Environmental Management in Industry

8/8/2019 Environmental Management in Industry

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Dr Sara Yazdi Dr Sara Yazdi



³as Chief Officer of this company,I am also its Chief Environmentalist.´

E. Woolard, Du Pont



Holistic management of 5

different types of capital:

y Natural capital

y Social capital y Human capital

y Manufactured capital

y Financial capital



Natural capitaly Natural resources (energy and matter) and

processes needed by organisations tomanufacture their products and deliver theirservices.

y Includes:

y Renewable and non-renewable resources

y Sinks that absorb, neutralise or recycle wastes

y Biogeochemical processes (e.g. carbon cycle)



Social capitaly Includes:

y Networksy Communication channelsy Familiesy Communitiesy Businessesy Unionsy

Schoolsy NGOsy Cultural activities

y Based on human relationships,partnerships and cooperation.



Human capitaly Includes:

y Health

y

Knowledgey Skills

y Intellect

y Motivation

y Sociability (capacity for relationships)

y From standpoint of organisation thisincludes elements required for humans toengage in productive work and wealthcreation; achieving better quality of life



Manufactured capitaly Material goods and infrastructure owned,

leased or controlled by an organisation

contributing to provision of services.



Financial capitaly Reflects the productive power of all values of

capital and covers those assets of an

organisation that exist in form of currencythat can be owned or traded, including:

y Shares

y Bonds

y

Banknotes



E. Taylor, Standars and Sustainability, "The

Sustainable Enterprise - Profiting from BestPractice", Kogan Page 2006.

SIGMA ManagementFramework



Factors influencingenvironmental management in

industryy Legal requirements and obligations

y Environmental liability

y Imagey Employees

y Finance

y Professional Associations

y Ethical considerations



Environmental Management System(EMS)

y Two functional systems in a company:y Operational system

y Achieves purpose of company; e.g. production of range of products

y Management systemy Acts on operational system to help it function and improve

y EMS involves:y Defining a policyy Establishing standards and objectivesy Planning for achievementy Allocating required resourcesy Documentingy Measuringy Auditingy Reviewing



Environmental and SocialManagement Systems in UK

y SIGMA ± Sustainability: Integrated Guidelines forManagement

y PD 6668 ± Managing Risk through Corporate Governancey EMAS ± EU Eco-Management and Audit Schemey ISO 14031 ± Environmental Managementy AA 1000 ± Accountabilityy BPIR ± Business Performance Improvement Reviewy PAS 56 ± Business continuityy SA 8000 ± Social accountabilityy EFQM ± European Quality Awardy

2000 ± Quality Management Systemy OHSAS 18001 ± Occupational Health and Safety

Management Systemy ISO 14001 ± Environmental Management Systemy IIP ± Investors In Peopley BS 8555 ± Acorn - Phased approach for SME to implement

EMAS or ISO 14001



Environmental policyy Clearly stated environmental policy is the

foundation of any EMS.

y Environmental policy ± public statement of intentions, principles of action, and objectivesthat govern the management of the company withrespect to the environment.

y The corporate environmental policy is endorsedand approved at the highest level of managementby the CEO, President or Executive Committee.

y

The environmental policy is made available to thepublic and communicated to all interested parties(employees, shareholders, etc.)

y http://www.nottingham.ac.uk/estate/environment /



Contents of environmentalpolicy:

y Commitment to conduct company¶s activities in amanner such as to safeguard health, safety andenvironment of employees, consumers, localcommunity and public.

y Compliance with environmental legislation and

standards, and commitment to go beyondlegislative compliance.y Communication of environmental information to

stakeholders.y Information for customers on safe use of product

and its nature and contents.y Environmental education and training of

employees and contractors.y Support for environmental research.y Access to environmentally sound technologies.



Organisation of HSEy A senior manager (e.g. Vice-President, Director),

reporting directly to the President, is appointedhead of the company¶s central HSE.

y Central HSE department¶s activities include

toxicology, occupational health, emissionsmonitoring, waste management, environmentalaudits, product safety, etc. Also act in an advisorycapacity to company management.

y Business units (product divisions, geographical

areas) are responsible for implementing theenvironmental policy. HSE directors orcoordinators at the division or site level act inadvisory capacity.



HSE Department

y HSE staffing varies widely depending onsize and type of company: 2-25 HSE staff

members (generally 10) per 1,000employees.

y Some companies have large central HSEdepartments with up to 150 experts, other

prefer decentralised system with most HSEstaff at divisional or site level, with only asmall centralised unit performing mainlycoordinating activities.



Employee motivation and

trainingy Prizes awarded by companies to employees in

recognition of HSE improvements.

y Training of employees in HSE matters is anincreasing priority.

y Contractors are supposed to work under sameHSE standards as company employees.



Research and development (R & D)y Most major companies have R & D

programmes devoted exclusively to HSE

matters.y HSE R & D uses about 10-15% of company¶s

total R & D expenditure.



Register of Standards

y Central HSE department or the division/site HSEunits keep a register of all government standards,laws and regulations pertaining to the company¶s

activities.y Documentation on all applicable laws, standards,

guidelines, regulations, etc. must be kept up todate and staff need to be informed of any updatesor modifications. Written procedures with clear

allocation of responsibility may be required.y Some companies establish their own standards

which can be even more stringent than the legalstandards. Such standards are established at thehighest level of the organisation and applied to all

sectors.



Measuring environmentalperformance

y

To measure effectiveness of an EMS, data on the effects of the company¶s activities on environment and health arerequired.

y Regular sampling and monitoring programme is required atvarious company sites, and outside the company too.

y Parameters typically monitored include:y Air emissions (point and fugitive)y Water emissions (to sewers or receiving waters)y Solids and hazardous wastesy Land contaminationy Water, fuel and energy usey Thermal, noise, and odour pollutiony Effects on ecosystemsy Accidents and near-missesy Injuriesy Complaints from community, customers and public relating toHSE matters

y Data are collected using standard and accepted methodsand kept in registers at various levels in the company.



Environmental audits

y Industrial audits:y Financial management system auditsy Health and safety auditsy Site auditsy

Compliance auditsy EMS audits ± increasing trendy Other (e.g. waste management)

y Environmental auditsy ³A management tool comprising a systematic,

documented, periodic, and objective evaluation of how

well environmental organisation, management andequipment are performing with the aim of helping tosafeguard the environment by:y 1) Facilitating management control of environmental

practicesy 2) Assessing compliance with company policies, which would

include meeting regulatory requirements´

International Chamber of Commerce (ICC)



Role of environmental auditsy Environmental audits are a necessary

component of a company¶s environmental

management system, permitting adetermination of whether or not the system isimplemented effectively and is suitable forfulfilling the company¶s environmental policy.



The Audit Plan

y The central HSE department establishes anappropriate audit plan, dealing with thefollowing:y Priority settingy Establishes specific areas and activities to be

audited and the frequency for auditing basedon information from previous audits, literature,legislation, nature and risks of activities, etc.

covering situations encountered in industry.y Objectives of audity Personnel requirementsy Protocol for conducting the audity Procedures for reporting audit findings



The audit teamy Internal environmental audits can be performed

byy personnel from within the organisation (but wherever

possible to be independent of the unit being audited)y External personnel (e.g. consultants, ISO registration

auditors.

y

Typical team includes 3-4 persons under a teamleader/lead auditor. At least two persons shouldbe experts in environmental issues, and one ormore should be familiar with the audited activity.

y Team members should obtain clear, unbiasedinformation on audited operations from

observations and interviews.y An employee of the unit being audited should be

seconded as a liaison with the audit team.y Time required for an audit (and hence the cost of

the audit) varies considerably with size of the

audited site and nature of operation. It can varyfrom several da s to several weeks.



ISO guidelines for environmentalauditing:

y ISO 14010: General principles onenvironmental auditing

yISO 14011: Audit procedures ± Auditing of environmental management systems

y ISO 14012: Qualification criteria forenvironmental auditors

y ISO 14001: EMS



Audit methodology

1) Identification of elements of the EMS, includinginstruction manuals, written procedures StandardOperating Procedures (SOPs), communication,and reporting schemes.

2) Evaluation of the control system

3) Assessment of strengths and weaknesses of theEMS.

4) Examination of records of data on controlled oraccidental releases, energy use, complaints, etc.

5) Evaluation of training, awareness and motivation

of personnel



Audit methodologyy Auditors collect the necessary information through

direct observation (e.g. perusal of records,documents) and interviews of plant personnel from alllevels.

y Auditors frequently cross-check information.

y Full cooperation of management is required andexpected.

y Audit can be started with a brief meeting with plantpersonnel where the audit objectives, plan andmethods are outlined and explained.

y At conclusion of audit, the team leader/lead auditorshould present the major findings to the plantmanagement. This could help to implement immediate

corrective measures.



Audit reporty Final report is drafted by team leader/leadauditor and checked by site manager

before being sent to senior management.

y A typical report includes:y 1) Executive summary of major findingsy 2) section on detailed observationsy 3) Proposal for corrective action, including

capital investments, equipment modifications,change to management procedures, etc.

y Corrective action is discussed at seniormanagement level. It is then integratedinto the company EMS.



Environmental Management

Reviewsy Suitability and effectiveness of EMS has to

be assessed at regular intervals.y EMS reviews are carried out at regular

meetings involving senior managementand head of central HSE.

y Meetings review latest data onenvironmental performance, trends,

effectiveness of programmeimplementation, etc.y Review meeting can lead to modifications

of environmental objectives, programmes,and even the policy, if necessary.



Environmental Communication

y In the past, secretiveness and confidentiality were deeplyentrenched in business.

y Nowadays, environmental communication is a growingfeature of the environmental policy of many companies, dueto:y

Some national legislation requires the disclosure of environmental information.y Within the broad concept of ³sustainable development ,́

environmental reporting is increasingly important.y Reporting environmental data can help restore a company¶s

image and help its PR.y Customers increasingly pay attention to environmental

considerations when making purchases.y Shareholders, financial institutions, insurance firms require

environmental information to help them assess their futurefinancial risks.

y Employees and local communities need information on theirworking and living environment.

y Environmental NGOs may campaign more vigorously against

companies that do not disclose environmental information.



Means of communication

y Labelsy Industry has long used labels, especially with regard to

hazardous chemicals

y Product advertisingy

Eco-labellingy Media

y Often concentrates on bad news rather than good news

y Company newsletters and magazinesy Directed at employees and shareholders

y

³Open house´ days and industrial visitsy Directed at local communities, schools, colleges, etc.

y ³Hot-lines´, toll free telephone numbers, andinformation centres.y Made available by some companies for customers and

public.

y The Environmental report



The Environmental Reporty Usually an annual report.

y Started by some companies in late 1980s and early 1990s.

y No standard or commonly accepted format for these

reports; they vary from company to company.y Some companies publish only a report covering the

company as a whole, while others publish a single reportwith a section on the whole corporation and sections on theindividual sites, or free-standing individual reports on theindividual sites.

y e.g. http://www.nec.co.jp/eco/en/annual2004/

y Nowadays, thousands of companies around the world havepublished environmental reports.

y Mandatory environmental reporting has recently beenintroduced in: Netherlands, Denmark, Australia, USA,

France.



Objectives of environmental

reporting ³the provision of information about the

environmental impact and operational

performance of an entity that is useful torelevant stakeholders in assessing theirrelationship with the reporting entity.´

Sustainability Working Party of the EuropeanFederation of Accountants (FEE)



The report ontenty Report hould ontain text and numeri al data.

y Text hould include the company¶ environmentalpolicy, it environmental programme, objectives,targets and major achievements.

y ³Environmental indices´ can be used but absolute figures are better at convincing concernedstakeholders.

y All companies should include data covering same

parameters f or a company or site so that easycomparison between environmental perf ormance of diff erent companies can be made; i.e. there is a need to standardise the reporting.



The report contentsy In 1998 European Chemical Industry Council

(CEFIC) issued the Responsible Care ± Health,Safety and Environmental guidelines.

y These list 16 core parameters and their definitionsaccording to which all chemical companies should

report. This will enable data between companiesto be compared and improvements monitored.



Sustainability Reporty Reports on economic, environmental and social impacts of

organisations

y Strategic document that addresses role of sustainabledevelopment in running its business.

y Contents:

y Business issues

y Risk management procedures

y Economic indicators

y Cost of goods, materials and services purchased

y Total payroll and benefits expensesy Donations to charity, etc.

y Social issues

y Labour practices

y Societal and product responsibility



The Global Reporting Initiative

(GRI)y Established in 1997 as a voluntary cooperative initiative by world¶s

leading reporting experts and organisations.

y Publishes series of reporting guidelines, first in 2000.

y

2002G

uidelines:y Part A: Using the guidelines

y Part B: Reporting principles

y Part C: Report content

y Vision and Strategy

y Profile

y Governance structure and management systems

y Content Index

y Performance (economic, environmental, social) indicators

y Part D: Glossary and annexes

y www.globalreporting.com



Components of a SustainabilityReport (according to GRI

Guidelines)y CEO¶s statement

y Organisational profile

y Scope

y Key impacts

y Governance

y Sustainability related polices

y Management systems and procedures

y Stakeholder engagement

y Performance and compliance

y Targets and achievements

y Independent verification statement



Responsible Carey R

esponsible Care is the chemical industry's globalvoluntary initiative under which companies, through theirnational associations, work together to continuouslyimprove their health, safety and environmentalperformance, and communicate with stakeholders abouttheir products and processes in the manufacture and supplyof safe and affordable goods that bring real benefits to

society.y Responsible Care was first conceived in Canada and

launched in 1985 to address public concerns about themanufacture, distribution and use of chemicals.

y The number of chemical industry associations embracing theResponsible Care ethic has grown from 6 to 52 countriessince 1992 when Agenda 21 was adopted at the Rio EarthSummit.

y Programmes are established on a national basis by nationalchemical industry associations.

y Responsible Care Fundamental features:http://www.responsiblecare.org/pics/pdfs/ResponsibleCareFundamentalFeatures.pdf



Fundamental features of ResponsibleCare programmes

1) Formal commitment to a set of guidingprinciples

2) Series of codes, guidance notes and checkliststo assist in implementing the commitment.

3) Development of indicators against which

improvements can be measured.4) Communication of HSE matters with interested

parties outside the industry.

5) Provision of forums for companies to shareviews

6) Adoption of title and logo

7) Commitment to Responsible Care is a conditionfor membership of many national associations.



Responsible Care codes:

y Responsible care codes cover following areas:

y Emissions control

y Process safety

y Occupational health and safety

y Transport and distribution

y Community awareness and emergencyresponse

y Product stewardship



J11EMX Environmental Management



³There is something fundamentally wrong intreating the earth as if it were a business inliquidation.´

Herman Daly

World Bank



P. Johnson, I SO 14000: The BusinessManager¶s Complete Guide to Environmental Management, 1997, Wiley:

y ³But just as ISO 9000 is not an ³instructionbook´ on achieving quality, neither is ISO 14000 ahow-to on environmental control.

y ISO 9000-certified companies reach their owndefinitions of quality and improvement, and usethe standard as a means of realising thosedefinitions.

y Similarly, ISO 14000 will not tell you how to be

environmentally responsible.



P. Johnson, I SO 14000: The BusinessManager¶s Complete Guide to Environmental Management, 1997, Wiley:

y ³Your organization¶s top management (guided byforces from external sources including existingand upcoming government or industry

regulations, societal issues, and technologicaldevelopments) will use the standard as a roadmap.

y The road map will help you arrive at your

company¶s self-defined image of environmentalresponsibility.´



International Standards

Organisationy ISO established in1946

y Develops standards for products orequipment within global industries (e.g.machine tools)

y ISO standards define procedures to

measure, monitor, review and revisetechnologies.



International Standards

Organisationy ISO published the first-ever total systems

standard for quality assurance, ISO 9000in 1987.

y This is a generic quality managementsystem applicable to all organisations andindustries.

y ISO 14000 released in September 1996



ISO 14000y ISO 14000 is a voluntary management

tool.y ISO 14000 was developed by the

international business community to

provide companies with methodicallystructured control over all aspects of environmental impacts.

y With ISO 14000 an organisation can

establish policies based on its assessmentof the environmental aspects of acompany¶s business and the environmentalgoals set.



ISO 14000y ISO 14000 only mandates:

y Compliance with existing regulationsy Dedication to continuous improvementy Environmental performance in tune with

management¶s commitment

y In some countries ISO 14000 has become arequirement for doing business.



ISO 14000 Series

y ISO 14000 Series is the set of standards relatingto environmental management system. standardsare:y ISO 14001 Environmental Management Systems (EMS) ±

Specification with guidance for usey ISO 14004 Environmental management Systems ± General

guidelines, principles, systems and supporting techniques.y ISO 14010 Guidelines for Environmental Auditing ± General

principlesy ISO 14011 Guidelines for Environmental Auditing ± Audit

procedures ± Auditing of Environmental Management Systemsy ISO 14012 Guidelines for Environmental Auditing ±

Qualification Criteria for Environmental Auditorsy ISO 14013 Management of Environmental Audit Programsy ISO 14014 Initial Reviewsy ISO 14015 Environmental Site Assessments

y Generally, the standard used for certification is ISO 14001Environmental Management Systems - Specifications withG

uidance for Use.



ISO 14000 Seriesy ISO 14000 Series is the set of standards relating to

environmental management system. standards are:y ISO 14020 Environmental Labels and Declarations ± General Principlesy ISO 14021 Environmental Labels - Self Declaration- Environmental

Claims- Terms and Definitionsy ISO 14022 Environmental Labels - Symbolsy ISO 14023 Environmental Labels - Testing and Verification

Methodologiesy ISO 14024 Environmental Labels and Declarations ± Type I

Environmental Labelling ± Principles and Proceduresy ISO 14031 Environmental Performance Evaluationy ISO 14040 Environmental management ± Life Cycle Assessment ±

Principles and Frameworky ISO 14041 Environmental management ± Life Cycle Assessment ±Goal and Scope Definition and Inventory Analysis

y ISO 14042 Life Cycle Assessment - Impact Assessmenty ISO 14043 Life Cycle Assessment - Improvement Assessmenty ISO 14050 Terms and Definitionsy ISO 14060 Guide for the Inclusion of Environmental Aspects in Product

Standards

y Generally, the standard used for certification is ISO 14001Environmental Management Systems - Specifications with

Guidance for Use.





PDCA ± The Deming Cycle

y PLAN: Design or revisebusiness processcomponents to improveresults

y DO: Implement the planand measure itsperformance

y CHECK: Assess themeasurements and reportthe results to decisionmakers

y ACT: Decide on changesneeded to improve the

process



EMS Model



Benefits of ISO 14000y Reduced cost of waste management

y Savings in consumption of energy and materials

y

Lower distribution costsy Improved corporate image among regulators,

customers and the public

y Framework for continual improvement of environmental performance.

y Greater access to financial capital, lowerinsurance rates, and higher shareholderconfidence.



Implementing ISO 14000

y Stipulating the EMS policyy The organization¶s top management provides

the EMS policy which is appropriate to theenvironmental impact.

y Planningy Specifying the aspects of environmental

impact(s).y Considering legislation and other rules relevant

to EMS.y

Defining environmental objectives and targetscorresponding to the policy.y Conducting an environmental programme to

attain the objectives and targets.



Implementing ISO 14000y Implementation of the EMS according to the

policyy Defining organizations¶ outlines and responsibilities for

the effective implementation of EMS.y Providing an appropriate training programme relating to

environment to the personnels whose tasks concernenvironmental impact(s) to build up their awareness.

y Defining processes for both internal and externalcommunication.

y Conducting and controlling the environmentalmanagement documentation system.

y Controlling the operation of the activities relevant toenvironmental impact(s) to attain the specified objectives

and targets.y Being ready to react to the emergency event(s) including

the prevention and mitigation of the environmentalimpact(s) caused by the above matter(s).



Implementing ISO 14000y Checking and corrective actions

y Monitoring and measuring the activities which causeenvironmental impact(s).

y Conducting the corrective and preventive actions of thenon-conformity.

y Following up the effectiveness of the corrective andpreventive actions.

y Environmental management system reviewy The EMS should be periodically reviewed by the top

management of the organization to ensure that theestablished system is appropriate, sufficient,

implemented effectively and improved continually.



EMS Requirementsy General requirements

y ³The organisation shall establish and maintainan environmental management system

y Environmental policy

y Planning

y Implementation and operation

y Checking and corrective actiony Management review



Environmental policyy Appropriate to the nature, scale and

environmental impacts of its activities, productsand services

y Commitment to continual improvement andprevention of pollution

y Commitment to comply with relevantenvironmental legislation and regulations, andwith other requirements

y Framework for setting and reviewingenvironmental targets and objectives

y Documented, maintained and communicated toall employees

y

Available to the public



Planningy Environmental aspects

y Emissions to air

y Releases to water

y Waste managementy Contamination or degradation of land

y Use of basic materials and natural resources

y Local environmental and community issues

y Legal and other requirements

y Objectives and targets

y Environmental Management Programmes



Implementation and operation

y Structure and responsibility

y Training, awareness and competence

y

Communicationy Environmental management system

documentation

y Document control

y

Operational controly Emergency preparedness and response



Checking and corrective action

y Monitoring and measurement

y Nonconformance and corrective and preventiveaction

y

Records

y Environmental management system audit



Documentationy

Four primary documentation requirements inISO 14001:

y Environmental policy Statement

y SOP ± best companies have SOPs for absolutelyeverything, usually collected in a proceduralmanual.

y Job instructions ± these tell staff how toperform specific tasks (e.g. good laboratorypractices).

y Records

R d i d b EMS



Records ± required by EMSy Information on applicable environmental laws and

regulations

y Complaint recordsy Training records including the verification of the

effectiveness of trainingy Process information including impact identificationy Product informationy Inspection, maintenance and calibration recordsy Pertinent contractor and supplier informationy Incident reports and corrective actionsy Information regarding emergency preparedness and

response including records of drillsy Records indicating how environmental aspects were

identified and rankedy Audit resultsy Follow-up on corrective actions.y Management review records including evaluation of

technological options and consideration of environmentalaspects when planning expansion



EMS system audit specify:

y Activities and areas to be considered

y Audit frequency

y

Associated responsibilitiesy Communication of results

y Auditor competence

y Quality auditors specialising in ISO 9000 may

need additional training for ISO 14001y How audits will be conducted



Management review includes:y Audit results including the status and

effectiveness of corrective actions

y Measurements of success in reachingobjectives and targets

y Gauges of the continuing suitability of theEMS as it stands

y To determine whether EMS needs to be

changed, revised, or updated

y The concerns of relevant interested parties



Completed EMS documentation

should include:y Environmental policy

y Environmental manual (optional)

y

Written proceduresy Written work instructions where required

y Supporting records

y e.g. evaluation of suppliers, employee training

information

Application for I



Application f or Icertification

y

1. Study the standard ISO 14000 series.y 2. Assemble the management to sustain theestablishment of EMS.

y 3. Appoint a steering committee to set up andmonitor the system.

y

4. Stipulate environmental policy, plan for themanagement system and establish the necessaryoperational manuals and instructions.

y 5. Implement the specified EMS.y 6. Conduct the internal audit to ensure that the

system is complied with the standardrequirements, implemented and maintainedeffectively.

y 7. Correct non-conformity found during internalaudit and improve the efficiency of EMS.

y 8. Contact the certification body.



EMS Auditing

INITIATE

PREPARE

CONDUCT

REPORT



Initiating

y Assign the audit team members.y Determine the audit scope, including

physical location and organizationactivities - done by lead auditor.

y Review the organization¶s documentationsuch as environmental policy statement,

manual for meeting its EMS requirements,records, etc. If the documentation is judged to be inadequate to conduct theaudit, the management should beinformed.



Preparingy Determine audit plan ± done by lead auditor,

then inform the audit team members andmanagement.

y

y

Assign specific tasks for each audit teammembers.

y Prepare necessary working documents such as

forms, checklists, etc.



Conducting audity Opening meeting :

y introduce audit team members to management.y review scope, objectives and audit plan.y confirm resources, facilities, time and other relevant

items needed to perform auditing.

y Collecting evidence : through interviews,

examinations of documents and observation of activities. Indications of nonconformity to the EMSaudit criteria should be recorded.

y Audit findings : review and conclude the audit foreach activities with responsible personnel.

y Closing meeting : present audit findings to themanagement. Disagreement should be resolvedprovided that final decision on the significanceand description of the audit findings ultimately

rest with lead auditor.



Reporting

y Lead auditor is responsible for the accuracyand completeness of the report.

y The contents of the report should beconsistent with audit plan. Then, the report issubmitted to interested parties.



Prior to registrationy Before registrar can begin assessing the company, the EMS

must be in place, documented, implemented and inoperation for 3-6 months.

y Documentation outlining the environmental-relatedprocedures and commitment to pollution prevention shouldbe available. EMS documentation must meet all ISO 14001requirements.

y General EMS awareness training must be provided to allemployees. Training must also be provided to ensure thatpersonnel whose job could have potentially significantimpacts on the environment are knowledgeable about theirresponsibilities and competent to perform the job.

y Internal audit system must be fully operational andeffectiveness demonstrated.

y At least one management review must have beenconducted.

Formal ISO 14001



Formal ISO 14001certification/registration steps:y Preregistration audit

y Document review

y Assessment of internal auditor system

y Registration/certification audit

y Corrective action and follow-up

y Issuance of registration certificate

y Surveillance audit



Preregistration audit

y During preregistration audit, the registrarexamines findings of the company¶sinternal EMS audit.

y Preregistration audit can help registrardeterminey How many auditors will be neededy What technical expertise is requiredy How long auditors will need to be on sitey Other resources required



Preregistration audity Preregistration audit considers:

y Competence, experience, training and independence of the company¶s internal auditors

y Auditing procedures that were usedy Standards and references that were usedy How checks and verifications were performedy What resources were available to the auditorsy Past audit findingsy Post-audit follow up activitiesy Corrective actions taken by company and its timeliness

y During the preregistration audit, registrar is notallowed to provide any consulting to the company.

Registrar can evaluate company¶s EMS incomparison with ISO 14001 standard but cannotprovide guidance. Registrar will document areasof non-compliance but must not tell companyhow to correct them.



Document review

y Also called ³desktop audit .́

y Conducted at registrar¶s office and not on-site.

y Assess completeness of company¶s EMSdocumentation.

y If documentation required for ISO 14001registration is incomplete there is no pointwith going further with the registration at thispoint.

Registration audit



Registration audity Same steps take place as during the internal audit.y Team of auditors will work on-site assessing how the EMS has been

integrated throughout each area that could have significant environmentalimpacts.y Auditors will interview employees.y Lead auditor will ask for copies of EMS documentation:

y Environmental policy

y EMS manualy Environmental assessments identifying major environmental aspects and

significant impacts of the company¶s products, activities and servicesy

List of legal and other requirements/standards that are applicable to thecompany¶s activities, products and services.

y Objectives and targets for significant environmental impacts.y Environmental management programme describing approach for meeting defined

objectives and targets.y Training records for employees, especially for those working on activities with

significant environmental impacts. Training-needs analysis should be availableidentifying the training need for each employee. Common format: a matrixshowing employment positions on one side and available training courses across

top.y Records of internal and external communications with interested parties

(employees, citizens, consumers, neighbours)

y Emergency plans, procedures, results of past drills, etc.y Records of monitoring programmes

y Results of internal audits, corrective and preventive actions, records of management reviews

y Auditors will look for consistency between the environmental policy,objectives, targets and programmes. Resources and responsibility forimplementing the EMS must be clearly defined.



Nonconformance Report (NCR)

y NCR is a standard form that records the exactnature and location of individual non-conformity,and the specific part of ISO 14001 that applies.

y At closing meeting the audit teamsrecommendations to registrar with regard to

certification will be revealed. If certification isrecommended, the certificate can be obtainedwithin 4 to 6 weeks.

y If minor non-conformities are found, proof of corrective measures must be shown to theregistrar and the registrar¶s lead auditor may visit

the site to verify the effectiveness of themeasures, and if satisfied, may recommendcertification.

y Major nonconformities may require another fullaudit before certification can be granted.



Cost of ISO 14001 Certificationy The British Accreditation Bureau calculates the cost of pre-

assessment based on the size of the organisation; e.g.annual turnover, the number of sites and the number of employees, etc. In all cases, they will provide you with afixed price quotation.

y The table below provides details of our Certification fees atthe current rates.Annual Turnover Audit Only Fee*

Up to £100k £795£100k to £250k £895£250K to £1M £995£1M to £2.5M £1,295£2.5M to £5M £1,595

Above £5M P.O.A (price on application)* All fees subject to VAT at the prevailing rate.



Further readingy Johnson, P. I SO 14000 The Business Manager¶s

Complete Guide to Environmental Management ,John Wiley & Sons, Inc. new York, 1997.

y Case studies:y http://books.google.com.my/books?id=ba6Cduv_ewcC&p

g=PT1009&lpg=PT1009&dq=ISO+audit+case+study&source=web&ots=cUpjyEe8_j&sig=_ynmoVqFlry_xIOkJECEdToEfbQ&hl=en

y http://books.google.com.my/books?id=TmsftmXOu08C& pg=PA82&lpg=PA82&dq=ISO+audit+case+study&source

=web&ots=MfCc0XZZMC&sig=s_EBJwbZSg6ShgAFZFjS_d9Aq0c&hl=eny http://books.google.com.my/books?id=TmsftmXOu08C&

pg=PA98&lpg=PA98&dq=ISO+14001+audit+case+study&source=web&ots=MfCc0X_VRC&sig=7opN88lgwh7EfOEf J9aVZ-fplMg&hl=en#PPA98,M1

Documents

Environmental Management in Industry