to produce new products.
F. The product de!e$opment group notifies a member of the IEM& committee before
fina$ appro!a$ of a new product design. The IEM& committee member re!iews the
design in $ight of the faci$ity6s &EAs and en!ironmenta$ ob'ecti!es and targets.
1hen the committee member is satisfied that the new design is in accordance with
the p$ant6s en!ironmenta$ goa$s, he initia$s the appropriate box in the esign
Appro!a$ /orm that is sent to the president for appro!a$.
"5
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:. The faci$ities engineering group is responsib$e for notifying a member of the IEM&
committee before fina$ appro!a$ of any /aci$ity Modification or Expansion +$an.
"The /aci$ity Modification or Expansion +$an is re5uired for any faci$ities
engineering 'ob that costs more than MA;,;;;.# The IEM& committee member
re!iews the p$an in $ight of the faci$ity6s &EAs and en!ironmenta$ ob'ecti!es and
targets. 1hen the committee member is satisfied that the new design is in
accordance with the p$ant6s en!ironmenta$ management goa$s, he initia$s the
appropriate box in the /aci$ity Modification or Expansion +$an form that is sent to
the operations manager for u$timate appro!a$.
4re5uency
As new chemica$s are purchased, new products are de!e$oped, and>or production $ines are
modified.
.ecords
The Gew +urchase Appro!a$ /orms are maintained by the purchasing manager. The
esign Appro!a$ /orms are maintained by the product de!e$opment group. The /aci$ity
Modification or Expansion +$ans are maintained by the faci$ities engineering group.
"6
'ev &(% (!anuary "# $%%&
*age "7
-o0umentation and -o0ument Control (*)-
&See Module : in the IEMS Implementation Guide.(
"urpose
To ensure effecti!e operation of the IEM&, &mith *orporation documents the procedures of
its IEM& and %eeps records of the outcomes of IEM& processes, and of the important
en!ironmenta$ issues facing the p$ant. This IEM& manua$ comprises this documentation.
ocumentation is %ept up3to3date.
"rocedure
<. The IEM& coordinator documents the procedures that define &mith *orporation6s
IEM& in this manua$. The IEM& committee forma$$y re!iews and, if necessary,
re!ises this manua$ on an annua$ basis. Re!ised manua$s are assigned a new
re!ision number "a minor set of re!isions wou$d change the number from, say, <.<
to <.AL a ma'or re!ision wou$d change the number from, say, <.< to A.;#. /ina$$y,
the IEM& coordinator ensures that no emp$oyees or managers use outdated re!isions
of this manua$.
A. The IEM& coordinator maintains updated records of the fo$$owing outcomes, or
resu$ts, of the functioning of the IEM&7
En!ironmenta$ aspects "EA3;<, EA3;A, EA3;F#
App$icabi$ity of $ega$ re5uirements to EAs "LR3;<#L note that copies of the
regu$ations themse$!es are maintained by the IEM& management representati!e
&ignificant en!ironmenta$ aspects "&EA3;<#
(b'ecti!es, targets, and action p$ans for en!ironmenta$ management programs
"(T+3;<, (T+3;A#
Resu$ts of a$ternati!es e!a$uations "AE3;<, AE3;A, AE3;F 3 AE3;C#
List of operationa$ contro$ procedures re$ated to &EAs "(*3;<#
Resu$ts of interna$ assessments "IA3;< and IA3;A#
*orrecti!e actions ta%en "T*A3;<#
Management re!iews "MR3;<#
These items are described in more detai$ in the re$e!ant procedures in this manua$.
'ev &(% (!anuary "# $%%&
*age "9
F. The IEM& coordinator is not responsib$e for maintaining records of en!ironmenta$
training and emergency response preparationsL the operationa$ contro$ procedures
themse$!esL or the Gew +urchase Appro!a$ /orms, the esign Appro!a$ /orms, or
the
'ev &(% (!anuary "# $%%&
*age 3%
:. /aci$ity Expansion or Modification +$ans. These records are maintained by the
appropriate person or group, as specified in the re$e!ant procedures of this manua$.
4re5uency
Manua$ re!iew and re!ision on an annua$ basis.
.ecords
Maintained as out$ined in the procedure.
'ev &(% (!anuary "# $%%&
*age 3&
Condu0ting a Complian0e .ssessment (*)C.
&See Module > in the IEMS Implementation Guide.(
"urpose
&mith *orporation conducts a periodic comp$iance assessment to ensure that it
comp$ies with a$$ app$icab$e $oca$, state, and federa$ en!ironmenta$ regu$ations.
"rocedure
<. The IEM& management representati!e maintains copies of app$icab$e $ega$
regu$ations, which are summari4ed on format LR3;<. -ased on these
regu$ations, the IEM& management representati!e and coordinator compi$e a
$ist of 5uestions as an comp$iance assessment protoco$. These 5uestions are
intended to be sufficient to the comp$iance status of &mith *orporation with
respect to app$icab$e en!ironmenta$ regu$ations "both the paperwor% and the
performance3re$ated components#.
A. The IEM& coordinator and another operations manager carry out the
assessment by determining and recording the answers to the comp$iance
assessment protoco$. 1hen they are done with the comp$iance assessment, they
note any actua$ or potentia$ comp$iance issues on format *A3;< "*omp$iance
Trac%ing Log#. Each actua$ and potentia$ comp$iance issue is immediate$y
referred to correcti!e action "see the Ta%ing *orrecti!e Action procedure, +3
T*A#.
4re5uency
Month$y.
.ecords
*omp$iance assessment resu$ts are recorded by the interna$ assessment team using the
comp$iance assessment protoco$ and using format *A3;<. Records are maintained by
the IEM& coordinator.
'ev &(% (!anuary "# $%%&
*age 3$
C.)%&2 Complian0e Tra0Bing /og
*erson
'esponsi+le 'egulation 'oot Cause
Complian0e
Che0B -ate 'esults
Corre0tive
.0tion?-ate
(see2 TC.)%&
Complian0e
Feri,ied?-ate
'ev &(% (!anuary "# $%%&
*age 31
Condu0ting an Internal .ssessment (*)I.
&See Module @ in the IEMS Implementation Guide.(
"urpose
&mith *orporation conducts periodic interna$ assessments of its IEM& to ensure that it is
being imp$emented and operated according to the procedures $aid out in this manua$.
"rocedure
<. At inter!a$s, a team of two or three operations managers or emp$oyees, who are not
on the IEM& committee, conducts an interna$ assessment of &mith *orporation6s
IEM&. The assessment team uses this manua$ as the basis for its assessment. In
particu$ar, the assessment team chec%s to ma%e sure that7
Each procedure is being carried out as stated in this manua$
&mith *orporation6s en!ironmenta$ po$icy is being uphe$d
+rogress is being made in meeting the en!ironmenta$ ob'ecti!es
The assessment team bases its e!a$uation on ob'ecti!e e!idence, inc$uding
documentation and records "e.g., those cited in this manua$#, inter!iews with %ey
emp$oyees, and obser!ations. Gote that this is not a comp$iance audited
A. The assessment team comp$etes the chec%$ist on format IA3;< and writes up its
findings using format IA3;A. A Hma'or non3conformityI occurs when an IEM&
procedure is c$ear$y not being imp$emented, when one of the commitments in the
po$icy is not being uphe$d, or when no progress is being made in achie!ing an
en!ironmenta$ ob'ecti!eL a Hminor nonconformityI occurs when a procedure is
being imp$emented inconsistent$y, yet without causing ma'or fai$ings in the IEM&
as a who$e.
'ev &(% (!anuary "# $%%&
*age 3"
F. Each non3conformity is immediate$y referred to correcti!e action "see the Ta%ing
*orrecti!e Action procedure, +3T*A#.
:. Records of each assessment "i.e., formats IA3;< and IA3;A# are maintained by the
IEM& coordinator.
4re5uency
At $east two times per year.
.ecords
Assessment resu$ts are recorded by the interna$ assessment team using formats IA3;< and
IA3;A "Interna$ Assessment *hec%$ist and Interna$ Assessment Record#. Records are
maintained by the IEM& coordinator.
'ev &(% (!anuary "# $%%&
*age 33
I.)%&2 Internal .ssessment Che0Blist
Interna$ Assessment Team7
ate of Interna$ Assessment7
&igned7 @@@@@@@@@@@@@@@@@@@@@
IEM& +rocedures7
*hec% each item assessed "inc$udes auditing of records, where app$icab$e#7
@@ En!ironmenta$ po$icy "adherence to po$icy commitments#
@@ En!ironmenta$ ob'ecti!es "progressL imp$ementation of action p$ans#
@@ IEM& responsibi$ities "RE&+3;<#
@@ Identification of En!ironmenta$ Aspects "+3EA#
@@ Identification of Lega$ Re5uirements "+3LR#
@@ Identification of &ignificant En!ironmenta$ Aspects "+3&EA#
@@ e!e$opment of (b'ecti!es, Targets, and Action +$ans "+3(T+#
@@ *onducting an A$ternati!es E!a$uation "+3AE#
@@ e!e$opment of (perationa$ *ontro$s "+3(*#
@@ En!ironmenta$ Training "Awareness and Tas%3&pecific# "+3ET#
@@ Emergency +reparedness "+3E+#
@@ Re!iew of Gew +roducts and +rocesses "+3G++#
@@ ocumentation "+3#
@@ *onducting a *omp$iance Assessment "+3*A#
@@ *onducting an Interna$ Assessment "+3IA#
@@ Ta%ing *orrecti!e Action "+3T*A#
@@ Management Re!iew "+3MR#
IEM& +erformance
@@ Achie!ed ob'ecti!e N<
@@ Achie!ed ob'ecti!e NA
@@ Achie!ed ob'ecti!e NF
*ontact +erson7 ate *omp$eted
'ev &(% (!anuary "# $%%&
*age 35
I.)%$2 Internal .ssessment 'e0ord
Interna$ Assessment Team
ate of Interna$ Assessment
&igned
&uggestions for Impro!ing the IEM&
'ev &(% (!anuary "# $%%&
*age
TaBing Corre0tive .0tion (*)TC.
"urpose
&mith *orporation uses a forma$ correcti!e action process to ensure that actua$ or potentia$
comp$iance issues and IEM& non3conformities are addressed 5uic%$y and effecti!e$y.
"rocedure
<. The management representati!e assigns responsibi$ity for ta%ing action to correct
each actua$ or potentia$ comp$iance issue or non3conformity identified in a
compliance assessment or an internal assessment "see +3*A and +3IA, respecti!e$y#
to an appropriate manager or emp$oyee. Together they fi$$ out the H&tatement of the
+rob$emI part of the *orrecti!e Action Gotice "format T*A3;<L simi$ar to
1or%sheet 939 in the IEMS Implementation Guide#.
A. The person responsib$e then underta%es the correcti!e action re5uired, ca$$ing upon
the management representati!e, the IEM& committee, and others for assistance as
necessary.
F. The responsib$e person and the management representati!e fi$$ out the H*omp$etion
of *orrecti!e ActionI part of the *orrecti!e Action Gotice when correcti!e action is
comp$ete.
4re5uency
1hene!er significant prob$ems in the functioning of the IEM& are identified, primari$y
through the interna$ assessment process.
.ecords
*orrecti!e action is recorded using format T*A3;<L records are maintained by the IEM&
coordinator.
36
'ev &(% (!anuary "# $%%&
*age
TC.)%&2 Corre0tive .0tion Form
Statement of the "roblem
ate
escription of non3conformity or actua$ or potentia$ comp$iance issue
escription of potentia$ so$ution
+erson responsib$e for correcti!e action
ead$ine for comp$etion of correcti!e action
0ompletion of 0orrective Action
Actions ta%en
Resu$ts
ate
&igned7 @@@@@@@@@@@@@@@@@@@@@@@ @@@@@@@@@@@@@@@@@@@@@@@@@@
Management Representati!e +erson Responsib$e
37
'ev &(% (!anuary "# $%%&
*age
Communi0ation =ith StaBeholders (*)CS
&See Module : in IEMS Implementation Guide.(
"urpose
To ensure that interested externa$ sta%eho$ders recei!e appropriate information about the
company6s en!ironmenta$ acti!ities, &mith *orporation has de!e$oped a company po$icy
for considering and, where appropriate, responding to 5ueries, comments, or comp$aints
from sta%eho$ders.
"rocedure
<. The IEM& committee identifies sta%eho$ders and their potentia$ interests in the
en!ironmenta$ performance of &mith *orporation using format *&3;<, &ta%eho$ders
and En!ironmenta$ Issues. If the committee decides that proactive communication
on en!ironmenta$ issues is necessary with any group, that decision is recorded on
*&3;< and responsibi$ity is designated.
A. 1hen any form of communication is recei!ed regarding &mith *orporation6s
en!ironmenta$ performance or management from a sta%eho$der, that communication
is immediate$y forwarded to the IEM& management representati!e.
F. The IEM& management representati!e considers the nature of the communication
and ma%es a decision on whether and how to respond to it based on the guidance
be$ow and on the more specific guidance in *&3;<. The IEM& management
representati!e is responsib$e for maintaining records of each such communication
and response using format *&3;A, &ta%eho$der *ommunication Record. 1here
interna$ actions are necessary to address the communication, this is noted on *&3;A
and a *orrecti!e Action /orm "T*A3;<# is initiated.
Guidance for 0ommunicating with Sta#eholders on Environmental Issues: &mith
*orporation6s en!ironmenta$ po$icy is a!ai$ab$e to a$$ sta%eho$ders upon re5uest.
&mith *orporation wi$$ do its best, howe!er, to respond in %ind to a$$ good3faith
communications from sta%eho$ders about en!ironmenta$ issues, inc$uding
comp$aints, comments, and information re5uests. .owe!er, &mith *orporation may
not choose to respond in a$$ cases, particu$ar$y if the re5uest is made in bad faith or
if sensiti!e information is re5uested.
39
'ev &(% (!anuary "# $%%&
*age
4re5uency
As per en!ironmenta$ communication.
.ecords
Records of en!ironmenta$ communications from sta%eho$ders and &mith *orporation6s
responses are %ept by the IEM& management representati!e and are trac%ed using format
*&3;A. An updated !ersion of *&3;<, &ta%eho$ders and En!ironmenta$ Issues, is %ept in
this manua$.
5%
'ev &(% (!anuary "# $%%&
*age 5&
CS)%&2 StaBeholders and Environmental Issues
StaBeholder
*otential Environmental Interest *roa0tive Communi0ation *lan
(i, desired
*erson
'esponsi+le
'ev &(% (!anuary "# $%%&
*age 5$
CS)%$2 StaBeholder Communi0ation 'e0ord
%ate 0ommunication .eceived
Type of 0ommunication
.eceived 4rom
Address/Telephone ,umber/
E-Mail
?ill Smith 0orporation .espondA =E& G(
%ate of .esponse
"erson .esponding
"osition
Are Internal Actions ,ecessaryA*If $es!
fill out a 0orrective Action 4orm.+
'ev &(% (!anuary "# $%%&
*age 51
Management 'evie= (*)M'
"urpose
To ensure the effecti!eness of the IEM& and its continua$ impro!ement, &mith *orporation
top management periodica$$y re!iews the important e$ements and outcomes of the IEM&.
"rocedure
<. In preparation for the management re!iew, the IEM& management representati!e
gathers the fo$$owing information and ma%es it a!ai$ab$e to top p$ant management,
inc$uding the owner and +resident of &mith *orporation and the p$ant manager7
List of IEM& committee and others responsib$e for ma'or parts of the IEM&
"RE&+3;<#
List of significant en!ironmenta$ aspects and criteria of significance "&EA3;<#
0pdate on comp$iance status of the p$ant and on any potentia$ upcoming
regu$ations that might re5uire an ad!ance strategy
List of en!ironmenta$ ob'ecti!es and targets "(T+3;< and (T+3;A#
En!ironmenta$ performance resu$ts "from monitoring and measuring &EA
indicators and indicators of progress toward en!ironmenta$ ob'ecti!es and
targets#
-u$$et3point description of other accomp$ishments of the IEM& "e.g., number of
peop$e trained, etc.#
Resu$ts of most recent IEM& interna$ assessment "IA3;A#, comp$iance
assessment "*A3;<#, and correcti!e actions ta%en
escription and documentation of feedbac% from sta%eho$ders "if recei!ed#
Ana$ysis of the costs and benefits of the IEM& "as 5uantitati!e as possib$e#
A. Top p$ant management meets to re!iew and discuss the information presented. The
IEM& management representati!e and coordinator wi$$ a$so be present. epending
on its re!iew, top management may direct specific and>or significant changes in the
sca$e and direction of the IEM& in order to impro!e its effecti!eness and business
!a$ue. The conc$usions and directi!es that resu$t from the management re!iew are
recorded using format MR3;< and %ept by the IEM& coordinator.
'ev &(% (!anuary "# $%%&
*age 5"
4re5uency
8uarter$y.
.ecords
Resu$ts of management re!iews are recorded using format MR3;<. Records are %ept by the
IEM& coordinator.
'ev &(% (!anuary "# $%%&
*age 53
M')%&2 Management 'evie= 'e0ord
ate of re!iew meeting
Game +osition
Actions to be ta%en +erson"s# responsib$e
&igned7 @@@@@@@@@@@@@@@@@@@@@@@
@@@@@@@@@@@@@@@@@@@@@@@@@@
Management Representati!e +$ant Manager

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