ISO 14000 Understanding, Documenting and Implementing Slides R8.02.05

Understanding and Implementing ISO 14000

Environmental Management Systems (EMS)

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Course Objectives

• Understanding of ISO 14000 Requirements• Process and Practice in Implementing

ISO 14000• Deliverables from each participant:

1. Pass the training Exam

2. Trained at least one batch to Next Level.

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Contents

• Chapter 1 - Introduction to ISO 14000• Chapter 2 - Formulate EMS Strategy

– Breakout One - Defining EMS Scope• Chapter 3 - Define Environmental Policy

– Breakout Two - Drafting an Environmental Policy• Chapter 4 - Identifying Significant Environmental Aspects

– Breakout Three - Identifying Environmental Aspects and Impacts– Breakout Four - Conducting an Environmental FMEA

• Chapter 5 - Establishing Objectives, Targets and Programs– Breakout Five - Defining Objectives, Targets and Programs

• Chapter 6 - Defining Organization, Training and Communication

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Contents Continued

• Chapter 7 – EMS Documentation– Breakout Six - Defining Documentation Requirements– Breakout Seven - Combining ISO 9001 and ISO 14000

Documentation• Chapter 8 - Establishing Operational Controls

– Breakout Eight - Developing a Control Plan– Breakout Nine - Documenting Operational Control Procedures

• Chapter 9 - Measurement, Monitoring and Improvement– Breakout Ten - Taking Corrective Action

• Chapter 10 - Conducting Management Reviews– Breakout Eleven - Conducting Management Reviews

• Appendix A: Market Analysis• Appendix B: U.S. Government Regulations

Chapter 1Introduction to ISO 14000

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What is an Environmental Management System?

“Part of an organization’s management system used to develop and implement its environmental policy and manage its environmental aspects.”– (ISO 14001:2004)

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Stakeholders

ISO 14001-EMS• Customer• Stockholder• Regulatory

Agencies• Employees• Community

ISO/QMS• Customer

ISO/TS 16949• Customer• Stockholder• Regulatory

Agencies• Employees

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ISO 14000 Background

• International Organization for Standardization– Established in 1946– Based in Geneva

• Over 12,000 published standards• Published

– ISO 9000 standards in 1980s– ISO 14000 standards in 1990s

• ISO work carried out by 125 technical committees• ISO/TC 207 formed in 1993

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Conformance Verification Levels

• Third party certification - registrar• Second party assessment - customer evaluation• Self declaration - self assessment

• All plants of Apollo Tyres are certified by TUV Sud (Third party) The Certification agency TUV Sud of Apollo Tyres is known for its high standards and effective audits. By virtue of this major MNC such as FORD, General Motors, Mercedes India, Hyundai, Honda Motors etc. are certified by TUV Sud only.

• Audit done by customer such as Ford recently is a second party assessment

• Internal audit is self assessment

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Third Party Registration

EMS Technical Committee

National Accreditation Bodies (IAF for Apollo Tyres : German Association)

Registrars (TUV Sud for Apollo Tyres)

Companies

ANSI/RABUSA

UKASUK

AQSRBSI

Company B

ISO/TC 207

Company A

SCCCanada

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Benefits Include

• Enhance image and market share• Improve cost control• Conserve input materials, water and energy• Facilitate permits and authorizations• Improve industry-government relations• Possible marketing advantage• Conformity to international standards• In Apollo Tyres after ISO 14001 certification : Plant

Environment standard increased substantially including capturing of environment risk situations in more comprehensive manner with better analysis.

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Potential Concerns

• Effect on how we do business (prescriptive)• Inflexibility caused by interpretations• Regulatory bodies may use for performance

enforcement• Regulatory bodies may use to determine criminal

penalties• May be used to create trade protection barriers

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ISO 14000/9000 Similarities

• Not a performance standard• System for setting and maintaining process control

parameters• Provides common sense guidelines• Standardize EMS programs• Well-defined personnel responsibilities• Many similar requirements• EMS may integrate into QMS-50%-60%• In Apollo Tyres QMS, EMS , OHSAS common manual,

common procedures and other documents. Almost 60% documents are common.

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ISO 14000 Standards

• ISO 14001 EMS Specifications (Published 2004)

• ISO 14004 EMS Guidelines on Principles, Systems and Supporting Techniques(Published 2004)

• ISO 14002 EMS Guide on ISO 14001 for Small and Medium Sized Industries (Project Team Assessment)

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Environmental Compliance vs. EMS Conformity

• ISO 14001:2004:– “…commitment to comply with applicable legal

requirements…”– “…procedure to identify and have access to legal

and other requirements…”– “…When establishing…its objectives…take into

account the legal and other requirements…”– “…procedure for periodically evaluating compliance

with applicable legal requirements…”

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14000 Requires:14000 Requires:– “…commitment to comply with relevant environmental

legislation and regulations…”– “procedure to identify and have access to legal and other

requirements…”– “...consider the legal and other requirements in objectives and

targets”– “…procedure for periodically evaluating compliance with

environmental legislation and regulations– Framework for improving and maintaining compliance – Systematically detect and correct nonconformances that can

lead to violations– Responsibility, resources, communication, planning, review,

checking, etc.

Environmental Compliance vs. EMS Conformity

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ISO 14001 and OSHA

• OSHA standards deal with occupational safety and health

• ISO 14001 deals with the environmental policies and impact

• OSHA regulations and EMS management standards are currently not related

• No current plans for ISO Safety Health Standard (were rejected)

• Employee Environment?

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ISO 14001 - Intent

• Demonstrate sound environmental performance by controlling the impact of activities, products and services

• Conduct reviews and audits within a structured management system

• Integrate reviews and audits with overall management activities• Provide elements of an effective EMS• Specify requirements applicable to all types and sizes of

organizations• Accommodate diverse geographical, cultural, and social conditions

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ISO 14001 - Intent

• Enable organizations to achieve conformance and demonstrate such conformance to others

• Support environmental protection• Prevent pollution in balance with socioeconomic needs• Assure interested parties that one appropriate EMS is

in place

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ISO 14001 - Intent

• ISO 14000 does not require 100% compliance with Governmental Environmental Regulations

• ISO 14000 does not include aspects of occupational health and safety management

• Shares common management system principles with ISO 9000

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Policy and

Goals

Policy and

Goals

PlanningPlanning

Checking and

CorrectiveAction

Checking and

CorrectiveAction

OperationOperationManagementReview

ManagementReview

ProcessImplementation

ProcessImplementation


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PolicyPolicyPolicyPolicy

PlanPlanActAct

DoDoCheckCheck

Continual Continual improvementimprovement

• Env. aspects

• Legal & Other requirements

• Objectives & Env.

programme(s)

•Planning

• Structure & responsibility

• Training, • Communication • EMS documentation

• Document & data control • Operational control • Emergency preparedness & response

•Implementationand Operation

• Monitoring and measurement• Evaluate Compliance

• Non-conformance corrective and preventive action

• Records

• Auditing

•Checking and Corrective

Action

• Management review

•Management Review


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ISO 14001 Scope

• Specifies Requirements– Enable an organization to formulate policy and

objectives, taking into account...• Legislative requirements• Significant environmental impacts• Applies to environmental aspects which the

organization can control and be expected to have an influence

• Does not state specific environmental performance criteria

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ISO 14001 Scope

• ISO 14001 applies to any organization that wishes to:– Implement, maintain, and improve an EMS– Assure itself of conformance with its stated

environmental policy– Demonstrate such conformance to other parties– Seek registration of its EMS by an external

organization– Make a self-determination and self-declaration of

conformance with ISO 14001

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ISO 14001 Scope

• The extent (and execution) of the application will depend on the:– Organization’s environmental policy– Nature of the organization’s activities– Operational conditions

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What is the “environment”?– Surroundings in which an organization operates,

including:• Air

• Water

• Land

• Natural resources

• Flora

• Fauna

• Humans

ISO 14001: Key EMS Definitions

…AND THEIR INTERACTION.

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ISO 14001: EMS Definitions

Environmental Aspect:

– “Element of an organization’s activities, products, or services that can interact with the environment.”

ISO 14001 requires you to know your aspects and rate their significance.

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Environmental Impact: – “Any change to the environment, whether

adverse or beneficial, wholly or partially resulting from an organization’s environmental aspects.”

ISO 14001 requires you to identify actual and potential impacts.

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Aspect = Cause = chrome waste disposal/ Disposal of sludge

Impact = Effect = soil or waste water contamination / Land contamination

Activity = chrome plating / ETP sludge removal

ISO 14001: Aspects and Impacts

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Aspect = Cause = recycle defective wheels / Disposal of rejected Tyre

Impact = Effect = remove from landfill / Land Contamination

Product = aluminum wheels / Tyre


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Aspect = Cause = solvent (hazardous) waste disposal / Excess use of Naptha

Impact = Effect = soil and water contamination / Resource conservation

Service = solvent supply for tool cleaning / Naphtha supply for Tyre Curing and other process


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• What is the “environmental policy”?– “Overall intentions and direction of an organization

related to its environmental performance as formally expressed by top management.

• The environmental policy provides a framework for action and for the setting of environmental objectives and environmental targets.”

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Environmental Objective:– “Overall environmental goal, consistent with the

environmental policy, that an organization sets itself to achieve.”

Environmental Target:– “Detailed performance requirement, applicable to the

organization or parts thereof, that arises from the environmental objectives and that needs to be set and met in order to achieve those objectives.” e.g. Zero discharge of effluent outside the premises, Energy saving by 2% in Year of 2011, Ensure 100% legal compliance etc.

ISO 14001 Definitions

Environmental objectives of various Apollo Tyres Units are different from Unit to Unit because Env. Risks are different in all Units.

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PlanDo

CheckAct

Element TitlePlan 4.2 Environmental Policy

4.3.1 Environmental Aspects4.3.2 Legal and Other Requirements4.3.3 Objectives, Targets and Programs

Do 4.4.1Resources, Roles, Responsibilities and Authority

4.4.2 Competence, Training and Awareness4.4.3 Communication4.4.4 Documentation4.4.5 Control of Documents4.4.6 Operational Control4.4.7 Emergency Preparedness and Response

Check 4.5.1 Monitoring and Measurement4.5.2 Evaluation of Compliance

4.5.3Nonconformity, Corrective Action and Preventive Action

4.5.4 Control of Records4.5.5 Internal Audit

Act 4.6 Management Review

Introduction to ISO 14001 Standard

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Implementing ISO 14000

Formulate EMSStrategy

Formulate EMSStrategy

DefineEnvironmental

Policy

DefineEnvironmental

Policy

Identify SignificantEnvironmental

Aspects

Identify SignificantEnvironmental

Aspects

EstablishObjectives, Targets

& Programs

EstablishObjectives, Targets

& Programs

Define Organization,Training &

Communications

Define Organization,Training &

Communications

Document EMSDocument EMS

EstablishOperational Controls

EstablishOperational Controls

Step 1

Step 2

Step 3

Step 4

Step 5

Step 6

Step 7

Initiate Monitoring,Measurement &Improvement

Initiate Monitoring,Measurement &

Improvement

ConductManagement Review

ConductManagement Review

Step 8

Step 9

4.1

4.2

4.3.1

4.4.1-4.4.3

4.4.4-4.4.5

4.3.2-4.3.4

4.4.6

4.5.1-4.5.5

4.5.6

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Best-in-Class Systems

• Minimize effort when performing• Simple to implement• Easy to maintain• Provide high performance with value added

Chapter 2Formulate EMS Strategy

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4.1 EMS Requirement

Intent

– That the organization has:• Environmental Management System (EMS)• Shows effective implementation of the system

Requirements

– Establish, document, implement, maintain and continually improve an environmental management system meeting the requirements of this International Standard

– Determine how to fulfill requirements– Define and document the scope of the system

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4.1 EMS Requirement - Guidance

• Ensure Top Management commitment– Vital for EMS success vs. failure– Support company environmental responsibilities– Take responsibility for EMS implementation– May not be delegated– Must play active and visible role– Examples:

• Active participation• Define and implement key policies• Allocate resources• Review and approve processes• Apply influence and support• Maintain EMS as priority

COMMITMENT MUST BE MAINTAINED!

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• Form an EMS Steering committee– Multidisciplinary– Representation from various levels of management and

business groups– Appropriate expertise– Knowledge of operations – Proficiency in auditing techniques– Review products and services– Look for potential benefits– Secure top management commitment and leadership– Analyze opportunities to structure a process for continual

improvement– Flexibility to define system parameters

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• Conduct an initial environmental review considering:– Identification of environmental aspects– Identification of legal and other environmental

requirements– Examination of existing environmental practices and

procedures– Evaluate previous environmental emergencies and

accidents

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• Define scope of EMS:– Products and services?– Facilities or parts of facilities?

• Define EMS documentation structure: – Type of documentation– Media– Joint with QMS?

• Develop EMS implementation plan:– Timeline– Responsibilities– Resources

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EMS Checklist

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• Breakout One - Defining EMS Scope– Please refer to your Breakout Book

BreakoutActivity

Scope for Apollo Tyres : "Design and Manufacturing of Tyres"

Chapter 3 Define Environmental Policy

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4.2 Environmental Policy

Intent– Organization has an environmental policy defined by top management

Requirements– Top management defines the environmental policy– Top management ensures that, within the defined scope of the EMS,

it:• Is appropriate• Includes a commitment to continually improve and prevent

pollution• Includes a commitment to comply with applicable legal

requirements and with other requirements• Provides the framework for objectives and targets• Is documented, implemented and maintained• Is communicated to all workers• Is available to the public

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4.2 Environmental Policy - Guidance

• After reviewing the results of an initial environmental review, an EMS Policy should be written. It should reflect top management’s commitment. It should provide real direction. The best practice is for the policy to be written by a team led by top management. A record of any meeting should be maintained.

• The EMS Policy should be communicated to all persons working for or contracted by the organization. Records of the communication methods should be maintained.

• The EMS Policy should be reviewed and updated periodically as necessary. Records of any meetings should be maintained.

• Identify means of making policy available to the public.

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• EMS Policy - Considerations– Built on organizational mission and objectives, vision, values

and beliefs– What is business focus?– Incorporate vision, core values, beliefs, and ethical positions– Account for organization’s cultural, local and regional

conditions– Consider organizational image, guiding principles and other

organizational policies– Consider interested party views– Commit to continual improvement, prevention of pollution, and

regulatory compliance– Local and regional conditions

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• Potential Issues– Minimize significant environmental impacts of

existing processes and new developments– Environmental performance evaluation and

indicators– Life-cycle thinking– Product design to minimize environmental impacts in

production use and disposal– Prevent pollution, reduce waste and resource

consumption– Recover and recycle to minimize disposal

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• Potential Issues– Provide education and training– Communicate with other

organizations and interested parties– Encourage use of EMS by

subcontractors– Sustainable development– Defined by top management?– Continual improvement

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EMS Requirement 4.2 - Guidance

Policy RequirementsISO

14001ISO9001

QS-9000

1. Top executive responsibility X X X

2. Ensure policy is implemented, communicated,and understood by organization

X X X

3. Appropriate to nature, scale, and environmentalimpact of activities products and services

X N/A N/A

4. Commitment to continual improvement X X X

5. Commitment to prevention of pollution X N/A N/A

6. Compliance to legislative and otherrequirements

X N/A 4.9

7. Set and review environmental objectives andtargets

X X X

8. Policy documented, implemented andmaintained and communicated to employees

X X X

9. Available to the public… X N/A N/A

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• Breakout Two - Drafting an Environmental Policy– Please refer to your Breakout Book

BreakoutActivity

IMS Policy Apollo Tyres: “We, at Apollo Tyres, will ensure that all our manufacturing and associated functions use a fact-based approach to continually improve systems and processes, which create excellence in product and service quality, minimizes environmental impact, safeguards employee health and safety, and strives to exceed requirements and expectations of our

customers, business partners and statutory authorities.”

Chapter 4Identifying Significant

Environmental Aspects

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4.3 Planning

• Environmental planning consists of identifying environmental aspects of the organization’s activities, products or services and their impacts, legal and other requirements to which it subscribes, setting objectives and targets, and developing environmental management programs to fulfill these objectives

• Clause 4.3 is therefore divided into three sub-clauses:– 4.3.1 - Environmental Aspects– 4.3.2 - Legal and other requirements– 4.3.3 – Objectives, Targets and Programs

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Ground WaterGround Water

Surface WaterSurface Water

Flora/FaunaFlora/Fauna

AirAirHumansHumans

LandLand

Natural ResourceNatural Resource

Identify Scope of Environmental Planning

• Plant• Departments• Processes (activity/service)

that have environmental aspects

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4.3.1 Environmental Aspects

Intent

– To provide a process for an organization to identify environmental aspects of the organization’s activities, products or services, and their actual or potential impact on the environment

– The organization should consider all environmental aspects as a basis for establishing its EMS

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4.3.1 Environmental Aspects

Requirements– Establish and maintain a procedure(s):

• To identify the environmental aspects of its activities, products and services within the defined scope of the EMS and taking into consideration new developments, products, etc.

• To determine those aspects that have or can have significant impact(s) on the environment

– Document significant aspects and keep it up-to-date– Ensure that the significant environmental aspects

are taken into account when establishing the EMS

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4.3.1 Environmental Aspects – GuidanceIdentifying Environmental Aspects

Inputs

•Raw and auxiliary materials

•Hazardous materials

•Water

•Energy

Processes

AnalysisLevels:

I. Company

II. Department

III. Process

Outputs

•PRODUCT

•Air emissions

•Solid waste

•Ground pollution

•Hazardous waste

•Other emissions (noise, heat)

•Waste water

What enters the process?

What comes out as product?

What are the production and cleaning processes?

Are there environmental or occupational problems?

Are oil or chemical substance stored underground risking soil contamination?

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4.3.1 Environmental Aspects - Guidance

• Establish a process for identifying and evaluating environmental aspects. This should include the activity, product or service involved; aspect; impact; severity and current controls. When evaluating aspects, employ an objective method of establishing severity of the impact of aspects

• Consider all types of aspects including:– Emissions to air– Emissions to water– Releases on land– Use of raw materials and natural resources– Use of energy– Energy emitted– Waste– Physical attributes (size, shape, etc.)

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4.3.1 Environmental Aspects - Guidance

• Consider aspects that the organization can influence• Consider all of the organization’s activities, products

and services• Identify measurements appropriate to each significant

aspect that can be used to set objectives• Identify the activities, processes or products that need

to be controlled to control and minimize the impact of the significant aspects

• The process should be conducted in a practical manner. It is not anticipated that the process will require life cycle analysis.

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4.3.1 Environmental Aspects - Guidance EMS Impact Evaluation

• Evaluation should include:– Projects, processes,

products, services– Supplier chain and raw

materials– Other resources: e.g.,

water, energy– Disposal chain and

customers– Stakeholders

• Evaluate on:– Direct and indirect impacts– Positive and negative

impacts– Possible, normal and

abnormal energy impacts

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4.3.1 Environmental Aspects - Guidance EMS Impact Evaluation

• Methods may vary– Risk assessment– Regulatory compliance– FMEA– Conformity with organizational standards– Best industry practice (benchmarking)

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Identifying Significant Environmental Aspects

EMS Failure Mode and Effects Analysis

FMEA Number: Key Contact/Phone: Location/Department::

Core Team: Key Date: Date (Original): Date (Revised):

Activity,Product

orService

Inputs Outputs Aspects(Cause)

Impacts(Air, Water, Solid

Waste, RegulatoryExposure)

(Effect)

SEV RCCPotential Cause

of Impact OCCCurrent

EnvironmentalControls

DET RPNRecommended

ActionsResponsibility

&Completion Date

ActionsTaken SEV OCC DET RPN




Activity,Product

orService




(Effect)


of Impact OCCCurrent

EnvironmentalControls

DET RPNRecommended

ActionsResponsibility

&Completion Date


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Identifying Aspects and Impacts

Objectives– Methodically review activities, products, and services

to identify environmental aspects and impacts.

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Activity,Product

orService




(Effect)




Activity,Product

orService




(Effect)

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• Activity, Product or Service– Select the activity, product or service being analyzed for

particular environmental aspects.

• Examples: painting, aluminum foundry, recycling, etc.– Aluminum Melting– Die Casting of Aluminum Parts– Publishing of Printed Materials– Vehicle Maintenance and Repair– Chemical Storage Warehouse– Underground fuel storage

– This can be at company, department or process levels, as appropriate.

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• Inputs– What enters the activity, product or service (process)

being analyzed?• Raw and auxiliary materials• Hazardous materials• Water• Energy

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• Outputs– What exits from the activity, product or service

• Products• Bi-products• Waste• Heat/Cold• Fumes

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• Aspects– Based on the inputs and outputs, historical data, legal and

other requirements,or other relevant information, identify the elements of the activity, product or service that can have a beneficial or adverse impact on the environment.

– Consider issues such as: products and by-products of the process/activity, production and cleaning process, potential environmental or occupational problems, underground storage of materials, etc.

– Consider both normal and abnormal operating conditions or situations

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• Examples of Aspects:– Hazardous waste disposal– Potential for spillage of solvents– Recycling of defective aluminum parts– VOC emissions– Potential for underground tank leaks

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• Impacts– Review aspects– Determine positive and negative impacts on

environment• Examples

– Water or soil contamination– Air pollution

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Completed FMEA Form




Activity,

Product or

Service

Inputs Outputs Aspects Impacts(Air, Water, Solid



of ImpactOCC

CurrentEnvironmental

ControlsDET RPN

RecommendedActions

Responsibility

&Comple

tionDate


Melt Al Ore Fumes

Al Ingot

Waste Oil

Oily RagsFilings

MacinedParts

AirEmissions

SOXNOXTSPCo2

TSPContaminate

sStorm Water

4 R Lack ofOperationalControls

25NONE Create Op.

ControlTeam

EMR12/01/00

MachineCastedParts

Oil Spill

SolidWaste

Storm DrainPollution

Solid Waste

3No properContainment.

Lack of SpillControlEquipment

2 Watersampling

5 BuildContainmentarea aroundmachines.

PurchaseEquipment &TrainPersonnel

40

30EMR12/15/00Cast

Parts,Coolant,Soap, Oil,

Grease

R

R




Activity,

Product or

Service

Inputs Outputs Aspects Impacts(Air, Water, Solid



of ImpactOCC

CurrentEnvironmental

ControlsDET RPN

RecommendedActions

Responsibility

&Comple

tionDate


Melt Al Ore Fumes

Al Ingot

Waste Oil

Oily RagsFilings

MacinedParts

AirEmissions

SOXNOXTSPCo2

TSPContaminate

sStorm Water

4 R Lack ofOperationalControls

25NONE Create Op.

ControlTeam

EMR12/01/00

MachineCastedParts

Oil Spill

SolidWaste

Storm DrainPollution

Solid Waste

3No properContainment.

Lack of SpillControlEquipment

2 Watersampling

5 BuildContainmentarea aroundmachines.

PurchaseEquipment &TrainPersonnel

40

30EMR12/15/00Cast

Parts,Coolant,Soap, Oil,

Grease

R

R

Microsoft Excel Worksheet


Chapter 5Establishing Objectives, Targets and

Programs

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4.3.2 Legal and Other Requirements

Intent– To provide a mechanism for identifying and maintaining a list of

relevant regulatory and other requirements that apply to the environmental aspects of the organization’s operations, products, and activities - this will ensure that the organization can meet the commitment in the policy

Requirements– Establish and maintain a procedure(s):

• To identify and have access to the applicable legal requirements and other requirements

• To determine how these requirements apply– Ensure that these applicable legal requirements and other

requirements are taken into account in establishing the EMS

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Federal Environmental Statutes

• Pollution Prevention Act• National Environmental Policy

Act• Clean Air Act• Clean Water Act• Ocean Dumping Act• Oil Pollution Act• Safe Drinking Water Act• Federal Insecticide, Fungicide

and Rodenticide Act

• Resource Conservation and Recovery Act/Solid Waste Disposal Act

• Toxic Substances Control Act• Occupational Safety and

Health Act• Comprehensive

Environmental Response, Compensation and Liability Act

• Emergency Planning and Right-To-Know Act

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4.3.2 Legal and Other Requirements - Guidance

• Legal requirements include national, state and local laws and regulations. If there is not staff familiar with these matters, look to an outside expert, industry association or service for the information. The requirement is to have access.

• Other requirements can mean many things including:– Agreements with public authorities, customers,

community groups– Non-regulatory guidelines– Voluntary principles or guidelines– Requirements of the company, trade associations or

the public

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• Issues:– How does the organization access and identify

relevant legal and other requirements?– How does the organization keep track of legal and

other requirements?– What about changes?– How does the organization communicate relevant

information on legal and other requirements to employees?

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• Types:– Those specific to an activity– General environmental laws, licenses, and permits– Agreements with public authorities (POTW’s)– Industry-specific regulations– Regulations specific to an organization’s products or

services– Chambers of commerce– Industry associations

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• Sources:– Local, state, and federal government– Industry associations or groups– Commercial databases– Professional services

• Where?– On-line– CD databases– Newsletters and specialty publications– Federal Register– Lawyers and Consultants– Seminars

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• Considerations:– Manual of regulations not required– Keep at least one set of applicable regulations– Ensure compliance and keep abreast of changes

and amendments– Incorporate the procedure with other business

practices so that environmental regulations and concerns are central business concerns

09 File

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4.3.3 Objectives, Targets and Programs

Intent– To establish and maintain documented objectives and targets,

taking into consideration significant aspects, legal and other requirements to improve the EMS or environmental performance, technological options, financial, operational and business requirements, and views of interested parties

• The organization will set environmental goals (objectives) with associated performance requirements (targets) that are based on the environmental policy

– To establish a means for the organization to achieve its objectives and targets

• This is considered a key element to successful implementation of an EMS, defining how the objectives and targets will be achieved, including time-frames and responsibilities

– Programs must, where applicable, be modified to reflect new or changed activities or products

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4.3.3 Objectives, Targets and Programs

Requirements– Establish environmental objectives and targets at relevant

functions and levels within the organization that are:• Measurable, where practicable• Consistent with the environmental policy

– Take into account the legal requirements and other requirements to which the organization subscribes, and its significant environmental aspects

– Consider technological options, financial, operational and business requirements, and the views of interested parties

– Establish a program for achieving its objectives and targets including:

• Designation of responsibility at relevant functions and level of the organization

• Means and time-frame

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4.3.3 Objectives, Targets and Programs - Guidance

• Define objectives and targets in terms of the measurements identified during the analysis of significant environmental aspects. Levels and timing should be identified. Consideration should be given to short and long term issues.

• Programs should be identified for each objective. Programs should be defined and managed, employing project management tools including timelines, responsibilities and resources required. They should consider improvements involving activities, processes, products and services. The full life cycle of each should be considered.

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• What is an Environmental Objective?– “Overall environmental goal, consistent with the

environmental policy, that an organization sets itself to achieve”

• What is an Environmental Target?– “Detailed performance requirement, applicable to the

organization or parts thereof, that arises from the environmental objectives and that needs to be set and met in order to achieve those objectives.”

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• Development:– Use Environmental Policy as guide for objectives– Translate policy into specific and measurable terms– Measure objectives with targets– Targets should reflect time requirements and be

numerical– Incorporate into strategic business plan

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Relationships Examples:


Policy: Reduce solid waste

Objective: Recycle more aluminum scrap

Target: Increase aluminum scrap recycling by 10% by 5/2005

Policy: Reduce air emissions

Objective: Reduce VOC emissions

Target: Install and operate new pain sprayers to reduce VOC’s by 50% by 12/2006

© Omnex, Inc. 87

• Breakout Five - Defining Objectives, Targets and Programs– Please refer to your Breakout Book

BreakoutActivity

Chapter 6Defining Organization, Training and

Communication

© Omnex, Inc. 89

4.4.1 Resources, Roles, Responsibility and Authority

Intent– The organization must define and document the

roles and responsibilities required to facilitate effective environmental management

– The organization must provide the resources needed to develop, implement, and maintain the EMS

– The organization must appoint an Environmental Management representative

© Omnex, Inc. 90

4.4.1 Resources, Roles, Responsibility and Authority

Requirements– Management must ensure the availability of resources for the

EMS including:• Human resources and specialized skills• Organizational infrastructure• Technology• Financial resources

– Define, document and communicate roles, responsibilities and authorities

– Top management must appoint a specific management representative(s) with responsibility for:

• Ensuring that an EMS is established, implemented and maintained in accordance with the requirements of this International Standard

• Reporting to top management on the performance of the EMS, including recommendation for improvement

© Omnex, Inc. 91

4.4.1 Resources, Roles, Responsibility and Authority - Guidance

• Develop an implementation plan for the EMS that includes identification of all resources required for its effective implementation and operation. Make sure that there is a record of approval of the plan by top management

• Identify all jobs with roles and responsibilities associated with the EMS. This should not be confined to the environmental management positions only, but should include all jobs with any impact on the EMS. Then develop an organization chart.

• Define all objectives, responsibilities and authorities, skills and education required for each job and record this information on job descriptions.

• Assign an EMS Management Representative and ensure that he/she receives appropriate training for this role.

© Omnex, Inc. 92


• Personnel Issues:– Define and document organizational structure of EMS– Identify employees whose work functions impact, or potentially

impact, the environment• All employees responsible for environmental performance;

delegate authority• Create understanding for authority• Organizational charts(outline technical and functional

interfaces)• Clarify job function, boundaries of authority, and

responsibility• Identify communication lines• Detail depends on environmental impact

© Omnex, Inc. 93


• The Management Representative: – Responsible for the EMS implementation, maintenance, and

improvement– Report to CEO and upper management– Team approach for larger organization– Attributes:

• Project management• Good facilitator and communicator• Information systems• Analytical• Research• Auditing

© Omnex, Inc. 94


• The Management Representative:– Understand organization’s purpose, structure and

flow– Create company-wide involvement– Requires knowledge of organization’s

environmental issues– Authority to establish, implement, maintain and

enforce the Standard

© Omnex, Inc. 95


• Resource Issues:

– Define appropriate resources and make them available

– Human - skills, numbers

– Physical - plant, facilities, equipment

– Financial - $$$

– Assess benefits and costs of EMP’s

• Costs of pollution control• Wasted and recovered

resources• Disposal costs

© Omnex, Inc. 96

4.4.2 Competence, Training and Awareness

Intent

– To provide the required training, skills and competence for the fulfillment of the environmental objectives and targets, and to ensure effective environmental management, at all levels of the organization

© Omnex, Inc. 97

4.4.2 Competence, Training and Awareness

Requirements– Ensure that personnel are competent on the basis of appropriate

education, training or experience and retain associated records– Identify training needs– Provide training or take other action to meet these needs, and retain

associated records– Establish a procedure to make personnel aware of:

• Importance of conformity with the environmental policy and procedures and with the requirements of the environmental management system

• Significant environmental aspects and impacts associated with their work, and the environmental benefits of improved personal performance

• Roles and responsibilities in achieving conformity with the requirements of the environmental management system

• Potential consequences of departure from specified procedures

© Omnex, Inc. 98

4.4.2 Competence, Training and Awareness - Guidance

• Ensure that the entire organization receives appropriate orientation on the organization’s EMS. This should include an explanation of the environmental policy, objectives and targets, roles and responsibilities, and the workings of the EMS.

• Ensure that suppliers and contractors know their roles and responsibilities for the EMS

• Develop a training matrix listing all of the training required for each job. Use the matrix to identify appropriate training programs. Deliver the training and keep a record of attendance. It is important to strive to see that all personnel received the required training.

© Omnex, Inc. 99


• 14000 requires participation of all employees• Create employee awareness for more effective

involvement• Present purpose and consequences of required tasks• The importance of achieving and maintaining

registration• Management must commit to training• Understanding and awareness of objectives and targets• Continual improvement

© Omnex, Inc. 100


• Issues:– Top management must establish, reinforce, and

communicate organizational commitment to the environmental policy

– Employees must understand, accept, and share the organization’s environmental values

– Shared environmental values should motivate environmentally responsible action

– Recognize employee achievement– Identify job responsibilities that link to significant

environmental impacts

© Omnex, Inc. 101


• Developing an EMS Training Program:– Appropriate awareness for all employees - policy,

organizational importance of an EMS, environmental aspects and impacts, objectives and targets, roles and responsibilities

– Employees whose work has, or potentially has, an environmental impact:

• Link personnel to environmental impacts of activities, products, and services

• Consider management through operational personnel• Involve personnel associated with achieving and

maintaining EMS objectives, targets and goals• Consider all departments• Determine type of training required

© Omnex, Inc. 102


• Developing an EMS Training Program:– EMS Training Program Elements

• Conformance with environmental policy• Conformance with objectives• Conformance with operational control procedures• Interested party concerns• Environmental effects of work activities• Individual roles and responsibilities for conformance and

achieving targets• Potential consequences of not following procedure• Set training dates as necessary

© Omnex, Inc. 103


• Potential Training Means:– Establish formal qualifications of personnel

performing operations related to significant environmental impacts, based on:

• Formal education• Past work experience• Courses• Seminars• Grandfathering• Supervised on-the-job

Retain Training Records!

© Omnex, Inc. 104


Sample EMS Training Matrix

Employees 1 2 3 4 5All employeesChemical handlersEngineersCFT MembersMaintenanceHazardous waste handlersEnvironmental StaffCleaning roomClass hours required

2 1 8 20 1

Class 3 = Hazardous Waste Handling / Management

means class is required and not yet taken.means class requirement has been fulfilled.

Class 1 = Chemical Handling

Class Number

Class 5 = ISO 14000 AwarenessClass 6 = WastewaterTreatment

Class 2 = Hazard Communication

Class 4 = Emergency Response

© Omnex, Inc. 105


• Other Types of Training– Job Specific– HAZMAT– Wastewater Treatment– Supervisor Environmental and Health Training

© Omnex, Inc. 106

4.4.3 Communication

Intent– To provide a structure for managing internal communications

between the various levels of the organization and external communication with interested external parties

Requirements– Establish procedures for:

• Internal communication• Receiving, documenting, and responding to relevant

communication from external interested parties– Decide whether to communicate externally about its significant

environmental aspects, and document this decision. If the decision is to communicate, the organization shall establish and implement a method(s) for this external communication.

© Omnex, Inc. 107

4.4.3 Communication - Guidance

• Communications is key to an effective implementation of an EMS. Develop a procedure for internal communications that includes the definition of the kinds and frequency of communications. This can include methods such as meetings, postings on bulletin boards, intranet, etc.

• Develop a procedure for receiving, documenting and responding to external communication. This should define how to dialog with external interested parties on their concerns and how to pass them along for resolution. It should also define the methods of communicating in emergencies.

• Define the significant environmental aspects about which the public should be informed. If you decide to inform them about these aspects, define the methods of doing so. These methods may include meetings, postings on websites, annual reports, etc.

© Omnex, Inc. 108


• Purpose:– Demonstrate management commitment– Deal with concerns about the organization’s

environmental aspects– Report incidents– Raise awareness about policy, objectives, targets,

and EMP’s– Inform internal or external interested parties about

EMS and/or environmental performance

© Omnex, Inc. 109

Who Are Interested Parties?:“Person or group concerned with or affected by the environmental performance of an organization”


• Environmental groups or NGO’s

• Customers and suppliers

• Community groups

• Insurance companies

• Regulatory agencies

• Media • Employees• Management representatives• Investors• Academic and research

institutions

© Omnex, Inc. 110


• Determine the Views of Interested Parties:– Surveys or questionnaires– Meetings or workshops– Market research studies– Research public statements or reports– Participate in interested party activities

© Omnex, Inc. 111


• For:– Results of internal audits– Corrective action– Environmental incidents– Compliance issues– Improvement opportunities– Implementation updates– Employee recognition– Coming steps– Responsibilities

• Internal Communication:– Informal meetings– QOS– Newsletters– Bulletin boards

© Omnex, Inc. 112


• External Communication (DOCUMENT): – Annual report– Industry publications– Government records– Paid advertising– Regular compliance

reporting– Newsletters– Press releases

• For:– Compliance data– Publicity– Environmental policy– Inquiries

Chapter 7EMS Documentation

© Omnex, Inc. 114

4.4.4 Documentation

Intent– To define the documentation required for the EMS

Requirements– EMS documentation includes:

• Environmental policy, objectives and targets• Scope of the EMS• Description of the main elements of the EMS, their

interaction, and reference to related documents• Documents and records required by ISO 14001:2004• Document and records necessary to ensure the effective

planning, operation and control of processes that relate to its significant environmental aspects

© Omnex, Inc. 115

4.4.4 Documentation - Guidance

• Minimum Requirements– Environmental policy, objectives and targets– Scope of the EMS– Description of the main elements of the EMS, their

interaction, and reference to related documents– Documents and records required by ISO

14001:2004– Documents and records necessary to ensure the

effective planning, operation and control of processes that relate to its significant environmental aspects

© Omnex, Inc. 116


• Extent of Documentation Depends Upon– Size and type of organization– Activities, products and services– Complexity of business– Competence of personnel

© Omnex, Inc. 117


ISO 14001 Requirements for “Procedures”• 4.3.1 Environmental Aspects• 4.3.2 Legal and Other

Requirements• 4.4.3 Communication• 4.4.5 Control of Documents• 4.4.6(a) Operational Control

(specifies “documented”)• 4.4.6(c) Suppliers• 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

© Omnex, Inc. 118


• Issues to Consider– Consequences of not documenting procedures– Need to comply with legal requirements– Ensuring consistency of activity– Ease of EMS implementation

© Omnex, Inc. 119

4.4.7 Emergency Preparedness and Response - Guidance

• Inclusions– List of key personnel– Arrangements with emergency service contacts (fire

dept., spill clean-up, manufacturer, etc.)– Internal and external communication plans– Actions and responsibilities required for different

types of emergencies– Information on hazardous materials or chemicals– Locations and types of emergency equipment– Maintenance of emergency equipment– Testing and training plans– Evacuation plans

© Omnex, Inc. 120

Potential

Emergency:

4.4.7 Emergency Preparedness and Response - Guidance

Emergency Preparedness and Response - Example

Activity, Product or Service:

Action to be taken:

Microsoft Word Document

© Omnex, Inc. 121

• Breakout Six - Defining Documentation Requirements– Please refer to your Breakout Book

BreakoutActivity

© Omnex, Inc. 122

EMS Documentation - Model 1: Total ISO 9001

Combining ISO 9001 and ISO 14001 Documentation

IMS Manual

Cust

omer

Orie

nted

Proc

esse

s

Managem

ent Oriented

Processes

Supp

ort O

rient

ed

Proc

esse

s

Work Instructions / Standard Operating Procedures /

Operational Control Procedures

Records (in form of filled formats, checklists etc.)

Level 1

Level 2

Level 3

Level 4

© Omnex, Inc. 123

EMS Level 1

Include:

Policy, Objectives and Targets

ScopeDescription of Main Elements

Reference to related documentation

Similar to QS manual



© Omnex, Inc. 124

EMS Level 2

Include:

EMS procedures

Tell who, what, where, when



© Omnex, Inc. 125

EMS Level 3

Include:

Tell “how”Relate steps for controlling EMS processes to operators



© Omnex, Inc. 126

EMS Level 4

Include:Records to demonstrate environmental performance from level 2 and 3 operations

Compliance records and data

Permits

Subcontractor Approval

Corrective actions



© Omnex, Inc. 127

• Breakout Seven - Combining ISO 9001 and ISO 14000 Documentation– Please refer to your Breakout Book

BreakoutActivity

Chapter 8Establishing Operational Controls

© Omnex, Inc. 129

4.4.6 Operational Control

Intent– To plan and implement procedures and operating

criteria for the various activities, including maintenance, related to the fulfillment of the organization’s environmental objectives and targets

– To provide a means for communicating the organization’s environmental requirements to suppliers and contractors

© Omnex, Inc. 130

4.4.6 Operational Control

Requirements– Identify and plan operations associated with significant

environmental aspects consistent with its environmental policy, objectives and targets to ensure that they are carried out under specified conditions by:

• Establishing documented procedure(s) to control deviations from the environmental policy, objectives and targets

• Stipulate operating criteria in the procedures• Establish procedures related to the identifiable

significant environmental aspects and communicate them to suppliers, including contractors

© Omnex, Inc. 131

4.4.6 Operational Control - Guidance

• Review the activities, processes or products identified in clause 4.3.1 that need to be controlled to minimize the impact of the significant environmental aspect, identify the type of control required. This review should consider all areas of the organization. – For each control point, define and document the

procedures needed for control.

© Omnex, Inc. 132


• Applications:– Research and development– Design and engineering– Purchasing– Contracting– Handling and storage of raw materials– Production and maintenance processes– Laboratories– Product storage– Transportation– Customer service– Acquisition, construction, or modification of property or facilities

© Omnex, Inc. 133


• Identification:– Look at environmental aspects and potentially significant

aspects– Identify the associated processes– On process flow charts, identify the points for appropriate control– Prepare draft procedures to minimize the risk of environmental

impact and review with users– Look at existing procedures for adequacy or modify– Track of effectiveness of procedures

• Identify required measurements• Frequency• Are actions appropriate?

© Omnex, Inc. 134


• Suppliers and Contractors:– “Identify significant aspects of goods and services

used by the organization”– Communicate requirements to suppliers and

contractors

© Omnex, Inc. 135


• Documented Procedures:– Exercise control over all activities involving

significant environmental aspects – Create a documented procedure wherever the

absence of a documented procedure might lead to a deviation from the environmental policy or objectives and targets


© Omnex, Inc. 136

Control Plan

Activities,Products or

Services

Legal and otherRequirements environmental

Policy Operational andBusiness Requirements.

Views of Interested Parties

Identify Product Characteristics

OP10

Associate Environmental Aspects with Activities,Products or Services (Inputs & Outputs)

OP20

OP30

EMSFMEA

Action Plan

IdentifySignificantAspects &Impacts

Implement & Define:objectives & targetsEMP's Operational

Controls EPR's

ControlPlan

ImplementControlStrategy

WorkInstructions

EMSProcedures

Environmental Process Control

© Omnex, Inc. 137

Control Plan

• Objectives– The primary objective of the Control Plan in the context of an

EMS is to establish the controls and conditions for those activities and operations associated with significant aspects (at a minimum)

• Aiding in the establishment of procedures where their absence could lead to deviations from the policy and objectives and targets

• Establishing the operating criteria for these activitiesNOTE: the output of the Control Plan is used as a basis for:

– Development of activity and operation work instruction– Development of emergency preparedness and

response procedures

© Omnex, Inc. 138

What is a Control Plan?

• A Control Plan …– Is a written summary of the strategy for controlling

the impact of the aspect of an activity

© Omnex, Inc. 139

How Does a Control Strategy Work?

• The Control Strategy systematically …– Analyzes aspects– Selects methods for control and the tool(s) for

communication, evaluation, and reaction

© Omnex, Inc. 140

The Benefits of a Control Plan

• Reduced Risk of Impact, leading to…– Reduced EMS Costs– Improved Communication

• Within a Company• Between a Company and Suppliers

– Provides an Emphasis on Prevention– Provides a Focus on Process Control– Promotes Proactive Planning– Provides an Entire Picture of Control

© Omnex, Inc. 141

The Benefits of a Control Plan

• Meets Various ISO 14001 Requirements– OPCAL– M&M

• Helps StandardizeDocumentation– Check Sheets– Work Instructions

–DOC–EM Resp.–Records

© Omnex, Inc. 142

Control Plan

• Inputs– Legal and other requirements– Views of interested parties– Internal and external communication process– Historical Data (accidents, environmental emergencies, etc)– Compliance audit data– EMS Audit data– History of EPA, OSHA, or other regulatory violations– Corrective and Preventive Action– Plant layout/Flow Chart– EMS FMEA– Business Plan– EMS Policy

© Omnex, Inc. 143

How to Complete a Control Plan for EMS

EMS Control PlanControl Plan Number: Key Contact/Phone: Date (original): Date (Revised):

Location/Department: Core Team: Other Approval/Date (IF Required):

Process Name/Activity

Characterics/AspectsRegulatory

CharacteristicsClass*

Methods

Objective/Target

EvaluationMeasurement

Technique

SampleSize Freq.

ControlMethod

ReactionPlan

*R - RegulatoryS - SignificantM - Medium

FumesMelting aluminum

Storm drain pollution

RReduce

emissions by25%

Airsampling

StandardOnceper

month

Monitorsamples

Chagefilters

Macine cast parts R Zeropollution

Watersampling

Sixsamples

Onceper

month

Monitorsamples

Adjusttreatment

EMS Control PlanControl Plan Number: Key Contact/Phone: Date (original): Date (Revised):

Location/Department: Core Team: Other Approval/Date (IF Required):

Process Name/Activity

Characterics/AspectsRegulatory

CharacteristicsClass*

Methods

Objective/Target

EvaluationMeasurement

Technique

SampleSize Freq.

ControlMethod

ReactionPlan

*R - RegulatoryS - SignificantM - Medium

FumesMelting aluminum

Storm drain pollution

RReduce

emissions by25%

Airsampling

StandardOnceper

month

Monitorsamples

Chagefilters

Macine cast parts R Zeropollution

Watersampling

Sixsamples

Onceper

month

Monitorsamples

Adjusttreatment

© Omnex, Inc. 145

Creating EMS Procedures

• OMNEX approach– Create a list of processes to be documented– Assign groups to work on development of

documents based on the listing– Create Team Charter for each team– Complete a Process Definition of each process– Create a flowchart for each process– Create a text document if desired

© Omnex, Inc. 146

Develop Flowchart for Each Procedure

• Create by an individual or a team of process experts• Define the process• Describe how the process is currently conducted with

Post-It Notes• Move/Insert/Delete process steps to improve process

and to make procedures meet ISO 14001:2004• Document who, what and when

© Omnex, Inc. 147

Types of Level III Documents

• Operator Instructions• Setup Instructions• P/M Instructions• Housekeeping Instructions• Reference Documents• Format for Level III Documents

© Omnex, Inc. 148

Types of Level IV Documents

• For Example– Checklists– Assessments– Forms– Problem Solving Form– Control Plan– FMEA

© Omnex, Inc. 149

• Breakout Nine - Documenting Operational Control Procedures– Please refer to your Breakout Book

BreakoutActivity

Chapter 9Measurement, Monitoring and

Improvement

© Omnex, Inc. 151

4.5.1 Monitoring and Measurement

Intent

– To establish procedures for monitoring and measuring the key characteristics of the EMS, including conformance with stated objectives and targets, tracking performance and relevant operational controls

– To ensure monitoring equipment is calibrated and calibration records are maintained

– To establish procedures for periodically evaluating compliance to applicable environmental legislation and regulations

Requirements

– Establish procedures to regularly monitor and measure key characteristics of its operations that can have a significant environmental impact including documenting information to monitor performance, applicable controls and conformity with objectives and targets

– Ensure that calibrated or verified monitoring and measurement equipment is used and maintained and retain associated records

© Omnex, Inc. 152

4.5.1 Monitoring and Measurement - Guidance

• Review measurements, and associated objectives and targets, identified as relating to clauses 4.3.1 and 4.3.3. This review should cover the measures of the key characteristics of the operation. Develop appropriate procedures to monitor and measure these key characteristics

• Ensure that the data gathered from monitoring and measurement is analyzed and used to trigger improvement activities

• Identify monitoring equipment required, establish calibration schedules for the equipment and ensure that it is calibrated on a regular basis

© Omnex, Inc. 153


• Purpose– Monitor actual performance vs. environmental

objectives and targets and environmental compliance

– Successful areas vs. opportunities for corrective action or improvement

– Analyze root cause of problems– Reliability based on sampling protocols, regular

instrument and test equipment calibration– Assure third party of compliance commitment

© Omnex, Inc. 154


• Selecting Environmental Performance Indicators– Examine organizational policies and performance

goals– Use Control Plans– EPIs must be relevant to environmental objectives– Qualitative - paint usage– Quantitative metrics - paint usage per unit of

production– Time-based - quantitative metric / time period

© Omnex, Inc. 156


• Selecting Environmental Performance Indicators– Management system metrics examples:

• Frequency of training, auditing• Number of violation notices, compliance fines, or

penalties• Expenditures on environmental improvement• Number of environmentally related complaints• Number of suppliers with environmental

performance approval rating

© Omnex, Inc. 157


• Selecting Environmental Performance Indicators– Operational metrics examples:

• Energy and/or water consumed during manufacturing

• Toxic or hazardous materials used in production• Hazardous waste generated during production• Air emissions, water effluents, or solid waste

generated during production• Percent of product recovered or reused at end of

life• Fraction of packaging or containers recycled

© Omnex, Inc. 158


• Selecting Environmental Performance Indicators– Environmental metrics examples:

• Depletion rate of nonrenewable resources• Wetland impacts• Lethal or sub-lethal effects on wildlife• Reduction in visibility or air quality• Fraction of packaging or containers recycled• Concentrations of hazardous by-products in

various media

© Omnex, Inc. 159


• Selecting Environmental Performance Indicators– Combine Result and Process Measurables – Process Measurables - upstream factors

• Amount of paint used per production unit• Number of employees trained

– Result Measurables - results of a process or activity• Amount of waste generated• Number of spills

© Omnex, Inc. 160


• Equipment Calibration– Identify equipment that affect environmental

performance– Begin with key process characteristics– Integrate key monitoring equipment into 9000

calibration system– Subcontract

© Omnex, Inc. 161

Objectives for Selected Aspects

Environmental Performance

Indicator

Quantifiable Metric

Example

Specific Performance

Targets

Reduce or eliminate waste

Waste & emissions from products & processes

% of product weight disposed in landfill

Reduce solid waste disposed to 1 lb. per product unit

Conserve natural resources

Recycled content in product

% by weight of product material that is recycled

Achieve 20% or greater total recycled content


Environmental Objectives and Corresponding Indicators, Metrics and Targets

© Omnex, Inc. 162

4.5.2 Evaluation of Compliance

Intent

– To establish a procedure for evaluating compliance with legal and other requirements

Requirements

– Establish procedures for periodically evaluating compliance with applicable legal requirements

– Establish procedures for compliance with other requirements (may be combined with legal requirements)

– Keep records of the results of periodic evaluations

© Omnex, Inc. 163

4.5.2 Evaluation of Compliance - Guidance

• Review the legal and other requirements identified in relationship to clause 4.3.2 – Legal and Other Requirements. These are the requirements for which evaluation of compliance needs to be conducted. Determine the appropriate methods of evaluation. Initiate regular evaluation.


09 File

© Omnex, Inc. 164

4.5.3 Nonconformity, Corrective and Preventive Action

Intent

– To provide the means for handling and investigating nonconformance, taking action to mitigate impacts of nonconformance, and initiating and completing appropriate corrective and preventive action

© Omnex, Inc. 165

4.5.3 Nonconformity, Corrective and Preventive Action

Requirements

– Establish procedures for dealing with nonconformities, and for taking corrective action and preventive action including

• Identifying and correcting nonconformities, and taking action to mitigate their impact

• Investigating nonconformities, determining their cause and taking action to avoid recurrence

• Evaluating the need for actions to prevent nonconformities and implementing appropriate actions to avoid their occurrence

• Recording the results of corrective and preventive actions

• Reviewing the effectiveness of corrective and preventive actions

– Actions taken shall be appropriate to the magnitude of the problems and the environmental impacts encountered

– Ensure that necessary changes are made to EMS documentation

© Omnex, Inc. 166

4.5.3 Nonconformity, Corrective and Preventive Action - Guidance

• Required Actions:– Investigate problems– Identify root causes– Are there any trends?– Identify and implement corrective actions– Track and document corrective actions

© Omnex, Inc. 169

4.5.4 Control of Records

Intent– To provide the means for identifying, maintaining

and disposing of environmental records

Requirements– Establish and maintain records to demonstrate

conformity to the requirements of the EMS and ISO 14001:2004, and the results achieved

– Establish a procedure for the identification, storage, protection, retrieval and disposal of records

– Maintain records so that they are legible, identifiable and traceable

© Omnex, Inc. 170

4.5.4 Control of Records - Guidance

• Retention– Decide what records to retain, how to retain them, and

retention period– Manage records like ISO 9000 system– Focus on records that add value– EMS Forms– Retention requirements may be specified– Consider

• Who needs access• To what records• When

– Electronic management– Back-up copies

© Omnex, Inc. 171

4.5.4 Control of Records - Guidance

• ISO 14001:2004 Requirements Referring to “Records” or “Recording”

• 4.4.2 Competence, Training and Awareness

• 4.4.3 External Communications

• 4.5.1 Monitoring and Measurement

• 4.5.1 Calibration

•4.5.2 Evaluation of Compliance

•4.5.3 Nonconformity, Corrective Action and Preventive Action Changes

•4.5.5 Internal Audits

•4.5.6 management Review

© Omnex, Inc. 172

4.5.5 Internal Audit

Intent– To establish a process for determining whether the

EMS conforms to planned arrangements and to the ISO 14001 Standard, and is properly implemented and maintained

– To provide audit results to management for review

© Omnex, Inc. 173

Environmental Management System Audit:“Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the environmental management system audit criteria set by the organization are fulfilled."

4.5.5 Internal Audit - Guidance

© Omnex, Inc. 174


• Purpose– Verify EMS implementation and effectiveness– Identify and report deficiencies– Maintain management focus on the EMS– Improve EMS– Ensure cost-effectiveness

© Omnex, Inc. 175


• Objectives– Develop audit procedures and protocols– Establish EMS appropriate audit frequency– Train auditors– Maintain records

© Omnex, Inc. 176


• Frequency– Determine nature of operations– Account for significance rating– Account for monitoring and measurement results

and performance– Look at performance from previous EMS audits– At least annually– Full cycle or partial over time

© Omnex, Inc. 178


• ISO 14011 - EMS Audit Procedures– EMS audit scope and objectives– Lead Auditor– Auditor– Auditee– Review Documentation– Audit Plan– Meetings– Collect Evidence– Findings– Audit Report

© Omnex, Inc. 179


• Audit Success– Preparation and Organization

• Scope and purpose• Schedule• Audit trails• Interpersonal skills

– Objective evidence– Identify trends or patterns– Follow-up– Link to compliance audits

• Simultaneous but different purposes

Chapter 10Conducting Management Reviews

© Omnex, Inc. 182

4.6 Management Review

Intent

– To establish a process enabling top management to periodically review the performance of the environmental management system

– To assess the potential need for revising the policy, objectives and targets and other components of the system

Requirements

– `Top management review of the EMS at planned intervals to ensure its continuing suitability, adequacy and effectiveness

– Includes assessing opportunities for improvement and need for changes to the environmental management system, including the environmental policy and environmental objectives and targets

– Retain records

© Omnex, Inc. 183

4.6 Management Review

Requirements– Inputs:

• Internal audits results• Evaluations of compliance with legal and other

requirements• Communications from external parties, including complaints• Environmental performance• Progress meeting objectives and targets• Status of corrective and preventive actions• Follow-up actions from previous management reviews• Changing circumstances• Recommendations for improvement

– Outputs• Decisions and actions

© Omnex, Inc. 184

4.6 Management Review - Guidance

– Maintain continual improvement, suitability, and effectiveness of the EMS

– Use to enhance EMS performance– Define intervals– Management evaluate performance– Required - document review observations,

conclusions and recommendations - keep minutes!– Not all clauses must be reviewed at the same time

© Omnex, Inc. 185


• Continual Improvement– Identify areas to improve the EMS that will lead to

performance improvement– Identify root causes of required corrective action– Will new processes be incorporated into the EMS?– Verify corrective action effectiveness– Document procedural changes– Compare objectives and targets to identify which

ones are performing

© Omnex, Inc. 186


• Evaluate need for change:– Changing legislation– Changing expectations and requirements– Advances in science and technology– Lessons learned from environmental incidents– Market preferences– Reporting and communication– Corrective and preventive action

© Omnex, Inc. 187

Management Review Process

• Meet Regularly– At Least Once per Month– Maintain Discipline

• Review Measurable Performance– Use trend charts and Pareto diagrams

• Authorize Improvement Activities– Form Improvement Teams– Allocate Resources

• Monitor Progress of Improvements– Remove Roadblocks

© Omnex, Inc. 188

Management Review Meetings

• Maintain Good Meeting Discipline– Calendar– Agendas– Action Plan

• Responsibilities– Chairperson– Recorder

© Omnex, Inc. 189

Presenting Data

• Trend Charts– Used to present data – Adopt a standard format– Include a goal line

• Pareto Diagrams– Used to present data on causes– Helps focus on most important problems/causes

© Omnex, Inc. 190

Volatile Organic CompoundsTons per Month

Jan Feb Mar Apr May Jun

1

2

3

4

5

6

7

Goal

Gap

Volatile Organic CompoundsTons per Month


1

2

3

4

5

6

7

Goal

Gap

Sample Trend Chart

© Omnex, Inc. 191

Sample Pareto Diagram

VOC by ItemYear to Date

0.0

2.0

4.0

6.0

8.0

10.0

12.0

14.0

16.0

Paint CleaningMaterials

Sealants Adhesives Other

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Use Four Panel Charts

• A Four Panel Chart consists of…– Trend Chart with a Goal Line

• Tracks key measurable • Highlights “gap” between current performance

and goal– Pareto Diagram

• Highlights causes for variations in the trend chart– Status of Action Plans

• Reports action to eliminate causes– Paynter Chart

• Tracks impact of actions

© Omnex, Inc. 193

Tracking Improvement Progress

Sample Four Panel Chart

Status of Action Plans

Description ResponsibilityDate Due Status/Inhibitors

Convert to Water Based Paint Bob Anderson Jan. On Target.

Reduce Cleaning Materials Use John Franklin Mar. Good progress.

Paynter Chart

Jan Feb Mar Apr May Jun YTDConvert to Water Based Paint 2.9 2.6 2.3 2.2 2.1 1.9 14.0Cleaning Materials Reduction 1.6 1.5 1.5 1.3 1.1 1.0 8.0

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Description ResponsibilityDate Due Status/Inhibitors

Convert to Water Based Paint Bob Anderson Jan. On Target.

Reduce Cleaning Materials Use John Franklin Mar. Good progress.

Paynter Chart

Jan Feb Mar Apr May Jun YTDConvert to Water Based Paint 2.9 2.6 2.3 2.2 2.1 1.9 14.0Cleaning Materials Reduction 1.6 1.5 1.5 1.3 1.1 1.0 8.0

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Management Reviews Process for IMS Implementation in Apollo Tyres – (Total 6 Reviews) : Chennai

Initial Gap Assessment Closure : 06th May 11

Tole Gate 1

Risk Assessment (EHS) 10th June 11

Legal Compliance Assessment : 1st July 11

Internal Audit25th July 11

Pre-assessment Audit22nd Sep. 11

Certification Audit: External 20th Nov. 11

2

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6

Purpose : Implementation/Way Forward plan approval with Roles, Resp. & Timeliness and resource allocation wherever required by Top Management.

At each Toll Review presence of Unit Head + Chief Project + Chief Corporate Manufacturing (through VC) + Group Leaders

- Agreement on road map & resource requirement for IMS implementation- Finalize IMS steering committee for whole journey- Approve Implementation plan for closure the identified Gap

- Approve and review the Risk elimination/reduction and improvement programs

- Approve and review the projects identified during legal assessment

- Approve and review the improvement programs identified during internal System Audit

- Approve and review the improvement programs identified during Pre-assessment System Audit

- Approve and review the improvement programs identified during Certification audit

© Omnex, Inc. 195

• Breakout Eleven - Conducting Management Reviews– Please refer to your Breakout Book

BreakoutActivity

ISO 14000 Understanding, Documenting and Implementing Slides R8.02.05

Documents

Transcript of ISO 14000 Understanding, Documenting and Implementing Slides R8.02.05