Using ISO 14001 to Improve Compliance with Environmental Law John Marsden (FIEMA)

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Using ISO 14001 to Improve Compliance with
Environmental LawJohn Marsden (FIEMA)
Presentation for The EMS National Forum 2007 QEII
Conference Centre, Westminster, London
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Introduction to the Presentation

• John Marsden A Short Introduction
• Earlier career in pesticide industry
• Worked as environmental advisor from 1990
• Worked with BS7750 then ISO 14001
• EMS Certification auditor since 1996
• Delivered ISO 14001 Lead Auditor Courses
  internationally
• Own EMS/ ISO 14001 consultancy business since
  1993

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Environmental Law Pitfalls to Compliance

• Businesses often find it difficult to comply or
  demonstrate
• compliance with environmental laws possible
  reasons
• include -
• Insufficient awareness of applicable laws
• Lack of interest - not on our radar screen
  mentality
• Unable to keep pace with developments
• Environment not recognised as a management
  function that needs addressing (compared to eg
  ISO 9001)
• There may be other reasons!

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Environmental Law Reasons for Improving
Compliance

• There are many examples of general non-compliance
  with environmental
• law resulting in court cases and fines. Here are
  a few examples -
• Waste processing company fined 100,000 for
  dismantling fridges without appropriate CFC
  collection systems in place. Trials were
  unsuccessful. Agreement not reached with EA prior
  to dismantling 1000 fridges over 18 months. Waste
  management licence did not cover this activity.
  Company ignored formal letters.
• Salmon Farm overstocking its fish cages. Permit
  allowed 1500 tonnes fish over 2 locations. Found
  that full limit stored at one location. Records
  of biomass (number, weight) set as a licence
  condition review showed exceedance and
  pollution of loch bed likely. 1000 fine

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Environmental Law Reasons for Improving
Compliance

• More examples -
• Leaky underground fuel storage tank used by
  petrol station resulted in groundwater pollution.
  Stock records showed deficit of 3500 lts of fuel
  over period of 1 year. Resulted in 30,000 fine
• Leak of radioactive material from a fractured
  pipe into a secondary high integrity containment
  system (no leak to environment). Leak not
  detected for 9 months. Fine 500,000
• Water company discharging over its consent into
  sea on 2 occasions. Exceeded consent twice over
  due to technical problems associated with
  measuring equipment. Fine 6000

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Law Directly Relevant Element of ISO 14001 (I)

• 4.3.2 Legal and other requirements
• The organization shall establish, implement and
  maintain a procedure(s),
• a) to identify and have access to the applicable
  legal requirements and other requirements to
  which the organization subscribes related to its
  environmental aspects, and
• b) to determine how these requirements apply to
  its environmental aspects.
• The organization shall ensure that these
  applicable legal requirements and
• other requirements to which the organization
  subscribes are taken into
• account in establishing, implementing and
  maintaining its environmental
• management system.

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EMS - Regulations Legislation

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Reasons why some EMSs dont properly address
4.3.2 of ISO 14001
The register is not properly completed in the
first place (variety of reasons)Person/s
completing the task are not properly trainedThe
register is not updated at regular intervalsThe
register is not used during the preparation of
operating proceduresThe register doesnt
identify the key requirements of the applicable
regulationThe register is swamped by
superfluous information(eg Salmon and Freshwater
Fisheries Act in a Parts Warehouse register)The
register does not state WHY and WHERE the
regulation applies to the organisation

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Law Directly Relevant Element of ISO 14001 (II)
4.5.2 Evaluation of compliance 4.5.2.1
Consistent with its commitment to compliance, the
organization shall establish, implement and
maintain a procedure(s) for periodically
evaluating compliance with applicable legal
requirements.The organization shall keep
records of the results of the periodic
evaluations. 4.5.2.2 The organization shall
evaluate compliance with other requirements to
which it subscribes. The organization may wish to
combine this evaluation with the evaluation of
legal compliance referred to in clause 4.5.2.1 or
to establish a separate procedure(s). The
organization shall keep records of the results of
the periodic evaluations.
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Why 4.5.2 Assessment of Legal requirements Fails
HAPHAZARD
No Procedure

Management dont ask for results at M. Review
INEFFECTIVE
Done during audit
not detailed enough
Assessor not conversant in laws
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The Certification Body Approach to 4.5.2
With regard to the above element - The
organisation should normally be required to
notify the Authority of any permit breaches.
Failing to notify the authorities will result in
a major non-conformity by a competent
certification body If a legal non-compliance is
identified, the organisation should document this
within the EMS, initiate dialogue with the
relevant authorities through its communication
processes and implement a plan to achieve
compliance.
By ignoring this element of ISO 14001 within the
EMS, the onus falls on the certification body to
issue a major non-conformance.. and require the
organisation improve its legal compliance
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Exercise Identify the Elements of ISO 14001 (I)

• 1. Emission monitoring shall be carried out for
  ammonia and hydrogen sulphide. The results shall
  be forwarded to the Regulator within 1 week of
  the first day of January, April, July and October
• 2. Visual and olfactory assessments shall be made
  once a day and according to a procedure during
  the process operation at the locations marked A,
  B, C and D on the plan referenced SPC 1/2006
• 3. The results of the assessments carried out in
  accordance with Condition 11 shall be recorded in
  a log book. The entry shall show the name of the
  person appointed to undertake the assessment, the
  time and date, wind conditions and an indication
  of the subjective strength and nature of any
  odour detected.
• 4. A clearly designated area shall be provided
  for the receipt and storage of raw material.
  Vehicles and containers shall only be emptied in
  this area and then shall be thoroughly cleaned in
  a designated cleaning area as soon as possible
  after completion of the delivery.

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Exercise Identify the Elements of ISO 14001 (II)

• 5. All drums used for solvent storage shall be
  kept securely lidded.
• 6. The process operator shall by 1st April
  submit to the Head of Environmental Health
  Services, The District Council details of the
  organisational structure, numbers of personnel
  and the appropriate designations within the
  structure for ensuring compliance with this
  Authorisation.
• 7. A comprehensive written cleaning schedule that
  covers all aspects of the prescribed processes
  shall be produced and implemented. Details of the
  schedule shall be maintained at the process site
  and shall be available for inspection by an
  authorised officer of the The District Council.
• 8. All areas involved in storage of liquid
  materials in bulk containers greater than 205Lts
  must have secondary containment in the form of
  concrete walls and floors and be capable of
  containing 115 of the total maximum volume of
  the vessel.

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Exercise Identify the Elements of ISO 14001
(III)

• 9. All complaints made directly to the company
  must be recorded and actioned. The record shall
  include the time and date, the nature of the
  complaint and details of any action taken. The
  log book shall be kept available in identified
  files for inspection by an authorised officer of
  The District Council.
• 10 The process operator shall provide written
  evidence by 1st April that a programme has been
  implemented to ensure staff at all levels have
  received the necessary formal instruction
  commensurate with their duties. Copies of records
  of such instruction shall be maintained and
  forwarded to the Head of Environmental Health
  Services, The District Council within 2 weeks of
  the 1st of April each year.
• 11. Regular drills should be conducted with
  regard to minimising and eliminating the effects
  of significant spills and other identified
  emergency situations
• 12. Management shall ensure that systematic
  checks are carried out to ensure that all the
  requirements of this permit are being complied
  with. Any deficiency identified through the
  examination of records, reports, communications,
  interviews with staff and operators are corrected
  within a prescribed timescale.

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Summary - Using ISO 14001 to Improve Compliance
with Environmental Law

• ISO 14001 provides an excellent framework for
  improving
• compliance to environmental law
• But only when -
• the EMS Representative ensures that the ongoing
  legal requirements and obligations are properly
  identified
• These requirements are then implemented
  throughout the EMS in all relevant areas
  (procedures etc) and associated with other
  elements
• Regular assessments are made to determine the
  degree of compliance
• Senior management are informed of any issues
  relating to the above at the formally designated
  Management Review, with actions arising!
• Marsden International (UK) Ltd provides auditor
  training, EMS development,
• implementation and consultancy on ISO 14001
  (info_at_marsden-international.com)