ISO 14001 Documentation

8/3/2019 ISO 14001 Documentation

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ISO: 14001 EMS Documentation

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1.0 INTRODUCTION: -

ISO: 14001 are a generic document and it does not specify how to do, but only states what to do. As

per the standard, the Environment Management System should be documented and be demonstrable in

the manner consistent with the requirements ofISO 14001 models. The total demonstration in theEnvironment Management System consists of four tiers of documents.

1. Environment Manual

2. Procedure Manual

3. Work Instruction/Operating Procedure Manual

4. Forms, Records

The amount of documentation should support and efficient Environment assurance system without

creating a paper bureaucracy. The details for documenting above four tiers of documents is described in

this paper.

2.0 NEED FOR DOCUMENT CONTROL: -

The Environment System consists of a number of documents. Some system should be provided for safe

keeping of complex records. It is important to clearly define as to where they should be kept and for how

long, and who is responsible for them. Each written procedure should be checked and signed by an

authorized person, with issue number and issue date. The management representative should have a listof all completed procedures, applicable to the individual departmental activities. Against each listed

document the number should be shown together with the date of the latest change. It is also called a

Master Copy. It is a yardstick against which any other controlled copy can be judged.

From time to time the Committee for Management Review and Corrective Action may put forward

recommendations for change in the procedure. The Management Representative should be responsible

for implementing the change. For making a change, the new page should be circulated to the keeper of

the controlled copy of the document with an instruction to insert the new page in order and return thereplaced page to the Management Representative. Thus outdated documents will be removed from

circulation. The change, which has been made, should be known to the staff and everyone should

implement the new procedure. When a number of major changes have been made, a complete newmanual has to be issued. The retention period for these records can be predefined either contractually or

by the policy and it is to be mentioned in the Environment Manual.

3.0 ENVIRONMENT MANUAL (1st tier of documentation)

3.1 WHAT IS ENVIRONMENT MANUAL: -

Environment Manual states the Environment Policy and describes the Environment System of anorganization. It may relate to an organizations total activities or to a selected part of it, e.g. specified

requirements depending upon the nature of products or services, processes, contractual requirements,
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governing regulations etc. It is expected to provide an adequate description of the Management intention

to fulfil system requirement while serving as a permanent reference for implementation and maintenanceof the system.

3.2 WHAT TO INCLUDE IN AN ENVIRONMENT MANUAL: -

* Environment manual should normally contain, or refer to: -

The title, scope and the field of application,

The table of contents of the manual,

The introductory pages about the organization concerned and the manual itself,

The Environment policy of the organization,

The organization,

Elements of the Environment Management system,

A definitions section, if appropriate,

Guide to the Environment manual, if appropriate.

List of procedures

Note: The order of Environment manual structure is optional to user needs.

3.3 WHAT IS AN ENVIRONMENT PROCEDURE MANUAL? : -

It is a manual comprising of a number of Environment procedures, each procedure being independent in

it. Procedure manual should be made department wise / element wise. It is also called a Middle

Management Book. Generally these Environment procedures are prepared by the M.R. in consultationwith HOD. Environment procedures are also called operational procedure, as they are a snapshot of the

actual activities taking place in a company at a particular point of time. They are considered to be the

core of the system documentation for Environment attainment and assurance. An important distinctionconfidential documents. They are intended for internal use and should be protected from misuse. These

procedures are meant to instruct in broad terms, how the policies and objectives expressed in the

Environment manual are to be addressed and achieved. They describe how the tasks and functions of thevarious departments should be performed to meet the requirements of the ISO: 14001 standard and the

Environment Policy of the company. In general it describe 6 major questions for the activity. (WHO,

HOW, WHERE, WHEN, WHAT, SHOW ME)

4.0 DOCUMENTED PROCEDURES (LIST OF MANDATORY PROCEDURES): -

4.1 ISO 14001 specially requires the following documented procedures:

Environmental aspects and evaluations (clause 4.3.1)

Legal and other requirements (clause 4.3.2)

Objectives and targets (clause 4.3.3)

Environmental Management programs ((clause 4.3.4)

Training (clause 4.4.2)

External and internal communication ((clause 4.4.3)

Document control ((clause 4.4.5) ISO 14001 specially requires the following documented procedures:

Operational controls (clause 4.4.6)

Emergency preparedness and response (clause 4.4.7)

Monitoring and measurement (clause 4.5.1)

Non conformance, corrective action, Preventive action (clause 4.5.2)
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Control records (clause 4.5.3)

EMS audit (clause 4.5.4)

This is a minimum requirement for documented procedures. Most organizations in the organized sectorwould need many more procedures depending upon the nature of business processes and scale of

operations.

4.2 Contents Of Procedures: -

One or more procedures relevant to each of the statements made in the Environment systems manualdefining how groups of people in the same or different departments will work together to meet

managements stated objectives for Environment.

The procedures must address each requirement of the relevant clause of the appropriate standard and

collectively they will define the organizations operation from receiving and enquiry to delivering acompleted product or service.

It should be noted that the procedures do not have to be assembled into a manual, but it is quite likely

that one master set will be in the form of a manual, to facilitate control.

Wherever required, Environment procedures must detail those activities for which records are to bemaintained. This is best achieved by cross-reference to an individual procedure, set-up for the purpose,

which details all records kept.

The writing style should be simple. Short sentences should be used and long words, which might be

difficult to understand, must be

Avoided. Colloquial terms or jargons, which may not be understood in the context and hence causeconfusion, should not be used. Avoid words, which can have variety of meanings. In short procedure

should be written in such a manner so as to make them easy to understand even to a layman.

A procedure is extremely important. It will determine the standard, which is being set for the manual. It

should be in detail and should answer, what has to be done, by whom, how, where and when. Similarly anumbering system should be established. For example a numbering system can be like.

PRO/XX, where

PRO = It is Environment Procedure,

XX = Serial No. Of the procedure in a particular clause.

The format includes a number of features, which all documented procedures should contain. However,there is nothing sacrosanct about this particular format: other styles can be adopted to encompass the

required features just as well, and it is for each organisation to develop its own format.

It should be noted that the procedures related to the individual activity should be kept with thatdepartment and reference of this procedure must be given in Environment manual, under an appropriate

clause. In general, a big composite companies would require a minimum of 25 procedures for ISO:

9002. A list of such procedures required are given in Annexure III.

5.0 WORK INSTRUCTIONS /OPERATING PROCEDURE (3RD TIER OF

DOCUMENTATION): -


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This is the third tier of the documentation. The standard requires work instructions to be available,

where the absence of such instruction would adversely affect Environment. In the practical sense, workinstruction may be written, drawings, photographs, computer menu options, machine care / operation,

work production documentation etc. These are practical documents. Hence the authority for the

initiation of work instructions should be given to the working committee, i.e. to the supervisor of theparticular area in which he / she is working. The final draft of the work instruction should be checked

and approved by the Head of the department.

Work instructions deals with shop-floor level of activities. Their purpose is to clearly direct the operator

as to what has to be done, and what standard of workmanship is required to control significant aspects.The instructions must therefore clearly identify:

What has to be done?

The correct sequence of activities.

Any special, environmental conditions, e.g. temperature, humidity cleanliness etc.

Reference to standards / codes of practice which must be complied with

In case of special processes, work instructions are a mandatory element and for this, detailed instructions

are needed. These work instructions should be written in the local language, so that the operators easilyunderstand them. For the laboratory or Q.C. activity and calibration of instruments the operatingprocedure is documented describing how particular activity shall be done.

6.0 ENVIRONMENT RECORDS, FORMS AND OTHER DOCUMENTS: -

Forms, records etc. are supporting documents used by the company to record information for different

procedures followed. They belong to the last and fourth tier of documentation. They link the activitieswritten in the procedure to the records kept in the department. Environment Records can be represented

as QR. This documentation serves to demonstrate that the Environment System is operating efficiently

to produce the product in accordance with specified requirements of the Environment System. These

records should be computerised or written neatly with an ink/carbon pen and not with a pencil. Theyshould be legible, easily retrievable and available when asked for by the auditor. Annexure IV gives a

list of Records required to make a system transparent. On all the forms identification no. And issue no.

Of the form shall be required to establish proper document control on them. The list of procedures andrecords are given in Annexure 3 for your ready reference.

6.1 List Of Records Under ISO: 14001

Register of aspects and impacts

Register of Legal & regulations (Legislation and compliance)

Complaints and interested party concerns

Objectives and targets monitoring

Environmental Management program reviews

Accident / incident investigations Monitoring / measurement and checking records

Calibration & maintenance

Non conformance, Corrective and preventive action records

Process control data (critical tasks)

Trends in EMS performance

Emergency preparedness & response and mock drill records

Training

Audit plans & results


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Management reviews

External/ internal communication

Document control records

The details for aspect-impact evaluation register; Objectives and EMPFew records are described in more

details as below.

6.2 Environmental Effects Evaluation And Register

Organization is required to identify, examine and evaluate the directed effects of their activities,products and services. Following the identification of environmental effects, which was addressed in the

PER, the difficulty for many companies is to establish methods for evaluating which effects are

significant.

Standard methods are not available, although there are standards for risk assessment, which may be ofuse to some organisation. Ultimately it is up to the company to determine the depth and scope of its

investigation and to determine which of its effects are significant. The important requirement is that the

method is consistent. Some companies have developed a matrix coupled with a rating system based on

the likely frequency of occurrence and likely severity of impact.

The depth of analysis depends on factors such as an early judgement of likely significance, regulatory

requirements available knowledge and the level of concern of interested parties.

The significance of an effect is determining relative to the organisation other effects and relative to the

contribution of other organisation to regional or global effects.

The boundaries describing the scope and depth of the investigation will change as external changes

occur maintaining an up-to-date register will enable companies to have early warning of

environmental issues, which may have a bearing on their future business.

The ISO draft emphasizes the fact that the main purpose of the EMS is to focus on the aspects of theorganizations operation, which may have a significant environmental impact. For example the

discharge of high Biological Oxygen Demand wastes to a stream or lake (the aspect) causes

eutrophication of the water body (the impact). The introduction of this new terminology appears to beconfusing many readers of the document.

6.3 Environmental Objective And Targets

Objective and target are the evidence and measure of the companys commitment to continual

improvement. Environmental management system audits address not only compliance of the

documented system with BS7750, the implementation of the documented system but also theeffectiveness of the system in achieving the companys objective and targets. Objectives and targets

must be quantified wherever possible.

It is up to the company to determine how it will implement its policy of continual improvement and in

which areas it is able to achieve improvement particular times. Because for most companies thesesystems are new there is uncertainly as to which objectives are appropriate and attainable. The methods

for measuring performance also very a great deal between companies. The most common means are in

terms of either a percentage reduction/improvement such as in energy consumption or waste productionor tasks to be completed such as installation of bunds or planting of trees.


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6.4 Progress Towards Objectives Can Be Measured By:

Quantity of raw material or energy used.

Quantity of emissions such as carbon dioxide.Waste produced per quantity of finished product.

Efficiency of energy and material use.

Number of environmental incidents (e.g. excursions above limits).

Number of environmental accidents (e.g. unplanned releases).Percentage waste recycled.

Percentage recycled material used in packaging.Number of vehicle kilometers per unit of production.

Specific pollutants quantities, e.g. NOx, SO2, CO, Pb, CFCs

Investment in environment protection,

Number of environmental prosecutions,

Land area set aside for wild habitat.

An integrated objective can be:

OBJECTIVE: Reduce energy required in manufacturing operations.

TARGET: Achieve 10 % reduction of energy consumption compared to the previous year.

INDICATOR: Quantity of fuels and electricity per unit of production.

6.5 Examples Of Objectives And Targets:

ENSURE:

1. Documented objectives and targets for applicable activities/ product/ services.

2. Are these consistent with your environmental policy?

3. Are established process for monitoring and reporting progress?

4. Objectives and targets are APPROPRIATE for your organization?

5. Considered legal requirements?

6. Are they simple and flexible?

7. Have you considered supplier/ vendors who provide you services/ products?


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6.6 Environmental Management Program

The pilot study conducted with BS7750 before the second edition was published revealed that although

most companies were strong on drawing up environmental policy statements they were generally weakin committing the resources necessary to put these into practice. The resources necessary to achieve its

objectives and targets.

6.7 Checklist For Emergency Preparedness And Response Plan:

The plan should describe the following:

1. Potential emergency situations such as fires, explosions, spills or releases of hazardous materialsand natural disasters;

2. Hazardous materials used on site and their locations;

3. Key organizational responsibilities; emergency co-coordinator;

4. Arrangements with local emergency support providers;

5. Emergency response procedures and emergency communication;

6. Location and type of emergency response equipment;

7. Maintenance of emergency response equipment;8. Training/ testing of personnel, including emergency team;

9. Testing of alarm/ public address systems;

10. Evacuation routes, exit map, assembly points, etc.

7.0 CONCLUSION: -

It is a commitment for the Environment and a demonstration of the commitment through documentation.

This documentation is Herculean task. The company has to prepare Environment Manual, Procedures

and Work instructions and supporting records also to satisfy requirements of standard. Duringdocumentation it is to be kept in view that the Environment manual, Environment procedure and records

should be linked with each other. The reference to record in procedure manual and to procedure in

Environment manual should be made to make the system more visible and transparent. The user has totake care in writing the procedures, so that they are understandable, actionable and mandatory

ISO 14001 Documentation

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Transcript of ISO 14001 Documentation