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Times New Roman\-Times New Roman-"Systemn--R2 tZ2Generic Input-Output Diagram for Office Operations          t9--- .  ---2 ZpCopying Z--- .  ---2 2Paper --- .  ---2 2Toner--- .  ---!2 Printed Documents   --- .  ---2 P Waste Paper  P--- .  ---2  Used Toner ~--- .  ---2 Odors Y----`------ $------ $---]--- $---CaC--- $IC>I---_--- $---a--- $--- .  ---2 u*Energyu---kk--- $qkfq-- !  _+X!XXX    EPA744R00012  December2000     m"9)%`|0 ` E_C  ``m   ` +fIX+X!#fI+fI+#,<[fIIntegrated n  (#(#   ` Environmental    ` Management    ` Systems h      p     F   (#(#@@ ACompanyManualTemplateforSmallBusiness  #,XFX,<[A#, !X,XF#,XFX!, #,<[X,XFm"9)%`|0f  `E]f  f  ` m (#(#        (#(##,XFX,<[#,vX,XFU.S.EnvironmentalProtectionAgency >(# OfficeofPollutionPreventionand_Toxics_#,XFX,v#, !X,XF# b!!, #, !! b )$ # b!!, ##X!X! bU#u h6XX!  #X!Xh6$#  +0'  D.X& XXX!.  X.X&@ "#h6 .#2vh6Ԁ #2XFX2v#2)X2XFAcknowledgments#2XFX2)T# 2aX2XF#92a#.9Ԉ  ?+ 4 <DL!X?ӀL#.X& X.##X!X X.X&#ThisdocumentwaspreparedbyEasternResearchGroup,Inc.ofLexington,MA,aspartofan  efforttoshowhowDesignfortheEnvironment(DfE)technicalworkcouldbeusedtosupportdevelopmentofanIntegratedEnvironmentalManagementSystem(_IEMS_).TheERGprojectteamincludedDavidGalbraith,OwenDavis,andJeffCantin.TheEPAProjectOfficerisKarenChu,withtheDfEProgramintheOfficeofPollutionPreventionandToxics.BillHansonisDirectoroftheDfEProgram.ImportantcontributionsweremadebyTedCochinandJennyFisheroftheDfEProgramstaff.AdditionalsupportwasprovidedbyAbtAssociates,Cambridge,MAandfromtheUniversityofTennessee,KnoxvilleCenterforCleanProductsandCleanTechnologies.TheAbtprojectteamincludedCherylKeenanandLibbyParker.TheUniversityofTennesseeprojectteamincludedKerryKelly,Lori_Kincaid_ԀandMarySwanson.Wewouldalsoliketoacknowledgeinsightsandexpertisereceivedfrom_Marci_Ԁ_Kinter_ԀoftheScreenPrintingandGraphicImagingAssociationInternational(_SGIA_),Fairfax,VA,andfromFosterKnightofTheLexingtonGroup,Lexington,MA.Ld   Z   XX!,)Foreword#,);##X!X#   k     k  WhyHavean_IEMS_ԀManualForYourCompany?k Ԍ r Ќ   Forasmallormediumsizedcompanydevelopingan_IEMS_,thequestionofhowtodocumentthesystemitselfcanbechallenging.Manysmallercompanieslackexperienceindevelopingdocumentationfortheirbusinessprocessesandworryabouthavingtodevelopextensivedocumentationfortheir_IEMS_.InthecourseofapilotprojectsponsoredbyEPAsDesignfortheEnvironment(DfE)Programandatradeassociation,thesmallandmediumsizedcompaniesparticipatingintheprojectrequestedadditionalguidanceonhowtodocumenttheir_IEMSs_Ԁinaconcise,userfriendlymanual.Theywantedtoachievethefollowingbenefitsfromeffectivedocumentation:7b  7b0    Abilitytomaintainandimprovetheir_IEMSs_Ԁaspersonnelandresponsibilitieschange   (i.e.,thesystemislessdependentonasingleperson).7b݌ (#(# Ќ  7b  7b0    Improvedsystemimplementation:proceduresareclearandeasytofollow,and h employeesknowwheretolooktofindtheproceduresandrecordstheyneed.7b ݌ (#(# Ќ  7b  7b#0    Qualityimprovementandsystematizationacrossothercompanymanagementsystems.7b#>݌&v(#(# Ќ  Tomeetthisrequestandtohelpothersmallandmidsizedcompaniesdocumenttheir_IEMSs_,theDfEProgramhasdevelopedthefollowingcompanymanualtemplate.Thecompanymanualtemplatecontainsproceduresandassociatedformatsforan_IEMS_ԀthatisdesignedaccordingtotheprinciplessetforthinIntegratedEnvironmentalManagementSystems:ImplementationGuide  (EPA744R00011).ThisguideisavailableonDfEswebsiteat4l ~mO  5  http://www.epa.gov/dfe6 mO!  7 OԀor  throughEPAsPollutionPreventionInformationClearinghouseat4n mO  5  ppic@epa.gov.6#mO7  7 HeԀ  Thetemplateitselfcontainsacoverpage,tableofcontents,andcompletedocumentationforthefictionalSmithCorporations_IEMS_.Asyouworkthroughthetemplateyouwillseeinstructions(initalics)onhowtotailoreachsectiontothespecificrequirementsofyourownsmallto 4" mediumsizedcompany.k     k_  UsingThisCompanyManualTemplatek_ uԌ $B " Ќ   Pleasekeepthefollowingpointsinmindasyoumakeuseofthiscompanymanualtemplate:7b  7by0    Adaptthismanualtemplatetoyourparticularcompanyandits_IEMS_.Thetemplate ($& itselfcontainsacoverpage,tableofcontents,andcompletedocumentationforthefictionalSmithCorporations_IEMS_.Asyouworkthroughthetemplateyouwillseeinstructions(initalics)onhowtotailoreachsectiontothespecificrequirementsofyour +&) ownsmalltomediumsizedcompany.Bracketedanditalictextisalsousedtoreferyoutotherelatedsectioninthe_IEMS_ԀImplementationGuide(seeabove).Youwillprobably V-(+ wanttoadd,eliminate,and/ormodifytheproceduresandothermanualelementstofityourcompanys_IEMS_.7by݌ (#(# Ќ  7b  7bB!0    Thismanualtemplatecontainsagoodbasesetofprocedures.The_IEMS_Ԁprocedures n containedinthistemplaterepresentthecoresetofproceduresnormallydocumentedaspartofanISO14001compliantEMS.Youmaychoosetoincludealloftheseprocedures(regardlessofwhetheryoueventuallywillseekcertificationofyourEMStoISO14001),ortoadd,remove,ormodifyproceduressothatthedocumentationreflectsyourorganizationandyourEMS.7bB!]!݌ (#(# Ќ  7b  7b#0    Ifitwontbeuseful,itsnotworthyourtime.Asyouareadaptingthiscompanymanual  $  template,designitsothatitwillbeused(andfurtheradapted)overtime.Itismuchmoreimportanttohavealivingmanualthanaperfectmanualthatjustsitsontheshelf.7b##݌ (#(# Ќ  7b  7bv%0    Pickanappropriatelevelofdetailforyourcompany.Ingeneral,thelargeracompanyis, |  themoredetaileditsproceduresare"buteventhismayvaryaccordingtoyourcompanys f  culture.7bv%%݌ (#(# Ќ  7b  7b&0    Ifyoualreadyhaveasystemfordocumentationanddocumentcontrol,developyour $t _IEMS_Ԁmanualtofitthatsystem.Therearenospecificationsorcriteriaforthesystem ^ usedtodocumentyour_IEMS_.Itmakessensetousewhateversystemyounormallyusefordevelopingandmaintainingsimilardocumentation.7b&'݌ (#(# Ќ  7b  7b)0    Yourmanualshouldreferenceworksheets,templates,orcompanyrecords,where  applicable.Thismanualmakesreferencetonumberedtemplatesthatdirectlyfollowthe  correspondingprocedures,aswellastootherrecordsmaintainedelsewherenthecompany.(Tohelplocatethesetoolswithinthemanual,seetheindexthatfollows.)Ifyouuseadditionalformatsorworksheets(i.e.,suchasthesupportingworksheetspresentedinthe_IEMS_ԀImplementationGuide),includethoseaswell.7b),)݌H(#(# Ќ   2    5 5  XX!IntegratedEnvironmentalManagementSystem(_IEMS_)  :  Manual#X!Xl,# D   b!XX!SmithCorporation#X!X! b0-#   A ) xdE0xA   h6XX!January4,2001  Revision1.0#X!Xh6-#   ],$(#X$  Preparedby:$(#_______________________________________ $"   +(#9XX!(_IEMS_ԀManagementRepresentative)#X!X9C/#Ԉ % #   ApprovedandAuthorizedby:$(#_______________________________________ )c$'   H H @(#9XX!(President)#X!X9r0#Ԉ )M%(   *&) ,  h6XX!8!XXdXXd8TableofContents#X!Xh6*1#  w 1-XT H "(#-   T  H 6,X` "XT H "6TableofContentsl"l"H".H H _i_Ԉ W PurposeofThisManual@"@"H".6 6 1 -  Definitions,Abbreviations,andListofProcedures@"@"H".rr<2   CompanyDescription:SmithCorporation@"@"H".04  t  SmithCorporations_IEMS_:IntroductionandScope@"@"H".:5 J  EnvironmentalPolicy@"@"H". 6 2  e2_IEMS_ԀResponsibilities@"@"H". 7     Documentation {     ` RESP01:_IEMS_ԀResponsibilities@"@"H".28 e  _IEMS_ԀComponents,Procedures,andDocumentation@"@"H".89 ;   IdentificationofEnvironmentalAspects(PEA)!!G".<10 #   Documentation      ` EA01a:BasicandSupportingOperations!!G".;11 n    ` EA01b:BasicandSupportingOperations"MaterialFlowDiagrams!!G".R12 X    ` EA02:EnvironmentalAspects!!G".,,013 B    ` EA03:Health,Safety,andPotentialEnvironmentalConcerns!!G".O14 ,    ` EA04:ExposuretoChemicalsandMaterials!!G".>15    IdentificationofLegalRequirements(P_LR_)!!G".916 s   Documentation ]    ` LR01:ApplicableLegalRequirements!!G".817 G    IdentificationofSignificantEnvironmentalAspects(PSEA)!!G".I18  "   Documentation |!#    ` SEA01:DeterminingSignificantEnvironmentalAspects!!G".``I20 f"$   DevelopmentofObjectives,Targets,andActionPlans(P_OTP_)!!G".J21 :$&   Documentation $%'    ` _OTP_Ԅ01:EnvironmentalObjectives!!G".zz423 & (    ` _OTP_Ԅ02:EnvironmentalManagementPlan!!G".924 &!) Ѐ  ConductinganAlternativesEvaluation(P_AE_)!!G".hh:25 (U#+   Documentation )?$,    ` AE01:AlternativesIdentification!!G".627 *)%-    ` _AE_Ԅ02:EvaluationofAlternatives!!G".528 +&.    ` _AE_Ԅ03:EvaluationofEnvironmentalEffects!!G".TT>29 t,&/    ` _AE_Ԅ04:EvaluationofPerformance!!G".DD430 ^-'0    ` _AE_Ԅ05:EvaluationofRegulatoryConcerns!!G".<31 w    ` _AE_Ԅ06:EvaluationofCosts!!G"..32 a   DevelopmentofOperationalControls(POC)!!G".833 5   Documentation      ` OC01:_IEMS_ԀOperationalControlProcedures!!G".>35     EnvironmentalTraining(AwarenessandTaskSpecific)(PET)!!G".I36  f   EmergencyPreparedness(PEP)!!G".+38  :    ReviewofNewPurchases,Processes,andProducts(P_NPPP_)!!G".&&G39     DocumentationandDocumentControl(PD)!!G".641 Y  0  ConductingaComplianceAssessment(PCA)!!G".TT743- (#(#   Documentation  0  0` (#(#CA01:ComplianceTrackingLog!!G".&&244` (#` (# 0  ConductinganInternalAssessment(PIA)!!G".645^(#(#   Documentation H    ` IA01:InternalAssessmentChecklist!!G".847 2    ` IA02:InternalAssessmentRecord!!G".ff548    TakingCorrectiveAction(P_TCA_)!!G"..49 g   Documentation Q    ` _TCA_Ԅ01:CorrectiveActionForm!!G".250 ; 0  CommunicationwithStakeholders(PCS)!!G".451(#(#   Documentation     ` CS01:StakeholdersandEnvironmentalIssues!!G".@53  l    ` CS02:StakeholderCommunicationRecord!!G".22;54 !V   ManagementReview(P_MR_)!!G".&55 #*!   Documentation $"    ` _MR_Ԅ01:ManagementReviewRecord!!G".$$357  u%#  -X!,X` "-  PurposeofThisManual  w K[Oneormoreparagraphsdescribingthepurposeofthismanualwithinyourcompanys_IEMS_.] K Thepurposeofthismanualistoserveasahighlevel roadmaptoSmithCorporations_IEMS_andtohousetheprocedureswhichSmithCorporationfollowsinimplementingandmaintainingits_IEMS_.Thismanual,andsubsequentrevisions,isdistributedbythe_IEMS_Ԁcoordinatortoseniorplantmanagement(includingthe_IEMS_Ԁmanagementrepresentative),andthe_IEMS_Ԁcommittee.ItwillbemadeavailabletoallSmithCorporationemployees,especiallythoseinvolvedinperformingworkrelatedtothe_IEMS_.ThismanualalsoservesasthebasisforSmithCorporationsinternalassessmentofits_IEMS_.  Y    Definitions,Abbreviations,andListofProcedures  w P[Listofallabbreviationsusedinthemanualanddefinitionsofrelevantterms.] K  Definitions    DesignfortheEnvironment(DfE):Anapproachtoincorporatingopportunitiesforriskreduction  | andwiseresourceuseintobusinessdecisionmaking,developedthroughpartnershipsbetweentheU.S.EnvironmentalProtectionAgencyandindustry,academic,andotherstakeholders   `  Environmentalaspect(EA):AnelementofSmithCorporationsactivities,products,orservices $  thatcanordoesinteractwiththeenvironment(createanenvironmentalimpact)Environmentalimpact:Anychangetotheenvironment,whetheradverseorbeneficial,resulting Y  fromSmithCorporationsactivities,products,orservicesSignificantenvironmentalaspect(SEA):AnenvironmentalaspectdeemedbytheSmith  Corporationashaving,orpotentiallyhaving,asignificantimpactontheenvironmentAlternativesevaluation:Processbywhichalternativemethodsforcompletingaparticular ^ functionareevaluatedusingbusinessandenvironmentalcriteriaNonconformity:DiscrepancybetweenSmithCorporationsactual_IEMS_Ԁactivitiesandthe  procedureslaidoutinthismanual(i.e.,wheretheactualactivitiesdonotfollowtheprocedures)Indicator:Ameasurableparameterorpredictorofperformance(inthiscase,ofenvironmental Q performance)Rootcauseanalysis:Systematicprocesstouncoverunderlyingcausesofaparticularissueor  problem Abbreviations  "@  DfE0  DesignfortheEnvironment$"(#(# EA0  EnvironmentalAspectu%#(#(# EMS0  EnvironmentalManagementSystem_& $(#(# SEA0  SignificantEnvironmentalAspectI'!%(#(#  &  ListofProcedures  )#' (Alphabetical)*` X!X!*')XP_AE_0 ` ConductinganAlternativesEvaluation+d&*` (#` (# PCA0 ` ConductingaComplianceAssessment,N'+` (#` (# PCS0 ` CommunicationwithStakeholders-8(,` (#` (# PD0 ` DocumentationandDocumentControlw` (#` (# PEA0 ` IdentificationofEnvironmentalAspectsa` (#` (# PEP0 ` EmergencyPreparednessK` (#` (# PET0 ` EnvironmentalTraining(AwarenessandTaskSpecific)5` (#` (# PIA0 ` ConductinganInternalAssessment ` (#` (# PLR0 ` IdentificationofLegalRequirements ` (#` (# P_MR_0 ` ManagementReview |` (#` (# P_NPP_0 ` ReviewofNewPurchases,Processes,andProducts f` (#` (# POC0 ` DevelopmentofOperationalControls P` (#` (# P_OTP_0 ` DevelopmentofObjectives,Targets,andActionPlans : ` (#` (# PSEA0 ` IdentificationofSignificantEnvironmentalAspects$ ` (#` (# P_TCA_0 ` TakingCorrectiveAction ` (#` (# + X!` X!X+  Y    CompanyDescription:SmithCorporation  w _[Severalparagraphsdescribingtheactivitiesofyourcompany,itslocation(s),anditsmission K and/orvalues.] 5 SmithCorporationisamediumsizedbusinessdedicatedtothemanufactureofhighqualitywidgetsforavarietyoflargeindustrialcustomers.SmithCorporationownsandoperatestwoplants,onein_Jonesville_,Kentucky,andonein_Johnsville_,Tennessee.SmithCorporationwasfoundedin1956andhassincebuiltandmaintainedthereputationofbeingaresponsivesupplierofhighqualityproducts,agoodemployer,andagoodcommunitymember.      SmithCorporations_IEMS_:IntroductionandScope  w b[Twoorthreeparagraphsthatintroduceyour_IEMS_Ԁanddescribeitspurposeandscope.] K SmithCorporationhasdevelopedandismaintaininganIEMSinordertoensurethatwecontinuetosupplyahighqualityproducttoourcustomerswhileprovidingasafe,healthyworkplaceforouremployeesandactingasaresponsiblememberofourcommunity.TheSmithCorporationsIEMSisdesignedtohelpusunderstandourenvironmentalimpactsand,throughproactivemanagement,reducetherisksthatourproductiveoperationsposetoouremployeesandtotheenvironment.TheIEMSisalsothemeansthroughwhichwefollowthroughonthecommitmentsexpressedinourenvironmentalpolicy.ScopeofSmithCorporationsIEMS o  SmithCorporationsIEMSpresentlycoversonlytheJonesville,KYplant.Morespecifically,theIEMScoversalloperationsoccurringonsiteattheplant,fromthepointofentryofrawmaterialsandenergytothepointofexitoffinishedmanufacturedproducts.Inadditiontomanufacturingprocessesandactivities,allonsiteancillaryoperationsfallwithinthescopeoftheIEMS,includingmaintenance,groundskeeping,offices,andtheactivitiesofonsitecontractors.TheIEMSexcludestheenvironmentalaspectsofproductstotheextentthatSmithCorporationdoesnothaveinfluenceovertheirdesignordisposition.TheIEMSdoestakewastedisposalintoaccountinevaluatingtheenvironmentalimpactsofonsiteactivities,eventhoughSmithCorporationmaynotultimatelybethefinaldisposerofitswaste.SmithCorporationplanstoextendtheIEMStotheJohnsville,TNplantafterithasbeeninplaceforseveralyearsattheJonesvilleplant.  Q   EnvironmentalPolicy  w i[Oneortwoparagraphsabouttheimportanceoftheenvironmentalpolicyinyourcompanys K _IEMS_.SeeModule2inthe_IEMS_ԀImplementationGuide.] 5 ThecoreofSmithCorporations_IEMS_Ԁisourenvironmentalpolicy.TheenvironmentalpolicystatesinbroadtermstheprincipalenvironmentalcommitmentsofSmithCorporation.ItissignedbyourPresidentandhasbeencommunicatedtoallemployees.Theenvironmentalpolicyispostedonbulletinboardsthroughouttheplantandisavailableonrequesttothepublic,customers,andauthorities.The_IEMS_Ԁcoordinatorisresponsibleforensuringthatonlythemostrecentversionoftheenvironmentalpolicyispostedandavailable.TheenvironmentalpolicyofSmithCorporationisreproducedbelow.[Insertenvironmentalpolicy]  C    _IEMS_ԀResponsibilities  w m[Severalparagraphsdescribinghowtheoverallresponsibilityformaintainingthe_IEMS_Ԁis K distributedwithinyourcompany.SeeModule1inthe_IEMS_ԀImplementationGuide.] 5 SmithCorporationhasestablishedan_IEMS_Ԁmanagementrepresentative,coordinator,andcommitteewiththefollowingresponsibilities:7b  7bo0    Managementrepresentative.The_IEMS_Ԁmanagementrepresentativeisthememberof  P SmithCorporationstopplantmanagementgroupresponsibleforthefunctioningofthe_IEMS_.Itishisorherjobtoensurethatalltasksrelatingtothe_IEMS_Ԁareidentifiedandcompletedinatimelymanner.Heorsheisalsoresponsibleforreportingperiodicallytothetopplantmanagementgroupontheprogressandresultsofthe_IEMS_.7bop݌ (#(# Ќ  7b  7br0    Coordinator.The_IEMS_Ԁcoordinatorsresponsibilityistoidentify,assign,schedule, C  providethenecessarysupportfor,andensurecompletionofalltasksrelatingtothe_IEMS_.Thecoordinatorworkscloselywiththemanagementrepresentativeandwiththecommittee.The_IEMS_Ԁcoordinatorisalsoresponsibleformaintainingthismanual,undertheleadershipofthemanagementrepresentative.Thefunctionsofcoordinatorand t managementrepresentativemaybefilledbythesameperson.7brr݌^(#(# Ќ  7b  7bu0    Committee.The_IEMS_Ԁcommittee(whichalsoservesastheplantssafetycommittee)is 2 comprisedof68supervisorsandemployeesfrommajorgroupsorareaswithintheplant.Thecommitteeisresponsibleforensuringthat_IEMS_Ԁactivitiesintheirareasarecarriedoutandforreportingtheresultsoftheseactivitiestothecommitteeasawhole.Inaddition,thecommitteeitselfundertakescertain_IEMS_Ԁactivitiessuchastheselectionofsignificantenvironmentalaspects.Thecommitteemeetstodiscussthe_IEMS_Ԁonatleastamonthlybasis.7buu݌ (#(# Ќ  Records  The_IEMS_Ԁcoordinatormaintainsanupdatedlistofmanagementrepresentative,coordinator,andcommitteemembersusingformatRESP01(_IEMS_ԀResponsibilities).  "@     RESP01:_IEMS_ԀResponsibilities  w *zThefollowingtableliststheSmithCorporations_IEMS_Ԁmanagementrepresentative,coordinator,andcommittee:*$ddd Xdd Xdd X(#(#,( dd ,( dd ,( dd +  *)   *_IEMS_ԀFunction A),!m ) AName A),!m ) ARegularPosition -#!m ) -ManagementRepresentative   t     t     t  _IEMS_ԀCoordinator  i     i     i   _IEMS_ԀCommittee &p  ++ &  p    p        e    e        l    l        a    a    {   h   h      ]   ]   w   d   d   ~   Y   Y   s   `   `! 9XX!ContactPerson: `     h      p   DateCompleted:#X!X9# "%   c &   _IEMS_ԀComponents,Procedures,andDocumentation  w ThefollowingpagesofthismanualpresentthecomponentsofSmithCorporations_IEMS_Ԁandproceduresbywhichthesecomponentsarecarriedout.Thefollowingelementsareincludedforeachcomponent:7b  7b 0    Astatementofthepurposeofthecomponent"inotherwords,howtheactivityfitsinto  | theIEMS.7b (݌ (#(# Ќ  7b  7b 0    Chronologicallyorderedandnumberedstepsthatmakeuptheprocedureforcarryingout  :  thecomponent.Thesestepsdescribewhatactionsaretakenandwhoisresponsibleandmakereferencetorecordsordocumentation(e.g.,formats)whereappropriate.7b $݌ (#(# Ќ  7b  7b0    Mentionofthefrequencywithwhichtheprocedureiscarriedout.7b݌Y (#(# Ќ  7b  7bk0    Summarylistofrecordsreferencedintheprocedureandperson(s)responsiblefor -  maintainingthem.7bk݌ (#(# Ќ    IdentificationofEnvironmentalAspects(PEA)  w n[SeeModules1and3intheIEMSImplementationGuide.] K Purpose   Inordertounderstandandmanageitsactualandpotentialenvironmentalimpacts,SmithCorporationidentifiestheenvironmentalaspectsofitsactivities,products,andservicesastheyfallwithinthescopeofthe_IEMS_.Asasubsetofthisactivity,SmithCorporationidentifiesthehealthandenvironmentalconcernsrelatedtoparticularchemicalsusedintheplant.Procedure   1.0  Usingprocessingmapping(orinput/_ouput_Ԁflowcharts),the_IEMS_Ԁcommitteeidentifies Y  thebasicmanufacturingandsupportingoperationsthatfallwithinthescopeofthe_IEMS_.ThesearerecordedusingformatEA01,withsupportingmaterialflowdiagramsandtableusingformatEA01b. (#(# 2.0  The_IEMS_Ԁcoordinatorarrangesfortheenvironmentalaspectsoftheseoperationstobe t identifiedbyateamofseveralemployeesfromtheoperationinquestion,usingtheprocessmappingapproachwherefeasibleandundertheoversightofthe_IEMS_coordinatororacommitteememberwhereappropriate. (#(# 3.0  Environmentalaspects,andtheiractualorpotentialimpacts(quantifiedtotheextent } possible),arelistedbyoperationusingformatEA02(similartoWorksheet15inthe_IEMS_ԀImplementationGuide).Q(#(# 4.0  Iftheenvironmentalaspectinvolvesuseofapotentiallyharmfulchemical,the_IEMS_ % committeeisresponsibleforresearchingtheknownhealthandenvironmentalconcernsandlistingtheseusingformatEA03(similartoWorksheet31inthe_IEMS_  ImplementationGuide). l(#(# Frequency "@  Thisprocedureisrepeatedannuallytoensurethatanynewenvironmentalaspectsareidentified.Records _& $ FormatsEA01aandEA01b(BasicandSupportingOperations,FlowDiagrams),EA02(EnvironmentalAspects),andEA03(HealthandEnvironmentalConcerns)aremaintainedbythe_IEMS_Ԁcoordinator.  *$(    EA01a:BasicandSupportingOperations  w בThefollowingarethebasic(manufacturing)andsupportingoperationsthatfallwithinthescopeofSmithCorporations_IEMS_:1.0   (#(# 2.0   P(#(# 3.0   (#(# 4.0  C (#(# 5.0  (#(# 6.0  H(#(# 7.0  }(#(# 8.0  ;(#(# 9.0  (#(# 10.0  "@ (#(# 9XX!ContactPerson: `     h      p   DateCompleted:#X!X9# I'!%    )p$(    EA01b:BasicandSupportingOperations !MaterialFlowDiagrams  w s?/+b| `.#@E   \s   `     h   [Samplediagrams] c    `     h s9?/+b|zl `81"@E\ zl1 s   `  @*   ` *M$Nd d( dd ( ( dd ( ( dd ( $(#(#,1 dd ,Gdd +  !)  n ! EXFXXX!ProductorService #X!XXEXF# /)I!) / EXFXXX!ComponentParts #X!XXEXF# $I! ) $  #j"   "#   I& %   _%&   (:#(  'P")    )T$) ,Q t TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3'T  EA02:EnvironmentalAspects   >TheenvironmentalaspectsofthebasicandsupportingoperationsidentifiedinformatEA01arelistedinthefollowingtable.*x$dd1 dd 1 Gdd GM$N..x,dd ,Sdd , dd ,dd +  *)   *Operation A),! ") AInput/Output A),! ") AEnvironmentalAspect   (quantifyifreadilypossible) A),! ") AEnvironmentalImpact 1'!  ") 19XX! &t uu  &  t    O>    t   I8      wf       q`               &  XX0 &                 %      %      M<    "   M<#   #   ud$   ?.&   ud'   (   )   gV+ #X!X9# ,  ContactPerson:    h      p     DateCompleted:  K :-  /   EA03:Health,Safety,andPotentialEnvironmentalConcerns 0 @   j_t)8_*$d ddd Sdd S dd dd $..,dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd ,{dd +  3)   39XX!Work 3 Z Activity/Chemical V)A2  "Dyy<) Vdr0 ` <( ` E 3 (( 3 (d V)A23 Z "z^^) Vde0 ` <| ` E 3 || 3 |d V)A23 Z "y) VRegulatoryData H)3$3 Z ") HHumanHealthEffectsbyPathways  ԍAcuteand_ԍChronic_____  I)4% $") IEffectsonWildlifeorOtherEnvironmental  ԍώ_ԍEffects_____  I)4% $") Idp0 ` <x ` E'3 xx'3 xd V)A23 Z"u) VRank >4)3 Z"  ) 6>         ,)   ,d0 ` < ` Ed#X!X9#9XX! A),!@) Ady0 ` <  ` Ed#X!X9#9XX! A),!@) Ad^0 ` <  ` E d#X!X9ʭ#9XX! A),!@) Adq0 ` < ` Evv d#X!X9#9XX! A),!@) Ad_0 ` < ` E d A),!@") Ada0 ` < ` Ell d A),!@") Adb0 ` < ` E d A),!@") Adi0 ` < ` Eb b d#X!X9#9XX! A),!@") Adj0 ` < ` E""d A),!@") Ado0 ` < ` EX%X%d 1'!@") 1 ,)   ,du0 ` <Q ` EN*QQN*Qd A),!@") Adv0 ` < ` E,,d 7-&@" 6 ) X7#X!X9n#9XX!  Ov   Ov    Ov!   Ov"   Ov#   Ov$   Ov%   Ov&   Ov'   Ov(   Ov)   Ov*   Ov+   Ov,   Ov-  Ov. X X  /   0   1   2   3   4   5   6   7   8   9   :   ;   <   =  > X X  &?   &@   &A   &B   &C   &D   &E   &F   &G   &H   &I   &J   &K   &L   &M  &N X X  W~O   W~P   W~Q   W~R   W~S   W~T   W~U   W~V   W~W   W~X   W~Y   W~Z   W~[   W~\   W~]  W~^ X X  _   `   a   b   c   d   e   f   g   h   i   j   k #X!X9#  l   m n X  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9#  !oX     EA04:ExposuretoChemicalsandMaterials   *L$hdddd {dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {{dd {$..,dd ,dd ,dd ,dd ,dd ,dd ,Ddd ,dd ,Tdd ,Vdd ,dd +  .)   .9XX!Operation V)A2I 86P) VAspect V)A2I 8"6Q) VQuantityUsedperTimePeriod V)A2 "6R) VExposureTime H)3$I 8 ") HPersonalProtectiveEquipment(PPE) V)A2  ") VPathway H)3$I 8") HRankExposedGroups 4*$I 8") 4         ,)   ,Duration A),!' ") AFrequency 1'!' ") 1 ,)   ,Human(inhalation,dermal,oral) A),!t") AEnvironmental(air,water,land) A),!O>") AWorkers A),!' ") ACommunity A),!' ") AEnvironment#X!X9# 2(! ") 2         !   "   #   $   %   &   '   (  )    }l *   }l +   }l ,   }l -   }l .   }l /   }l 0   }l 1   }l 2   }l 3  }l 4    M<5   M<6   M<7   M<8   M<9   M<:   M<;   M<<   M<=   M<>  M<?     @    A    B    C    D    E    F    G    H    I   J    K   L   M   N   O   P   Q   R   S   T U   9XX!ContactPerson: `     h      p   DateCompleted:#X!X9#  "Y ,  TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT ( IdentificationofLegalRequirements(P_LR_)  w [SeeModule1inthe_IEMS_ԀImplementationGuide.] K Purpose   SmithCorporationiscommittedtocomplyingwithallapplicableenvironmentalregulations.ThisproceduredescribeshowSmithCorporationidentifiesapplicableregulations.Procedure  :  1.0  The_IEMS_Ԁmanagementrepresentativeisresponsiblefortrackingapplicable   environmentallawsandregulationsandevaluatingtheirpotentialimpactonthecompanysoperations.Heorsheemploysseveraltechniquestotrack,identify,andevaluateapplicablelawsandregulations.Thesetechniquesincludecommercialdatabases,informationfromthetradeassociation,directcommunicationwithnationalandstateregulatoryagencies,andperiodicrefreshertrainingonenvironmentallaws. (#(# 2.0  Asnecessary,themanagementrepresentativemaycalluponoffsiteresourcessuchas t consultantsorattorneys. h      p      x ^(#(# 3.0  Themanagementrepresentativecompilesandmaintainsupdatedcopiesofapplicable 2 environmentallawsandregulations. (#(# 4.0  Themanagementrepresentative,workingwiththeIEMScoordinatorandcommittee, g correlatetheseregulationstothebusinessactivitiesandenvironmentalaspectsassociatedwiththemusingformatLR01(similartoWorksheet16intheIEMSImplementation ; Guide).%(#(# Frequency  Periodic:dependsoninformationsource.Records #*! FormatLR01(ApplicableLegalRequirements)ismaintainedbythe_IEMS_Ԁcoordinator.The_IEMS_Ԁmanagementrepresentativemaintainscopiesoftheapplicableregulations.  _& $( , t   TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3' LetterT_LR_Ԅ01:ApplicableLegalRequirements   ThefollowingtableprovidesalistofenvironmentalregulationsthatapplytoSmithCorporationsactivities.Thespecificoperation(s)towhicheachregulationappliesarealsoshown.TheoperationsareasubsetofthoselistedonformatEA02.*#$d ddd dd dd dd dd dd Ddd Ddd Tdd TVdd Vdd L$h..#, dd ,dd ,dd +  *)  | *RegulatoryAgency A),! ") ARegulationandSpecificProvision A),! ") AOperation(s)towhichProvisionApplies =$,!  ") =9XX! <$+)o^ "uu"$ < +$o^ $ +____  ԍ̎_____________________________________________________________________________________________________________________________#X!X9#_______________________________________________________________________________________________________________________________  :$)o^   $ : .$ $ . +$O> $ + 9$(O>   $ 9 .$ $ . +$/ $ + 9$(/   $ 9 <$+) +$ < +$ $ + 9$(   $ 9 .$z$ . +$$ + 9$(  $ 9 .$kZ$ . +$$ + 9$(  $ 9 <$+) .$ < +$$ + 9$(  $ 9 .$+$ . +$~$ + 9$(~  $ 9 .$ $ . +$o^$ +-#!o^  $ -9XX!ContactPerson: `     h      p   DateCompleted:#X!X9:#  !  ,  TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT (t RIdentificationofSignificantEnvironmentalAspects(PSEA)  w ![SeeModule3inthe_IEMS_ԀImplementationGuide.] K Purpose   SmithCorporationfocusesitsmanagementeffortsonthemostsignificantofitsenvironmentalaspects.Todetermineits_SEAs_,SmithCorporationsystematicallyevaluatesitsenvironmentalaspectsusingenvironmentalandbusinesscriteria.Procedure $  1.0  The_IEMS_ԀcoordinatorcompilesamasterlistofenvironmentalaspectsontoformatSEA o  01basedonthelistssubmittedfromeacharea(whicharecompiledonformatEA02).Whereappropriate,individualaspectsaregrouped.(Forexample,ifconsumptionofenergyislistedasanenvironmentalaspectinseveralareas,thecoordinatorcouldchoosetogrouptheselistingssuchthatconsumptionofenergyappearsjustonceonthemasterlist.) (#(# 2.0  The_IEMS_Ԁcommitteethenrateseachaspectaccordingtothefollowingcriteria:^(#(# 0  7b  7b0` (#(#  Regulatoryconcerns7b݌2` (#` (# Ќ  0  7b  7b70` (#(#  Pollution7b7R݌` (#` (# Ќ  0  7b  7b0` (#(#  Risk,includingeffectsofchemicalsandmaterials,impactonworkers,impacton } thesurroundingcommunity,impactontheenvironment,safety,andnoise7b݌ ` (#` (# Ќ  0  7b  7b$0` (#(#  Naturalresourceuse7b$?݌Q` (#` (# Ќ  3.0  UsingformatSEA01(similartoWorksheets35aand35binthe_IEMS_ԀImplementation % Guide),aspectsareassignedarelativevalueofL,ML,M,MH,orHineachcategory,  where L standsforlowimpact(orrisk,orpotentialforregulatoryissues), M formedium,  and H forhigh.InformationrecordedonformatsEA03andLR01areusedtoassistthe  n committeeinratingeachaspectinthecategoriesofriskandregulatoryconcerns,respectively. (#(# 4.0  A TotalRankingisdevelopedforeachaspectbyaddingthescoresforeachcategory $" usingthefollowingvalues:L=1;ML=2;M=3;MH=4;H=5. (#(# 5.0  WithallbutthelastcolumnofformatSEA01complete,thecommitteemakesafinal M'!% determinationastowhichaspectsaresignificant.Asageneralguide,theaspectsthatscorethehighestnumberofpointsareconsideredsignificant.Thecommittee,however,shoulduseitsbestjudgementindeterminingsignificance. (#(# 6.0  AspectsidentifiedassignificantareindicatedonformatSEA01.+h&*(#(#   ,R'+( R R (d R  7.0  Atthispoint,the_IEMS_Ԁcommitteemaytakeaninitialcutatdevelopingindicatorsforthe w  _SEAs_Ԁ(atleastoneindicatorperSEA).Thesepreliminaryindicators,whichwillbereviewedlater(seetheprocedureonoperationalcontrols,POC),canbenotedusingformatOC01. (#(# Frequency   Thisprocedureisrepeatedonanannualbasis.Records  :  FormatSEA01(DeterminingSignificantEnvironmentalAspects)ismaintainedbythe_IEMS_coordinator.  o (  , ( TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3' LetterT  SEA01:DeterminingSignificantEnvironmentalAspects   |  _S)8_Thefollowingtableshowsthe_IEMS_ԀcommitteesevaluationoftheSmithCorporationsenvironmentalaspectsbasedonselectedcriteria.Thoseaspectschosenassignificantareindicatedinthefinalcolumn.*$d d dd dd dd $..,dd ,dd ,*dd ,*dd ,*dd ,*dd ,*dd ,*dd ,*dd ,*dd ,,dd +  .) w  .9XX!Operation V)A2 "1) VAspect V)A2 "") Vdd0 ` < ` Ed V)A2 "x  ") VChemicalandMaterialRisk"   EffectsandExposure H)3$ ") Hd{0 ` < ` Eppd V)A2 "sNN) Vd0 ` < ` E""d V)A2 ") Vd0 ` <  ` E%  % d V)A2 "w) Vd0 ` < ` E((d V)A2 "u) Vd0 ` <! ` E,!!,!d B82 "^) B  3Z    3Z   ,) 3Z  ,dw0 ` < ` Ed A),! ") Adx0 ` <D ` EDDDd A),! ") Adg0 ` < ` EFFd 1'! ") 1  3Z    3Z    3Z    3Z    3Z  #X!X9 #9XX!  9`   o   o   o   o   o   o   o    o!   o"   o#   a%   &   '   (   )   *   +   ,   -   .   /   1   2   3   4   5   6   7   8   9   :   ;   =   >   ?   @   A   B   C   D   E   F #X!X9# G  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9#   H ,  TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT (T PDevelopmentofObjectives,Targets,andActionPlans(P_OTP_)  w [SeeModules3and5inthe_IEMS_ԀImplementationGuide.] K Purpose   TheSmithCorporationsetsobjectivesforenvironmentalimprovementanddevelopstargetsandactionplanstomeetthoseobjectives.Theseobjectivesaregenerallydirectlyrelatedtothecompanyssignificantenvironmentalaspectsandfollowfromitsenvironmentalpolicycommitments.Procedure   1.0  TopplantmanagementsetsenvironmentalobjectivesfortheSmithCorporationsuchthat Y  theplanthasoneormoreenvironmentalobjectivesatanyonetime.Thecurrentenvironmentalobjectivesarerecordedusingformat_OTP_Ԅ01.Wherepossible,environmentalobjectivesarequantifiedandatleastoneindicatordeveloped. (#(# 2.0  The_IEMS_Ԁcommitteeisresponsiblefordevelopingandrecommendingpotentialnew t environmentalobjectivestotopplantmanagement.Inidentifyingpotentialnewobjectives,thecommitteeconsidersthefollowing: (#(# L A4:;<=?@ p33L7b    7b0 `   Environmentalpolicy7b݌` (#` (# Ќ  0  7b  7b80` (#(#  The_SEAs_Ԁofthecompany,consideringespeciallythose_SEAs_Ԁthatposechemical } risk7b8S݌ ` (#` (# Ќ  0  7b  7bv0` (#(#  Applicablelawsandregulationsandpotentialfuturelawsandregulations7bv݌Q` (#` (# Ќ  0  7b  7b_ 0` (#(#  Practicalbusinesscriteria,suchasthepotentialcostsandbenefitsofpursuinga ; particularenvironmentalobjective7b_ z ݌ ` (#` (# Ќ  0  7b  7b!0` (#(#  Theviewsofemployeesandotherinterestedparties7b!!݌` (#` (# Ќ  3.0  Onceenvironmentalobjectivesareestablishedbytopplantmanagement,the_IEMS_  l coordinatorassignsresponsibility(tothemanageroftheoperationsinquestion,whereappropriate)fordevelopingtargetsandactionplanstorealizetheobjectives.Thetargetsandactionplanthatcorrespondtoeachobjectivearerecordedbytheresponsiblepersonusingformat_OTP_Ԅ02(similartoFigures7aand7bofthe_IEMS_ԀImplementationGuide). $" Sometimes,thismayrequireanalternativesevaluationasthefirsttarget(oractionitem).SeeP_AE_, ConductinganAlternativesEvaluation,formoredetail. #_& $(#(#( #P P ( P  &  Frequency w Environmentalobjectivesarereviewedonayearlybasis.Thetargetsandactionplansaredevelopedandrevisedasneededbythecommittee.'w%Records   Environmentalobjectivesarerecordedusingformat_OTP_Ԅ01(EnvironmentalObjectives),andthetargetsandactionplansthatcorrespondtoeachobjectivearerecordedusingformat_OTP_Ԅ02(ActionPlan).The_IEMS_Ԁcoordinatorisresponsibleformaintainingtheserecords.   : ( , n   TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3' LetterT_OTP_Ԅ01:EnvironmentalObjectives   _(ThefollowingisalistofSmithCorporationscurrentenvironmentalobjectives.@7*#$d ddd dd *dd **dd **dd **dd **dd **dd **dd **dd *,dd ,$..#, dd ,V dd , dd , dd +  *)   *Objective A),! ") ARelatedSEA A),! ") ARelatedEnvironmentalPolicyProvision A),!  ") APerformanceMeasurementIndicator(s) -#!  ") -  YH    o^   o^   o^                   )    ?.    ?.    ?.                !   "   #   $   aP&   wf'   wf(   wf)   +   ,   -  .  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9/#  !0 ,   TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT ( TOTP02:EnvironmentalManagementPlan  H 0*c$|dd dd  V dd V dd  dd  $(#(#, dd ,dd +     Objective  8   j"  Indicator(s)        Target#1  P     P   0 l ActionPlan   lBlB      0 l Person(s)responsible L lBlB   L  0 l Budget  lBlB     0 l Schedule H lBlB   H  0 l Reviewcycle ~lBlB   ~ Target#2  D   D 0 l ActionPlan zlBlB   z 0 l Person(s)responsible @lBlB   @ 0 l Budget vlBlB   v 0 l Schedule <lBlB   < 0 l Reviewcycle rlBlB   r  Target#3  8!   8" 0 l ActionPlan n#lBlB   n$ 0 l Person(s)responsible 4!%lBlB   4!& 0 l Budget "j'lBlB   "j( 0 l Schedule 0$)lBlB   0$* 0 l Reviewcycle %f +lBlB  %f ,  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9L9#  f)$/( T  T ( T    O@}ConductinganAlternativesEvaluation(P_AE_)  H j:[SeeModule4inthe_IEMS_ԀImplementationGuide.]     `     h      p   Purpose  SmithCorporationperiodicallyconductsanalternativesevaluationtoidentifyviableapproachestoreachinganenvironmentalobjective.Analternativesevaluationisatoolforidentifyingalternativeproductsand/orprocessesandevaluatingthemcomparedtothebaselinebasedonbusinessandenvironmentalcriteria.Procedure V  1.0  The_IEMS_Ԁcoordinatorappointsasmallgroup,overseenbyacommitteememberorby *  therelevantoperationsmanager,toidentifyandevaluatealternativestoaparticularactivityorprocesswhereanalternativesevaluationisrequiredformeetinganenvironmentalobjective. (#(# 2.0  ThegroupfirstidentifiesthefunctionthatthisactivityorprocessperformsinSmith t Corporationsoperations.Thegroupalsocharacterizesthebaseline,orthecurrentmannerinwhichthefunctionisbeingcarriedout. (#(# 3.0  Thegroupthenbrainstormsalternativewaysofaccomplishingthisfunction.Potential d alternativesincludeusingadifferentmaterialorchemical,changingworkpractices,and/orchangingprocesstechnologies.Alternativesarerecordedusingformat_AE_Ԅ01(similartoWorksheet41ofthe_IEMS_ԀImplementationGuide),andthemostpromising " alternativesareassignedtoindividualmembersofthegroupforfurtherresearch. (#(# 4.0  Thegroupthenevaluatesthebaselineandalternativesbasedonthefollowing  considerations:operationalperformance,cost,regulatoryimplications,andenvironmentalimpact.Thegroupusesformats_AE_Ԅ02(similartoWorksheet410ofthe_IEMS_  l ImplementationGuide)torecorditsfindings(andformats_AE_Ԅ03to_AE_Ԅ06,asneeded).!V(#(# 5.0  Thegroupmakesarecommendationandpresentsitsrecommendationtothe_IEMS_ r#*! committeeandappropriateoperationsmanagers. (#(# Frequency 0& $ Asoftenasnecessaryinthecontextofdevelopingtargetsandactionplanstomeetenvironmentalobjectives.  *z%)(  O@}! O (s   TRX3' LetterX3' Letter3' Letter3' LetterT O  Records H Formats_AE_Ԅ01(AlternativesIdentification)and_AE_Ԅ02(EvaluationofAlternatives)aremaintainedbythe_IEMS_Ԁcoordinator,aswellas_AE_Ԅ03to_AE_Ԅ06toprovide,asnecessary,supportingdocumentation.   `     h       P(    (a @>>_AE_Ԅ01:AlternativesIdentification  H SignificantEnvironmentalAspect(s):0  (#(# Function:0 ` 0 ` (#` (#0 (# (# h      p (#(# *x$dd dd dd c$|(#(#x,Fdd ,dd ,dd +  *)  f * A),! ") ABaseline A),!  ") APotentialAlternatives -#!  ") -9XX!Products  H    p     H    H Technologies  >         WorkPractices  |   T   T Recycling/Reuse  J$   "%   "& Treatment  "+   `,   `- Disposal  V'"2   .$3 #X!X9L# .$4  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9N#  :)#5( , o   TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3' LetterT_AE_Ԅ02:EvaluationofAlternatives   OSignificantEnvironmentalAspect(s):0   ..    `     h      p     Function:0 `  ` .` . *($*ddFdd Fdd dd $..,dd ,dd ,dd ,dd ,dd ,dd +  *) ^ | *Alternative A),! ") AЀPerformance A),! ") ARegulatory    Considerations A),! ") ACost A),!  ") AEnvironmentalEffects A),! ") AOverallEvaluation -#!") -Baseline9XX!Ԁ *H       *H   *H   *H #X!X9U#9XX!  *H   *H       <Z    <Z    <Z    <Z    <Z    "   .L#   .L$   .L%   .L&   .L' __  *    >+    >,    >-    >.   >/  #X!X9V#9XX!ContactPerson: `     h      p   DateCompleted:#X!X9X# 1     >4  o   _AE_Ԅ03:EvaluationofEnvironmentalEffects   YSignificantEnvironmentalAspect(s):0   .. Function:0 `  ` .` . *B$Ddddd dd dd dd dd dd ($*..,Sdd ,1dd ,#dd ,#dd ,#dd ,dd ,dd ,Fdd ,dd ,dd +  .) Hf .9XX!Alternative V)A2"3) Vd0 ` < ` Eg g d V)A2 "x 3) VChemicalandMaterialRisk"EffectsandExposure H)3$v ") Hd0 ` <o ` Eoood V)A2 "s") Vd0 ` <2 ` Ev2v2v2d V)A2 "|cc#3) Vd}0 ` < ` Ed V)A2"w))$3) VOverall  Ranking V)A2v"w%3) VPreferred  Alternative?(Y/N) V)A2@^"wyy&3) V ?)* ) ? ;)& ) ;d0 ` <g ` Eggg d A),!- ") Ad0! ` < ` E!d A),!- ") A_d0" ` < ` E"d_ <)'!- ") < 6)! ) 6 ?)* ) ? ?)* ) ? ?)* ) ? ' ) '#X!X9\#Baseline e   9W   e   e   e   e   e   e   e    e!   e"   %   &   '   (   )   *   +   ,   -   .   1    '2    '3    '4    '5    '6    '7    '8    '9   ':  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9g#  !<  o   _AE_Ԅ04:EvaluationofPerformance  - hSignificantEnvironmentalAspect(s):0   .. Function:0 `  ` .` . *-$/d dSdd S1dd 1#dd ##dd ##dd #dd dd Fdd Fdd dd B$D..,pdd ,pdd ,pdd ,add ,dd +  *) f *Alternative A),!") AHowWellitWorks A),! ") ATime A),! ") AEaseofUse A),! ") AOverallPerformanceEvaluation -#! ") -Baseline      _2    _2    _2    _2    Y,   n    n    n    n    h!   "   #   $  %  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9|n#  l&  o   _AE_Ԅ05:EvaluationofRegulatoryConcerns  - eoSignificantEnvironmentalAspect(s):0   .. Function:0 `  ` .` . *0$1ddpdd ppdd ppdd padd add -$/..,pdd ,pdd ,pdd ,pdd ,pdd +  *) f *Alternative A),!") AApplicableRegulations A),! ") ARequiredControls A),! ") ACostofCompliance A),! ") AOverallRegulatoryConcernsEvaluation -#!") -Baseline      _2    _2    _2    _2    Y,   n    n    n    n    h"   #   $   %  &  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9t#  l'  o   _AE_Ԅ06:EvaluationofCosts  - uSignificantEnvironmentalAspect(s):0   .. Function:0 `  ` .` . *5$6ddpdd ppdd ppdd ppdd ppdd p0$1..,pdd ,dd ,dd ,dd ,Fdd ,dd ,pdd +  *) f *Alternative A),!") ARawMaterial A),! ") ALabor A),! ") ADisposal A),! ") ATotalCost A),! ") ASavings A),! ") ANetCost -#!") -Baseline  3    uH   uH   uH   uH   uH   uH   oB                    !    "   ~&   '   (   )   *   +  ,  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9|#  l. ,  TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT (u VDevelopmentofOperationalControls(POC)   |[SeeModule6inIEMSImplementationGuide.Makesuretointegrateyourprocessfor g developinganddocumentingoperationalcontrolsforSEAsintowhateverprocessyourcompanyalreadyhasinplaceforoperationalcontrols.] ;  Purpose  | Bydevelopingoperationalcontrolproceduresforcriticalactivities(i.e.,thoseactivitiesassociatedwithSEAs),SmithCorporationintendstomitigateandcontrol,totheextentpossible,theenvironmentalimpactsassociatedwithitsSEAs.Procedure   1.0  TheIEMScommittee,withadditionalinputfromotheremployeesasneeded,carriesout _  arootcauseanalysisofeachSEAtodeterminetheunderlyingcause(s)oftheenvironmentalimpact.Aspartoftherootcauseanalysis,thecommitteewilldeterminetheneedfor(andadequacyof,ifalreadyexisting)operationalcontrolprocedurestocontrolthecriticalactivitiesrelatedtotheSEAinquestionandrecorditsfindingsonformatOC01(similartoWorksheet61intheIEMSImplementationGuide).The ^ committee,withinputfromoperationsmanagersasneeded,willalsoselectoneormoreindicatorsperSEAforpurposesofmonitoringSmithCorporationsenvironmentalperformanceasrelatedtotheSEAs. (#(# 2.0  Wherethereisaneedtocreateormodifyanoperationalcontrolprocedure,theIEMS  committeeassignsamemberofthecommitteetodraftanoperationalcontrolprocedure,basedonconsultationwiththeemployeeswhoundertakethatprocedure.Inmanycases,aseparateoperationalcontrolproceduremaynotberequired,rathertheintegrationofenvironmentalcontrolproceduresintoanexistingprocedure.Theoperationalcontrolprocedureshouldtaketheformofa WorkInstruction,namelyasummarylistofrequiredstepsormeasures.Inadditiontodescribingthestepsnecessarytocarryouttheparticularactivityinanenvironmentallysoundmanner,theworkinstructionshouldalsoincludestepstoconductmonitoring,whereapplicable. (#(# 3.0  Aftertheoperationalcontrolprocedurehasbeendevelopedandimplemented,itsstatusis $" recordedassuchonformatOC01.TheprocedureitselfentersintotherelevantSmithCorporationoperatorshandbookand/orispostedatthesiteoftheactivityinquestion. (#(# &  Frequency O("& AsnewSEAsareidentified.ForexistingSEAs,areviewoftheassociatedrootcauseanalysisandoperationalcontrolproceduresisconductedyearly.'O(  ,N'+(  V) V ( V  Records  FormatOC01(IEMSOperationalControlProcedures)ismaintainedbytheIEMScoordinator.TheproceduresthemselvesaremaintainedintherelevantSmithCorporationoperatorshandbookand/orpostedatthesiteoftheactivityinquestion.  ; (  ,  p   TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3' LetterTOC01:_IEMS_ԀOperationalControlProcedures  -  *%$&ddpdd pdd dd dd Fdd Fdd pdd p5$6..,dd ,dd ,ldd ,pdd , dd ,dd ,:dd +  *)   *9XX!SEA#X!X9# A),!O "") A9XX!Indicator(s) A),!O "") AAssociatedJobFunctions A),! ") AExistingOperationalControlProcedures A),!  ") AOperationalControl_Procedres_Development/ModificationNeeded A),!  ") AResponsible/Status#X!X9B# A),! ") A9XX!Location O " Posted#X!X9# 1'! ") 1 * A"``a *9XX! &A"XXa &     A   A   A   A             3    3    3    3             #   % $   % %   % &   % '   '   '   ~*   +   ,   -   .  *  / Uu * & 0 Vu &  p3    4    5    6    7   j7   j7   b:   ;   <   = #X!X9E# >  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9i#  ]!0@ ,  TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT ( WEnvironmentalTraining(AwarenessandTaskSpecific)(PET)   P[SeeModules6and8inthe_IEMS_ԀImplementationGuide;Module8offersasampleformatfor g trackingtrainingincaseyourHRstaffdoesnotdothisalready.] Q Purpose %  Toensurethatitsemployeescarryouttheirdutiesinasenvironmentallyresponsibleamanneraspossible,SmithCorporationprovidesallemployeeswithenvironmentalawarenesstrainingonenvironmentalissuesandprovidestaskspecifictrainingtothoseemployeeswhosejobsareassociatedwithsignificantenvironmentalaspects.Procedure   AwarenessTraining1.0  Allnewemployeesreceivea15minuteintroductiontotheSmithCorporations_IEMS_, 3 specificallyitsenvironmentalpolicy,significantenvironmentalaspects,andenvironmentalobjectives.Thisintroduction,whichincludesanopportunityforthenewemployeestoaskquestionsaboutthe_IEMS_,isgivenbythehumanresources(HR)manageraspartofhisgeneralorientationfornewemployees.RecordsofemployeeswhohavereceivedthisintroductionaremaintainedbytheHRdepartment. (#(# 2.0  Eachyearemployeesareinvitedtoacompanypicnic.Oneofthescheduledeventsfor  thispicnicisa15minutetalkbyamemberofSmithCorporations_IEMS_Ԁimplementationcommittee.ThispersonspeaksabouttheenvironmentalaccomplishmentsoftheSmithCorporation,thestateofits_IEMS_,andthegoalsforthecomingyear.Theseremarksprovideanupdatetotheinitial_IEMS_Ԁawarenesstrainingreceivedbyemployees. (#(# TaskSpecificTraining3.0  Usingtherootcauseanalysisasatool(seePOCandformatOC01),the_IEMS_ !V committee,workingincoordinationwiththeappropriateoperationsmanagers,identifiesthejobfunctionsthatareassociatedsignificantlywitheachSEA. (#(# 4.0  The_IEMS_Ԁcommittee,inconjunctionwiththerelevantoperationsmanager,then %# determineswhattrainingemployeesperformingeachofthesejobfunctionsshouldreceiveinordertocontrolactualenvironmentalimpactstothegreatestpossibleextent. (#(# 5.0  Operationsmanagersareresponsibleforensuringthattheiremployeesreceivethe 9)#' appropriatetaskspecificenvironmentaltraining.Wherepossible,environmentaltrainingisintegratedwithothertypesoftraining(e.g.,operational)thatemployeesarereceiving.TheHRmanagerkeepsrecordsofthetrainingreceivedbyeachemployee. (#(#   -8(,(  W, W ( W  Frequency  AwarenesstrainingisgiventonewemployeesduringtheirfirstweekatSmithCorporation.TaskspecifictrainingisgiventorelevantemployeesastheytakeonanewfunctionthatisassociatedwithaSEA.Taskspecifictrainingisupdated,asnecessary.Records  | RecordsoftheawarenessandtaskspecifictrainingreceivedbyeachemployeearekeptbytheHRmanager.Thejobfunctionsassociatedwithenvironmentallycriticalactivities(i.e.,thosefunctionsthatshouldreceivetaskspecifictraining)arelistedonformatOC01.  $ (     ( EmergencyPreparedness(PEP)   w[Note:thisprocedureassumesthatyourcompanyhasageneralemergencyresponseplanin g place,intowhichenvironmentalconsiderationscanbeintegrated.] Q Purpose %  Aspartofits_IEMS_,SmithCorporationstrivestoensurethattheenvironmentalimpactsassociatedwithanyemergencysituationsareminimizedtothegreatestextentpossible.Procedure $  1.0  SmithCorporationhasanEmergencyResponseCommitteechargedwithidentifying   potentialemergencyscenariosanddevelopingandensuringtheimplementationofappropriateprocedures,shouldanemergencysituationdevelop. (#(# 2.0  Withtheassistanceofthe_IEMS_Ԁcoordinator,theEmergencyResponseCommitteea) 3 identifiesthepotentialnegativesignificantenvironmentalimpactsassociatedwithpotentialemergencyscenarios,b)incorporatesmeasurestominimizetheseimpactsintoemergencyresponseprocedures,andc)ensuresthatadequatetraining(includingsimulations)isprovidedtoappropriateSmithCorporationstafftoimplementtheseprocedures. (#(# 3.0  TheEmergencyResponseCommitteemaintainsrecordsofthepotentialemergency  scenariositispreparedfor,thepotentialenvironmentalimpactsassociatedwitheachscenario,andtheproceduresestablishedtominimizetheseimpacts.TheHRmanagerkeepsrecordsoftrainingreceivedbystaffonimplementationofemergencyresponseprocedures. (#(# Frequency   TheEmergencyResponseCommitteemeetsquarterlytoreviewthestatusofitswork.Records #*! Recordsofemergencyscenarios,associatedpotentialenvironmentalimpacts,andprocedurestomitigatetheseimpactsarekeptbytheEmergencyResponseCommittee.TrainingrecordsarekeptbytheHRmanager.  e'!%(     ( XReviewofNewPurchases,Processes,andProducts(P_NPPP_)   [Note:Thisprocedurewillalmostcertainlyneedtobesubstantiallymodifiedinordertofitthe g situationofyourcompany.Smallercompaniesmaynothaveaformalnewproductdesignorfacilitiesengineeringgroup,forexample.Thekeyistofindaway(thatcanbedocumentedandverified,ifpossible)ofensuringthatwhennewchemicalsarebeingpurchased,whennewproductsarebeingdeveloped,orwhenafacilityisbeingsubstantiallymodified,environmentalconsiderationsaretakenintoaccount.SeeModule7,Worksheet71inthe_IEMS_ԀImplementationGuide.]  P Purpose $  Whenpurchasingnewchemicalsupplies,modifyingitsprocesses,andmakingnewproducts,SmithCorporationstrivestoensurethatenvironmentalconsiderations,particularlythoserelatedto_SEAs_,aretakenintoaccount.Procedure 3 1.0  Whenprocessinganorderforanewchemicalorotherpotentiallyharmfulinput,the t purchasingmanagerclearsthepurchasewithamemberofthe_IEMS_Ԁcommittee.The_IEMS_Ԁcommitteememberinitialstheboxmarked environmentalapprovalintheNewPurchaseApprovalFormtosignifyhisorherapprovalofthepurchase. (#(# 2.0  SmithCorporationhasaproductdevelopmentgroupandfacilitiesengineeringgroup.  TheproductdevelopmentgroupdevelopspotentialnewproductsthatSmithCorporationcouldoffer(sometimestheseareidentifiedbythesalesandmarketinggroup,sometimestheyareidentifiedinternally).Thefacilitiesengineeringgroupisresponsibleforreconfiguring(or,insomecases,expanding)thefacilitysproductionlinestoproducenewproducts. (#(# 3.0  Theproductdevelopmentgroupnotifiesamemberofthe_IEMS_Ԁcommitteebeforefinal  l approvalofanewproductdesign.The_IEMS_Ԁcommitteememberreviewsthedesigninlightofthefacilitys_SEAs_Ԁandenvironmentalobjectivesandtargets.Whenthecommitteememberissatisfiedthatthenewdesignisinaccordancewiththeplantsenvironmentalgoals,heinitialstheappropriateboxintheDesignApprovalFormthatissenttothepresidentforapproval. (#(# 4.0  Thefacilitiesengineeringgroupisresponsiblefornotifyingamemberofthe_IEMS_ e'!% committeebeforefinalapprovalofanyFacilityModificationorExpansionPlan.(TheFacilityModificationorExpansionPlanisrequiredforanyfacilitiesengineeringjobthatcostsmorethan$20,000.)The_IEMS_Ԁcommitteememberreviewstheplaninlightofthefacilitys_SEAs_Ԁandenvironmentalobjectivesandtargets.Whenthecommitteememberissatisfiedthatthenewdesignisinaccordancewiththeplantsenvironmentalmanagementgoals,heinitialstheappropriateboxintheFacilityModificationorExpansionPlanformthatissenttotheoperationsmanagerforultimateapproval.#-8(,(#(#(u #X/ X ( X  Frequency } Asnewchemicalsarepurchased,newproductsaredeveloped,and/orproductionlinesaremodified.Records  | TheNewPurchaseApprovalFormsaremaintainedbythepurchasingmanager.TheDesignApprovalFormsaremaintainedbytheproductdevelopmentgroup.TheFacilityModificationorExpansionPlansaremaintainedbythefacilitiesengineeringgroup.  $ (     (e ZDocumentationandDocumentControl(PD)   ޿[SeeModule8inthe_IEMS_ԀImplementationGuide.] g Purpose ;  Toensureeffectiveoperationofthe_IEMS_,SmithCorporationdocumentstheproceduresofits_IEMS_Ԁandkeepsrecordsoftheoutcomesof_IEMS_Ԁprocesses,andoftheimportantenvironmentalissuesfacingtheplant.This_IEMS_Ԁmanualcomprisesthisdocumentation.Documentationiskeptuptodate.Procedure   1.0  The_IEMS_ԀcoordinatordocumentstheproceduresthatdefineSmithCorporations_IEMS_ u  inthismanual.The_IEMS_Ԁcommitteeformallyreviewsand,ifnecessary,revisesthismanualonanannualbasis.Revisedmanualsareassignedanewrevisionnumber(aminorsetofrevisionswouldchangethenumberfrom,say,1.1to1.2;amajorrevisionwouldchangethenumberfrom,say,1.1to2.0).Finally,the_IEMS_Ԁcoordinatorensuresthatnoemployeesormanagersuseoutdatedrevisionsofthismanual. (#(# 2.0  The_IEMS_Ԁcoordinatormaintainsupdatedrecordsofthefollowingoutcomes,orresults, H ofthefunctioningofthe_IEMS_: (#(# 0  7b  7bV0` (#(#  Environmentalpolicy7bVq݌` (#` (# Ќ  0  7b  7b 0` (#(#  Environmentalaspects(EA01,EA02,EA03)7b %݌` (#` (# Ќ  0  7b  7b0` (#(#  Applicabilityoflegalrequirementsto_EAs_Ԁ(_LR_Ԅ01);notethatcopiesofthe m regulationsthemselvesaremaintainedbythe_IEMS_Ԁmanagementrepresentative7b݌ ` (#` (# Ќ  0  7b  7bx0` (#(#  Significantenvironmentalaspects(SEA01)7bx݌A` (#` (# Ќ  0  7b  7bB0` (#(#  Objectives,targets,andactionplansforenvironmentalmanagementprograms + (OTP01,_OTP_Ԅ02)7bB]݌ ` (#` (# Ќ  0  7b  7bj0` (#(#  Resultsofalternativesevaluations(AE01,AE02,_AE_Ԅ03_AE_Ԅ06)7bj݌ l` (#` (# Ќ  0  7b  7b0` (#(#  Listofoperationalcontrolproceduresrelatedto_SEAs_Ԁ(OC01)7b݌!V` (#` (# Ќ  0  7b  7b0` (#(#  Resultsofinternalassessments(IA01andIA02)7b݌"@ ` (#` (# Ќ  0  7b  7bZ0` (#(#  Correctiveactionstaken(_TCA_Ԅ01)7bZu݌#*!` (#` (# Ќ  0  7b  7b;0` (#(#  Managementreviews(_MR_Ԅ01)7b;V݌$"` (#` (# Ќ  0  Theseitemsaredescribedinmoredetailintherelevantproceduresinthismanual. (#(# 3.0  The_IEMS_Ԁcoordinatorisnotresponsibleformaintainingrecordsofenvironmental O("& trainingandemergencyresponsepreparations;theoperationalcontrolproceduresthemselves;ortheNewPurchaseApprovalForms,theDesignApprovalForms,ortheFacilityExpansionorModificationPlans.Theserecordsaremaintainedbytheappropriatepersonorgroup,asspecifiedintherelevantproceduresofthismanual. (#(#   -8(,(  Z1 Z (T Z  Frequency  Manualreviewandrevisiononanannualbasis.Records ;  Maintainedasoutlinedintheprocedure.   |(      ( ConductingaComplianceAssessment(PCA)   [SeeModule7inthe_IEMS_ԀImplementationGuide.] g Purpose ;  SmithCorporationconductsaperiodiccomplianceassessmenttoensurethatitcomplieswithallapplicablelocal,state,andfederalenvironmentalregulations.Procedure  :  1.0  The_IEMS_Ԁmanagementrepresentativemaintainscopiesofapplicablelegalregulations,   whicharesummarizedonformatLR01.Basedontheseregulations,the_IEMS_managementrepresentativeandcoordinatorcompilealistofquestionsasancomplianceassessmentprotocol.ThesequestionsareintendedtobesufficienttothecompliancestatusofSmithCorporationwithrespecttoapplicableenvironmentalregulations(boththepaperworkandtheperformancerelatedcomponents). (#(# 2.0  The_IEMS_Ԁcoordinatorandanotheroperationsmanagercarryouttheassessmentby t determiningandrecordingtheanswerstothecomplianceassessmentprotocol.Whentheyaredonewiththecomplianceassessment,theynoteanyactualorpotentialcomplianceissuesonformatCA01(ComplianceTrackingLog).Eachactualandpotentialcomplianceissueisimmediatelyreferredtocorrectiveaction(seetheTakingCorrectiveActionprocedure,P_TCA_). (#(# Frequency m Monthly.Records   ComplianceassessmentresultsarerecordedbytheinternalassessmentteamusingthecomplianceassessmentprotocolandusingformatCA01.Recordsaremaintainedbythe_IEMS_coordinator.  #*!(  ,  n   TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3' LetterTCA01:ComplianceTrackingLog  - <   `     h     *I$Jdddd dd ldd lpdd p dd dd :dd :%$&..,dd ,dd ,dd ,dd ,dd ,dd , dd +  *)   *Person 9  Responsible A),!# ) ARegulation A),!9 ) ARootCause A),!9 ) ACompliance 9   CheckDate A),!#  ) AResults A),!9  ) ACorrective 9   Action/Date9XX!(see:_TCA_Ԅ01)#X!X9# A),! ) ACompliance 9  Verified/Date -#!# ) -  U(   k>   k>   k>   k>   k>   k>                               % "   ; #   ; $   ; %   ; &   ; '   ; (   `*   v+   v,   v-   v.   v/   v0   2    3    4    5    6    7   8  9XX!   `     h     #X!X9#  : ,   TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT ( \ConductinganInternalAssessment(PIA)   [SeeModule9intheIEMSImplementationGuide.] g Purpose ;  SmithCorporationconductsperiodicinternalassessmentsofitsIEMStoensurethatitisbeingimplementedandoperatedaccordingtotheprocedureslaidoutinthismanual.Procedure  :  -, XX!-1.0  Atintervals,ateamoftwoorthreeoperationsmanagersoremployees,whoarenotonthe   IEMScommittee,conductsaninternalassessmentofSmithCorporationsIEMS.Theassessmentteamusesthismanualasthebasisforitsassessment.Inparticular,theassessmentteamcheckstomakesurethat: (#(#  3     352 3  0 4   Eachprocedureisbeingcarriedoutasstatedinthismanual35l݌34(#4(# Ќ   3     312 3  0 4   SmithCorporationsenvironmentalpolicyisbeingupheld31h݌4(#4(# Ќ   3     3,2 3  0 4   Progressisbeingmadeinmeetingtheenvironmentalobjectives3,c݌t4(#4(# Ќ  0  Theassessmentteambasesitsevaluationonobjectiveevidence,includingdocumentationandrecords(e.g.,thosecitedinthismanual),interviewswithkeyemployees,andobservations.Notethatthisisnotacomplianceaudit.(#(# 2.0  TheassessmentteamcompletesthechecklistonformatIA01andwritesupitsfindings  usingformatIA02.A majornonconformityoccurswhenanIEMSprocedureisclearlynotbeingimplemented,whenoneofthecommitmentsinthepolicyisnotbeingupheld,orwhennoprogressisbeingmadeinachievinganenvironmentalobjective;a minornonconformityoccurswhenaprocedureisbeingimplementedinconsistently,yetwithoutcausingmajorfailingsintheIEMSasawhole. (#(# L 85h(pA4:;<=?@L 3   325h  3  .3  0    Eachnonconformityisimmediatelyreferredtocorrectiveaction(seetheTaking !V CorrectiveActionprocedure,PTCA).3݌ (#(# Ќ  4.0  Recordsofeachassessment(i.e.,formatsIA01andIA02)aremaintainedbytheIEMS $" coordinator. (#(# Frequency e'!% Atleasttwotimesperyear.   4    +z%)(  \5 \ (d \  Records  AssessmentresultsarerecordedbytheinternalassessmentteamusingformatsIA01andIA02(InternalAssessmentChecklistandInternalAssessmentRecord).RecordsaremaintainedbytheIEMScoordinator.  ; (      ( IA01:InternalAssessmentChecklist   zInternalAssessmentTeam:0  0h(#(#gh(#h(# DateofInternalAssessment:0  ; (#(# Signed:______________________IEMS_ԀProcedures:Checkeachitemassessed(includesauditingofrecords,whereapplicable):__0  Environmentalpolicy(adherencetopolicycommitments) (#(# __0  Environmentalobjectives(progress;implementationofactionplans) (#(# __0  _IEMS_Ԁresponsibilities(RESP01)u (#(# __0  IdentificationofEnvironmentalAspects(PEA)_ (#(# __  IdentificationofLegalRequirements(PLR) I  __  IdentificationofSignificantEnvironmentalAspects(PSEA) 3 __  DevelopmentofObjectives,Targets,andActionPlans(P_OTP_)  __  ConductinganAlternativesEvaluation(P_AE_) t __  DevelopmentofOperationalControls(POC) ^ __  EnvironmentalTraining(AwarenessandTaskSpecific)(PET) H __  EmergencyPreparedness(PEP) 2 __  ReviewofNewProductsandProcesses(P_NPP_)  __  Documentation(PD)  __  ConductingaComplianceAssessment(PCA)  __  ConductinganInternalAssessment(PIA) m __  TakingCorrectiveAction(P_TCA_) W __  ManagementReview(P_MR_) A IEMSPerformance__  Achievedobjective#1 "@  __  Achievedobjective#2 #*! __  Achievedobjective#3 $" 9XX!ContactPerson: `     h      p   DateCompleted:#X!X9#  e'!%(     ( IA02:Internal AssessmentRecord   *$dddd dd dd dd dd dd  dd I$J(#(#,<dd ,<dd +   i InternalAssessmentTeam  :   : DateofInternalAssessment  K    K  Signed   6    6 MajorNonConformitiesObserved <2 G    ?1.?<_1._ \R, 2   ?1. ?  @2.@\_2._ \R,C   @2. @  @3.@\_3._ E;,.   @3. @ EMinorNonConformitiesObserved E;?   ?1.?E_1._ \R,*  ?1. ?  @2.@\2. \R,;  @2. @  @3.@\3. <2,&  @3. @ <IsSmithCorporationmakingprogressinmeetingits_IEMS_Ԁobjectives?  b IsSmithCorporationadheringtothecommitmentsinitsenvironmentalpolicy?  1 SuggestionsforImprovingthe_IEMS_m#  9XX!ContactPerson: `     h      p   DateCompleted:#X!X9#  [& (     ( TakingCorrectiveAction(PTCA)   [SeeModule9intheIEMSImplementationGuide.] g Purpose ;  SmithCorporationusesaformalcorrectiveactionprocesstoensurethatactualorpotentialcomplianceissuesandIEMSnonconformitiesareaddressedquicklyandeffectively.Procedure  :  1.0  Themanagementrepresentativeassignsresponsibilityfortakingactiontocorrecteach   actualorpotentialcomplianceissueornonconformityidentifiedinacompliance   assessmentoraninternalassessment(seePCAandPIA,respectively)toanappropriate u  manageroremployee.Togethertheyfilloutthe StatementoftheProblempartoftheCorrectiveActionNotice(formatTCA01;similartoWorksheet77intheIEMS I  ImplementationGuide).3(#(# 2.0  Thepersonresponsiblethenundertakesthecorrectiveactionrequired,callinguponthe t managementrepresentative,theIEMScommittee,andothersforassistanceasnecessary. (#(# 3.0  Theresponsiblepersonandthemanagementrepresentativefilloutthe Completionof 2 CorrectiveActionpartoftheCorrectiveActionNoticewhencorrectiveactioniscomplete. (#(# Frequency m WheneversignificantproblemsinthefunctioningoftheIEMSareidentified,primarilythroughtheinternalassessmentprocess.Records  l CorrectiveactionisrecordedusingformatTCA01;recordsaremaintainedbytheIEMScoordinator.  #*!(      ( _TCA_Ԅ01:CorrectiveActionForm    *x$dd<dd <<dd <$(#(#x_,xdd +   g  StatementoftheProblem  8   ]  Date   H  Descriptionofnonconformityoractualorpotentialcomplianceissue    Descriptionofpotentialsolution  S Personresponsibleforcorrectiveaction   Deadlineforcompletionofcorrectiveaction  N  CompletionofCorrectiveAction  _ Actionstaken  $ Results  'D"! Date U)#" Signed: 4 _______________________    __________________________ C,&$ ЀManagementRepresentative     p PersonResponsible  --'%(  ] (e @ CommunicationwithStakeholders(PCS)   [SeeModule8in_IEMS_ԀImplementationGuide.] g Purpose ;  Toensurethatinterestedexternalstakeholdersreceiveappropriateinformationaboutthecompanysenvironmentalactivities,SmithCorporationhasdevelopedacompanypolicyforconsideringand,whereappropriate,respondingtoqueries,comments,orcomplaintsfromstakeholders.Procedure   1.0  The_IEMS_Ԁcommitteeidentifiesstakeholdersandtheirpotentialinterestsinthe u  environmentalperformanceofSmithCorporationusingformatCS01,StakeholdersandEnvironmentalIssues.Ifthecommitteedecidesthat_proactive_communicationon I  environmentalissuesisnecessarywithanygroup,thatdecisionisrecordedonCS01andresponsibilityisdesignated. (#(# 2.0  WhenanyformofcommunicationisreceivedregardingSmithCorporations ^ environmentalperformanceormanagementfromastakeholder,thatcommunicationisimmediatelyforwardedtothe_IEMS_Ԁmanagementrepresentative. (#(# 3.0  The_IEMS_Ԁmanagementrepresentativeconsidersthenatureofthecommunicationand  makesadecisiononwhetherandhowtorespondtoitbasedontheguidancebelowandonthemorespecificguidanceinCS01.The_IEMS_ԀmanagementrepresentativeisresponsibleformaintainingrecordsofeachsuchcommunicationandresponseusingformatCS02,StakeholderCommunicationRecord.Whereinternalactionsarenecessarytoaddressthecommunication,thisisnotedonCS02andaCorrectiveActionForm(_TCA_Ԅ01)isinitiated. (#(# 0  GuidanceforCommunicatingwithStakeholdersonEnvironmentalIssues:Smith !V Corporationsenvironmentalpolicyisavailabletoallstakeholdersuponrequest.SmithCorporationwilldoitsbest,however,torespondinkindtoallgoodfaithcommunicationsfromstakeholdersaboutenvironmentalissues,includingcomplaints,comments,andinformationrequests.However,SmithCorporationmaynotchoosetorespondinallcases,particularlyiftherequestismadeinbadfaithorifsensitiveinformationisrequested. (#(# &  Frequency 9)#' Asperenvironmentalcommunication.'9)q  ,N'+(   ];; ] (n ] ((n   Records  RecordsofenvironmentalcommunicationsfromstakeholdersandSmithCorporationsresponsesarekeptbythe_IEMS_ԀmanagementrepresentativeandaretrackedusingformatCS02.AnupdatedversionofCS01,StakeholdersandEnvironmentalIssues,iskeptinthismanual.  ; (  ,  r TRP$'3 Letter LandscapeX3' Letter'3 Letter Landscape3' LetterT@!CS01:StakeholdersandEnvironmentalIssues  - *e$d dxdd x$..e,dd ,z dd ,dd ,'dd +  *)   *Stakeholder A),!O "") APotentialEnvironmentalInterest A),!O "") A_Proactive_ԀCommunicationPlan O " (ifdesired) A),!9 ") APersonResponsible -#!9  ") -  ^                                 /   [.    [.    [.    T          !   $   %   &  '  9XX!ContactPerson: `     h      p   Date_Completed:#X!X9##  ) , TRX3' LetterP$'3 Letter Landscape3' Letter'3 Letter LandscapeT ( @ CS02:StakeholderCommunicationRecord   *$dddd z dd z dd 'dd '$(#(#,z dd ,dd +   g DateCommunicationReceived  8   8 TypeofCommunication  I    I  ReceivedFrom   4    4 Address/TelephoneNumber/EMail  E     E   ContentofCommunication(attachcopyifpossible)  0    k  WillSmithCorporationRespond?  V  0  YES0>""0>">"0""NO V "" DateofResponse  g   g PersonResponding  R   R Position  c   c NatureofResponse(attachcopyifpossible) N    AreInternalActionsNecessary?(IfYes,filloutaCorrectiveActionForm.) t !!  9XX!ContactPerson: `     h      p   DateCompleted:   $ #(   #X!X9O+#  $ #(  (r `@ManagementReview(P_MR_)   [SeeModule9inthe_IEMS_ԀImplementationGuide.] g Purpose ;  Toensuretheeffectivenessofthe_IEMS_Ԁanditscontinualimprovement,SmithCorporationtopmanagementperiodicallyreviewstheimportantelementsandoutcomesofthe_IEMS_.Procedure  :  1.0  Inpreparationforthemanagementreview,the_IEMS_Ԁmanagementrepresentativegathers   thefollowinginformationandmakesitavailabletotopplantmanagement,includingtheownerandPresidentofSmithCorporationandtheplantmanager: (#(# 0  7b  7b/04(#(#  Environmentalpolicy7b//݌I 4(#4(# Ќ  0  7b  7b004(#(#  Listof_IEMS_Ԁcommitteeandothersresponsibleformajorpartsofthe_IEMS_Ԁ(_RESP_Ԅ 3 01)7b00݌ 4(#4(# Ќ  0  7b  7b104(#(#  Listofsignificantenvironmentalaspectsandcriteriaofsignificance(SEA01)7b11݌t4(#4(# Ќ  0  7b  7b204(#(#  Updateoncompliancestatusoftheplantandonanypotentialupcomingregulations ^ thatmightrequireanadvancestrategy7b22݌ 4(#4(# Ќ  0  7b  7b304(#(#  Listofenvironmentalobjectivesandtargets(_OTP_Ԅ01and_OTP_Ԅ02)7b34݌24(#4(# Ќ  0  7b  7b504(#(#  Environmentalperformanceresults(frommonitoringandmeasuringSEAindicators  andindicatorsofprogresstowardenvironmentalobjectivesandtargets)7b525݌ 4(#4(# Ќ  0  7b  7bZ604(#(#  Bulletpointdescriptionofotheraccomplishmentsofthe_IEMS_Ԁ(e.g.,numberof  peopletrained,etc.)7bZ6u6݌ 4(#4(# Ќ  0  7b  7b704(#(#  Resultsofmostrecent_IEMS_Ԁinternalassessment(IA02),complianceassessment W (CA01),andcorrectiveactionstaken7b77݌ 4(#4(# Ќ  0  7b  7b804(#(#  Descriptionanddocumentationoffeedbackfromstakeholders(ifreceived)7b88݌+4(#4(# Ќ  0  7b  7b904(#(#  Analysisofthecostsandbenefitsofthe_IEMS_Ԁ(asquantitativeaspossible)7b99݌ 4(#4(# Ќ  2.0  Topplantmanagementmeetstoreviewanddiscusstheinformationpresented.The_IEMS_ !V managementrepresentativeandcoordinatorwillalsobepresent.Dependingonitsreview,topmanagementmaydirectspecificand/orsignificantchangesinthescaleanddirectionofthe_IEMS_Ԁinordertoimproveitseffectivenessandbusinessvalue.Theconclusionsanddirectivesthatresultfromthemanagementreviewarerecordedusingformat_MR_Ԅ01andkeptbythe_IEMS_Ԁcoordinator. #{& $(#(#( #`? ` (p `     (         (    Resultsofmanagementreviewsarerecordedusingformat_MR_Ԅ01.Recordsarekeptbythe_IEMS_Ԁcoordinator. & f Frequency Q Quarterly.Records  f 'fQ>    : (                     : (    _MR_Ԅ01:ManagementReviewRecord  g @*x~$d dz dd z dd $(#(#x,<dd ,<dd +   ;  Dateofreviewmeeting          Personspresentatmeeting !   !AName    Position                                       ~   ~ Conclusions  6 Actionstobetaken  G Person(s)responsible  G    2     2!   C""   C"#   #.$   #.%   ?%&   ?%'   &*!(  &*!)  Signed: 4 _______________________    __________________________ )$+ ЀManagementRepresentative     p PlantManager   *%,