ISO 14001:2004 Environmental Management System -The Gap Analysis Checklist

Transcription

1 ISO 14001:2004 Environmental Management System -The Gap Analysis Checklist GUIDELINES FOR USE OF THE GAP ANALYSIS CHECKLIST This gap analysis checklist is prepared for use in evaluating your Environmental Management Systemagainst the requirements of ISO Each requirement is expressed as aquestion that the auditor can use to evaluate your EMS capabilities. Along with the checklist, you will need to have acopy of the ISO 14001:2004 standard so that you can see exactly what the requirements are and can refer to the guidance section in Annex A. After you have prepared an audit schedule, and assigned responsibility to the auditors for different areas to audit, copy each section of the checklist for the auditors working with that section. As the auditors work through the checklist, they need to take notes on what is in place, and what needs to be developed. Reference the procedures or other documents that are reviewed and that will provide information for the new EMS. Take notes on the status of the documents, will they need tobe revised for the new system, or can they be used as is? Also note where processes are in place, but documentation is needed. Focus on what is in place, and what needs to be developed.while you do want to know if procedures and processes are being complied with, compliance is not your main focus for this audit. Remember that the final outcome of this audit should be alist of things that your organization needs to do to comply with ISO 14001:2004. Copyright Store.com Page 1

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3 Environmental Management System Manual ISO 14001:2004 Type Your Company Name, Address, City, State, Zip Here

4 *This manual is to be used as atemplate in developing your ISO Environmental Manual. Review the text; replace text to match your Environmental system requirements. At aminimum, the blue text should be replaced with your information. Your Company indicates that you should use your company name in that spot. Replace the ISO Store name and logo with your company name and logo. NOTES: DELETE AFTER EACH TASK IS COMPLETED. USE REPLACE FUNCTION ENTER YOUR COMPANY IN FIND SPACE, ENTER YOUR COMPANY NAME IN REPLACE SPACE SYSTEM SHOULD MAKE CHANGES THROUGHOUT THE ENTIRE DOCUMENT. (IF ANY OTHER INFORMATION IS AVAILABLE, THATWOULD FURTHER ENHANCE THE COMPANY INTRODUCTION, PREFERABLY ELECTRONICALLY, THIS IS THE AREA IN THE MANUAL TO INSERT THAT INFORMATION)

5 Environmental Manual Introduction Your Company developed and implemented an Environmental Management System in order to document the company s best environmental business practices, better satisfy the requirements and expectations of its stakeholdersand improve the overall management of the company. The Environmental Management System of Your Company meets the requirements of the international standard ISO 14001:2004 and addresses the environmental issues associated with YOUR COMPANY s activities, operations, services and products. The manual is divided into ten sections that correlate to the Environmental Management System sections of ISO 14001:2004. Sections begin with a statement expressing Your Company s obligation to implement the basic requirements of the referenced Environmental Management System section. Each statement isfollowed by specific information pertaining to the procedures that describe the methods used to implement the necessary requirements. This manual describes the Environmental Management System, delineates authorities, inter relationships and responsibilities of the personnel responsible for performing within the system. The manual also provides procedures or references for all activities comprising the Environmental Management System to ensure compliance to the necessary requirements of the standard. The manual is used internally to guide the company s employees through the various requirements of the ISO standard that must be met and maintained in order to ensure environmental stewardship, customer satisfaction, continual improvement and provide the necessary instructions that create an empoweredwork force. This manual is used externally to introduce our Environmental Management System to our customers and other external organizations or individuals. The manual is used to familiarize them with the controls that have been implemented and to assure them that the integrity of the Environmental Management System is maintained andfocused on environmental stewardship, customer satisfaction and continuous improvement. President: Date: EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 3 of 25 Copyright 2010 the Store

6 Environmental Manual Operational Control YOUR COMPANY establishes, implements, documents and maintains asystem for the identification of the criticalfunctions related to the policy, significant aspects, the legal and other requirements, and objectives and targets. Operational controls describe operations and activities where it is deemed that their absence could lead to deviations from the environmental policy and the objectives and targets. The procedure MP-446 is used to establish, implement and maintain a system of operational control to ensure that the processes that affect the environment are carried out under controlled conditions. The required instructions provide sufficient details so that the company can conform to the policy, objectives and targets, the legal and other requirements, address any impacts from significant aspects and ensure that deviationsfrom planned arrangements do not occur. The applicable system requirements are communicated to employees and to persons that are required to perform tasks on behalf of the company or are requiredfor temporary shortterm activities. Depending on the nature of your business, operational controls may include work instructions and systems for activities such as Design and development, Outsourcing and purchasing, Maintenance of infrastructure, Gage control / Equipment calibration, Incoming inspection, etc as required. Design and development. If you are adeveloper, adesigner or an inventor of products or services, the design and development instruction WI outlines the controls for the design and development process. The instruction applies to the design control activities where environment-friendly materials and products are used and industry standard requirements incorporated. Outsourcing and purchasing. If you purchase goods and sub-contracted services, the outsourcing and purchasing instruction WI outlines the controls for the purchasing process. Providers / Contractors /Persons that are required to perform tasks on behalf of the company that have the potential to cause asignificant environmental impact are qualified on the basis of education, training, or experience. Selected candidates are engaged through abusiness agreement and added to the list of acceptable sources after the satisfactory completion and return the environmental survey checklist. Infrastructure. If your facilities include physical infrastructure, theinstruction WI outlines the system where environmental controls are enhanced with properly maintained resources. Facilities resources incorporate the overall physical infrastructure aspects such as buildings, offices, laboratories, work areas, transport systems, equipment, telecommunications systems, storage, communication services, and other facilities. Control of measuring and monitoring equipment. If you make use of measuring and monitoring equipment, whether employee owned, customer owned or company supplied, the instruction WI outlines the system where the control and calibration of such equipment enhance environmental controls through credible monitoring and measurement (4.5.1) results. EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 18 of 25 Copyright 2010 the Store

7 4 Environmental Management System 4.1 GeneralRequirements Observation/Comments Results Has the organization established and maintained an environmental management system as required by clause 4of ISO 14001:2004? Has the organization defined and documented the scope of the EMS? Are the boundaries to which the EMS applies clearly defined? Are all activities, products and services within the scope addressed by the EMS? Additional questions To prove that the organization Does what it says it does, what records are completed for this section? 4.2 Environmental Policy Has the environmental policy been formulated by the top management? Is the environmental policy aligned with the defined scope of the EMS? Does the policy express commitment to compliance to legal and other requirements which relate to the environmental aspects? Has the environmental policy been communicated to all persons working on behalf of the organization? Additional questions To prove that the organization Does what it says it does, what records are completed for this section? 4.3 Planning Environmental Aspects Observation/Comments Results Has the organization established and maintained aprocedure to identify the environmental aspects for its activities, products or services? Can the organization control and have an influence on those activities, products or services? Has the organization determined which of those environmental aspects have significant impacts on the environment? Do the environmental aspects take into account the planning of existing conditions or new developments that are within the scope of the EMS? Audit Conducted by: Date: 2 Copyright 2008 Lorne Duquette Distributed by the9000store.com

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14 The Do-It-Yourself ISO Workbook Rev. 2 Copyright 2010 Lorne Duquette Distributed by 1

15 Environmental Management System Workbook Workbook cover page Workbook contents page Section 1: The Preparation Phase Section 2: The Development Phase Section 3: The Implementation and Registration Phase Note: 1. This Environmental Management System Workbook is suitable for use with the ISO 14001:2004 standards for environmental management systems. 2. This Environmental Management System Workbook is best utilized with ISO implementation training tools as provided in a series of PPT presentations. Visit for the presentation package that matches the workbook sections. Rev. 2 Copyright 2010 Lorne Duquette Distributed by 2

16 Environmental Management System Workbook Comments and Instructions: Congratulations on the management decision to implement the ISO 14001:2004 Environmental management system. This commitment and your participation say alot about you and show that you are interested in learning, in growing, and in improving your business. This ISO 14001Workbook becomes an implementation tool and is intended to make your ISO project as organized as possible when executing aset of tasks in the sequence that they are normally required on the journey to ISO 14001certification. An important first activity or prerequisite, as the Environmental programis launched, is for the ISO Management Representative to become as familiar as possible with the ISO Workbook format and content. The Workbook: The workbook is presented in four sections where the ISO tasks and Exercises are introduced, initiated and completed. You will find that your workbook can be used and marked up to develop and detail the information required for each task and exercise. The Workbook Forms: However, since more than one person will be involved in the ISO project, the workbook forms that represent the tasks and the exercises are provided in word format for distribution to the staff that will be participating and providing inputs. The Workbook Presentations: The ISO workbook is best utilized withiso implementation training tools as provided in a series of PPT presentations that match the workbook sections. The presentations become very effective tools that the ISO Management Representative, as the project manager, can use to keep the momentum moving toward a target registration date. Good Luck with this important initiative. Rev. 2 Copyright 2010 Lorne Duquette Distributed by 3

17 Building your ISO Environmental Management System Section 1: The Preparation Phase Rev. 2 Copyright 2010 Lorne Duquette Distributed by 4

18 Section 1: The Preparation Phase Responsibility: Management ISO Steering Team Environmental Safety Team 1) Management must identify the ISO steering team for the environmental project. It should be made up of managers from the different areas of the organization. The purpose of this team will be to assign resources and responsibilities for the project as well as providing leadership for the project. Include top management on the team. 2) Once the steering teamhas been identified, the teamcan work together to complete the assigned tasks for the workbook section 1. This section helps you prepare for the project and put together the project plan and timeline. Task 1: Management Describe your company Task 2: Management Choose your ISO Management System Task 3: Management Obtain the latest ISO standard Task 4: Management Select the Management Representative and the ISO 14001Steering Team Task 5: ISO Steering Team Prepare an Organizational Chart Task 6: ISO Steering Team Establish the Environmental Safety Team Task 7: Environmental Safety Team Conduct First TeamMeeting Task 8: ISO Steering Team Formulate the Environmental Policy Task 9: ISO Steering Team State the scope of the EMS Task10: ISO Steering Team Provide Communication Tools Task11: Environmental Safety Team Prepare the process flow diagrams Task 12: ISO Steering Team Performinitial environmental review Task 13: ISO Steering Team Assign Improvement Actions for EMS Rev. 2 Copyright 2010 Lorne Duquette Distributed by 5

19 Task 12 Perform the INITIAL ENVIRONMENTAL REVIEW The current position with regard to the environment is established by means of an initial review and recorded from the review areas / questions tabled below. Review Areas Organization Structure (Department personnel and structure chart) 1. General Information Comments OK Needs Attention Current activities /processes /products No. of employees (List activities or provide process flow) Environmental coordinator Type of facilities (Office /lab /workshop / warehouse /others) Type of plant(s) / machinery (List of plant / machinery utilised) Types of goods provided by major suppliers (List of major suppliers and their product type) Types of services provided by major contractors Any future activities /services (List of major contractors and their product type) Rev. 2 Copyright 2010 Lorne Duquette Distributed by 18

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21 Assign IMPROVEMENT ACTIONS needed to increase your Environmental Capabilities -Ref Task 13 Assessments and reviews, Tasks 12, 15, 16 &18 highlight areas that need attention and provide focus on high significance environmental impacts and legal requirements. The areas that require follow up and actionby the ISO steering team are identified as: Short Term, where improvements can be implemented within 1month. MediumTerm, where improvements can be implemented within 2 to 6months. Long Term, where improvements can be implemented within 7 to 12 months. SHORT TERM IMPROVEMENT ACTIONS To be implemented within 1month # Improvement Action Assigned to Promise Date Actual Date Comments MEDIUM TERM IMPROVEMENT ACTIONS To be implemented within 2to 6months # Improvement Action Assigned to Promise Date Actual Date Comments LONG TERM IMPROVEMENT ACTIONS -To be implemented within 6to 12 months # Improvement Action Assigned to Promise Date Actual Date Comments Comments: Rev. 2 Copyright 2010 Lorne Duquette Distributed by 51

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