**Defense Logistics Agency (DLA)**

**Environmental Management System (EMS)**

# Self-Declaration Protocol

**[Introduction and Purpose.]{.underline}**

This protocol for self-declaring the conformance of Environmental
Management Systems (EMS) provides Defense Logistics Agency (DLA)
organizations with a process for recognizing, assuring, and honoring
EMSs that meet DLA, Department of Defense (DoD), and federal
requirements. It forms the basis for completing DLA's EMS Strategic Plan
Objective (Goal 2; Number 11). DLA Activities around the world support
an enormous range and volume of complex, time-critical activities that
are essential to America's warfighters and the communities they defend.
This process ensures that DLA EMSs are operating as described, and using
on-going assessment and continual improvement to support overall mission
performance.

This protocol meets requirements of the "*EMS Agency Self-Declaration
Protocol for Appropriate Facilities,"* signed by Mr. John Howard,
Federal Environmental Executive, on January 27, 2004 and endorsed by Mr.
Alex A. Beehler, Assistant Deputy Under Secretary of Defense
(Environment, Safety, and Occupational Health), on July 16, 2004. It
meets that directive's requirement of ensuring credibility for all
interested parties with "effective and objective assessment,"
recommended definitions, and "transparency and objectivity."

Through the use of this protocol, it is intended that DLA organizations
validate that qualifying EMSs conform to the ANSI/ISO 14001:1996,
*Environmental Management Systems -- Specification with Guidance for
Use*. It is designed for on-going evaluation and continual improvement
and to give DLA organizations the flexibility to implement the ISO 14001
standard in ways that support their overall mission while allowing
outside parties to appreciate their EMS accomplishments.

Successful validation of conformance with ISO 14001:1996 will provide
the basis and justification for self-declaration by DLA organizations.
This protocol will also be used to verify the continuing conformance of
DLA EMSs to the ISO 14001 standard. DLA organizations may also seek an
external audit conducted by an ANSI-RAB accredited registrar when there
is a clear and documented benefit to mission.

**[Protocol.]{.underline}**

EMS self-declaration by DLA Activities will include a mission-focused
EMS audit conducted by reviewers from outside the scope of the EMS in
question. This EMS self-declaration audit will be conducted by trained
EMS auditors against pre-established audit criteria and will reflect
objective observations against those criteria. This meets criteria for
2^nd^ party recognition of an EMS and requirements of the Office of
Federal Environmental Executive (OFEE) Directive. It ensures credibility
and the implementation of a mission-focused EMS.

DLA organizations may elect to integrate safety and occupational health
within the scope of their EMS. However, the ISO 14001 standard shall be
the sole standard for conformance determination and subsequent
self-declaration. DLA organizations may also seek an external audit
conducted by an ANSI-RAB accredited registrar. Pursuant to DoD EMS
Policy, the decision to seek an external audit requires a clear benefit
to mission. That decision shall be made by at the Field Activity level,
benefits to mission documented, with copies provided to DES-E and the
DLA EMR.

In addition to the ISO 14001-conformant EMS self-declaration (as
described in the introduction to the ISO 14001 standard), a DLA
organization that has self-declared their EMS may also self-declare
environmental claims under the provisions of ANSI/ISO 14021-2001,
*Environmental Labels and Declarations -- Self-Declared Environmental
Claims* (Type 2 Environmental Labeling). This ISO 14021 self-declaration
is optional.

1\. DLA EMS policy guidance requires the use of the ANSI/ISO 14001:1996,
*Environmental Management Systems -- Specification with Guidance for
Use*. EMS self-declaration audit teams shall consist of a Team Leader
and one (1) or more DLA Qualified Reviewers, with all members of the
audit team being and independent of the activity being audited. It is
recommended, although not required, that at least one (1) Trained EMS
Auditor be included on the team.

The respective DLA Activity Site Manager/Director and EMS Management
Representative (EMR), in consultation with Field Activity EMRs where
applicable, shall identify the scope of the audit for the EMS
self-declaration audit team. The respective Site Manager/Director shall
ensure that pertinent records, procedures, and documentation are
available for the EMS self-declaration audit team, with necessary
documentation to verify completion of corrective actions.

2\. Upon the completion of the independent EMS self-declaration review,
the EMS self-declaration audit team shall prepare a report on the
subject EMS's conformance and mission-focus. The report shall declare
the DLA organization's EMS ISO 14001 conformant and mission-focused, or
document those areas of non-conformance in the EMS that must be
corrected prior to the DLA organization being able to declare the
subject EMS as mission-focused and ISO 14001 conformant. Copies of the
report shall be provided to the Activity EMR and Site Manager/Director,
and Field Activity EMR where applicable. For any findings of
nonconformance identified by the EMS self-declaration audit team, the
Activity Site Manager/Director and EMR, in consultation with the Field
Activity EMR where applicable, shall propose appropriate corrective
actions to the audit team. Typically proposed corrective actions should
be submitted to the EMS self-declaration audit team within 30 days after
receipt of the audit report. The respective EMR must also follow up with
the necessary documentation to verify the implementation/completion of
the corrective actions. Upon documented resolution of all findings of
nonconformance (and subsequent determination of EMS conformance by the
EMS self-declaration audit team), the Activity Site Manager/Director
shall prepare a Memorandum of EMS Self-Declaration (self-declaring their
mission-focused ISO 14001 conformance status) and provide copies to the
Field Activity Site Director and EMR, the DLA EMR, the EMS
self-declaration audit team leader, and other interested parties. Once
ISO 14001 Self-Declaration has been achieved, it should be communicated
widely within and outside DLA.

3\. Following initial self-declaration, DLA Activities shall
self-declare EMS conformance on a periodic basis using a cycle of
one-year internal and three-year external evaluations. Activities, in
consultation Field Activities where applicable, shall self-declare EMS
conformance at least once per year with at least nine (9) months between
declarations.

Activities shall conduct an internal review of their EMS (or ESOHMS if
applicable) at least once per fiscal year and brief findings of that
review in a management review. The internal EMS review team shall
include a Team Leader who is a DLA Qualified Reviewer and include at
least one (1) additional DLA Qualified Reviewer. The internal EMS review
team shall prepare a report identifying any findings of EMS
nonconformance. The respective EMR, in consultation with the Site
Manager/Director and Field Activity EMR if applicable, shall propose
appropriate corrective actions. Typically proposed corrective actions
should be submitted to the team within 30 days after receipt of the
audit report. The respective EMR must also follow up with necessary
documentation to verify the implementation/completion of the corrective
actions. Upon documented resolution of all findings of nonconformance,
the respective Site Director/Manager shall sign a Memorandum of EMS
Self-Declaration. Copies of the memorandum shall be provided to the
respective Field Activity EMR and Site Director, the DLA EMR, the audit
team leader, and other interested parties.

DES-E, in consultation with Field Activity EMRs and Site Directors,
shall prepare a schedule for independent EMS reviews of Activity EMSs
(or ESOHMS if applicable) at intervals not longer than three (3) years.
Activities with externally registered EMSs may use registration
documents to meet this requirement.

Independent EMS review teams shall consist of a DLA Qualified Reviewer
as Team Leader and at least one (1) additional DLA Qualified Reviewers,
with all members of the audit team being independent of the Activity
being audited. It is recommended, although not required, that at least
one (1) Trained EMS Auditor be included on the team. The respective Site
Director shall ensure that pertinent records, procedures, and
documentation are available for the independent EMS review team, with
necessary documentation to verify completion of corrective actions.
Independent EMS reviews may be conducted in combination with compliance
reviews but it is optional.

The independent EMS review team will prepare a report including any
areas of nonconformance identified by the team. They shall provide
copies to the Activity EMR and Site Manager/Director, Field Activity EMR
where applicable, DES-E, and DLA EMR. The Activity EMR will brief
findings of the independent EMS review at the next management review,
not to exceed ninety (90) days. The Activity EMR, in consultation with
the Activity Site Director/Manager, and Field Activity EMR if
applicable, shall propose appropriate corrective actions to the review
team, including timeframes and one (1) or more DLA staff responsible for
corrective actions. Typically proposed corrective actions should be
submitted to the EMS audit team within 30 days after receipt of the
audit report. The respective EMR must follow up with the necessary
documentation to verify corrective actions. Upon documented resolution
of all findings of nonconformance, the respective Site Director/Manager
shall sign a Memorandum of EMS Self-Declaration. Copies of the
memorandum and documentation confirming resolution of nonconformances
shall be provided to respective Field Activity EMR and Site Director,
DES-E, DLA EMR, the audit team leader, and other interested parties.

4\. Upon initial EMS self-declaration, DES-E will provide Activities
with a signed certificate of "DLA Environmental Management System
Conformance." Following each self-declaration based on an external EMS
review, DES-E will provide an updated certificate. The DLA EMR shall
maintain a roster of conforming Activities and update it quarterly. In
collaboration with Field Activities, the DLA EMR shall highlight
achievements of conforming Activities in the DLA EMS Annual Review,
reports to the Department of Defense, and to other organizations within
and outside DLA. This process is intended to focus attention on DLA's
ongoing commitment to using continual improvement to support overall
mission performance.

[Definitions:]{.underline}

Environmental Management System (EMS): For the purpose of this protocol,
the definition of EMS contained in ISO 14001, Section 3.5, is hereby
incorporated by reference. While the ANSI/ISO 14001 standard is a
copyrighted document, it is available to DLA facilities through the
DENIX web site.

Appropriate Activity (Activity): In consultation with the DLA
Environmental Management Representative (EMR) and Field Activity Site
Directors, Field Activity EMRs shall designate those qualifying
Activities under their control. Designation shall reflect the
subordinate facility's unique missions, regulated status, and expected
duration of control by DLA. For example, Activities requiring one or
more environmental permits to execute their missions and/or whose
mission performance may be improved by implementing an EMS should be
designated Appropriate Activities. Activities not expected to remain
under DLA control past December 31, 2005 should not be so designated.

Trained EMS Auditor: An EMS auditor meeting the requirements specified
in ISO 19011-2002, *Guidelines for Quality and/or Environmental
Management System Auditing.* An EMS auditor that has been certified by
the Registrar Accreditation Board (RAB) in the grade of EMS Lead
Auditor, EMS Auditor, or EMS Provisional Auditor also meets this
definition. An EMS auditor that has been certified by an EMS auditor
certification organization other than the RAB (which has been approved
by DOD) meets this definition.

DLA Qualified Reviewer: An EMS auditor having successfully completed a
RAB accredited EMS Lead Auditor training course or other DLA-approved
EMS Audit training course. DLA Qualified Reviewers may be staff of DLA
staff, other DOD components, other Federal Agencies (outside of DOD);
and/or commercial consultants.

EMS Self-Declaration Audit: An EMS audit led by a Trained EMS Auditor or
DLA Qualified Reviewer, with at least one (1) additional DLA Qualified
Reviewer and all team members independent of the Activity being audited.

## Internal EMS Audit or First Party Audit: An EMS audits conducted by the participants within the scope of the EMS under consideration. An internal audit is required by the ISO 14001 Standard and is an accepted part of any EMS framework. It serves the primary purpose of ensuring the EMS is functioning properly. In addition, information from this audit is used to correct non-conformance with the selected EMS framework and is part of the suite of information provided to management as part of the formal management review process. 

## Independent EMS Review or Second Party Audit: An EMS audit led by a Trained EMS Auditor or DLA Qualified Reviewer, with at least one (1) additional DLA Qualified Reviewer and all team members independent of the Activity being audited. The purpose of a second party audit is to determine whether it demonstrates mission-focus and conforms to the ISO 14001 Standard. 

## External or Third Party Audit: An EMS audit conducted by an ANSI-RAB accredited, independent registrar. These audits are formal, sanctioned audits conducted according to established ISO guidance to determine conformance with the ISO 14001 EMS Standard. A successful audit by a third party auditor will result in the facility or organization being fully certified to the ISO 14001 EMS Standard and receiving a certificate stating conformance. The qualifications of these auditors are defined by ISO and ANSI-RAB.