EMS Nov2005 ISO 14001 Requirements

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    Overview of ISO 14001Overview of ISO 14001

    RequirementsRequirementsLynn PennimanLynn Penniman

    Penniman LLCPenniman LLC

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    ISOISO 14001 Requirements14001 Requirements

    4.2 Environmental Policy

    4.3.1 Environmental Aspects

    4.3.2 Legal and Other Requirements

    4.3.3 Objectives, Targets and Programs

    4.4.1 Resources, Roles, Responsibility and Authority

    4.4.2 Competence, Training and Awareness

    4.4.3 Communication

    4.4.4 Documentation

    4.4.5 Control of Documents

    4.4.6 Operational Control

    4.4.7 Emergency Preparedness and Response

    4.5.1 Monitoring and Measurement

    4.5.2 Evaluation of Compliance

    4.5.3 Nonconformity, Corrective Action and Preventive Action

    4.5.4 Control of Records

    4.5.5 Internal Audit

    CHECKCHECK

    DO

    PLAN

    ACT4.6 Management Review

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    Plan Do Check Act CyclePlan Do Check Act Cycle

    PlanPlanwhat you will Dowhat you will Do

    DoDoaccording to your Planaccording to your Plan

    CheckCheckto see if you did whatto see if you did whatyou plannedyou planned

    Act,Act, change or improve thechange or improve thepart of your Plan or Do that didpart of your Plan or Do that didnot give you the results younot give you the results youintendedintended

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    Key Concept of ISO 14001Key Concept of ISO 14001

    Say what you do and do

    what you say!

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    ISO 14001 StandardISO 14001 Standard

    4.1 is the General Requirement4.1 is the General Requirement shall establish, document,shall establish, document,

    implement, maintain and continuallyimplement, maintain and continuallyimprove an EMSimprove an EMS

    Followed by 17 clauses that containFollowed by 17 clauses that containrequirements that must berequirements that must be

    established, implemented andestablished, implemented andmaintainedmaintained

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    EnvironmentalPolicyEnvironmentalPolicy

    Establishes basic guidance forEstablishes basic guidance formaking decisions on environmentalmaking decisions on environmental

    issuesissuesProvides a public commitment toProvides a public commitment to

    environmental mattersenvironmental matters

    Foundation or basis for anFoundation or basis for anorganizations EMSorganizations EMS

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    4.2 EnvironmentalPolicy4.2 EnvironmentalPolicy

    Top Management defines an appropriateTop Management defines an appropriateenvironmental policy. It will be used in settingenvironmental policy. It will be used in settingand reviewing objectives and targetsand reviewing objectives and targets

    Environmental Policy must commit to continualEnvironmental Policy must commit to continualimprovement, prevention of pollution andimprovement, prevention of pollution andcompliance with regulations and othercompliance with regulations and otherrequirementsrequirements

    Documented, implemented and maintainedDocumented, implemented and maintained

    Communicated to all persons working for or onCommunicated to all persons working for or onits behalf (e.g., employees, contractors,its behalf (e.g., employees, contractors,volunteers, etc.)volunteers, etc.)

    Available to PublicAvailable to Public

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    Environmental AspectsEnvironmental Aspects

    Central feature of an organizationsCentral feature of an organizationsEMSEMS

    Careful evaluation of the effects anCareful evaluation of the effects anorganization has on the environmentorganization has on the environment

    Prioritization of most importantPrioritization of most important

    Allows organization to design a

    Allows organization to design asystem to focus on priority issuessystem to focus on priority issues

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    Environmental Aspects DefinitionsEnvironmental Aspects Definitions

    Environmental AspectEnvironmental Aspect -- element of anelement of anorganizations activities or productsorganizations activities or productsor services that can interact with theor services that can interact with the

    environmentenvironment

    Environmental ImpactEnvironmental Impact -- any change toany change tothe environment, whether adverse orthe environment, whether adverse or

    beneficial, wholly or partiallybeneficial, wholly or partiallyresulting from an organizationsresulting from an organizationsenvironmental aspectsenvironmental aspects

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    4.3.1 Environmental Aspects4.3.1 Environmental Aspects

    Establish, implement and maintain a procedureEstablish, implement and maintain a procedureto:to:

    identify environmental aspects that it canidentify environmental aspects that it cancontrol and those it can influencecontrol and those it can influence

    Determine which aspects have or can haveDetermine which aspects have or can havesignificant environmental impactssignificant environmental impacts

    Document and keep information upDocument and keep information up--toto--datedate

    Ensure that significant environmental aspects areEnsure that significant environmental aspects aretaken into account in the EMStaken into account in the EMS

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    Legaland Other RequirementsLegaland Other Requirements

    Awareness of legal and otherAwareness of legal and otherrequirements is essential in properrequirements is essential in propermanagementmanagement

    Understanding of how legal andUnderstanding of how legal andother requirements apply to theother requirements apply to theorganizationorganization

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    4.3.2 Legaland Other4.3.2 Legaland Other

    RequirementsRequirements Establish, implement and maintain a procedureEstablish, implement and maintain a procedure

    to:to:

    identify and have access to applicable legalidentify and have access to applicable legal

    and other requirements related toand other requirements related toenvironmental aspectsenvironmental aspects

    determine how these requirements apply todetermine how these requirements apply tothe environmental aspectsthe environmental aspects

    Ensure they are taken into account whenEnsure they are taken into account whenestablishing, implementing and maintainingestablishing, implementing and maintainingthe EMSthe EMS

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    Objectives, Targets and ProgramsObjectives, Targets and Programs

    Systematic process to achieveSystematic process to achievecontinual improvementcontinual improvement

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    Objectives, Targets and ProgramsObjectives, Targets and Programs

    DefinitionsDefinitions Environmental ObjectiveEnvironmental Objective overalloverall

    environmental goal, consistent withenvironmental goal, consistent withthe environmental policy, that anthe environmental policy, that an

    organization sets itself to achieveorganization sets itself to achieve Environmental TargetEnvironmental Target -- detaileddetailed

    performance requirement,performance requirement,applicable to the organization orapplicable to the organization or

    parts thereof, that arises from theparts thereof, that arises from theenvironmental objectives and thatenvironmental objectives and thatneeds to be set and met in order toneeds to be set and met in order toachieve those objectivesachieve those objectives

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

    Establish, implementEstablish, implementand maintainand maintain

    EnvironmentalEnvironmentalObjectives andObjectives and

    Targets andTargets and

    Programs to achievePrograms to achievethem.them.

    Objectives and TargetsObjectives and Targetsshould be set at allshould be set at allapplicable levels, andapplicable levels, andshould be measurable,should be measurable,where practicable.where practicable.

    Programs designate thePrograms designate thewho, how and when.who, how and when.

    Items that are part ofItems that are part ofestablishing objectives andestablishing objectives andtargetstargets

    environmental policyenvironmental policy

    legal & otherlegal & otherrequirements,requirements,

    significantsignificantenvironmental aspects,environmental aspects,

    technological options,technological options,

    financial, operationalfinancial, operationaland businessand businessrequirements,requirements,

    views of interestedviews of interestedpartiesparties

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    Resources, Roles, ResponsibilityResources, Roles, Responsibility

    a

    nd Authoritya

    nd AuthorityClear understanding ofClear understanding of

    environmental roles andenvironmental roles andresponsibilitiesresponsibilities

    Establish individual to oversee EMSEstablish individual to oversee EMS

    Management ensures properManagement ensures properresources allocated to EMSresources allocated to EMS

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    4.4.1 Resources, Roles,4.4.1 Resources, Roles,

    Responsibil

    itya

    nd AuthorityResponsibil

    itya

    nd Authority Management mustManagement mustprovide resources forprovide resources forEMSEMS -- humanhumanresources, specializedresources, specializedskills, organizationalskills, organizationalinfrastructure,infrastructure,technology andtechnology andfinancial resourcesfinancial resources

    Roles, responsibilitiesRoles, responsibilitiesand authorities needand authorities needto be defined,to be defined,documented anddocumented andcommunicatedcommunicated

    Management must appointManagement must appointEMS ManagementEMS ManagementRepresentative whoRepresentative who

    Ensures the EMSEnsures the EMSRequirements areRequirements are

    established,established,implemented andimplemented andmaintained inmaintained inaccordance with ISOaccordance with ISO1400114001

    Reports performance toReports performance to

    top management fortop management forreview includingreview includingrecommendations forrecommendations forimprovementimprovement

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    Competence, Training andCompetence, Training and

    Awa

    renessAwa

    renessProvide adequate training toProvide adequate training to

    personnel who deal withpersonnel who deal withenvironmental issuesenvironmental issues

    Ensure personnel are capable toEnsure personnel are capable toperform their responsibilitiesperform their responsibilities

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    4.4.2 Competence, Training4.4.2 Competence, Training

    and Aw

    areness

    and Aw

    areness Requires that any all persons performingRequires that any all persons performing

    tasks associated with significanttasks associated with significantenvironmental impacts to be competentenvironmental impacts to be competent

    Identify Training Needs associated withIdentify Training Needs associated withenvironmental aspects and EMS, provideenvironmental aspects and EMS, providetraining and keep recordstraining and keep records

    Establish, implement and maintain aEstablish, implement and maintain a

    procedure to make persons working for itprocedure to make persons working for itor on its behalf aware of several specificor on its behalf aware of several specificitemsitems

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    CommunicationCommunication

    System of internal and externalSystem of internal and externalcommunication in place for the EMScommunication in place for the EMSand environmental issuesand environmental issues

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    4.4.3 Communication4.4.3 Communication

    Establish, implement and maintain a procedureEstablish, implement and maintain a procedureforfor

    Internal Communication about EnvironmentalInternal Communication about EnvironmentalAspects and EMS

    Aspects and EMS

    Receiving, documenting and responding toReceiving, documenting and responding toRelevant Communications from externalRelevant Communications from externalpartiesparties

    Decide whether to communicate externally aboutDecide whether to communicate externally aboutsignificant aspects and document decision. Ifsignificant aspects and document decision. Ifdecide to communicate, must establish anddecide to communicate, must establish andimplement a method for this externalimplement a method for this externalcommunication.communication.

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    Documentation, and Control ofDocumentation, and Control of

    DocumentsDocuments

    Specifies documentation to be inSpecifies documentation to be inplace for EMS and how thatplace for EMS and how thatdocumentation will be handleddocumentation will be handled

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    4.4.4 Documentation4.4.4 Documentation

    EMS documentation must include:EMS documentation must include:

    Environmental policy, objectives and targetsEnvironmental policy, objectives and targets

    Description of EMS scopeDescription of EMS scope

    Description of main elements of EMS, theirDescription of main elements of EMS, theirinteraction and reference to related documentsinteraction and reference to related documents

    Documents and records required by ISO 14001Documents and records required by ISO 14001

    Documents and records necessary to ensureDocuments and records necessary to ensure

    effective planning, operation and control ofeffective planning, operation and control ofprocesses related to significant impactsprocesses related to significant impacts

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    4.4.5 Controlof Documents4.4.5 Contro

    lof Documents

    Must establish, implement and maintain a procedure toMust establish, implement and maintain a procedure to

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

    Review and update as necessary and reReview and update as necessary and re--approveapprove

    documentsdocuments Changes and current revision status of documents areChanges and current revision status of documents are

    identifiedidentified

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

    Documents remain legible and readily identifiableDocuments remain legible and readily identifiable

    Documents of external origin are identified andDocuments of external origin are identified andcontrolledcontrolled

    Prevent unintended use of obsolete documents, andPrevent unintended use of obsolete documents, andsuitably identifiedsuitably identified

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    Operational ControlOperational Control

    Plan and carry out processes toPlan and carry out processes toprevent and minimize impacts to theprevent and minimize impacts to theenvironmentenvironment

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    4.4.6 Operational Control4.4.6 Operational Control

    Must identify and plan operations associated withMust identify and plan operations associated withsignificant aspects so they are consistent with thesignificant aspects so they are consistent with theEnvironmental Policy, and Objectives and TargetsEnvironmental Policy, and Objectives and Targets

    Operational Controls are used to minimizeOperational Controls are used to minimize

    impacts to the environment and prevent pollutionimpacts to the environment and prevent pollution Must establish, implement and maintainMust establish, implement and maintain

    documented procedures to control situationsdocumented procedures to control situationswhere the lack of documented procedures couldwhere the lack of documented procedures couldlead to deviations from the Environmental Policy,lead to deviations from the Environmental Policy,

    and Objectives, and Targetsand Objectives, and Targets Procedures must have operating criteriaProcedures must have operating criteria

    Procedures and requirements must beProcedures and requirements must becommunicated to suppliers and contractorscommunicated to suppliers and contractors

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    Emergency Preparedness andEmergency Preparedness and

    ResponseResponse

    Procedures for identifying andProcedures for identifying andmanaging emergencies that can havemanaging emergencies that can haveenvironmental impactsenvironmental impacts

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    4.4.7 Emergency Preparedness4.4.7 Emergency Preparedness

    and Responseand Response

    Establish, implement and maintainEstablish, implement and maintainprocedure to identify potential emergencyprocedure to identify potential emergencysituations and accidentssituations and accidents

    Respond to actual emergency situationsRespond to actual emergency situationsand accidents, and prevent or mitigateand accidents, and prevent or mitigateadverse environmental impactsadverse environmental impacts

    Review and revise procedures, especiallyReview and revise procedures, especiallyafter an accident or emergency occursafter an accident or emergency occurs

    Periodically test proceduresPeriodically test procedures

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    Monitoring and MeasurementMonitoring and Measurement

    Formal process for trackingFormal process for trackingenvironmental performanceenvironmental performance

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    4.5.1 Monitoring and4.5.1 Monitoring and

    Measurement

    Measurement

    Must establish, implement and maintainMust establish, implement and maintainprocedure to monitor and measure keyprocedure to monitor and measure keycharacteristics of operations and activitiescharacteristics of operations and activities

    that could have significant impact on thethat could have significant impact on theenvironmentenvironment

    Procedure must include documentingProcedure must include documentinginformation to monitor performance,information to monitor performance,operational controls and conformance withoperational controls and conformance withthe Objectives and Targetsthe Objectives and Targets

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

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    Evaluation of ComplianceEvaluation of Compliance

    Systematic process for evaluatingSystematic process for evaluatingcompliance with applicablecompliance with applicableregulations and other requirementsregulations and other requirements

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    4.5.2 Evaluation of Compliance4.5.2 Evaluation of Compliance

    Establish, implement and maintain aEstablish, implement and maintain aprocedure for periodically evaluatingprocedure for periodically evaluatingcompliance with applicable legalcompliance with applicable legal

    requirements and keep records of therequirements and keep records of theevaluationevaluation

    Evaluate compliance with otherEvaluate compliance with otherrequirements and keep records of therequirements and keep records of theevaluationevaluation

    Can combine the two evaluations orCan combine the two evaluations orestablish a separate procedure for otherestablish a separate procedure for otherrequirementsrequirements

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    Nonconformity, Corrective Action andNonconformity, Corrective Action and

    Preventive ActionPreventive Action

    Systematic approach to identifyingSystematic approach to identifyingproblems and fixing them in aproblems and fixing them in amanner so they will not occur againmanner so they will not occur again

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    Nonconformity, Corrective Action andNonconformity, Corrective Action and

    Preventive Action DefinitionsPreventive Action Definitions

    NonconformityNonconformity -- nonnon--fulfilment of afulfilment of arequirementrequirement

    Corrective actionCorrective action -- action toaction toeliminate the cause of a detectedeliminate the cause of a detectednonconformitynonconformity

    Preventive actionPreventive action -- action toaction toeliminate the cause of a potentialeliminate the cause of a potentialnonconformitynonconformity

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    4.5.34.5.3 Nonconformity, CorrectiveNonconformity, Corrective

    Action and Preventive ActionAction and Preventive Action

    Must establish, implement and maintain a procedure for dealingMust establish, implement and maintain a procedure for dealingwith actual and potential nonconformities, and taking correctivewith actual and potential nonconformities, and taking correctiveand preventive actionand preventive action

    Procedure must define requirements for:Procedure must define requirements for:

    Identifying and correcting nonconformities and take action toIdentifying and correcting nonconformities and take action tomitigate impactsmitigate impacts

    Investigating nonconformities, determining cause(s) andInvestigating nonconformities, determining cause(s) andtaking action to avoid recurrencetaking action to avoid recurrence

    Evaluating need for action to prevent nonconformities, andEvaluating need for action to prevent nonconformities, andimplement appropriate actionsimplement appropriate actions

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

    Reviewing the effectiveness of corrective and preventiveReviewing the effectiveness of corrective and preventiveactionsactions

    Corrective or preventive action must be appropriate to magnitude ofCorrective or preventive action must be appropriate to magnitude ofproblem and environmental impactproblem and environmental impact

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

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    Control of RecordsControl of Records

    Specifies records to be in place forSpecifies records to be in place forEMS and how the records will beEMS and how the records will behandledhandled

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    4.5.4 Control of Records4.5.4 Control of Records

    Establish and maintain records toEstablish and maintain records todemonstrate conformance to your EMSdemonstrate conformance to your EMSand ISO 14001and ISO 14001

    Establish, implement and maintain aEstablish, implement and maintain aprocedure for identification, storage,procedure for identification, storage,protection, retrieval, retention andprotection, retrieval, retention anddisposal of recordsdisposal of records

    Records must be legible, identifiable andRecords must be legible, identifiable andtraceabletraceable

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    Internal AuditInternal Audit

    Conduct checks (EMS audits) toConduct checks (EMS audits) todetermine if EMS is working properlydetermine if EMS is working properly

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    4.5.5 Internal Audit4.5.5 Internal Audit

    Ensure internal audits of your EMS are conducted at plannedEnsure internal audits of your EMS are conducted at plannedintervals tointervals to Determine whether your EMSDetermine whether your EMS

    Conforms to ISO 14001 StandardConforms to ISO 14001 Standard

    Has been properly implemented and maintainedHas been properly implemented and maintained

    Provide audit results to managementProvide audit results to management

    Audit program shall be established, implemented and maintained,Audit program shall be established, implemented and maintained,and take into account environmental importance of the operationand take into account environmental importance of the operationand results of previous auditsand results of previous audits

    Audit procedures shall be established, implemented andAudit procedures shall be established, implemented and

    maintained that addressmaintained that address

    Responsibilities and requirements for planning and conductingResponsibilities and requirements for planning and conductingaudits, reporting results and retaining recordsaudits, reporting results and retaining records

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

    Auditors must be objective and impartialAuditors must be objective and impartial

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    Management ReviewManagement Review

    Top management receives andTop management receives andreviews information about the EMS,reviews information about the EMS,and recommends changes forand recommends changes forimprovementimprovement

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    4.6 Management Review4.6 Management Review

    Top Management shall review your EMSTop Management shall review your EMS

    Purpose of meetings is to ensure the continuingPurpose of meetings is to ensure the continuingsuitability, adequacy and effectiveness of EMSsuitability, adequacy and effectiveness of EMS

    Need to assess opportunities for improvementNeed to assess opportunities for improvementand need for changes to EMS, environmentaland need for changes to EMS, environmentalpolicy and objectives and targetspolicy and objectives and targets

    Review must be documented and recordsReview must be documented and recordsretainedretained

    ISO 14001 outlines requirements for inputs andISO 14001 outlines requirements for inputs andoutputs to management reviewoutputs to management review