ISO 14001ISO 14001Section 4.3.1 Section 4.3.1

Environmental AspectsEnvironmental Aspects

Julie Woosley, NC DPPEA

Coordinator, EMS

Development Course

for Government Agencies

Novozymes facility

Franklinton, NC

October 9, 2001

4.3.1 Environmental Aspects4.3.1 Environmental Aspects

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

The organization shall keep this information upThe organization shall keep this information up--toto--date.”date.”

Core Elements of EMSCore Elements of EMS

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

Definition of Aspect / ImpactDefinition of Aspect / Impact

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

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

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

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

Aspect and Impact ExampleAspect and Impact Example

Natural resource Natural resource depletiondepletion

Water Water consumptionconsumption

Water pollutionWater pollutionBoiler Boiler blowdownblowdown

Natural resource Natural resource depletiondepletion

Fuel Fuel consumptionconsumption

Air pollutionAir pollutionAir emissionsAir emissionsBoiler Boiler OperationsOperations

ImpactImpactAspectAspectActivity, Activity, Product, Service Product, Service

Step OneStep One

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

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

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

Purpose and ImplicationsPurpose and Implications

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

Purpose and ImplicationsPurpose and Implications

The evaluation of environmental aspects The evaluation of environmental aspects and their associated impacts should be and their associated impacts should be primarily “primarily “fencelinefenceline” issues.” issues.–– 3.12 Definition of organization will establish 3.12 Definition of organization will establish

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

Purpose and ImplicationsPurpose and Implications

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

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

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

Purpose and ImplicationsPurpose and Implications

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

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

Step TwoStep Two

Identify Aspects / ImpactsIdentify Aspects / ImpactsSelect an activity, a product or service.Select an activity, a product or service.Identify as many environmental aspects as Identify as many environmental aspects as possible associated with the selected possible associated with the selected activity.activity.Identify as many actual and potential, Identify as many actual and potential, positive and negative, environmental positive and negative, environmental impacts associated with each identified impacts associated with each identified aspect.aspect.

Example Aspect / Impact FormExample Aspect / Impact Form

Activity Environmental Aspect Env. Impact Check if Control

Inputs OutputsPositive Impact

Controls in place

(yes/no)

Can controls be improved

(yes/no/maybe) Comments Rating

#1

See Aspects Codes See Impacts Codes

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

Identifying Aspects of ActivitiesIdentifying Aspects of Activities

ActivityOutputs:Finished productExhaustWaste products

Inputs:Raw materialElectricityWater

Identifying Aspects and ImpactsIdentifying Aspects and Impacts

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

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

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

»» energy, water, chemicals, lumber, etc.energy, water, chemicals, lumber, etc.

–– Local environmental / community issuesLocal environmental / community issues»» noise, odor, land use, appearance, etc. noise, odor, land use, appearance, etc.

Sources of informationSources of informationprocess flow diagramprocess flow diagraminput/output (mass balance)input/output (mass balance)regulatory reportsregulatory reportsutility billsutility billsQC information (defects, product changes)QC information (defects, product changes)waste hauling recordswaste hauling recordspurchasing receiptspurchasing receiptsrecords of external communicationrecords of external communication

Aspects and Impacts Aspects and Impacts -- FeedbackFeedback

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

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

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

Step ThreeStep Three

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

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

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

2)2) Establish a rating scheme for the factors of Establish a rating scheme for the factors of significancesignificance

Factors to ConsiderFactors to ConsiderEnvironmental Concerns such as:Environmental Concerns such as:–– The scale of the impactThe scale of the impact–– The severity of impactThe severity of impact–– The probability of impactThe probability of impact–– Duration of impactDuration of impact

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

Example Rating SchemeExample Rating Scheme

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

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

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

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

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

Low (1):Low (1): neverneverMedium (2):Medium (2): sometimessometimesHigh (3):High (3): OftenOften

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

Low (1):Low (1): Issue not regulatedIssue not regulatedMedium (2):Medium (2): Violation or possible fineViolation or possible fineHigh (3):High (3): Criminal ActionCriminal Action

Legal Liabilities:Legal Liabilities: Is the aspect Is the aspect regulatedregulated

Rating SchemeRating SchemeSignificance CriteriaSignificance Criteria

Example Significance MatrixExample Significance Matrix

YesYes2.752.7533332233Spills to Spills to land or land or water water

Use of Use of Strong Strong AcidsAcids

NoNo1.501.5011222211Air Air pollution pollution ((NoxNox))

Natural Natural GasGasUseUse

NoNo1.501.5022221111Resource Resource depletiondepletion

Natural Natural GasGasUseUse

NoNo1.751.7511223311Resource Resource depletiondepletion

Water Water useuse

Dissolve Dissolve MineralMineralOreOre

SignificanceSignificance(OSR>2.5)(OSR>2.5)

OSROSRSeveritySeverityFrequencyFrequencyPublic Public ConcernConcern

Legal Legal LiabilityLiability

ImpactImpactAspectAspectActivity, Activity, Product, Product, ServiceService

Dames and MooreDames and MooreSignificance DeterminationSignificance Determination

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

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

implementationimplementation

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

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

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

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

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

C o n se q u e n c e s C a te g o r ie s : ( in c r e a s in g s e v e r ity f r o m 1 to 4 )C a te g o ry R is k D e s c r ip tio n

2 m a r g in a l P r o c e s s S a fe ty a n d P r o d u c t/p r o c e s s tr a n s it io n :M in o r in ju ry , m in o r p u b lic h e a lth e ffe c ts , m in o ro c c u p a tio n a l i lln e s s , m in o r e n v iro n m e n ta l d a m a g e ,m in o r d a m a g e to sy s te m o r e q u ip m en t, m in o rp ro d u c t io n o r p ro d u c t lo s s .

IS O 1 4 0 0 0 s ig n if ic a n c e d e te r m in a tio n :N o rm a l o p e ra t io n s q u a n ti ty a n d to x ic i ty : M in o rE n v iro n m en ta l e ffec ts : M in o r lo c a l e n v iro n m en ta lim p a c t , n o o ffs i te en v iro n m e n ta l im p a c t (s e e T a b le 1 .fo r d e te rm in a t io n ) . M in o r p u b lic h e a lth e ffe c ts : M in o rem p lo y e e im p a c t , n o c o m m u n ity im p a c t (see T a b le 1 .fo r d e te rm in a t io n ) .

A b n o rm a l/E m erg en c y o p e ra t io n s : M in o ren v iro n m en ta l e ffec ts : P o ten tia l fo r sp i ll o r re le a se toh a v e m in o r s i te im p a c t . M in o r p u b lic h e a lth e ffe c ts :P o ten t ia l fo r sp i ll o r re le a se to h a v e m in o r em p lo y eeim p a c t .

J o b H a z a r d A n a ly s is : M in o r o c c u p a t io n a l h e a lth o rsa fe ty im p a c t . E x p o su re m a y re su lt in m in o r in ju ry o ri lln e s s (s c ra tc h /b ru ise ; m in o r c u ts / la c e ra t io n s ; m in o r o rb r ie f i lln e s s ) .

C onsequences C ategories: (increasing severity from 1 to 4 )C ategory R isk D escription

3 critica l P rocess Safety and P roduct/process transition: In ju ry topub lic or em ployees, m oderate pub lic health effects, m oderateoccupational illness, m ajor environm ental dam age, m ajordam age to system or equ ipm ent, substan tia l p roduction orp roduct loss.

ISO 14000 sign ificance determ ination:N orm al operations quan tity and toxic ity: M oderateenvironm ental effects: M ajor local environm ental im pact, m inoroffsite environm ental im pact (see Tab le 1 . for determ ination ).M oderate pub lic health effects: M ajor em ployee im pact, m inorcom m unity im pact (see Tab le 1 . for determ ination).

A bnorm al/E m ergency opera tions: M oderate environm en taleffects: Poten tia l for sp ill or release to have m ajor site im pact.M oderate pub lic health effects: Poten tia l for sp ill or release tohave m ajor em ployee im pact and m inor to m oderate com m unityim pact.

Job H azard A nalysis: M oderate occupational health or safetyim pact. E xposure m ay resu lt in in ju ry or illness requ iringsign ifican t m ed ical in terven tion (m ajor lacera tion ; frac tu res;crushed finger/toe; serious or extended illness.

C o n seq u en ces C a teg o r ie s: (in crea sin g sever ity fro m 1 to 4 )C ateg ory R isk D escr ip tio n

4 C a ta s-tro p h ic

P ro cess S a fe ty a n d P ro d u ct/p ro cess tra n sitio n : D eath ,severe p u b lic h ea lth effec ts , severe occu p a tion a l illn ess,severe d am age to th e en v iron m en t, lo ss o f system oreq u ip m en t, severe p rod u c tion o r p rod u c t lo ss .

IS O 1 4 0 0 0 sig n if ica n ce d eterm in a tio n :N orm al op era tion s q u an tity an d tox ic ity: S evereen v iron m en ta l effec ts : M a jo r reg ion a l en v iron m en ta lim p ac t (see T ab le 1 . fo r d eterm in a tion ). S evere p u b lich ea lth effec ts: M ajo r em p loyee im p ac t, m a jo r com m u n ityim p ac t (see T ab le 1 . fo r d eterm in a tion ).

A b n orm al/E m ergen cy op era tion s: S evere en v iron m en ta leffec ts : P o ten tia l fo r sp ill o r relea se to h ave m a jo rsite /o ffs ite im p ac t su ch as ecosystem d egrad a tion o rfa ilu re. S evere p u b lic h ea lth effec ts : P o ten tia l fo r sp ill o rrelease to h ave m a jo r s ite /o ffsite h ea lth effec ts su ch asd ea th , acu te o r ch ron ic illn ess.

J o b H a za rd A n a ly sis: M ajo r occu p a tion a l h ea lth o rsa fety im p ac t. E xp osu re m ay resu lt in severe in ju ry o rilln ess req u irin g m ajo r m ed ica l in terven tion (am p u ta tion s;c ru sh ed lim b s; p ro lon ged o r p erm an en t h ea lthd eb ilita tion ; lo ss o f s ign ifican t life fu n c tion .

Frequency Categories (increasing likelihood from A to D)

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

Potential for exposure is unlikely during employee lifetime(JHA)

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

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

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

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

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

(JHA)

Risk Matrix

Frequencycategory

Consequence Category

1Negligible

2Marginal

3Critical

4Catastrophic

(D)Frequent

1D 2D 3D 4D

(C)Occasional

1C 2C 3C 4C

(B)Infrequent

1B 2B 3B 4B

(A)Improbable

1A 2A 3A 4A

R is k /H a z a r d R a n k in g C a t e g o r ie s

I V 3 D , 4 C , 4 D U n a c c e p ta b leo r

S ig n i f ic a n t ( I S O1 4 0 0 1 )

S h o u ld b e m it ig a te d w ithe n g in e e r in g a n d /o r

a d m in is tr a t iv e c o n tr o ls to ar is k r a n k in g o f I I I o r le s s a s

q u ic k ly a s i s f e a s ib le .I I I 2 D , 3 C , 4 B U n d e s ir a b le

o rS ig n i f ic a n t ( I S O

1 4 0 0 1 )

S h o u ld b e m it ig a te d w ithe n g in e e r in g a n d /o r

a d m in is tr a t iv e c o n tr o ls to ar is k r a n k in g o f I I I o r le s s

w ith in a s p e c i f ie d t im ep e r io d ( s u c h a s 3 - 1 2

m o n th s ) .I I 1 D , 2 C , 3 B ,

4 AA c c e p ta b le w ith

c o n tr o lso r

N o t S ig n if ic a n t( I S O 1 4 0 0 1 )

S h o u ld b e v e r i f ie d th a tp r o c e d u r e s o r c o n tr o ls a r e

in p la c e .

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

A c c e p ta b le a s i so r

N o t S ig n if ic a n t( I S O 1 4 0 0 1 )

N o m it ig a t io n r e q u ir e d .

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

City of Gastonia, NCCity of Gastonia, NC

City of Charleston, SCCity of Charleston, SC

City of Scottsdale, AZCity of Scottsdale, AZ

Additional ResourcesAdditional ResourcesISO 14004ISO 14004See DPPEA websiteSee DPPEA website

http://www.p2pays.org/http://www.p2pays.org/isoiso/index./index.htmhtmRefer to Alcoa and Refer to Alcoa and Uniroyal Uniroyal Chemical Co. Chemical Co. EMS Manuals on our website, others: EMS Manuals on our website, others: http://www.p2pays.org/iso/tools/manuals.htmhttp://www.p2pays.org/iso/tools/manuals.htm

Coaches Coaches –– ask if you would like help on ask if you would like help on aspect/impact identification and rankingaspect/impact identification and rankingRoad mapsRoad maps

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

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

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

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

–– Write the proceduresWrite the procedures

Exercise: Determining SignificanceExercise: Determining Significance

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

Vote on three eachVote on three each

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

BBe enthusiastic e enthusiastic AAttend all coursesttend all coursesCComplete homework and bring to courseomplete homework and bring to courseKKeep in touch with your coacheep in touch with your coachPPersevereersevereAAsk for helpsk for helpBe Be CCreativereativeKKeep developing your EMS between eep developing your EMS between course meetings and after the course endscourse meetings and after the course ends

EMS Team Members: EMS Team Members: Add some Add some WATER WATER to your backpacks!to your backpacks!WWillingness illingness -- to learn and participateto learn and participate

AAgenda genda -- so everyone is preparedso everyone is prepared

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

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

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

Road MapsRoad MapsDon’t go hacking through the jungle, Don’t go hacking through the jungle, follow the Yellow Brick Roadfollow the Yellow Brick RoadSee Guides See Guides –– Online ResourcesOnline Resources

IEMSIEMSImplementation Guide for Small and MediumImplementation Guide for Small and Medium--Sized BusinessesSized BusinessesEnvironmental Aspects Identification Environmental Aspects Identification –– activities activities list (fishbone diagram) list (fishbone diagram) –– Suzanne Suzanne SessomsSessoms, , August 28August 28Gap analysis (initial environmental review) See Gap analysis (initial environmental review) See GEMI handout GEMI handout –– John BurkeJohn Burke

Homework AssignmentHomework Assignment

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

Complete identification of aspects and Complete identification of aspects and impactsimpactsRank aspects and impactsRank aspects and impactsDetermine significant aspects and impactsDetermine significant aspects and impacts

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

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

OnOn--line Resourcesline ResourcesYour Coach Your Coach –– ask them to help you!ask them to help you!DPPEA StaffDPPEA StaffDPPEA’sDPPEA’s free EMS trainingfree EMS trainingDPPEA’sDPPEA’s free, nonfree, non--regulatory waste assessmentsregulatory waste assessments