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

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

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

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

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

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

6. Law – Directly Relevant Element of ISO 14001 (I) 4.3.2 Legal and other requirements The organization shall establish, implement and maintain a procedure(s), a) to identify and have access to the applicable legal requirements and other requirements to which the organization subscribes related to its environmental aspects, and b) to determine how these requirements apply to its environmental aspects. The organization shall ensure that these applicable legal requirements and other requirements to which the organization subscribes are taken into account in establishing, implementing and maintaining its environmental management system. 

7. EMS - Regulations & Legislation 

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

10. Law – Directly Relevant Element of ISO 14001 (II) 4.5.2 Evaluation of compliance 4.5.2.1 Consistent with its commitment to compliance, the organization shall establish, implement and maintain a procedure(s) for periodically evaluating compliance with applicable legal requirements.The organization shall keep records of the results of the periodic evaluations. 4.5.2.2 The organization shall evaluate compliance with other requirements to which it subscribes. The organization may wish to combine this evaluation with the evaluation of legal compliance referred to in clause 4.5.2.1 or to establish a separate procedure(s). The organization shall keep records of the results of the periodic evaluations. 

11. Why 4.5.2 Assessment of Legal requirements Fails HAPHAZARD No Procedure Management dont ask for results at M. Review INEFFECTIVE not detailed enough Done during audit Assessor not conversant in laws 

12. The Certification Body Approach to 4.5.2 With regard to the above element ;- The organisation should normally be required to notify the Authority of any permit breaches. Failing to notify the authorities will result in a major non-conformity by a competent certification body If a legal non-compliance is identified, the organisation should document this within the EMS, initiate dialogue with the relevant authorities through it’s communication processes and implement a plan to achieve compliance. By ignoring this element of ISO 14001 within the EMS, the onus falls on the certification body to issue a major non-conformance.. and require the organisation improve it’s legal compliance 

13. Exercise – Identify the Elements of ISO 14001 (I) 1. Emission monitoring shall be carried out for ammonia and hydrogen sulphide. The results shall be forwarded to the Regulator within 1 week of the first day of January, April, July and October 2. Visual and olfactory assessments shall be made once a day and according to a procedure during the process operation at the locations marked A, B, C and D on the plan referenced SPC 1/2006 3. The results of the assessments carried out in accordance with Condition 11 shall be recorded in a log book. The entry shall show the name of the person appointed to undertake the assessment, the time and date, wind conditions and an indication of the subjective strength and nature of any odour detected. 4. A clearly designated area shall be provided for the receipt and storage of raw material. Vehicles and containers shall only be emptied in this area and then shall be thoroughly cleaned in a designated cleaning area as soon as possible after completion of the delivery. 

14. Exercise – Identify the Elements of ISO 14001 (II) 5. All drums used for solvent storage shall be kept securely lidded. 6. The process operator shall by 1st April submit to the Head of Environmental Health Services, The District Council details of the organisational structure, numbers of personnel and the appropriate designations within the structure for ensuring compliance with this Authorisation. 7. A comprehensive written cleaning schedule that covers all aspects of the prescribed processes shall be produced and implemented. Details of the schedule shall be maintained at the process site and shall be available for inspection by an authorised officer of the The District Council. 8. All areas involved in storage of liquid materials in bulk containers greater than 205Lts must have secondary containment in the form of concrete walls and floors and be capable of containing 115% of the total maximum volume of the vessel. 

15. Exercise – Identify the Elements of ISO 14001 (III) 9. All complaints made directly to the company must be recorded and actioned. The record shall include the time and date, the nature of the complaint and details of any action taken. The log book shall be kept available in identified files for inspection by an authorised officer of The District Council. 10 The process operator shall provide written evidence by 1st April that a programme has been implemented to ensure staff at all levels have received the necessary formal instruction commensurate with their duties. Copies of records of such instruction shall be maintained and forwarded to the Head of Environmental Health Services, The District Council within 2 weeks of the 1st of April each year. 11. Regular drills should be conducted with regard to minimising and eliminating the effects of significant spills and other identified emergency situations 12. Management shall ensure that systematic checks are carried out to ensure that all the requirements of this permit are being complied with. Any deficiency identified through the examination of records, reports, communications, interviews with staff and operators are corrected within a prescribed timescale. 

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