Washington State Department of Ecology An Environmental Management System Alternative to Pollution Prevention Planning

1. Washington State Department of Ecology • An Environmental Management System Alternative to • Pollution Prevention Planning • EMS – Monitoring & Measuring • November 5, 2012 • 2012 -2013 Webinar Series Partners: • National Pollution Prevention Roundtable • Stewardship Action Council • The Auditing Roundtable

2. 2012 -2013 Webinar Series Overview • Introduction to EMS – National Pollution Prevention Roundtable September 25, 2012 • Introduction to Ecology’s EMS Program • EMS Overview • ISO14001 Gap Analysis Tool • Introduction to EMS – Part 2 National Pollution Prevention Roundtable October 16, 2012 • Ecology’s EMS Program • Toxics Reduction Overview • Objectives & targets

3. 2012 -2013 Webinar Series Overview • EMS Implementation Part I – Stewardship Action Council (November 5, 2012) • Monitoring & Measurement • EMS Implementation Part II – Stewardship Action Council (December 4, 2012) • Communications & Engagement • Ecology EMS Guidance

4. 2012 -2013 Webinar Series Overview • EMS Auditing Session I - The Auditing Roundtable (January/February 2013) • Preparing for and Conducting EMS Audits • Understanding EMS Auditing • EMS Auditor Qualifications • Pre-Audit Planning & Preparation • Conducting the EMS Audit • Ecology EMS Guidance • EMS Auditing Session II - The Auditing Roundtable (March/April 2013) • Audit Reporting, Evaluations and Management Review

5. Ecology EMS Alternative • Provides flexible approach to P2 planning. • Meets RCW 70.95C; Chapter 173-307 WAC requirements • Work with Ecology to demonstrate operating EMS is in place.

6. EMS Alternative Process • Work with regional Ecology staff at earliest opportunity. • Submit request describing how EMS meets P2 planning criteria. • Submit EMS documentation for regional staff review & collaboration.

7. EMS Alternative Process • Host an Ecology EMS Site Visit. • Conduct Facility Periodic Assessment (at least once every five years – 3 years recommended. • Submit annual progress report via TurboPlan or e-mail supporting materials to regional staff.

8. Ecology’s Pollution Prevention Criteria 2.1 Pollution Prevention Policy 2.2 Implementation 2.3 Monitoring & Measurement

9. DRAFT

10. DRAFT – EMS Checklist

11. Environmental Management Systems Training (EMS):Monitoring and Measuring Presented by Stewardship Action Council Anne Vogel-Marr, Executive Director Charlotte Valentine, Program Manager

12. Content • Introduction • Review • Characteristics of an EMS • Basic Management System Framework • Operational Controls • Monitoring and Measuring

13. Stewardship Action Council • Who we are • Coalition of diverse stakeholders, including industry, state government, NGO community, social investment groups and academia • What we do • Drive and recognize sustainable performance though • Webinars • Sharing of ideas • Creation of a learning network • Promoting the accomplishments of our members • Regional collaborative partnerships • Design and implementation of a sustainability index

14. Your Role In EMS • Employees should understand all elements of your system and how they work together • Each part of the EMS system is dependent upon the other parts functioning as intended. • Failure of one part of the system can result in failure of the system as a whole. • The role each person plays is absolutely critical.

15. Purpose Why have an EMS? External drivers, as well as internal ones, dictate the need for an EMS program. Assist in maintaining compliance Drive continuous improvement Replace P2 Planning in the state of Washington

16. What happens when you do not have a system in place? Reactive response to problems Recurring problems Overwhelmed “specialists” Inability to capitalize on opportunities to improve environmental performance Reinventing the wheel; inefficiency. Changes can cause upsets and compliance problems Problems such as these can be fixed, but without a system in place, they will likely reoccur again and again.

17. How would you recognize an organization with a strong EMS?

18. The Four Elements of an EMS: Cycle for Continuous Improvement Management systems are similar whether you are managing environmental issues, finance concerns, safety, or any other business issue. In addition to the policy, they consist of four critical elements: • Review • Plan • Management Review • Site Activities (Aspects) and Impacts • Legal and Other Requirements • Objectives and Targets • Management of Change • Check, Correct & Prevent • Implement • Monitor &Measure • Corrective & Preventative Actions • Self-Assessment Process • Roles and Responsibilities • Design, Construction & Operational Controls • Training, Awareness & Compliance • Communication • Community Outreach & Stewardship • Documentation & Record keeping

19. EMS Example Toolbox • 1. Policy • EMS Overview • EMS Expectation • EMS How to Manual • EMS Gap Analysis Checklist • Reference Materials • Review • 2.1. Aspects &Environmental Impacts • 2.1.1. Aspect/Impact Procedure • 2.1.2. Sample A/ I Matrix • 2.2. Legal & Other Regulations • 2.2.1. Sample Compliance Calendar • 2.2.2. Key Regulatory Dates List • 2.2.3. Construction Air Schedule • 2.2.4. Sample Compliance Matrix • 2.2.5. SF6 Emission Reduction Partnership • 2.3. Objectives & Targets • 2.3.1. Sample Objective/Target Template • 2.4. Management of Change • 2.4.1. Sample MOC Program • 2. Plan • 5.1. Management Review • 5.1.1. Management Review Agenda • 5.1.2. Management Review Guidance • 4. Check, Correct & Prevent • 3. Implement • 3.1. Management Controls • 3.1.1. Sample Procedures • 3.1.2. MSD PRO • 3.1.3. Sample Plans • 3.2. Contractor/Vendor Management Controls • 3.2.1. Waste Management Vendor Audit Program • 3.3. Technical Operational Controls • 3.3.1. PS Support • 3.3.2. Chemical Unloading Guidance • 3.3.3. Chemical Preapproval Guidance • 3.3.4. Vendor Spec’s for CEMS • 3.4. Roles & Responsibilities • 3.5. Training, Awareness & Competence • 3.5.1. Training Programs • 3.5.2. Sample Training Matrix • 3.6. Communication • 3.6.1. Key Sample Letters • 3.7. Community Outreach & Stewardship • 3.7.1. PLT Overview • 3.8. Documentation & Recordkeeping • 4.1. Monitoring Management Processes • 4.2. Incident Reporting & Investigation • 4.2.1. Root Cause Guidance • 4.3. EMS Self-Assessment • 4.3.1. EMS Checklist • 4.3.2. EMS Protocol • 4.4. Corrective Actions • 4.4.1. Non-conformance Tracking Template

20. Process for Developing an EMS Define Roles and Responsibilities Analyze Environmental Aspects Review Franchise Manual and Environmental Policy Define Procedure Format and Approval Process Determine Controls Needed Identify Training Needs Create Compliance Matrix Create Procedures and Controls Set Annual Training Schedule Define Records and Who Keeps Emission Limit Operating Practice Provide Training Create Compliance Calendar Recordkeeping Label and Sort Requirements by Type: Monitoring Create Management of Change Procedures Annual Review/Update Reporting Create Emergency Response Plan(s) Training If Change…Then Create Incident Investigation Procedure If Incident…Then Document Approach in SEMP

21. Implementing and Monitoring Controls “How We Do What We Do” Implementing Controls - operational controls we use for maintaining compliance, minimizing risks, and achieving our goals.

22. Implementing Controls Identify risks (A/I Assessment) • For each risk, determine: • Control or influence? • What would be impacted? • Seriousness of impact? • Likelihood of impact? • For each risk, identify the controls you have in place • Note where controls are missing and may be needed • Note where controls may be inadequate

23. Identifying Controls for Operational Impacts

24. Implementing Controls For controls that are missing or inadequate: • Prioritize your efforts by starting with the most serious risk sources first • If control is inadequate, improve it • If control is missing and needed, implement it • Do not over control • Often the simple controls work best • Talk to your employees • Employees will know what is working and not working and are a great source of ideas for fixes • Track the creation of the controls and follow through

25. Implementing Controls Questions to consider when implementing controls: • How are we going to ensure this task is accomplished? • Do we need records validated completion? • How will you manage your documents? • How to ensure they are current, legible, accessible, etc.? • How long should records be kept? • Have we adequately communicated our expectations to the responsible individuals? • Have roles and responsibilities been adequately defined? • Who should be responsible to complete this task? • Are they trained? • Do they have the resources necessary? • Is there a back up if they are unavailable? • Hero vs. champion • Your system is EVERY employees job • Plan for change • In personnel, operational requirements (a new process) and permitting requirements

26. Monitoring and Measuring BENEFITS

27. Monitoring and Measuring Information about things that are not working within the system comes from many sources, such as: Routine inspections/monitoring Facility “walk-around” Compliance audits EMS audits Regulatory agency inspections Accident investigations Critique after an emergency response drill Management review

28. Monitoring and Measuring Getting Started Clearly define your needs. While collecting meaningful information is clearly important, resist the urge to collect data “for data’s sake.” Start with a relatively simple monitoring and measurement process, then build on it as you gain experience with your EMS. Step 1

29. What should be monitored or measured?

30. Monitoring and Measuring Operational Procedures • Evaluating the System: • Sample procedures to verify effective implementation. Start with most critical. Look for periods where changes occur in routine, e.g. responsible individuals sick, on vacation, etc.

31. Monitoring and Measuring Operational Procedures • Key questions to consider when evaluating the system: • What procedures/controls are needed to manage and minimize significant environmental impacts of activities, including those not regulated (e.g., energy use, solid waste generation or recycling)? • What procedures or programs have already been established to control and manage environmental aspects with associated impacts? • When a procedure is not implemented as required, what is the root cause (e.g., delegation of authority, training, activity conducted but not recorded)? • Based on the cause, what system-based resolutions is require to prevent re-occurrence?

32. Monitoring and Measuring Operational Procedures • Questions to consider when operational activities are conducted without procedures: • Is there a consistent understanding of how things are supposed to work? • Are there other “checks and balances” in place, such as training, checklists, routine inspections that confirm it is occurring? • Does evidence show that the activity is occurring consistently, i.e, is there a performance problem? • If a key responsible person won the lottery and skipped town, would the system continue to function?

33. Monitoring and Measuring Operational Procedures Common System Failures in Operational Procedures and Activities Compliance requirements have not been translated into clear guidance for operators so much of the knowledge is in the head of one or two people. Systems are not in place to ensure consistent reporting to regulatory agencies so reports are filed late, notifications are not made when there are releases, etc. Procedures exist but they are not current and are not used by employees in practice. Routine verification is not conducted, so adherence to procedures wans Changes not caught

34. Monitoring and Measuring Contractor Activities Evaluating Contractor Activities: • Observe a contractor executing a procedure driven activity • Select a sample of contractors who have worked on site • How were environmental requirements • Incorporated into the contract? • Communicated to contractors? • How is performance evaluated? • Interview employees and review incident logs to verify if there have been any incidents where contractors are not following environmental requirements. Research these incidents to understand the root cause.

35. Monitoring and Measuring Contractor Activities • Questions to consider: • How do you ensure that vendors are complying with environmental contract requirements and certifications (examples of vendors: chemical suppliers, waste management service providers, and labs)? • How do you communicate environmental expectations to contractors/vendors working on site?

36. Monitoring and Measuring Contractor Activities Common System Failures in Contractor Selection and Use Environmental risks are not routinely considered during contractor selection. Environmental expectations of contractors are not communicated to contractors. Responsibilities for overseeing contractors working on site are not well defined or managed.

37. Monitoring and Measuring Employee Roles and Responsibilities Roles and Responsibilities • Determine if key individuals have designated backups for their responsibilities, and if these individuals are knowledgeable of this designation and familiar with the requirements to complete it. • Have people received proper training in the areas for which they have responsibility? • If there is a performance problem, is it due to confusion about who was responsible? • (Potentially ties to Training and Awareness, Operational Control, Monitoring and Measurement)

38. Monitoring and Measuring Employee Roles and Responsibilities • Questions to Consider: • Are roles and responsibilities of key staff on site who manage environmental issues clearly defined? • Are designated backups assigned? • How are people made aware of their responsibilities? • How are individuals held accountable for carrying out their assigned responsibilities, e.g., performance reviews, consequences/rewards based on performance? • What roles do the management team play in reinforcing the importance of environmental management? • Are resources (people required, specialized skills, technology, or financial) adequate? • Has a management representative been designated with responsibility to oversee implementation of the EMS and report on progress to top management?

39. Monitoring and Measuring Employee Roles and Responsibilities • Common System Failures in Employee Roles and Responsibilities: • Roles and responsibilities have not been clearly defined and/or documented. • One key person is responsible for many environmental activities and no backup for them is designated. • Responsibilities are defined but people are not held accountable for carrying them out. • Non-management personnel have been assigned management responsibilities, but lack authority required, e.g., cannot budget resources or do not have the organizational clout to affect action. • Resources required to perform specific tasks required to implement the EMS have not been provided.

40. Monitoring and Measuring Documentation and Recordkeeping • Questions to Consider: • How are documents created, reviewed for approval, and kept current? • What is the procedure for creation, review, and maintenance? • What determines the frequency of the review and revisions? • How do you ensure that the most current version of environmental documents, such as procedures, are available to those who may need to reference them? • Are obsolete documents that are retained for legal and/or knowledge preservation purposes identified? • Who has responsibility for maintaining environmental records? Is there a back-up? • How do you ensure that you keep records for the retention times required by regulations or company policy?

41. Monitoring and Measuring Documentation and Recordkeeping The Key Document to Have - The EMS Manual A “road map” or description that summarizes how the pieces of the EMS fit together. This roadmap generally takes the form of an EMS manual. • Explains how your organization implements the EMS criteria • While you don’t need to maintain a single “manual” that contains all of your EMS documentation, you should maintain a summary of the EMS that: • Describes the system’s core elements (and how the elements relate to each other), and • Provides direction to related documentation.

42. Monitoring and Measuring Documentation and Recordkeeping • PURPOSE 3 • SCOPE 3 • OVERVIEW 3 • 1.0Environmental Policy 4 • 1.1. Policy Statement 4 • 2.0Plan 5 • 2.1. Aspects & Environmental Impacts 5 • 2.2. Legal & Other Requirements/Commitments 5 • 2.3. Objectives and Targets 6 • 2.4. Management of Change 8 • 3.0Implement 8 • 3.1. Management Controls 8 • 3.2. Roles and Responsibilities 11 • 3.3. Training, Awareness, and Competence 11 • 3.4. Communication 12 • 3.5. Community Outreach and Stewardship 13 • 3.6. Documentation and Recordkeeping 13 • 4.0Check, Correct, and Prevent 14 • 4.1. Monitoring and Measuring 15 • 4.2. Audit/Assessment Process 15 • 4.3. Corrective and Preventive Actions 15 • 5.0Review 16 • 5.1. Environmental Management System Review 16 Corporate EMS Manual

43. Monitoring and Measuring Documentation and Recordkeeping RECORD OF CHANGES SUMMARY iii Plant Site Environmental Management Plan Approval iv 1.0 INTRODUCTION 1 1.1 Mission Statement 1 1.2 Management Organization and Responsibilities 2 1.3 ISO 14001 Overview (OPTIONAL) 2 2.0 FACILITY INFORMATION AND ENVIRONMENTAL RESOURCES 3 2.1 Facility Description and Environmental Characteristics 3 2.2 Site-Level Business and Operating Plans (current year) 3 3.0 ENVIRONMENTAL COMMITMENTS 5 3.1 Permitting Process 5 3.2 Major Permits, Licenses, Authorizations, and Commitments 5 3.3 Regulatory Tracking 5 4.0 ENVIRONMENTAL MANAGEMENT SYSTEM (EMS) 6 4.1 Overview 6 4.2 Aspects/Impacts 6 4.3 Site-level Procedures 7 4.4 EMS Targets/Objectives 7 4.5 Self-Assessment Program and Schedule 7 4.6 Additional EMS Components 7 5.0 ENVIRONMENTAL EXCELLENCE 8 5.1 Annual Environmental Incentive Goals 8 5.2 Pollution Prevention (P2) Goals 8 5.3 Incentives/Discipline 8 5.4 Environmental Stewardship 8 6.0 TRAINING AND COMMUNICATION 8 6.1 Training 8 6.1.1 Mandated Compliance Training 8 6.1.2 Site Environmental Awareness Training 9 6.2 Communicating Onsite 9 6.3 Communicating Externally 9 7.0 INSPECTIONS AND ENFORCEMENT 9 7.1 Regulatory Inspections 9 7.2 Response to Environmental Enforcement Actions 9 Facility EMS Manual 7.3 Regulatory Point of Contact List 10 7.4 Emergency Response (ICP) 10 8.0 ADMINISTRATION AND RECORDKEEPING 10 8.1 Training Records 10 8.2 Document Management 10 8.3 SEMP Administration 10 8.4 Management Review 10 Table of Contents (continued)

44. Monitoring and Measuring Documentation and Recordkeeping Other EMS Documentation • Your Policy • Your environmental policy • Your organizational structure and key responsibilities a description or summary of how your organization satisfies EMS requirements • How do we identify environmental aspects? • How do we control documents? • How do we comply with legal requirements? • System-level procedures (e.g., procedure for corrective action) • Activity or process-specific procedures / work instructions • Other important documents such as emergency response plans, training plans, etc.) EMS documentation describes what your system consists of (i.e., what you do and how you do it), while EMS records demonstrate that you are doing what the documentation said you would do.

45. Monitoring and Measuring Documentation and Recordkeeping Evaluation of Documentation: • Look for evidence of current versions of documents, e.g., are there outdated emergency plans in control rooms? • Review a sample of various EMS documents and determine if they are: • Legible • Dated (with dates of revision) • Readily identifiable • Maintained in an orderly manner • Retained for a period specified in the document control procedure • Updated, as appropriate, based on changes to the facility, or corrective action feedback. • Identify a recent change that would have required a change to a document such as a procedure and see if it was made • Training required? Completed?

46. Monitoring and Measuring Documentation and Recordkeeping Evaluation of Recordkeeping: • Collect sample data and records of key systems for which records should be maintained and determine if: • Records are legible • Traceable to an activity? • Retrievable? • Protected against damage or loss? • Retention times established? • Are changes reflected? • Check to see if Training Records for key individuals with EMS responsibilities demonstrate consistency against training provided. • ties to Training and Awareness

47. Monitoring and Measuring Documentation and Recordkeeping What Records Should You Have?EMS documentation is related to (but not the same as) EMS records. EMS records demonstrate that you are doing what the documentation said you would do. Key Records to keep include, but are not limited to: • Legal, regulatory and other code requirements • Results of environmental aspects identification • Reports of progress towards meeting objectives and targets • Permits, licenses and other approvals • Job descriptions and performance evaluations • Training records • Inspection records • EMS audit and regulatory compliance audit reports • Reports of identified nonconformities, corrective action plans and corrective action tracking data • Hazardous material spill / other incident reports • Communications with customers, suppliers, contractors and other external parties • Results of management reviews • Sampling and monitoring data • Maintenance records • Equipment calibration records

48. Monitoring and Measuring Documentation and Recordkeeping • Common System Failures in Documentation and Recordkeeping: • Obsolete documents are not removed from use in operational areas. • Documents are not routinely reviewed, revised, and approved for adequacy by authorized personnel, such as approval sign-offs, dates, and revision numbers. • Record retention times are not defined and/or there is not a formal process to ensure they are maintained for the length of time required. • Records are not maintained in an orderly and identifiable manner, for example, if a key person is out the day of a regulatory inspection, others could not locate key records. • Records do not provide traceability to the activity the record is intended to document.

49. Monitoring and Measuring Evaluation Best Practices

50. Self-Assessment Working Tool • Documents to Review • SEMP • Management review meeting minutes and action plan • Inventories • Training records • List of major changes in last year • Beth’s list of required regulation cross checked against CC • T/O progress records • Management of change procedure • Purchasing procedures/records • Ash mgmt. procedure/coal handling procedure • Pond cleaning procedure • Chemical unloading procedure • Monitoring procedures • Calibration procedures • Inspection logs • Contractor mgmt. procedure/or get overview of process • Emergency call list • Root cause for spill, changes recorded and evidence that changes implemented • Chemical pre-approval procedure and documentation • Most recent material brought onsite and associate MSDS • P2 program documentation • All appendices in SEMP • Training materials • Incoming call log book • Contractor records, pre-approval, chemicals used, MSDSs, environmental review, etc. • Tank inspection records • Compliance evaluation documentation • Nonconformance tracking sheet • Documents for Review • Current, updated • Followed up and implemented • Current? • How do they update training requirements? Verify required training is occurring – pick several • Follow to see if feed into system • Has CC been updated? MMS populated? • Verify T/O are being implemented • Are all changes included? Is it implemented? • Review for environmental implications and management • Compare to operation in field • Compare to records for process verification • Compare to operation in field • Compare to operation in field • Compare to actual implementation • Review to ensure complete • Verify process being managed per management review action item • Is it current? • Is process working? • Is process working? • Verify environmental review occurred, required MSDS onsite • Verify program implemented • Current/updated • Complete/accurate/current • Verify records being maintained • Contractor management review • Compare to requirement • Is compliance evaluation conducted? • Complete, current, functional?