introduction to iso 14001
TRANSCRIPT
Introduction to ISO 14001
ISO 14001 is a powerfulmanagement tool that can beutilized by an organization.
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Introduction to ISO 14001 (cont.)
The benefits of ISO 14001 are notjust applicable to the organizationwhich adopts it. Adjacent propertyowners and environmental groupshave the potential to benefit also.
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Introduction to ISO 14001 (cont.)
An organization normally employs ageneralized strategic planningprocess to determine what products,services and/or activities it shouldproduce to respond to the market.
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Introduction to ISO 14001 (cont.)
The generalized strategic planningprocess normally follows the plan,do, check and act concepts.
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Introduction to ISO 14001 (cont.)
ISO 14001 is built upon the sameplan, do, check and act concepts.ISO 14001 also stresses theadditional concept of continualimprovement.
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Introduction to ISO 14001 (cont.)
ISO 14001 can be integrated intoan organization’s strategic planningprocess.
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Introduction to ISO 14001 (cont.)
REMEMBER THE ISO 14001 FRAME
PLAN
DO Continual
CHECK Improvement
ACT
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Overview of ISO 14001
General requirements (4.1)
This clause states that all sections ofthe standard must be complied within order to be in conformance withthe standard.
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Overview of ISO 14001(cont.)
Environmental Policy (4.2)
An environmental policy must beconstructed that contains the followingelements:
1. Relevant to activities
2. Comply with legislation
3. Commits to the prevention ofpollution
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Overview of ISO 14001(cont.)
Environmental Policy (cont.)
4. Commits to continualimprovement
5. Commits to setting environmentalobjectives and targets
6. Available to employees and public
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Overview of ISO 14001(cont.)
Environmental Aspects (4.3.1)
Identify environmental aspects for:
1. Normal operating conditions
2. Foreseeable deviations andemergencies
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Overview of ISO 14001(cont.)
Legal and Other Requirements (4.3.2)
Identify the following:
1. Legislation
2. Regulations
3. Other restrictions
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Overview of ISO 14001(cont.)
Objectives and Targets (4.3.3)
Environmental objectives and targetsmust be established which are consistentwith the environmental policy.
DOCUMENTED
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Overview of ISO 14001
Environmental Management Program (4.3.4)
1. Programs for the achievement ofobjectives and targets must be established.
2. Responsibilities designated.
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Overview of ISO 14001(cont.)
Structure and Responsibility (4.4.1)
1. Adequate resources and skills provided.
2. Management representative assigned tooperate and report.
DOCUMENTED
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Overview of ISO 14001(cont.)
Training, Awareness & Competence (4.4.2)
1. Employees must be aware ofenvironmental objective(s).
2. Employees in area of responsibilitymust have appropriate training.
3. Employees in the area of responsibilitymust be aware of consequences
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Overview of ISO 14001(cont.)
Communication (4.4.3)
1. System in place to receive andrespond to communications with respectto environmental aspects.
2. Process for both internal andexternal communication.
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Overview of ISO 14001(cont.)
Environmental Management SystemDocumentation (4.4.4)
1. Documented description of the EMS thatrelates policy, objectives and targets, andresponsibilities.
2. Must describe how to access associateddocuments.
DOCUMENTED
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Overview of ISO 14001(cont.)
Document Control (4.4.5)
There must be a document controlsystem.
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Overview of ISO 14001(cont.)
Operational Control (4.4.6)
1. Documented procedures must beprepared when they are needed to insureconformance.
2. Suppliers and contractorsinformed of procedures.
DOCUMENTED
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Overview of ISO 14001(cont.)
Emergency Preparedness and Response (4.4.7)
1. Foreseeable emergency situations mustbe identified, and procedures in place torespond.
2. Procedures tested periodically.
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Overview of ISO 14001(cont.)
Monitoring and Measuring (4.5.1)
1. Documented procedures for monitoringprocedures.
2. Calibrated equipment.
3. Procedure for evaluating compliancewith laws and regulations
DOCUMENTED
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Overview of ISO 14001(cont.)
Nonconformance and Corrective andPreventative Action (4.5.2)
Process in place for investigating andcorrecting nonconformance(s).
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Overview of ISO 14001(cont.)
Environmental ManagementRecords (4.5.3)
Record retention and archiving mustbe specified.
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Overview of ISO 14001(cont.)
Environmental Management System Audit (4.5.4)
1. The EMS must be audited to insure it isoperating as designed.
2. Audit results reported to management.
3. Nonconformance(s) must be addressed.
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Overview of ISO 14001(cont.)
Management Review (4.6)
1. Review must occur, with emphasison policy and objectives, to determine ifEMS is still effective for organization'sactivities.
2. Review the need to modify all orpart of the EMS due to changedconditions.
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Overview of ISO 14001(cont.)
REMEMBER THE FOLLOWING:
1. All sections are a “shall”.
2. “Documented” is used sparingly,more is probably appropriate.
3. Continually evolving process --audits, corrections, and changingcircumstances.
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ISO 14001 Definitions (cont..)
The definition section of the ISO 14001standard provides the foundation of theentire standard. They need to beunderstood is the standard is to beimplemented.
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ISO 14001 Definitions (cont..)
"3.1 -- Continual ImprovementProcess of enhancing the environmental
management system to achieve improvementsin overall environmental performance in linewith the organization's environmental policy.NOTE -- The process need not take place inall areas of activity simultaneously."
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ISO 14001 Definitions (cont..)
Continual improvement in this usageapplies only to the environmentalmanagement system. It does not directlyapply to environmental performance. Itis assumed that if the environmentalmanagement system is improved thatenvironmental performance will alsoimprove.
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ISO 14001 Definitions (cont..)
"3.2 -- EnvironmentSurroundings in which an organization operates,
including air, water, land, natural resources, flora,fauna, humans, and their interrelation.NOTE -- Surroundings in this context extend fromwithin an organization to the global system."
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ISO 14001 Definitions (cont..)
Includes environment and natural resources,but does not require the inclusion of safetyand industrial hygiene.
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ISO 14001 Definitions (cont..)
"3.3 -- Environmental AspectElement of an organization's activities,
products or services that can interact with theenvironment.NOTE -- A significant environmental aspect is anenvironmental aspect that has or can have asignificant environmental impact."
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ISO 14001 Definitions (cont..)
“Interact’ -- positive, neutral or negative
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ISO 14001 Definitions (cont..)
"3.4 -- Environmental ImpactAny change to the environment,
whether adverse or beneficial, wholly orpartially resulting from an organization'sactivities, products or services."
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ISO 14001 Definitions (cont..)
The combination of environmentalaspects with the environmental impactsis the first step in establishing thesignificance of the environmental aspect.
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ISO 14001 Definitions (cont..)
“3.5 -- Environmental Management SystemThe part of the overall management system
that includes organizational structure, planningactivities, responsibilities, practices, procedures,processes and resources for developing,implementing, achieving, reviewing andmaintaining the environmental policy."
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ISO 14001 Definitions (cont..)
“3.6 -- Environmental Management System AuditA systematic and documented verification
process of objectively obtaining and evaluatingevidence to determine whether an organization'senvironmental management system conforms to theenvironmental management system audit criteria setby the organization, and for communication of theresults of this process to management."
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ISO 14001 Definitions (cont..)
Checking to see if the EMS is beingimplemented properly at everyappropriate level of the organization.
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ISO 14001 Definitions (cont..)
"3.7 -- Environmental ObjectiveOverall environmental goal, arising
from the environmental policy, that anorganization sets itself to achieve, andwhich is quantifiable where practicable."
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ISO 14001 Definitions (cont..)
Specific goals that must be set toimplement the environmental policy.
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ISO 14001 Definitions (cont..)
“3.8 -- Environmental PerformanceMeasurable results of the environmental
management system, related to an organization'scontrol of its environmental aspects, based uponits environmental policy, objective and targets."
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ISO 14001 Definitions (cont..)
“3.9 -- Environmental PolicyStatement by the organization of its
intentions and principles in relation to its overallenvironmental performance which provides aframework for action and for the setting of itsenvironmental objectives and targets."
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ISO 14001 Definitions (cont..)
The entire environmental managementsystem is designed to meet thecommitments of the environmentalpolicy. It provides the framework forsetting the environmental objectives andtargets.
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ISO 14001 Definitions (cont..)
"3.10 -- Environmental TargetDetailed performance requirement,
quantified where practicable, applicableto the organization or parts thereof, thatarises from the environmental objectivesand that needs to be set and met in orderto achieve those objectives."
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ISO 14001 Definitions (cont..)
Detailed performance requirement thatarise from environmental objective.Must be measurable and quantifiable.
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ISO 14001 Definitions (cont..)
"3.11 -- Interested PartyIndividual or group concerned
with or affected by the environmentalperformance of an organization."
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ISO 14001 Definitions (cont..)
"3.12 -- OrganizationCompany, corporation, firm, enterprise,
authority or institution, or part or combinationthereof, whether incorporated or not, public orprivate, that has its own functions andadministration.NOTE -- For organizations with more than oneoperating unit, a single operating unit may bedefined as an organization."
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ISO 14001 Definitions (cont..)
"3.13 -- Prevention of PollutionUse of processes, practices, materials or
products that avoid, reduce or control pollution,which may include recycling, treatment, processchanges, control mechanisms, efficient use ofresources and material substitution.NOTE -- The potential benefits of prevention ofpollution include the reduction of adverseenvironmental impacts, improved efficiency andreduced costs."
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ISO 14001 Definitions (cont..)
The organization must commit to reviewand utilize where appropriate the followingprevention of pollution techniques --recycling, treatment, process change, controlmechanisms,efficient use of resources andmaterial substitution.
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ISO 14001 Definitions (cont..)
ConformanceThe condition or fact of being in
harmony or agreement; correspondence;congruity; similarity.
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ISO 14001 Definitions (cont..)
ComplianceComplying, or giving in to a
request, demand, wish, etc. Also--incompliance with, in accordance with.
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ISO 14001 Definitions (cont..)
Conformance is utilized in ISO 14001.Compliance is associated with commandand control activities such asenvironmental laws.
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General Requirements (cont.)
In order to be considered for compliancewith the requirements of ISO 14001 everyelement of Section 4, EnvironmentalManagement System Requirements, mustbe addressed.
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General Requirements (cont.)
ISO 14001 does contain Annex A(Informative) -- Guidance on the Use of theSpecification. This is only guidance thereare not any third party audit issuescontained within Annex A.
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General Requirements (cont.)
Section 4.1 clearly states that all issues laidout in Section 4 must be addressed.
THIS IS THE PURPOSE OF 4.1
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Environmental Policy (cont.)
The Environmental Policy statement isthe keystone of the environmentalmanagement system.
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Environmental Policy (cont.)
Must contain and communicate:
• mission and core values with respect to theenvironment, and
• commitments to control and improveenvironmental performance with respect tosignificant environmental aspects of theorganization’s products, activities and/orservices.
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Environmental Policy (cont.)
Content requirements of the EnvironmentalPolicy statement:
1. Appropriate to organization’senvironmental impacts,
2. Provides framework for settingEnvironmental Objectives and Targets,
3. Commitment to continual improvement,
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Environmental Policy (cont.)
Content requirements of the EnvironmentalPolicy statement: (cont.)
4. Commitment to prevention of pollution,
5. Commitment to comply withenvironmental laws and regulations, and otherrequirements to which the organizationsubscribes,
6. Document and implement theEnvironmental Policy, and
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Environmental Policy (cont.)
Content requirements of the EnvironmentalPolicy statement: (cont.)
7. Commitment to communicate theEnvironmental Policy to the Public.
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Environmental Policy (cont.)
Appropriate…environmental impacts:
1. Every organization has uniqueinteractions with and impacts on theenvironment.
2. Must demonstrate that it is fully awareof all relevant environmental issues and theirpotential impact and importance.
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Environmental Policy (cont.)
Organization will need to review at a minimumthe following:
• its operation,
• pollutant emissions and releases,
• past environmental performance,
• location,
• land use activities,
• sensitive environmental areas,
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Environmental Policy (cont.)
Organization will need to review at a minimum thefollowing: (cont.)
• environmental impacts from other organizationsnearby,
• environmental legislation and regulation,
• community stakeholder views,
• etc.
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Environmental Policy (cont.)
Framework…Objectives & Targets:
• Each Environmental Objective must betraceable back to the Environmental Policystatement.
• Every action, requirement, procedure,etc., must trace back to the EnvironmentalPolicy statement.
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Environmental Policy (cont.)
Continual Improvement:
This issue focuses on the improvementof the environmental managementsystem. The system must be reviewed ata set frequency for changed aspects andimpacts.
Yearly
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Environmental Policy (cont.)
Commitment to Prevention of Pollution:
Once Environmental Objectives havebeen established the only requirement isthat prevention of pollution be evaluatedas one of the alternatives.
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Environmental Policy (cont.)
Commitment to comply...environmental laws ®ulations:
1. This statement is straightforward.
2. No clause in ISO 14001 requiresunconditional compliance.
3. What is required?
a. Identify applicable laws and regulations,
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Environmental Policy (cont.)
Commitment to comply...environmental laws ®ulations: (cont.)
b. decide whether in compliance or noncompliance,
c. for those areas where noncompliance exists, develop an action plan to correctnoncompliance, and
d. establish a system to maintain compliance.
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Environmental Policy (cont.)
Commitment to comply...environmental laws ®ulations: (cont.)
4. Does an organization need to be in fullcompliance in order to conform with ISO 14001? NO
5. A continued pattern of noncompliance maydemonstrate a lack of a “system to maintaincompliance”.
6. Include voluntary guidelines.
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Environmental Policy (cont.)
Document and implement:
Executive level manager must sign theEnvironmental Policy statement.Document control must be utilized.
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Environmental Policy (cont.)
Communicate…Employees:
All employees within the organizationmust understand and recognize thecommitments. Additionally, eachemployee should know how their jobfunction interacts with theEnvironmental Policy statement.
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Environmental Policy (cont.)
Communicate…Public:
The Environmental Policy statementmust be made available to the public.
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Planning Requirements (cont.)
The planning phase of ISO 14001contains four distinct steps:
1. Environmental Aspectsdetermination (4.3.1),
2. Legal and Other Requirementsdocumentation (4.3.2),
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Planning Requirements (cont.)
The planning phase of ISO 14001contains four distinct steps:
3. Objectives and Targetsdevelopment (4.3.3), and
4. Environmental ManagementProgram development (4.3.4)
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Planning Requirements (cont.)
The four step process may cause theEnvironmental Policy (4.2) statement tobe an iterative process. Don’t view thispossibility as an impediment. It is just aopportunity to strengthen theEnvironmental Policy statement.
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Environmental Aspects (cont.)
The organization must determine itsenvironmental aspects and thenarrive at a list of the most importantor significant aspects.
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Environmental Aspects (cont.)
There are three distinct requirements:
1. The organization must identifythe environmental aspects of itsproducts, services and/or activities.
How does it interact with environment?
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Environmental Aspects (cont.)
There are three distinct requirements:(cont.)
2. The organization shall identify thespecific aspects that can be controlled, andover which it can be expected to haveinfluence.
Control versus Influence
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Environmental Aspects (cont.)
There are three distinct requirements:(cont.)
3. The organization must arrive at alist of significant aspects based upon theindividual impact of each aspect.
Which are the most important?
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Environmental Aspects (cont.)
Identify Environmental Aspects
Potential list of environmental aspects:
1. releases of material to the air, waterand/or soil;
2. disposal of wastes;
3. energy and natural resourceconsumption;
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Environmental Aspects (cont.)
Identify Environmental Aspects(cont.)
Potential list of environmental aspects:
4. noise levels;
5. transportation and/or storage of materials ;
6. manufacturing processes;
7. etc.
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Environmental Aspects (cont.)
The purpose of this step is not todetermine the importance of eachaspect. The purpose of the step is todevelop a complete listing of how theorganization interacts with theenvironment.
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Environmental Aspects (cont.)
The procedure developed mustinclude non routine conditions.
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Environmental Aspects (cont.)
The concept of continual improvementmust be included. The overall list ofenvironmental aspects can be influencedby future changes in laws, changes inoperations, etc.
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Environmental Aspects (cont.)
Controlled…Influence:
The organization needs to identifywhich of its environmental aspectsthat it can control versus those overwhich it only has influence
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Environmental Aspects (cont.)
Controlled…Influence: (cont.)
The simple approach here is to onlyinclude those over which it hascontrol. However, this might not beenough in all cases. The use of lifecycle analysis might be necessary inthe design of products.
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Environmental Aspects (cont.)
Controlled…Influence: (cont.)
This is a “grey” area in the standard.
The procedure that is utilized willneed to address this “grey” area.
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Environmental Aspects (cont.)
Significant EnvironmentalAspects
The process of arriving at a list ofsignificant environmental aspectsmust be a reasonable andunderstandable procedure.
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Environmental Aspects (cont.)
Significant EnvironmentalAspects (cont.)
The following criteria could be used:
1. perceived risk (human health vs. ecosystem);
2. impact analysis (internal, regional global);
3. probability of occurrence;
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Environmental Aspects (cont.)
Significant Environmental Aspects(cont.)
The following criteria could be used: (cont.)
4. direct or indirect control;
5. regulated or non-regulated;
6. resource utilization;
7. community interest;
8. etc.
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Environmental Aspects (cont.)
Significant EnvironmentalAspects (cont.)
Utilize the preceding information todevelop a risk based matrix thatevaluates all the aspects for ranking.The information that is utilized in thematrix should be quantitative innature, not qualitative.
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Environmental Aspects (cont.)
Review Points:1. Organization mustdemonstrate that it understandshow it interacts with theenvironment.
2. Explain its position on“control vs. Influence”.
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Environmental Aspects (cont.)
Review Points: (cont.)
3. Explain how it arrived atsignificant environmentalaspects based upon impacts.
4. Develop a procedure thatincorporates the three requiredsteps.
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Environmental Aspects (cont.)
The procedure describing theestablishment of the significantenvironmental aspects will beaudited very closely under theconformance review of ISO14001.
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Legal and Other Requirements (cont.)
The organization must know andunderstand which environmentallaws and regulations govern itsoperation.
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Legal and Other Requirements (cont.)
Three requirements:
1. Must understand whichenvironmental laws and regulationsgovern its operations.
2. Must be able to explain therequirements of the appropriate lawsand regulations.
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Legal and Other Requirements (cont.)
Three requirements: (cont.)
3. Demonstrate that it keeps up todate on the environmental laws,regulations and requirements.
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Legal and Other Requirements (cont.)
Additional Point:
If the organization voluntarilysubscribes to any environmentalguidelines and/or requirements thepreceding three points must befollowed.
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Legal and Other Requirements (cont.)
This section does not contain theword “document” in the language ofthe standard. However, the onlypractical manner to demonstrateconformance is to assemble in oneplace a complete list and copies ofthe referenced material.
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Environmental Objectives and Targets
ENVIRONMENTALOBJECTIVES ANDTARGETS (4.3.3)
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Environmental Objectives and Targets(cont.)
Environmental Objectives are essentiallythe “goals” that are established to meetthe “vision” statement of the organization.
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Environmental Objectives and Targets(cont.)
The “vision” statement of the organizationis its Environmental Policy statement.
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Environmental Objectives and Targets(cont.)
Once these “goals” have beenestablished detailed workplans andschedules need to be established toarrive at the “goals”. The detailedworkplans and schedules are knownas the Environmental Targets.
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Environmental Objectives and Targets(cont.)
ISO 14001 requires that EnvironmentalObjectives and Targets be quantitativerather than qualitative. In addition everylevel of the organization must be examinedfor inclusion in the Environmental Targets.
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Environmental Objectives and Targets(cont.)
ISO 14001 also requires that theEnvironmental Objectives andTargets be documented.
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Environmental Objectives and Targets(cont.)
There are four distinct contentrequirements for the development ofthe Environmental Objectives andTargets:
1. Organization must consider thematerial developed in the Legal andOther Requirements (4.3.2) section.
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Environmental Objectives and Targets(cont.)
four…content requirements… (cont.)
2. The organization must utilize the listof significant environmental aspectspreviously developed.
3. The organization must evaluate theprevention of pollution commitmentinclude in the Environmental Policystatement.
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Environmental Objectives and Targets(cont.)
four…content requirements… (cont.)
4. The organization must ensure thatthe views of interested parties areconsidered in the process of developingthe Environmental Objectives.
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Environmental Objectives and Targets(cont.)
Legal and Other Requirements
A reasonable approach here might be to developan objective for all the applicable environmentallaws and regulations and their correspondingrequirements. Once compliance with a certainrequirement is obtained the associated targetcould be set to a maintenance level of activity.
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Environmental Objectives and Targets(cont.)
Significant Environmental Aspects
The organization must evaluate everysignificant environmental aspect forinclusion as an Environmental Objective. Ifa significant environmental aspect is notcarried forward into an objective theorganization must provide a plausible andrational explanation.
Technology or Financial Limitations
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Environmental Objectives and Targets(cont.)
Prevention of Pollution
An organization must evaluate the applicationof prevention of pollution techniques in thedevelopment of Environmental Targets. If theprevention of pollution approaches evaluatedare not cost effective they do not need to beemployed in a specific case.
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Environmental Objectives and Targets(cont.)
Interested Parties
The organization will need to developand maintain a process foraccepting, evaluating and addressingoutside comments.
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Environmental ManagementPrograms
ENVIRONMENTAL MANAGEMENTPROGRAMS (4.3.4)
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Environmental ManagementPrograms (cont.)
This section of ISO 14001 requiresfour distinct steps:
1. The organization mustdemonstrate that it has established amanagement program for achievingits objectives and targets.
2. Assigned responsibility at allappropriate levels.
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Environmental ManagementPrograms (cont.)
This section of ISO 14001 requiresfour distinct steps: (cont.)
3. The organization must specifytime frames and mechanismsneeded.
4. The organization must employ“continual improvement” whenappropriate.
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Environmental ManagementPrograms (cont.)
This section of the standard completes the“PLANNING PROCESS” of ISO 14001. Theplanning process contained the followingelements:
1. Environmental Aspects,
2. Legal and Other Requirements,
3. Objectives and Targets, and
4. Management Programs
Now it is time to move to Implementation!
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Implementation and Operation (cont.)
Section 4.4 of the standard contains theoverall requirements for the organizationaland operational roles and structures of theISO 14001 environmental managementsystem.
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Implementation and Operation (cont.)
The major topics within the Implementation andOperation heading are:
A. Structure and Responsibility (4.4.1)
Who does what?
B. Training, Awareness and Competence (4.4.2)
Who needs to be trained?
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Implementation and Operation (cont.)
The major topics within the Implementation andOperation heading are: (cont.)
C. Communication (4.4.3)
What communication system needs to be
established?
D. Environmental Management System
Documentation (4.4.4)
What level of documentation is needed?
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Implementation and Operation (cont.)
The major topics within the Implementation and Operationheading are: (cont.)
E. Document Control (4.4.5)
How do you keep current and accurate documents?
F. Operational Control (4.4.6)
How do you insure that the operations are controlled
properly?
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Implementation and Operation (cont.)
The major topics within the Implementation andOperation heading are: (cont.)
G. Emergency Preparedness and Response (4.4.7)
How do you plan and respond to emergency
situations?
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Structure and Responsibility (cont.)
The basic issue that needs tobe addressed in the Structureand Responsibility section ofthe standard is
“WHO DOES WHAT?”
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Structure and Responsibility (cont.)
Three specific tasks must beaddressed:
A. Responsibilities of eachindividual and and unit within theorganization must be defined anddocumented with respect to theEMS.
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Structure and Responsibility (cont.)
Three specific tasks must be addressed:(cont.)
B. Adequate resources must beprovided to implement and maintain theEMS.
C. Management representative must beappointed to ensure conformance andcontinual improvement.
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Structure and Responsibility (cont.)
Everyone’s role with respect to theEMS must be documented andcommunicated -- In other wordsevery member of the organizationmust recognize and understand theirrole.
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Structure and Responsibility (cont.)
Top management must commit theresources necessary to support theEMS:
•manpower,
•special skills,
•technology, and
•financial
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Structure and Responsibility (cont.)
The appointed management representativemust have the responsibility and necessaryauthority to perform the following:
•establish ISO 14001 requirements,
•review implementation
•determine operational conformance with ISO14001, and
•report to top management on conformanceand continual improvement .
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Training, Awareness andCompetence
TRAINING, AWARENESSAND COMPETENCE (4.4.2)
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Training, Awareness andCompetence (cont.)
The basic issue that needs to beaddressed in the Training,Awareness and Competency sectionof the standard is
WHO NEEDS TO BE TRAINED?
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Training, Awareness andCompetence (cont.)
There are two types of trainingrequired:
A. General Awareness, and
B Technical and Skills
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Training, Awareness andCompetence (cont.)
Awareness Training
The entire organization should havegeneral awareness training.
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Training, Awareness andCompetence (cont.)
The general awareness training shouldconsist of the following:
1. Importance of the EMS,
2. Various roles within the organizationfor achieving and maintaining the EMS, and
3. Consequences of deviating from theEMS.
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Training, Awareness andCompetence (cont.)
Technical and Skills training has twosubdivisions:
1. Provided for those individualsand units which are responsible foractivities that may create significantenvironmental impacts.
2. Emergency Preparedness andResponse.
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Training, Awareness andCompetence (cont.)
The level of training will depend uponthe complexity of the activity and thelevel of education and experience ofthe personnel involved.
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Training, Awareness andCompetence (cont.)
The organization must developcompetency standards for the training.
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Communication (cont.)
The basic issue that needs to beaddressed in the Communication sectionof the standard is
WHAT COMMUNICATION SYSTEMNEEDS TO BE ESTABLISHED?
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Communication (cont.)
Three issues must be addressed:
1. Organization must establish and maintain aninternal communication system for the EMS.
2. Organization must establish a system forresponding to external communication with respectto the EMS.
3. Organization should decide whether tocommunicate significant environmental aspects toexternal parties.
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Communication (cont.)
The internal communicationrequirement already existswithin the standard.
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Communication (cont.)
The wording used is the standardwith respect to the remainingrequirements becomes “grey” .
i.e. “relevant” & “record its decision”
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Communication (cont.)
It is left to the organization todetermine what is “relevant”, andtherefore what it is required torespond to from externalcommunication.
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Communication (cont.)
The standard raises the issue ofcommunicating to external partiesinformation on the significantenvironmental aspects of theorganization. The standard thengoes on to state that the organizationmust “record its decision” whether tocommunicate this information.
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Communication (cont.)
The Communication Section of thestandard should be read verycarefully, and the organization’sinteractions with external partiesevaluated carefully.
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Environmental ManagementSystem Documentation
ENVIRONMENTALMANAGEMENT SYSTEMDOCUMENTATION (4.4.4)
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Environmental ManagementSystem Documentation (cont.)
The basic issue that needs to beaddressed in the EnvironmentalManagement System Documentationof the standard is
WHAT LEVEL OF DOCUMENTATIONIS NEEDED?
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Environmental ManagementSystem Documentation (cont.)
Three issues must be addressed:
1. Organization must describe thefoundation elements of the EMS in eitherpaper or electronic format.
2. Description must demonstrate theinteraction between elements.
3. Description must reference the relateddocumentation.
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Environmental ManagementSystem Documentation (cont.)
When reviewing the standard the requirements fordocumentation are based upon the presence of thefollowing:
1. Word -- “document”; and,
2. Phrases --
a. “establish and maintain procedures”,and
b. “establish and maintain programme(s)”
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Environmental ManagementSystem Documentation (cont.)
When reviewing the language of thestandard either the word “document”or one of the phrases is discoveredin every section.
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Environmental ManagementSystem Documentation (cont.)
The standard is silent on the form ofthe documentation. The developmentof an environmental managementsystem manual is one possibleapproach.
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Environmental ManagementSystem Documentation (cont.)
One possible format for the EMS manual:
A. Planning (4.2 and 4.3.1 through 4.3.4)
B. Program Overview (4.4.1 through 4.4.7 and 4.5.1 through 4.5.4)
C. Management Review (4.6)
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Environmental ManagementSystem Documentation (cont.)
Planning section of the EMS manualwould include the development of theenvironmental policy, significantenvironmental aspect, objectives andtargets and the workplans andtimelines for the objectives andtargets.
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Environmental ManagementSystem Documentation (cont.)
Environmental Management ProgramOverview section of the manual wouldinclude the structure and responsibilitycharts and the procedures and evidencerequired by sections 4.4 and 4.5 of thestandard.
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Environmental ManagementSystem Documentation (cont.)
The Management Review section of theEMS manual would contain the recordsof the review by top management.
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Environmental ManagementSystem Documentation (cont.)
The potential benefits to this approach arethat it ties together the vision and goals ofthe organization in the first section of themanual. The second section of themanual contains the necessaryprocedures and evidence to support thevision and goals. The final section of themanual contains the record of review bytop management with respect to the visionand goals.
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Environmental ManagementSystem Documentation (cont.)
The EMS manual should be kept assimple and streamlined as possible. Donot create a collection of documents morecomplicated than necessary to meet therequirements of this section of thestandard
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Document Control (cont.)
The basic issue that needs to beaddressed in the Document Controlsection of the standard is
HOW DO YOU MAINTAINCURRENT AND ACCURATE
DOCUMENTS?
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Document Control (cont.)
Six issues must be addressed:
1. Scope of the overall document controlsystem needs to be defined.
2. Must be a document approval orauthorization process.
3. Maintain a document revision trackingprocess.
4. Insure that correct revisions are availableat workstations.
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Document Control (cont.)
Six issues must be addressed: (cont.)
5. Out of date documents promptlyremoved from workstations.
6. Out of date documents that needto be archived for historical purposesare maintained at a separate location.
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Document Control (cont.)
The primary purpose of the documentcontrol system is to insure that only thecurrent and approved documents areemployed in the planning andimplementation of the EMS.
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Operational Control (cont.)
The basic issue that needs to beaddressed in the Operation Controlsection of the standard is
HOW DO YOU INSURE THAT THEOPERATIONS ARE CONTROLLEDPROPERLY?
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Operational Control (cont.)
Three issues must be addressed:
1. Organization must identify theoperations and activities that are directlyassociated with the SignificantEnvironmental Aspects.
2. Organization must develop proceduresand operational criteria, includingmaintenance, that address these specificoperations and activities.
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Operational Control (cont.)
Three issues must be addressed: (cont..)
3. Organization must communicatethe procedures and operational criteria tosuppliers of products and services thatmight interact with the establishedSignificant Environmental Aspects.
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Operational Control (cont.)
The first two points have been previouslyaddressed and evaluated during thedevelopment of Environmental Policy statement,Significant Environmental Aspects and theEnvironmental Objectives and Targets. Thissection of the standard reinforces the need fordocumented procedures for those programsdirectly related to Significant EnvironmentalAspects.
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Operational Control (cont.)
The third point references the “control andinfluence” concept. The organization willneed to communicate relevant portions ofthe EMS to suppliers and contractors iftheir activities and services have thepotential to interact with the organization’sSignificant Environmental Aspects.
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Emergency Preparedness andResponse
EMERGENCYPREPAREDNESS ANDRESPONSE (4.4.7)
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Emergency Preparedness andResponse (cont.)
The basic issue that needs to beaddressed in the EmergencyPreparedness and Responsesection is
HOW DO PLAN ANDRESPOND TO EMERGENCYSITUATIONS?
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Emergency Preparedness andResponse (cont.)
Three specific issues must be addressed:
1. Organization must identify thepossibilities for accidents and emergencysituations.
2. Organization must prepare emergencypreparedness and response procedures.
3. Organization should evaluate and reviseas appropriate the procedures.
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Emergency Preparedness andResponse (cont.)
NOTE: The Emergency Preparednessand Response section of the standardapplies to the entire organization, not justthe Significant Environmental Aspects.
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Emergency Preparedness andResponse (cont.)
Potential process steps:
•inventorying hazardous substances
•identifying potential accident scenarios
•modeling potential distribution patterns
•evaluating potential impacts
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Emergency Preparedness andResponse (cont.)
Once the preceding steps have beencompleted the organization shoulddevelop procedures to potentiallyeliminate the incidents.
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Emergency Preparedness andResponse (cont.)
Organization should also developprocedures to respond to thepotential accidents.
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Emergency Preparedness andResponse (cont.)
The emergency response proceduresshould be tested periodically.
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Checking and CorrectiveAction (cont.)
Section 4.5 of the standard contains theoverall requirements for the checking(data collection) and corrective action(assessment) requirements of the ISO14001 environmental managementsystem.
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Checking and CorrectiveAction (cont.)
The major topics within the Checking andCorrective Action heading are:
1. Monitoring and Measurement (4.5.1)
How does the organization evaluatethe key characteristics of the EMS with respect to conformance with both the Environmental Objectivesand Targets and environmental lawsand regulations?
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Checking and CorrectiveAction (cont.)
The major topics within the Checking andCorrective Action heading are: (cont.)
2. Nonconformance and Corrective andPreventative Action (4.5.2)
How does the organization handlenonconformance with respect to theEMS?
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Checking and CorrectiveAction (cont.)
The major topics within the Checking andCorrective Action heading are:(cont.)
3. Records (4.5.3)
How does the organization handle records associated with the EMS?
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Checking and CorrectiveAction (cont.)
The major topics within the Checking andCorrective Action heading are: (cont.)
4. Environmental Management SystemAudit (4.5.4)
How does the organization conductenvironmental audits of the EMS?
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Monitoring and Measuring (cont.)
Section 4.5.1 of the standard containsthe requirements for monitoring andmeasurement of those activities relatedto the significant environmental aspectsof ISO 14001.
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Monitoring and Measuring (cont.)
The basic issue that needs to be addressed inthe monitoring and measurement section is
HOW DOES AN ORGANIZATION EVALUATETHE KEY CHARACTERISTICS OF THE EMSWITH RESPECT TO CONFORMANCE WITHTHE ENVIRONMENTAL OBJECTIVES ANDTARGETS AND COMPLIANCE WITHENVIRONMENTAL LAWS ANDREGULATIONS?
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Monitoring and Measuring (cont.)
Three specific issues must be addressed:
1. Organization must establish a documentedprocedure to monitor and measure on a setfrequency the activities that are related to thesignificant environmental aspects.
2. Organization must ensure that the devicesused for monitor and measure are calibratedaccurately.
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Monitoring and Measuring (cont.)
Three specific issues must be addressed:(cont.)
3. Organization must establish adocumented procedure for evaluating ona set frequency compliance withenvironmental laws and regulations.
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Monitoring and Measuring (cont.)
Remember the significant environmentalaspects lead to the development of theobjectives and targets. The monitoringprograms must be directly related toeach established target.
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Monitoring and Measuring (cont.)
Calibration of monitoring and measuringdevices is required to insure that theorganization has control of accuracy andprecision issues.
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Monitoring and Measuring (cont.)
ISO 14001 requires that the organizationevaluate, understand and recognize itsobligations with respect to applicableenvironmental laws and regulations. Adocumented procedure with a set frequencymust be developed to review compliancewith laws and regulations.
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Monitoring and Measuring (cont.)
ISO 14001 requires that the organizationmaintain these records.
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Nonconformance and Corrective andPreventative Action
NONCONFORMANCE ANDCORRECTIVE ANDPREVENTATIVE ACTION(4.5.2)
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Nonconformance and Corrective andPreventative Action (cont.)
Section 4.5.2 of the standardcontains the requirements foraddressing, correcting andpreventing nonconformance withinthe environmental managementsystem.
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Nonconformance and Corrective andPreventative Action (cont.)
The basic issue that needs to beaddressed in the nonconformanceand corrective and preventativesection is
HOW DOES THE ORGANIZATIONHANDLE NONCONFORMANCEWITH RESPECT TO THE EMS?
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Nonconformance and Corrective andPreventative Action (cont.)
Three specific issues must be addressed:
1. Organization must develop a procedurefor investigating nonconformance from theestablished EMS (include responsibility andauthority).
2. Organization must take the necessaryactions to mitigate impacts.
3. Organization will need to modify existingprocedures as preventative action.
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Nonconformance and Corrective andPreventative Action (cont.)
4.5.2 is aimed at the following process:
1. document the nonconformance;
2. notify and mitigate;
3. investigate the cause;
4. prevent reoccurrence;
5. modify existing procedure (preventative);and,
6. communicate changed procedure.
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Nonconformance and Corrective andPreventative Action (cont.)
Where does the evidence of a nonconformanceoriginate?
1. internal reporting system of the EMS, and
2. external sources such as suppliers, end users and stakeholders.
There must be recognition for the potential ofexternal communication with respect tononconformance.
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Records (cont.)
Section 4.5.3 of the standard containsthe requirements for records within theenvironmental management system.
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Records (cont.)
The basic issue that needs to beaddressed in the records section is
HOW DOES THE ORGANIZATIONHANDLE RECORDS ASSOCIATEDWITH THE EMS?
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Records (cont.)
Three specific issues must be addressed:
1. Organization must establish andmaintain a records retention system for thenecessary supporting documentationrelating to the EMS.
2. Organization must establish retentiontimeframes for the records.
3. Records archived in a traceable andidentifiable fashion.
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Records (cont.)
Universe of records for retention:
1. Legal and other requirements
2. Permits
3. Environmental aspects and impacts
4. Environmental training
5. Inspection and calibration information
6. Monitoring data
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Records (cont.)
Universe of records for retention: (cont.)
7. Nonconformance reports and follow-upinformation
8. Environmental audits
9. Management reviews
10. Emergency preparedness responseinformation
11. Etc.
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Records (cont.)
Retention Time Frames:
1. Permits--established by regulatorygroups
2. Suggestion--maintain records relatedto previous nonconformance longer thanother time frames.
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Records (cont.)
Record system should be indexedand archived in such a manner thatany searches can be accurately andquickly completed.
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Records (cont.)
NOTE:
The records that support the EMSare extremely important to theorganization with respect to auditsand management reviews.
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Environmental ManagementSystem Audits
ENVIRONMENTALMANAGEMENT SYSTEMAUDITS (4.5.4)
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Environmental ManagementSystem Audits (cont.)
Section 4.5.4 of the standardcontains the requirements for auditsof the environmental managementsystem.
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Environmental ManagementSystem Audits (cont.)
The basic issue that needs to beaddressed in the EMS audit section is
HOW DOES THE ORGANIZATIONCONDUCT ENVIRONMENTALAUDITS OF THE EMS?
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Environmental ManagementSystem Audits (cont.)
Four specific issues must be addressed:
1. Organization must develop a programand procedures that define the audit plan,including frequency.
2. Procedures must define methodologyand qualifications of auditors.
3. Requirement that audit reports besubmitted to top management.
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Environmental ManagementSystem Audits (cont.)
Four specific issues must beaddressed: (cont.)
4. Audit reports must containrecommendations for correcting anynonconformance discovered.
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Environmental ManagementSystem Audits (cont.)
Frequency of audits:
1. Mature systems -- once a year,
2. Implementation phase -- morefrequent, and
3. Nonconformance areas -- morefrequent.
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Environmental ManagementSystem Audits (cont.)
Methodology requirements:
1. Determine conformance withrequirements of ISO 14001, and
2. That the EMS has been managed asdescribed in the Environmental Policystatement, the Environmental Objectivesand Targets, and related work descriptionsand procedures.
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Management Review (cont.)
Section 4.6 of the standard containsthe requirements for top managementreview of the EMS.
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Management Review (cont.)
The basic issue that needs to beaddressed in the managementreview section is
WHAT MUST HAPPEN DURINGTHE MANAGEMENT REVIEW?
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Management Review (cont.)
Three specific issues must be addressed:
1. Top management must conduct reviews ofthe EMS on a set frequency.
2. Top management must evaluate theexisting information on the EMS to determine if itis adequate.
3. Top management must evaluate the needfor modifying the Environmental Policy and theEnvironmental Objectives.
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Management Review (cont.)
What material should be provided to topmanagement:
1. compliance information,
2. internal audit reports,
3. progress reports w/r to environmental targets,
4. information w/r to environmental aspects, and
5. internal and external communications w/r toEMS.
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Management Review (cont.)
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PLAN
IMPLEMENT
CHECK
ACT
TopManagement
Drives Continuous
Improvement