THE COMPLETE GUIDE TO ISO14001

Transcription

1 THE COMPLETE GUIDE TO ISO14001

2 1. Introduction... 3 Plan Do Check Act Requirements... 7 Environmental Policy... 7 Environmental Aspects... 7 Legal and Other Requirements... 8 Objectives & Targets... 8 Resources & Roles... 8 Training... 9 Communication... 9 Documentation... 9 Document Control... 9 Operations Control Emergency Monitoring Compliance Nonconformity Control of Records Internal Audit Management Review Policy Scope Legal & Other Requirements Environmental Objectives & Targets Environmental Management Plans Roles & Responsibilities Training & Awareness Training & Awareness Documentation ISO14001 Certification

3 12. Document Control Operational Control Monitoring & Measurement Emergency Preparedness Non Conformance Internal Audit Records Management Review Appendix Environmental Policy Checklist Environmental Audit Checklist Calibration Record Internal Audit Schedule Non Conformance Report Emergency & Evacuation Plan Management Review Agenda & Meeting Record ISO14001 Certification

4 1. Introduction The ISO family addresses various aspects of environmental management. The very first two standards, ISO 14001:2004 and ISO 14004:2004 deal with environmental management systems (EMS). ISO provides the requirements for an EMS and ISO 14004:2004 gives general EMS guidelines. The other standards and guidelines in the family address specific environmental aspects, including: labelling, performance evaluation, life cycle analysis, communication and auditing. An EMS meeting the requirements of ISO is a management tool enabling an organisation of any size or type to: identify and control the environmental impact of its activities, products or services, and to improve its environmental performance continually, and to implement a systematic approach to setting environmental objectives and targets, to achieving these and to demonstrating that they have been achieved. ISO does not specify levels of environmental performance. If it specified levels of environmental performance, they would have to be specific to each business activity and this would require a specific EMS standard for each business. That is not the intention. ISO has many other standards dealing with specific environmental issues. The intention of ISO is to provide a framework for a holistic, strategic approach to the organisation's environmental policy, plans and actions. ISO gives the generic requirements for an environmental management system. The underlying philosophy is that whatever the organisation's activity, the requirements of an effective EMS are the same. This has the effect of establishing a common reference for communicating about environmental management issues between organisation s and their customers, regulators, the public and other stakeholders. Because ISO does not lay down levels of environmental performance, the standard can to be implemented by a wide variety of organisations, whatever their current level of environmental maturity. However, a commitment to compliance with applicable environmental legislation and regulations is required, along with a commitment to continual improvement for which the EMS provides the framework. 3 ISO14001 Certification

5 ISO specifies the requirements for such an environmental management system. Fulfilling these requirements demands objective evidence which can be audited to demonstrate that the environmental management system is operating effectively in conformity to the standard. ISO is a tool that can be used to meet internal objectives: provide assurance to management that it is in control of the organisational processes and activities having an impact on the environment assure employees that they are working for an environmentally responsible organisation. ISO can also be used to meet external objectives: provide assurance on environmental issues to external stakeholders such as customers, the community and regulatory agencies comply with environmental regulations support the organisation's claims and communication about its own environmental policies, plans and actions provides a framework for demonstrating conformity via suppliers' declarations of conformity, assessment of conformity by an external stakeholder - such as a business client - and for certification of conformity by an independent certification body. GENERIC Generic means that the same standard can be applied to any organisation, large or small, whatever its product or service, in any sector of activity, and whether it is a business enterprise, a public administration, or a government department. MANAGEMENT SYSTEM Management system refers to what the organisation does to manage its processes, or activities, so that its products or services meet the objectives it has set itself, such as: satisfying the customer's quality requirements, complying with regulations, or meeting environmental objectives. 4 ISO14001 Certification

6 MANAGEMENT SYSTEM STANDARDS Management system standards provide a model to follow in setting up and operating a management system. This model incorporates the features on which experts in the field have reached a consensus as being the international state of the art. PLAN DO CHECK ACT The Plan Do Check Act (PDCA) cycle is the operating principle of ISO's management system standards. The fundamental principle of the ISO standard is the concept of continual improvement, based on the Plan-Do-Check-Act methodology. ISO14001 includes 17 elements, grouped into five phases that relate to Plan-Do-Check-Act; 1. Policy 2. Planning 2.1. Environmental Aspects 2.2. Legal & Other requirements 2.3. Objectives & Targets 3. Implementation & Operation 3.1. Resources & Roles 5 ISO14001 Certification

7 3.2. Training 3.3. Communication 3.4. Documentation 3.5. Document Control 3.6. Operations Control 3.7. Emergency 4. Checking 4.1. Monitoring 4.2. Nonconformity 4.3. Control Of Records 4.4. Internal Audit 5. Management Review PLAN ESTABLISH OBJECTIVES & PROCESSES REQUIRED Prior to implementing ISO 14001, an initial review or gap analysis of the organisation s processes and products is recommended, to assist in identifying all elements of the current operation and if possible future operations, that may interact with the environment, termed environmental aspects. Environmental aspects can include both direct, such as those used during manufacturing and indirect, such as raw materials. This review assists the organisation in establishing their environmental objectives, goals and targets, which should ideally be measurable; helps with the development of control and management procedures and processes and serves to highlight any relevant legal requirements, which can then be built into the policy. DO IMPLEMENT THE NEW PROCESS During this stage the organisation identifies the resources required and works out those members of the organisation responsible for the EMS implementation and control. This includes documentation of all procedures and processes; including operational and documentation control, the establishment of emergency procedures and responses, and the education of employees, to ensure they can competently implement the necessary processes and record results. Communication and participation across all levels of the organisation, 6 ISO14001 Certification

8 especially top management is a vital part of the implementation phase, with the effectiveness of the EMS being dependant on active involvement from all employees. CHECK MEASURE & MONITOR THE PROCESS & REPORT RESULTS During the check stage, performance is monitored and periodically measured to ensure that the organisation s environmental targets and objectives are being met. In addition, internal audits are regularly conducted to ascertain whether the EMS itself is being implemented properly and whether the processes and procedures are being adequately maintained and monitored. ACT TAKE ACTION TO IMPROVE PERFORMANCE BASED ON RESULTS After the checking stage, a regular planned management review is conducted to ensure that the objectives of the EMS are being met, the extent to which they are being met, that communications are being appropriately managed and to evaluate changing circumstances, such as legal requirements, in order to make recommendations for further improvement of the system. These recommendations are then fed back into the planning stage to be implemented into the EMS moving forward. 2. Requirements ENVIRONMENTAL POLICY Management shall define the organisation s environmental policy and ensure that within the defined scope of its environmental management system, it: is appropriate to the nature, scale and environmental impacts of its activities products and services; includes a commitment to continuous improvement and prevention of pollution; includes a commitment to comply with applicable legal requirements and with other requirements to which the organisation subscribes which relate to its environmental aspects; provides the framework for setting and reviewing environmental objectives and targets; is documented implemented and maintained; is communicated to all persons working for or on behalf of the organisation; and is available to the public. ENVIRONMENTAL ASPECTS The organisation shall establish, implement and maintain a procedure(s): 1. To identify the environmental aspects of its activities products and services within the defined scope of the environmental management system that it 7 ISO14001 Certification

9 can control and those that it can influence taking into account planned or new developments or new or modified activities; products and services and 2. To determine those aspects that have or can have significant impact(s) on the environment significant environmental aspects). The organisation shall document this information and keep it up to date. The organisation shall ensure that the significant environmental aspects are taken into account in establishing implementing and maintaining its environmental management system. LEGAL AND OTHER REQUIREMENTS The organisation shall establish, implement and maintain a procedure(s): 1. to identify and access applicable legal requirements and other requirements to which the organisation subscribes related to its environmental aspects; 2. to determine how these requirements apply to its environmental aspects. The organisation shall ensure that these applicable legal requirements and other requirements to which the organisation subscribes are taken into account in establishing, implementing and maintaining its environmental management system. OBJECTIVES & TARGETS The organisation shall establish, implement and maintain documented environmental objectives and targets, at relevant functions and levels within the organisation. RESOURCES & ROLES Management shall ensure the availability of resources essential to establish, implement, maintain and improve the environmental management system. resources include human resources and specialised skills, organisational infrastructure, technology and financial resources. Roles, responsibilities and authorities shall be defined, documented and communicated in order to facilitate effective environmental management. The organisation s top management shall appoint a specific management representative(s) who, irrespective of other responsibilities, shall have defined roles, responsibilities and authority for: 1. ensuring that an environmental management system is established, implemented and maintained in accordance with the requirements of this 8 ISO14001 Certification

10 International Standard; 2. reporting to top management on the performance of the environmental management system for review, including recommendations for improvement. TRAINING The organisation shall ensure that any person(s) performing tasks for it or on its behalf that have the potential to cause a significant environmental impact(s) identified by the organisation is (are) competent on the basis of appropriate education, training or experience, and shall retain associated records. The organisation shall identify training needs associated with its environmental aspects and its environmental management system. It shall provide training or take other action to meet these needs, and shall retain associated records. COMMUNICATION With regard to its environmental aspects and environmental management system, the organisation shall establish, implement and maintain a procedure(s) for: 1. internal communication among the various levels and functions of the organisation; 2. receiving, documenting and responding to relevant communication from external interested parties. DOCUMENTATION The environmental management system documentation shall include: 1. the environmental policy, objectives and targets; 2. description of the scope of the environmental management system; 3. description of the main elements of the environmental management system and their interaction, and reference to related documents; 4. documents, including records, required by this International Standard; 5. documents, including records, determined by the organisation to be necessary to ensure the effective planning, operation and control of processes that relate to its significant environmental aspects. DOCUMENT CONTROL The organisation shall establish, implement and maintain a procedure(s) to: 1. approve documents for adequacy prior to issue; 9 ISO14001 Certification

11 2. review and update as necessary and re-approve documents; 3. ensure that changes and the current revision status of documents are identified; 4. ensure that relevant versions of applicable documents are available at points of use; 5. ensure that documents remain legible and readily identifiable; 6. ensure that documents of external origin determined by the organisation to be necessary for the planning and operation of the environmental management system are identified and their distribution controlled; 7. prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose. OPERATIONS CONTROL The organisation shall identify and plan those operations that are associated with the identified significant environmental aspects consistent with its environmental policy, objectives and targets, in order to ensure that they are carried out under specified conditions, by: 1. establishing, implementing and maintaining a documented procedure(s) to control situations where their absence could lead to deviation from the environmental policy, objectives and targets; and 2. stipulating the operating criteria in the procedure(s); and 3. establishing, implementing and maintaining procedures related to the identified significant environmental aspects of goods and services used by the organisation and communicating applicable procedures and requirements to suppliers, including contractors. EMERGENCY The organisation shall establish, implement and maintain a procedure(s) to identify potential emergency situations and potential accidents that can have an impact(s) on the environment and how it will respond to them. The organisation shall respond to actual emergency situations and accidents and prevent or mitigate associated adverse environmental impacts. The organisation shall periodically review and, where necessary, revise its emergency preparedness and response procedures, in particular, after the occurrence of accidents or emergency situations. The organisation shall also periodically test such procedures where practicable. MONITORING 10 ISO14001 Certification

12 The organisation shall establish, implement and maintain a procedure(s) to monitor and measure, on a regular basis, the key characteristics of its operations that can have a significant environmental impact. The procedure(s) shall include the documenting of information to monitor performance, applicable operational controls and conformity with the organisation s environmental objectives and targets. The organisation shall ensure that calibrated or verified monitoring and measurement equipment is used and maintained and shall retain associated records. COMPLIANCE Consistent with its commitment to compliance, the organisation shall establish, implement and maintain a procedure(s) for periodically evaluating compliance with applicable legal requirements. The organisation shall keep records of the results of the periodic evaluations. NONCONFORMITY The organisation shall establish, implement and maintain a procedure(s) for dealing with actual and potential nonconformity (ies) and for taking corrective action and preventive action. The procedure(s) shall define requirements for: 1. identifying and correcting nonconformity(ies) and taking action(s) to mitigate their environmental impacts; 2. investigating nonconformity(ies), determining their cause(s) and taking avoid their recurrence; actions in order to 3. evaluating the need for action(s) to prevent nonconformity(ies) and implementing appropriate actions designed to avoid their occurrence; 4. recording the results of corrective action(s) and preventive action(s) taken; and 5. reviewing the effectiveness of corrective action(s) and preventive action(s) taken. Actions taken shall be appropriate to the magnitude of the problems and the environmental impacts encountered. The organisation shall ensure that any necessary changes are made to the environmental management system documentation. CONTROL OF RECORDS 11 ISO14001 Certification

13 The organisation shall establish and maintain records as necessary to demonstrate conformity to the requirements of its environmental management system and of this International Standard, and the results achieved. The organisation shall establish, implement and maintain a procedure(s) for the identification, storage, protection, retrieval, retention and disposal of records. Records shall be and remain legible, identifiable and traceable INTERNAL AUDIT The organisation shall ensure that internal audits of the environmental management system are conducted at planned intervals to determine whether the environmental management system: conforms to planned arrangements for environmental management including the requirements of this International Standard; and has been properly implemented and is maintained. MANAGEMENT REVIEW Top management shall review the organisation s environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness. Reviews shall include assessing opportunities for improvement and the need for changes of the environmental management system, including the environmental policy and environmental objectives and targets. Records of the management reviews shall be retained. 3. Policy POLICY REQUIREMENTS ISO14001:2004 requires that the Environmental Policy be: Defined by top management Appropriate to the nature, scale, and environmental impacts of the activities, products, or services of the organisation Documented, implemented, maintained Communicated to employees Available to the public COMMITMENT The Environmental Policy must contain a commitment to: Continual improvement 12 ISO14001 Certification

14 Prevention of pollution Comply with relevant environmental legislation and regulations and other requirements to which the organisation subscribes. The Environmental Policy must: provide the framework for setting and reviewing environmental objectives and targets be communicated, familiarised, and socialised throughout the organisation. The policy should be: Clear, concise, motivating, authentic, reflecting the organisation s guiding principles, beliefs, ethics and values Consistent with other organisational policies, mission or vision statements Relevant to all areas of the operation, from raw material supplies to finished product or service Kept up-to-date (though not changed too often) Widely distributed within the organisation Made available to the public (e.g. newsletter, website, advertisements, announcements) Ensure responsibility, authority, and accountability have been assigned for implementing, maintaining, and communicating the environmental policy. 4. Scope SCOPE STATEMENT A scope statement lists all sites, areas, activities, products or services subject to the certification audit and that also will appear on the ISO certificate issued to the organisation. An organisation must decide if more than one site will be registered under a multisite certification or if each individual unit or site will seek certification separately. It must also decide if there will be limitations, such as the exclusion of certain products, services or geographical areas. Consider the following questions when developing the scope statement: Has the organisation developed a controllable procedure to identify the environmental aspects of its activities, products or services? Have the concepts of control and influence consistently and effectively been applied to the procedure? Has the organisation effectively applied the procedure, and has it identified all the 13 ISO14001 Certification

15 obvious environmental aspects? Have all the obvious environmental impacts - actual and potential - related to the organisation's environmental aspects been identified? Are the criteria for evaluation significance relevant, appropriate and consistently applied? That is, have all significant environmental impacts been classified as such? When setting environmental objectives and targets, are the environmental aspects identified that are relevant to the environmental impacts? Has the information been updated? 5. Legal & Other Requirements LEGAL COMPLIANCE One of the fundamental tenants of ISO14001 is that it provides a mechanism for an organisation to ensure that it complies with all relevant legislation and codes of practice. ISO14001:2004 definition: The organisation shall establish, implement and maintain a procedure(s): 1. To identify and access applicable legal requirements and other requirements to which the organisation subscribes related to its environmental aspects; 2. To determine how these requirements apply to its environmental aspects. The organisation shall ensure that these applicable legal requirements and other requirements to which the organisation subscribes are taken into account in establishing, implementing and maintaining its environmental management system. SOME LEGAL REQUIREMENTS Relevant national, regional, and local laws and regulations Government operating permits, licences, and approvals Relevant international standards and conventions Contracts and other documents that include legal obligations SOME OTHER REQUIREMENTS Industry codes of practice Non-regulatory standards (e.g., ISO 14001) 14 ISO14001 Certification

16 Agreements with public authorities Company policies and procedures Voluntary compliance agreements Conformance with legal and other requirements is a core commitment in the Environmental Policy ISO14001:2004 requires that: The organisation establish and maintain a documented procedure for periodically evaluating compliance with relevant environmental legislation and regulations. A record of the compliance review must be maintained. 15 ISO14001 Certification

17 THE ROLE OF COMPLIANCE IN THE EMS Organisations must have a procedure to identify, access, and keep up to date legal and other requirements relevant to its environmental aspects. 16 ISO14001 Certification

18 Organisations must identify the planning / decision making points in the company where it is important to consider legal and other requirements: setting objectives and targets compliance monitoring/assessment management review business planning Responsibility should be assigned for maintaining the procedure, and for communicating legal and related information to those who need it. 6. Environmental Objectives & Targets ENVIRONMENTAL ASPECTS Features of a company s operations, processes, activities, products, or services that can have an impact (positively or negatively) on the environment. 17 ISO14001 Certification

19 ISO14001:2004 requires that: ENVIRONMENTAL IMPACTS A change (negative or positive) in the environment caused by an environmental aspect. The environment includes: SIGNIFICANT IMPACTS air, water (i.e., surface and ground water), land natural resources and raw materials animals, plants, people, organisms local, regional, and global issues interactions between any of these Risk = Probability x Consequence, where: probability reflects frequency and likelihood consequence reflects both magnitude and public perception 18 ISO14001 Certification

20 OBJECTIVES & TARGETS Environmental objectives and targets should address legal compliance, significant environmental aspects and the views of interested parties, taking into account technological options, financial, operational, and business requirements. 19 ISO14001 Certification

21 7. Environmental Management Plans ENVIRONEMTAL MANAGEMENT PROGRAMS Environmental management programs are detailed action plans for achieving objectives and targets ISO14001:2004 requires that: The organisation 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 organisation (b) the means and time-frame by which they are to be achieved Environmental management programs must be maintained (i.e., revised and kept up to date) to reflect changes in personnel, schedules, objectives, and targets EMP should have a high priority Need to hold regular reviews of EMP to assess progress towards achieving objectives and targets. KEY PERFORMANCE INDICATORS Used to measure progress towards achievement of objectives and targets Based on accurate, objective data generated by reliable techniques verified by quality assurance and quality control procedures 20 ISO14001 Certification

22 8. Roles & Responsibilities ORGANISATION STRUCTURE Relationships between functions and levels in an organisation Reporting hierarchy Summary of duties and responsibilities Key points: Role is the position an individual occupies with an organisation (job title), and the relationship of that position to others in the organisation Responsibilities are the assigned duties and obligations of an individual in a role 21 ISO14001 Certification

23 Authority is the power and influence an individual has to carry out responsibilities Defined: the organisation has identified the positions and responsibilities required to effectively plan, implement, and maintain the EMS Documented: roles, responsibilities and authority have been written down e.g., job descriptions, organisation charts, operating procedures, memoranda Communicated: roles, responsibilities and authorities have been made known and are understood by all personnel ISO14001:2004 requires that: Management shall provide resources essential to the implementation and control of the environmental management system. Resources include human resources, and specialized skills, technology, and financial resources. The organisation shall appoint specific management representatives who, irrespective of other responsibilities, shall have defined roles, responsibilities, and authority for: (a) ensuring the EMS requirements are established, implemented, and maintained in accordance with this International Standard (b) reporting on the performance of the EMS to top management for review, and as a basis for improvement of the EMS THE ENVIRONMENTAL REPRESENTATIVE Responsible for: Coordinating and monitoring progress in the EMS Identifying problems, and initiating corrective and preventive action where necessary Reporting progress and problems to top management Recommending changes to top management Identified on the Organisation Chart 22 ISO14001 Certification

24 9. Training & Awareness THE REQUIREMENT ISO14001:2004 requires that: The organisation shall identify training needs. It shall require that all personnel whose work may create a significant impact upon the environment have received appropriate training. ISO14001:2004 requires: Identification of the: Activities that may have a significant environmental impact Awareness, knowledge, skills, and competence required for these activities Training needed to achieve the required awareness, knowledge, skills, and competence NEEDS IDENTIFICATION Training Need = the gap between present capability and desired capability Identify existing knowledge, skill levels Observation, interview, performance appraisals Identify desired knowledge, skills Involve prospective learners, experts, managers, others Identify prescriptive and motivational needs ISO14001:2004 requires that: The organisation have procedures to make all employees aware of: The importance of, and their roles and responsibilities for, conforming with the environmental policy and procedures, and with the requirements of the EMS, including emergency preparedness and response requirements. Significant actual or potential environmental impacts of their work, and the environmental benefits of improved personal performance. Potential consequences of departure from specified operating procedures. Personnel performing tasks which can cause significant environmental impacts shall be competent on the basis of appropriate education, training, and/or experience. 23 ISO14001 Certification

25 THE TRAINING PROCESS 24 ISO14001 Certification

26 10. Training & Awareness THE REQUIREMENT ISO14001:2004 requires that: With regard to its environmental aspects and environmental management system, the organisation shall establish and maintain procedures for internal communication between the various levels and functions of the organisation. INTERNAL REQUIREMENTS Environmental policy Legal and other requirements Significant environmental aspects, impacts Objectives and targets Changes to activities, projects, products, and services that affect environmental management programmes Roles and responsibilities in the EMS EXTERNAL REQUIREMENTS With regard to its environmental aspects and environmental management system, the organisation shall establish and maintain procedures for receiving, documenting, and responding to relevant communication from external interested parties. The organisation shall consider processes for external communication on its significant environmental aspects, and record its decision. 11. Documentation THE REQUIREMENT ISO14001:2004 requires that: The organisation shall establish and maintain information in paper or electronic form to: (a) describe the core elements of the management system; (b) provide direction to related documentation. 25 ISO14001 Certification

27 DOCUMENT LEVELS Policies: High level documents that state the organisation s commitments Management System Procedures: Describe the core elements of the EMS, how they function and who is responsible for each. Standard Operating Procedures: Organisation or department operating procedures Work Instructions: Details of how to carry out specific tasks. 12. Document Control THE REQUIREMENT ISO14001:2004 requires that: The organisation shall establish and maintain procedures for controlling all documents required by this International Standard to ensure that: (a) they can be located (b) they are periodically reviewed, revised as necessary, and approved for adequacy by authorised personnel (c) the current versions of relevant documents are available at all locations where operations essential to the effective functioning of the EMS are performed (d) obsolete documents are promptly removed from all points of issue and points of use, or otherwise assured against unintended use (e) any obsolete documents retained for legal and/or knowledge preservation purposes are suitably identified Documentation shall be legible, dated (i.e., with dates of revision), and readily identifiable, maintained in an orderly manner and retained for a specified period. Procedures and responsibilities shall be established and maintained concerning the creation and modification of the various types of document. DEFINITIONS Documentation refers to all written material concerning the EMS 26 ISO14001 Certification

28 Documents include policies, procedures, manuals, plans, diagrams, flowcharts, correspondence, memoranda related to the EMS Records are documents, but under ISO are distinguished from documentation: Documentation concerns what should happen Records contain information on what has happened 13. Operational Control DEFINITION Means, by which an organisation prevents pollution from operations, eg: 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 ISO14001:2004 requires that: The organisation shall identify those operations and activities that are associated with identified significant environmental aspects in line with its policy, objectives and targets. The organisation shall plan these activities, including maintenance, in order to ensure that they are carried out under specified conditions by: 1.establishing and maintaining documented procedures where their absence could lead to deviations from the environmental policy and objectives and targets 2.stipulating operating criteria in the procedures PREVENTATIVE MAINTENANCE Key factor in preventing pollution from: leaking, connections, valves, pumps, lines, tanks breakdown of machinery, pumps, pollution control equipment incorrect instrument readings (calibration) blocked lines, pumps, valves, equipment catastrophic failure explosion, burst, fire Helps to conserve energy, resources. 27 ISO14001 Certification

29 PROCEDURES Instructions on how an activity should be done: Who authorises and manages it Who does what When it should happen What equipment is used Sequence of tasks to be performed An activity carried out according to specified instructions. Combination of responsibilities, authority, resources, and instructions needed to consistently perform an activity. A procedure may be documented (i.e. written), but the document is NOT the procedure. ISO14001:2004 requires: A documented procedure When the absence of a written procedure could lead to deviations from the environmental policy and objectives and targets When an operation, activity, or task is: Complex Conducted infrequently Sensitive to operating variables OPERATIONS THAT MAY REQUIRE PROCEDURES Production / manufacturing Maintenance Raw material procurement Handling, storage of raw materials, product Purchasing, shipping / receiving Contractor, supplier management Waste treatments, disposal, recycling, re-use Transportation of raw materials and product Laboratory operations Changes to processes, equipment, or facilities Start-up and shut-down of processes and equipment Research, development, design, engineering, construction Decommissioning of equipment or facilities 28 ISO14001 Certification

30 ISO does not require extensive written materials. Assess carefully whether a procedure needs to be documented. Document only if the absence of written instructions may result in problems. 14. Monitoring & Measurement THE REQUIREMENT ISO14001:2004 requires that: The organisation establish and maintain documented procedures to monitor and measure, on a regular basis, the key characteristics of its operations and activities that can have a significant impact on the environment. This shall include the recording of information to track performance, relevant operational controls, and conformance with the organisation s environmental objectives and targets. Monitoring provides: Overall conformance with the EMS Track progress towards achieving environmental objectives and targets Environmental performance indicators Operation of production/manufacturing and pollution control equipment ITEMS MONITORED Emissions to air, discharges to water, and solid waste disposal Environmental impacts on air, water, land, biota Energy consumption Chemical, fuel, and hazardous waste handling, storage, and disposal Training needs, training conducted, employee awareness and competence Communications from interested parties Emergency response incidents Sampling and laboratory analysis quality assurance and quality control Effectiveness of corrective and preventive actions Environmental performance of contractors 29 ISO14001 Certification

31 Documentation up to date Whatever ISO says shall be maintained CALIBRATION ISO14001:2004 requires that: Monitoring equipment be calibrated and maintained, and records of this process shall be retained according to the organisation s procedures. 15. Emergency Preparedness THE EFFECTS OF EMERGENCIES One of the underlying principles of the ISO14001 Standard is the prevention of pollution. History shows that significant proportion of environmental damage occurs accidently. ISO14001:2004 definition: The organisation shall establish and maintain procedures to identify potential for and respond to accidents and emergency situations, and for preventing and mitigating the environmental impacts that may be associated with them. The organisation shall review and revise, where necessary, its emergency preparedness and response procedures, in particular, after the occurrence of accident or emergency situations. The organisation shall also periodically test such procedures where practical. THE PURPOSE OF EMERGENCY PREPAREDNESS & RESPONSE Minimise the risks of emergencies occurring Identify potential emergency situations Develop, implement, and test plans to respond promptly and effectively to emergencies Minimize the impact of emergencies on the environment Continually improve emergency preparedness and response procedures 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 30 ISO14001 Certification

32 Sabotage, vandalism, terrorist attack, riot, bomb threat, hostage incident EMERGENCY RESPONSE PLAN REQUIREMENTS First alert procedure Internal emergency communication structure - chain of command Emergency Response Team members responsibilities Internal, external emergency phone numbers Evacuation routes, assembly points Responses to various types of emergency Internal, external reporting requirements External communications - neighbours, media Restoration, remediation, disposal of clean-up materials Post-incident de-briefing of Emergency Response Team Incident investigation, corrective, preventive actions Emergency response training 16. Non Conformance THE REQUIREMENT ISO14001:2004 requires that: The organisation establish and maintain procedures for defining responsibility and authority for handling and investigating non-conformance, taking action to mitigate any impacts caused, and for initiating and completing corrective and preventive action. Any corrective and preventive action taken to eliminate the causes of actual and potential non-conformances shall be appropriate to the magnitude of problems and commensurate with the environmental impact encountered. The organisation shall implement and record any changes in the documented procedures resulting from corrective and preventive action. MAJOR NON CONFORMANCE A deficiency that seriously impairs the effectiveness of the EMS. An element of ISO not implemented Procedures not developed or not implemented Failure to take corrective or preventive action Several minor non-conformances 31 ISO14001 Certification

33 MINOR NON CONFORMANCE A minor deficiency that does not seriously impair the effectiveness of the EMS: One or a few individuals (out of many) do not use a procedure correctly Procedure needs minor changes to be effective One or a few records incomplete CORRECTIVE & PREVENTATIVE ACTIONS Corrective action fixes the immediate problem (e.g., repair a leaking valve) Preventive action is designed to stop the problem occurring again, or stop problems before they happen (e.g., improved maintenance procedures) Effective preventive actions are a key to CONTINUAL IMPROVEMENT THE PRINCIPLES OF CORRECTIVE & PREVENTATION ACTION Don t ignore problems and hope they ll go away Ask: Who? What? When? How? Where? WHY? until you arrive at the root cause of the problem Fix deficiencies in the system, not just symptoms of the problem THE CONSEQUENCES Major Non-Conformance: Registration to ISO delayed until problem is corrected and re-audited. Minor Non-Conformance: Can receive registration to ISO but must commit to fix problem within 60 days; correction will be confirmed on next audit. 17. Internal Audit THE PURPOSE OF AUDITS ISO14001:2004 requires that: The organisation shall establish and maintain (a) program(s) and procedures for periodic environmental management system audits to be carried out in order to: (a) determine whether or not the EMS 32 ISO14001 Certification

34 (i) conforms to planned arrangements for environmental management, including the requirements of this International Standard; and (ii) has been properly implemented and maintained; and (b) provide information on the results of audits to management The organisation s audit programme, including any schedule, shall be based on the environmental importance of the activity concerned, and the results of previous audits. In order to be comprehensive, the audit procedures shall cover the audit scope, frequency, and methodologies, as well as the responsibilities and requirements for conducting audits and reporting results. Audit procedures must cover: scope, frequency (i.e., schedule), methods roles and responsibilities of audit team members, facility managers, and employees qualification and experience requirements for audit team members who is responsible for reporting audit findings to management, when, and how THE PURPOSE OF AUDITS Internal audits are carried out to ensure that the organisation is continually improving its EMS and environmental performance. ISO14001:2004 definition: A systematic and documented verification process of objectively obtaining and evaluating audit evidence to determine whether an organisation s EMS conforms with the EMS audit criteria set by the organisation (i.e., ISO 14001), and communicating the results of this process to management. Key Words in Definition Systematic: organized, methodical, and planned Documented: recorded in writing Verification: information is confirmed, cross-checked, validated Objective: independent, unbiased, no conflict of interest Evaluating: assessing Evidence: verified observations, verified verbal and written information 33 ISO14001 Certification

35 AUDIT CRITERIA SCOPE & OBJECTIVES AUDIT CRITERIA Assess an EMS against ISO specifications AUDIT SCOPE Defines which elements of ISO 14001, which parts of the organisation, and how far into the past the audit will cover Assess: whether the EMS has been implemented and maintained effectively whether the EMS meets industry norms, and the principles of due diligence Identify opportunities for improving the EMS. COMPLIANCE AUDITS In addition to regular EMS audits, an organisation must also conduct periodic audits of compliance with: national, provincial/regional, and local laws, regulations, and permits requirements of due diligence company policies, programmes, and procedures good environmental management practices for their industry 18. Records THE REQUIREMENT ISO14001:2004 requires that: The organisation establish and maintain procedures for the identification, maintenance, and disposition of environmental records. These records shall include training records and the results of audits and reviews. Environmental records shall be legible, identifiable, and traceable to the activity, product or service involved. Environmental records shall be stored and maintained in such a way that they are readily retrievable, and protected against damage, deterioration, or loss. Their retention times shall be established and recorded. 34 ISO14001 Certification

36 Records shall be maintained as appropriate to the system and to the organisation, to demonstrate conformance to the requirements of the Standard. RECORDS Records are proof of EMS conformance with ISO requirements. All records are documents BUT not all documents are records. Documented procedures say what should be done Records say what was done, and the results 19. Management Review THE REQUIREMENT ISO14001:2004 requires that: The organisation s top management, at intervals it determines, review the EMS to ensure its continuing suitability, adequacy, and effectiveness. The management review process shall ensure that the necessary information is collected to allow management to carry out this evaluation. This review shall be documented. The management review shall address the possible need for changes to policy, objectives, and other elements of the EMS in the light of EMS audit results, changing circumstances, and the commitment to continual improvement. FORMAT OF MANAGEMENT REVIEW Summary of key issues in pre-meeting materials by the Environmental Representative Discussion by top management of: continued suitability of the Environmental Policy and of environmental objectives and targets, taking into account business, production, legal, economic, social, and technological changes concerns of interested parties types of, and trends in, non-conformances effectiveness of corrective and preventive actions, considering need for due diligence resources needed to maintain the EMS, and for continual improvement in the EMS and in environmental performance 35 ISO14001 Certification

37 the vision for environmental management MANAGEMENT REVIEW OUTCOMES Documented minutes of discussions and decisions reached Action plans, with responsibilities, deadlines, and required resources Date of next meeting, taking into account the current health of the EMS and priorities 36 ISO14001 Certification

38 20. Appendix ENVIRONMENTAL POLICY CHECKLIST Requirement Yes No 1. Policy defined by top Management 2. Within the defined scope of the organisation s EMS, the policy is appropriate to the nature of the organisation s: a. Activities b. Products c. Services 3. Within the defined scope of the organisation s EMS, the policy is appropriate to the scale of the organisation s: a. Activities b. Products c. Services 4. Within the defined scope of the organisation s EMS, the policy is appropriate to the environmental impacts of the organisation s: a. Activities b. Products c. Services 5. Within the defined scope of the organisation s EMS, the policy includes a commitment to continual improvement 6. Within the defined scope of the organisation s EMS, the policy includes a commitment to prevention of pollution 7. Within the defined scope of the organisation s EMS, the policy includes a commitment to comply with: a. Applicable legal requirements which relate to the organisation s environmental aspects; and 37 ISO14001 Certification

39 b. Other requirements to which the organisation subscribes which relate to the organisation s environmental aspects 8. Within the defined scope of the organisation s EMS, the policy provides a framework & a commitment for setting: i. Environmental objectives ii. Environmental targets 9. Within the defined scope of the organisation s EMS, the policy provides a framework for reviewing: i. Environmental objectives ii. Environmental targets 10. Policy is documented 11. Policy is implemented 12. Policy is maintained (periodic review & update) 13. Policy is communicated to all persons working for or on behalf of the organisation 14. Policy is available to the public 38 ISO14001 Certification

40 ENVIRONMENTAL AUDIT CHECKLIST 4.1 General Requirements Has the organisation established and maintained an environmental management system consistent with the requirements contained in ISO 14001? 4.2 Environmental Policy Has top management defined the organisation s environmental policy? Is the environmental policy appropriate to the nature, scale, and environmental impacts of the organisation's activities, products, or services? Does the environmental policy include a commitment to continual improvement and prevention of pollution? Does the environmental policy include a commitment to comply with relevant environmental legislation and regulations and with other requirements to which the organisation subscribes? Does the environmental policy provide a framework for setting and reviewing environmental objectives and targets? Is the environmental policy documented, implemented, and maintained and communicated to all employees? Is the environmental policy available to the public? 4.3 Planning Environmental Aspects Has the organisation established and maintained (a) procedure(s) to identify the environmental aspects of its activities, products, or services that it can control and over which it can be expected to have an influence? Has the organisation determined which of its aspects have a significant impact on the environment? Has the organisation ensured that its aspects and related significant impacts are considered in setting its environmental objectives? Does the organisation periodically update information regarding its aspects and significant impacts? Legal and Other Requirements Has the organisation established and maintained a procedure to identify and have access to legal and other requirements to which the organisation subscribes, that are applicable to the environmental aspects of its activities, products, or services? Objectives and Targets Has the organisation established and maintained documented environmental objectives and targets, at each relevant function and level within the organisation? Has the organisation, when establishing and reviewing its objectives, considered: The legal and other requirements? Its significant environmental aspects? Its technological options? Its financial, operational, and business requirements? The views of interested parties? Are the organisation's objectives and targets consistent with its environmental policy, including the commitment to the prevention of pollution? Environmental Management Program(s) Has the organisation established and maintained environmental management program(s) for achieving its objectives and targets? Do environmental management program(s) designate responsibility for achieving objectives and targets at each relevant function and level of the organisation? 39 ISO14001 Certification

41 Do environmental management program(s) define the means and timeframe by which they are to be achieved? Are environmental management program(s) reviewed and changed when appropriate if new or modified activities, products, or services are implemented in the organisation? Structure and Responsibility Has the organisation defined, documented, and communicated the roles, responsibilities, and authorities to facilitate effective environmental management? How is this done? Has management provided resources essential to the implementation and control the environmental management system? Resources include human resources and specialized skills, technology, and financial resources? Has the organisation's top management appointed (a) specific management representative(s) who irrespective of other responsibilities, has defined roles, responsibilities, and authority to: Ensure that the environmental management system (EMS) requirements are established, implemented, and maintained in accordance with this International Standard. Report on the performance of the EMS to top management for review and as a basis for improvement of the EMS Training, awareness and competence Has the organisation identified the training needs for all personnel whose work may create a significant impact upon the environment? How is this done? Has the organisation established and maintained procedure to make it employees at each relevant function aware of: The importance of conformance with the environmental policy and procedures and with the requirement of the environmental management system (EMS)? The significant environmental impacts, actual or potential, of their work activities and the environmental benefits of improved personal performance? Their roles and responsibilities in achieving conformance with the environmental policy and procedures and with the requirements of the EMS, including emergency preparedness and response requirements? The potential consequences of departure from specified operating procedure? How does the organisation ensure that personnel performing tasks which can cause significant environmental impacts are competent on the basis of appropriate education, training, and/or experience? Communication Regarding its environmental aspects and environmental management system, has the organisation established and maintained procedures to ensure: Internal communication between the various levels and functions of the organisation? Proper receiving, documenting, and responding to relevant communication from external interested parties? Has the organisation considered its process(es) for external communication on its significant environmental aspects and recorded its decision? Environmental Management System Documentation Has the organisation established and maintained information in paper or electronic form to: Describe the core elements of the management system and their interaction? Provide direction to related documentation? Note: these requirements are often met by having a documented Environmental Management System Manual Document Control Has the organisation established and maintained procedures for controlling all documents required by this International Standard to ensure: 40 ISO14001 Certification

42 They can be located? They are periodically reviewed, revised as necessary, and approved for adequacy by authorized personnel? The current versions of relevant documents are available at all locations where operations essential to the effective functioning of the environmental management system are performed? Obsolete documents are promptly removed from all points of issue and points of use, or otherwise assured against unintended use? Any obsolete documents are retained for legal and/or knowledge preservation purposes are suitably identified? Are the organisation's documents legible, dated (with dates of revision), and readily identifiable, maintained in an orderly manner and retained for a specified period? Has the organisation established and maintained procedures and responsibilities concerning the creation and modification of the various types of documents? Operational Control Has the organisation identified those operations and activities that are associated with the identified significant environmental aspects in line with its policy, objectives, and targets? Has the organisation planned these activities, including maintenance, in order to ensure that they are carried out under specified conditions by: Establishing and maintaining documented procedures to cover situations where their absence could lead to deviations from the environmental policy and the objectives and targets? Stipulating operation criteria in the procedures? Establishing and maintaining procedures related to the identifiable significant environmental aspects of goods and services used by the organisation and communicating relevant procedure and requirements to suppliers and contractors? Emergency Preparedness and Response Has the organisation established and maintained procedures to identify potential for and respond to accidents and emergency situations, and for preventing and mitigating the environmental impacts that may be associated with them? Has the organisation reviewed and revised, where necessary, its emergency preparedness and response procedure, in particular, after the occurrence of accidents or emergency situations? Has the organisation periodically tested such procedures where practicable? Monitoring and Measurement Has the organisation established and maintained documented procedures to monitor and measure, on a regular basis, the key characteristics of its operations and activities that can have a significant impact on the environment? Does the monitoring and measurement include the recording of information to track performance, relevant operational controls and conformance with the organisation's environmental objectives and targets? Does the organisation calibrate equipment and maintain records according to the organisation's procedures? Has the organisation established and maintained a documented procedure for periodically evaluating compliance with relevant environmental legislation and regulations? Nonconformance and Corrective and Preventive Action Has the organisation established and maintained procedures for defining responsibility and authority for handling and investigating nonconformance, taking action to mitigate any impacts caused, and for initiating and completing corrective and preventive action? When corrective and preventive actions are taken to eliminate the causes of actual and potential nonconformance s, are they appropriate to the magnitude or problems and commensurate with the environmental impact encountered? 41 ISO14001 Certification

43 Has the organisation implemented and recorded any changes in the documented procedures resulting from corrective and preventive action? Records Has the organisation established and maintained procedures for the identification, maintenance, and disposition of environmental records, including: Training records? The results of audits (EMS audits)? The results of reviews (Management Reviews)? Are the organisation's records legible, identifiable, and traceable to the activity, product, or service involved? Are the environmental records stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration, or loss? Are the retention times for records established and recorded? Are records maintained, as appropriate to the system and to the organisation, to demonstrated conformance to the requirements of this International Standard? Environmental Management System Audit Has the organisation established and maintained program(s) and procedure(s) for periodic environmental management system audits to be carried out in order to: Determine whether or not the environmental management system conforms to planned arrangements for environmental management including the requirements of this International Standard and has been properly implemented and maintained? Provide information on the results of audits to management? Is the organisation's audit program, including any schedule, based on the environmental importance of the activity concerned and the results of previous audits? Does the audit procedure cover the audit scope, frequency, and methodologies, as well as the responsibilities and requirements for conducting audits and reporting results? 4.6 Management Review Does the organisation's top management, at intervals it determines, review the environmental management system to ensure its continuing suitability and effectiveness? Does the management review process ensure that the necessary information is collected to allow management to carry out this evaluation? Are the management reviews documented? Does each management review address the possible need for changes to policy, objectives, and other elements of the environmental management system, in the light of: Environment management system audit results? Changing circumstances? The commitment to continual improvement? 42 ISO14001 Certification

44 CALIBRATION RECORD Equipment Equipment Calibration Calibrated By Results Calibration Date Due Name Number Date Period 43 ISO14001 Certification

45 INTERNAL AUDIT SCHEDULE Topic Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Environmental management system Environmental policy Environmental aspects Legal & other requirements Objectives, targets & programs Resources, roles, responsibility & authority Competence, training & awareness Communication Documentation Document control Operational control Emergency preparedness & response Monitoring and measurement Evaluation of compliance Internal Audits Non-conformity, corrective & preventative action Control of Records Management review - audit Management review - meeting Legend Scheduled Audit Completed Audit Missed Audit External Audit 44 ISO14001 Certification

46 NON CONFORMANCE REPORT Number: Raised By: Date: Description Investigated By Investigation Root Causes 45 ISO14001 Certification

47 Corrective & Preventative Actions Responsible Person Due Date Evaluation Evaluated By Evaluated On Status Review Type Review Date 46 ISO14001 Certification

48 EMERGENCY & EVACUATION PLAN FIRE AND EVACUATION In an emergency, phone: 000 Location: Nearest Cross St: Telephone Number: Assembly Point: FIRE 1. Remove people from the immediate danger area to a place of safety. 2. Alert nearby tenants and members of the public. 3. Confine fire and smoke - close windows and doors. 4. Evacuate to the assembly area - DO NOT re-enter the building. EVACUATION Stage 1: Removal of people from the immediate danger area. Stage 2: Complete evacuation of the entire building. Stage 3: Roll Call - to be conducted as soon as possible to ensure all personnel are accounted for. Report missing persons IN CASE OF EMERGENCY LEAVE THROUGH THE NEAREST 47 ISO14001 Certification