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Environmental
Management
System –
ISO 14001:2004
Mgr. Veronika Saul
SCPC, s.r.o.
[email protected] www.scpc.sk
This brief tutorial will cover:
•
•
•
•
•
•
•
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What is EMS
History of EMS and basic information
ISO 14000 series
EMS benefits
Requirements of the Standard
Implementation Steps
Certification process
Tools to help achieve certification
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Environmental Management
System
- is a set of processes and practices that
enables an organization to reduce its
environmental impacts and increase its
operating efficiency
- is a framework that helps
a company achieve its
environmental goals
through consistent control
of its operations
- is a systematic approach to environmental
conservation in all aspects of business
through which an enterprise integrates the
care of environment into its business
strategy, and normal operation
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History of EMS
• 18th and 19th centuries - the concept of environmental
management can be traced to the Industrial Revolutions
• 1970s - beginning of the creation of environmental laws and
regulations
• 1972 - United Nations organized a Conference on the Human
Environment in Stockholm and UNEP - the United Nations
Environment Programme was launched
• 1987 - Our Common Future (Brundtland Report) was published from
the World Commission on Environment and Development (WCED)
• 1987 - Montreal Protocol - on Substances that Deplete the Ozone
Layer
• 1989 - Basel Convention - on the Control of Transboundary
Movements of Hazardous Wastes and their Disposal
• 1992 - the 1st Earth Summit was held in Rio-de-Janeiro
- a global commitment to the environment.
• 1992 - BSI Group (British Standards Institution) published
the world's 1st EMS standard BS 7750.
• 1996 – based on BS 7750 the ISO 14000 series were
developed by the International Organization for
Standardization
• 2010 - ISO 14001 - used by at least 223 149 organizations
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in 159 countries
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EMS related schemes
•
ISO 14001 - the most commonly implemented EMS in the world
- Slovakia - STN EN ISO 14001:2005
•
BS 8555 - designed for SMEs wanting to implement an EMS on a gradual,
step-by-step basis, combination of ISO 14001 and elements of ISO 14031.
•
EMAS - The Eco-Management and Audit Scheme is a European initiative
which differs from ISO 14001 in that, in addition to having an EMS in place,
the organisation is required to produce an environmental performance
statement and have this independently verified by a third party such as BSI.
- Slovakia - Act no. 351/2012 Coll
•
EMAS easy - a new approach based on Ecomapping; the business is mapped
to identify its environmental aspects. With EMAS Easy smaller businesses can
develop an EMS and either register for EMAS or certify to ISO 14001.
•
Energy Management System (EnMS) - standard BS EN 16001 – for managing
an organization's energy use, has the same structure as ISO 14001 and
overlaps with it in a number of areas.
•
The Carbon Trust Standard is awarded to organizations that measure,
manage and reduce their carbon footprint.
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Number of certified ISO 14001 organization
Numbers of Companies
certified to ISO 14001 in SR
number of new certificates (yearly increase)
number of registered certificates together
number of cancelled certificates
SCPC, s.r.o.
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years
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ISO 14000 Family of Standards
• The ISO 14000 series is a voluntary set of standards
intended to encourage organizations to systematically
address the environmental impacts of their activities
• EMS addressed by:
– ISO 14001:2004 - Requirements with guidance for use
– ISO 14004: 2004 - General guidelines on principles, systems and
support techniques
• The other standards and guidelines address specific
environmental aspects, including: labeling,
performance evaluation, life cycle analysis,
communication and auditing
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• ISO 14001 Environmental management systems—Requirements
with guidance for use
• ISO 14004 Environmental management systems—General
guidelines on principles, systems and support techniques
• ISO 14015 Environmental assessment of sites and organizations
• ISO 14020 series (14020 to 14025) Environmental labels and
declarations
• ISO 14030 discusses post production environmental assessment
• ISO 14031 Environmental performance evaluation—Guidelines
• ISO 14040 series (14040 to 14049), Life Cycle Assessment - LCA, discusses
pre-production planning and environment goal setting.
• ISO 14050 terms and definitions.
• ISO 14062 discusses making improvements to environmental impact goals.
• ISO 14063 Environmental communication—Guidelines and examples
• ISO 14064 Measuring, quantifying, and reducing Greenhouse Gas emissions.
• ISO 19011 which specifies an audit protocol for the management system.
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Benefits of EMS
Why to implement EMS?
• Cost savings - from saving energy to the minimization
of waste and the cost of disposal, as well lower insurance rates
• A positive company image – better relations with interested
parties
• Enhanced internal and external communication
• Improved environmental compliance – lover risk of breaches and
potential fines
• Reduced environmental liability and risks
• Increased competitiveness and market opportunities - company
is attractive to the widest possible market
• Increasing employee motivation and enhanced personnel skills
• Opportunity to integrate the EMS with other systems
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ISO 14001:2004 requirements (1/2) Element List
1 Scope
2 Normative reference
3 Terms and definitions
4. Environmental management system requirements
4.1 General requirements
4.2 Environmental policy
4.3 Planning
4.3.1 Environmental aspects
4.3.2 Legal and other
requirements
4.3.3 Objectives, targets and
programs
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ISO 14001:2004 requirements (2/2)
4.4 Implementation and Operation
4.4.1 Resources, roles, responsibilities and authority
4.4.2 Competence, training and awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Control of documents
4.4.6 Operation control
4.4.7 Emergency preparedness and response
4.5 Checking
4.5.1 Monitoring and measurement
4.5.2 Evaluation of compliance
4.5.3 Nonconformities, corrective action and preventive actions
4.5.4 Control of records
4.5.5 Internal audit
4.6 Management review
Annex A: Guidance on the use of this international standard
Annex B: Correspondence between ISO 14001 and ISO 9001
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Basic principle of EMS
- the PDCA cycle
(Deming or Shewart cycle)
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4.1 General requirements
• Determine how organization or facility
will establish, implement, maintain and
continually improve an EMS that fulfills
the requirements of ISO 14001.
• Define and document the scope, or
fenceline, of the EMS. Which activities,
products and/or services will be
addressed by the EMS?
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4.2 Environmental policy
Senior leadership is responsible for creating, and committing to,
an environmental policy that is appropriate to the environmental
impacts of organization.
The Environmental policy
• should be adequate to organization character, documented,
implemented and maintained
• includes a commitment to continual improvement and pollution
prevention
•
includes a commitment to compliance with applicable legal and
other requirements to which the organization subscribes, and relate
to its environmental aspects
•
provides a framework for setting and reviewing environmental
objectives and targets,
•
communicates with all persons working for or on behalf of the
organization and
•
made available to the public!
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4.3. PLANNING
4.3.1 Environmental aspects (EA)
Environmental aspects – element of the organisation´s
activities, products or services of the organization, which
may affect the environment.
Significant EA - aspect of the organization which has or may
have a significant environmental impact
Direct aspects – those that organization can directly control
(air emissions from its own boiler, waste from own
production)
Indirect aspects – those that the organization has some
impact, but it can not be completely controlled (e.g.
activities of supplies)
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Source – aspect - impact
Source/
activity
Impact
• Use of non-renewable
natural resources
• Pollution and damage
to the environment
• Global Warming
Aspect
• Noise, vibration, heat, smell,
dust, emissions, discharges of
hazardous substances, fuel
consumption, etc.
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4.3.1 Environmental aspects
Every aspect of an organization's operations must be
addressed, including planned or new developments and
new or modified activities, products and services.
The organization shall:
• establish and maintain procedures to:
o identification EA
o evaluation of EA
o to identify significant EA
o take the significant EA into account in establishing,
implementing and maintaining the EMS
Register of EA - an up-to-date lists of aspects and significant
aspects should be available.
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Identification of EA
example - Ecomapping
• allows an organization to visualize its environmental impact.
• is a systematic method that builds up a picture of key
environmental information by using symbols on a simple
plan of the site.
7 Ecomaps:
Urban situation
Water
Soil, storage
Energy
Air, odours, noise & dust
Waste
Risk
Frequency
Scale
Severity
Happens occasionally
Is minor
Small impact
Happens regularly
Very local
Can be diminished
Happens everyday
Significant for all
Bad and irreversible
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Register of EA - Example
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4.3.2 Legal and other requirements
The organization shall establish and
maintain:
- procedure for the identification and access
to legal and other requirements that must be
fulfilled and which are directly applicable to
the EA of activities, products and services
organization
- register, which is updated regularly and is
available in the up-to-date version.
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4.3.2 Legal and other requirements
Legal requirements
• issued by national or international legislative bodies and
legally binding-laws, decrees, regulations of the Government
of SR, European Parliament and Council Regulation
Other requirements :
• Requirements of non-binding technical regulations / standards
• Environ. business requirements - business, selling-delivery
contracts in regard to environment
• Requirements of stakeholders, interest-based environmental
groups, parties, associations, local and regional government,
etc.).
• Internal criteria of environmental organization performance
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4.3.3 Objectives, targets and programs
The purpose of objectives and targets is to help organization
translate its environmental goals into specific actions that
are measurable, where practicable.
When establishing and reviewing its objectives and targets, the
organization shall
• take into account:
o legal and other requirements that subscribed
o its significant environmental aspects
• consider:
o its technological capability
o financial, operational and business requirements
o opinion of stakeholders
o only realistic target shall be specifies
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4.3.3 Objectives, targets and programs
The organization shall establish and maintain
environmental management program(s) to meet the
objectives and targets.
Each program should define:
• The responsibilities for achieving goals (who will do it?)
• The means for achieving goals (how will they do it?)
• The timeframe for achieving those goals (when?)
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Environmental Management Program
- Example I
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Environmental Management Program
- Example II
Performance
monitoring
PROGRAMS
No.
1
Objective
Target
No. of Task and Task
Ensure control of
compliance
with
environmental
Decrease
A
--/--/-- Manager
No
regulations
nonconformiti
nonconformities
(minimum twice per
es in regards
in regards to
year)
to
environmental
environmental
Add an external
regulations
regulations
environmental
B legislation training to --/--/-training list of the
responsible person
A
2
Sched Responsib Resour
Date
ule le party
ce
Ensuring
appropriate Simplification of
material
identification of
storage
the stored items B
conditions.
C
Reorganizing of
storage
--/--/--
Amendment of
Material handling
--/--/-and storage
procedure
Training of
employees
responsible for
storing materials
Evaluation of objectives
Perfor
Evaluation of
Control
Done by/
mance
objectives/comments/delive
led by
date
(%)
rables
…..
XY €
New
storage
shelves
…XY €
….
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4.4 IMPLEMENTATION & OPERATION
4.4.1 Resources, roles, responsibilities and
authority
Organisation shall:
• define, document and communicate the obligations
and responsibilities for appropriate levels
• provide resources (human, financial and technological)
to establish, maintain and improve EMS
• nominate representatives for the EMS to:
– co-ordinate establishment,
implementation & maintenance of EMS
– report to top management on
performance of EMS & recommend improvements
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4.4.2 Competence, training and
awareness
Organization shall:
• ensure that any person carrying out tasks in the
organization or for organization that has the potential
to cause significant environmental impact identified by
the organization was competent under the relevant
education, training or experience.
• establish a training program
 The organization’s environmental
training needs must be identified
 Training activities must be
maintained and recorded
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4.4.2 Competence, training and
awareness
Persons working in the organization or for the
organization within their processes should be aware of:
• The importance of compliance with policy and
procedures that apply to their work
• Significant environmental aspects and impacts of their
work
• Their roles and responsibilities in achieving conformity
with the requirements of the EMS
• Potential consequences of failure from specific
procedures
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4.4.3 Communication
The organization shall with respect to its EA and EMS
create, implement and maintain procedures for:
o Internal communications - between
different levels and functions of the
organization
o External communication - Receiving,
documenting and responding to
suggestions regarding the EA and EMS
from external stakeholders
Organization must
o decide whether to communicate
externally / or not / about its
significant environmental aspects
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4.4.4 Documentation
EMS documentation includes:
•
•
•
•
•
•
Environmental Policy
Objectives and Targets
Definition of the scope of the EMS
Definition of the main elements of the EMS (EMS manual)
Documents and records required by this standard
Procedures for control of situations affecting environment
significantly – e.g. waste management
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4.4.5 Control of documents
4.5.4 Control of records
The organization shall establish,
implement and maintain
procedures for the identification,
storage, protection, retrieval,
retention and disposal of
documents and records.
Record is a document that states results achieved or
provides evidence of activities performed
• The organization shall keep records of all observed
features to monitor compliance with the requirements
of the own EMS. All records must be and remain legible,
identifiable and traceable.
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4.4.6 Operation control
The organization shall identify and plan those operations that are
associated with the identified significant EA consistent with its
environmental policy, objectives and targets, in order to ensure
that they are carried out under specified conditions.
The organization
should have
specified
procedures where the absence could lead
to deviations from the env. policy &
objectives & targets
operating criteria in the procedures
procedures related to the significant EA,
procedures and requirements shall be
communicated to suppliers & contractors
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4.4.6 Operation control
Operational Controls are means by which an organization
prevents pollution from operations, e.g.:
• Pollution control equipment such as scrubbers, filters,
precipitators, clarifiers, biological and chemical
treatment to remove or reduce emissions and
discharge levels
• Alarms for gas, pH, temperature, liquid level in a tank
• Preventive maintenance practices designed to stop
problems that could impact the environment before
they occur
• Operating procedures – documented or verbal.
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4.4.7 Emergency preparedness and
response
The organization shall establish, implement and maintain
procedures for:
• identification of potential emergency situations
• response to an emergency
• preventing and mitigating the environmental impacts of accidents
The organization shall
• review and revise emergency plans and
procedures (especially after the accident
or almost-accident)
• periodically test established procedures
Prevention is a key component of emergency preparedness.
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Potential Emergencies
•
•
•
•
•
•
•
Fire, explosion
Gas leak, spill
Natural disasters - lightning, earthquake, flood, extreme weather
Tank, dam, equipment structural failure
Electric power or gas cut
Crash, collision
Sabotage, vandalism, terrorist attack, riot, bomb threat, hostage
incident
Emergency response plan
An emergency response plan should include:
• descriptions of personnel roles and responsibilities
• resources
• response actions
• mitigation of impacts
• internal and external communications
• training
• drills
• incident investigation
• review procedures
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4.5 CHECKING
4.5.1 Monitoring and measurement
Organization shall:
• establish and maintain procedures to monitor & measure on a
regular basis, the key characteristics of its operations that can
have significant environmental impacts.
• The procedures must document information to monitor
performance, applicable operational controls, and conformity
with the organization's environmental objectives and targets.
• calibrate and maintain monitoring
equipment; and to keep associated
records.
• establish and maintain a documented
procedure for periodically evaluating
compliance with relevant environmental
legislation and regulations.
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What to monitor and measure?
General subjects that must be routinely monitored:
• Overall conformance of operations with requirements of the EMS
• Tracking progress towards achieving objectives and targets
• Environmental performance indicators associated with environmental management
programs, and legal compliance requirements
• Organization’s compliance with environmental legislation and regulations
• Operation of production and manufacturing equipment and processes associated with
significant EA, and pollution control equipment
Specific routine monitoring and measurements:
• Emissions to air, discharges to water, and solid waste disposal
• Environmental impacts on air, water, land, biota, ecology, humans
• Energy use
• Handling, storage, and disposal of chemicals, fuels, hazardous materials and wastes
• Training needs, training conducted, employee environmental awareness and competence
• Communications from interested parties, and the organization’s responses
• Emergency response incidents
• Quality assurance and quality control (QA/QC) for env. sampling and laboratory analysis
• Effectiveness and timeliness of corrective and preventive actions
• Environmental performance of contractors
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• Whether documentation is up to date, and adequately controlled.
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4.5.2 Evaluation of compliance
The organization shall:
• develop, implement and maintain procedure
for periodic evaluation of compliance with
respect to both applicable legal requirements
and any other requirements to which the
organization subscribe
• maintain records of the results
of these periodic evaluations
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4.5.3 Nonconformities, corrective
action and preventive actions
a) Nonconformity - non-fulfillment of a requirement
b) Correction - action taken to eliminate a detected
nonconformity
c) Corrective action - action to eliminate the cause of a
detected nonconformity or other undesirable situation
(i.e., action taken to prevent recurrence)
d) Preventive action - action taken to eliminate the cause of
a potential nonconformity or other undesirable situation
(i.e., action taken to prevent occurrence)
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4.5.3 Nonconformities, corrective
action and preventive actions
The intent of §4.5.3 is that the organization put in place
procedures for
1) identifying actual and potential nonconformities to EMS
requirements,
2) taking appropriate corrective or preventive action, and
3) reviewing the effectiveness of corrective or preventive actions
taken.
The most serious nonconformities of the
EMS:
• failure to meet the permissible limits of
pollution
• non-compliance with legal requirements
• failure in terms of decisions of the
government administration bodies
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4.5.5 Internal audit
IA are critical to the effectiveness of an EMS and
to the continual improvement cycle.
Organisation shall establish procedure for conducting IA, reporting
and record keeping. The criteria, scope, frequency and methods should
be planed.
Through the IA organization
• examines how the EMS works, if it is in regard to scheduled EMS
programs
• verifies how effectively fulfils the EMS policy and
what is the profile of environmental organizations
• should be performed regularly, within
the prescribed period in all areas of the
organization
• the results of the internal audit must be
presented to senior leadership
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4.6 Management review
Tool for assessing the current functioning of the EMS
and for evaluating of the appropriateness and adequacy
of EMS in regard to external changes and changes in the
organization itself.
Top management shall
determine whether
• EMS is suitable, adequate
and effective
• Policy, objectives and
procedures need changing
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4.6 Management review
The ISO 14001:2004 Standard specifies inputs to the management review
process must include:
1. Results of internal audits
2. Results of evaluations of compliance with legal and other requirements,
3. Communication(s) from external interested parties, including complaints,
4. The environmental performance of the organization,
5. Achievement level of Objectives and Targets,
6. Status of corrective and preventive actions,
7. Follow-up actions from previous management reviews,
8. Changing circumstances (including legal and other requirements)
9. Accident and injury investigation(including emergency incidents and
experiences from previous history ), and
10. Recommendations for improvement
The ISO 14001:2004 Standard also specifies outputs of the management
review must include decisions and actions, consistent with the commitment to
continual improvement, that relate to possible changes to:
1.
2.
The environmental policy
Objectives
3.
4.
Targets
Other elements of the EMS
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ISO 14001 EMS framework
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ISO 14001
Implementation Steps
I.
II.
III.
IV.
V.
Implement Plan
Environmental Gap Analysis
Form a Team
Execute your plan
Audit
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I. Implementation Plan
• Implementation plan should cover:
– Education on the contents of the standard
– Determine position of the company with regards to
the environment and the requirements of ISO 14001
– Analyze the shortcomings and closing the gaps
– A timeline of the implementation steps based on the
gap analysis
– Time to run the EMS, collect records and make
improvements before your registration audit.
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Implementation:
II. Conduct the Environmental Gap Analysis
1. 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
2. Based on the results of the assessments,
implement improvement actions.
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Implementation :
III. Form a Team
• Appoint a Management Representative
– This individual will be the ISO project manager.
• Assign a Management Team
– This team will be active in the design, development
and implementation of the EMS and participate in
the ongoing operation of the system.
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Implementation:
III. Form a Team
• The Management Team
– will act as a steering team for the project, assigning
responsibilities, providing resources and coordinating the
project.
– can assign task teams to work on specific processes that
must be designed and documented for the EMS.
• 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.
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Implementation:
IV. 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, you can start your internal audit
program and management review meetings.
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Implementation:
V. 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.
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Certification Process
•
•
•
•
Conduct 3rd party assessment to verify implementation
Submit an application form for certification
Contract signed between Auditee and Certification body
Optional pre-assessment by Certification body - to
identify any weak points
• Audits
– 1st phase – determination of the company’s state of readiness
(aspect identification and assessment, setting of objectives,
policies and programs, etc.) - does not has to be an “in situ”
audit
– 2nd phase – determination of the extent of EMS
implementation and effectives - “in situ” audit
• Certification granted
• Periodic reviews - minimum once a year - to verify that EMS
is being continuously maintained
• Recertification - every 3 years
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Tools to help the ISO 14001
implementation - examples:
• The ISO 14001 Workbook
– internet - Series of detailed checklists, exercises and
instructions that take you through tasks for your
organization to consider and complete.
• EMAS EASY – for SME’s
• EMS consultant
– Customized Environmental Manual including
procedures, forms, and tables to save time and
ensure an efficient, effective system.
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Conclusion
An environmental management system takes
time and commitment from the entire
organization.
Effective running of an EMS will provide ongoing
environmental benefits, cost savings and
contribute to building an attractive work
place culture.
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Thank you for your attention !
SCPC, s.r.o.
Semianova 2, 831 03 Bratislava 3
P.O.Box 120, 830 00 Bratislava 3
Tel.: 02 - 44 45 43 28
Fax: 02 - 44 25 90 15
www.scpc.sk
[email protected]
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