Guideline of the UGA to the tasks of Environmental Verifiers

Guideline of the German EMAS Advisory Board (UGA) to the tasks of Environmental Verifiers

in accordance with Regulation (EC) No 1221/2009 ("EMAS III")

- November 2012 -

6. Edition

Translation of the original German version. Only the German version of the text is binding.

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Preface to the 6th Edition (March 2012)

The German EMAS Advisory Board (UGA) is responsible according to § 21 (1) No 1 in con-junction with § 15 of the Environmental Audit Act (UAG), among other things, for the task of specifying the requirements for the review of environmental verifiers and environmental veri-fication organisations. A review of the question as to whether the environmental verifiers and the environmental verification organisations have properly performed the tasks required of them first of all presupposes a more detailed definition of these tasks. For this reason, the German EMAS Advisory Board decided in 1997 to adopt a Guideline for this. Against the background of the new EMAS Regulation (Regulation (EC) No 1221/2009) which came into force in January 2010, the Guideline for Tasks was completely revised and is now in its sixth edition. The Guideline assists the environmental verifiers in fulfilling the tasks as-signed to them under the EMAS system. With the entry into force of this Regulation (referred to as "EMAS III") changes also arose in the application of the Commission guidelines, which were created for handling the previous regulation No 761/2001 ("EMAS II"). The European Commission Decisions 2001/681/EC (on the entities suitable for registration to EMAS, on verification, validation and audit frequency, and on the use of the EMAS logo) and 2006/193/EC (use of the EMAS logo on transport packaging and tertiary packaging) were repealed. Two Commission Recommendations (2001/680/EC and 2003/532/EC) were not repealed. The elements of these recommendations that were considered by the Commission to be use-ful were included in the new EMAS Regulation. The relevant guidelines may however contin-ue to be used for assistance, insofar as their content does not deviate from the specifications of the new EMAS Regulation 1221/2009: Commission Recommendation 2001/680/EC contains four Annexes:

• Guidance on the EMAS environment statement • Guidance on employee participation within the framework of EMAS • Guidance on the identification of environmental aspects and assessment of their sig-

nificance • Guidance to verifiers on the verification of small and medium-sized enterprises

(SMEs), particularly small and micro-enterprises Commission Recommendation 2003/532/EC with “Guidance on the selection and use of en-vironmental performance indicators for the EMAS regulation”. The term "environmental verifier" was preserved from the previous editions for better reada-bility, however this also includes female environmental verifiers of course, as well as envi-ronmental verification organisations.

Guideline of the German EMAS Advisory Board to the tasks of environmental verifiers in accordance with Regulation (EC) No 1221/2009 ("EMAS III") Translation of the original German version. Only the German version of the text is binding.


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Preface to the 4th Edition (November 2001)

The German EMAS Advisory Board (UGA) is responsible according to § 21 (1) No 1 in con-junction with § 15 of the Environmental Audit Act (UAG), among other things, for the task of specifying the requirements for the review of environmental verifiers and environmental veri-fication organisations. A review of the question as to whether the environmental verifiers and the environmental verification organisations have properly performed the tasks required of them, first of all presupposes a more detailed definition of these tasks. For this reason, the German EMAS Advisory Board decided in 1997 to adopt a guideline defining these tasks. This was mainly done because the experience gained through the verification of sites under Regulation (EEC) No 1836/93 (EC Environmental Audit Regulation) had shown that there was still need for clarification in many cases with regard to the tasks of the environmental verifiers within the framework of site validation. The guideline has previously undergone two revisions. In the 3rd edition published in Octo-ber 1998, a supplement was added with regard to the tasks associated with the specifica-tions of the EC Environmental Audit Regulation, concerning the verification of sites with or without ISO 14001 certification. This 4th and completely revised version brings the description of the tasks of environmental verifiers into line following the revision of the EC Eco-Management and Audit Regulation. It refers to Council Regulation (EC) No 761/2001 of the European Parliament and of the Coun-cil in force since 27 April 2001 allowing voluntary participation by organisations in a Commu-nity eco-management and audit scheme (EMAS), which replaces the original Eco-Management and Audit Regulation (EMAS I). Part I of the Guideline provides an overview of the tasks of environmental verifiers in accord-ance with Regulation (EC) No 761/2001 in four task complexes A, B, C, and D. The tasks of the environmental verifier are set against the validation of the first environmental statement, the annual update, the consolidated version and the validation of information in accordance with Annex III 3.5 of the EMAS Regulation. In the subsequent tables section II, the environ-mental verifiers' tasks are each assigned to a colour in the overview of the task complexes. The tasks are described in the order in which they are regularly processed, with reference to the relevant provisions of Regulation (EC) No 761/2001 and with explanatory remarks added. References to requirements, unless stated otherwise, refer to the Article or Annexes to this EMAS II Regulation. Generally speaking, it should be noted that some of the tasks of environmental verifiers are clearly defined, other tasks by the nature of their execution allow more scope. They are therefore to be carried out by the environmental verifier. The environmental verifier's experi-ence and integrity form the basis for completing the tasks. The environmental verifier must be able to justify his decision to the Licensing Body in individual cases where necessary pur-suant to § 28 UAG. The Guideline to the tasks of environmental verifiers within the framework of validation in accordance with Regulation (EC) No 761/2001, should aim to explain the minimum stand-ards required of the work of the environmental verifier as determined by the EMAS Regula-tion and the Environmental Audit Act, in order to ensure the long term validity and credibility of the EMAS system.


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I. Overview of the Tasks of Environmental Verifiers

The activities of an environmental verifier in the framework of the verification and validation in accordance with the EMAS Regulation (EC) No 1221/2009 are divided in this Guideline into four task complexes:

A. Tasks of environmental verifiers within the scope of the verification for the preparation for registration and for validation of the environmental statement (EMAS Article 18 (5)) - The organisation implements the EMAS environmental management system for

the first time and submits its first environmental statement for validation B. Tasks of environmental verifiers within the scope of the verification for the mainte-

nance of registration and for validation of the updated environmental statement (EMAS Article 18 (7)) - The organisation is regularly verified (every one or two years) for the maintenance

of registration and submits its updated environmental statement for validation C. Tasks of environmental verifiers within the scope of the verification for the renewal for

registration and for validation of the environmental statement (EMAS Article 18 (6)) - The organisation is verified for the renewal of registration (after three or four

years) and submits a new, previously designated as "consolidated" environmental statement

D. Tasks of environmental verifiers in the validation of environmental information provid-ed by registered organisations - The organisation presents extracts from the environmental statement or other en-

vironmental information for independent publication using the EMAS logo for vali-dation.

Environmental verifiers are responsible for undertaking certain activities within each of these task complexes in accordance with the EMAS Regulation. These activities are described below in the order in which they are regularly processed, and classified in the four task com-plexes A, B, C, and D. The specifications of the EMAS regulation are hereby presented in one column supplemented with observations on their implementation in a second column. In this way, the activities required can easily be assigned to the respective tasks. The col-oured layout is to facilitate faster orientation. References in the table, unless otherwise stated, relate to the EMAS Regulation (EC) No 1221/2009.


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II. Tables section Tasks and activities at a glance:

Preparation

• Preliminary Audit ABCD • Written agreement with the organisation ABCD • Agreement on the entity to be registered ABC • Verification Programme BC

Implementation

• Examination of the documents ABCD • Visit to the Organisation, including verification of: ABC

• Content of the Environmental Review A • Content of Environmental Policy A C • Content of the Environmental Programme ABC • Content of the Environmental Management System ABC • Content of the Environmental Audit ABC • Content of the Management Review A C • Content of the Environmental Statement A C • Content of the updated Environmental Statement B • Validation of Environmental Information D

Conclusion

• Drafting a Report for the Organisation ABC • Environmental Verifier's Declaration on Verification and Validation Activities ABC

This classification serves as a quick overview. Environmental verifiers must always take the respective circumstances into account for all verifications. This can result in more extensive audits being required following major changes in an organisation than are normally provided for in cases B or C.

Preliminary Audit


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Tasks of environmental verifiers

A B C D Description Remarks

X

X

X

X

Before entering into a contractual relationship, the environ-mental verifier has independently and conscientiously to en-sure, that he is impartial/independent and objective (Article

20, (4) and (5)) that the economic activities (NACE Codes) of the organi-

sation to be verified are completely covered (Article 21, Article 25 (1)) by his accreditation/licence or in coopera-tion with another environmental verifier or a holder of a certificate of specialised knowledge.

The participation of the local Competent Body (Chamber of Commerce and Industry / Chamber of Crafts) and/or the Licensing Body (DAU - Deutsche Akkreditierungs- und Zu-lassungsgesellschaft für Umweltgutachter) is recommend-ed, if the classification of the organisation, including all are-

as/sites to economic activities (NACE Codes), is not en-tirely clear

it is questionable, whether secondary activities per-formed by the organisation are covered by its classifica-tion to a specific NACE Code.

X X X X Preparatory discussions are not to be of an advisory nature

affecting the impartiality of the performance of tasks.

X X X X The necessary independence and impartiality with regard to the organisation, its auditors and consultants must be guar-anteed (Article 20 (4)).

Written agreement with the organisation


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X X X X The environmental verifier shall operate on the basis of a written agreement, which specifies the scope of the activity and the conditions, allowing him to operate in an independent professional manner (Article 25 (1) a and b).

The written agreement should be in the form of a contract based upon the environmental verifier's offer or its ac-ceptance. The extent of the work to be done by the verifier should be specified as the scope of activities, including a description of the organisation being evaluated, including the spatial extension of its sites, its core activities, services or prod-ucts, its equipment and its infrastructure.

X X X X The written agreement commits the organisation to providing the necessary cooperation to the environmental verifier (Arti-cle 25 (1) c and (5)).

The commitment to cooperation should, in particular, ex-press that the organisation shall provide all of the docu-ments required for the preparation and for the duration of the verification to the environmental verifier, that the envi-ronmental verifier shall have unrestricted access to the site or the premises guaranteed, as well as discussions with employees, in particular those responsible for environmen-tal management. Likewise a basis should be created, allowing the audit to be carried out trustfully and effectively. A mutual confidentiality agreement can form part of the agreement.

Written agreement with the organisation


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X X X X When environmental verifiers are cooperating together, they are required to conclude a mutual written agreement with each other as well as separate agreements respectively with the organisation (§ 33 No 1 Sentence 2 Environmental Audit Act).

X X X X Verification activities for organisations / sites outside of the EU must observe the rules in the Commission's EMAS Glob-al Guidance document.

The "Guide to EU corporate registration, third country and global registration under Regulation (EC) No 1221/2009" is available at www.emas.de/rechtliche-grundlagen/europa/, or can be obtained from the office of the UGA.

http://www.emas.de/rechtliche-grundlagen/europa/

Agreement on the entity to be registered


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X X

X

The environmental verifier arranges with the customer, which entity is to be registered as the organisation in the EMAS register. In doing so, he ensures that no entities smaller than a site are intended for registration (Article 2 No 22, Article 25 (2)).

A site is the smallest entity to be considered for registration. At a site, single areas or departments cannot be exempted from registration. Multiple sites of an organisation can be taken together as a single corporate registration and also presented in a joint environmental statement. However it must be ensured that each of these sites shall comply with the EMAS require-ments (Annex II B.3.3.). EMAS remains site-dependent. An organisation is not re-quired to include all of its sites in the EMAS registration, but it shall make sure in its information and in its use of the EMAS logo that it is clear which sites are covered by the registration (Article 10 (3)).

X X X The Competent Bodies may be involved in defining the entity to be registered.

The participation of the Competent Bodies (Chamber of Commerce and Industry, Chamber of Crafts) and/or the Licensing Body (DAU - Deutsche Akkreditierungs- und Zu-lassungsgesellschaft für Umweltgutachter) should be called upon, if the organisation affects the area of several Competent

Bodies and agreement on the place of registration is required

it is not possible to clearly define the organisation in the sense of Article 2 (21) or there are exceptional circum-stances.

Agreement on the entity to be registered


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A B

C D


Description

Remarks

X X If a small organisation wishes to apply for an extension of the verification and validation frequency up to four or two years (Article 7), the environmental verifier must be able to confirm that no significant environmental risks are present the organisation has no substantial changes planned as

defined in Article 8 there exist no significant local environmental problems

that the organisation contributes to

Small organisations that fall under the derogation under Article 7 are defined in Article 2 No 28. The term "significant environmental risks" must be as-sessed by the environmental verifier case by case. What is understood in EMAS as "substantial change" is described in Article 2 No 15. It should be pointed out to the organisation that even with this derogation an annual update of the environmental statement must be prepared. As explained in Article 7 (3), this does not have to be validated by an environmental veri-fier, but must be forwarded to the Competent Body (Cham-ber of Commerce and Industry, Chamber of Crafts).

X Management systems that are recognised and certified by the EU Commission are to be taken into account (Article 4 (3), Article 45 (4)).Check which parts fall within the scope of the conditions of Article 4 (3). Examination of the report on the certification audit and check whether the certification refers to a recognised environmental

management system published in accordance with Arti-cle 45 (5)

the certificate has been issued by a certification body which meets the requirements published in accordance with Article 45 (5)

Parts which have been recognised as equivalent to EMAS do not need to be carried out by the organisation. The environmental verifier should however make it clear that these recognised parts must also be the subject of the verification. (Parts of) environmental management systems recognised by the Commission as well as references to the recognised accreditation or licensing requirements are published in the Official Journal of the European Union.

the entire organisation being validated is covered by the scope of application of the certificate

the certified environmental management system provides the necessary information required for the description and evaluation of the recognised sections of EMAS.

Verification Programme


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X X The environmental verifier draws up, in consultation with the organisation, a verification programme that ensures that all verifications and validations are carried out within the re-quired time periods (Article 19). Updated environmental statements must be validated at in-tervals not exceeding 12 months, unless the derogation pro-vided for small organisations is applied (Article 7).

The verification programme should, for logical reasons, be coordinated with the organisation's internal environmental audit programme in accordance with Article 9. Verification and validation means: an examination of docu-mentation, visit to the organisation, conducting of interviews with personnel, as well as spot-checks (Article 25 (4)). As a rule, a visit to the organisation is required annually (not for each site) to validate the (updated) environmental statement. If a small organisation, in the sense of Article 2 No. 28, has had its verification and validation frequency extended by the Competent Body (Article 7), the verification programme is to be accordingly aligned to the two and four-year cycle.

Examination of the documents


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X X X As part of the verification and validation activities the organi-sation's documentation is to be examined (Article 25 (4)). This should be done both prior to the visit to the organisation as well as during the visit on site. Organisations are obliged to provide the environmental veri-fier with various documents before his visit (Article 25 (5)). These include the following:

If different sites are being verified, the environmental verifier must gain an overview of the potentially different activities, products and services. The more information that can be evaluated in advance, and the more recent it is, the more effective the on-site visit will be. Only the updated documents must be provided when an updated environmental statement is being validated.

X X X basic information about the organisation and its activities for example, its legal form, size, location, area of activity, structure, organisational chart, etc.

X *) *) *) details and the report of the environmental review carried out

cf. section Environmental Review The environmental review is to be carried out prior to the initial registration (Article 4 (1) a). *) An environmental review must be carried out in the case of substantial changes as defined in Article 2 No 15 (Article 8)

X X X the environmental policy and the environmental pro-gramme

cf. sections Environmental Policy and Environmental Pro-gramme

X X X a description of the environmental management system in operation in the organisation

cf. section Environmental Management System

Examination of the documents


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X X X details and reports of the environmental audit carried out and on any corrective action taken afterwards

Environmental audits are to be carried out at least on an annual basis (Annex III A.4.), whereby all activities must be covered within three or four years (Article 9 (1) and Annex III A.4). cf. section Environmental Review or Environmental Audit

X X X the draft environmental statement or updated environ-mental statement

Environmental statements may be submitted in electronic form or printed form. They should be available in printed form for validation. If earlier versions of environmental statements exist, these should also be requested or viewed. cf. section Environmental Statement

*) *) *) management review *) The management review is not listed in Article 25 (5) among the documents which are to be provided before the visit. If this has already been carried out, it should also be requested. The management review must be available prior to valida-tion. EMAS does not specify a deadline ("planned intervals" - Annex II A.6.), an annual review is recommended.

Visit to the Organisation


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X X X Interviews with the top management of the organisation, at least concerning their tasks in accordance with EMAS:

• environmental policy (Annex II A.2.) • provision of resources (Annex II A.4.1) including the

appointment of the management representative • management review (Annex II A.6)

On environmental policy: Is appropriate; includes a commitment to the continual im-provement of environmental performance and compliance with legal requirements; reference to environmental objec-tives; documented, made known, and is publicly available among other things. On the provision of resources: Resources include human resources, infrastructure, tech-nology and financial resources. Are roles, responsibilities and authorities defined, documented and communicated? Has a management representative been appointed (in writ-ing) and are his/her roles, responsibilities and authorities defined with regard to the EMS? On the management review: For example with regard to the adequacy and effectiveness of EMAS, identified opportunities for improvement, the need for changes to the system, the objectives, the envi-ronmental policy Have the information bases been used, e.g. results of in-ternal audits, complaints, the extent to which objectives have been met, corrective actions, recommendations for improvement, previous management review. The environmental verifier should find out from the man-agement of the organisation whether and to what extent the workers' representatives have been informed of and been involved in the visit.



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A B

C D


Description

Remarks

X X X Interview with the management representative and other representatives on the establishment, implementation, maintenance and improvement of the environmental man-agement system (Annex II A.4.1).

The interviews should cover: • Resources for the system (personnel, infrastructure,

technology and financial resources) • Operational control, operational procedures • Organisation including responsibilities, authorities,

documentation and communication • Compliance with legal requirements and permits • Environmental programme, objectives, action • Core indicators • Training • Awareness and knowledge of the employees • Integration of contractors • Internal and external communication • Documentation of the system, control of documents

and records • Emergency preparedness and response • Procedures for checking • Corrective and preventive action • Environmental audits



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A B

C D


Description

Remarks

X X X Inspection for verification (spot-checks) of the: Environmental aspects Environmental performance Compliance with all applicable legal requirements relat-

ing to the environment including permits and permit limits (Annex II 3.2. and B.2.)

Compliance with other requirements to which the organi-sation subscribes related to its environmental aspects

The functionality of the environmental management sys-tem, in particular compliance with established procedures

Implementation of corrective action (Article 25 (5) and Annex II A.5.3)

Employee involvement Documents and records Emergency preparedness and response procedures Measurement equipment

The prerequisite of a spot-check is that all areas of the or-ganisation (activities, products and services) which have a potential for risk, for example with regard to materials, sub-stances, waste, equipment, processes, etc., are adequately covered. The following should be considered in particular when se-lecting the spot-checks:

• Installations for which a permit exists • Installations covered by Directive 2008/1/EC • Installations covered by Directive 96/82/EC • Installations with high energy consumption for per-

formance, heat or cold Spot-checks can be adjusted in the course of the verifica-tion.

X X X Interviews with employees performing various functions and from different levels of the organisation in order to review: the implementation of the environmental management

system, the adequacy of the environmental review or environ-

mental audit the level of knowledge and awareness the organisational structure the measures for employee participation the communication of security aspects.

The personnel interviewed should at the least come from those functions and levels of the organisation which, follow-ing the examination of documents and the interview with the management of the organisation, have been identified as of major significance for the EMS. These can be the following functions in particular:

• Workers' representatives • Head of auditing and members of the audit team

which has conducted the environmental review or environmental audit

• Facility management



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A B

C D


Description

Remarks

• Officers (e.g. waste, water pollution control, immis-sion control, hazardous incidents, hazardous mate-rials, radiation protection, biological safety)

• Caretaker • Purchasing • Sales • Development • Maintenance • Personnel operating environmentally relevant instal-

lations • Human resources (including apprenticeship and in-

service training) • Production • Quality management • Occupational health and safety • Environmental Team

The best practice examples in EMAS II - Guidance on em-ployee participation can continue to be used for further as-sistance (Annex II of Commission Recommendation 2001/680/EC of 7 September 2001, OJ EC No L 247 p. 1, 12). The recommendation was not repealed with EMAS III.

Content of the Environmental Review

*) an environmental review is not only required prior to initial registration (Article 4 (1a), but also in case of substantial changes (Article 8). The results can also have an impact on documents being validated. Guideline of the German EMAS Advisory Board to the tasks of environmental verifiers in accordance with Regulation (EC) No 1221/2009 ("EMAS III") Translation of the original German version. Only the German version of the text is binding.

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X *) *) *) Check whether the following five key environmental areas have been taken into account in the environmental review (before the first registration or in the case of substantial changes) in accordance with Annex I:

The environmental review is defined in EMAS as: An initial comprehensive analysis of environmental as-pects, environmental impacts and environmental perfor-mance related to an organisation's activities, products and services (Article 2 (9)). The requirements for its execution are based on Annex I of the EMAS Regulation.

X *) *) *) Legal requirements relating to the environment: have the applicable legal requirements been identified? has it been indicated how the evidence of compliance is

to be provided? Have the legal requirements relating to the environment

actually been complied with?

Have permits, permissions or approvals been taken into account?

X *) *) *) Environmental aspects: Have all direct and indirect environmental aspects with a

significant impact on the environment been identified? Have they been qualified and quantified? Has a register been compiled of those identified as signif-

icant? Have the issues in Annex I No 2 (i)-(v) been considered

in assessing the environmental aspects? Have the environmental aspects associated with the pro-

curement procedure been taken sufficiently into account?

The consideration of the indirect environmental aspects is essential, in particular for non-industrial organisations. A limitation to the environmental aspects of the site is insuffi-cient. The issue of procurement is listed separately under the indirect aspects and must be addressed.

Content of the Environmental Review

*) an environmental review is not only required prior to initial registration (Article 4 (1a), but also in case of substantial changes (Article 8). The results can also have an impact on documents being validated. Guideline of the German EMAS Advisory Board to the tasks of environmental verifiers in accordance with Regulation (EC) No 1221/2009 ("EMAS III") Translation of the original German version. Only the German version of the text is binding.

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A B

C D


Description

Remarks

X *) *) *) Environmental impact: Were the criteria for assessing the significance of the

environmental impact defined in accordance with Annex I No 3?

In assessing the significance, were not only the normal, but also exceptional operating conditions taken into ac-count?

Environmental Management: Have the existing environmental management practices

and procedures been examined? Previous incidents: Has the feedback from the investigation of previous inci-

dents been evaluated?

e.g. the condition of the environment, the organisation's existing data, views of interested parties, environmental activities that are already regulated, procurement, product-related aspects, costs / benefits. In addition to the normal operating conditions, the start-up and shutdown conditions as well as reasonably foreseeable emergency situations should also be taken into account.

X *) *) *) What organisational structures and regulations exist al-ready?

X *) *) *)

Content of the Environmental Policy

*) only as required; environmental policy is not regularly reviewed within the scope of a verification according to Article 18 (7) Guideline of the German EMAS Advisory Board to the tasks of environmental verifiers in accordance with Regulation (EC) No 1221/2009 ("EMAS III") Translation of the original German version. Only the German version of the text is binding.

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X *) X Check that the environmental policy has been defined by the top management is appropriate to the nature, scale and environmental

impacts of the activities, products and services of the or-ganisation

includes a commitment to continual improvement of envi-ronmental performance and prevention of environmental pollution

includes a commitment to comply with all applicable envi-ronmental legal requirements and other requirements to which the organisation subscribes

provides the framework for setting and reviewing the en-vironmental objectives and targets

Minimum requirements with regard to content and the obli-gation to improve environmental performance result from the definition of environmental policy (Article 2 No 1) and thus complement the formulation in Annex II A.2. Annex II B.3 also attaches particular importance to the fact that the environmental management system and audit pro-cedures address the actual environmental performance.

X X X is documented, implemented and maintained, is communicated to all persons working for or on behalf

of the organisation

Environmental policy can be publicised internally for exam-ple through notices, distribution, instruction, the Intranet etc.

X X X is available to the public The public can be informed through the environmental statement or via the Internet for example.

Content of the Environmental Programme


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X X X Check that the environmental programme contains the fol-lowing (Article 2 No 10 in conjunction with Annex II A.3.3 and B.3.3.): Environmental objectives and targets to improve envi-

ronmental performance The responsibilities for achieving these goals have been

designated at each relevant function and level of the or-ganisation

Measures, means and time-frame by which these targets are to be achieved

The targets are measurable where practicable, and con-sistent with the environmental policy

The means to achieve the objectives and targets cannot be environmental objectives (Annex II B.3.3.). The environmental objectives must be consistent with the environmental policy, including the commitment to preven-tion of environmental pollution. The targets are to be quantified where practicable. When establishing and reviewing its objectives, the organi-sation must have taken the following into account (Annex II A.3.3.): the legal requirements and other requirements to which

it subscribes its technological options, financial, operational, and

business requirements, as well as the views of interest-ed parties

The significant environmental aspects must have been considered.

Content of the Environmental Management System

*) only certain aspects of the EMS need to be evaluated (Article 18 (7) for the maintenance of registration in accordance with Article 6 (2), in particular the environmental audit, compliance with the applicable legal requirements, the improvement of the overall environmental performance and the updated environmental statement. Audits beyond this as required. Guideline of the German EMAS Advisory Board to the tasks of environmental verifiers in accordance with Regulation (EC) No 1221/2009 ("EMAS III") Translation of the original German version. Only the German version of the text is binding.

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X *) X The environmental verifier checks whether the elements of the environmental management system (EMS) have been implemented and are fully operational (Article 18 (5)(a) and (6)(a), Annex II A. and II B.):

The verification of the suitability of the elements listed and the actual implementation, application and link to the other system elements in operational practice is performed by an inspection of the documents and a visit to the organisation (in particular interviews with personnel).

X *) X Procedure for the identification and evaluation of envi-ronmental aspects (Annex I and Annex II A.3.1.)

Definition of the criteria for assessing the significance of the environmental impact in accordance with Annex I No 3.

The criteria for assessing the significance of the environ-mental aspects should be comprehensive, understandable, and publicly available. The EMAS II Guidance on the identification of environmen-tal aspects and assessment of their significance (Annex III of Commission Recommendation 2001/680/EC of 7 Sep-tember 2001, OJ EC No L 247 p. 1, 15) can continue to be used for assistance.


A B

C D


Description

Remarks

X X X The organisation must provide evidence that: all of the applicable legal requirements and other re-

quirements relating to the environment have been identi-fied and that the implications to the organisation are known

compliance with environmental legislation, including permits and permit limits has been provided for and this is evaluated on a regular basis. Records of the results of the evaluations must be kept

procedures are in place to meet these requirements on an ongoing basis

Annex II A.3.2., B.2. and A.5.2.)

In accordance with Article 18 (2)(a) and (b), the environ-mental verifier is required to verify compliance with the EMAS Regulation and with applicable Community, national, regional and local legal requirements relating to the envi-ronment. This means that he may not validate the environmental statement if he determines during verification that the or-ganisation is not complying with applicable legal require-ments relating to the environment (Article 25 (8)). Procedures must be appropriate and effective. The specific characteristics of small organisations are to be taken into account when verifying the management system (Article 26).

X *) X Can the availability of resources required for the EMS be ensured?

Human resources and their skills, infrastructure, technology and financial resources.

X *) X Have roles, responsibilities and authorities been defined, documented and communicated?

e.g. organisational chart, process descriptions, procedural instructions.

X *) X Has a management representative been appointed by the top management?

Have roles and responsibilities been clearly defined? How is reporting conducted?

X *) X Competence of the personnel, training needs, training, also of persons working for the organisation or on its be-half (Annex II A. 4.2.)

It must be ensured that employees are equal to their tasks. Dealing with contractors? Records are necessary, e.g. training plans, training certifi-cates, instruction, training courses, etc.


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A B

C D


Description

Remarks

X *) X Awareness of employees and persons who work for the organisation

Employees should be able to classify their activities in the EMS, know their roles and how these relate to the signifi-cant environmental aspects, be aware that they themselves contribute to improving environmental performance and what the potential consequences of departure from speci-fied processes can be.

X *) X Employees are to be involved in the process of continual improvement, for example in the environmental review, the design of the EMS, in committees, working groups, through the suggestion-book system, as well as in the preparation of the environmental statement (Annex II B. 4.1 to 4.4.)

The management of the organisation should be aware that employee involvement is a precondition for the improve-ment of environmental performance and the successful implementation of the management system (Annex II B. 4.1.). Employee participation should be provided at all levels. This also includes employee representatives (Annex II B.4.4.).

X *) X

Procedures for internal and external communication (An-nex II A.4.3 and II.B.5.) Proof that the organisation has an open dialogue with the public and other interested parties, in order to identify their concerns

Internal communication among the levels and functions, as well as feedback from the management to the employees. External communication, that goes beyond the environmen-tal statement.



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X *) X The environmental management system documentation including the necessary records (Annex II A.4.4.)

The specific characteristics of small organisations are to be taken into account, such as short reporting lines and limited documentation of procedures (Article 26). The EMAS II Guidance to verifiers on the verification of small and medium-sized enterprises (Annex IV of Commis-sion Recommendation 2001/680/EC of 7 September 2001, OJ EC No L 247 p.1, 21) can continue to be used for assis-tance.

X *) X Procedures for document control and document modifi-cation (Annex II A.4.5.)

Who may approve, review, update the documents? Are changes and the current revision status discernible? Are documents available at points of use? Are documents of external origin identifiable? Are obsolete documents recognizable as such?

X X Operations that are associated with the identified signifi-cant environmental aspects, must be identified and planned, in particular those which could lead to deviation from the environmental policy and objectives if unregu-lated (Annex II A. 4.6 )

This also includes procedures that are related to goods and services used by the organisation

The applicable procedures and requirements should be communicated to suppliers and contractors (Annex II A.4.6.(c))

Annex I "Environmental Review" is to be taken into consid-eration during identification. A review should be carried out to establish to what extent environmental aspects are taken into account in procure-ment. The procurement of raw materials, consumables and operating supplies, of assets and services must be verified. The knowledge of legal requirements such as the ErP Di-rective (Energy related Products) can be important for pro-curement.



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A B

C D


Description

Remarks

X

X

X

*)

X

*)

X

X

X

There must be a procedure to identify potential emergen-cy situations and potential accidents that can have an impact on the environment, and how to respond to them Emergency preparedness and response procedures must be regularly reviewed and where necessary revised If possible these procedures must also be tested periodi-cally (Annex II A. 4.7.) There must be a procedure for the regular monitoring and measurement of the key characteristics of the opera-tions that can have a significant environmental impact (Annex II A. 5.1.) Equipment for measurement and monitoring must be calibrated or verified and maintained. Records of this need to be retained.

There must be a procedure for dealing with non-conformity(ies) and for taking corrective and preventive action (Annex II A.5.3.)

It needs to be examined whether accidents or near misses have occurred in the past, and how they were responded to.

These should include records that observe performance (including the tracking of core indicators), in order to be able to properly monitor operations and to keep an eye on the status of achievements. If sectoral reference documents are available from the EU Commission, these are to be taken into account in as-sessing the environmental performance. The following must be verified: How are errors and deviations detected? What direct actions are planned? Is there a root cause analysis? What actions are taken to avoid the recurrence of errors? Are corrective and preventive actions recorded? Is the effectiveness of such actions reviewed? Are necessary changes made to EMS documentation?



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X *) X There must be a procedure for controlling the required records (Annex II A. 5.4.)

The following must be verified for example: How are records stored and protected? Are they (and do they remain) traceable and legible? Are there regulations concerning storage periods and dis-posal?

X X X • Procedures for the regular auditing of the EMS, including the provision of information to the management (Annex II A.5.5.)

The topic of auditing is presented in the separate Environ-mental Audit section.

X X Top management must regularly perform a management review (Annex II A. 6.), this is to include assessing oppor-tunities for improvement and the need for changes to the environmental management system, environmental poli-cy and environmental objectives

The management review is to be recorded and retained

Care must be taken to include, among other things, the results of environmental audits (internal audits), compliance with legal requirements, as well as communication(s) from external interested parties (e.g. including complaints). Further input including environmental performance data, the extent to which targets have been met, the status of correc-tive and preventive actions and follow-up actions from pre-vious management reviews must have been taken into ac-count.

Content of the Environmental Audit


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X As part of the first evaluation of the environmental verifier checks in particular, whether: there is an environmental audit programme in accord-

ance with Article 9 and Annex III the planning is in place the environmental audit has begun, so that at least the

most significant environmental impacts have been cov-ered

the environmental audit is appropriate and the results are reliable

The programme must ensure that all activities in the organi-sation are subject to an internal environmental audit within a period of three years (four years where applicable). Environmental audits are to be carried out at least on an annual basis to demonstrate that the significant environ-mental aspects are kept under control. Objectives, scope, and frequency of the audits must be de-fined (Annex III A.). The auditors must be competent and sufficiently independ-ent. The environmental audit need not be completed for the first registration. The preparation, as well as the nature of the implementation and the follow-up of the environmental audit remain unaffected by this. Spot-checks can be carried out.

X X For the purposes of the verification for the renewal or maintenance of the registration a check is made of the envi-ronmental audit programme, the activities and reporting, whether: a written report(s) are available an appropriate action plan has been prepared and im-

plemented mechanisms have been put in place to ensure the results

of the environmental audit are taken into account the environmental audit is appropriate and the results are

reliable

The environmental audit must include the assessment of the factual data necessary to evaluate environmental per-formance. Complex activities with a significant environmental impact are to be audited more frequently. The audit also extends to compliance with applicable legal requirements relating to the environment.

X at least one cycle of the environmental audit programme has been completed

Content of the Environmental Audit


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A B

C D


Description

Remarks

X X Check whether the implementation of the environmental au-dit conforms to the specifications in Annex III B. and that in addition to discussions with personnel the following has been checked:

– operating conditions and equipment – records – written procedures and other relevant documentation – compliance with applicable standards and regulations – achievement of the environmental objectives and tar-

gets set – whether the EMS is effective and appropriate

The following steps, in particular, are included in the audit process in accordance with Annex III B.: understanding of the management system assessing the strengths and weaknesses of the man-

agement system gathering relevant evidence evaluating the findings of the environmental audit formulation of conclusions reporting on the findings and conclusions of the envi-

ronmental audit

X X Check whether the reporting of the environmental audit conforms to the specifications in Annex III C. and wheth-er the findings and conclusions have been communicat-ed to the management

The objective of the report on the environmental audit is (cf. Annex III C.): to document the scope of the audit to provide the management with information on the

state of compliance with the organisations’ environmen-tal policy and the environmental progress of the organi-sation

to provide the management with information on the ef-fectiveness and reliability of the arrangements for moni-toring environmental impacts of the organisation

to demonstrate the need for corrective action, where appropriate

Content of the Management Review

*) An annual assessment is recommended. Whereby not all elements of the management system always require assessment at the same time. Guideline of the German EMAS Advisory Board to the tasks of environmental verifiers in accordance with Regulation (EC) No 1221/2009 ("EMAS III") Translation of the original German version. Only the German version of the text is binding.

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X *) X Check that the top management has set time intervals for the management review.

The management review must be available before first reg-istration, as well as when renewing registration after 3 or 4 years (Article 18 (5)c and (6)c).

X *) X Check whether the management review includes (Annex II A.6. and B.3.2.):

• an assessment of the opportunities for improvement • the need for changes to the EMS • the need for changes to environmental policy • the need for changes to targets • an evaluation of the environmental performance

Records of the management review must be available.

X *) X Check whether due to the outputs of the management re-view, any decisions and actions were taken, which are con-sistent with the commitment to continual improvement.

In particular in relation to changes in the environmental pol-icy, objectives and targets, but also in relation to other ele-ments of the environmental management system.

Content of the Environmental Statement


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X X Check the reliability, credibility and correctness of the data and information in the environmental statement (Article 18 (2)d). The requirements set out in Annex IV for the content of the environmental statement, as well as for the core indicators must be met.

The environmental statement may be presented in electron-ic or printed form.

X X Check whether the environmental statement contains the following information (Annex IV B. a-h): Clear description of the organisation (where necessary

its relationship to any parent organisations) and a sum-mary of its activities, products and services

Environmental policy Brief description of the EMS Description of all significant direct and indirect environ-

mental aspects as well as their impacts Environmental objectives and targets Data available on the environmental performance against

targets and with respect to its significant environmental impacts. Reporting is on the core indicators and other relevant environmental performance indicators

Compliance with and reference to environmental legisla-tion

The EMAS II Guidance on the EMAS Environment State-ment (Annex III of Commission Recommendation 2001/680/EC of 7 September 2001, OJ EC No L 247 p. 1, 3) can continue to be used as a source of ideas. However, it should be noted that it does not cover all the requirements of EMAS III.



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X X Check whether the requirements of Annex IV C. are met with regard to the core indicators used.

Particular attention is to be paid to the presentation of the six core indicators (energy efficiency, material efficiency, water, waste, biodiversity, and emissions) when validating the environmental statement. In principle, these figures are to be reported when they af-fect the significant environmental aspects. A valid justifica-tion is required in the event that an organisation does not use these indicators. Performance indicators in EMAS are deliberately kept gen-eral, so that it should be possible for any organisation to report them appropriately. This means that better perfor-mance data should be available from EMAS organisations in future. In addition, organisations should be encouraged to report further environmental performance indicators which are both specific to them and meaningful. These should allow for an assessment of the development using time series comparisons. EMAS sectoral reference documents developed by the EU Commission can provide information for specific industries (Article 4 (1) d). The EMAS II Guidance on the selection and use of envi-ronmental performance indicators (Annex I of Commission Recommendation 2003/532/EC of 10 July 2003, OJ EC No L 184 p. 19) can continue to be used.



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X X If sectoral reference documents concerning the organisation are available from the EU Commission, these must be taken into account (Article 4 (1) d, Article 18 (5) d and (6) d).

The Communication from the Commission published in De-cember 2011 initially selected the following sectors for the development of sectoral reference documents:

• Wholesale and Retail trade • Tourism • Construction • Public Administration • Agriculture - Crop production and Animal production • Manufacture of electronic and electric equipment • Car manufacturing • Manufacture of fabricated metal products, except

machinery and equipment • Food and beverage manufacturing • Waste management • Telecommunications

Published reference documents are available through www.emas.de or the UGA executive office.

X X If the environmental statement covers a number of sites of an organisation, check that the significant environmental impacts of each site are clearly described (corporate envi-ronmental statement as referred to in Annex IV E.).

In accordance with Article 25 (2), the environmental verifier has to ensure that the areas of the organisation which are the subject matter of the verification and validation are clearly defined. The environmental statement must clearly specify to which of the organisation's sites it relates.

http://www.emas.de/



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X X Check how the environmental statement is made publicly available (Annex IV D.).

The organisation must give anybody interested easy and free access to its environmental statement. They should be encouraged to make their environmental statement easily accessible on the Internet and also to make the relevant register databases as well as the collec-tion available at www.emas.de.

X X The environmental statement must contain the name and licence number of the environmental verifier and the date of validation.

X X The environmental verifier confirms that the environmental statement meets the requirements if he is satisfied that the information and data are reliable and correct and meet the EMAS requirements, and if there is no evidence that the or-ganisation does not fulfil the applicable legal requirements relating to the environment.

This confirmation should be in the form of an audit certifi-cate recorded in the environmental statement. In order to avoid duplication and misunderstandings, the signed declaration in Annex VII should be integrated into the final version of the environmental statement.

http://www.emas.de/

Content of the Updated Environmental Statement


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X The environmental verifier verifies that the updated environ-mental statement contains the following information and this is reliable, credible and correct: Data on the environmental performance against targets

and with respect to its significant environmental impacts. Reporting is on the core indicators and other relevant en-vironmental performance indicators

Compliance with and reference to environmental legisla-tion

The name and licence number of the environmental veri-fier and the date of validation. (Annex IV B. e-h)

The updated environmental statement contains an update of the last validated environmental statement, only with regard to the environmental performance and compliance with legal obligations relating to the environment applicable to the organisation (Article 2 (19), Annex IV B. sentence 2).

Content of the Updated Environmental Statement


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X The environmental verifier checks whether substantial changes as referred to in Article 8 were taken into account during the update.

The environmental verifier checks the updates in particular against the background of the environmental audits carried out and the actions resulting from them. Substantial chang-es to the EMS must also be included in the updated envi-ronmental statement. The steps to be undertaken when substantial changes are introduced should be pointed out to organisations (Article 8). Care should be taken to ensure that the period of 6 months referred to in Article 8 (3) for verification and validation does not impose unnecessary burdens in particular on SMEs (pursuant to Article 26). These should take place within the scope of the regular visits where possible.

X If sectoral reference documents concerning the organisation are available from the EU Commission, these must be taken into account (Article 18 (7) c).

Published reference documents are available through www.emas.de or the office of the German EMAS Advisory Board (UGA).

x The environmental verifier confirms that the environmental statement meets the requirements if he is satisfied that the information and data are reliable and correct and meet the EMAS requirements, and if there is no evidence that the or-ganisation does not fulfil the applicable legal requirements relating to the environment.

This confirmation should be in the form of an audit certifi-cate recorded in the environmental statement. In order to avoid duplication and misunderstandings, the signed declaration in Annex VII should be integrated into the final version of the environmental statement.

http://www.emas.de/

Validation of environmental information


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X Verify that the data and information is reliable, credible, and correct (Article 18 (2) d (iii)). Verify whether the information is

(a) accurate (b) substantiated and verifiable (c) relevant and used in an appropriate context or setting (d) representative of the overall environmental perfor-

mance of the organisation (e) unlikely to result in misinterpretation and f) significant in relation to the overall environmental im-

pact and that reference is made to the latest (updated) Environ-mental Statement from which this information is drawn (Arti-cle 10 (5)).

The necessity of validating environmental information arises if this information is to bear the EMAS logo. This can be used for example on information brochures, data sheets, leaflets, etc. The EMAS logo on such information must bear the registra-tion number of the organisation. Since the environmental information must be able to be directly derived from the (updated) environmental statement in accordance with Article 10 (5), on-site visits are not nor-mally required to verify the truthfulness of the statements. The validated environmental information is provided with an audit certificate. Recommendation: "The present environmental information has been validated by me as a licensed environmental verifier with licence number …. in accordance with Article 10 (5) a) to f) of Reg-ulation (EC) 1221/2009." Name, Date of Validation

Drafting a report for the organisation


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X X X The environmental verifier must prepare a written report on the outcome of the verification (Article 25 (6)) to include the following:

a) all issues relevant to the activity carried out by the en-vironmental verifier

b) a description of conformity with all requirements of the EMAS Regulation including supporting evidence, find-ings and conclusions

c) the comparison of the achievements and targets with the previous environmental statements and the envi-ronmental performance assessment and assessment of the continuous environmental performance im-provement of the organisation

d) if applicable, technical defects in the environmental re-view, environmental audit, environmental management system, or any other relevant process

The report should be drawn up jointly with the organisation, so that any outstanding questions can be answered quickly. Barriers to validation must be raised in the final discussion and recorded in writing as deviations. If necessary, the verification points which prevented the validation are to be repeated. The report is to be presented to the management repre-sentative and if possible also the top management.

X X X In cases of non-conformity with the provisions of the EMAS regulation - this also includes infringements against legal requirements relating to the environment - the report must additionally contain the following information (Article 25 (7)):

a) evidence, findings and conclusions on the non-conformity

b) points of disagreement with the draft (updated) envi-ronmental statement as well as details of the amend-ments or additions that should be made to the (updat-ed) environmental statement

Environmental Verifier's Declaration on Verification and Validation Activities


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X X X After validation of the environmental statement, the environ-mental verifier issues a signed declaration (Annex VII). This confirms that verification and validation have been carried out in accordance with the Regulation. He may only do so providing: there is full compliance with the requirements of the

EMAS Regulation there is no evidence of non-compliance with applica-

ble legal requirements relating to the environment and

the information in the environmental statement is reli-able, credible and correct.

It should be pointed out to the organisation that this decla-ration may not be used as a stand-alone piece of public communication. If a number of environmental verifiers are involved in the verification and validation, they are all required to sign the declaration referred to in Annex VII. Each is responsible for the area for which he was accountable during the verifica-tion/validation process according to his licensing fields (NACE Codes). Holders of certificates of specialised knowledge are also required to sign the declaration if they had a responsible role in the verification.

Guideline of the UGA to the tasks of Environmental Verifiers

Documents

Transcript of Guideline of the UGA to the tasks of Environmental Verifiers