ISO 14001 v. 2004 Environmental Management Systems
Quiz • 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? • 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
Policy Management Review Planning Implementation and Operation Checking and Corrective Action Environmental Management System (EMS)
3.2 Continual Improvement 3.18 Prevention of Pollution 4.2 Define Policy Products, Services, and Activities 4.3.1 Identify Aspects 4.3.3 Identify Objectives Targets and Programs 4.3.2 Legal Requirements P D CA 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 The ISO 14001 EMS Model
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
Policy Management Review Planning Implementation and Operation Checking and Corrective Action 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 Requirements To meet ISO 14001 requirements, the policy must: • 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.
Policy Management Review Planning Implementation and Operation Checking and Corrective Action Planning • Environmental Aspects. • Legal and Other Requirements. • Objectives and Targets. • Environmental Management Program • Dynamic • Integrated
Planning Identify Determine Environmental Priority Develop Aspects and Impacts Identify Environmental Aspects Establish Environmental Activities, Objectives Management Products and Program and Targets Services 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
Aspectsand 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
Aspectsand 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: • 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 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).
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
EnvironmentalManagement Programs An EMP is an action plan specifying: • Howobjectives and targets will be accomplished • Whois responsible for achieving them • Whowill manage and supervise the activities • Whowill carry out the work • Whatthey will do • What resources are needed (e.g., people, skills, equipment, time, money) • When the tasks will be completed (i.e., a schedule)
Policy Management Review Planning Implementation and Operation Checking and Corrective Action Implementation and Operation • 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
Implementation and Operation Capabilities & Organization & Controls Accountability Communications EMS Documentation Training, Awareness and Document Control Competence Structure and Responsibility 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 whathas happened
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 Must Document
4.3.1 Environmental aspects and impacts inventory 4.3.2 Significant environmental aspects 4.3.3 Registry of legislation and regulations 4.3.4 Environmental management programs - action plans to achieve objectives and targets 4.4.2 Training needs results, and training plans 4.4.7 Emergency response plan 4.5.2 Corrective and preventive actions 4.5.5 EMS audit results Good Idea to Document
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
Methods of Operational Control • Process controls: • electronic • mechanical • monitoring • observation • Operating procedures: • verbal • documented
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
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
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