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?

“A system put into place that keeps things
Denso Manufacturing Michigan, Inc.

EMS

running smoothly”

• 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

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. GEMI) The first international EMS was ISO 14001 by ISO.g. • • • In the U.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. no national standard was developed during the 1990s. .S. open in 1995. however groups of companies did (e. EU published EMAS in 1994.

…to support environmental protection and prevention of pollution in balance with socio-economic needs (ISO 14001) . sustainable and non-inflationary growth respecting the environment… the raising of standards of living and quality of life" (EMAS).Why environmental standards? …to "promote a harmonious and balanced development of economic activities.

for US it is ANSI) • 14001 is one of the standards in the 14000 series . 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. revised every five years (2004 current version) • Market sector created and driven.EMS and ISO 14001 • First version finalized and issued in 1996.

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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 .

materials or personnel. registrar. ANSI coordinates the development of standards in the U.S. What ISO is not? • ISO is not an auditor. services.ISO. Certifiers • ISO develops International Standards but does not operate any schemes for assessing conformity with them. nor does it endorse or control any such activities performed by other parties. assessor. and accredit programs that assess conformance with the standards • 750 certification bodies worldwide . ANSI. or certifier of management systems. products.

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Environmental Management System (EMS) Policy Management Review Planning Checking and Corrective Action Implementation and Operation .

3.2 Legal Requirements 4.3.2 Competence.4.4.18 Prevention of Pollution 4. Roles.4. responsibility and authority 4.4 Implementation and Operation 4. and Activities 3.1 Resources.3. Training & Awareness 4. Services.7 Emergency Preparedness 4.3 Identify Objectives Targets and Programs PD C A 4.5.The ISO 14001 EMS Model 4.5 Document Control 4.2 Preventive & Corrective Action 4.5.1 Identify Aspects 4.4 Documentation 4.6 Management Review .6 Operational Control 4.3 Communication 4.5.2 Continual Improvement 3.3 Records 4.4.4.5 Checking 4.4 EMS Audit 4.5.2 Define Policy Products.4.4.1 Monitoring & Measurement 4.

Responsibilities and Authority Competence.5 Checking – – – – – Monitoring and Measurement Evaluation of compliance Nonconformity.ISO 14001 Environmental Standard v2004 4. Training and Awareness Communication Documentation Controls of documents Operational control Emergency Preparedness and Response 4.6. Management Review .2 Environmental Policy 4. Targets and Programs 4. Corrective action and Preventive action Control of records Internal audit 4.3 Planning – – – Environmental aspects Legal and other requirements Objectives.1 General Requirements 4. Implementation and Operation – – – – – – – Resources.4. Roles.

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 Checking and Corrective Action Implementation and Operation .

. Be documented. 6. Include a commitment to relevant legal requirements. scale. 4. implemented and maintained. Provide a framework for setting and reviewing environmental objectives and targets. 2. and environmental impacts of the organization activities and goods produced. the policy must: 1.Policy Requirements To meet ISO 14001 requirements. Be appropriate to the nature. 3. Include a commitment to continual improvement and prevention of pollution. and communicated to all employees (also contractors) Be available to the public. 5.

each establishes methods/measures relevant to its operations.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. .

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

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. 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).“ – Ties together the Env.

. P2 must be evaluated at one of the alternative approaches to setting the Target(s). it does not have to be accepted.Policy Statement • Commitment to P2 – After pollution based objectives have been set. – If P2 is not cost-effective.

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 • Commitment to Compliance with Laws. Regs.

– All employees must understand and recognize the commitments and relate their job functions with the Policy.4. .Policy Statement • Documentation and Communication – Executive level manager must sign the Policy Statement and maintained based on Document Control (4.5) proceedures. – Policy must be communicated with the public.

– Objectives and Targets. – Legal and Other Requirements.Planning Policy – Environmental Aspects. – Environmental Management Program • Dynamic • Integrated Management Review Planning Checking and Corrective Action Implementation and Operation .

Planning Identify Environmental Aspects and Impacts Identify Activities. Products and Services Determine Priority Environmental Aspects Establish Objectives and Targets Develop Environmental Management Program Determine Legal and Other Requirements .

g. vehicle maintenance – Consider actions that are both regulated and not regulated e.g. Products and Services • This is where is described what the facility does – Consider mission – what „facility‟ is designed to do e.g.Activities. commuting to work . fast delivery of documents/packages – Consider activities that support the mission e.

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

and emergency conditions • Where do opportunities exist for improvement? . probability of occurrence direct or indirect control. 2. ecosystem). etc. • Consider normal. local. 4. 6. 5. resource utilization. perceived risk(human health vs. community interest.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. unique. 8. 3. impact analysis (internal. regional. regulated or non-regulated. global). 7.

. facility initiatives or voluntary practices • ISO 14001 does not require documentation for the Legal and Other Requirements section (4.2). However.3. regulation and voluntary subscription along with the supporting permits and/or contracts as evidence. the only practical way to demonstrate conformance is to assemble in one place a list and copies of each applicable environmental law.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).

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.

. not mere dreams or wish lists. Any individual. and consistent with operational and business strategies. The views of interested parties. This can be a long list.ISO 14001 Specifications for Objectives/Targets • • • • • The ISO 14001 Standard stipulates several criteria that must be considered when establishing environmental objectives. operational. and services with the highest environmental impacts – since reducing their significance (i. objectives and targets must be realistic and attainable. – In other words. 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). or community that may be affected by or have a stake in the operations of the facility implementing the EMS. agency. regional/provincial. Taking consideration of technological options and financial.. and compliance with legal and other requirements. within the limits of available budget constraints. the risks associated with them) automatically lowers their impacts. Specifically: Environmental policy commitments to continual improvement. Concentration on controlling significant environmental aspects – the activities.e. and business requirements means that environmental objectives and targets must be practical in terms of being technologically achievable. prevention of pollution. including: – National. products. group.

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 32 .ISO 14001 Environmental Management Programs: The organization shall establish and maintain programs for achieving its objectives and targets.

. time. skills.e. people. a 33 schedule) ..g.Environmental Management 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. money) • When the tasks will be completed (i. equipment.

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ISO 14001 Planning Sequence ENVIRONMENTAL POLICY ENVIRONMENTAL ASPECTS LEGAL AND OTHER REQUIREMENTS OBJECTIVES AND TARGETS ENVIRONMENTAL MANAGEMENT PROGRAMS 35 Guiding Light Problem Definition Obligations Goal Setting Means of Achieving Goals .

Responsibilities and Authority – Competence.Implementation and Operation • This phase includes 7 elements: – Resources. Roles. Training and Awareness – Communication – Documentation – Controls of documents Checking and Corrective Action Management Review Policy Planning Implementation and Operation – Operational control – Emergency Preparedness and Response .

Implementation and Operation Organization & Accountability Capabilities & Communications Controls EMS Documentation Training. Awareness and Competence Structure and Responsibility Document Control Operational Control Communication Emergency preparedness and response .

communicated • Management will provide resources for implementation of the system • Identifies Management Representative (s) – In charge – Report to top management .Structure and Responsibility • Roles and responsibilities are defined. documented.

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

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 42 . plans. flowcharts. procedures. documentation refers to all written material concerning the EMS Documents include policies. correspondence. manuals.Documentation • • • Under ISO 14001. diagrams.

3 Records 4.4.3. and authority for EMS 4.1 Monitoring and measurement of key operations that have potential significant impacts 4.4 EMS core elements 4.5.6 Procedures essential for operational control 4.2 ENVIRONMENTAL POLICY 4.5.4.Must Document 4. responsibilities.1 Compliance with laws and regulations 4.5.4.3 Environmental objectives and targets 4.3 Communications from external interested parties 4.1 Roles.6 MANAGEMENT REVIEW 43 .4.

4 4.1 4.3 4.5. and training plans Emergency response plan Corrective and preventive actions EMS audit results 44 .3.3.3.3.5.2 4.7 4.2 4.2 4.Good Idea to Document 4.4.4.5 Environmental aspects and impacts inventory Significant environmental aspects Registry of legislation and regulations Environmental management programs action plans to achieve objectives and targets Training needs results.

conductance.What are Operational Controls? • Means by which an organization prevents pollution from operations. precipitators. clarifiers. biological and chemical treatment. filters. e. – Alarms for gas.: – Pollution control equipment such as scrubbers. pH. etc. tank level.g. – Preventive maintenance practices – Operating procedures 45 . etc.

Methods of Operational Control • Process controls: – electronic – mechanical – monitoring – observation • Operating procedures: – verbal – documented 46 .

authority. but the document is NOT the procedure .. written). resources. instructions needed to consistently perform an activity A procedure may be documented (i.What is a Procedure? • • • 47 An activity carried out according to specified instructions Combination of responsibilities.e.

4.One More Thing from ISO 14001 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 48 .

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 • • 49 .

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 .

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Management Review Planning Checking and Corrective Action Implementation and Operation .Checking • 5 elements: Policy – Monitoring and Measurement. – Control of Records – EMS Internal Audit. – Evaluation of compliance – Non-Conformance and Corrective and Preventive Actions.

Corrective and Preventive Action Records Periodic Internal EMS Audits .Checking Periodic Evaluations of compliance Ongoing Monitoring and Measuring Non-conformance.

operational control and objectives and targets – Maintain and calibrate monitoring equipment .Monitoring and Measuring • Procedures to monitor and measure activities related to significant aspects – Root cause analysis – Audits – Track performance.

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. product or service involved . maintenance and disposition of environmental records – Legible and traceable to the activity.

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 Management Review Planning Policy – Corrective and Preventive Action Systems. – Environmental Objectives and Targets. Checking and Corrective Action Implementation and Operation .

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 . 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 • adequacy.Management Review Process To Assess the • suitability.

• The organization must use the tools. • Success comes from being committed to continual improvement for the long term . they will not guarantee success. Alone.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. not just have them.

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