Checking & Corrective Action

EPA Regions 9 & 10

and
The Federal Network for Sustainability

ISO 14001 Components

Policy
Planning
Implementation and Operation
Checking and Corrective Action
Management Review

ISO 14001 Elements

Checking and Corrective Action involves:
Monitoring and measurement
Nonconformance and corrective and
preventive action
Records
EMS Audits
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Monitoring and
Measurement
EPA Regions 9 & 10
and
The Federal Network for Sustainability

Requirements
Document procedures to routinely
monitor and measure activities with
significant impacts
Record progress on objectives & targets
Calibrate equipment
Evaluate compliance
Keep records

Actions to Support
Measurement
Identify performance indicators
Establish schedules for monitoring
Establish record-keeping requirements
Document measurement procedures
Communicate to appropriate staff and
managers
6

Nonconformance and
Corrective and Preventive
Action
EPA Regions 9 & 10
and
The Federal Network for Sustainability

Requirements
Establish procedures for
detecting

reporting
investigating
correcting
preventing

Non-conformance with the EMS

8

Actions
Identify cause of nonconformance
Determine appropriate response
Ensure actions are appropriate to the size
of the problem
Identify personnel responsible for
corrective action and their authorities
Implement corrective action
9

Actions continued
Investigate root cause to identify
potential preventive action
Implement or modify controls to prevent
repetition of the nonconformance
Track progress on correction/prevention
Document changes in written procedures
Record the changes made
10

Records
EPA Regions 9 & 10
and
The Federal Network for Sustainability

Requirements
Identify records associated with
environmental issues
Establish and maintain procedures for their
identification, maintenance and disposal

12

Documents vs. Records

Documents
Offer guidance or
explain actions to
be carried out
Can be changed

Records
Provide verification
of things that have
happened
Cannot be changed

13

Documents vs. Records

Documents are materials
that provide management
directions:
environmental policy
internal standards and
operating procedures
EMS procedures
organization charts
emergency plans

Records include

training records
incident reports
product information
complaints and
responses
audit results
management review
meeting minutes
14

Scope of Records
Records should cover:
Legislative and regulatory requirements
Permits
Environmental aspects and their associated
impacts
Environmental training activity
Inspection, calibration and maintenance activity
Continued

15

Scope of Records
Records should cover:
Monitoring data
Details of non-conformance: incidents,
complaints and follow-up action
Product identification: composition and property
data
Supplier and contractor information
Environmental audits and management reviews
16

Requirements for Records

Maintenance
Good environmental information management includes:
Identification

Maintenance

Collection

Retrieval

Indexing

Retention

Filing

Disposal

Storage
17

EMS Audits
EPA Regions 9 & 10
and
The Federal Network for Sustainability

Requirements
Determine whether the system conforms
Assess whether it has been properly
implemented and maintained
Provide information to management

19

Types of EMS Audit

Complete
Partial

Internal
External
Certification audit
Surveillance audit
20

EMS Audit Protocol

Establish procedures that cover
Scope
Frequency
Methodologies
Audit responsibilities
Reporting responsibilities
21

Audit Program
Establish audit schedule
Internal
External

Base on environmental
importance of the activity
Consider results of previous audits
22

Audit Process
Document and record
review
Opening meeting
Site tour
Interviews

Auditor conference(s)
Findings development
Closing meeting
Audit report
23

Audit Outcomes
Report to management
Identify corrective actions
Record audit results

24

Continual Improvement
Identify areas for improvement of EMS
Determine root cause of nonconformance
Develop corrective and preventive action plan
Implement corrective and preventive actions
Verify effectiveness of action plans
Make changes to procedures
25

Summary
An EMS involves checking and corrective
action procedures
Identifies nonconformances and
opportunities for improvement
The system itself is audited
Document changes in procedures
Record changes made
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