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3.0 Implementation and Operation
3.1 Are Roles, Responsibility, and Authorities Defined, Documented, and Communicated?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| Top management has not appointed a specific environmental management representative(s) | Top management has appointed a specific environmental
manager(s) but roles, responsibility, and authorities have not been
defined.
|
Roles, responsibility, and authorities for implementing
the various elements of the EMS have been defined, but have neither
been documented or clearly communicated to other administrative
faculty and staff.
Roles, responsibilities, and authorities of other operational management and staff functions (outside of EH&S) are partially defined and communicated, but are not well documented.
|
The environmental management representative(s) has
a defined and documented role, responsibility, and authority for
ensuring that the EMS is established, implemented, and maintained,
and for reporting on performance of the EMS to top management.
The roles and responsibilities of key environmental management personnel have been communicated to relevant faculty, staff and students. Roles, responsibilities, and authorities of other operational management and staff functions (outside of EH&S) have been defined, documented and communicated. |
Examples/Comments:
3.2 Does Management Provide the Resources Essential to the Implementation and Control of the Environmental Management System?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| Resources essential to the implementation and effective
functioning of the environmental management system have not been
defined.
(Resources may include human resources, specialized skills, technology, financial and operational considerations and equipment.) |
Resources essential to the implementation and effective functioning of the environmental management system have been defined; however, necessary resources have not been allocated to achieve core environmental performance objectives or commitments (e.g., regulatory compliance, pollution prevention, resource conservation, research or environmental education) | Management has allocated some of the essential resources, but has not provided all resources identified as necessary to meet relevant environmental performance objectives or commitments. | Management has allocated and provided the resources
essential to the implementation and effective functioning of the
environmental management system.
Resource allocation is reviewed annually. |
Example/Comment:
3.3 Have All Training Needs Been Identified?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| Environmental management system training needs are
not defined in a systematic manner.
Training to comply with regulatory requirements may occur, but on an ad hoc basis. |
A process is established to identify training needs
based on regulatory compliance requirements.
A process does not exist to identify training needs with respect to faculty, staff or students with EMS responsibilities or those with the potential to create a significant environmental impacts.
|
A process is established to identify training needs
for faculty, staff and students based on regulatory compliance requirements,
EMS responsibilities and the potential to create a significant environmental
impact.
A process has not been established to ensure that outsourced service personnel or contractors working on campus have the requisite training. |
A procedure is established to identify training needs
for faculty, staff and students and to ensure that outsourced service
personnel and contractors have the requisite compliance and EMS
training.
|
Example/Comment:
3.4 Are Faculty, Staff and Students Competent To Fulfill Their Roles Under The EMS?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| There is no process for providing information and training to faculty, staff and students to ensure their awareness of environmental issues relevant to the effective functioning of the environmental management system. | There is a process for providing information and
training to faculty, staff and students to ensure their awareness
of environmental issues relevant to the effective functioning of
the EMS.
Some information and training is provided to some of the identified faculty, staff or students. |
A procedure(s) exists to ensure that all relevant
faculty, staff and students receive training or information to ensure
their awareness of environmental issues relevant to the effective
functioning of the EMS.
No procedure exists to ensure that all new faculty, staff or students receive appropriate EMS training or information in a timely manner. |
A procedure also exists to ensure that all new faculty,
staff or students receive appropriate EMS training or information
in a timely manner.
Reviews of personal performance are conducted with appropriate frequency. |
Example/Comment:
3.5 Are Appropriate Procedures Established for Internal Communications to Faculty, Staff and Students?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| There is no process for providing information and training to faculty, staff and students to ensure their awareness of environmental issues relevant to the effective functioning of the environmental management system. | There is a process for providing information and
training to faculty, staff and students to ensure their awareness
of environmental issues relevant to the effective functioning of
the EMS.
Some information and training is provided to some of the identified
faculty, staff or students. |
A procedure(s) exists to ensure that all relevant
faculty, staff and students receive training or information to ensure
their awareness of environmental issues relevant to the effective
functioning of the EMS.
No procedure exists to ensure that all new faculty, staff or students receive appropriate EMS training or information in a timely manner. |
A procedure also exists to ensure that all new faculty,
staff or students receive appropriate EMS training or information
in a timely manner.
Reviews of personal performance are conducted with appropriate frequency. |
Example/Comment:
3.6 Are Appropriate Procedures Established for External Communications Regarding the Environmental Management System?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| There is no process for communications to external
stakeholders (e.g., regulators, community) regarding the environmental
management system.
Communication occurs on a reactive, ad hoc basis. |
There is a process for external communications however, such procedures are generally informal and limited to environmental, health and safety compliance requirements or emergency situations. | There is a procedure for receiving, documenting,
and responding to external interested parties on the institution’s
environmental management system.
There is a process for communicating EMS information, including environmental impact and performance data, to interested external stakeholders on a proactive basis. (e.g., annual environmental report). |
There is a procedure for receiving, documenting,
and responding to external interested parties on the institution’s
environmental management system.
There is procedure and commitment for Communications procedures are regularly reviewed and adapted to the changed perceptions and circumstances. |
Example/Comment:
3.7 Is There Documentation Describing The Environmental Management System?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| The core elements of the environmental management system have not been described. (note: an EMS Manual or set of procedures describing the EMS has not been developed). | The core elements of the EMS have been generally
defined, but the documentation is either incomplete or limited in distribution to key environmental management representatives. |
The core elements of the EMS are defined, documented
and widely available to relevant faculty, staff and students.
However, the EMS document does not provide easy access to related
environmental documentation (e.g., forms, checklists, guidance,
training, plans) |
Descriptions of the core elements and their interactions
are available in paper and electronic form.
This documentation also provides clear direction to relevant faculty, staff or students on where to find or classify related environmental documentation (e.g., forms, checklists, guidance, plans) |
Example/Comment:
3.8 Are Proper Document Control Procedures Established?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| Documents that must be maintained and controlled
are not identified.
There is no process for controlling, revising and maintaining documents. (i.e., "old" documents, such as emergency plans, continue to circulate and be used.) |
Documents that must be maintained and controlled
are identified.
Informal procedures for document control (e.g., revision date, approval signature) are found on some documents, but there are few or no procedures for controlling and maintaining key EMS documents. |
Core EMS documents, and compliance plans with review
requirements, are periodically reviewed and revised in accordance
with defined procedures.
It has not been determined who is responsible or authorized for the creation and modification of the various types of documents (e.g., SOPs, plans) supporting the EMS. There is no procedure to be sure that all locations with written documents have the current documents, or that outdated documents are removed in a timely manner. |
Procedures exist to ensure that all EMS documentation
is periodically reviewed and revised.
Documentation is distributed to all relevant locations and outdated versions are easily identified and removed in a timely manner. Procedures exist to ensure that any obsolete documents retained for legal and/or knowledge preservation are suitably identified. |
Example/Comment:
3.9 Are All Documents In A Proper State and Format?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| Environmental management system documents, including
related documentation, is not kept in a proper state and format.
Available documents are not dated to indicate originals and/or revisions. Some documents are missing or illegible. |
Core EMS documentation is legible and identifiable.
Related EMS documentation may not be kept in a proper state and format. |
All EMS documents are legible, dated, and identifiable.
Obsolete, outdated (or undated) documents are not discarded. |
All documents are legible, dated, and identifiable.
Clear instructions are provided for document maintenance, including updating or replacement with revisions and the proper disposition of obsolete, outdated documents. |
Example/Comment:
3.10 Are Operations and Activities Associated with the Significant Environmental Aspects Effectively Managed?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| Operations and activities that may cause significant environmental impacts are not identified. | Operations and activities associated with significant
environmental impacts are identified, but situations where the absence
of an operational control or documented procedure could lead to
a system failure have not been defined (e.g., non-compliance with
the environmental policy, compliance violation, failure to achieve
objectives and targets, actual environmental harm).
Appropriate education, training or experience requirements have not been identified for faculty, staff or students that may control or influence these operations or activities. |
Situations requiring operational controls and/or
documented procedures to ensure the effective functioning of the
EMS system have been identified and described.
Appropriate education, training or experience requirements have been identified for faculty, staff or students that may control or influence these operations or activities. Some of the faculty, staff or students have received training or information to achieved defined competency criteria. |
The operations and activities that are related to
the significant environmental impacts of the organization have been
identified and documented.
A procedure exists to ensure that faculty, staff or students that may control or influence these operations or activities are competent. |
Example/Comment:
3.11 Are Procedures Established and Implemented For Operations and Activities Identified As Having The Potential to Cause Significant Harm to Human Health and The Environment?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| Operational controls and/or Standard Operating Procedures have not been established for situations associated with significant environmental impacts where the absence of an operational control or documented procedure could lead to a system failure (e.g., significant environmental impact). | Operational controls and/or SOPs have been established for some of those defined situations where the absence of an operational control or documented procedure could lead to a system failure | Operational controls and/or SOPs have been established
for all defined situations where the absence of an operational control
or documented procedure could lead to a system failure.
Such SOPs are not periodically reviewed. SOPs or operational controls may not be widely known outside the operational area and therefore not communicated to contractors and suppliers or personnel in other departments with EMS responsibilities. Operating criteria, as appropriate, have not been stipulated in the procedures. |
Documented SOPs have been established for all the
operations and activities, including maintenance, identified as
having the potential to cause a system failure.
SOPs are periodically reviewed and adapted. Documented SOPs have been established, communicated to contractors and suppliers and integrated into EMS documentation. Operating criteria have been stipulated, as appropriate, in these procedures. |
Example/Comment:
3.12 Are Procedures Established to Identify Potential Accidents and Emergency Situations?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| A process for identifying accidents and emergencies is not established. | A process for identifying accidents and emergencies is established | A procedure for identifying accidents and emergencies
is established.
The procedure includes a mechanism for periodic review and updating.
|
A procedure also exists to utilize the accident and emergency information and develop preventive strategies |
Example/Comment:
3.13 Are Procedures Established to Respond to Accidents and Emergency Situations?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| There is no procedure for responding to potential accidents, significant spills and other emergencies. | A process exists for responding to potential significant accidents, spills and other emergencies. | A procedure exists for responding to potential accidents,
significant spills and other emergencies.
Documentation is kept up to date. Informal review of significant accidents or emergencies (or near misses) may occur.
|
Procedures have been established related to accidents
and emergency situations.
Procedures also exist to mitigate potential environmental impacts associated with accidents and emergency situations. Procedures are reviewed and revised as necessary after an accident or emergency situation (or near miss). |
Example/Comment:
3.14 Are Such Procedures Periodically Tested and Reviewed/Revised After Tests Or After Actual Incidents?
| 0 | 1 | 2 | 3 |
|---|---|---|---|
| There is no process for periodically testing, reviewing and revising the procedures after an emergency situation. | Some tests have been carried out for some procedures,
but not regularly.
Few or no procedures exist to investigate accidents and incidents with a view to revising emergency response procedures. |
Most but not all relevant procedures have been tested, reviewed, and revised as appropriate. | Specific procedures exist and are implemented for the systematic/ investigation of all accidents and incidents impacting the environment, and to foresee steps to appropriate revision/corrective measures. |
Example/Comment:
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