Environmental & Sustainable Management Systems (ESMS) Advisory Audit_MCS Copyright 2014
City of Dubuque Consent Items # 10.
ITEM TITLE: Environmental & Sustainable Management Systems (ESMS) Advisory
Audit - Municipal Services Center
SUMMARY: City Manager transmitting the final Environmental & Sustainability
Management Systems (ESMS) audit conducted by a Virginia Tech trainer
at the Municipal Services Center.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File
ATTACHMENTS:
Description Type
❑ Municipal Services Center ESMS Audit-MVM Memo City Manager Memo
❑ Staff Memo Staff Memo
❑ ESMS Audit Supporting Documentation
THE CITY OF Dubuque
UBE I
erica .i
Masterpiece on the Mississippi 2007-2012-2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Final ESMS Advisory Audit for Municipal Services Center
DATE: May 28, 2015
Sustainable Community Coordinator Cori Burbach is transmitting the final
Environmental & Sustainability Management Systems audit conducted by a Virginia
Tech trainer at the Municipal Services Center.
S4-'6�-
MicKael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Cori Burbach, Sustainable Community Coordinator
THE CITY OF Dubuque
UBE I
erica .i
Masterpiece on the Mississippi 2007-2012-2013
TO: Michael Van Milligen, City Manager
FROM: Cori Burbach, Sustainable Community Coordinator
SUBJECT: Final ESMS Advisory Audit for Municipal Services Center
DATE: May 28, 2015
INTRODUCTION
The purpose of this memo is to provide a copy of the final Environmental &
Sustainability Management Systems audit conducted by a Virginia Tech trainer at the
Municipal Services Center.
BACKGROUND
In March 2013, the City applied to attend the Environmental & Sustainability
Management System Institute hosted by ICMA and Virginia Tech. The two year-long
program uses ISO 14001 requirements in order to conduct an in-depth environmental
review of one municipal operation and develop an implementation plan to address that
operation in a more sustainable way. Activity taking place on the Municipal Services
Center was the "fenceline" for the initial project, with the intent that we would consider
this a pilot that could be replicated in other facilities in the future. A team of myself,
Street Supervisor John Klosterman, Assistant City Attorney Maureen Quann, Assistant
Finance Director Jean Nachtman, and Purchasing Coordinator Tony Breitbach have
completed the Virginia Tech training and facilitated implementation, with assistance
from Public Works and Water staff.
DISCUSSION
Upon completion of the training, an on-site advisory audit of the Municipal Services
Center was completed by trainer Harry Gregori. The purpose of this audit was to
determine our readiness to apply for a third-part certification. In the attached audit
finding, you'll see that the Municipal Services Center earned an impressive 95%. This
indicates that while we have some areas to pursue complete implementation, we are
well on our way to full implementation of the system as a whole. In 2015, an updated
version of the international ISO 14001 certification was released. We anticipate
needing some time to update our internal system so that we could be compliant with the
new regulations. Should we decide to pursue third-party certification, that request
would come to the Council in an upcoming budget improvement package.
As we fully implement the system, we will also evaluate which additional City facilities
might make sense to implement the system, evaluating operations, capital
improvements, and staff capacity.
REQUESTED ACTION
No action is needed. This report is provided for Council information only.
Cc: Don Vogt, Public Works Director
Bob Green, Water Department Manager
ESMS Core Team
2
VirginiaTech
Auditor: Invent the Future
Harry E.Gregor,Jr.
Lead Auditor
Virginia Tech
,
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CD
City of Dubuque, Iowa
Municipal Services Center Facility
Objectives
The objectives of the ESMS Final Audit are to determine whether the facility:
• Is conforming to the ISO 14001:2004 standard,
• The ESMS is properly implemented and maintained,
• Identifies areas of potential improvements in the ESMS, and
• Contains a management review process to ensure the continuing sustainability and effectiveness
of the overall ESMS.
Scope
City of Dubuque, Iowa - Municipal Services Center Facility
The site visit for this ESMS Final Audit was conducted on April 6, 2015.
Personnel participating in discussions and interviews during the ESMS Final Audit included:
• Cori Burbach, Sustainability Coordinator
• Jean Nachtman, Assistant Finance Director
• John Klostermann, Street Maintenance Supervisor
• Tony Breitbach, Purchasing Coordinator
• Maureen Quann, Assistant City Attorney
• Linda Locher, Account Clerk
• Luke Steger, Street Crew Foreman
• Todd Atkinson, Stock Clerk
• Alan Vondran, Mechanic
• Chad Carlson, Water Distribution Maintenance Worker
• Harry E. Gregori, Jr., Lead Auditor, Virginia Tech
Personnel participating in employee interviews to verify ESMS General Awareness Training and specific
SOP training included:
• Luke Steger, Street Crew Foreman
• Chad Carlson, Water Distribution Maintenance Worker
• Alan Vondran, Mechanic
• Todd Atkinson, Stock Clerk
• Linda Locher, Account Clerk
Summary
Harry E. Gregori, Jr., an ISO 14001 certified Lead Auditor, Certificate No: E-50-0244 conducted the audit.
This Environmental and Sustainability Management System (ESMS) Audit is conducted as the final
follow-up to the eighteen month program FTA ESMS Institute at Virginia Tech. The purpose of this report
is to present the ESMS Audit findings and conclusions to Senior Management and the ESMS Team.
The ESMS was evaluated against each of the requirements set out in the ISO 14001:2004 standard
entitled Environmental management systems - Requirements with guidance use. The audit included the
examination of documents, interviews of personnel and observations of activities and conditions. The
ESMS Team participated in the review and discussion regarding the scoring.
Overall ESMS Performance Results
This section compares the percentage of requirements met, partially met and not met with respect to
meeting the requirements of an ESMS as specified in the ISO 14001:2004 standard. The following scores
are the result of the ESMS audit presented in this report:
Percent meeting all requirements "Overall Score" 95%
Percent of requirements "Met' 91%
Percent of requirements "Partially Met' 9%
Percent of requirements "Not Met' 0%
■Met 91%
■Partially Met 9X
■Mot Met OX
The ISO 14001:2004 standard elements of an Overall Score Met Partially Met Not Met
EMS (a/a) (a/a) (a/a) (a/a)
4.1 General Requirements 100 100 0 0
4.2 Environmental Policy Requirements 100 100 0 0
4.3.1 Environmental Aspects Requirements 100 100 0 0
4.3.2 Legal and Other Requirements 100 100 0 0
4.3.3 Objectives, Targets and Programs 100 100 0 0
Requirements
4.4.1 Resources, Roles, Responsibility and Authority 100 100 0 0
4.4.2 Competence, Training and Awareness 100 100 0 0
4.4.3 Communication 100 100 0 0
4.4.4 EMS Documentation 100 100 0 0
4.4.5 Control of Documents 94 89 11 0
4.4.6 Operational Control 100 100 0 0
4.4.7 Emergency Preparedness and Response 88 75 25 0
4.5.1 Monitoring and Measurement 83 67 33 0
4.5.2 Evaluation of Compliance 50 0 100 0
4.5.3 Nonconformity, Corrective Action and 100 100 0 0
Preventive Action
4.5.4Control of Records 100 100 0 0
4.5.5 Internal Audits 100 100 0 0
4.6 Management Review 100 100 0 0
Detailed ESMS Performance Results
The following sections provide a comparative analysis of the performance of the ESMS with respect to
meeting each of the requirements of the ISO 14001:2004 Standard.
General Requirements
The result of implementing an ESMS is improved environmental performance. Therefore the organization
must evaluate its ESMS to identify opportunities for improvement and their implementation. The rate,
extent and timescale of this continual improvement process is determined by the organization. The
organization must define and document the scope of its ESMS. Defining the scope is intended to clarify
the boundaries of the ESMS within the organization.
General Requirements (4.1) Met Partially Met Not Met
1.0 The organization shall establish, document, implement,
maintain and continually improve an environmental X
management system (EMS) in accordance with the
requirements of ISO 14001.
2.0 The organization shall determine how it will fulfill the X
requirements of ISO 14001.
3.0 The organization shall define and document the scope of X
its EMS.
Environmental Policy Requirements
The Environmental Policy establishes an overall sense of direction. It also forms the basis for setting the
objectives and targets, along with providing for ongoing improvement of the ESMS. Top management
must define the Environmental Policy.
1.0 Environmental Policy Requirements (4.2) Met Partially Met Not Met
1.1 Top management has defined the environmental policy. X
1.2 Top management has ensured that the environmental policy,
within the defined scope of its EMS, is appropriate to the X
nature, scale and environmental impacts of the
organization's activities, products and services.
1.3 Top management has ensured that the environmental policy
includes a commitment to continual improvement and X
prevention of pollution.
1.4 Top management has ensured that the environmental policy
includes a commitment to comply with applicable legal
requirements, and with other requirements to which the X
organization subscribes which relate to its environmental
aspects.
1.5 Top management has ensured that the Environmental Policy
provides the framework for setting and reviewing X
environmental objectives and targets.
1.6 Top management has ensured that the Environmental Policy X
is documented.
1.7 Top management has ensured that the Environmental Policy X
is implemented.
1.8 Top management has ensured that the Environmental Policy X
is maintained.
1.9 Top management has ensured that the Environmental Policy
is communicated to all persons working for or on behalf X
of the organization.
1.10 Top management has ensured that the Environmental Policy X
is available to the public.
Environmental Aspects Requirements
The purpose of identifying Environmental Aspects is to determine the aspects that have or can have
significant environmental impacts.
2.0 Environmental Aspects Requirements (4.3.1) Met Partially Met Not Met
2.1 The organization has established and implemented a
procedure(s)to identify the Environmental Aspects of its
activity, products and services, within the defined scope of
the EMS, that it can control and those that it can influence X
taking into account planned or new developments, or new or
modified activities, products and services, to determine
those aspects that have or can have significant impacts on
the environment (i.e. significant Environmental Aspects).
2.2 The organization maintains a procedure to identify the
Environmental Aspects of its activities, products and
services within the defined scope of the EMS that it can
control and those that it can influence taking into account X
planned or new developments, or new or modified activities,
products and services, to determine those aspects that have
or can have significant impacts on the environment (i.e.
significant Environmental Aspects).
2.3 The organization has ensured that the significant
Environmental Aspects are taken into account in X
establishing, implementing and maintaining its EMS.
2.4 The organization has ensured that the information on its X
Environmental Aspects is documented and kept up to date.
Legal and Other Requirements
The core ESMS Team should have in place procedures for identifying and accessing all of the Legal and
Other Requirements that apply to the environmental aspects relating to the activities, products and
services.
3.0 Legal and Other Requirements (4.3.2) Met Partially Met I Not Met
3.1 The organization has established and implemented a
procedure(s)to identify and have access to the applicable
Legal and Other Requirements to which the organization X
subscribes related to its environmental aspects and to
determine how these requirements apply to its
environmental aspects.
3.2 The organization has maintained a procedure(s)to identify
and have access to the applicable Legal and Other
Requirements to which the organization subscribes related X
to its environmental aspects and to determine how these
requirements apply to its environmental aspects.
3.3 The organization has ensured that the applicable legal and
other requirements are taken into account in establishing, X
mplementing and maintaining its EMS.
Objectives. Targets and Programs Requirements
Establishing the Objectives and Targets is a major step in implementing the ESMS. This requires the
development of specific Objectives and Targets to address the identified significant aspects.
4.0 Objectives, Targets and Programs Requirements (4.3.3) Met Partially Met Not Met
4.1 The organization has established and implemented
documented environmental Objectives and Targets at X
relevant functions and levels within the organization.
4.2 The organization has maintained documented
environmental Objectives and Targets at relevant functions X
and levels within the organization.
4.3 The organization has ensured that its Objectives and
Targets are measurable, where practicable, and consistent
with its environmental policy, including the commitments to X
prevention of pollution, to compliance with applicable legal
requirements and with other requirements to which the
organization subscribes, and to continual improvement.
4.4 The organization has taken into account the Legal and
Other Requirements to which it subscribes when X
establishing and reviewing its objectives and targets.
4.5 The organization has taken into account its significant
environmental aspects when establishing and reviewing its X
Objectives and Targets.
4.6 The organization has considered its technological
options when establishing and reviewing its Objectives and X
Targets.
4.7 The organization has considered its financial, operational
and business requirements when establishing and X
reviewing its Objectives and Targets.
4.8 The organization has considered the views of the
interested parties when establishing and reviewing its X
Objectives and Targets.
4.9 The organization has established, implemented and
maintained a program(s)for achieving its Objectives and X
Targets.
4.10 The organization has included in the program(s) the
designation of the responsibility for achieving Objectives and X
Targets at relevant functions and levels of the organization.
4.11 The organization has included in the program(s) the means
and timeframe by which the Objectives and Targets are to X
be achieved.
Resources, Roles, Responsibility and Authority
The core ESMS Team must define the Roles, Responsibilities, and Authorities in their ESMS to ensure
successful implementation of the system.
5.0 Resources, Roles, Responsibility and Authority Met Partially Met Not Met
Requirements (4.4.1)
5.1 Management has ensured the availability of resources
essential to establish, implement, maintain and improve the
EMS, including human resources and specialized X
skills, organizational infrastructure, technology and financial
resources.
5.2 The organization has defined and documented Roles,
Responsibility and Authorities in order to facilitate effective X
environmental management.
5.3 The organization has communicated Roles,
Responsibility and Authorities in order to facilitate X
effective environmental management.
5.4 Top management has appointed a specific management
representative(s)who, irrespective of other responsibilities,
have defined Roles, Responsibilities and Authority for X
ensuring that an EMS is established, implemented and
maintained in accordance with the requirements of ISO
14001.
5.5 The specific management representative(s) appointed by
top management have defined Roles, Responsibilities and
Authorities for reporting to top management on the X
performance of the EMS for review, including
recommendations for improvement.
Competence, Training and Awareness
The core ESMS Team must identify the training needs and ensure that all personnel whose work may
have a significant environmental impact are trained appropriately. This requires ensuring that these
personnel are competent in terms of their education, training and or experience.
6.0 Competence, Training and Awareness Requirements Met Partially Met Not Met
(4.4.2)
6.1 The organization has ensured that anyperson(s)
performing tasks for it or on its behalf that have the
potential to cause significant impact(s) identified by the X
organization is (are) competent on the basis of appropriate
education, training or experience, and shall retain associated
records.
6.2 The organization has identified training needs associated X
with its environmental aspects and its EMS.
6.3 The organization has provided training or taken other
action to meet the identified needs, and has retained X
associated records.
6.4 The organization has established, implemented and
maintained a procedure(s) to make persons working for or
on its behalf aware of the importance of conformities with X
the environmental policy and procedures and with the
requirements of the EMS.
6.5 The organization has established, implemented and
maintained a procedure(s) to make persons working for or
on its behalf aware of the significant environmental X
aspects and related actual or potential impacts
associated with their work, and the environmental benefits of
improved personal performance.
6.6 The organization has established, implemented and
maintained a procedure(s) to make persons working for or X
on its behalf aware of their roles and responsibilities in
achieving conformity with the requirements of the EMS.
6.7 The organization has established, implemented and
maintained a procedure(s) to make persons working for or X
on its behalf aware of the potential consequences of
departure from specified procedures.
Communication
The core ESMS Team must develop procedures for internal and external communications regarding the
environmental aspects and the ESMS.
7.0 Communication Requirements (4.4.3) Met Partially Met Not Met
7.1 With regard to its environmental aspects and EMS, the
organization has established, implemented and X
maintained a procedure(s)for internal communication
among its various levels and functions.
7.2 With regard to its environmental aspects and EMS, the
organization has established, implemented and maintained a X
procedure(s) for receiving, documenting and responding
to relevant communication from external interested parties.
7.3 The organization has decided whether to communicate
externally about its significant environmental aspects, and
has documented its decision. If the decision is to X
communicate the organization shall establish and implement
a method(s) for this external communication.
EMS Documentation
The ESMS documentation must describe the core elements of the ESMS. This is achieved by developing
a procedure to address each element of the ISO 14001:2004 Standard.
8.0 EMS Documentation Requirements (4.4.4) Met Partially Met Not Met
8.1 The organization's EMS Documentation includes the X
environmental policy, objectives and targets.
8.2 The organization's EMS Documentation includes a X
description of the scope of the EMS.
8.3 The organization's EMS Documentation includes a
description of the main elements of the EMS and their X
interaction, and reference to related documents.
8.4 The organization's EMS Documentation includes the X
documents, including records, required by ISO 14001.
8.5 The organization's EMS Documentation includes the
documents, including records, determined by the
organization to be necessary to ensure the effective X
planning, operation and control of processes that relate to its
significant environmental aspects.
Control of Documents
The proper control and management of Documents is critical to the successful implementation of an
ESMS, therefore, the documentation control procedures must be effective and efficient.
9.0 Control of Documents Requirements (4.4.5) Met Partially Met Not Met
9.1 The organization has established, implemented and
maintained a procedure(s)for controlling all documents X
required by the EMS and by ISO 14001.
9.2 The organization has established, implemented and
maintained a procedure(s) to approve Documents for X
adequacy prior to issue.
9.3 The organization has established, implemented and
maintained a procedure(s) to review and update as X
necessary and reapprove Documents.
9.4 The organization has established, implemented and
maintained a procedure(s) to ensure that changes and a X
current revision status of Documents are identified.
9.5 The organization has established, implemented and
maintained a procedure(s) to ensure that relevant versions X
of applicable documents are available at points of use.
9.6 The organization has established, implemented and
maintained a procedure(s) to ensure that Documents remain X
legible and readily identifiable.
9.7 The organization has established, implemented and
maintained a procedure(s) to ensure that Documents of
external origin determined by the organization to be X
necessary for the planning and operation of the EMS are
identified and their distribution controlled.
9.8 The organization has established, implemented and
maintained a procedure(s) to prevent the unintended use of X
obsolete Documents and apply suitable identification to
them if they are retained for any purpose.
9.9 The organization has considered records as a special type
of Document to be controlled in accordance with the X
requirements given in 4.5.4.
Operational Control
The purpose of establishing proper Operational Controls is to ensure that the facility adheres to the
environmental policy and that the objectives and targets are met.
10.0 Operational Control Requirements (4.4.6) Met Partially Met Not Met
10.1 The organization has identified and planned those
operations that are associated with the identified significant X
environmental aspects consistent with its environmental
policy, objectives and targets.
10.2 The organization has planned the operations associated with
the identified significant environmental aspects to ensure
that they are carried out under specified conditions by
establishing, implementing and maintaining a documented X
procedure(s) to control situations where their absence
could lead to deviation from the environmental policy,
objectives and targets.
10.3 The organization has planned the operations associated with
the identified significant environmental aspects to ensure X
that they are carried out under specified conditions by
stipulating the operating criteria in the procedure(s).
10.4 The organization has planned the operations associated with
the identified significant environmental aspects of goods and
services used by the organization and communicating X
applicable procedures and requirements to the
suppliers including contractors.
Emergency Preparedness and Response
Emergency preparedness and response procedures must be established and maintained in order to
identify the potential for and respond to emergencies and accidents, and to prevent or minimize their
environmental impacts.
11.0 Emergency Preparedness and Response Requirements Met Partially Met Not Met
(4.4.7)
11.1 The organization has established, implemented and
maintained a procedure(s)to identify potential emergency X
situations and potential accidents that can have an impact(s)
on the environment and how it will respond to them.
11.2 The organization shall respond to actual emergency
situations and accidents and prevent or mitigate X
associated adverse environmental impacts.
11.3 The organization shall periodically review and, where
necessary revise its emergency preparedness and response X
procedures, in particular, after the occurrence of
accidents or emergency situations.
11.4 The organization shall also periodically test such X
procedures where practicable.
Monitoring and Measurement
The core ESMS Team must develop procedures for regularly monitoring and measuring the key
characteristics of the operations and activities that can significantly impact the environment. This includes
documenting performance tracking information, relevant operational controls and conformance with the
environment objectives and targets.
12.0 Monitoring and Measurement Requirements (4.5.1) Met Partially Met Not Met
12.1 The organization has established, implemented and
maintained a procedure(s)to monitor and measure, on a X
regular basis, the keV characteristics of its operations that
can have a significant environmental impact.
12.2 The organization's procedures include the documenting of
information to monitor performance, applicable operational X
controls and conformity with its environmental objectives
and targets.
12.3 The organization has ensured that calibrated or verified
monitoring and measurement equipment is used and X
maintained and that associated records are retained.
Evaluation of Compliance
The core ESMS Team needs to document procedures for evaluating compliance with relevant
environmental laws and regulations.
13.0 Evaluation of Compliance Requirements (4.5.2) Met Partially Met Not Met
13.1 Consistent with its commitment to compliance, the
organization has established, implemented and maintained a
procedure(s)for periodically evaluating compliance with X
applicable regulations, and keeps records of the results of
the periodic evaluation.
13.2 The organization has established, implemented and
maintained a procedure(s) for periodically evaluating
compliance with other requirements to which it
subscribes, and keeps records of the results of the X
periodic evaluations. (i.e. customer requirements, industry
codes of practice, voluntary labeling or stewardship
commitments, requirements of trade associations, etc.)
Nonconformity. Corrective Action and Preventive Action
The core ESMS Team must develop a procedure for addressing nonconformance, mitigating
environmental impacts and taking corrective and preventive action.
14.0 Nonconformity, Corrective Action and Preventive Action Met Partially Met Not Met
Requirements (4.5.3)
14.1 The organization has established, implemented and
maintained a procedure(s) for dealing with and handling X
potential nonconformities and for taking corrective action
and preventive action.
14.2 The procedures define requirement for identifying and
correcting nonconformity(ies) and taking actions to X
mitigate their environmental impacts.
14.3 The procedures define requirements for investigating
nonconformity(ies) determining their cause(s) and taking X
actions in order to avoid their reoccurrence.
14.4 The procedures define requirements for evaluating the need
for action(s) to prevent nonconformity(ies) and X
implementing appropriate actions designed to avoid their
occurrence.
14.5 The procedures define requirements for recording the
results of corrective action(s) and preventive action(s) X
taken.
14.6 The procedures defined requirements for reviewing the
effectiveness of corrective action(s) and preventive X
action(s) taken.
14.7 The actions taken are appropriate to the magnitude of the X
problems and the environmental impacts encountered.
14.8 The organization ensures that any necessary changes are X
made to EMS documentation.
Control of Records
There must be a procedure for the environmental records, including training records, audits and
management review results.
15.0 Control of Records Requirements (4.5.4) Met Partially Met Not Met
15.1 The organization has established and maintained records as
necessary to demonstrate conformity to the requirements X
of its EMS and of this standard, and the results achieved.
15.2 The organization has established, implemented and
maintained a procedure(s) for the identification, storage, X
protection, retrieval retention, and disposal of records.
15.3 Records shall be and remain legible, identifiable, and X
traceable.
Internal Audits
The core ESMS Team must develop programs and procedures for periodically conducting audits of the
ESMS. The programs and procedures are necessary to evaluate the system performance requirements
and to provide information regarding audit results to senior management.
16.0 Internal Audits Requirements (4.5.5) Met Partially Met Not Met
16.1 The organization has ensured that Internal Audits of the
EMS are conducted at planned intervals to determine
whether the EMS conforms to planned arrangements for X
environmental management including the ISO 14001
requirements.
16.2 The organization has ensured that Internal Audits of the
EMS are conducted as planned intervals to provide X
information on the results of audits to management.
16.3 The organization has ensured that its audit program(s) are
planned, established, implemented and maintained by the
organization, taking into consideration the environmental X
importance of the operation(s) concerns and the results
of previous audits.
16.4 Audit procedures are established, implemented and
maintained that address the responsibilities and X
requirements for planning and conducting audits,
reporting results and retaining associated records.
16.5 Audit procedures are established, implemented and
maintained that address the determination of audit criteria, X
scope,frequency and method.
16.6 The selection of auditors and conduct of audits ensures X
the objectivity and the impartiality of the audit process.
Manaaement Review
The senior management staff and the ESMS Team must periodically assess the effectiveness of the
ESMS. The assessment must address potential changes to the system based on the audit results,
changing circumstances and management's commitment to continual improvement.
17.0 Management Review Requirements (4.6) Met Partially Met Not Met
17.1 The organization has ensured that its top management has X
planned the intervals at which it will review the EMS.
17.2 The organization has ensured that top management has
reviewed the EMS to ensure its continuing suitability, X
adequacy and effectiveness.
17.3 The organization has ensured that the Management
Reviews include assessing opportunities for improvement
and the need for changes to the EMS, including the X
environmental policy and environmental objectives and
targets.
17.4 The organization has ensured that records of the X
Management Reviews are retained.
17.5 Management Review inputs shall include:
Results of internal audits and evaluation of compliance
1. with legal requirements and with other requirements to
which the organization subscribes.
2 Communication(s) from external interested parties,
including complaints.
3. The environmental performance of the organization.
4 The extent to which objectives and targets have been X
met.
5. Status of corrective and preventive actions.
6. Follow-up actions from previous Management Reviews.
Changing circumstances, including developments in
7. legal and other requirements related to its environmental
aspects, and
8. Recommendations for improvement.
17.6 Management Review outputs shall include any decisions
and actions related to possible changes to environmental
policy, objectives, targets and other elements of the EMS, X
consistent with the commitment to continual
improvement.
Closing Comments
This ESMS audit was conducted in accordance with the requirements of the ISO 14001:2004 Standards.
The Standard requires the planning and performance of an ESMS audit to obtain reasonable assurance
that the facility has implemented and maintained an ESMS.An ESMS audit includes examining, on a test
basis, evidence relating to the subject matter. It also includes assessing the criteria used as well as
evaluating the decisions made by management.
During the-course of this ESMS Audit, the results of previous audits were evaluated for effective
corrective action. Progress and improvements were noted from the previous recommendations.
The findings and nonconformances identified during this ESMS Audit are documented in this report.
However, after the implementation is complete some items considered minor could become major
nonconformances in a mature ESMS. Please review and address any items scored as"Partially Met"
and/or"Not Met" prior to another EMS audit.
Because of the inherent limitations of any ESMS, errors or irregularities may occur and may not be
detected.Also, projections or evaluations in the future time period may become inadequate because of
changes in conditions,which may deteriorate the degree of conformance with the ISO 14001:2004
Standards.
This report is intended for use within your organization and Virginia Tech.
Your ESMS Team has put forth a tremendous effort and has demonstrated diligence, commitment and
professionalism. They have provided the degree of thought and foresight into the planning and
development that is required to succeed with the ESMS implementation phase.
Respectfully submitted,
0 . 2, Lt A - a:1...7
W. Robert Herbert
Senior COTA Fellow,Virginia Tech
Lead Auditor
rM Vir inia'Tech
Invent the Future
Page 1 of 1
L6jfNGT1TUTE
environmental& sustainability management system
Final Audit
Sign—in Sheet
Chaired by: Harry Gregori, Lead Auditor ESMS Institute
Location: City of Dubuque
Date and time: April 6, 2015 @ 8:00 am
Name (Print) Job Title Department Signature
1
Harry. Gregori Lead Auditor ESMS Institute
2 Sustainability City Manager's Office
Cori Burbach Coordinator z L�
3 Assistant Finance Finance )� _
Jean Nachtman Director
4 Street Maintenance Public Works
John Klostermann Supervisor I'tet 1,61
5 Purchasing Finance
Tony Breitbach Coordinator - 1
6 Assistant City Legal
Maureen Quann Attorney
Senior Budget Analyst City Manager's Office
Mary Brooks
$ Public Works Director Public Works
Don Vogt
9 Water Department Water Department
Bob Green Director
10 City Manager City Manager's Office
Mike Van M'rfligen
11 Water Meter Repair Water Distribution
Chris Kennedy Worker
12 Account Clerk Public Works
Linda Locher
13 Equipment Public Works
Kevin Cornwell Maintenance
Supervisor
14 Foreman Public Works
Brian Odefey
15 Public Works
Chad Berendes
F 61
Equipment Operator II Public Works
Ron Gulyash
17 Jesse Bernhardt GIS Specialist Water Department
18 Luke Steger Foreman Public Works
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This completed form and related attachments are records maintained for the Environmental Management System.
Form: EP 4.4.22-1 FA
Form Date: 12/18/03
Revision No. 4, Revision Date 6/13/08