ISO 14001.ppt

ISO 14001 v. 2004

Environmental Management Systems

Quiz

1. According to the ISO 14001 standard, there is a continual improvement of 5 specific phases based on the methodology known as Plan-Do-Check-Act. Which are they?

2. According to the ISO 14001 standard, what is a preventive action, and how it is different from a corrective action?

EMS“A system put into place that keeps things

running smoothly”Denso Manufacturing Michigan, Inc.

• EMS does not have to be certified ISO 14001

• Plant personnel can develop the EMS with/without consulting support

• 3rd-Party Auditors are needed for ISO 14001 certification

EMS Evolution• Until 1960s when gained public attention

• Corporations reacted to increased legislation

• Responsible Care Program (Canada) in 1984

• British created the first national EM standard BS 7750 in 1994

• A Canadian standard Z750 was created in 1994

• Legislated in 1993, EU published EMAS in 1994, open in 1995.

• In the U.S. no national standard was developed during the 1990s, however

groups of companies did (e.g. GEMI)

• The first international EMS was ISO 14001 by ISO.

• Based on:

– The success of ISO 9001

– Increasing international concern (UN Conference of Rio 1992)

– Created a Technical Committee 207

• The ISO 14001 was published for the first time in 1996.

Why environmental standards?

…to "promote a harmonious and balanced development of

economic activities, sustainable and non-inflationary growth

respecting the environment… the raising of standards of living

and quality of life" (EMAS).

…to support environmental protection and prevention of

pollution in balance with socio-economic needs (ISO 14001)

EMS and ISO 14001

• First version finalized and issued in 1996, revised every five years (2004 current version)

• Market sector created and driven; governments participate but it is not legislative or regulatory

• Process standard, not performance

• Each participating nation has a committee that develops consensus and contributes (one vote each, for US it is ANSI)

• 14001 is one of the standards in the 14000 series

ISO 14001 Standards• Voluntary

• Set up the by industry: countries can adapted into their legislation

• Is aimed to improve processes not performance itself

• Key aspect is that of continual improvement

• Doesn’t require the publication of an environmental statement

• Provides the company with a guideline on how to manage environmental aspects

• Requires management commitments and involvement from all employees

ISO, ANSI, Certifiers

• ISO develops International Standards but does not operate any schemes for assessing conformity with them.

What ISO is not?• ISO is not an auditor, assessor, registrar, or certifier of management

systems, products, services, materials or personnel, nor does it endorse or control any such activities performed by other parties.

ANSI coordinates the development of standards in the U.S. and accredit programs that assess conformance with the standards

• 750 certification bodies worldwide

Environmental Management System (EMS)

Policy

Management Review

Implementation and Operation

Checking and Corrective Action

Planning

The ISO 14001 EMS Model

4.5.1 Monitoring & Measurement4.5.2 Preventive & Corrective Action4.5.3 Records4.5.4 EMS Audit

4.5.1 Monitoring & Measurement4.5.2 Preventive & Corrective Action4.5.3 Records4.5.4 EMS Audit

4.4.1 Resources, Roles, responsibility and authority4.4.2 Competence, Training & Awareness4.4.3 Communication4.4.4 Documentation4.4.5 Document Control4.4.6 Operational Control4.4.7 Emergency Preparedness

4.2 Define Policy4.2 Define Policy

4.3.1 Identify Aspects4.3.1 Identify Aspects

4.3.2 Legal Requirements4.3.2 Legal Requirements 4.3.3 Identify Objectives Targets and Programs

4.3.3 Identify Objectives Targets and Programs

4.4 Implementation and Operation

4.4 Implementation and Operation

4.5 Checking4.5 Checking

4.6 Management Review4.6 Management Review

3.2 Continual Improvement3.18 Prevention of Pollution

Products, Services, and

Activities

P D C A

ISO 14001 Environmental Standard v20044.1 General Requirements

4.2 Environmental Policy

4.3 Planning– Environmental aspects– Legal and other requirements– Objectives, Targets and Programs

4.4. Implementation and Operation– Resources, Roles, Responsibilities and Authority– Competence, Training and Awareness– Communication– Documentation– Controls of documents– Operational control– Emergency Preparedness and Response

4.5 Checking– Monitoring and Measurement– Evaluation of compliance– Nonconformity, Corrective action and Preventive action– Control of records– Internal audit

4.6. Management Review

Environmental Policy• The environmental policy

describes the organization’s overall approach and intentions.

• Is the Keystone upon which the entire EMS is constructed.

• NOT A PUBLIC RELATIONS DOCUMENT

Policy

Management Review



Planning

Policy RequirementsTo meet ISO 14001 requirements, the policy must:

1. Be appropriate to the nature, scale, and environmental impacts of

the organization activities and goods produced.

2. Include a commitment to continual improvement and prevention of

pollution.

3. Include a commitment to relevant legal requirements.

4. Provide a framework for setting and reviewing environmental

objectives and targets.

5. Be documented, implemented and maintained, and communicated to

all employees (also contractors)

6. Be available to the public.

Policy Statement

• Organization must be able to demonstrate that it is fully aware of all relevant environmental issues and their potential impact and importance.

• No list is appropriate to all organizations; each establishes methods/measures relevant to its operations.

Policy Statement

• Provides a framework for setting environmental objectives– Objectives are specific and defined goals that

need to be achieved in order to meet the requirements of the Environmental Policy.

– Every action, requirement, procedure, etc. contained within the EMS must have its roots in the Env. Policy Statement.

Policy Statement

• Commitment to continual improvement– “Process of enhancing the environmental

management system to achieve improvements in overall environmental performance in line with the organization's environmental policy.“

– Ties together the Env. Policy Statement and Management Review elements of ISO 14001.

• Requires the EMS be reviewed and evaluated at a set frequency for changed aspects and impacts (yearly is generally acceptable).

Policy Statement

• Commitment to P2– After pollution based objectives have been

set, P2 must be evaluated at one of the alternative approaches to setting the Target(s).

– If P2 is not cost-effective, it does not have to be accepted.

Policy Statement• Commitment to Compliance with Laws, Regs,

and Requirements– Identify applicable laws & regs– Determine compliance– Develop action plan to correct noncompliance– Establish a system to maintain compliance

• Organization does not need to be in full compliance in order to conform with 14001

• Continued pattern of noncompliance may need to nonconformance with ISO 14001.

Policy Statement• Documentation and Communication

– Executive level manager must sign the Policy Statement and maintained based on Document Control (4.4.5) proceedures.

– All employees must understand and recognize the commitments and relate their job functions with the Policy.

– Policy must be communicated with the public.

Planning

– Environmental Aspects.

– Legal and Other Requirements.

– Objectives and Targets.

– Environmental Management Program

• Dynamic• Integrated

Policy

Management Review



Planning

Planning

IdentifyActivities,Products

andServices

IdentifyEnvironmentalAspects and Impacts

DeterminePriority

EnvironmentalAspects

Determine Legal and OtherRequirements

EstablishObjectives

andTargets

DevelopEnvironmentalManagement

Program

Activities, Products and Services

• This is where is described what the facility does

– Consider mission – what ‘facility’ is designed to do e.g. fast delivery of documents/packages

– Consider activities that support the mission e.g. vehicle maintenance

– Consider actions that are both regulated and not regulated e.g. commuting to work

Aspects and Impacts

• Identify environmental aspects of activities products and

services that can be controlled and over which can be

expected to have an influence”– Aspects: Element of an organization's activities,

products or services that can interact with the environment.

– Impacts: Any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization's activities, products or services

Video

Aspects and Impacts• Content Requirements of Environmental Aspects

– understand how organization interacts with the environment– control versus influence – arrive at a list of significant environmental aspects based upon

impacts– develop a procedure to support the three step decision making

process

Video

Determine Significant Aspects

• The process of arriving at a list of Significant Environmental Aspects must be a reasonable and understandable procedure be based upon the following criteria:

1. perceived risk(human health vs. ecosystem);

2. impact analysis (internal, local, regional, global);

3. probability of occurrence

4. direct or indirect control;

5. regulated or non-regulated;

6. resource utilization;

7. community interest;

8. etc.

• Consider normal, unique, and emergency conditions

• Where do opportunities exist for improvement?

Legal and Other Requirements

• Identify legal requirements that apply to a facility’s activities – use audit guides or protocols

• Identify other requirements that apply including corporate policies, Executive Orders (public organizations), facility initiatives or voluntary practices

• ISO 14001 does not require documentation for the Legal and Other Requirements section (4.3.2). However, the only practical way to demonstrate conformance is to assemble in one place a list and copies of each applicable environmental law, regulation and voluntary subscription along with the supporting permits and/or contracts as evidence.

Objectives and Targets

• Consider “legal and other requirements”

• Consider significant aspects

• Reflect corporate policies

• Reflect financial and technical limitations

• Reflect “interested parties”

• Reflect policy commitment and commitment to pollution

prevention

• Consider how you will measure progress

Objectives and Targets

• Objectives are the “Goals” that support the “Vision” contained in the Environmental Policy Statement.

ISO 14001 Specifications for Objectives/Targets

• The ISO 14001 Standard stipulates several criteria that must be considered when establishing environmental objectives. Specifically:

• Environmental policy commitments to continual improvement, prevention of pollution, and compliance with legal and other requirements.

• Concentration on controlling significant environmental aspects – the activities, products, and services with the highest environmental impacts – since reducing their significance (i.e., the risks associated with them) automatically lowers their impacts.

• Taking consideration of technological options and financial, operational, and business requirements means that environmental objectives and targets must be practical in terms of being technologically achievable, within the limits of available budget constraints, and consistent with operational and business strategies.

– In other words, objectives and targets must be realistic and attainable, not mere dreams or wish lists.

• The views of interested parties. Any individual, group, agency, or community that may be affected by or have a stake in the operations of the facility implementing the EMS. This can be a long list, including:

– National, regional/provincial, local government officials– Local community representatives– Public interest groups and other stakeholders (The views of interested parties are also helpful

when an organization makes a decision regarding communication of its environmental aspects).

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ISO 14001 Environmental Management Programs:

The organization shall establish and maintain programs for achieving its objectives and targets, including:

(a) designation of responsibility for achieving objectives and targets at each level and function of the organization

(b) the means and time-frame by which they are to be achieved

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EnvironmentalManagement Programs

An EMP is an action plan specifying:•How objectives and targets will be accomplished•Who is responsible for achieving them•Who will manage and supervise the activities•Who will carry out the work•What they will do•What resources are needed (e.g., people, skills, equipment, time, money)•When the tasks will be completed (i.e., a schedule)

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ISO 14001 Planning Sequence

ENVIRONMENTAL POLICY

Guiding Light

ENVIRONMENTAL ASPECTS

Problem Definition

LEGAL AND OTHER

REQUIREMENTS

Obligations

OBJECTIVES AND TARGETS

Goal Setting

ENVIRONMENTAL MANAGEMENT

PROGRAMS

Means of Achieving

Goals


• This phase includes 7 elements:– Resources, Roles,

Responsibilities and Authority

– Competence, Training and Awareness

– Communication

– Documentation

– Controls of documents

– Operational control

– Emergency Preparedness and Response

Policy

Management Review



Planning


Structure andResponsibility

Training,Awareness and

CompetenceDocument Control

EMS Documentation

Emergency preparedness and response

Communication

Operational Control

Organization &Accountability

Capabilities &Communications

Controls

Structure and Responsibility

• Roles and responsibilities are defined, documented,

communicated

• Management will provide resources for implementation

of the system

• Identifies Management Representative (s)

– In charge

– Report to top management

Training, Awareness and Competence

• Ensure training and awareness relevant to

– EMS - including policy

– relationship between employees’ activities and environmental

impacts

• Ensure competence training to

– regulatory requirements

– standard operating procedures

Communication

• Ensure internal communication

• External communication of significant environmental

impacts is optional, however this decision shall be

documented

• Provide process for responding to external

communication

Documentation and Document Control

• Procedures for controlling documents

– can be located - are legible, dated and maintained

– reviewed and revised as necessary and approved

– current versions are available to practitioner

– obsolete documents are removed from use

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Documentation• Under ISO 14001, documentation refers to all

written material concerning the EMS

• Documents include policies, procedures, manuals, plans, diagrams, flowcharts, correspondence, memoranda related to the EMS

• Records are documents, but under ISO 14001 are distinguished from documentation:– Documentation concerns what should

happen– Records contain information on what has

happened

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Must Document4.2 ENVIRONMENTAL POLICY

4.3.3 Environmental objectives and targets

4.4.1 Roles, responsibilities, and authority for EMS

4.4.3 Communications from external interested parties

4.4.4 EMS core elements

4.4.6 Procedures essential for operational control

4.5.1 Monitoring and measurement of key operations that have potential significant impacts

4.5.1 Compliance with laws and regulations

4.5.3 Records

4.6 MANAGEMENT REVIEW

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Good Idea to Document4.3.1 Environmental aspects and impacts

inventory4.3.2 Significant environmental aspects4.3.3 Registry of legislation and regulations4.3.4 Environmental management programs -

action plans to achieve objectives and targets

4.4.2 Training needs results, and training plans4.4.7 Emergency response plan4.5.2 Corrective and preventive actions4.5.5 EMS audit results

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What areOperational Controls?

• Means by which an organization prevents pollution from operations, e.g.:– Pollution control equipment such as scrubbers,

filters, precipitators, clarifiers, biological and chemical treatment, etc.

– Alarms for gas, pH, conductance, tank level, etc.

– Preventive maintenance practices– Operating procedures

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Methods of Operational Control

• Process controls:– electronic– mechanical– monitoring– observation

• Operating procedures:– verbal– documented

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What is a Procedure?

• An activity carried out according to specified instructions

• Combination of responsibilities, authority, resources, instructions needed to consistently perform an activity

• A procedure may be documented (i.e., written), but the document is NOT the procedure

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One More Thing from ISO 14001 4.4.6

The organization shall establish and maintain procedures related to the identifiable

significant environmental aspects of goods and services used by the organization and

communicate relevant procedures and requirements to suppliers and contractors

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Responsibilities of Contractors and Suppliers

• The organization is responsible for informing contractors and suppliers about operating procedures relating to their goods and services

• Contractors must comply with all EMS requirements when on site

• Suppliers may be required to meet specified environmental standards in their own facilities

Emergency Preparedness and Response

• Procedures to address accidents and emergencies

– prevent and mitigate environmental impacts

– review and revise after emergency or

accident

– test where appropriate

Checking• 5 elements:

– Monitoring and Measurement.

– Evaluation of compliance

– Non-Conformance and Corrective and Preventive Actions.

– Control of Records

– EMS Internal Audit.

Policy

Management Review



Planning

Checking

RecordsOngoingMonitoring and

Measuring

Periodic Internal EMS Audits

Non-conformance,Corrective and

Preventive Action

Periodic Evaluations of compliance

Monitoring and Measuring

• Procedures to monitor and measure activities related to significant aspects

– Root cause analysis– Audits

– Track performance, operational control and objectives and targets

– Maintain and calibrate monitoring equipment

Evaluation of Compliance

• Periodically evaluate compliance with applicable legal requirements

• Also evaluate compliance with other requirements the company subscribes

• Keep records of such evaluations

Nonconformity, Corrective and Preventive Action

– Identify cause of nonconformity

– Develop corrective action and implement it

– Modify procedures if necessary to prevent

recurrence

– Define responsibility and authority to

address non-conformance

Control of Records

• Procedures for identification, maintenance and disposition of environmental records

– Legible and traceable to the activity, product or

service involved

Internal EMS Audits

• Periodically audit to determine if the EMS

– is being properly implemented and maintained, and

– conforms to the standard

• Provide audit information to management

Management Review

– Policy

– Audits

– Corrective and Preventive Action Systems.

– Environmental Objectives and Targets.

Policy

Management Review



Planning

Management Review Process

Need to consider:

• audit findings• progress records on objectives• changes to facilities• changes in activities, products or services• changes in technology• concerns of interested parties• other relevant information

To Assess the

• suitability,• adequacy, and• effectiveness of the EMS

In order to determine the need for change and improvement to:

• the environmental policy

• the objectives and targets

• other elements of the EMS

Summary• An EMS is a formal system for managing the environmental

footprint of organizations

• Most organizations already have several EMS elements in place - the system relationship is lacking

• An EMS must serve the mission of the organization

• The EMS and related measurement tools are just that- tools. Alone, they will not guarantee success.

• The organization must use the tools, not just have them.

• Success comes from being committed to continual improvement for the long term