1 Environmental, Health and Safety Management System Manual 1
2 Table of Contents I INTRODUCTION... 3 II ENVIRONMENTAL POLICY... 5 III HEALTH AND SAFETY POLICY... 6 IV EHS MANAGEMENT ROLES AND IV RESPONSIBILITIES... 7 V EHSMS FRAMEWORK AND IV IMPLEMENTATION APPROACH ELEMENT 1 LEADERSHIP a Leadership and Commitment 1b EHS Policies 1c Roles, Responsibilities, Accountabilities and Authorities ELEMENT 2 PLANNING a EHS Aspects/Hazards and Risk Assessment 2b Compliance Obligations 2c EHS Objectives and Plans ELEMENT 3 OPERATIONS a Operating Procedures 3b Mechanical Integrity 3c Management of Change 3d Emergency Preparedness and Response 3e Contractors ELEMENT 4 MONITORING a Performance Monitoring 4b Inspections and Audits ELEMENT 5 IMPROVEMENT a Corrective Action 5b Organizational Learning 5c Management Review 2 ELEMENT 6 SUPPORT a Resources 6b Competency 6c Communications and Engagement 6d Documentation and Record Keeping
3 I. Introduction May 2016 The EHSMS is designed to be consistent with relevant international standards. Duke Energy has implemented an Environmental, Health and Safety (EHS) Management System (EHSMS) to ensure the consistency and effectiveness of its EHS management activities, including continually improving EHS risk management, preventing and detecting noncompliances, reducing adverse impacts to the environment and enhancing the company s reputation with external stakeholders. The EHSMS is designed to be consistent with relevant international standards (e.g., International Organization for Standardization [ISO] 14001:2015 and American National Standards Institute [ANSI] Z10), agency guidelines (e.g., Occupational Safety and Health Administration [OSHA], Environmental Protection Agency [EPA] and Department of Justice [DOJ]) and industry standards, but it has been customized to apply to Duke Energy s unique operating environment, risk profile and culture. The elements of the Duke Energy EHSMS are illustrated below: 3 The model is based on a simple plan-do-check-act system. It starts with the Duke Energy Environmental Policy and Health and Safety (H&S) Policy, which describes the company s vision and expectations, with visible support from leadership (Element 1). The EHSMS requires critical planning processes that ensure we have a comprehensive understanding of applicable legal requirements and EHS risks that need to be adequately controlled (Element 2: Planning). Operational processes are then implemented to ensure ongoing compliance with the legal requirements and effective management of risks (Element 3: Operation). We monitor our operational processes and resulting performance (Element 4: Monitoring) and take corrective actions to drive continual improvement (Element 5: Improvement). The process is supported by adequate human and financial resources, including qualified and competent staff with clearly defined responsibilities, as well as internal and external communication processes and appropriate documentation and record keeping (Element 6: Support).
4 y Corrective Action Organizational Learning Management Review u Leadership and Commitment EHS Policies Roles, Responsibilities, Accountabilities and Authorities x Performance Monitoring Inspections and Audits v EHS Aspects/Hazards and Risk Assessment Compliance Obligations EHS Objectives and Plans z Resources Competency Communications and Engagement Documentation and Record Keeping w Operating Procedures Mechanical Integrity Management of Change Emergency Preparedness and Response Contractors This document is designed to provide an overview of Duke Energy s EHSMS and serves as a reference guide for how EHS risks and obligations are managed across the company. Note: The EHSMS covers all of Duke Energy s U.S.-based operations; Duke Energy International is not subject to the requirements of this EHSMS. EHS management expectations and commitments are set at the highest level via the Duke Energy Environmental Policy and H&S Policy. Key elements of both policies are included within this EHSMS Manual, and the full policies are available on our Portal and Internet website. These policies, and this EHSMS Manual, cover all of Duke Energy s global activities, including the work of corporate departments and business unit operations. Implementation of the Duke Energy EHSMS affects everyone inside our company. This EHSMS Manual serves to define the EHS management roles and responsibilities for various key departments and positions. The management of EHS risks and requirements requires contributions from all departments and all organizational levels, including our employees and the contractors working on behalf of the company. Line management and supervisors have a particularly critical role as they are often on the front line where the risks and regulatory requirements apply and need to be managed. The subject matter experts within Corporate EHS are also critical to our success; however, ultimately, accountability for EHS performance rests with each employee. 4 This manual establishes the minimum requirements (i.e., expectations) for each of the six elements and 20 sub-elements of the EHSMS framework.
5 II. Environmental Policy Act with a sense of urgency while ensuring accuracy in all our responses. Apply lessons learned effectively across the enterprise. The foundation of the environmental side of our EHSMS is the Duke Energy Environmental Policy, as it defines our overall vision and expectations regarding environmental management. Statement of Purpose and Philosophy At Duke Energy, we are committed to the highest levels of performance in environmental compliance, practices and stewardship. Protecting and responsibly managing natural resources are essential to a cleaner environment, the quality of life in the communities we serve, and Duke Energy s long-term business success. This Environmental Policy establishes principles to fulfill this commitment. Through these, Duke Energy will: Compliance Plus Comply with applicable laws, regulations, permit obligations and company policies and procedures while also proactively addressing risk and building margin into our planning and operations. Agility Be nimble as new risks and opportunities emerge. Act with a sense of urgency while ensuring accuracy in all our responses. Apply lessons learned effectively across the enterprise. Accountability Set clear expectations, provide support and training and hold employees accountable for understanding and incorporating their environmental responsibilities into daily work activities. Actively engage the management of our contractors to hold them accountable for compliance with laws, regulations and applicable company requirements. Managing Impacts Work to prevent environmental incidents and be prepared to respond effectively in the event that they occur. Use natural resources efficiently to reduce consumption, waste, discharges and emissions. Integrate environmental considerations into planning, design, construction and operational decisions. Continual Improvement Set challenging goals to attain industry-leading performance and continually assess performance to improve environmental management systems, processes and results. Collaborate across the enterprise to proactively address environmental issues and explore opportunities to prevent pollution while providing affordable and reliable energy to our customers. 5 Stewardship and Transparency Support community efforts in environmental education, protection and conservation. Engage in partnerships that address common issues and promote sound public policy. Communicate environmental challenges and performance to maintain the trust and confidence of our stakeholders.
6 III. Health and Safety Policy Actively engage the management of our contractors to hold them accountable for compliance with laws, regulations and applicable company requirements. The foundation of the health and safety (H&S) side of our EHSMS is the Duke Energy H&S Policy, as it defines our overall vision and expectations regarding the protection of people. Statement of Purpose and Philosophy Duke Energy is committed to employee, contractor and public health and safety. Protecting our people is an essential duty that enhances the quality of life for our workforce and contributes to Duke Energy s long-term business success. Through each person s commitment, ownership and engagement, the company will achieve an injury-and illness-free workplace. The Health and Safety Policy establishes principles to fulfill this commitment. Through them, Duke Energy will: Compliance Plus Comply with applicable laws, and company policies and procedures while also proactively addressing risk and building margin into our planning and operations. Agility Be nimble as new risks and opportunities emerge. Act with a sense of urgency while ensuring accuracy in all our responses. Apply lessons learned effectively across the enterprise. Accountability Set clear expectations, provide support and training and hold employees accountable for understanding and incorporating health and safety responsibilities into daily work activities. Actively engage the management of our contractors to hold them accountable for compliance with laws, regulations and applicable company requirements. Managing Impacts Provide a safe and healthy workplace and be prepared to respond effectively in the event that incidents occur. Empower all employees to actively identify hazards, prevent and correct unsafe conditions and demonstrate safe behaviors at every level. Select, manage and partner with contractors to improve health and safety performance. Continual Improvement Set challenging goals to attain industry-leading performance and continually assess performance to improve health and safety management systems, processes and results. Recognize and reward safety excellence. Stewardship and Transparency Develop and maintain effective public safety programs to educate and inform the public in the communities in which we operate. Interact with key stakeholders to develop responsible laws and regulations that enhance health and safety in the workplace and communities. 6
7 IV. EHS Roles and Responsibilities Front-line supervisor provides visible leadership toward achieving a strong compliance-plus and incident-free culture monitors EHS behaviors and conditions and takes corrective actions as needed. Effective implementation of the Duke Energy Environmental Policy, H&S Policy and this EHSMS Manual depends on employees across organizational levels and departments taking responsibility for various tasks. Specific roles and responsibilities for various key departments and positions are listed below. Chief Executive Officer Provides strategic direction for the overall management of EHS issues companywide Provides visible leadership striving for a strong compliance-plus and incident-free culture Periodically reviews EHS programs and performance for appropriateness and fit with the company s needs Holds senior leaders accountable for their implementation of the Environmental Policy, H&S Policy and the underlying EHS management system as described in this manual, as well as for resulting performance Senior Leadership [Senior Management Committee/Executive Leadership Team] Provides visible leadership and strategic direction for the EHS management system and programs in their area of responsibility, helping to build and maintain a strong EHS culture and drive EHS performance improvement Allocates adequate resources to enable implementation of EHS programs consistent with corporate and business unit (BU) policies and standards Holds leaders accountable for their implementation of the EHS programs and resulting EHS performance Executive Environmental Governance Board (EEGB) and Health and Safety Performance Council (HSPC) Reviews and approves companywide EHS policies and standards and specific EHS initiatives to drive performance improvement and risk management Guides and informs senior leadership s strategic decisions that involve potentially significant EHS risk or opportunity Debates advocacy positions on current and emerging EHS issues Reviews and interprets companywide EHS performance, including audit results, risk assessments and risk management/mitigation efforts, and guides continual improvement Conducts an annual management review of the company s overall EHS management system and its underlying programs 7...
8 Business Unit Management Is directly accountable for EHS performance at their operation/location Provides visible leadership toward achieving a strong compliance-plus and incident-free culture Allocates resources to enable implementation of site EHS programs consistent with corporate and BU policies and standards Holds subordinate managers accountable for the implementation of the EHS programs and resulting EHS performance and ensures that EHS hazards/risks are accounted for in the planning of work and that controls are fully implemented Leads site EHS management review meetings and drives continual improvement in EHS programs and performance Participates in investigations of significant incidents within the scope of their management responsibility Raises EHS issues or concerns to senior leaders where warranted Ensures operational changes and on-site contractor work are subject to appropriate EHS risk review and oversight Acts as a company ambassador to local community stakeholders Front-line Supervisor Provides visible leadership toward achieving a strong compliance-plus and incidentfree culture; monitors EHS behaviors and conditions and takes corrective actions as needed Participates in investigations of incidents within the scope of their supervisory responsibility Participates in routine inspections and helps promote/maintain good housekeeping Ensures team members understand their EHS roles and responsibilities and obtain/ maintain the required competencies to carry them out Raises issues or concerns to appropriate management where warranted Ensures EHS work management tasks are completed on time Corporate EHS Chairs the Executive Environmental Governance Board (EEGB) and Health & Safety Performance Council (HSPC) Provides functional oversight and leadership to the companywide EHS management system and its underlying programs Develops and proposes EHS policies and standards for review and approval by the EEGB and HSPC; assists individual BUs with business-specific EHS procedures/programs Develops and implements programs and initiatives to drive continual improvement in EHS performance and risk management Maintains an understanding of the material federal and state EHS laws and regulations that apply to the company s operations In collaboration with the BUs and Corporate Legal, tracks potential changes to federal and state laws and regulations, assesses the impact of potential changes to these laws and regulations to the company, and develops and implements a strategic approach to influencing public policy and legislation where business impacts could be material 8
9 In collaboration with Corporate Legal, provides technical input to respond to third-party claims and noncompliance negotiations with regulators Works with business leaders to clearly define EHS management roles and responsibilities across organizational levels and departments and hold responsible individuals accountable for carrying them out Facilitates the development and endorsement of corporate EHS metrics to track performance, compiles metrics data and publishes routine internal performance reports Reviews internal performance trends (e.g., audit results and incidents), benchmarks EHS programs and performance against peers, facilitates sharing of lessons learned and best practices within and across businesses, supports training programs at the corporate level, and, as appropriate, endorses business strategies that will enable BUs to improve performance Environmental Energy and Policy/Sustainability Provides leadership and direction in the development of environmental and energy policy for Duke Energy, as well as in the development of the company s sustainability strategy Identifies and analyzes regulations and legislation that may significantly impact the corporation and, in coordination with multiple departments across the enterprise, develops and executes strategic action plans to effectively manage these issues and advocate for the corporation s position Communicates Duke Energy s sustainability progress and challenges to key internal and external stakeholders and serves as the official source for audit-quality nonfinancial company data Builds and nurtures relationships with external stakeholders (including social responsible investor community, key nongovernmental organizations, academia, community and customers) through proactive engagement and dialogue Engages, motivates and develops employees to promote sustainability initiatives that result in innovative ideas, operational efficiencies, cost savings and a reduced environmental footprint Internal Audit Maintains an audit program to independently review conformance with the established EHS management system and its underlying programs 9
10 Corporate Legal Maintains an understanding of the material federal and state environmental laws and regulations that apply to the company Tracks potential changes to federal, state, and local laws and regulations and coordinates with Corporate EHS and the businesses in developing a strategic approach to influencing public policy where business impacts could be material Represents the company s strategic response to third-party claims and non-compliance negotiations with regulators in coordination with the relevant business area, Corporate EHS and others, as appropriate Advises on the establishment and enforcement of contracts that address potential EHS liability and responsibility for contractors on a risk basis [shared responsibility with Supply Chain/Procurement and relevant business areas] Provides appropriate internal and external legal resources in defending corporate and BUs in matters related to EHS litigation, as well as stakeholder negotiation of legal matters that affect existing assets, mergers and acquisitions, divestitures, new asset development and construction Ethics and Compliance Maintains an ethics and compliance program to foster a culture of ethical behavior and compliance with law and to prevent, detect and respond to potential violations of laws and regulations that apply to Duke Energy s operations Provides a compliance program framework and standards that establish a comprehensive approach for defining accountabilities and core program elements Human Resources Supports individual business areas and departments in ensuring EHS roles and responsibilities are clearly defined and understood across organizational levels and departments Supports individual business areas and departments in ensuring responsible individuals are held accountable for carrying out their assigned responsibilities In collaboration with Corporate EHS, supports individual business areas and departments in ensuring appropriate EHS awareness, education and training are provided to all relevant segments of the work force, including at hiring, promotion, job transfer and operating process changes Helps ensure that any person performing actions on behalf of individual business areas and departments that can impact EHS performance is competent on the basis of appropriate awareness, education, training, or experience Finance Works with Corporate EHS to determine required financial disclosures and reserves Ensures integration of EHS issues into the Enterprise Risk Management process Procures appropriate insurance for EHS claims and incidents 10 Supply Chain/Procurement Incorporates EHS performance, programs and requirements into the strategic sourcing process, including the procurement of materials and equipment and the selection and management of contractors and suppliers [shared responsibility with the BUs and other internal customers]
11 Corporate Communications Coordinates with the business area(s) concerned and Corporate EHS to respond appropriately to inquiries and complaints from interested external parties, including ensuring approvals are secured before communicating with external stakeholders or publishing EHS information externally Coordinates with the business area(s) concerned and Corporate EHS to respond appropriately to emergency situations, ensuring external stakeholders are appropriately briefed Provides information on EHS programs, performance and issues to internal audiences to help maintain a high level of employee awareness [shared responsibility with the BUs and Corporate EHS] Participates in developing and approving the EHS content of corporate reports [shared responsibility with the BUs and Corporate EHS] Contractors Become familiar with the Environmental Policy and H&S Policy, specific BU EHS requirements, EHS aspects/hazards and compliance obligations that apply to their work and associated operational controls to manage compliance and risk Provide staff who are competent to carry out all assigned roles and meet all job-specific EHS requirements Adhere to the principles of the Duke Energy Environmental Policy and H&S Policy and contract-specific requirements Proactively manage EHS issues that may arise and report them to the Duke Energy business partner or through Duke s existing Environmental Hotline, , or Ethics Hotline, , as appropriate All Employees Become familiar with the Environmental Policy and H&S Policy, specific BU EHS requirements, EHS aspects/hazards and compliance obligations that apply to their job responsibilities and job site, including operational controls to manage compliance and risk Seek information from leadership, as needed, to assure clarity in roles and expectations related to EHS matters and become competent to carry out all assigned roles and meet all job-specific EHS requirements Adhere to the principles of the Environmental Policy and H&S Policy and specific BU requirements, and follow appropriate procedures to comply with applicable compliance obligations and effectively manage risk Proactively identify opportunities to improve EHS programs and performance and share them with responsible management Report any EHS issues or concerns according to company processes, including through the Environmental Hotline or Ethics Hotline, which are accessible 24 hours a day, every day of the year 11
12 EHS risks are assessed based on the controls in place in order to determine whether the residual risk is acceptable or requires mitigation. Controls are assessed for effectiveness. V. EHSMS FRAMEWORK AND IMPLEMENTATION APPROACH The minimum requirements (i.e., expectations) of Duke Energy s EHSMS, and the approach used by Duke Energy to implement those requirements, are described below. Element 1 Leadership The Leadership element of the Duke EHSMS includes three sub-elements: 1a. Leadership and Commitment 1b. EHS Policies 1c. Roles, Responsibilities, Accountabilities and Authorities 1a. Leadership and Commitment Management visibly demonstrates its leadership and commitment to minimizing adverse EHS impacts and implementing the corporate EHS policies and standards, helping to build/reinforce a strong and proactive culture of EHS responsibility and drive effective program implementation. 1. Management visibly demonstrates the importance of EHS management by being actively involved in EHS program implementation and modeling safe behaviors in day-to-day activities and during visits to field operations. 2. Award and recognition processes reinforce EHS expectations and culture. Poor EHS performance is subject to disciplinary action. 1b. EHS Policies EHS management expectations are clearly defined in company policies and standards and effectively guide day-to-day operations, behaviors, planning and decision-making. 1. The Duke Energy Environmental Policy and H&S Policy are broadly distributed and the expectations contained in each are communicated to employees and others working on behalf of Duke Energy. 2. The Duke Energy Environmental Policy and H&S Policy are made available to external stakeholders. 3. The Duke Energy Environmental Policy and H&S Policy are reviewed on a periodic basis to ensure their ongoing appropriateness and fit, and are updated as needed. 4. Additional EHS policies, standards, procedures and guidance documents are developed at the corporate, business unit, regional and site levels to elaborate on and support implementation of the Duke Energy Environmental Policy and H&S Policy Responsible line management personnel are involved in the implementation and oversight of EHS policies, standards and procedures affecting their areas of responsibility.
13 1c. Roles, Responsibilities, Accountabilities and Authorities EHS responsibilities of employees and contractors are defined, documented, communicated and understood, and individuals are held accountable for effectively carrying out their roles. 1. EHS responsibilities for relevant departments and positions are clearly defined, documented and communicated. 2. Individuals with EHS-related responsibilities have appropriate authority to carry out their assigned duties. 3. Individuals with EHS-related responsibilities are held accountable for carrying out their roles and achieving the desired results through the performance appraisal and incentive compensation processes. Accountability cascades down from senior line management through to front-line supervisors and employees. Element 2 Planning The Planning element of the Duke EHSMS includes three sub-elements: 2a. EHS Aspects/Hazards and Risk Assessment 2b. Compliance Obligations 2c. EHS Objectives and Plans 2a. EHS Aspects/Hazards and Risk Assessment EHS aspects and hazards are identified and associated risks are assessed based on the controls in place in order to define where additional controls or risk mitigation actions are required. 1. EHS aspects and hazards associated with operational equipment and work activities are inventoried and documented. 2. EHS risks are assessed based on the controls in place in order to determine whether the residual risk is acceptable or requires mitigation. Controls are assessed for effectiveness. 3. Additional risk controls and mitigation actions are identified, evaluated and implemented to further reduce EHS risk levels when deemed appropriate. 4. Risk assessments are carried out by competent individuals and include the input of those with a practical understanding of the risk scenarios based on day-to-day operational experience Risk assessments are carried out or updated per Management of Change processes, including changes to the organization, operations, equipment, business processes, materials and products. Risk assessments are reviewed and updated as needed.
14 2b. Compliance Obligations Relevant laws, regulations and other EHS obligations are proactively identified and managed through compliance action tracking systems. 1. Applicable EHS statutes, regulations, ordinances, compliance requirements and other commitments made to regulators and other relevant stakeholders, as appropriate, are identified and documented. 2. Actions required to fulfill the identified compliance requirements are defined and communicated to responsible employees or contractors. 3. Potential changes to compliance obligations are monitored and new applicable requirements are incorporated into the compliance management process. 2c. EHS Objectives and Plans EHS objectives are established and evaluated as part of the business planning process to drive continual improvement in EHS programs and performance. 1. Measurable objectives are developed to improve EHS programs and performance, considering EHS policies, past performance, risks and opportunities, industry benchmarks, the interests of stakeholders and business realities. 2. Action plans are defined to achieve the objectives, including specifying responsibilities, timeframes, and resource requirements. 3. The objective-setting and action planning processes are incorporated into the business planning and performance management processes to ensure they are aligned with the overall business objectives, endorsed by management and adequately resourced. 14
15 Element 3 Operations The Operations element of the Duke EHSMS includes five sub-elements: 3a. Operating Procedures 3b. Mechanical Integrity 3c. Management of Change 3d. Emergency Preparedness and Response 3e. Contractors 3a. Operating Procedures Documented procedures establish safe work practices for managing specific EHS risks. 1. Operating procedures and supporting work instructions address day-to-day management of EHS aspects and hazards; the need for operating procedures is based on risk. 2. Programs and procedures are established to address specific high-hazard work activities. 3. Employees are provided with training on relevant operating and implementing procedures so that they are effectively implemented. Contractors are made aware of relevant operating procedures. 3b. Mechanical Integrity Plant and equipment critical to EHS are operated and maintained to sustain mechanical integrity and reliability so as to prevent EHS incidents. 1. Equipment critical to achieving EHS commitments in company policies and objectives (e.g. regulatory compliance, pollution prevention, and employee and public safety), including operating equipment, control equipment and measurement devices, are identified, documented and subject to routine preventive maintenance to keep the equipment running in proper operating condition. 2. Equipment that fails or is not operating properly receives appropriate repair priority so that policy commitments, regulatory requirements, and other obligations are met. 3. Maintenance and equipment performance records are maintained and analyzed to anticipate and address performance issues. 15
16 3c. Management of Change Planned and unplanned changes are identified and managed to ensure that EHS risks arising from these changes remain at an acceptable level. 1. A documented Management of Change process defines the nature and level of risk assessment required to assess the potential EHS impacts from both permanent and temporary changes to the assets and/or equipment, land use, materials/chemicals, and operational and business processes. 2. Risk assessments and reviews of proposed major changes are carried out by competent individuals at appropriate stages in the change process (e.g., conceptual design, detailed design, capital authorization, prior to construction and pre-startup) and identified issues are addressed prior to implementing the change. 3. Changes made are documented and communicated to relevant personnel. 4. EHS due diligence is conducted to the extent practical prior to acquiring or divesting assets, and management of identified EHS risks and liabilities is incorporated into the transaction terms; Duke Energy policies and standards are applied to newly acquired assets as soon as practicable. 3d. Emergency Preparedness and Response Plans and procedures are in place to prepare for and effectively respond to emergency situations. 1. Emergency plans and procedures are developed to mitigate EHS and associated business impacts across a range of potential incident and emergency scenarios, including credible worst case. 2. Crisis communications plans are maintained to inform internal and external stakeholders in the event of an actual emergency. 3. Local emergency response teams are organized and trained, appropriate response equipment deployed and maintained, and coordination with appropriate external response organizations established. 4. Communications, emergency plans, and response and recovery procedures and equipment are tested on a regular basis to ensure ongoing readiness Emergency plans and procedures are modified based on lessons learned from tests and responses to actual emergencies, and they are communicated to relevant personnel.
17 3e. Contractors EHS risks are factored into the selection and management of contractors. 1. EHS performance, programs and issues are factored into the selection of contractors on a risk basis, taking into account the nature of their activities or services and previous EHS performance. 2. Contracts are established and enforced that address potential EHS liability and responsibility for contractors, including consequences for failing to comply with contract or regulatory obligations. 3. Contractors, including their employees and associated subcontractors, are made aware of EHS risks and associated controls, procedures and standards relevant to their work. 4. EHS aspects of contractor activities and performance are monitored on a periodic basis. 5. Contractors provide information on the hazards associated with their equipment, products and services prior to delivery or commencement of works, and whenever changes occur. 17
18 Element 4 Monitoring The Monitoring element of the Duke EHSMS includes two sub-elements: 4a. Performance Monitoring 4b. Inspections and Audits 4a. Performance Monitoring EHS performance is tracked on an ongoing basis to enable corrective actions and drive performance improvement. 1. Performance of operating and control equipment critical to achieving commitments in company EHS policies and objectives is monitored using established criteria in order to anticipate and prevent noncompliance and adverse impacts. 2. An incident reporting process is established that defines the types of incidents that should be documented and reported to management, reporting timelines and which incidents are subject to formal incident investigation and corrective action processes. 3. Key performance indicators (KPIs) are established to measure EHS performance, and routine reports are provided to responsible management in a timely manner. KPIs include leading and lagging indicators. 4b. Inspections and Audits A complementary combination of EHS inspections and audits is carried out to verify conformance with compliance obligations and established standards and procedures, and to drive continual improvement in EHS programs and performance. 1. Routine audits verify (1) compliance with relevant internal and external obligations, including legal requirements and (2) conformance to Duke s EHS management system requirements. 2. Local inspection programs are established to maintain good housekeeping and identify and prevent potential noncompliance with obligations and unsafe behaviors and conditions on a routine basis. 3. Inspections and audits cover a full range of relevant EHS topics and operations, are carried out by competent individuals, are communicated to management and are subject to corrective action. 18
19 Element 5 Improvement The Improvement element of the Duke EHSMS includes three sub-elements: 5a. Corrective Action 5b. Organizational Learning 5c. Management Review 5a. Corrective Action Corrective actions are implemented to address nonconformances and drive performance improvement. 1. Corrective actions are developed from audit findings in response to incidents and significant near misses, and when performance results are not trending in line with established objectives and expectations. 2. Corrective actions consider the underlying causes in order to reduce the likelihood of a recurrence, with more formal and rigorous investigations carried out for the most significant findings and incidents. 3. Corrective actions are tracked through closure. 5b. Organizational Learning Trends in EHS performance and lessons learned are analyzed across the company, and corresponding actions are taken as appropriate to further mitigate risk and improve performance at a given asset as well as across BUs/regions. 1. Trends in incidents, audit findings and other performance indicators are analyzed within and across individual operations, and appropriate proactive measures are taken to further mitigate risk and improve performance. 2. Lessons learned and best management practices from internal and external sources are shared across operations, and corresponding actions are taken as appropriate to further mitigate risk and improve performance. 19
20 5c. Management Review Overall EHS programs and performance are reviewed by senior management to ensure they are achieving the desired outcomes. 1. A formal review of the adequacy and effectiveness of the EHSMS, its underlying programs and overall EHS performance is carried out for major operations and assets at least annually with the direct involvement of the senior line manager responsible for those operations and assets. 2. Improvement actions are defined and taken based on the results of the management reviews, tracked through to closure and monitored for effectiveness in driving EHS performance improvement. 3. The results of EHS management reviews are rolled up to higher organizational levels, enabling similar reviews at higher organizational levels, including regional, business unit and corporate levels. 20
21 Element 6 Support The Support element of the Duke EHSMS includes four sub-elements: 6a. Resources 6b. Competency 6c. Communications and Engagement 6d. Documentation and Record Keeping 6a. Resources Sufficient resources are provided across the organization to support implementation of the EHS management system and to achieve the desired level of performance. 1. The organization determines and provides the resources needed for the establishment, implementation, maintenance and continual improvement of the EHSMS. 6b. Competency Processes are in place to ensure that employees and contractors are competent to carry out their roles in a safe and responsible manner. 1. EHS-related competencies are established and factored in to the hiring, promotion and performance evaluation processes for those positions that can significantly affect EHS performance. 2. Training needs for key job classifications, including contractors (where relevant) and new and transferring staff, are defined and documented. 3. Training programs consistent with the defined training needs are implemented and tracked, ensuring staff are competent to effectively carry out assigned responsibilities. 21
22 6c. Communications and Engagement Ongoing communications and engagement activities ensure critical information is shared, a high level of EHS awareness is maintained and a strong, inclusive EHS culture is built and continually improved. 1. Affected employees are engaged in the development, implementation, and improvement of EHS programs in order to build awareness and ownership. 2. Internal communication programs, for employees and key contractors, help maintain a high level of EHS awareness, communicate performance accomplishments and opportunities for improvement, share lessons learned and best practices, and reinforce a strong EHS culture. 3. A mechanism is in place that allows employees, contractors and the general public to report EHS concerns, including noncompliance and unsafe conditions, anonymously and without fear of reprisal. 4. Processes are in place to proactively communicate on EHS programs and performance to external stakeholders. 5. A process for receiving, documenting and responding to external inquiries regarding EHS issues, including from regulators, neighbors, customers, investors, business partners and others, is established. 6d. Documentation and Record Keeping An effective EHS document control and record management system is in place. 1. The core elements of the EHS management system are documented, including indexes or maps that provide direction to related procedures, tools and other documents. 2. Document management procedures are maintained to ensure current versions of information and data are readily available, obsolete versions are removed and confidential information is controlled. 3. Records that demonstrate regulatory compliance and conformance to the requirements of the EHSMS are maintained, protected from damage and readily available. 22
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