Transcript Overview of ISO 14001 Standard

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
Checking and
Corrective Action
Planning
Implementation
and Operation
The ISO 14001 EMS Model
4.2 Define Policy
Products,
Services, and
Activities
4.3.2 Legal Requirements
4.3.1 Identify Aspects
4.3.3 Identify Objectives
Targets and Programs
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
3.2 Continual Improvement
3.18 Prevention of Pollution
4.5 Checking
4.6 Management Review
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
ISO 14001 Environmental Standard v2004
4.1 General Requirements
4.2 Environmental Policy
4.3 Planning
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Environmental aspects
Legal and other requirements
Objectives, Targets and Programs
4.4. Implementation and Operation
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–
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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
Checking and
Corrective Action
Planning
Implementation
and Operation
Policy Requirements
To 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.
Policy
Management
Review
Planning
– Legal and Other
Requirements.
– Objectives and Targets.
Checking and
Corrective Action
Implementation
and Operation
– Environmental
Management Program
• Dynamic
• Integrated
Planning
Identify
Activities,
Products
and
Services
Identify
Environmental
Aspects and
Impacts
Determine
Priority
Environmental
Aspects
Determine Legal and Other
Requirements
Establish
Objectives
and
Targets
Develop
Environmental
Management
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.
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 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
•
•
•
•
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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
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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
Policy
Management
Review
Planning
– Communication
– Documentation
– Controls of documents
– Operational control
– Emergency Preparedness and
Response
Checking and
Corrective Action
Implementation
and Operation
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
•
•
•
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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
Must Document
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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
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
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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
What are
Operational Controls?
•
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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
•
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Operating
procedures:
– verbal
– documented
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
•
•
•
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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:
Policy
– Monitoring and Measurement.
– Evaluation of compliance
– Non-Conformance and
Corrective and Preventive
Actions.
– Control of Records
– EMS Internal Audit.
Management
Review
Checking and
Corrective Action
Planning
Implementation
and Operation
Checking
Periodic Evaluations of compliance
Ongoing
Monitoring and
Measuring
Non-conformance,
Corrective and
Preventive Action
Periodic Internal EMS Audits
Records
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
Policy
– Audits
Management
Review
Planning
– 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:
• adequacy, and
• effectiveness of the EMS
• 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
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