ISO 14001ISO 14001Section 4.3.1 Section 4.3.1

Environmental AspectsEnvironmental Aspects

Julie Woosley, NC DPPEACoordinator, EMS

Development Course for Government Agencies

Novozymes facilityFranklinton, NC October 9, 2001

4.3.1 Environmental Aspects4.3.1 Environmental Aspects ““The organization shall establish and maintain (a) The organization shall establish and maintain (a)

procedure(s) to identify the environmental aspects procedure(s) to identify the environmental aspects of its activities, products, or services that it can of its activities, products, or services that it can control and over which it can be expected to have control and over which it can be expected to have an influence, in order to determine those which an influence, in order to determine those which have or can have significant impacts on the have or can have significant impacts on the environment. The organization shall ensure that environment. The organization shall ensure that the aspects related to these significant impacts are the aspects related to these significant impacts are considered in settings its environmental considered in settings its environmental objectives.objectives.

The organization shall keep this information up-The organization shall keep this information up-to-date.”to-date.”

Core Elements of EMSCore Elements of EMS Most other elements are directly associated with Most other elements are directly associated with

results from identifying and ranking aspects and results from identifying and ranking aspects and their associated impacts:their associated impacts:– Objectives and TargetsObjectives and Targets– Management ProgramManagement Program– Training/AwarenessTraining/Awareness– Operational ControlOperational Control– Emergency preparednessEmergency preparedness– Monitoring and measuringMonitoring and measuring– Corrective and Preventative ActionCorrective and Preventative Action– AuditingAuditing

Definition of Aspect / ImpactDefinition of Aspect / Impact

Environmental aspect Environmental aspect ((cause cause oror input input))– element of organizations activities, products, or element of organizations activities, products, or

services which can interact with the services which can interact with the environment.environment.

Environmental impact Environmental impact ((effect effect oror output output))– any change to the environment whether adverse any change to the environment whether adverse

or beneficial, wholly or partially resulting from or beneficial, wholly or partially resulting from an organization’s activities, products, or an organization’s activities, products, or servicesservices

Aspect and Impact ExampleAspect and Impact Example

Activity, Activity, Product, Service Product, Service AspectAspect ImpactImpact

Boiler Boiler OperationsOperations

Air emissionsAir emissions Air pollutionAir pollution

Fuel Fuel consumptionconsumption

Natural resource Natural resource depletiondepletion

Boiler Boiler blowdownblowdown

Water pollutionWater pollution

Water Water consumptionconsumption

Natural resource Natural resource depletiondepletion

Step OneStep One

1)1) Establish a team. Establish a team. Examples: representative of QA/QC, Examples: representative of QA/QC, maintenance, utilities, production divisions, maintenance, utilities, production divisions, office, environmental, etc.office, environmental, etc.

2)2) Educate the team on purpose and Educate the team on purpose and implications of identifying aspects and implications of identifying aspects and impacts.impacts.

Include general training on EMS’s and ISO Include general training on EMS’s and ISO 14001.14001.

Purpose and ImplicationsPurpose and Implications

Determining the significant environmental Determining the significant environmental aspects and associated impacts allows a aspects and associated impacts allows a facility to focus its time and resources on facility to focus its time and resources on those issues with the those issues with the greatest potential greatest potential for environmental impactfor environmental impact..

Purpose and ImplicationsPurpose and Implications The evaluation of environmental aspects The evaluation of environmental aspects

and their associated impacts should be and their associated impacts should be primarily “fenceline” issues.primarily “fenceline” issues.– 3.12 Definition of organization will establish 3.12 Definition of organization will establish

“fenceline” or boundaries.“fenceline” or boundaries.– Internal issues should not be a Internal issues should not be a primary focus unless health and primary focus unless health and safety are included in management safety are included in management system.system.

Purpose and ImplicationsPurpose and Implications

The organization only has to identify those The organization only has to identify those environmental aspects that it “can control environmental aspects that it “can control and over which it can be expected to have and over which it can be expected to have influence”.influence”.– Control includes fiscal control (financial ability Control includes fiscal control (financial ability

that can affect aspect) and organizational that can affect aspect) and organizational control (decision making authority that can control (decision making authority that can effect aspect)effect aspect)

– The facility should not spend resources The facility should not spend resources assessing aspects it cannot do anything about.assessing aspects it cannot do anything about.

Purpose and ImplicationsPurpose and Implications

The significant environmental aspects that The significant environmental aspects that are identified will determine how other are identified will determine how other elements of the standard are fulfilled:elements of the standard are fulfilled:– Operational proceduresOperational procedures– Education, competence and training of Education, competence and training of

employees whose activities affect these aspects.employees whose activities affect these aspects.– Monitoring and measuring techniques. Monitoring and measuring techniques.

Step TwoStep Two

Identify Aspects / ImpactsIdentify Aspects / Impacts Select an activity, a product or service.Select an activity, a product or service. Identify as many environmental aspects as Identify as many environmental aspects as

possible associated with the selected possible associated with the selected activity.activity.

Identify as many actual and potential, Identify as many actual and potential, positive and negative, environmental positive and negative, environmental impacts associated with each identified impacts associated with each identified aspect.aspect.

Activity Environmental Aspect Env. Impact Check if Control

Inputs OutputsPositive Impact

Controls in place

(yes/no)

Can controls be improved

(yes/no/maybe) Comments Rating

#1

See Aspects Codes See Impacts Codes

Rating Codes:1 = Environmental impact during normal or abnormal operation2 = Possible control improvements or there is a possible significant impact3 = Current controls are acceptable or there is no potential significant impact

Example Aspect / Impact FormExample Aspect / Impact Form

Identifying Aspects of ActivitiesIdentifying Aspects of Activities

ActivityInputs:

Raw materialElectricityWater

Outputs:Finished productExhaustWaste products

Identifying Aspects and ImpactsIdentifying Aspects and Impacts

Aspects of activities that should be Aspects of activities that should be considered include:considered include:

– Emissions to air / releases to waterEmissions to air / releases to water» Surface and groundwaterSurface and groundwater

– Waste disposal / land contaminationWaste disposal / land contamination– Raw material / natural resource useRaw material / natural resource use

» energy, water, chemicals, lumber, etc.energy, water, chemicals, lumber, etc.– Local environmental / community issuesLocal environmental / community issues

» noise, odor, land use, appearance, etc. noise, odor, land use, appearance, etc.

Sources of informationSources of information process flow diagramprocess flow diagram input/output (mass balance)input/output (mass balance) regulatory reportsregulatory reports utility billsutility bills QC information (defects, product changes)QC information (defects, product changes) waste hauling recordswaste hauling records purchasing receiptspurchasing receipts records of external communicationrecords of external communication

Aspects and Impacts - FeedbackAspects and Impacts - Feedback

What did your facility do?What did your facility do?

Are you finished identifying Are you finished identifying aspects/impacts?aspects/impacts?

How many did you identify?How many did you identify?

Step ThreeStep Three

Identify significant aspectsIdentify significant aspects1)1) Develop a definition of significance and Develop a definition of significance and

determine what factors will be considered determine what factors will be considered in determining significancein determining significance

» Should involve input from top managementShould involve input from top management

2)2) Establish a rating scheme for the factors Establish a rating scheme for the factors of significanceof significance

Factors to ConsiderFactors to Consider Environmental Concerns such as:Environmental Concerns such as:

– The scale of the impactThe scale of the impact– The severity of impactThe severity of impact– The probability of impactThe probability of impact– Duration of impactDuration of impact

Business Concerns such as:Business Concerns such as:– Potential regulatory and legal exposurePotential regulatory and legal exposure– Difficulty and cost of changing the impactDifficulty and cost of changing the impact– Effect of change on other activities and processesEffect of change on other activities and processes– Concerns of interested partiesConcerns of interested parties– Effect on the public image of the organizationEffect on the public image of the organization

Example Rating SchemeExample Rating Scheme

Significance CriteriaSignificance Criteria Rating SchemeRating SchemeLegal Liabilities:Legal Liabilities: Is the aspect Is the aspect regulatedregulated

Low (1):Low (1): Issue not regulated Issue not regulatedMedium (2):Medium (2): Violation or possible fine Violation or possible fineHigh (3):High (3): Criminal Action Criminal Action

Public Concern:Public Concern: Has the Public Has the Public ever expressed concern about the ever expressed concern about the aspectaspect

Low (1):Low (1): never neverMedium (2):Medium (2): sometimes sometimesHigh (3):High (3): Often Often

Frequency:Frequency: What is the overall What is the overall frequency or probability of the frequency or probability of the aspects impactaspects impact

Low (1):Low (1): less than once a year less than once a yearMedium (2):Medium (2): Between 1/mn and 1/yr Between 1/mn and 1/yrHigh (3):High (3): Occurs monthly or more freq. Occurs monthly or more freq.

Severity:Severity: What is the overall What is the overall severity of the aspects impactseverity of the aspects impact

Low (1):Low (1): impact aesthetic, amenity impact aesthetic, amenityMedium (2):Medium (2): impact water, air, soil qualityimpact water, air, soil quality

High (3):High (3): detrimental to human, flora faunadetrimental to human, flora fauna

Example Significance MatrixExample Significance MatrixActivity, Activity, Product, Product, ServiceService

AspectAspect ImpactImpact Legal Legal LiabilityLiability

Public Public ConcernConcern

FrequencyFrequency SeveritySeverity OSROSR SignificanceSignificance(OSR>2.5)(OSR>2.5)

Dissolve Dissolve MineralMineralOreOre

Water Water useuse

Resource Resource depletiondepletion

11 33 22 11 1.751.75 NoNo

Natural Natural GasGasUseUse

Resource Resource depletiondepletion

11 11 22 22 1.501.50 NoNo

Natural Natural GasGasUseUse

Air Air pollution pollution (Nox)(Nox)

11 22 22 11 1.501.50 NoNo

Use of Use of Strong Strong AcidsAcids

Spills to Spills to land or land or water water

33 22 33 33 2.752.75 YesYes

Dames and MooreDames and MooreSignificance DeterminationSignificance Determination

Included Health and Safety in their EMS: EHSIncluded Health and Safety in their EMS: EHS– Why?:Why?:

» Leverage clear relationship b/w H&S and Env. impactsLeverage clear relationship b/w H&S and Env. impacts» To prioritize H&S and improve performanceTo prioritize H&S and improve performance» Organizational convenienceOrganizational convenience» NOTE: Don’t recommend including H&S during NOTE: Don’t recommend including H&S during

implementationimplementation

Organized in form of a Organized in form of a consequenceconsequence and and frequencyfrequency matrix matrix

Consequences Categories: (increasing severity from 1 to 4)Category Risk Description1 negligible Process Safety and Product/process transition: No

employee or public injury, no public health effects, nooccupational safety impact, no damage to theenvironment, no damage to system or equipment, noproduction or product loss.

ISO 14000 significance determination:Normal operations quantity and toxicity: Noenvironmental effects, no public health effectsAbnormal/Emergency operations: No environmentaleffects, no public health effects

Job Hazard Analysis: No significant occupationalhealth or safety impact. No significant employee injuryor illness expected as a result of exposure.

Consequences Categories: (increasing severity from 1 to 4)Category Risk Description

2 marginal Process Safety and Product/process transition:Minor injury, minor public health effects, minoroccupational illness, minor environmental damage,minor damage to system or equipment, minorproduction or product loss.

ISO 14000 significance determination:Normal operations quantity and toxicity: MinorEnvironmental effects: Minor local environmentalimpact, no offsite environmental impact (see Table 1.for determination). Minor public health effects: Minoremployee impact, no community impact (see Table 1.for determination).

Abnormal/Emergency operations: Minorenvironmental effects: Potential for spill or release tohave minor site impact. Minor public health effects:Potential for spill or release to have minor employeeimpact.

Job Hazard Analysis: Minor occupational health orsafety impact. Exposure may result in minor injury orillness (scratch/bruise; minor cuts/lacerations; minor orbrief illness).

Consequences Categories: (increasing severity from 1 to 4)Category Risk Description

3 critical Process Safety and Product/process transition: Injury topublic or employees, moderate public health effects, moderateoccupational illness, major environmental damage, majordamage to system or equipment, substantial production orproduct loss.

ISO 14000 significance determination:Normal operations quantity and toxicity: Moderateenvironmental effects: Major local environmental impact, minoroffsite environmental impact (see Table 1. for determination).Moderate public health effects: Major employee impact, minorcommunity impact (see Table 1. for determination).

Abnormal/Emergency operations: Moderate environmentaleffects: Potential for spill or release to have major site impact.Moderate public health effects: Potential for spill or release tohave major employee impact and minor to moderate communityimpact.

Job Hazard Analysis: Moderate occupational health or safetyimpact. Exposure may result in injury or illness requiringsignificant medical intervention (major laceration; fractures;crushed finger/toe; serious or extended illness.

Consequences Categories: (increasing severity from 1 to 4)Category Risk Description

4 Catas-trophic

Process Safety and Product/process transition: Death,severe public health effects, severe occupational illness,severe damage to the environment, loss of system orequipment, severe production or product loss.

ISO 14000 significance determination:Normal operations quantity and toxicity: Severeenvironmental effects: Major regional environmentalimpact (see Table 1. for determination). Severe publichealth effects: Major employee impact, major communityimpact (see Table 1. for determination).

Abnormal/Emergency operations: Severe environmentaleffects: Potential for spill or release to have majorsite/offsite impact such as ecosystem degradation orfailure. Severe public health effects: Potential for spill orrelease to have major site/offsite health effects such asdeath, acute or chronic illness.

Job Hazard Analysis: Major occupational health orsafety impact. Exposure may result in severe injury orillness requiring major medical intervention (amputations;crushed limbs; prolonged or permanent healthdebilitation; loss of significant life function.

Frequency Categories (increasing likelihood from A to D)

Category Level DescriptionImprobable A No potential to occur during facility lifetime (PSM & ISO)

Potential for exposure is unlikely during employee lifetime(JHA)

Infrequent B Potential to occur no more than once during facilitylifetime (PSM & ISO)

Potential for exposure to occur no more than a few timesper year (JHA)

Occasional C Potential to occur several times during the facility lifetime(PSM & ISO)

Potential for exposure to occur several times per month(JHA)

Frequent D Potential to occur more than once a year (PSM & ISO)Potential for exposure to occur several times per week

(JHA)

Risk Matrix

Frequencycategory

Consequence Category

1Negligible

2Marginal

3Critical

4Catastrophic

(D)Frequent

1D 2D 3D 4D

(C)Occasional

1C 2C 3C 4C

(B)Infrequent

1B 2B 3B 4B

(A)Improbable

1A 2A 3A 4A

Risk/Hazard Ranking Categories

IV 3D, 4C, 4D Unacceptableor

Significant (ISO14001)

Should be mitigated withengineering and/or

administrative controls to arisk ranking of III or less as

quickly as is feasible.III 2D, 3C, 4B Undesirable

orSignificant (ISO

14001)

Should be mitigated withengineering and/or

administrative controls to arisk ranking of III or less

within a specified timeperiod (such as 3 - 12

months).II 1D, 2C, 3B,

4AAcceptable with

controlsor

Not Significant(ISO 14001)

Should be verified thatprocedures or controls are

in place.

I 1A, 1B, 1C,2A, 2B, 3A

Acceptable as isor

Not Significant(ISO 14001)

No mitigation required.

Ranking Environmental Aspects: Ranking Environmental Aspects: Example Procedures and ListsExample Procedures and Lists

City of Gastonia, NCCity of Gastonia, NC

City of Charleston, SCCity of Charleston, SC

City of Scottsdale, AZCity of Scottsdale, AZ

Additional ResourcesAdditional Resources ISO 14004ISO 14004 See DPPEA websiteSee DPPEA website

http://www.p2pays.org/iso/index.htmhttp://www.p2pays.org/iso/index.htm Refer to Alcoa and Uniroyal Chemical Co. Refer to Alcoa and Uniroyal Chemical Co.

EMS Manuals on our website, others: EMS Manuals on our website, others: http://www.p2pays.org/iso/tools/manuals.htmhttp://www.p2pays.org/iso/tools/manuals.htm

Coaches – ask if you would like help on Coaches – ask if you would like help on aspect/impact identification and rankingaspect/impact identification and ranking

Road mapsRoad maps

From the EMS Team Meeting to From the EMS Team Meeting to determining significancedetermining significance

Effective Meeting/Group Project Effective Meeting/Group Project Management Handbook Management Handbook – Remember to take notes at EMS Team Remember to take notes at EMS Team

meetings: how did you agree to determine meetings: how did you agree to determine aspects/impacts, ranking? aspects/impacts, ranking?

– Use discussion techniques listed to determine Use discussion techniques listed to determine what factors you will use to rank aspects: what factors you will use to rank aspects: brainstorming, multivoting, nominal group brainstorming, multivoting, nominal group consensus, reaching consensusconsensus, reaching consensus

– Write the proceduresWrite the procedures

Exercise: Determining SignificanceExercise: Determining Significance

What factors do you think are important for What factors do you think are important for determining significance? List at least 15determining significance? List at least 15

Vote on three eachVote on three each

Expectations of Participants: Expectations of Participants: Your Your BACK PACK!BACK PACK!

BBe enthusiastic e enthusiastic AAttend all coursesttend all courses CComplete homework and bring to courseomplete homework and bring to course KKeep in touch with your coacheep in touch with your coach PPersevereersevere AAsk for helpsk for help Be Be CCreativereative KKeep developing your EMS between eep developing your EMS between

course meetings and after the course endscourse meetings and after the course ends

EMS Team Members: EMS Team Members: Add some Add some WATER WATER to your backpacks!to your backpacks!

WWillingness - illingness - to learn and participateto learn and participate

AAgenda - genda - so everyone is preparedso everyone is prepared

TTalking stick – alking stick – so everyone knows the so everyone knows the ground rules for meetingsground rules for meetings

EEnergy and nergy and EEnthusiasm – nthusiasm – no such thing as too muchno such thing as too much

RRole understanding – ole understanding – for each participant, for both EMS for each participant, for both EMS meetings and for EMS design and implementationmeetings and for EMS design and implementation

Road MapsRoad MapsDon’t go hacking through the jungle, Don’t go hacking through the jungle, follow the Yellow Brick Roadfollow the Yellow Brick RoadSee Guides – Online ResourcesSee Guides – Online Resources IEMSIEMS Implementation Guide for Small and Medium-Sized Implementation Guide for Small and Medium-Sized

BusinessesBusinesses Environmental Aspects Identification – activities list Environmental Aspects Identification – activities list

(fishbone diagram) – Suzanne Sessoms, August 28(fishbone diagram) – Suzanne Sessoms, August 28 Gap analysis (initial environmental review) See GEMI Gap analysis (initial environmental review) See GEMI

handout – John Burkehandout – John Burke

Homework AssignmentHomework Assignment

For next course meeting (Nov. 13):For next course meeting (Nov. 13):

Complete identification of aspects and Complete identification of aspects and impactsimpacts

Rank aspects and impactsRank aspects and impacts Determine significant aspects and impactsDetermine significant aspects and impacts

If you get stuck. . .If you get stuck. . .

. . . Ask for help!. . . Ask for help!

On-line ResourcesOn-line Resources Your Coach – ask them to help you!Your Coach – ask them to help you! DPPEA StaffDPPEA Staff DPPEA’s free EMS trainingDPPEA’s free EMS training DPPEA’s free, non-regulatory waste assessmentsDPPEA’s free, non-regulatory waste assessments