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

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

Doesnt 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

Planning

Checking and Corrective Action

Implementation and Operation

The ISO 14001 EMS Model

4.2 Define Policy
Products, Services, and Activities 3.2 Continual Improvement 3.18 Prevention of Pollution

4.3.1 Identify Aspects

4.3.2 Legal Requirements

4.3.3 Identify Objectives Targets and Programs

PD C A
4.4.1 Resources, Roles, responsibility and authority 4.4.2 Competence, Training & Awareness 4.4.3 Communication 4.4.4 Documentation 4.4.5 Document Control 4.4.6 Operational Control 4.4.7 Emergency Preparedness

4.4 Implementation and Operation

4.5.1 Monitoring & Measurement 4.5.2 Preventive & Corrective Action 4.5.3 Records 4.5.4 EMS Audit

4.5 Checking

4.6 Management Review

ISO 14001 Environmental Standard v2004

4.1 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 organizations 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

Policy Requirements
To meet ISO 14001 requirements, the policy must:

1.
2. 3. 4. 5. 6.

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

the organization activities and goods produced. Include a commitment to continual improvement and prevention of pollution. Include a commitment to relevant legal requirements. Provide a framework for setting and reviewing environmental objectives and targets. Be documented, implemented and maintained, and communicated to all employees (also contractors) 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
Policy

Environmental Aspects. Legal and Other Requirements. Objectives and Targets. 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

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

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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

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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. 2. 3. 4. 5. 6. 7. 8. perceived risk(human health vs. ecosystem); impact analysis (internal, local, regional, global); probability of occurrence direct or indirect control; regulated or non-regulated; resource utilization; community interest; etc.

Consider normal, unique, and emergency conditions Where do opportunities exist for improvement?

Legal and Other Requirements

Identify legal requirements that apply to a facilitys 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).

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

ISO 14001 Planning Sequence

ENVIRONMENTAL POLICY ENVIRONMENTAL ASPECTS LEGAL AND OTHER REQUIREMENTS OBJECTIVES AND TARGETS ENVIRONMENTAL MANAGEMENT PROGRAMS
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Guiding Light Problem Definition Obligations Goal Setting Means of Achieving Goals

Implementation and Operation

This phase includes 7 elements:
Resources, Roles, Responsibilities and Authority Competence, 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

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

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 Document
4.2 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 Document

4.3.1

4.3.2 4.3.3 4.3.4 4.4.2 4.4.7 4.5.2 4.5.5

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, and training plans Emergency response plan Corrective and preventive actions EMS audit results

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What are Operational 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?

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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

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

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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:
Policy

Monitoring and Measurement. Evaluation of compliance Non-Conformance and Corrective and Preventive Actions. Control of Records EMS Internal Audit.
Management Review Planning

Checking and Corrective Action

Implementation and Operation

Checking
Periodic Evaluations of compliance

Ongoing Monitoring and Measuring

Non-conformance, Corrective and Preventive Action

Records

Periodic Internal EMS Audits

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
Management Review Planning Policy

Corrective and Preventive Action Systems.

Environmental Objectives and Targets.
Checking and Corrective Action

Implementation and Operation

Management Review Process

To Assess the

suitability, 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, 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