SCPC, s. r. o. [email protected] Environmental Management System – ISO 14001:2004 Mgr. Veronika Saul.

SCPC, s.r.o.

[email protected] www.scpc.sk

Environmental Management System – ISO 14001:2004

Mgr. Veronika Saul

This brief tutorial will cover:

• What is EMS• History of EMS and basic information• ISO 14000 series• EMS benefits• Requirements of the Standard• Implementation Steps• Certification process• Tools to help achieve certification

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Environmental Management System

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- is a framework that helps a company achieve its environmental goals

through consistent control of its operations

- is a systematic approach to environmental conservation in all aspects of business

through which an enterprise integrates the care of environment into its business

strategy, and normal operation

- is a set of processes and practices that enables an organization to reduce its

environmental impacts and increase its operating efficiency

• 18th and 19th centuries - the concept of environmental management can be traced to the Industrial Revolutions

• 1970s - beginning of the creation of environmental laws and regulations

• 1972 - United Nations organized a Conference on the Human Environment in Stockholm and UNEP - the United Nations Environment Programme was launched

• 1987 - Our Common Future (Brundtland Report) was published from the World Commission on Environment and Development (WCED)

• 1987 - Montreal Protocol - on Substances that Deplete the Ozone Layer

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History of EMS

• 1989 - Basel Convention - on the Control of Transboundary Movements of Hazardous Wastes and their Disposal

• 1992 - the 1st Earth Summit was held in Rio-de-Janeiro - a global commitment to the environment.

• 1992 - BSI Group (British Standards Institution) published the world's 1st EMS standard BS 7750.

• 1996 – based on BS 7750 the ISO 14000 series were developed by the International Organization for Standardization

• 2010 - ISO 14001 - used by at least 223 149 organizations in 159 countries

EMS related schemes• ISO 14001 - the most commonly implemented EMS in the world

- Slovakia - STN EN ISO 14001:2005

• BS 8555 - designed for SMEs wanting to implement an EMS on a gradual, step-by-step basis, combination of ISO 14001 and elements of ISO 14031.

• EMAS - The Eco-Management and Audit Scheme is a European initiative which differs from ISO 14001 in that, in addition to having an EMS in place, the organisation is required to produce an environmental performance statement and have this independently verified by a third party such as BSI. - Slovakia - Act no. 351/2012 Coll

• EMAS easy - a new approach based on Ecomapping; the business is mapped to identify its environmental aspects. With EMAS Easy smaller businesses can develop an EMS and either register for EMAS or certify to ISO 14001.

• Energy Management System (EnMS) - standard BS EN 16001 – for managing an organization's energy use, has the same structure as ISO 14001 and overlaps with it in a number of areas.

• The Carbon Trust Standard is awarded to organizations that measure, manage and reduce their carbon footprint. 7.12.2012 5

7.12.2012SCPC, s.r.o. 6

Numbers of Companies certified to ISO 14001 in SR

Nu

mb

er o

f ce

rtif

ied

IS

O 1

400

1 o

rgan

izat

ion

years

number of new certificates (yearly

increase)

number of registered certificates together

number of cancelled certificates

ISO 14000 Family of Standards

• The ISO 14000 series is a voluntary set of standards intended to encourage organizations to systematically address the environmental impacts of their activities

• EMS addressed by: – ISO 14001:2004 - Requirements with guidance for use– ISO 14004: 2004 - General guidelines on principles, systems and

support techniques

• The other standards and guidelines address specific environmental aspects, including: labeling, performance evaluation, life cycle analysis, communication and auditing

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• ISO 14001 Environmental management systems—Requirements with guidance for use

• ISO 14004 Environmental management systems—General guidelines on principles, systems and support techniques

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• ISO 14015 Environmental assessment of sites and organizations• ISO 14020 series (14020 to 14025) Environmental labels and

declarations• ISO 14030 discusses post production environmental assessment• ISO 14031 Environmental performance evaluation—Guidelines• ISO 14040 series (14040 to 14049), Life Cycle Assessment - LCA, discusses

pre-production planning and environment goal setting.• ISO 14050 terms and definitions.• ISO 14062 discusses making improvements to environmental impact goals.• ISO 14063 Environmental communication—Guidelines and examples• ISO 14064 Measuring, quantifying, and reducing Greenhouse Gas emissions.• ISO 19011 which specifies an audit protocol for the management system.

Benefits of EMSWhy to implement EMS?

• Cost savings - from saving energy to the minimization of waste and the cost of disposal, as well lower insurance rates

• A positive company image – better relations with interested parties

• Enhanced internal and external communication• Improved environmental compliance – lover risk of breaches and

potential fines• Reduced environmental liability and risks• Increased competitiveness and market opportunities - company

is attractive to the widest possible market• Increasing employee motivation and enhanced personnel skills• Opportunity to integrate the EMS with other systems

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ISO 14001:2004 requirements (1/2) - Element List

1 Scope2 Normative reference3 Terms and definitions4. Environmental management system requirements

4.1 General requirements4.2 Environmental policy4.3 Planning

4.3.1 Environmental aspects4.3.2 Legal and other

requirements 4.3.3 Objectives, targets and programs

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4.4 Implementation and Operation 4.4.1 Resources, roles, responsibilities 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 Operation control 4.4.7 Emergency preparedness and response

4.5 Checking 4.5.1 Monitoring and measurement 4.5.2 Evaluation of compliance 4.5.3 Nonconformities, corrective action and preventive actions 4.5.4 Control of records 4.5.5 Internal audit

4.6 Management review

Annex A: Guidance on the use of this international standard Annex B: Correspondence between ISO 14001 and ISO 9001

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ISO 14001:2004 requirements (2/2)

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Basic principle of EMS- the PDCA cycle (Deming or Shewart cycle)

4.1 General requirements

• Determine how organization or facility will establish, implement, maintain and continually improve an EMS that fulfills the requirements of ISO 14001.

• Define and document the scope, or fenceline, of the EMS. Which activities, products and/or services will be addressed by the EMS?

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4.2 Environmental policy

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The Environmental policy• should be adequate to organization character, documented,

implemented and maintained• includes a commitment to continual improvement and pollution

prevention

• includes a commitment to compliance with applicable legal and other requirements to which the organization subscribes, and relate to its environmental aspects

• provides a framework for setting and reviewing environmental objectives and targets,

• communicates with all persons working for or on behalf of the organization and

• made available to the public!

Senior leadership is responsible for creating, and committing to, an environmental policy that is appropriate to the environmental impacts of organization.

4.3. PLANNING4.3.1 Environmental aspects (EA)Environmental aspects – element of the organisation´s activities, products or services of the organization, which may affect the environment.

Significant EA - aspect of the organization which has or may have a significant environmental impact

Direct aspects – those that organization can directly control (air emissions from its own boiler, waste from own production)

Indirect aspects – those that the organization has some impact, but it can not be completely controlled (e.g. activities of supplies)

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Source – aspect - impact

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Aspect

Source/ activity

Impact

• Noise, vibration, heat, smell, dust, emissions, discharges of hazardous substances, fuel consumption, etc.

• Use of non-renewable natural resources

• Pollution and damage to the environment

• Global Warming

4.3.1 Environmental aspects

The organization shall:

• establish and maintain procedures to:o identification EAo evaluation of EAo to identify significant EA

o take the significant EA into account in establishing, implementing and maintaining the EMS

Register of EA - an up-to-date lists of aspects and significant aspects should be available.

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Every aspect of an organization's operations must be addressed, including planned or new developments and new or modified activities, products and services.

Identification of EA example - Ecomapping

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7 Ecomaps:

Urban situation

Water Soil, storageEnergyAir, odours, noise & dustWaste Risk

• allows an organization to visualize its environmental impact.• is a systematic method that builds up a picture of key

environmental information by using symbols on a simple plan of the site.

Frequency Scale Severity

Happens occasionally Is minor Small impact

Happens regularly Very local Can be diminished

Happens everyday Significant for all Bad and irreversible

Register of EA - Example

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4.3.2 Legal and other requirements

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The organization shall establish and maintain: - procedure for the identification and access to

legal and other requirements that must be fulfilled and which are directly applicable to the EA of activities, products and services organization

- register, which is updated regularly and is available in the up-to-date version.

4.3.2 Legal and other requirements

Other requirements : • Requirements of non-binding technical regulations / standards

• Environ. business requirements - business, selling-delivery contracts in regard to environment

• Requirements of stakeholders, interest-based environmental groups, parties, associations, local and regional government, etc.).

• Internal criteria of environmental organization performance7.12.2012 21

Legal requirements • issued by national or international legislative bodies and

legally binding-laws, decrees, regulations of the Government of SR, European Parliament and Council Regulation

4.3.3 Objectives, targets and programs

When establishing and reviewing its objectives and targets, the organization shall

• take into account:o legal and other requirements that subscribedo its significant environmental aspects

• consider:o its technological capabilityo financial, operational and business requirementso opinion of stakeholderso only realistic target shall be specifies 7.12.2012 22

The purpose of objectives and targets is to help organization translate its environmental goals into specific actions that are measurable, where practicable.

4.3.3 Objectives, targets and programs

The organization shall establish and maintain environmental management program(s) to meet the objectives and targets.

Each program should define:

• The responsibilities for achieving goals (who will do it?) • The means for achieving goals (how will they do it?)• The timeframe for achieving those goals (when?)

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Environmental Management Program- Example I

Environmental Management Program- Example II

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PROGRAMSPerformance monitoring Evaluation of objectives

No. Objective Target No. of Task and Task Schedule

Responsible party

Resource Date

Performance

(%)Controlled by

Evaluation of objectives/comments/deliver

ablesDone by/

date

1

Decrease nonconformities in regards

to environmental

regulations

No nonconformities

in regards to environmental

regulations

A

Ensure control of compliance

with environmental regulations

(minimum twice per year)

--/--/-- Manager …..

B

Add an external environmental

legislation training to training list of the

responsible person

--/--/-- XY €

2

Ensuring appropriate

material storage

conditions.

Simplification of identification of the stored items

A Reorganizing of storage --/--/--

New storage shelves …XY €

BAmendment of

Material handling and storage procedure

--/--/-- ….

CTraining of employees

responsible for storing materials

4.4 IMPLEMENTATION & OPERATION 4.4.1 Resources, roles, responsibilities and authority

Organisation shall:

• define, document and communicate the obligations and responsibilities for appropriate levels

• provide resources (human, financial and technological) to establish, maintain and improve EMS

• nominate representatives for the EMS to:– co-ordinate establishment, implementation

& maintenance of EMS– report to top management on

performance of EMS & recommend improvements7.12.2012 26

4.4.2 Competence, training and awareness

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Organization shall:

• ensure that any person carrying out tasks in the organization or for organization that has the potential to cause significant environmental impact identified by the organization was competent under the relevant education, training or experience.

• establish a training program The organization’s environmental

training needs must be identified

Training activities must be maintained and recorded

4.4.2 Competence, training and awareness

Persons working in the organization or for the organization within their processes should be aware of:

• The importance of compliance with policy and procedures that apply to their work

• Significant environmental aspects and impacts of their work

• Their roles and responsibilities in achieving conformity with the requirements of the EMS

• Potential consequences of failure from specific procedures

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4.4.3 Communication

o Internal communications - between different levels and functions of the organization

o External communication - Receiving, documenting and responding to suggestions regarding the EA and EMS from external stakeholders

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The organization shall with respect to its EA and EMS create, implement and maintain procedures for:

Organization musto decide whether to communicate

externally / or not / about its significant environmental aspects

4.4.4 DocumentationEMS documentation includes:

• Environmental Policy• Objectives and Targets• Definition of the scope of the EMS • Definition of the main elements of the EMS (EMS manual)• Documents and records required by this standard• Procedures for control of situations affecting environment

significantly – e.g. waste management

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4.4.5 Control of documents 4.5.4 Control of records

Record is a document that states results achieved or provides evidence of activities performed • The organization shall keep records of all observed

features to monitor compliance with the requirements of the own EMS. All records must be and remain legible, identifiable and traceable.

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The organization shall establish, implement and maintain procedures for the identification, storage, protection, retrieval, retention and disposal of documents and records.

4.4.6 Operation control

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The organization shall identify and plan those operations that are associated with the identified significant EA consistent with its environmental policy, objectives and targets, in order to ensure that they are carried out under specified conditions.

procedures where the absence could lead to deviations from the env. policy & objectives & targets

operating criteria in the procedures

procedures related to the significant EA, procedures and requirements shall be communicated to suppliers & contractors

The organizationshould have

specified

4.4.6 Operation controlOperational Controls are means by which an organization prevents pollution from operations, e.g.:

• Pollution control equipment such as scrubbers, filters, precipitators, clarifiers, biological and chemical treatment to remove or reduce emissions and discharge levels

• Alarms for gas, pH, temperature, liquid level in a tank

• Preventive maintenance practices designed to stop problems that could impact the environment before they occur

• Operating procedures – documented or verbal. 7.12.2012 33

4.4.7 Emergency preparedness and response The organization shall establish, implement and maintain procedures for:• identification of potential emergency situations• response to an emergency • preventing and mitigating the environmental impacts of accidents

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Prevention is a key component of emergency preparedness.

The organization shall• review and revise emergency plans and

procedures (especially after the accident or almost-accident)

• periodically test established procedures

Emergency response plan

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An emergency response plan should include:• descriptions of personnel roles and responsibilities • resources• response actions• mitigation of impacts • internal and external communications • training• drills• incident investigation• review procedures

Potential Emergencies• Fire, explosion• Gas leak, spill• Natural disasters - lightning, earthquake, flood, extreme weather• Tank, dam, equipment structural failure• Electric power or gas cut• Crash, collision• Sabotage, vandalism, terrorist attack, riot, bomb threat, hostage

incident

4.5 CHECKING 4.5.1 Monitoring and measurement

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Organization shall:

• establish and maintain procedures to monitor & measure on a regular basis, the key characteristics of its operations that can have significant environmental impacts.

• The procedures must document information to monitor performance, applicable operational controls, and conformity with the organization's environmental objectives and targets.

• calibrate and maintain monitoring equipment; and to keep associated records.

• establish and maintain a documented procedure for periodically evaluating compliance with relevant environmental legislation and regulations.

What to monitor and measure?General subjects that must be routinely monitored:• Overall conformance of operations with requirements of the EMS• Tracking progress towards achieving objectives and targets• Environmental performance indicators associated with environmental management programs,

and legal compliance requirements• Organization’s compliance with environmental legislation and regulations• Operation of production and manufacturing equipment and processes associated with

significant EA, and pollution control equipment

Specific routine monitoring and measurements:• Emissions to air, discharges to water, and solid waste disposal• Environmental impacts on air, water, land, biota, ecology, humans• Energy use• Handling, storage, and disposal of chemicals, fuels, hazardous materials and wastes• Training needs, training conducted, employee environmental awareness and competence• Communications from interested parties, and the organization’s responses• Emergency response incidents • Quality assurance and quality control (QA/QC) for env. sampling and laboratory analysis• Effectiveness and timeliness of corrective and preventive actions• Environmental performance of contractors• Whether documentation is up to date, and adequately controlled.

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4.5.2 Evaluation of compliance

The organization shall:

• develop, implement and maintain procedure for periodic evaluation of compliance with respect to both applicable legal requirements and any other requirements to which the organization subscribe

• maintain records of the results of these periodic evaluations

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4.5.3 Nonconformities, corrective action and preventive actions

a) Nonconformity - non-fulfillment of a requirementb) Correction - action taken to eliminate a detected

nonconformityc) Corrective action - action to eliminate the cause of a

detected nonconformity or other undesirable situation (i.e., action taken to prevent recurrence)

d) Preventive action - action taken to eliminate the cause of a potential nonconformity or other undesirable situation (i.e., action taken to prevent occurrence)

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4.5.3 Nonconformities, corrective action and preventive actions

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The intent of §4.5.3 is that the organization put in place procedures for 1) identifying actual and potential nonconformities to EMS

requirements,2) taking appropriate corrective or preventive action, and 3) reviewing the effectiveness of corrective or preventive actions taken.

The most serious nonconformities of the EMS:

• failure to meet the permissible limits of pollution

• non-compliance with legal requirements

• failure in terms of decisions of the government administration bodies

4.5.5 Internal audit

Organisation shall establish procedure for conducting IA, reporting and record keeping. The criteria, scope, frequency and methods should be planed.

Through the IA organization

• examines how the EMS works, if it is in regard to scheduled EMS programs

• verifies how effectively fulfils the EMS policy and what is the profile of environmental organizations

• should be performed regularly, within the prescribed period in all areas of the organization

• the results of the internal audit must be presented to senior leadership

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IA are critical to the effectiveness of an EMS and to the continual improvement cycle.

4.6 Management review

Top management shall determine whether

• EMS is suitable, adequate and effective

• Policy, objectives and procedures need changing

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Tool for assessing the current functioning of the EMS and for evaluating of the appropriateness and adequacy of EMS in regard to external changes and changes in the organization itself.

4.6 Management review The ISO 14001:2004 Standard specifies inputs to the management review process must include:1. Results of internal audits 2. Results of evaluations of compliance with legal and other requirements,3. Communication(s) from external interested parties, including complaints,4. The environmental performance of the organization,5. Achievement level of Objectives and Targets,6. Status of corrective and preventive actions,7. Follow-up actions from previous management reviews,8. Changing circumstances (including legal and other requirements)9. Accident and injury investigation(including emergency incidents and

experiences from previous history ), and10. Recommendations for improvement

The ISO 14001:2004 Standard also specifies outputs of the management review must include decisions and actions, consistent with the commitment to continual improvement, that relate to possible changes to:

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1. The environmental policy2. Objectives3. Targets

4. Other elements of the EMS

ISO 14001 EMS framework

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ISO 14001 Implementation Steps

I. Implement PlanII. Environmental Gap AnalysisIII. Form a TeamIV. Execute your planV. Audit

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I. Implementation Plan

• Implementation plan should cover: – Education on the contents of the standard– Determine position of the company with regards to

the environment and the requirements of ISO 14001– Analyze the shortcomings and closing the gaps – A timeline of the implementation steps based on the

gap analysis – Time to run the EMS, collect records and make

improvements before your registration audit.

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1. Conduct a Gap Analysis – Complete a series of assessments in the following order: – Perform Initial Environmental Review – Perform Environmental Assessment - Aspects/Impacts– Identify Legal and Other Requirements – Identify Environmental programs with objectives and

targets

2. Based on the results of the assessments, implement improvement actions.

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Implementation: II. Conduct the Environmental Gap Analysis

Implementation : III. Form a Team• Appoint a Management Representative

– This individual will be the ISO project manager.

• Assign a Management Team – This team will be active in the design, development

and implementation of the EMS and participate in the ongoing operation of the system.

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Implementation: III. Form a Team • The Management Team

– will act as a steering team for the project, assigning responsibilities, providing resources and coordinating the project.

– can assign task teams to work on specific processes that must be designed and documented for the EMS.

• Each task team will evaluate the current process that they are assigned to and the requirements of the standard. – A new or modified process will be developed,

documented and submitted to the Management Team for review and approval.

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Implementation: IV. Execute your plan

• After the task teams have designed and documented a new or modified process, it must be implemented.

• Train all employees that are involved in the process

• When the required processes have been implemented, you can start your internal audit program and management review meetings.

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Implementation: V. Audit • Use information / results from

internal audits and management review to make improvements to the EMS.

• Run your system long enough to generate records for the Registrar to audit.

• Make sure all employees are trained on ISO 14001

• Have a Registrar conduct your Registration Audit.

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Certification Process• Conduct 3rd party assessment to verify implementation • Submit an application form for certification• Contract signed between Auditee and Certification body• Optional pre-assessment by Certification body - to identify

any weak points • Audits

– 1st phase – determination of the company’s state of readiness (aspect identification and assessment, setting of objectives, policies and programs, etc.) - does not has to be an “in situ” audit

– 2nd phase – determination of the extent of EMS implementation and effectives - “in situ” audit

• Certification granted• Periodic reviews - minimum once a year - to verify that EMS is

being continuously maintained

• Recertification - every 3 years 7.12.2012 52

Tools to help the ISO 14001 implementation - examples:

• The ISO 14001 Workbook– internet - Series of detailed checklists, exercises and

instructions that take you through tasks for your organization to consider and complete.

• EMAS EASY – for SME’s• EMS consultant

– Customized Environmental Manual including procedures, forms, and tables to save time and ensure an efficient, effective system.

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Conclusion

An environmental management system takes time and commitment from the entire organization.

Effective running of an EMS will provide ongoing environmental benefits, cost savings and contribute to building an attractive work place culture.

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Thank you for your attention !

SCPC, s.r.o.Semianova 2, 831 03 Bratislava 3 P.O.Box 120, 830 00 Bratislava 3Tel.: 02 - 44 45 43 28Fax: 02 - 44 25 90 [email protected]