T he Basic s of ISO

14001

En vi r onmental
Mana geme nt
Systems –
Requirements with
Guidance for Use

Copyright ©2008 Lorne Duquette  Distributed by The 14000 Store

 The Ba sic s of I SO 14 00 1

This brief tutorial will cover:

• What is ISO 14001?

• Why become ISO 14001 Registered?
• Requirements of the Standard
• Implementation Steps
• Tools to help you achieve certification
 The Ba sic s of I SO 14 00 1

What is ISO 14001?

• It is an Environmental Management System

(EMS) that uses a continual improvement
approach in achieving and demonstrating
sound environmental performance.
• The goal is for organizations to control the
impacts that their activities, products and
services have on the environment.
• ISO 14000 is the standard, and ISO 14001 is
the document containing the requirements.
 The Ba sic s of I SO 14 00 1

Why become ISO 14001 registered?

• Organizations are becoming increasingly concerned in

achieving & demonstrating sound environmental
performance, often delivering cost savings.
• Marketing Tool: Shows customers, shareholders,
vendors, etc. that you are a “Good Corporate Citizen”

“It is Everyone’s Job to Protect the Environment”

“Protect the land, the air, and the water by

preventing or reducing pollution”
Overview of the Requirements
of the ISO 14001 Standard

Plan – Do – Check - Act

Copyright ©2008 Lorne Duquette  Distributed by 14000 Store

 The Ba sic s of I SO 14 00 1

Requirements: General

• The organization must develop an effective system that

meets the requirements of the Standard.
• Document, implement and maintain the system.
• The EMS documents need to be controlled.
• Follow a Plan-Do-Check-Act approach.
– Plan - Establish the objectives and processes needed to
deliver the results (in line with the EMS).
– Do - Implement the needed processes of the EMS.
– Check - Check the processes against the policy, objectives,
targets, regulations, and report on the results. (Auditing)
– Act - Take actions that will continually improve the EMS.
 The Ba sic s of I SO 14 00 1

Requirements (Plan): Management

• Top Management must be committed to and involved in

the design and implementation of the EMS.
• They will write the Environmental Policy and be
responsible for making sure it is communicated and
implemented.
• Many specific responsibilities are assigned to Top
Management to ensure their input and participation.
• After implementation Management will conduct
management review to ensure continued effectiveness
of the system.
 The Ba sic s of I SO 14 00 1

Requirements (Plan): Resources

• The EMS must clarify what resources, human

and physical are required to create safe
products and operations.

• During development of the system you will

determine how to ensure competent personnel,
identify training that is required, and identify the
infrastructure and work environment required
 The Ba sic s of I SO 14 00 1

Requirements (Plan): Form EMS

• Your organization will need to plan all of the

processes that go into making your product to
ensure safe conditions.

• You will need to state of scope of the EMS and

clearly identify the products and define the
locations or sites that are part of the EMS.
 The Ba sic s of I SO 14 00 1

Requirements (Do):
Environmental Review

• An initial environmental review will be needed.

(see Tutorial: ISO 14001 Initial Environmental Review)

• An assessment of environmental aspects and

their Impacts will have to be performed.

• Regulatory, legal and other requirements will

need to be identified.
 The Ba sic s of I SO 14 00 1

Requirements (Do): Create EMS

• Environmental programs with targets and

objectives will need to be established,
implemented and evaluated on an ongoing
basis.

• Emergency preparedness procedures will be

required to address potential accidents and
emergencies.
 The Ba sic s of I SO 14 00 1

Requirements (Do): Create EMS

• Measuring and monitoring of product and

process characteristics that can have an impact
on the environment will be required.
- Measuring and monitoring equipment will need to be
controlled and calibrated.
- A process will be needed for the Environmental Safety
Team to evaluate compliance to legal and other
requirements.
 The Ba sic s of I SO 14 00 1

Requirements (Check):
Control Nonconformities

• Establish and document a system for controlling

nonconformities.
– When specified product and process limits are
exceeded potentially unsafe conditions must be
identified, assessed, controlled and dispositioned
appropriately.
– Identify corrections and corrective actions to mitigate
environmental impacts and to eliminate the
nonconformity and its cause.
 The Ba sic s of I SO 14 00 1

Requirements (Check):
Audit System and Control Records

• Establish the internal audit process.

- Train auditors, and plan internal audits to establish an
audit program that will determine if the EMS is effective
and up to date.

• Control the records associated with the EMS.

• Conduct regular management reviews to ensure

effectiveness of the EMS.
 The Ba sic s of I SO 14 00 1

Requirements (Act): Improve your EMS

• Continually improve the EMS through the

use of:
– Management reviews
– Internal audits
– Corrective actions
– Analysis of data / results
– Update the EMS
ISO 14001 Implementation Steps

ISO 14001:
Environmental Management Systems

Copyright ©2008 Lorne Duquette  Distributed by 14000 Store

 The Ba sic s of I SO 14 00 1

Implementation Timeline

• You will need to develop an implementation

plan that covers:
– Education on the contents of the standard
– Determine your position with regards to the
environment and the requirements of ISO 14001
– Analyze the shortcomings and close the gaps.
– A timeline of the implementation steps based on the
gap analysis
– Time to run the Environmental Management System,
collect records and make improvements before your
registration audit.
 The Ba sic s of I SO 14 00 1

Implementation Timeline
T a s k 1 9 - IS O 1 4 0 0 1 :2 0 0 4 E M S T IM IN G C H A R T f o r :_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ IS O R E P : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

IS O D E V E L O P M E N T W O R K S H O P T A S K S 1 2 3 4 -5 6 -7 8 -9 1 0 -1 1 12 13 14 15 16
A . P r e p a r a tio n P h a s e - fr o m T a s k s 1 -1 3
1 . D e s c r ib e y o u r o r g a n iz a tio n
. D e c id e o n IS O m a n a g e m e n t s y ste m
. S e le c t IS O M a n a g e m e n t R e p + C o m m itte e
7 . C o n d u c t E n v ir o n m e n t a l T e a m m e e tin g s
. F o r m u la te Q u a lity P o li c y / O b je c t iv e s
. S ta te S c o p e o f Q M S
1 3 . A s s ig n im p ro v e m e n t a c tio n s
B . D e v e lo p m e n t P h a s e -fr o m T a s k s 1 4 -2 3
1 4 . P r o v id e IS O tr a in in g - E x e r c is e A -E
. P e r fo r m e n v ir o n m e n ta l a s s e s s m e n t
. Id e n tify le g a l a n d o th e r re q u ir e m e n ts
. Id e n tify e n v i r o n m e n ta l p r o g r a m s
. M a n a g e im p le m e n ta tio n p r o je c t
. C o lle c t e x is t in g d o c u m e n ts
. D o fin a n c ia l s tu d y - C o s ts v s B e n e fits
. R e c o n firm IS O d e c is io n
2 3 . P r o m o te & p r a c tic e t e a m w o r k
C . I m p le m e n t a t io n P h a s e - r e f T a s k s 2 4 - 2 8
2 4 . O b ta in / R e v ie w E M S M o d e l/T e m p la te
. D r a ft E M S d o c u m e n ta ti o n - u s e M o d e l
A p p r o v e Q u a lity M a n u a l
A p p r o v e P r o c e d u r e s & In s tr u c t io n s
. Im p le m e n t P r o c e d u r e s & In s tr u c t io n s
. T r a in a u d ito r s & c o n d u c t In te r n a l A u d it T r a in A u d it
2 8 . P e r fo r m m a n a g e m e n t re v ie w
D . R e g is tr a ti o n P h a s e -fr o m T a s k s 2 9 -3 0
2 9 . S e le c t a r e g is tr a r
P e r fo r m d o c u m e n ta t io n r e v ie w
P e r fo rm fi n a l R e g is tr a tio n a u d it
3 0 . R e c e iv e IS O c e r tific a te / C E L E B R A T E !!
S ig n ific a n t D a te s Apr
J a n -0 9 Feb M ar A p -M a y J u -J u l A u -S e p O c -N o v D e c 0 9 J an 10 Feb M ar
2010
 The Ba sic s of I SO 14 00 1

Implementation: Conduct the

Environmental Gap Analysis

1. You must determine your position with

regards to the environment:
– Are there GAPS that need to be bridged?
– What are they and where are they located?
– How can they be improved?
– Who will be taking corrective / preventive actions?

2. Your environmental position needs to be

analyzed so that the GAPS can be bridged /
closed.
 The Ba sic s of I SO 14 00 1

Implementation: Conduct the

Environmental Gap Analysis

3. Conduct a Gap Analysis – Complete a series

of assessments in the following order:
– Perform Initial Environmental Review
– Perform Environmental Assessment – Aspects/Impacts
– Identify Legal and Other Requirements
– Identify Environmental programs with objectives and targets

4. Based on the results of the assessments,

implement Improvement actions.
 The Ba sic s of I SO 14 00 1

Implementation: Form a Team

• Appoint a Management Representative

- This individual will be the ISO project manager.

• Assign a Environmental Safety Team

– This team will be active in the design and development of the
EMS and participate in the on going operation of the system.

• Assign a Management Team

- This team will be providing the direction and guidance for the
development and implementation of the EMS.
 The Ba sic s of I SO 14 00 1

Implementation: Form a Team

• The Management Team will act as a steering team for

the project, assigning responsibilities, providing
resources and coordinating the project.

– The Management Team can assign task teams to

work on specific processes that must be designed
and documented for the EMS.
 The Ba sic s of I SO 14 00 1

Implementation: Form a Team

• Each task team will evaluate the current process that

they are assigned to and the requirements of the
standard.

– A new or modified process will be developed,

documented and submitted to the Management
Team for review and approval.
 The Ba sic s of I SO 14 00 1

Implementation: Execute your plan

• After the task teams have designed and

documented a new or modified process, it
must be implemented.

• Train all employees that are involved in the

process

• When the required processes have been

implemented, start your internal audit
program and management review meetings.
 The Ba sic s of I SO 14 00 1

Implementation: Audit

• Use information / results from internal audits and

management review to make improvements to the EMS.

• Run your system long enough to generate records for the

Registrar to audit.

• Make sure all employees are trained on ISO 14001

• Have a Registrar conduct your Registration Audit.

 The Ba sic s of I SO 14 00 1

Tools to help your implementation:

• The ISO 14001 Workbook

– This is a series of 30 detailed checklists, exercises
and instructions that take you through 30 systematic
tasks for your organization to consider and complete.
• EMS Manual, Procedures and Forms.
– Move your project along with our professionally
designed documentation.
– This package provides Microsoft Word templates to
use as a foundation for your EMS.
– Customize this Environmental Manual including
procedures, forms, and tables to save time and ensure
an efficient, effective system.