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					         APPENDIX F


Phase IV Sample Documentation
                SAMPLE DOCUMENTATION




                Monitoring and Measuring




Sample Monitoring and Measuring Procedure – Charleston Public Works
       Commission Year End Report – Charleston Public Works




                                F-2
                  SAMPLE DOCUMENTATION
            CPW ENVIRONMENTAL MANAGEMENT SYSTEM
                         PROCEDURE

         The on-line version and secured hardcopy are the controlled documents. The
         secured hardcopy will be identified by an “Official Document” stamp giving date
         of distribution. Any and all other documents are uncontrolled. Contact EMS
         Program Manager for revision level status.

Effective Date:            October 1, 2000                        Page 1 of 2
Revision: 0                       Identification Number: EMS – 4.5.1 (A)
Title:                            Monitoring and Measuring Key EMS Characteristics

Prepared By:                        EMS Procedures Subcommittee
Reviewed By:                        EMS Management Steering Committee

Approved By:                        William E. Koopman, Jr., General Manager
                                    John Cook PE, Assistant General Manager
Date Approved;                      August 25, 2000

        ISO 14001 1996-E, Sub Clause 4.5.1 Monitoring and Measuring

1.0 Purpose
This procedure describes the process for the scheduled monitoring and measurement of key characteristics
of the organization’s environmental management system activities.

2.0 Scope
This procedure addresses collection of environmental data associated with operations and activities that
have the potential to have a significant environmental impact.

3.0 Responsibility and Authority

    3.1 The department head is responsible for submitting a monthly operating report (MOR) which
        describes the key characteristics of the EMS and the status of the objectives and targets and
        associated improvement programs.

    3.2 The department supervisor(s) are responsible for generating environmental monitoring and
        measurement data to be submitted in the Monthly Operating Report (MOR).

    3.3 Executive management shall review the monthly operating reports to assure continuing suitability
        and effectiveness of the EMS.

4.0 DEFINITIONS AND ACRONYMS

EMS      Environmental Management System
                  SAMPLE DOCUMENTATION

Effective Date:             October 1, 2000                        Page 2 of 2
Revision: 0                        Identification Number: EMS – 4.5.1 (A)
                                                   F-3
Title:                             Monitoring and Measuring Key EMS Characteristics
                                                      F-3
Environmental Key Characteristics - an element of an operation or activity that
includes a measurement or an inspection process the results of which supports evaluation
of environmental performance of objectives and targets.

Monitoring - a systematic process of watching, checking, observing, inspecting, keeping
track of, regulating or otherwise controlling key parameters and characteristics of a
department’s management activities to determine conformance with a specific standard or
other performance requirement, or to measure progress toward its environmental
objectives and targets.

Measurement - a systematic method for estimating, testing, or otherwise evaluating key
parameters and characteristics of a department’s management activities to determine
conformance with a specific standard, other performance requirement.
5.0 Procedure

      5.0.1        Monthly Operating Report (MOR)

              A monthly report shall be established for department heads/supervisors to submit monitoring
              and measuring information to support performance of the EMS. The report is to be structured
              as a minimum to:
               Provide status of environmental management programs designed to fulfill environmental
                   objectives and targets,
               Provide status of performance indicators as related to targeted timeframes,
               Provide compliance status of environmental operating permits issued by environmental
                   regulatory agencies.

      5.0.2 Performance Tracking

      Environmental data collected to reflect environmental performance is to be maintained in such a
      manner to allow the evaluation of progress toward realizing environmental objectives and targets.

6.0       Related Documents

          Environmental Aspects,
          Objectives, Targets, and Improvement Programs
          Legal and Other Requirements
          Operating Permits

7.0       RECORDS

          Monthly Operating Report
 SAMPLE DOCUMENTATION




     Hanahan Water Treatment Plant


  Environmental Management Systems

2000 Improvement Programs -
   Year End Summary Report




                  F-5
                     SAMPLE DOCUMENTATION
Purpose: To provide a comprehensive report on environmental improvement programs implemented by the
Hanahan Water Treatment Plant Environmental Management Systems (EMS) Steering Committee to
promote environmental management and continual environmental improvements.

Scope: Programs included are those conducted during the 2000 calendar year. These programs include
specific significant aspects, related improvement plans and associated objectives and targets. Also included
are the results and observations associated with the success of each program.

Following are the improvement plan summaries within each aspect item:

Preventive/Predictive Maintenance:
Improvement Program HM.6003-Preventive Maintenance Program:

Objective HM.6003.2: Enter all existing equipment listed in the IMT Data File Folders and the respective
maintenance task instructions into CMMS database.

Target HM.6003.2: Complete entry of equipment listed in the IMT Data File Folders HI.3004.1.01 –
HI.3004.1.17 and the respective maintenance tasks into the CMMS database, and post in the ISO Controlled
Documents by April 30, 2000.

Target Met: April 2000

Results: As of April 28, 2000, the referenced target was met. Reported in the HWTP Monthly Report
HA.7002.M.Yr.

Observations: Effort to streamline EMS and maintenance records.

Improvement Program HM.6003-Preventive Maintenance Program:

Objective HM.6003.3: Enter all revised maintenance task instructions for existing and new equipment into
CMMS database.

Target HM.6003.3: Complete entry of all revised maintenance task instructions by June 30, 2000.

Target Met: May 2000

Results: As of May 2000, backlog draft task instructions (new and revised) and backlog draft datafile
folders (new and revised) from 11/15/99 to 5/15/00 and match equipment to CMMS database. Reported in
the HWTP Monthly Report HA.7002.M.Yr.

Observations: Effort to strengthen CMMS task instructions with maintenance activity details provided by
equipment suppliers/manufacturers. Subsequent task instruction revisions are prepared and entered into
CMMS on as needed basis.

Improvement Program HM.6003-Preventive Maintenance Program:




                                                     F-6
                    SAMPLE DOCUMENTATION
Objective HM.6003.4: Through use of the CMMS/MP2, track preventive and corrective maintenance
manhours to increase maintenance efficiency.

Target HM.6003.4: Maintain performance level of 65% PM versus 35% CM (YTD average) for 2000
calendar year.

Target Met: December 2000

Results: 64.25% PM versus 35.75% CM; margin of error 1% due to unaccounted manhours. Reported in the
HWTP Monthly Report HA.7002.M.Yr.

Observations: Maintaining an average ratio of 65%PM versus a 35% CM helps reduce overall maintenance
costs and supports the company’s strategic plan. Margin of error calculated based on unaccounted for
maintenance manhours.

Improvement Program HM.6004-Valve PM & Inspection Program:

Objective HM.6004.2: Increase valve lifespan and reliability.

Target HM.6004.2: Identify and exercise 60 main valves by December 31, 2000

Target Met: June 2000

Results: As of June 2000, we have identified and exercised 70 valves. Reported in the HWTP Monthly
Report HA.7002.M.Yr.

Observations: We have exceeded the target for 2000 and continue to identify, locate, repair and exercise
plant valves. CMMS task instructions have been developed for valve PM and inspection. The valve program
has also identified critical main valves with special markers to allow rapid identification for emergency
procedures.

Improvement Program HM.6005-Predictive Maintenance Program:

Objective HM.6005.2: Complete vibration analysis software upgrade and data translation to Odyssey.
Complete chemical feed route.

Target HM.6005.2: Perform one vibration analysis on all identified equipment on chemical feed route by
April 30, 2000. Enter completed information into vibration analysis database and MP2 database by June 30,
2000.

Target Met: June 2000

Results: Completed one (1) vibration analysis on all identified equipment on chemical feed route. Software
upgraded to correct Y2K problem and to transfer data to SQL database. Reported in the HWTP Monthly
Report HA.7002.M.Yr.

Observations: None.




                                                    F-7
                     SAMPLE DOCUMENTATION
Improvement Program HM.6005-Predictive Maintenance Program:

Objective HM.6005.3: Schedule predictive maintenance using thermography technology on 25% of HWTP
prime moving motors (100 HP and above).

Target HM.6005.3: Schedule thermography scanning by April 30, 2000. Generate corrective workorders
from resultant report by May 15, 2000.

Target Met: May 2000

Results: Completed thermography scan on March 9, 2000. Generated one workorder as a result to correct
identified deficiencies. No capital expenditures required. Reported in the HWTP Monthly Report
HA.7002.M.Yr.

Observations: None.

Training:
Improvement Program HA.6006-Skills Based Training Program:

Objectives HA.6006.1: Increase basic skill level of Maintenance and I/E Associates

Target HA.6006.1: Through Technical Training Corporation (TTC) skills based training sessions and
testing, increase overall skills test average score for Maintenance & I/E Associates by January 31, 2000.
Compare scores to initial skills assessment.

Target Met: January 2000

Results: Table 1 identifies basic skills training topics to be covered by Technical Training Corporation for
1998 through January 2000. The date training was conducted is also included. Reported in the HWTP
Monthly Report HA.7002.M.Yr.




                                                    F-8
                       SAMPLE DOCUMENTATION
                                                         Table 1
                                                Basic Skill Level Training
                                               October 1998 – January 2000
                      Topic                                                  Date(s) Training
                                                                               Conducted
   Mechanical Training Plan
   Shaft/Coupling Alignment                       11/17/98, 11/18/98, 11/19/98, 11/25/98, 11/26/98, 11/27/98, 11/28/98,
                                                  12/01/98, 12/02/98, 12/03/98, 12/08/98, 12/09/98, 12/10/98, 12/15/98,
                                                  12/16/98, 12/17/98, 1/12/99, 1/13/99, 1/14/99, 1/19/99, 1/20/99, 1/21/99
   Bearing and Seals                              8/19/99, 10/14/99
   Lubrication /Plan Development                  10/20/98, 10/21/98, 10/22/98, 11/11/99, 11/18/99
   Mechanical Drives                              10/28/99, 11/4/99
   Blueprint Reading                              6/17/99, 6/24/99, 7/15/99, 7/22/99, 7/29/99, 8/5/99
   Mechanical Principles                          6/3/99, 6/10/99
   Benchwork
   Torque/Fasteners                               8/12/99
   Pumps                                          9/2/99, 9/9/99, 9/23/99, 10/7/99, 10/21/99
   Plumbing/Piping
   Oxe Fuel Cutting                               1/26/99, 1/27/99, 1/28/99, 2/03/99, 2/04/99, 2/05/99
   AC Arc Welding                                 2/23/99, 2/24/99, 2/25/99, 3/02/99, 3/03/99, 3/04/99, 3/09/99, 3/11/99,
                                                  3/12/99, 3/16/99, 3/17/99, 3/18/99, 3/23/99, 3/24/99, 3/25/99, 3/30/99,
                                                  3/31/99, 4/01/99
   Electrical Training Plan
   Electrical Fundamental Review                  10/13/98, 10/15/98, 10/27/98, 10/29/98, 11/03/98, 11/05/98, 11/10/98,
                                                  11/12/98,
                                                  11/17/98, 11/19/98
   Schematic Symbols                              10/20/98, 10/22/98
   Power Distribution                             12/19/98, 12/21/98
   Motors and Motor Controls/Control Devices      2/09/98, 2/11/98, 2/16/99, 2/18/99, 2/23/99, 2/25/99, 3/02/99, 3/04/99,
   Electrical Devices
   Transformers                                   1/26/99, 1/28/99
   Instrumentation
   PLCs                                           8/3/99, 8/17/99, 8/24/99, 8/31/99, 9/7/99, 9/28/99, 10/12/99, 10/26/99,
                                                  11/2/99, 11/9/99, 11/16/99, 11/23/99, 11/30/99, 12/7/99, 12/14/99,
                                                  1/4/00, 1/11/00, 1/18/00, 1/27/00
   National Electrical Code Requirements          6/1/99, 6/8/99, 6/15/99

Observations: The skills based training has improved the maintenance and instrumentation associates’ level
of knowledge in their assigned crafts. All associates scored higher than 60 percent on their final examination
for the TTC training program. This is an improvement over the original skills assessment test scores where
55 percent of the associates scored below 60 percent. The program was an overall success and has improved
basic skills knowledge among the associates.

Improvement Program HA.6006-Skills Based Training Program:

Objective HA.6006.2: Increase basic familiarity and reliability of performing CMMS task instructions.

Target HA.6006.2: Through in-house training, maintenance associates to train on 24 revised task
instructions by December 31, 2000.

Target Met: Not met. Justification memo to file. New target date for completion January 31, 2001.




                                                            F-9
                          SAMPLE DOCUMENTATION
Results: Completed training on 12 revised task instructions as of December 2000. Oversight on number
required. Reported in the HWTP Monthly Report HA.7002.M.Yr.



Observations:
This training program involved all maintenance associates and helped establish a better understanding of
revised maintenance task instructions within the CMMS. Failure to meet prescribed target was due to
oversight during training schedule preparation.

Improvement Program HA.6006-Skills Based Training Program:

Objective HA.6006.3: Increase reliability and flexibility for taking data points on the vibration analysis
routes.

Target HA.6006.3: Through hands-on training and taking one set of data collections, train two Maintenance
Associates and or I&E Associates by December 31, 2000.

Target Met: June 2000

Results: Table 2 summarizes Hanahan WTP Maintenance Associates and I&E Associates training. Reported
in the HWTP Monthly Report HA.7002.M.Yr.


                                                                 Table 2
                                                Hanahan WTP Maintenance and I&E Associates
                                                        February to December 2000
           Associates
           Name
           Maintenance      IRD Software   H-VIB-    H-VIB-      H-VIB-     H-VIB-     H-VIB-    H-VIB-
                            Training       CHM-01    GIB-01      MCCL-O1    PSTA-01    SHP-01    STN-01
           David Kranz      2/22-24/00     4/25/00   5/23/00     5/23/00    6/01/00    4/25/00   5/02/00
           Lynn Shelton     2/22-24/00
                            3/28/00
           Chris Peters     2/22-24/00     4/25/00                          6/01/00    4/25/00   5/02/00
                            3/28/00
           I&E
           Jack Fairbourn   2/22-24/00     4/25/00   5/23/00     5/23/00    6/01/00    4/25/00   5/02/00
                            3/28/00


Observations: None.




                                                          F-10
                     SAMPLE DOCUMENTATION
                      Improvement Program HA.6006-Skills Based Training Program:

Objective HA.6006.4: Increase skill level of Laboratory Chemists through training on our specific brand of
Atomic Absorption Unit.

Target HA.6006.4: Through Maxwell Instruments two-day on site training program for the TJA Atomic
Absorption Unit increase skill level of Chemists by September 30, 2000.

Target Met: May 2000

Results: The training was scheduled and performed on May 30. Three employees attended the five hour
class: Lisa Myers, Chris Mantooth, and Mike Lindley. Reported in the HWTP Monthly Report
HA.7002.M.Yr.

Observations: None.

Improvement Program HA.6006-Skills Based Training Program:

Objective HA.6006.5: Establish a standard method of recording and documenting any training received by
HWTP Associates.

Target HA.6006.5: Establish use of CPW’s Skills Based Training software. Include all current information
required to complete SBT data fields for HWTP Associates and train Administration Staff by August 31,
2000.

Target Met: Not met. Objective and Target closed July 2000.

Results: Objective and Target closed. Reported in the HWTP Monthly Report HA.7002.M.Yr.

Observations: Justification memo to file. Poor software support for ease of use and reporting. Will continue
to use spreadsheets until such time as training record database can be developed using standard MS software.

Filter Media

Improvement Program HA.6001-Water Treatment Plant Pilot Study Program:

Objective HA.6001.1: Evaluate existing filter media for turbidity removal efficiency in preparation for
                     proposed lower turbidity standard.

Target HA.6001.1: Final report to D&C Engineer to initiate project by May 31, 2000.

Target Met: May 2000

Results: Completed evaluation report and distributed to D&C May 2000. Reported in the HWTP Monthly
Report HA.7002.M.Yr.

Observations: Evaluation report recommended replacement of existing media in favor of new anthracite and
sand design. Major capital project implemented using current funds from major capital and recurring capital.


                                                   F-11
                    SAMPLE DOCUMENTATION
Chemical Systems

Improvement Program HA.6002- Net Recurring Capital Improvements Program:

Objective HA.6002.95400212: Improve chemical feed and handling systems.

Target HA.6002.95400212: Complete project by June 30, 2001.

Target Met: Incomplete. Carried over to 2001.

Results: Plans and specifications complete awaiting negotiated bid results. Reported in the HWTP Monthly
Report HA.7002.M.Yr.

Observations: Some delays because project combined with other plant improvement needs.

Monitoring & Testing:
Improvement Program HA.6002- Net Recurring Capital Improvements Program:

Objective HA.6002.00400011: Diesel fuel leak detection system.

Target HA.6002.00400011: Complete project by March 31, 2001.

Target Met: Incomplete. Carried over to 2001.

Results: 99 percent of field equipment installed. Awaiting explosion proof isolators. Reported in the
HWTP Monthly Report HA.7002.M.Yr.

Observations: Project expected to be complete upon completion of new plant SCADA system. New
SCADA screens complete for monitoring diesel fuel leak detectors.

Improvement Program HL.6008-Laboratory Information Management System (LIMS):

Objective HL.6008.4: Improve data handling, retrieval and report generation and tracking quality control.

Target HL.6008.4: Research options, write specifications, solicit proposals, and issue PO by December 31,
2000.

Target Met: June 2000.

Results: Our Finance Department contacted DHEC and determined that we could also qualify for state
contract pricing under DHEC’s competitive bid process. We obtained a quote from Labworks and compared
it to the quote obtained from DHEC and determined that the unit pricing was the same. A requisition was
completed (#98002416) and entered into the CPW FMS system for approvals and issuance of a PO.
Reported in the HWTP Monthly Report HA.7002.M.Yr.




                                                    F-12
                    SAMPLE DOCUMENTATION
Observations: None.




Process Operations:

Improvement Program HA.6010- Partnership Program:

Objective HL.6010.1: Complete Phase III Self Assessment under requirements of the Partnership for Safe
Water guidelines.

Target HL.6010.1: Submit Phase III Self Assessment Report by June 30, 2001.

Target Met: Incomplete. Carried over to 2001.

Results: No activity, awaiting appropriate staffing to complete. Reported in the HWTP Monthly Report
HA.7002.M.Yr.

Observations: Delayed due to difficulty meeting staffing needs.

Conclusions:
Overall the Improvement Programs implemented to date have been successful. Each contributed
significantly to environmental management, continual environmental improvement, productivity
improvement, and environmental stewardship. Some of these programs have produced improvements above
their original scope. An example of this is the valve identification program where main valves are marked
with unique identifiers developed as a result of the program to allow quick valve identification for
emergency procedures. Another example is the updated vibration analysis software and new laboratory
information management software.

The improvement programs have also provided the associates an opportunity to improve their skills and job
knowledge. The results are increased associate ownership in task instructions and confidence in the essential
job functions for each associate involved in the program. This program has also provided a basis for cross
training between crafts and will give associates the opportunity to raise their skills and knowledge of other
crafts providing CPW with multi-skilled associates and work force flexibility.



The Improvement Programs provided was the opportunity for teamwork throughout the treatment plant and
created a common set of goals for all departments to accomplish. Encouragement of teamwork and
organization is a huge benefit derived from the improvement program which will promote an environment of
continued improvement.




                                                   F-13
                    SAMPLE DOCUMENTATION




                     Compliance Assessment




Sample Compliance Assessment Procedure – Charleston Public Works Commission




                                   F-14
                     SAMPLE DOCUMENTATION
                   CPW ENVIRONMENTAL MANAGEMENT SYSTEM
                                PROCEDURE

       The on-line version and secured hardcopy are the controlled documents. The secured hardcopy will
       be identified by an “Official Document” stamp giving date of distribution. Any and all other
       documents are uncontrolled. Contact the EMS Program Manager for revision level status.

Effective Date:              October 1, 2000                                Page 1 of 3
Revision: 1                  Identification Number: EMS – 4.5.1 (C)
Title:                       Regulatory Compliance Procedure

Prepared By:                 EMS Procedures Subcommittee
Reviewed By:                 EMS Management Steering Committee

Approved By:                 William E. Koopman Jr., General Manager
                             John Cook PE, Assistant General Manager
Date Approved:               August 25, 2000

0.0 Requirement       ISO 14001, Sub Clause 4.5.1 Monitoring and Measuring

1.1 Purpose

To establish and maintain a documented procedure for periodically evaluating compliance with relevant
environmental legislation and regulations.

2.1 Scope

   2.1 ISO 14001, sub clause 4.5.1 requires evaluations to be performed on a periodic basis to assess
       compliance with environmental regulations.

   2.2 This procedure applies to all CPW departments.

4.0 Responsibility and Authority

   3.1 It is the responsibility of the department head to ensure that self-assessments of compliance with
       environmental regulations and other legal environmental requirements of EMS procedure 4.3.2 are
       scheduled and conducted and that assessment results are documented.

   3.2 It is the responsibility of CPW associates to notify their supervisor upon discovery of a regulatory
       non-compliance condition.




                                                    F-15
                     SAMPLE DOCUMENTATION

Effective Date:              October 1, 2000                               Page 2 of 3
Revision: 1                  Identification Number: EMS – 4.5.1 (C)
Title:                       Regulatory Compliance Procedure


   3.3 It is the responsibility of the department head to ensure that regulatory non-compliance(s) are
      reported to executive management and the applicable regulatory agency as specified by the regulatory
      requirement.

   3.4 It is the responsibility of the department head to follow-up with corrective action(s) on regulatory
      non-compliance(s), to return the facility to compliance as expeditiously as possible, and to document
      all corrective actions taken.

5.0 Procedure

    4.1   Scheduling
          The department head (or designee) will develop a self-assessment schedule, established on a once
          per quarter frequency, to assess regulatory compliance.

    4.2   Site Inspection
          The department head (or designee) will inspect selected site(s), observe operating conditions,
          interview associates on work activities and operating conditions and record observations in a
          factual way based upon regulatory and other legal requirements. Review of selected regulatory
          records, measuring and calibration records, operating criteria or standard operating instructions,
          shall take place before, during, and/or after the inspection.

    4.3   Corrective Action Plan
          The department head will promptly initiate corrective actions to resolve the regulatory non-
          compliance. In accordance with EPA’s 1995 Policy on Voluntary Discovery, if non-compliance
          cannot be corrected within a sixty (60) day period, a Corrective Action Plan will be developed.
          A copy will be forwarded to the section head, the EMS program manager and executive
          management.

    4.4   Follow-up
          The department head will conduct a follow-up surveillance upon completion of the corrective
          measures taken. If a Corrective Action Plan was developed, then a finding of closure will occur
          immediately upon verification of corrective action. A copy of the closure report will be
          submitted to the section head, EMS program manager and executive management.




                                                   F-16
                     SAMPLE DOCUMENTATION

Effective Date:              October 1, 2000                               Page 3 of 3
Revision: 1                  Identification Number: EMS – 4.5.1 (C)
Title:                       Regulatory Compliance Procedure


Access to these records is privileged pursuant to Code of Laws of South Carolina, Section 48-57-10 et. seq.,
“Environmental Audit Privilege and Voluntary Disclosure.” Distribution of the environmental self-
assessment report is restricted to executive management, EMS program manager and relevant individuals
within the department.

4   Related Documentation and Records

       5.1    Master List of Legal Requirements
       5.2    Department Standard Operating Instructions and Records
       5.3    Self Assessment Schedules
       5.4    Self Assessment Reports
       5.5    Corrective Action Plans
       5.6    Follow-up/Closeout Records




                                                   F-17
            SAMPLE DOCUMENTATION




                      Calibration




New Hampshire Department of Transportation – Traffic Bureau




                          F-18
                    SAMPLE DOCUMENTATION
    Number: EMS-CH500-System-54-12
    Title:  Calibration/Maintenance Management Procedure

    Date of Adoption:
    Date of Revision:

    Prepared By:         EMS Program Manager
    Reviewed By:         Implementation Team
    Approved By:         Lyle W. Knowlton
                         Director of Operations



    Document Control:
    _____ The secured hard copy signed, dated, and stamped “Official
           Document” shall be the controlled document and shall be
           maintained by Hearings Examiner.
    _____ This document and the on-line version are copies of the secured
           hard copy controlled document.
    _____ Duplicate copies may be made and distributed, however, users must
           assure themselves the copied document is the current controlled
           copy.
    _____ Earlier versions of this document are obsolete and should be
           removed from points of use.


 D Distribution:
 _ _____ NHDOT intranet; bulletin boards ______________
 _ _____ Administrators: _______________________________
   _____ Supervisors: __________________________________
   _____ Employees: ___________________________________
   _____ Other: ________________________________________

    Amendments:
    Summary:

1.0 Purpose…………………………………………………………………                            2
2.0 Scope and Applicability…………………………………….                      2
3.0 Reference………………………………………………………………                           2
4.0 Policy Statement……………………………………………………                        2
5.0 Specific Responsibilities.…………………………………………                  3
   5.1 Bureau Administrator……………………………………………                    3
   5.2 Supervisor……….…………………………………………………                        3
   5.3 Employee………………….……………………………………                           3
6.0     Operational Procedure….………………………………………                  3

7.0 Audit and Review…………………………………………………                4
   7.1 Items Subject to Audit and Review…………………………….. 4
   7.2 Record Keeping; Format; Destruction………………………… 4
    7.3 Responsibility for Audit and Review ………………………… 4
8.0 Personnel Actions…………………………………………………… 5
   8.1 Discipline…………………………………………………………… 5
9.0 Other…………………………………………………………………                     5

1.0 Purpose
In accordance with ISO 14001, § 4.4.6, the Bureau has established and adopted the following procedure.



                                                  F-19
                    SAMPLE DOCUMENTATION
This procedure is to ensure the calibration/maintenance requirements of the Bureau’s operational and
monitoring equipment are performed in accordance with applicable O & M manuals, standard operating
instructions and/or manufacturers recommended standards., and that the operational and monitoring
equipment is in compliance with the relevant environmental and regulatory requirements.

2.0 Scope and Applicability
This procedure applies to the Bureau of Traffic and its statewide operations.

3.0 Reference
Environmental Policy
ISO 14001 § 4.4.6
EMS Significant Aspects System Procedure
EMS Training, Awareness and Competence System Procedure
EMS Document Control System Procedure
EMS Objectives and Targets System Procedure
EMS Legal and Other Requirements System Procedure
Relevant standard operating procedures for equipment used at Traffic
Material Safety Date Sheets

4.0 Policy
It is the policy of the Bureau to assure its operational and monitoring equipment is calibrated and
maintained to assure its performance in aiding the Bureau in meeting the objectives and targets of its
significant aspects.

5.0 Specific Responsibilities

       5.1 Bureau Administrator
The Bureau Administrator is responsible for the calibration and maintenance program and assuring the
employees have the necessary tools and training to perform the required calibration and maintenance
tasks.

The Bureau Administrator is responsible for the development, revision, and issuance of appropriate
calibration/maintenance standard operating instructions.

The Bureau Administrator shall ensure that the results of calibration and maintenance efforts are
documented.

       5.2 Supervisor
Section Supervisors are responsible for assuring monitoring equipment is calibrated to appropriate
specifications and operational equipment is properly maintained before its use.

Section Supervisors shall notify the Bureau Administrator of any problems with the
calibration/maintenance of monitoring/operational equipment, and will set in motion a corrective action
plan that will return their section’s equipment to complete compliance as soon as is practicable.

Section Supervisors are responsible for keeping maintenance records and for forwarding such reports to
the Bureau Administrator for quarterly reports.

       5.3 Employee
It is the responsibility of all employees to notify their supervisor when they discover any problems with the
monitoring/operational equipment.




                                                    F-20
                         SAMPLE DOCUMENTATION
6.0 Operational Procedure
    a. The Bureau Administrator, or his designee, shall, on a quarterly basis, document the
       calibration/maintenance activities.
    b. The Bureau Administrator, or his designee, will direct the drafting of calibration/maintenance
       standard operating instructions for its monitoring/operational equipment. These instructions will
       include or reference the following information where relevant.

                         Standard Operating Instruction Title
                         Document Identification Number
                         Revision date and approval
                         Detailed maintenance criteria
                         Schedule and frequency of maintenance activities
                         Procedural instructions on start up
                         Procedural instructions on shut down
                         Emergency operation
                         Inspection and test instructions
                         Corrective repair maintenance instructions
                         Preventative maintenance procedures
                         Safety requirements
                         Location of manufacturer’s reference material

   c. Following review by the Implementation Team and appropriate supervisors, the Bureau
      Administrator issues the approved instructions.
   d. The Bureau Administrator ensures the supervisors and relevant maintenance personnel receive the
      appropriate training for their maintenance tasks, including training on the environmental impacts
      or potential consequences in deviating from the specified standard operating instructions on critical
      equipment and processes.

7.0 Audit and Review

       7.1 Items Subject to Audit and Review
At least annually, the Bureau Administrator shall review this procedure to ensure the purposes for which it
was created are being met in an efficient manner.

       7.2 Record Keeping; Format; Destruction
   a. A copy of this procedure shall be maintained in the records of the Bureau of Traffic and each
       relevant unit supervisor.
   b. This document is a controlled document. The on-line version and
       secured hard copy are the controlled documents.
   c. The secured hard copy, stamped “Official Document” and dated,
       shall be maintained by Hearings Examiner.
   d. Changes and updates to this procedure, and filing and destruction requirements shall be noted on all revisions to the
       original copy, and all paper copies distributed to the Bureau of Traffic.

       7.3 Responsibility for Audit and Review
The EMS Program Manager and the Bureau Administrator shall review compliance with this procedure at
such intervals as they deem appropriate, but no less than annually. A written report discussing
compliance with this procedure shall be provided to the Commissioners as directed, but no less often than
annually.




                                                              F-21
                     SAMPLE DOCUMENTATION
8.0 Personnel Actions

       8.1 Discipline
As a condition of employment, all employees of the State of New Hampshire Department of Transportation
are required to participate actively in Environmental Management System programs and follow established
policies, procedures, instructions, and/or rules. Cooperation between management and employees is
necessary to meet this work standard. Disciplinary action, up to and including dismissal, will be taken in
cases where it is determined that disregard for environmental responsibilities has occurred. Disciplinary
action will be taken in accordance with the New Hampshire Division of Personnel Administrative Rules,
Chapter 1000.

9.0 Other
Reserved.




                                                   F-22
                   SAMPLE DOCUMENTATION




                      Nonconformance
                            and
             Corrective and Preventative Action




Sample nonconformance and corrective and preventative action procedure –
                         City of Eugene, OR




                                F-23
                          SAMPLE DOCUMENTATION
                                                                                                          Controlled
                                                                                                          Document




                           CITY OF EUGENE – WASTEWATER DIVISION

  Procedure


Subject:         Nonconformance and Corrective Action                                         Document No:                WW-00016R1

Prepared         Sharon Olson                      Date Prepared:              6/26/00        Revision Date:                 7/31/01
By:
Approved By:     Management Team                   Date Approved:               8/6/01        Next Review Date:               8/1/02


  Purpose

  This procedure describes the process to ensure that the Division establishes, maintains and uses a system to
  identify nonconformances from regulations and requirements and to specify a corrective action process to
  identify and track areas for corrective action.

  Scope

  This procedure applies to all nonconformances requiring corrective action by staff. These will typically identified by the following
  methods:

     Internal and external audits
     Environmental Compliance Audits
     Safety Audits
     Inspections
     Incident Reports
     Complaints
     Compliance Inspections
     Permit Inspections

  Definitions

     Audit Team
     Corrective Action Request (CAR)
     Environmental Compliance Assessment
     EMS
     EMS Manager
     External Auditors
     Nonconformance

  Safety Requirements

  All specific safety requirements will be included or referred to in specific work instructions.




                                                                  F-24
                        SAMPLE DOCUMENTATION
Procedure (Include reporting requirements and precautionary steps in this section)

Accountability:                     Responsibility:

Division Management Team            Provide appropriate resources to ensure nonconformances are corrected.

Audit Team                          Conduct conformamnce audit/internal or external assessment.

Audit Team                          Identify potential nonconformance and notify supervisor and Audit Team member by e-
Staff                               mail.

Audit Team                          Determine whether the potential nonconformance meets the criteria for a nonconformance
                                    and if so generate corrective action request.

                                    Complete corrective action request form (CAR) and provide copy of form to Lead
                                    Auditor.

Lead Auditor                        Submit CAR information to EMS Manager, and Document Control.

EMS Manager                         Review corrective action request information and inform Division Management Team of
                                    any identified nonconformance that involves a potential regulatory or legal
                                    noncompliance.

                                    Determines appropriate staff to take corrective action. Notify appropriate staff and
                                    request corrective action.

Division Staff                      Identify the cause of the nonconformance.

                                    Identify appropriate corrective action. Complete Corrective Action Approval Request
                                    Form and forward electronically to EMS Manager, with copy to work section supervisor
                                    (if supervisor does not complete form).

EMS Manager                         Reviews Corrective Action Approval Request Form . Requests additional information if
                                    necessary. Approves recommended corrective action.

                                    Implement the necessary corrective action.
Division staff

                                    Notify EMS Manager on completion of necessary corrective action. Include completed
                                    Corrective Action Completion Check List form.

EMS Manager                         Closes corrective action.

Document Control                    Maintain records of all non-compliance and corrective action request forms

Internal Auditors                   Include review of completed corrective actions in scope of audits.

References
   ISO 14001 Standard, 4.5.2 Non-conformance and Corrective and Preventive Action
   EMS Manual, Nonconformance and Corrective Action Policy
   Internal Audit Procedure
   Monitoring and Measuring Procedure
   Corrective Action Approval Request Form
   Corrective Action Completion Checklist Form
   Corrective Action Request (CAR) Form




                                                          F-25
        SAMPLE DOCUMENTATION




Corrective Action/Preventative Action Form




             Jefferson County, AL




                    F-26
                            SAMPLE DOCUMENTATION

                                  JEFFCO

                                  CORRECTIVE ACTION NOTICE
    This CAN is in Response to:

    Internal Audit:              3rd-Party Audit:               Management Review:         Other:    
Nonconformance No.:         Audit Team Leader:               Audit Team Member/Requestor:              Auditee Representative/Recipient:


Department:                                                  Division:



Date:                                                        Standard & Clause:



Major:            Minor:               Observation:          Document Reference:



Nonconformance Statement:




Root Cause:

                                         Corrective Action Response (to be completed by Auditee):
Proposed Completion Date:                        Actual Completion Date:                               Auditee Representative:



Corrective Action Taken:




                                   Clearance Action (to be completed by Environmental Management Representative)):

Accepted:                                        Y      N      Downgraded:                                                 Y       N



Follow-Up Comment:




                                                                         F-27
                               SAMPLE DOCUMENTATION

                                JEFFCO

                                PREVENTIVE ACTION NOTICE
 This PAN is in Response to:
 Internal Audit:               3rd-Party Audit:            Management Review:          Other: 
Nonconformance No.:            Audit Team Leader:                Audit Team Member/Requestor:             Auditee Representative/Recipient:


Department:                                                      Division:



Date:                                                            Standard & Clause:



Major:                Minor:               Observation:          Document Reference:



Nonconformance Statement:




                                               Preventive Action Response (to be completed by Auditee):
Proposed Completion Date:                           Actual Completion Date:                               Auditee Representative:



Preventive Action Taken:




                 Clearance Action (to be completed by Environmental Management Representative):

Accepted:                                           Y       N       Downgraded:                                                 Y        N



Follow-Up Comment:




                                                                     F-28
          SAMPLE DOCUMENTATION




               Internal EMS Audit



Internal EMS Audit Procedure – City of Berkeley, CA
  Internal EMS Audit Report – City of Berkeley, CA
     EMS Audit Checklist – Jefferson County, AL




                        F-29
                            SAMPLE DOCUMENTATION
ISO 14001 Reference: 4.5.4 EMS Audit                                                                   Created By: EMS PM
Location: Central Files EMS: System Procedures                                                  Review Schedule: Biennially
Revision: 00.03.19.02                                                                        March 19, 2002

                                                    SYSTEM PROCEDURE
                                                    EMS INTERNAL AUDIT

1.0      PURPOSE

This procedure defines the process for conducting periodic audits of the Solid Waste Management Division Environmental
Management System. The purpose of the audit includes but is not limited to determining continued conformance with ISO 14001
and other requirements and that the EMS is properly maintained and documented.

2.0      SCOPE

This procedure applies to the Solid Waste Management Division and its operations.

3.0      DEFINITIONS
         3.1   EMS Audit: a periodic process to assess the EMS against the ISO 14001 requirements and against the divisions
               EMS documentation and records.
         3.2   Lead Auditor: an auditor who is authorized to plan, organize, and direct EMS audits in the Division. The Lead
               Auditor will report findings and observations, and evaluate the adequacy of corrective and preventive action.
               The lead auditor should be appropriately trained for this purpose.
         3.3   Audit Finding: results of the evaluation of the audit evidence compared with the ISO 14001 criteria. This
               could be a nonconformance or an observation.
         3.4   Nonconformance: a deficiency or failure to meet the standards of ISO 14001. May be a minor missing system
               component, an isolated incident or any number of incidents that lead to the failure to conform completely with
               ISO 14001 as it relates to this facility.
         3.5   Observation: a practice or the absence of a practice, while not in violation of ISO 14001, could strengthen the
               system or cause a system failure.
         3.6   Corrective Action Request (CAR): as a result of the audit findings, CARs are assigned to all nonconformances
               to correct all environmental problems as they occur. This measure may also be used to correct safety and other
               issues on this facility.
         3.7   Preventive Action Request (PAR): as a result of audit findings, PARs are assigned to any observation made
               that may prevent potential environmental problems before they occur.

4.0      RESPONSIBILITY

It is the responsibility of the Environmental Program Manager to routinely schedule audits and recruit or assign an internal audit
team according to this procedure.

4.1      Specific Responsibilities

                  4.1.1 Environmental Program Manager
The Environmental Program Manager (EPM) is responsible for developing the yearly audit schedule in June for the coming fiscal
year, initiating internal audits and recruiting or assigning an audit team.

The EPM will maintain EMS audit records, including a list of auditors, audit schedules and procedures and all audit reports. The
EPM will select the Lead Auditor who will be exempt from the day-to-day operations of the division during the audit cycle.

                  4.1.2 Lead Auditor
The Lead Auditor (LA) is responsible for notifying, organizing, planning, training and directing the Audit Team prior to and
during the EMS audit.

The LA shall schedule and facilitate all Audit Team meetings, which consist of the opening, closing and any briefing meetings
required.




                                                              F-30
                             SAMPLE DOCUMENTATION
ISO 14001 Reference: 4.5.4 EMS Audit                                                                    Created By: EMS PM
Location: Central Files EMS: System Procedures                                                    Review Schedule: Biennially
Revision: 00.03.19.02                                                                         March 19, 2002
The LA initiates the corrective action or preventive action process and prepares the noticies. The LA will prepare the audit team to
conduct any follow up audits needed and will prepare the final audit report, summary of findings and forward it to the EPM.

                  4.1.3 Auditors
Auditors are responsible for collecting, analyzing and documenting objective evidence through interviews, document examination
and visual observation during the audit investigation. They shall record their observations and findings and assist the Lead Auditor
in the preparation of CARs or PARs.

                  4.1.4 Division Manager
The Division Manager shall provide appropriate resources to support the EMS and its audits. The Division Manager shall report
progress or findings to upper management and other interested parties.

                  4.1.5 Senior Refuse Supervisors
The Senior Refuse Supervisors shall provide appropriate resources to conduct the audit such as staff time, workspace and records
as needed. The Senior Refuse Supervisors are responsible for ensuring the prompt and effective resolution of any corrective or
preventive action audit findings and for ensuring there is no reoccurrance.

                  4.1.6 Refuse Supervisors
Refuse Supervisors shall facilitate the audit in any way necessary and assign an audit guide if needed. Refuse Supervisors are
responsible for implementing the corrective or preventative action identified in the audit and for thoroughly training employees
under their supervision.

                   4.1.7 Employees
It is the responsibility of all employees to perform their job in accordance with the appropriate operating instructions and for
notifying their supervisor whenever they discover problems that may adversely affect the EMS or our legal and safety
requirements.

5.0     PROCEDURE
Based upon the fiscal year audit schedule, the audit process shall proceed as follows:

         5.1      Audit Plan
                  5.1.1   The Environmental Program Manager shall notify the Division Manager, the Lead Auditor and the
                          Audit Team of the proposed audit. The Audit Team should represent a broad section of the division
                          activities so that individuals can be assigned to areas they do not manage or work in.
                  5.1.2   The Lead Auditor reviews previous audit report findings and the status of CARs or PARs prior to
                          preparing the audit plan. Areas identified by previous audits for corrective or preventive action should
                          be included in the scope of the audit.
                  5.1.3   Lead Auditor completes the audit plan. The audit plan includes the date, audit number, Scope and
                          Objective, specify sections of ISO 14001 being audited and areas of the facility being audited, an audit
                          schedule with auditor assignments, questionnaires and Nonconformance Report. Auditors may modify
                          the scope and plan if necessary. These changes must be documented.

         5.2      Conducting the Audit
                  5.2.1  The Lead Auditor shall convene the opening meeting to brief the Audit Team on the general scope of
                         the audit, the details of the audit plan, receive input on the audit plan and schedule and discuss
                         assignments.
                  5.2.2  Review key EMS documentation before touring the site and conducting interviews. Records that shall
                         be reviewed include but are not limited to:
                          Environmental Policy
                          System Procedures
                          EMPs
                          EMS audit reports
                          Results of Management Reviews
                          Status of compliance with voluntary requirements




                                                               F-31
                            SAMPLE DOCUMENTATION
ISO 14001 Reference: 4.5.4 EMS Audit                                                                     Created By: EMS PM
Location: Central Files EMS: System Procedures                                                    Review Schedule: Biennially
Revision: 00.03.19.02                                                                        March 19, 2002
                           Other relevant documents requested by Lead Auditor, Environmental Program Manager, Division
                               Manager or other upper management.
                 5.2.3    Tour the site.
                 5.2.4    Interview staff and observe activities and conditions. Responses and evidence shall be documented.
                 5.2.5    Look for evidence to verify information from interviews through observations, records or independent
                          sources paying particular attention to items previously identified for corrective or preventative action or
                          findings from other audits.
                 5.2.6    The Audit Team shall then meet and report on audit progress as directed by the audit plan and schedule.
                 5.2.7    Findings and observations will be documented by the Lead Auditor; including any corrective action
                          taken during the audit. An internal audit report is drafted in preparation for the closing meeting.
                 5.2.8    The Lead Auditor conducts the closing meeting to present audit findings, clarify any conflicting or
                          confusing information, identify positive practices, review objective evidence that supports the findings,
                          and summarize the audit results.

         5.3      Reporting Audit Results
                  5.3.1   After the closing meeting, the Lead Auditor prepares the final audit report. The final audit report
                          includes a summary of the audit scope, identifies the audit team, describes the source of evidence used,
                          summarizes the findings and results. Copies of the final report will be submitted to the Environmental
                          Program Manager, the Division Manager and the EMS file.
                  5.3.2   For findings that require long-term corrective action, the Lead Auditor will prepare a CAR notice and
                          place a copy in the EMS record system. The original will be assigned to the appropriate staff person by
                          the Division Manager, Senior Refuse Supervisor or Refuse Supervisor as appropriate for
                          implementation.
                  5.3.3   The Division Manager ensures the availability of the audit report(s) for Management Review.

         5.4      Audit Followup
                  5.4.1   The Division Manager and Senior Refuse Supervisors are responsible for any follow-up actions needed
                          as a result of the audit.
                  5.4.2   The EPM is responsible for tracking the progress and effectiveness of corrective actions.

         5.5      Record Keeping
                  5.5.1  A copy of this procedure shall be maintained with the records of the division and with each relevant
                         staff person.
                  5.5.2  Records shall be maintained according to the City of Berkeley Records Retention Schedule.
                  5.5.3  The official document will have original signatures and be located in the EMS Manual in the office of
                         the Division Manager.
                  5.5.4  Changes and updates to this procedure will be made in accordance with our Document Control System
                         Procedure and Record Management System Procedure.

6.0         AUDIT AND REVIEW
The Environmental Program Manager and the Division Manager shall review conformance with this procedure at such intervals as
they deem appropriate, but no less than biennially. At least biennially the Division Manager shall review this procedure to ensure
it is still relevant and meets the needs of the division.

7.0     PERSONNEL ACTION
All employees are required to comply with all established policies and procedures of this division, the Department of Public
Works, the City of Berkeley and all local, state and federal regulations pertaining to this facility. Disciplinary action will be
recommended up to and including termination in accordance with established City of Berkeley procedures and SEIU Local 790,
Local 535 and Local 1 labor union contracts.

8.0      REFERENCE

Public Works Environmental Policy
EMS Manual
ISO 14001 Documentation




                                                               F-32
ISO 14001 Reference: 4.5.4 EMS Audit                                            Created By: EMS PM
Location: Central Files EMS: System Procedures                           Review Schedule: Biennially
Revision: 00.03.19.02                                                 March 19, 2002




        EMS Program Manager - Preparer                  Date




        Environmental Program Manager                          Date




        Sr. Refuse Supervisor - Reviewer                       Date




        Sr. Refuse Supervisor - Reviewer                       Date




         Division Manager - Approval                           Date




                                                 F-33
                     SAMPLE DOCUMENTATION
ISO 14001 Reference: 4.5.4 EMS Audit                       Created By: EMS PM
Location: Central Files EMS: System Procedures       Review Schedule: Biennially
Revision: 00.03.19.02                            March 19, 2002
                     SAMPLE DOCUMENTATION




Solid Waste Management


July 7, 2010


         Internal Audit Report

STANDARD:                  ISO 14001

SCOPE:            Assess the Environmental Management System (EMS) compliance to the ISO 14001 Standard.
                  The audit covers EMS documentation.

Audit Team:

                                                        Team

                                          Wanda Redic, Lead Auditor
                                             Rogelio Marquina
                                                 Joe Smith


The following Internal Audit Report is an appraisal of the Environmental Management System. This audit was
conducted Monday, March 18, 2002. This audit was conducted to verify conformance to the ISO 14001 standard.

In accordance with our annual audit plan the focus elements were:
4.2 [Environmental Policy], 4.4.2, [Training, Awareness and Competence], 4.4.5 [Document Control], 4.4.6
[Operational Control], & 4.5.3 [Records]. The specific areas of the Standard that were audited are detailed in the
attached schedule.

SUMMARY:
The audit evaluated the conformance of the EMS to the requirements of ISO 14001. There were several major
findings that were documented. Observations were made and also documented.

This is the first in a continuing series of internal audits. Therefore, there were no outstanding CAR’s to be evaluated
during this audit.

The audit results reflect an on-going need for management to emphasize that ISO 14001 conformance requires daily
adherence to all our level procedures, intensified training, management review and signatures on all documentation.
ISO conformance relies on each individual employee as well as all respective levels of management in order to
maintain the Environmental Management System. This emphasis should focus on ensuring all levels of the work
force understand the environmental policy, have implemented the environmental system, and are working daily to
maintain that environmental system.

A summary of the CAR’s is attached in Appendix A. Each CAR will soon be available on the Division directory.
Each CAR will be discussed with the appropriate Supervisor regarding the nonconformance and what measures are
needed to resolve the finding. CAR assignees will be asked to sign their CAR & agree upon a completion date.



                                                         F-35
                    SAMPLE DOCUMENTATION
Supervisors are strongly encouraged to begin immediate corrective action. The Corrective Action Procedure is
under development and will be distributed upon completion.

Appendix B contains the Agenda and Attendance List for the audit Opening and Closing Meetings. The audit
schedule is presented in Appendix C.




                                                       F-36
                   SAMPLE DOCUMENTATION
                                ISO 14001 Audit Findings (Summary)
                                     March 2002 Internal Audit
                                      Monday, March 18, 2002

Auditor            ISO Clause     ISO Section           Findings [Corrective Action]
Rogelio Marquina   4.3.1          Env. Aspects          Finding: Non-conformance. Update
                                                        system procedure to include update
                                                        procedure for environmental aspects.

Wanda Redic        4.3.4          EMPs                  Finding: Observation. Documents need
                                                        review for completion and signatures.
Wanda Redic        4.4.1          Structure &           Finding: Observation. Org. chart exists
                                  Responsibility See    but is not documented in the EMS
                                  Question 2 & 3 of     records. Include report for Gen. Section
                                  Audit Protocol        with details of staff involvement.

Wanda Redic        4.4.4          Documentation         Finding: Observation. Suggestion:
                                                        Add to General Requirements the ISO
                                                        14001 Standard requirements for
                                                        reference. Place org charts in this
                                                        section as well.
Wanda Redic        4.4.7          Emergency             CAR: Periodic testing of emergency
                                  Preparedness          procedures not implemented.
Wanda Redic        4.4.7          Emergency             CAR: Procedures do not provide means
                                  Preparedness          to identify potential accidents.
Wanda Redic        4.5.2          Non-Conformance       CAR: No procedure on record.
                                  & Corrective
                                  Action
Wanda Redic        4.5.3          Records Storage |     CAR: Records are not filed
                                  Records Identified    consistently. Records in multiple
                                  & Traceable to        locations & not readily accessible.
                                  Activity              Records poorly maintained.
Wanda Redic        4.5.4          EMS Audit             CAR: No procedure on record.
Wanda Redic        4.6            Management            CAR: No procedure on file.
                                  Review
                                                        Note: This is the first EMS
                                                        implemented. Management Review
                                                        will be conducted when all documents
                                                        conform to ISO 14001.




                                                 F-37
                          SAMPLE DOCUMENTATION
                                                  Corrective Action Request’s [CAR]

 0 CARS evaluated. 0 Closed, 0 Implemented, 0 progressing toward Implementation, & 0 had no change since last audit.

 Status:     C= Closed I= Implemented        OK= Progress made NC= No Change              #= # of days open

 Corrective CAR’s.

     Administration Responsibility                      Transfer Station Responsibility                        Collections Responsibility
           CAR #             Element     Status            CAR #                Element       Status           CAR #              Element      Status


RM - 1                         4.3.1

 WR - 1                        4.4.7

 WR - 2                        4.4.7                      WR - 2A                 4.4.7


 WR - 3                        4.5.2


 WR - 4                        4.5.3


 WR - 5                        4.5.4


 WR - 6                        4.6




 * Lack of timeliness CAR.

 Preventive CAR’s.

       Administration Responsibility                     Transfer Station Responsibility                       Operations Responsibility
   Preventive CAR #     Element      Status          Preventive CAR #        Element Status              Preventive CAR #     Element          Status




 NOTE: The above is not a complete listing of ISO 14001 CAR’s, Only the findings of the internal desk audit are included.
                         {database status (as of 3/18/02) shows total of 0 open CAR’s [0 corrective, 0 preventive]}.
 For additional information or copies of CAR documents, please refer to the “CAR Database” in the Access 2000 database (under construction).




                                                                      F-38
                      SAMPLE DOCUMENTATION




Solid Waste Management

                                                  OPENING MEETING
                                                 Internal ISO 14001 Audit
                                                 March 18, 2002 11:15 a.m.

It is time for our first planned internal audit. Please sign the attendance sheet.

Scope: Assess Solid Waste Management Division environmental management system compliance to the ISO 14001
Standard. The audit will include the EMS manual and procedures and conclude with the site audit on Wednesday,
March 20, 2002. Since this is our first internal audit, there are no open CAR’s to assess.

Objectives:
1.   The objective of the audit is to evaluate the overall organizational conformance to the ISO 14001 standard with emphasis on
     elements: 4.2 [Environmental Policy], 4.4.2, [Training, Awareness and Competence], 4.4.5 [Document Control], 4.4.6
     [Operational Control], & 4.5.3 [Records].

2.   Evaluate and verify corrective actions from previous audits. Since this is our first internal audit, there are no
     corrective actions to evaluate at this time.

Copies of the ISO 14001 Checklist were provided for auditors. To verify conformance & corrective/preventive
actions we will:

         Review objective evidence – work instructions & environmental records.
         Perform Personal interviews with assignees, their employees, and responsible management
         Discrepancies will be documented on our ISO Nonconformance Report form. This process has not yet
         been documented.

Resources and facilities include Administration, Collections and Transfer Station Operations.

A Closing meeting will be held the week of Monday, April 1, 2002, in the SWMD Assembly Room. Brief training
of EMS Audit procedures using the Environmental Policy was conducted and the desk audit began.

Desk Audit completed at 12:00 p.m. - Facility Audit scheduled for Wednesday, March 20, 2002.

Hard copies of the opening meeting attendance lists are maintained in the EMS Audit Record File.




                                                               F-39
                       SAMPLE DOCUMENTATION
                                              Closing Meeting Agenda
                                            Internal Audit March 20, 2002


1.    Route and retain attendance sheet.

2.    Summary of the audit activities:
      a. Scope and objective: The objective of the audit is to evaluate the overall organizational conformance to the
         ISO 14001 standard. To assess conformance to ISO 14001 with emphasis on elements: 4.2
         [Environmental Policy], 4.4.2, [Training, Awareness and Competence], 4.4.5 [Document Control], 4.4.6
         [Operational Control], & 4.5.3 [Records]. Areas audited:

Clause                      Title                        Clause                   Title
4.2         Environmental Policy                         4.4.5     Document Control
4.3.1       Environmental Aspects                        4.4.6
                                                                   Operational Control
4.3.2       Legal and Other Requirements                 4.4.7     Emergency Preparedness and Response
4.3.3       Objectives and Targets                       4.5.1     Monitoring and Measuring
4.3.4       Environmental Management Programs            4.5.2     Nonconformance and Corrective and
                                                                   Preventive Action
4.4.1       Structure and Responsibility                 4.5.3     Records
4.4.2       Training, Awareness, and Competence          4.5.4     EMS Audit
4.4.3       Communication
4.4.4       EMS Documentation


3.    Review Team's conclusion regarding the desk audit. Review corrective action and report findings.

4. Summary of Nonconformances (see attached summary).
    NOTE: The absence of a finding in a particular area does not mean there are none. It only indicates that this
    audit did not discover anything in our particular sample. The attached findings are what were discovered in the
    sample we took. Remember, CAR’s or Preventative CAR’s are not bad, they are opportunities for
    improvement.

5.     Briefly explain the process for corrective action, follow-up, and closure. This process will be explained to the
       executive staff at their weekly meeting. 30 days to submit C&C/A, & achieve implementation. The sooner the
       C&C/A is approved the more of the 30 days you have for implementing. 3 steps to CAR closure: 1) Approved
       C&CA, 2) accomplish implementation, and 3) demonstrate effectiveness.
      NOTE: C & C/A updates and re-negotiation of completion dates must be performed by the auditee [Please do
      this in writing, e-mail is fine].

6.      Discuss submittal of internal audit report. Project Manager/Lead Auditor will submit report to EMS Champion
        and Environmental Program Manager no later than April 5, 2002

 7.     The rest of the EMS will be audited during the time period starting today and before the Registration Audit in
        March. The final Registration Audit is scheduled for March 26-30, 2001, and is a 3rd party audit by QSR.

8.      Thank audit team for their support and close meeting.

Positive Comments




Hard copies of the closing meeting attendance lists are maintained in the EMS Audit Record File in accordance
   with the SSLP-1280-0016.


                                                           F-40
                    SAMPLE DOCUMENTATION
SWMD Internal EMS Audit Plan - March, 2002
Audit Plan - # 03-2002

AUDIT SCOPE AND OBJECTIVE

The scope of the audit is to assess conformance to the ISO 14001 elements.

 Clause                     Title                        Clause                   Title
4.2         Environmental Policy                       4.4.5        Document Control
4.3.1       Environmental Aspects                      4.4.6
                                                                    Operational Control
4.3.2       Legal and Other Requirements               4.4.7        Emergency Preparedness and
                                                                    Response
4.3.3       Objectives and Targets                     4.5.1        Monitoring and Measuring
4.3.4       Environmental Management Programs          4.5.2        Nonconformance and Corrective and
                                                                    Preventive Action
4.4.1       Structure and Responsibility               4.5.3        Records
4.4.2       Training, Awareness, and Competence        4.5.4        EMS Audit
4.4.3       Communication
4.4.4       EMS Documentation

The objective of the audit is to evaluate the overall organizational conformance to the ISO 14001 standard.

TEAM MEMBERS
                                            Lead Auditor: Wanda Redic


                                                   Team #1
                             Wanda Redic – Lead Auditor
                             Joe Smith
                             Rogelio Marquina
                                Environmental Program Manager: Becky Dowdakin


APPLICABLE DOCUMENTATION:
Division EMS Manual




                                                        F-41
                             SAMPLE DOCUMENTATION
      AUDIT SCHEDULE

      Wednesday – Opening Meeting and Desk Audit


      8:30 AM - 9:00 AM            Opening Meeting (Auditors)
      9:00 AM – 12:00 PM           Facility Audit
      12:00 PM – 1:00 PM           Lunch
      1:00 PM – 4:00 PM            Facility Audit Conclusion

      4.2            Environmental Policy
      4.3.1          Environmental Aspects
      4.3.2          Legal and Other Requirements
      4.3.3          Objectives and Targets
      4.3.4          Environmental Management Programs
      4.4.1          Structure and Responsibility
      4.4.2          Training, Awareness, and Competence
      4.4.3          Communication
      4.4.4          EMS Documentation
      4.4.5          Document Control
      4.4.6          Operational Control
      4.4.7          Emergency Preparedness and Response
      4.5.1          Monitoring and Measuring
      4.5.2          Nonconformance and Corrective and Preventive Action
      4.5.3          Records
      4.5.4          Environmental Management System Audit


      Functional Assessment

Wednesday       Auditor       Elements        Activity     Building/          Organization        Escort         Auditee
March 20,                     Audited                      Operation
2002
9:00 AM –       #1            4.2, 4.3.1,     Audit        Administration     Administration      N/A            Exec. Staff
10:30AM         WR            4.3.4, 4.4.2,
                              4.4.5, 4.4.6,
                              4.5.3
                #2            4.2, 4.3.1,     Audit
                              4.3.4 4.4.2,
                              4.4.5, 4.4.6,
                              4.5.3
12:00 AM –                                    Lunch
1:00 PM
12:45 PM –      #1            4.2, 4.3.1,     Audit
2:45 PM                       4.3.4, 4.4.2,
                              4.4.5, 4.4.6,
                              4.5.3
                              4.2, 4.3.1,     Audit
                              4.3.4, 4.4.2,
                              4.4.5, 4.4.6,
                              4.5.3
3:00 PM –       #1 & #2 &                   Compile         Administration
4:00 PM         #3                          Findings,
                                            Summary &
                                            Close Out
            * The functional assessment of this audit is not limited to the elements listed under "Elements Audited"




                                                                F-42
                      SAMPLE DOCUMENTATION
Original signed by:



Wanda Redic,                Becky Dowdakin,
Lead Auditor                Environmental Program Manager




                                   F-43
                            SAMPLE DOCUMENTATION
JEFFCO INTERNAL EMS CHECKIST

No.   Question                                           Y   N   Comments                                 Status
      Environmental Policy

      This section corresponds with
      element 4.2 of ISO 14001 (4.1 in the
      ISO 14001 standard refers to the existence of
      an EMS)
1     Is the environmental policy defined?                                                                  C
2     Is the policy appropriate (sensible) to                                                               C
      the type, size and environmental
      impacts of the organization’s
      activities, products and services?
      (The policy does not have to be many pages in
      length to be comprehensive and yet meet the
      EMS requirements.)
3     Does the policy include a specific                                                                    C
      commitment to continual
      improvement?
      (This sub-element may have to wait for
      subsequent audits to verify. Continual
      improvement can be attributed to the
      improvement of the EMS system itself and not a
      specific performance variable.)
4     Does the policy include a                                                                             C
      commitment to prevent pollution?
      Evidence of such a commitment may be seen in
      the objectives and targets. This sub-element
      may have to wait for subsequent surveillance
      audits to verify.)
5     Does the policy include a                                                                             C
      commitment to comply with
      applicable legislation and regulations
      and other requirements that the
      organization subscribes to?
6     Does the policy include a mechanism                       Mechanism is there through                  C
      procedures, groups/departments assigned,                   pollution prevention, continual
      meetings, etc.) for setting and reviewing                  improvement, regulatory
      environmental objectives and targets                       compliance.
7     Is the policy documented (in a written or                 Policy was approved by the County           C
      electronic form), implemented (all portions                Commission May 15, 2001 and is
      are being used), maintained (changed in                    communicated to all fenceline
      accordance with top management decisions)                  employees
      and communicated evidence [sufficient
      sample size is to be taken] to let all employees
      know the contents of the policy) to all
      employees?
8     Is the policy available to the public?                    Policy is posted in public areas. Will     O
      (Not necessarily distributed or sent out.                  be posted on Jeffco Website.
      Cannot be confidential or interoffice memo or
      letter.)

Planning
      Environmental Aspects

      This section corresponds with
      element 4.3.1 of ISO 14001
1     Is there a documented and maintained                                                                  C




                                                                  F-44
                         SAMPLE DOCUMENTATION
    procedure to identify the controllable
    (controlled by the organization’s own actions)
    aspects that the organization can most
    likely influence? e.g.: Activity – handling
    of hazardous materials; Aspect – potential for
    accidental spillage; Product – Product “X”;
    Aspect – a reformulation of the product to
    reduce it volume; Service – vehicle
    maintenance; Aspect – exhaust emissions.
    Some organizations may identify only those
    aspects requiring permits. Those are not,
    necessarily, the only aspects at the facility.
    Asking questions about life cycle effects and     
    interrelationship with the community may add
    other aspects.) The purpose of these                  As changes occur in operations,       C
    procedures is to determine those                      EMS Team will evaluate associated
    aspects that have present or can have                 environmental aspects.
    potential significant environmental
    impacts (e.g.: Activity [above] – Impact –
    contamination of soil or water; Product           
    [above] – Impact conservation of natural
    resources; Services [above] – Impact reduction
    of air pollution.)
                                                          Add language to Section V.B. of SP-   O
    The aspects associated with the                       EA explaining aspects rating
    identified significant impacts are to be              process.
    considered when setting the
    objectives.

    (To show that the procedure is effective and
    implemented, the identified aspects and
    significant impacts are to be compared to the
    procedure. Review the methodology of
    significance and compare it with those impacts
    that were not chosen to be significant.)

2   Is there evidence of updating of the                 On schedule but hasn’t come up yet.   C
    environmental aspects?
    (Is there a mechanism to update? This will be
    better audited with subsequent audits.)
    Legal & Other Requirements

    This section corresponds with
    element 4.3.1 of ISO 14001
1   Is there a procedure for the                         Add summary of legal & other          O
    organization to identify and have                     requirements to Sec. IV of SP-LOR.
    access (access refers to availability in an           Limit scope for SP-LOR to
    understandable form to the individual who will        fenceline. Define “Other
    maintain compliance) to all legal and                 Requirements” in Sec. III of SP-
    other requirements (includes Federal,                 LOR. Add to LOR Summary a
    state, and local laws, permits, licenses, etc.:
                                                          brief description of what the
    water, solid, air, noise, etc.) that they
                                                          requirement is. Add statement to
    subscribe to that are applicable to                   SP-LOR that we will identify legal
    their aspects?                                        requirements as operations change.
    (e.g. Activity [above] handling of hazardous
    waste regulations; Product [above] – labeling
    regulations; or Services [above] – automobile
    emission standards/requirements.)
2   Is there a procedure/mechanism for                                                         C
    the organization to secure the latest
    revisions of those requirements
    identified above?




                                                          F-45
                         SAMPLE DOCUMENTATION
    (If electronic on-line database, then latest
    revision probably exists, if hard copy, evidence
    is needed to be certain that any changes to
    regulations are received.)



    Objectives and Targets

    This section corresponds with
    element 4.3.3 of ISO 14001
1   Has the organization established and                      As baseline data becomes available,
    maintained documented objectives                           quantify targets in percent or
    (e.g. increase metal recycling) and                        dollars if possible.
    targets (e.g. increase metal recycling
    by 20% by 4/02) at each relevant (a                        Objectives & target data not             Minor
    point in the organization where there                      properly recorded for four facilities.    N
    is an environmental impact) function                       Data was available, but not in
    (e.g. department, building, plant,                         proper format.
    group, etc.) and level (e.g.
    maintenance manager and four floor
    personnel) within the organization?
    (Objectives and targets should be set
    for all significant environmental
    aspects.)

    (Objectives and targets may be in
    different documents. The overall
    numbers may be in identified permits
    or policies or plans but there needs to
    be objectives and targets set for
    relevant functions and levels of the
    organization. This may also be in job
    descriptions, goals of the
    departments, etc.)

    When establishing objectives, the                                                                   C
    organization shall take into
    consideration legal and other outside
    requirements, technologies and
    financial options, business and
    operational considerations as well as
    views of interested parties.
    (Look for evidence of a methodology
    or some analysis and be sure the
    chosen objectives are consistent with
    the methodology.)


2   Are the objectives and targets                                                                      C
    consistent with the environmental
    policy?

    (Is there consistency between the
    objectives/targets and the environmental
    policy? Consistency does not mean that we
    need to have objectives and targets for
    commitments in the policy.)
    Environmental Management
    Programs



                                                                F-46
                         SAMPLE DOCUMENTATION
    This section corresponds with
    element 4.3.4 of ISO 14001
1   Does the program include the                                                           C
    designation of responsibilities at each
    relevant function and level?

2   Does the program include a schedule                Specify source of resources and     O
    and the resources necessary to                      specify end dates where possible.
    achieve the objectives and targets?
    (The plan may be a developing plan with
    changes and amendments as requires.)

Implementation and Operation
    Structure and Responsibility

    This section corresponds with
    element 4.4.1 or ISO 14001
1   Are roles, responsibility and                                                          C
    authorities defined, documented, and
    communicated?

    (Can be in the form of an organization chart,
    but does not have to be.)

    NOTE: Be sure of sufficient sample
    size of the evidence.
2   Has management provided the                                                            C
    necessary resources for this EMS?

    (Resources include people, technology, money,
    etc. The organization decides what and how
    much of the resources are required. Evidence
    of this may be in the environmental program –
    4.3.4 of the standard.)
3   Has top management appointed an                                                        C
    environmental management
    representative?

    (A team is acceptable.)
4   Are the roles of management
    representative documented to include:
        a. ensuring that the EMS                                                           C
             requirements established,
             implemented and maintained
             in accordance with ISO
             14001;                                 
        b. reporting on the performance                 Management Review scheduled for
             of the EMS to top                          early February                      C
             management for review
             management review – 4.6) and as
             a basis for improvement of
             the EMS?
    Training, Awareness, &
    Competency

    This section corresponds with
    element 4.4.2 of ISO 14001
1   Have training needs been identified                                                    C



                                                         F-47
                           SAMPLE DOCUMENTATION
     for those whose work has or can have
     a significant environmental impact?

     (These are individuals associated with
     significant aspects.)
2.   Has the appropriate training been                           Not complete at one facility.          Minor
     performed?                                                   Training has been scheduled for late    N
                                                                  January and early February 2002.
     (evidence of training.)
3.   Are there procedures that are                                                                       C
     documented and maintained to give
     employees at the relevant functions
     and level an awareness of the
     following:
     (The employees to be considered here are to be
     the same as those identified to be trained in
     4.4.2 first paragraph. Being made aware the
     consequences of a task is different than being
     trained to perform the task.)

          a.    the importance of                                All employees surveyed know the         C
                conformance with the                              importance of conformance with the
                environmental policy and                          Environmental Policy and
                procedures and with the                           requirements of the EMS. All also
                requirements of the EMS;                          knew significant environmental
          b.    the significant environmental                    impacts of their work. A few (3) had    C
                impacts (actual or potential)                     to be prompted.
                of their work and the
                environmental benefits of
                improved personal
                performance;
          c.    their roles and                           
                responsibilities in                                                                       C
                conformance with the
                environmental policy and
                procedures and with the
                requirements of the EMS;
                and, (Including the emergency
                preparedness and response
                requirements as stated in 4.4.7 of
                the standard.)
          d.    the potential consequences                
                of not following the                                                                      C
                specified operating
                procedures and
                responsibilities assigned to
                them?

     (Evidence of the above being communicated to
     the proper employees may be in the form of
     training records or work instructions or some
     other document. The evidence needs to show
     that the employee was made aware of and
     understood the above information. On the job
     training may be accepted but evidence is still
     required that the above was conveyed to the
     specific employee. Asking random employees
     to verify their knowledge and awareness of the
     above points will also verify the effectiveness of
     this element.)
4.   Has a determination of competency                                                                   C
     based on education, training, or



                                                                  F-48
                          SAMPLE DOCUMENTATION
     experience been made for personnel
     performing tasks which can cause
     significant environmental impacts?
5.   Are all workers provided with
     awareness training (including those not
     associated with significant environmental
     impacts) on the following:
          a.    the importance of                                                                  C
                conformance with the
                environmental policy and
                procedures and with the
                requirements of the EMS;
          b.    the environmental benefits of                                                      C
                improved personal
                performance;
          c.    emergency preparedness and                   Emergency preparedness and           Minor
                response; and,                                response training will be added to    N
          d.    encouragement to look at                     New Employee Orientation.
                their own task (job) for                                                            C
                opportunities and things to
                watch out for?

     NOTE: For all of the above, be sure
     of a large enough sample size of
     evidence.
     Communication

     This section corresponds with
     element 4.4.3 of ISO 14001
1.   Are there procedures and records that                                                         C
     are maintained for the following types
     of communications and activities
     regarding the organization’s
     environmental aspects and its overall
     EMS: (both aspects and EMS)
                                                      
          a.    internal communications                                                             C
                between different levels (e.g.
                managers to supervisors,
                supervisors to line workers, etc.)
                                                      
                and different functions; and,
          b.    the receiving (processing)
                documenting (logging) and                                                           C
                responding (sending out answers)
                to relevant (the organization
                defines “relevant communication”)
                communications from
                external interested parties?
                (Interested parties, such as,
                community groups, government
                agencies, individuals, etc.)
     Environmental Management
     System Documentation

     This section corresponds with
     element 4.4.4 of ISO 14001
1    Is the EMS documented?                                  Manual is in place                    C

     (Document is to provide a general description.




                                                               F-49
                           SAMPLE DOCUMENTATION
     The EMS Manual, if it exists, can satisfy this.)
2    Does the documentation include the                    Specified in System Procedures   C
     core elements of this standard?
3    Does the documentation address the                    Through references to related    C
     interaction (organizationally and in the flow          documents.
     of information) of the different parts of
     the system?

     (e.g., How is information on new regulatory
     requirements or changes to operational
     procedures transmitted to individuals that need
     to know?)
4.   Does the documentation point to                       Through System Procedure and     C
     supporting systems?                                    Operating Procedure elements

     (Does the system document how the related
     information [regulations, permits, forms, etc.]
     is to be used?)
     Document Control

     This section corresponds with
     element 4.4.5 of ISO 14001

     (There may be different methods and different
     people for different types of documents but the
     constraints must be specified.)
1    Are there procedures for controlling                                                   C
     all documents required by this
     standard?

     (Include all documents that are referred to in
     this standard such as policy and procedures
     and documentation.)
2    Are the documents accessible?                         In paper form and electronic     C

     (This may include accessibility on a network or
     similar database.)
3.   Are the documents periodically (the                                                    C
     organization must state the period but the
     words “as needed” are not acceptable)
     reviewed (evidence of review is required),
     revised (in a controlled manner), and
     approved (evidence required) for
     adequacy by authorized personnel?
     (“Authorized” must be clear in a documented
     format or obvious from organization structure
     of some other means.)
4    Are the latest versions of the                                                         C
     appropriate documents available (can
     be from an electronic database) in areas
     where personnel perform tasks
     essential to the effective functioning
     of the EMS?

     (e.g., The one who monitors an effluent stream
     needs the procedure and form for taking the
     sample and recording the results and the
     administrator of the program needs to have
     regulatory requirements available, although it
     may be on an electronic database.)
5    Are obsolete documents removed                                                         C
     from use of otherwise protected
     against unintended use?



                                                               F-50
                         SAMPLE DOCUMENTATION
6   Are those obsolete documents that are                    Stamped “Obsolete”                     C
    retained for legal or knowledge
    reasons clearly identified?
7   Are documents dated (the standard                                                               C
    actually requires dating) with the latest
    revision, kept orderly, legible and
    retained, is necessary, for a specified
    period?
    (Organization must state the retention period.)
8   Are there procedures that define the                                                            C
    “who and how” of creating or
    modifying documents?
    Operational Control

    This section corresponds with
    element 4.4.6 of ISO 14001
1   Have operational controls been                          Operating Procedure for ink use not   Minor
    developed for operations and                              in place, all others are in place.     N
    activities associated with significant
    environmental aspects?                                   No PPE on hand at one facility (on    Minor
                                                              order), all others are in place.       N
    (The significant aspects were derived from an
    analysis of operations and activities.)
2   Does the maintenance plan (if one exists)                Computerized maintenance               C
    ensure that operational controls                          programs are used except at 2121
    remain in operation?                                      Bldg.
3   Have procedures been established and                                                            C
    been maintained to cover situations
    when operational controls fail?
4   Are operating criteria (e.g.                                                                    C
    temperature, pressure, flow) clearly
    established and documented for
    operations controls?
5   Have procedures and requirements                         On PACA website.                       C
    related to significant aspects of goods
    and services been developed and
    communication to suppliers and
    contractors?
    Emergency Preparedness and
    Response

    This section corresponds with
    element 4.4.7 of ISO 14001
1   Are there maintained procedures to                                                              C
    identify potential for accidents and
    emergency situations?

    (Emergency situations may be obvious or may
    not be in certain facilities. Emergencies may
    not exist in all situations but accidents can
    always happen. “Potential” can be
    ascertained by an analytical evaluation or a
    subjective one, but some evidence of evaluation
    is required.)
2   Are there maintained procedures to                      Emergency phone numbers not            C
    respond to accidents and emergency                        posted in Greenhouse.                  O
    situations and to prevent and
    minimize the environmental impacts




                                                              F-51
                        SAMPLE DOCUMENTATION
     that may be associated with them?
3    Are there reviews and revisions                                                            C
     (specifying frequently is not required) of the
     emergency preparedness and response
     procedures, particularly after an
     incident?

     (After an incident, there will be evidence of a
     review of the procedures.)

4    Are there periodic tests of the above                Some have been tested, others are     O
     procedures?                                           scheduled.

     (Tests may not be practical in all types of
     emergencies. Some tests may be simulations.)

Checking and Corrective Action
     Monitoring and Measurement

     This section corresponds with
     element 4.5.1 of ISO 14001
1    Are there documented and maintained                                                        C
     procedures to monitor and measure,
     on a regular (specified by the organization)
     basis, the key (to be determined by the
     organization but to be logically based)
     characteristics (variables such as
     temperature, pH, flow, % of contaminant, etc.)
     of its operations (e.g. process type tasks)
     and activities (e.g. testing and inspecting
     type tasks) that can have a significant
     impact on the environment?
2    Is there a calibration system for                    Storage tanks, Freon Leak Detectors   C
     monitoring equipment?
3    Does the organization maintain a                     Quarterly                             C
     documented procedure for
     periodically (the organization decides on the
     frequency) evaluating compliance with
     relevant environmental legislation and
     regulations?
     Non-Conformance and Corrective
     and Preventative Action

     This section corresponds with
     element 4.5.2 of ISO 14001
1    Are there maintainable procedures for                                                      C
     defining responsibility and authority
     for handling, investigating and taking
     action to minimize impacts of
     nonconformances?

     (Nonconformances are findings that are
     contrary to this standard or contrary to the
     organization’s own procedures. It is possible
     that a noncompliance to regulatory
     requirements may also indicate nonconformity
     to ISO 14001 or to the organization’s
     procedures.)
2    Are there maintainable procedures for                                                      C




                                                            F-52
                       SAMPLE DOCUMENTATION
    initiating and completing corrective
    and preventive action?
3   Are the corrective and preventive                                                     C
    actions taken appropriate to the
    magnitude of the problems and
    commensurate with the environmental
    impact found? (This is a judgment call.)
4   Are the results of the corrective and                  Will be recorded when          C
    preventive actions implemented and                      implemented.
    recorded?
    Records

    This section corresponds with
    element 4.5.3 of ISO 14001
1   Are there maintainable procedures for                                                 C
    the identification, maintenance, and
    disposition of environmental records?
    These records shall include (the
    standard does not exclude other records to be
    identified as “Environmental Records”)
    training (4.4.2), records and the results
    of audits (4.5.4) and reviews (4.6).
    (Records that are not specifically identified as
    “Environmental Records” but are part of the
    EMS still must follow the guidelines of 4.4.4
    and 4.4.5 of the standard.)
2   Are the records legible, identifiable                                                 C
    and traceable to the activity, product
    or service involved?
3   Are the records stored and maintained                  Paper and electronic copies.   C
    such that they are readily retrievable
    and protected against damage,
    deterioration or loss?
4   Are there documented specified                                                        C
    retention times for all of the records
    identified?
5   Are the records maintained in a                                                       C
    manner to demonstrate accordance
    with the standard and appropriate to
    the system and the organization?

    (e.g., Are the records consistent with the intent
    and content of this standard and yet
    appropriate for the size and type of
    organization?)
    Environmental Management
    System Audit

    This section corresponds with
    element 4.5.4 of ISO 14001

    (The standard does not refer to this sub-element
    as “an internal audit”. Therefore, it does not
    have to be performed by employees of the
    organization.)
1   Is there a maintainable procedure or                                                  C
    procedures for periodic (organization
    decides frequency) EMS audits?




                                                             F-53
                         SAMPLE DOCUMENTATION
    (The audits must be EMS audits, not
    compliance type audits. It is possible and
    acceptable to have compliance audits as part of
    the EMS audits.)
2   Does the procedure for EMS audits
    include:
         a. the scope of the audit (the                                                            C
               standard states that the plan and
               schedule shall be based upon
               environmental importance of a
               particular activity and the results of
               the previous audits);
         b.    frequency;                                                                          C
         c.    methodologies used (check                                                           C
               lists, etc.);
         d.    responsibilities (Auditors must          
               be properly qualified per 4.4.2 to                                                   C
               perform EMS audits.);                    
         e.    requirements; and,                                                                  C
         f.    reporting results? (To whom,                                                         C
               in what form, timeliness.)

    (The standard does not address independence
    of the auditor of the area audited. The
    registrar will expect independence enough to
    assure credibility by the auditor. This is a
    judgment call by the registrar’s auditor.)
3   Does the EMS audit determine                                                                   C
    whether the EMS has been
    implemented and maintained and
    conforms to this standard?

    (Is there an overall assessment of the
    organization’s EMS?)
4   Does the EMS audit provide results of                                                          C
    the audits to management? (for 4.6)
    Management Review

    This section corresponds with
    element 4.6 of ISO 14001
1   Has the top management performed a                         First Management Review is          O
    documented review of the EMS on a                           scheduled for early February 2002
    periodic (frequency is chosen by the
    organization) basis?
2   Does the review address:                                    Review not yet conducted.           O
         a. the system’s continued
               suitability;
         b. the system’s adequacy
         c. the system’s effectiveness
         d. the system’s possible need to
               change its policy;
         e. the system’s possible need to
               change its objectives and
               other elements of the EMS in
               light of the audit results,
               continual improvement, etc.;
               and,
         f. the system audit as required
               in 4.5.4?




                                                                 F-54
                    SAMPLE DOCUMENTATION




                       Management Review




Sample Management Review Procedure – Port of Houston Authority, Houston, TX
    Sample Management Review Quarterly Report – Jefferson County, AL




                                  F-55
                          SAMPLE DOCUMENTATION
                Procedure No 4.5.15                   Prepared by: EAD
                Effective Date: 1/23/02               Reviewed By: EMS Core Team
                Revision No. : 0                      Approved By: Wade Battles

                Signature & Date:


1.0   Policy Reference:

                 Provide and promote proactive environmental leadership and compliance in all business
                  decisions, pollution prevention, best management practices and policy programs, while
                  attaining the widest range of beneficial uses for the environment.

                 Continually evaluate and improve activities and practices to achieve our established goals of
                  meeting and/or exceeding all current Federal and State standards and regulations.

2.0   Purpose

      The purpose of this procedure is to document and develop a primary agenda of issues to be included
      in the Senior Management Review meeting for evaluating the status of the PHA’s EMS.

3.0   Scope

      This procedure applies to all Management Review meetings conducted at the PHA.

4.0   Responsibility & Authority

      4.1         Senior Management

                         Attend Senior Management Review meetings and provide feedback to the
                          Environmental Affairs Manager and the EMS Core Team.

      4.2         Director of Protection Services, Facilities, and Operations, and the Container Terminals
                  Manager

                         Attend Senior Management Review meetings, and provide feedback to the
                          Environmental Affairs Manager and the EMS Core Team.

      4.3         EMS Champions

                         Attend Senior Management Review meetings and assist the Environmental Affairs
                          Manager with discussion.

      4.4         EMS Core Team

                         Develop Agenda for the Senior Management Review meeting

      4.5         Environmental Affairs Manager



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                      SAMPLE DOCUMENTATION
                     Scheduling and conducting semi-annual management review meetings during each 12-
                      month period.

                     Ensuring all necessary data and other information are collected prior to the meeting.

5.0   Procedure

      The Senior Management Review process is intended to provide a forum for reviewing and/or
      improving the PHA’s EMS on a semi-annual basis, and to provide management with a vehicle for
      making any changes to the EMS necessary to achieve its goals.

      5.1    At a minimum, each Senior Management Review meeting will consider the following:

                     Suitability, adequacy, and effectiveness, of the environmental policy

                     Suitability, adequacy, and effectiveness of the PHA’s Objectives and Targets and the
                      status thereof;

                     Suitability, adequacy, and effectiveness of the PHA Environmental Management Plan
                      and Performance Indicators

                     Suitability, adequacy, and effectiveness of corrective and preventative action plans;

                     Suitability, adequacy, and effectiveness of any EMS audits conducted since the last
                      Senior Management Review meeting

                     Suitability, adequacy and effectiveness of training efforts; and,

                     Results of any action items from the previous Senior Management Review meeting.

                     Providing direction for changes needed to the EMS.

      5.1    Meeting minutes will be generated by the Environmental Affairs Department and will include,
             at a minimum the list of attendees, a summary of key issues discussed and any actions items
             arising from the meeting.

      5.2    A copy of the meeting minutes will be distributed to attendees and any individuals assigned
             action item. A copy of the meeting minutes will be retained on file in the Environmental
             Affairs Department.

6.0   Related Documents

      4.2.1           Environmental Policy
      4.3.13-14       Objectives and TargetsEnvironmental Management Plan
      4.4.11          Training, Competency and Awareness
      4.5.11          Corrective Action Procedure




                                                   F-57
                 SAMPLE DOCUMENTATION
                                       02/13/2002
EMS - Management                       7:30 AM
                                       General Services
Review                                 Conference Room
Including Quarterly Report to          Birmingham, AL 35203
Management

      Presented by: Bill Peters, EMR


Reference:

ISO 14001, Section 4.6 requires the following:

The organization’s top management shall, at intervals that it determines, review the Environmental
Management System (EMS), to ensure its continuing suitability, adequacy and effectiveness. The
management review process shall ensure that the necessary information is collected to allow
management to carry out this evaluation. This review shall be documented.

The Management Review shall address the possible need for changes to policy, objectives, and
other elements of the Environmental Management System, in the light of Environmental
Management System audit results, changing circumstances, and the commitment to continual
improvement.


I.    INTRODUCTION

The semi-annual review of our EMS by top management is an important component for ensuring
that we keep our commitment to continual improvement and for ensuring that the EMS is effective
in meeting our needs over time.

II.   SCOPE

The management review process is intended to provide a forum for discussion and improvement of
the EMS and to provide top management with a vehicle for making any changes needed to the
EMS.

III   REVIEW OF INTERNAL AUDIT RESULTS (Attached)

The Internal Audit conducted January 21-23 evaluated the conformance of the Jeffco EMS to the
requirements of ISO 14001. There were no major findings. However, five minor findings and five
observations, or suggestions for improvement, were documented.

This is the first in a continuing series of internal audits. Therefore, there were no outstanding
Preventive or Corrective Action Notices (PAN/CAN) to be evaluated during this audit.

The audit results reflect an ongoing need for management to emphasize that ISO 14001
conformance requires daily adherence to all our EMS procedures. ISO conformance depends on


                                             F-58
                   SAMPLE DOCUMENTATION
each individual employee and all levels of management understanding their roles and
responsibilities and working to implement and maintain the environmental management system.

       All areas audited displayed competency and professionalism.


IV     REGULATORY ASSESSMENT REPORTS (Attached)

       There are no known noncompliance issues related to the EMS at this time.

V      REVIEW OF OBJECTIVES AND TARGETS AND RELATED SIGNIFICANT ASPECTS
       (Attached)

VI     INTERESTED PARTY ISSUES

The Environmental Protection Agency (EPA) has announced its intention to select and provide
technical assistance for up to five existing not-for-profit organizations in order to increase their
capacity to assist public entities wishing to adopt environmental management systems (EMS). The
assistance provided to these organizations will include help with developing business plans,
providing EMS education materials, train-the-trainer work sessions on ways to address the needs
of public agencies, and other marketing services. These five Local Resource Centers will be tied
to the National Public Entity Environmental Resource (PEER) Center.

Jefferson County has applied to be designated as one of the Local Resource Centers. If selected,
we will partner with the Environmental Management Department at Samford University and with
the Birmingham Chamber of Commerce.

VII    REVIEW OF THE ENVIRONMENTAL POLICY

The Jefferson County General Services and Fleet Management Departments are dedicated to best
management practices in the allocation of public resources for the benefit of its citizens with an
ongoing commitment to continual environmental improvement through employee training,
prevention of pollution, and full compliance with all appropriate legal and other requirements.

VIII   ENVIRONMENTAL MONITORING AND MEASUREMENT DATA

       Monitoring and measurement data are maintained for the following:

             Fuel Tanks – No reported monitoring or measurement errors
             Freon Leak Detectors – No reported monitoring or measurement errors


IX     CONTINUING SUITABILITY OF THE EMS IN RELATION TO CHANGING
       CONDITIONS AND INFORMATION

             New or Modified Laws and Regulations
             Training Needs and Status of Training Requirements


                                              F-59
                SAMPLE DOCUMENTATION
            Technology Improvements
            Changes in Key Suppliers


Attachments:
    Nonconformance & Observation Report
    Regulatory Assessment Reports
    Progress Report of Objectives and Targets
    Positive Comments




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