Environmental Management System: Corrective and Preventive Action

August 2005

ISO 14001: 1996 -> ISO 14001:2004

01. Scope of the EMS:

“those envi aspects that the organization identifies as those it can control and over which it can be expected to have an influence” => envi aspects of the supply chain

02. EMS audit => Internal audit

ISO 14001: 1996 -> ISO 14001:2004

03. Nonconformity

-no definition in the 1996 version

-nonconformity defined in the 2004 version

04. Legal and other requirements

-new requirement: an organization must now determine how its legal requirements apply to its aspects

ISO 14001: 1996 -> ISO 14001:2004

05. Objectives, targets and programmes

-new requirement: the objectives and targets shall be measurable

06. Communication

-additional requirement: the organization shall decide and document a decision on external communication

ISO 14001: 1996 -> ISO 14001:2004

07. Documentation

-new requirement: the organization shall specify documents

08. Evaluation of compliance

-new requirement: the organization shall evaluate and record its compliance with legal and other requirements

ISO 14001: 1996 -> ISO 14001:2004

09. Internal audit-use of a contractor or another member of the staff trained in EMS

10. Management review-inputs: results of internal audits, evaluations of compliance, communications from external parties, environmental performance of the organization,

ISO 14001: 1996 -> ISO 14001:2004

(inputs cont’d) extent to which objectives and targets have been met, the status of CA and PA, follow-up actions from previous mgt reviews, changing circumstances and recommendations for improvement

ISO 14001: 1996 -> ISO 14001:2004

-Mgt review outputs: decisions and actions related to possible changes to environmental policy, objectives, targets and other elements of the EMS, consistent with the commitment to continual improvement.

ISO 14001: 1996 -> ISO 14001:2004

Nonconformity: Non-fulfillment of a requirement

Previous definition (based on other ISO standards): non-fulfillment of a requirement of the management system

Current definition: Previous definition plus non-fulfillment of performance requirements such as objectives, targets or legal permits

Definitions

Corrective action : Action to eliminate the cause of a detected

nonconformity

Preventive action: Action to eliminate the cause of a potential nonconformity

Requirements related to CA/PA

The procedure must define requirements for

a. Identifying and correcting NCs and mitigating their envi impact;

b. Investigating NCs, determining their causes and taking actions to avoid recurrence;

c. Evaluating the need for action to prevent NCs and taking action to avoid their occurrence;

Requirements related to CA/PA

d. Recording results of CA and PA

e. Reviewing the “impactiveness” of CA and PA.

Requirements related to CA/PA

NCAR Form

-Description of the Non-conformance

(activity description, issued to auditee/DC/PL, date, issued by the IEAT Leader, description/illustration of the NCAR: major, minor, obs)

-Nature of request and answer date (root cause, immediate action, CA, PA)

-Closure of the NCAR (signatures of the auditee, IEAT Leader, and EMR

Requirements related to CA/PA

Surveillance audit recommendation:

Addition of “immediate action” to Part II of the NCAR (i.e., nature of the request)

Thank you for your attention.Have a good day!