Implementing Implementing ISO 14001:2004ISO 14001:2004

Prakash VK Prakash VK

AIB VincotteAIB Vincotte

ISOISO 14001 Requirements 14001 Requirements

4.2 Environmental Policy4.3.1 Environmental Aspects4.3.2 Legal and Other Requirements4.3.3 Objectives, Targets and Programs

4.4.1 Resources, Roles, Responsibility and Authority4.4.2 Competence, Training and Awareness4.4.3 Communication4.4.4 Documentation4.4.5 Control of Documents4.4.6 Operational Control4.4.7 Emergency Preparedness and Response

4.5.1 Monitoring and Measurement4.5.2 Evaluation of Compliance4.5.3 Nonconformity, Corrective Action and Preventive Action4.5.4 Control of Records4.5.5 Internal Audit

CHECKCHECK

DO

PLAN

ACT4.6 Management Review

Plan Do Check Act CyclePlan Do Check Act Cycle

““Plan”Plan” what you will Do what you will Do““Do”Do” according to your Plan according to your Plan““Check”Check” to see if you did what to see if you did what

you plannedyou planned““Act”, Act”, change or improve the part change or improve the part

of your Plan or Do that did not of your Plan or Do that did not give you the results you intendedgive you the results you intended

Key Concept of ISO 14001Key Concept of ISO 14001

“Say what you do and do what you say!”

ISO 14001 StandardISO 14001 Standard

4.1 is the General Requirement – 4.1 is the General Requirement – “shall establish, document, “shall establish, document, implement, maintain and continually implement, maintain and continually improve an EMS”improve an EMS”

Followed by 17 clauses that contain Followed by 17 clauses that contain requirements that must be requirements that must be “established, implemented and “established, implemented and maintained” maintained”

Environmental PolicyEnvironmental Policy

Establishes basic guidance for Establishes basic guidance for making decisions on environmental making decisions on environmental issuesissues

Provides a public commitment to Provides a public commitment to environmental mattersenvironmental matters

Foundation or basis for an Foundation or basis for an organization’s EMSorganization’s EMS

4.2 Environmental Policy 4.2 Environmental Policy

Top Management defines an “appropriate” Top Management defines an “appropriate” environmental policy. It will be used in setting and environmental policy. It will be used in setting and reviewing objectives and targetsreviewing objectives and targets

Environmental Policy must commit to continual Environmental Policy must commit to continual improvement, prevention of pollution and compliance improvement, prevention of pollution and compliance with regulations and other requirementswith regulations and other requirements

Documented, implemented and maintainedDocumented, implemented and maintained

Communicated to “all persons working for or on its Communicated to “all persons working for or on its behalf” (e.g., employees, contractors, volunteers, behalf” (e.g., employees, contractors, volunteers, etc.)etc.)

Available to PublicAvailable to Public

Environmental AspectsEnvironmental Aspects

Central feature of an organization’s Central feature of an organization’s EMSEMS

Careful evaluation of the effects an Careful evaluation of the effects an organization has on the environmentorganization has on the environment

Prioritization of most importantPrioritization of most important Allows organization to design a Allows organization to design a

system to focus on priority issuessystem to focus on priority issues

Environmental Aspects DefinitionsEnvironmental Aspects Definitions

Environmental AspectEnvironmental Aspect - element of an - element of an organization’s activities or products organization’s activities or products or services that can interact with the or services that can interact with the environmentenvironment

Environmental ImpactEnvironmental Impact - any change to - any change to the environment, whether adverse or the environment, whether adverse or beneficial, wholly or partially beneficial, wholly or partially resulting from an organization’s resulting from an organization’s environmental aspectsenvironmental aspects

4.3.1 Environmental Aspects4.3.1 Environmental Aspects

Establish, implement and maintain a procedure Establish, implement and maintain a procedure to: to:

– identify environmental aspects that it can identify environmental aspects that it can control and those it can influence control and those it can influence

– Determine which aspects have or can have Determine which aspects have or can have significant environmental impactssignificant environmental impacts

Document and keep information up-to-date Document and keep information up-to-date

Ensure that significant environmental aspects are Ensure that significant environmental aspects are taken into account in the EMStaken into account in the EMS

Legal and Other RequirementsLegal and Other Requirements

Awareness of legal and other Awareness of legal and other requirements is essential in proper requirements is essential in proper managementmanagement

Understanding of how legal and Understanding of how legal and other requirements apply to the other requirements apply to the organizationorganization

4.3.2 Legal and Other 4.3.2 Legal and Other RequirementsRequirements

Establish, implement and maintain a procedure Establish, implement and maintain a procedure to:to:

– identify and have access to applicable legal identify and have access to applicable legal and other requirements related to and other requirements related to environmental aspectsenvironmental aspects

– determine how these requirements apply to determine how these requirements apply to the environmental aspectsthe environmental aspects

Ensure they are taken into account when Ensure they are taken into account when establishing, implementing and maintaining establishing, implementing and maintaining the EMSthe EMS

Objectives, Targets and ProgramsObjectives, Targets and Programs

Systematic process to achieve Systematic process to achieve continual improvementcontinual improvement

Objectives, Targets and Programs Objectives, Targets and Programs DefinitionsDefinitions

Environmental ObjectiveEnvironmental Objective – – overall overall environmental goal, consistent with environmental goal, consistent with the environmental policy, that an the environmental policy, that an organization sets itself to achieveorganization sets itself to achieve

Environmental TargetEnvironmental Target - - detailed detailed performance requirement, performance requirement, applicable to the organization or applicable to the organization or parts thereof, that arises from the parts thereof, that arises from the environmental objectives and that environmental objectives and that needs to be set and met in order to needs to be set and met in order to achieve those objectivesachieve those objectives

4.3.3 Objectives, Targets and Programs4.3.3 Objectives, Targets and Programs

Establish, implement Establish, implement and maintainand maintain

– Environmental Environmental Objectives and Objectives and Targets and Targets and

– Programs to achieve Programs to achieve them. them.

Objectives and Targets Objectives and Targets should be set at all should be set at all applicable levels, and applicable levels, and should be measurable, should be measurable, where practicable. where practicable.

Programs designate the Programs designate the who, how and when. who, how and when.

Items that are part of Items that are part of establishing objectives and establishing objectives and targetstargets

– environmental policyenvironmental policy

– legal & other legal & other requirements, requirements,

– significant significant environmental aspects, environmental aspects,

– technological options, technological options,

– financial, operational financial, operational and business and business requirements, requirements,

– views of interested views of interested partiesparties

Resources, Roles, Responsibility Resources, Roles, Responsibility and Authorityand Authority

Clear understanding of Clear understanding of environmental roles and environmental roles and responsibilities responsibilities

Establish individual to oversee EMSEstablish individual to oversee EMS Management ensures proper Management ensures proper

resources allocated to EMSresources allocated to EMS

4.4.1 Resources, Roles, 4.4.1 Resources, Roles, Responsibility and Authority Responsibility and Authority

Management must Management must provide resources for provide resources for EMS - human EMS - human resources, specialized resources, specialized skills, organizational skills, organizational infrastructure, infrastructure, technology and technology and financial resources financial resources

Roles, responsibilities Roles, responsibilities and authorities need and authorities need to be defined, to be defined, documented and documented and communicated communicated

Management must appoint Management must appoint EMS Management EMS Management Representative whoRepresentative who

– Ensures the EMS Ensures the EMS Requirements are Requirements are established, established, implemented and implemented and maintained in maintained in accordance with ISO accordance with ISO 1400114001

– Reports performance to Reports performance to top management for top management for review including review including recommendations for recommendations for improvementimprovement

Competence, Training and Competence, Training and AwarenessAwareness

Provide adequate training to Provide adequate training to personnel who deal with personnel who deal with environmental issuesenvironmental issues

Ensure personnel are capable to Ensure personnel are capable to perform their responsibilitiesperform their responsibilities

4.4.2 Competence, Training 4.4.2 Competence, Training and Awareness and Awareness

Requires that any all persons performing Requires that any all persons performing tasks associated with significant tasks associated with significant environmental impacts to be competent environmental impacts to be competent

Identify Training Needs associated with Identify Training Needs associated with environmental aspects and EMS, provide environmental aspects and EMS, provide training and keep recordstraining and keep records

Establish, implement and maintain a Establish, implement and maintain a procedure to make persons working for it procedure to make persons working for it or on its behalf aware of several specific or on its behalf aware of several specific itemsitems

CommunicationCommunication

System of internal and external System of internal and external communication in place for the EMS communication in place for the EMS and environmental issuesand environmental issues

4.4.3 Communication4.4.3 Communication Establish, implement and maintain a procedure forEstablish, implement and maintain a procedure for

– Internal Communication about Environmental Internal Communication about Environmental Aspects and EMSAspects and EMS

– Receiving, documenting and responding to Receiving, documenting and responding to “Relevant” Communications from external “Relevant” Communications from external partiesparties

Decide whether to communicate externally about Decide whether to communicate externally about significant aspects and document decision. If significant aspects and document decision. If decide to communicate, must establish and decide to communicate, must establish and implement a method for this external implement a method for this external communication.communication.

Documentation, and Control of Documentation, and Control of DocumentsDocuments

Specifies documentation to be in Specifies documentation to be in place for EMS and how that place for EMS and how that documentation will be handleddocumentation will be handled

4.4.4 Documentation4.4.4 Documentation

EMS documentation must include:EMS documentation must include:– Environmental policy, objectives and targetsEnvironmental policy, objectives and targets– Description of EMS scopeDescription of EMS scope– Description of main elements of EMS, their Description of main elements of EMS, their

interaction and reference to related documentsinteraction and reference to related documents– Documents and records required by ISO 14001Documents and records required by ISO 14001– Documents and records necessary to ensure Documents and records necessary to ensure

effective planning, operation and control of effective planning, operation and control of processes related to significant impactsprocesses related to significant impacts

4.4.5 Control of Documents4.4.5 Control of Documents Must establish, implement and maintain a procedure to Must establish, implement and maintain a procedure to

– Approve documents for adequacy prior to issueApprove documents for adequacy prior to issue

– Review and update as necessary and re-approve Review and update as necessary and re-approve documentsdocuments

– Changes and current revision status of documents are Changes and current revision status of documents are identifiedidentified

– Relevant versions are available at points of issueRelevant versions are available at points of issue

– Documents remain legible and readily identifiableDocuments remain legible and readily identifiable

– Documents of external origin are identified and Documents of external origin are identified and controlledcontrolled

– Prevent unintended use of obsolete documents, and Prevent unintended use of obsolete documents, and suitably identifiedsuitably identified

Operational ControlOperational Control

Plan and carry out processes to Plan and carry out processes to prevent and minimize impacts to the prevent and minimize impacts to the environmentenvironment

4.4.6 Operational Control4.4.6 Operational Control Must identify and plan operations associated with Must identify and plan operations associated with

significant aspects so they are consistent with the significant aspects so they are consistent with the Environmental Policy, and Objectives and TargetsEnvironmental Policy, and Objectives and Targets

Operational Controls are used to minimize Operational Controls are used to minimize impacts to the environment and prevent pollutionimpacts to the environment and prevent pollution

Must establish, implement and maintain Must establish, implement and maintain documented procedures to control situations documented procedures to control situations where the lack of documented procedures could where the lack of documented procedures could lead to deviations from the Environmental Policy, lead to deviations from the Environmental Policy, and Objectives, and Targets and Objectives, and Targets

Procedures must have operating criteriaProcedures must have operating criteria Procedures and requirements must be Procedures and requirements must be

communicated to suppliers and contractorscommunicated to suppliers and contractors

Emergency Preparedness and Emergency Preparedness and ResponseResponse

Procedures for identifying and Procedures for identifying and managing emergencies that can managing emergencies that can have environmental impactshave environmental impacts

4.4.7 Emergency Preparedness 4.4.7 Emergency Preparedness and Response and Response

Establish, implement and maintain Establish, implement and maintain procedure to identify potential emergency procedure to identify potential emergency situations and accidents situations and accidents

Respond to actual emergency situations Respond to actual emergency situations and accidents, and prevent or mitigate and accidents, and prevent or mitigate adverse environmental impactsadverse environmental impacts

Review and revise procedures, especially Review and revise procedures, especially after an accident or emergency occursafter an accident or emergency occurs

Periodically test proceduresPeriodically test procedures

Monitoring and MeasurementMonitoring and Measurement

Formal process for tracking Formal process for tracking environmental performanceenvironmental performance

4.5.1 Monitoring and 4.5.1 Monitoring and MeasurementMeasurement

Must establish, implement and maintain Must establish, implement and maintain procedure to monitor and measure key procedure to monitor and measure key characteristics of operations and activities characteristics of operations and activities that could have significant impact on the that could have significant impact on the environmentenvironment

Procedure must include documenting Procedure must include documenting information to monitor performance, information to monitor performance, operational controls and conformance with operational controls and conformance with the Objectives and Targetsthe Objectives and Targets

Monitoring equipment must be calibrated, Monitoring equipment must be calibrated, maintained and records keptmaintained and records kept

Evaluation of ComplianceEvaluation of Compliance

Systematic process for evaluating Systematic process for evaluating compliance with applicable compliance with applicable regulations and other requirementsregulations and other requirements

4.5.2 Evaluation of Compliance4.5.2 Evaluation of Compliance

Establish, implement and maintain a Establish, implement and maintain a procedure for periodically evaluating procedure for periodically evaluating compliance with applicable legal compliance with applicable legal requirements and keep records of the requirements and keep records of the evaluationevaluation

Evaluate compliance with “other Evaluate compliance with “other requirements” and keep records of the requirements” and keep records of the evaluationevaluation

Can combine the two evaluations or Can combine the two evaluations or establish a separate procedure for “other establish a separate procedure for “other requirements”requirements”

Nonconformity, Corrective Action and Nonconformity, Corrective Action and Preventive ActionPreventive Action

Systematic approach to identifying Systematic approach to identifying problems and fixing them in a problems and fixing them in a manner so they will not occur againmanner so they will not occur again

Nonconformity, Corrective Action and Nonconformity, Corrective Action and Preventive Action DefinitionsPreventive Action Definitions

Nonconformity - Nonconformity - non-fulfilment of a non-fulfilment of a requirementrequirement

Corrective actionCorrective action - action to eliminate - action to eliminate the cause of a detected the cause of a detected nonconformitynonconformity

Preventive actionPreventive action - action to - action to eliminate the cause of a potential eliminate the cause of a potential nonconformitynonconformity

4.5.34.5.3 Nonconformity, Corrective Nonconformity, Corrective Action and Preventive Action Action and Preventive Action

Must establish, implement and maintain a procedure for dealing with Must establish, implement and maintain a procedure for dealing with actual and potential nonconformities, and taking corrective and actual and potential nonconformities, and taking corrective and preventive actionpreventive action

Procedure must define requirements for:Procedure must define requirements for:– Identifying and correcting nonconformities and take action to Identifying and correcting nonconformities and take action to

mitigate impactsmitigate impacts– Investigating nonconformities, determining cause(s) and taking Investigating nonconformities, determining cause(s) and taking

action to avoid recurrenceaction to avoid recurrence– Evaluating need for action to prevent nonconformities, and Evaluating need for action to prevent nonconformities, and

implement appropriate actions implement appropriate actions

– Recording results of corrective and preventive actions takenRecording results of corrective and preventive actions taken

– Reviewing the effectiveness of corrective and preventive actionsReviewing the effectiveness of corrective and preventive actions

Corrective or preventive action must be appropriate to magnitude of problem and Corrective or preventive action must be appropriate to magnitude of problem and environmental impactenvironmental impact

Must ensure changes are made to EMS documentation as neededMust ensure changes are made to EMS documentation as needed

Control of RecordsControl of Records

Specifies records to be in place for Specifies records to be in place for EMS and how the records will be EMS and how the records will be handledhandled

4.5.4 Control of Records4.5.4 Control of Records

Establish and maintain records to Establish and maintain records to demonstrate conformance to your EMS demonstrate conformance to your EMS and ISO 14001and ISO 14001

Establish, implement and maintain a Establish, implement and maintain a procedure for identification, storage, procedure for identification, storage, protection, retrieval, retention and protection, retrieval, retention and disposal of recordsdisposal of records

Records must be legible, identifiable and Records must be legible, identifiable and traceabletraceable

Internal AuditInternal Audit

Conduct checks (EMS audits) to Conduct checks (EMS audits) to determine if EMS is working properlydetermine if EMS is working properly

4.5.5 Internal Audit4.5.5 Internal Audit Ensure internal audits of your EMS are conducted at planned intervals to Ensure internal audits of your EMS are conducted at planned intervals to

– Determine whether your EMSDetermine whether your EMS Conforms to ISO 14001 StandardConforms to ISO 14001 Standard Has been properly implemented and maintainedHas been properly implemented and maintained

– Provide audit results to managementProvide audit results to management

Audit program shall be established, implemented and maintained, and take into Audit program shall be established, implemented and maintained, and take into account environmental importance of the operation and results of previous account environmental importance of the operation and results of previous auditsaudits

Audit procedures shall be established, implemented and maintained that Audit procedures shall be established, implemented and maintained that addressaddress

– Responsibilities and requirements for planning and conducting audits, Responsibilities and requirements for planning and conducting audits, reporting results and retaining recordsreporting results and retaining records

– Determination of audit criteria, scope, frequency, and methodsDetermination of audit criteria, scope, frequency, and methods

Auditors must be objective and impartialAuditors must be objective and impartial

Management ReviewManagement Review

Top management receives and Top management receives and reviews information about the EMS, reviews information about the EMS, and recommends changes for and recommends changes for improvementimprovement

4.6 Management Review4.6 Management Review Top Management shall review your EMSTop Management shall review your EMS

Purpose of meetings is to ensure the continuing Purpose of meetings is to ensure the continuing suitability, adequacy and effectiveness of EMSsuitability, adequacy and effectiveness of EMS

Need to assess opportunities for improvement Need to assess opportunities for improvement and need for changes to EMS, environmental and need for changes to EMS, environmental policy and objectives and targetspolicy and objectives and targets

Review must be documented and records Review must be documented and records retainedretained

ISO 14001 outlines requirements for inputs and ISO 14001 outlines requirements for inputs and outputs to management reviewoutputs to management review