Introduction to ISO 14001 Implementation : Introduction to ISO 14001 Implementation
Protecting the Environment is Everyone’s Job
Agenda : Agenda Supplier Workbook
ISO 14001 & Environmental Management Systems
Assessing What You Have
Management Commitment
Establishing The Approach
Planning
System Documents
ISO 14001 Supplier Workbook : ISO 14001 Supplier Workbook Purpose
Learning aid in visualizing EMS documents
Jump start to development & implementation
EMS Template fulfills ISO 14001 4.4.4 requirement for system documentation (i.e., EMS Manual)
ISO 14001 Supplier Workbook : ISO 14001 Supplier Workbook Contents
Presentation slides
Launch & implementation tools
EMS template (must be modified to address local considerations)
Resources
EMS Template : EMS Template Contents
EMS manual & appendices - identifies EMS documents and relationship to ISO 14001
Environmental policy
Aspects, objectives & targets
Legal & other requirements
Environmental management programs
EMS Template : EMS Template Contents
Structure & responsibility
Training matrix
Procedures
Work practices
Master document list
Master records list
ISO 14001 & Environmental Management Systems : ISO 14001 & Environmental Management Systems
The Basics
Birth Of An EMS Standard : Birth Of An EMS Standard
September 1996- ISO 14001 EMS finalized
"Environmental Management Systems- Specification With Guidance For Use"
International Organization For Standardization
ISO 9001 & 9002 QMS created by same organization
Definitions : Definitions Env. Management System (EMS): the part of the overall management system that includes organizational structure, planning activities, responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining the environmental policy
Definitions : Definitions Environmental Management
Representative (EMR)
Ultimate responsibility for EMS
Directs Cross Functional Team in developing, implementing, and maintaining EMS
Reports EMS performance to management
Definitions : Definitions Cross Functional Team (CFT)
Representatives from main areas & departments
Standing team
EMS development
Supports implementation & maintenance
Definitions : Definitions Env. Aspect: element of an organization’s activities, products or services that can interact with the environment
Env. Impact: any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization’s activities, products or services
Definitions : Definitions Env. Objective: overall … goal, arising from the … policy, … which is quantified where practicable
Env. Target: detailed performance requirement, quantified where practicable, ... that needs to be set and met in order to achieve ... (the stated objective) ...
Definitions : Definitions Environmental Performance: measurable results of the environmental management system, related to an organization's control of its environmental aspects, based on its environmental policy, objectives and targets
Slide16 : Definitions
“it is intended that the implementation of an environmental management system described by … (ISO 14001)… will result in improved environmental performance”
(Annex A A.1)
Definitions : Definitions Env. Management Program: documented plan for achieving an objective & target that includes:
Responsibilities
Means
Time frames
ISO 14001 Elements : ISO 14001 Elements
ISO 14001 Elements : ISO 14001 Elements
ISO 14001 Elements : ISO 14001 Elements
ISO 14001 Elements : ISO 14001 Elements
Assessing What You Have : Assessing What You Have
You Have More Than You Think!
Assessing What You Have : Assessing What You Have Understand What You Should Have
Review ISO 14001 requirements
Review internal requirements
Review Ford & other requirements
Assessing What You Have : Assessing What You Have Review Internal Requirements
Corporate, Division & Plant
Directives
Guidelines
Procedures
Business Plans
Assessing What You Have : Assessing What You Have Review Ford & Other Requirements
ISO 14001 registration
Material restrictions (WSS-M99P9999-A1)
Recyclable plastic & polymeric materials (E4)
Packaging solutions
Material approval - production & non-production
Assessing What You Have : Assessing What You Have Review What You Do Have
Identify current management systems (Environmental, Quality, Health & Safety,etc.)
How were systems implemented?
What are the system elements?
What works & what doesn’t?
Where are the opportunities?
Assessing What You Have : Assessing What You Have Review What You Do Have
Identify operating components
Applicable areas & departments?
What processes, activities & services are in each?
External support?
Assessing What You Have : Assessing What You Have Review What You Do Have
Document key information
What products are made?
What materials are used?
What types of wastes & discharges are generated?
What sources of energy are required?
Assessing What You Have : Assessing What You Have Review What You Do Have
Identify regulatory compliance
permits and governmental reports
Review compliance status
Review environmental programs
Ex.: Elimination of Hg containing lighting
Assess training & audit programs
Assessing What You Have : Assessing What You Have Review What You Do Have
Identify relevant environmental
plans & procedures
Ex.: Spill prevention plan
Ex.: Document control procedure
Review organizational structure & environmental responsibilities
Assessing What You Have : Assessing What You Have Determine Resource Needs
Resources depend on:
Size & complexity of facility
ISO 9001/2 registration
Applicable environmental requirements
Workloads
Assessing What You Have : Assessing What You Have Determine Resource Needs
General assumptions
Development & implementation: 10 months
Awareness training: 45 min per employee
Procedure training: 15 min per procedure & employee
Management Commitment : Management Commitment
An Absolute Requirement
Management Commitment : Management Commitment Management Responsibilities
Selects & supports Environmental
Management Representative (EMR)
Establishes environmental policy
Provides resources to implement and maintain Env. Management System (EMS)
Approves & periodically reviews EMS
Management Commitment : Management Commitment Management Launch Meeting
Provide understanding of benefits, requirements & effort
Select an EMR & CFT
Establish registration date
Document commitment
>Section 2: Launch & Implementation Tools<
Management Commitment : Management Commitment Launch Document
Management meeting
launch guidance
Meeting agenda
Meeting announcement
Commitment memorandum
CFT roles & responsibilities
Management Commitment : Management Commitment
Establishing The Approach : Establishing The Approach
Pick The Right Path
Establishing The Approach : Establishing The Approach
Obtain management commitment
Train Cross Functional Team (CFT)
& others on ISO 14001 requirements
Establish development & implementation plan
Develop & implement EMS
Obtain management approval
Obtain registration
Establishing The Approach : Establishing The Approach Establish Development & Implementation Plan
Develop clear
understanding of implementation path
Establish realistic implementation schedule
>Section 2: Launch & Implementation Tools<
Establishing The Approach : Establishing The Approach Implementation Schedule
Identify main tasks to be completed and corresponding time frames
Determine who’s doing what
Be consistent with management expectations
Establishing The Approach : Establishing The Approach Develop & Implement System
Identify what you already have & use it!
Distribute responsibilities among Cross
Functional Team (CFT) and others
CFT can’t do it all!
Establishing The Approach : Establishing The Approach Obtain Management Approval
Obtain approvals after completing major development & implementation milestones
Document approvals in meeting minutes
Obtain final approval of entire system
>Section 2: Launch & Implementation Tools <
>As Starting Point<
Establishing The Approach : Establishing The Approach Obtain 3rd Party Certification
Certification requires an accredited registrar & certification audit
Planning : Planning
Taking The First Step
Slide47 : Facility-wide Department
by
Department Core of the EMS Aspects Legal Requirements
Slide48 : Categorize
Objectives and Targets Develop Environmental
Management Programs
“Project Plan” Core of the EMS Develop
Procedures and
Work Practices l Tasks, Responsible
Parties, Time Frames
l Operational Controls
l Monitoring and Measurement EMP’s Procedures Work Prt.1
Work Prt.2
Work Prt.3 Objectives and Targets Environmental Management Programs Procedures/Work
Practices Control/
Maintain
(e.g., Regulatory
Compliance) Improvement
(e.g., Energy Reduction) Study
(e.g., Feasibility
Study) Significant
Aspects
Environmental Aspects : Environmental Aspects ISO 14001, 4.3.1 Environmental Aspects
Organization responsible for identifying and maintaining aspects
Include those under control or influence
Used to set environmental objectives
Information kept current
Environmental Aspects : Environmental Aspects
General trash
Spent aerosol cans
Welding fumes
Waste paint & solvents
Automotive exhaust
Paint spray emissions
Car wash water
Compressed air use
Electricity
Natural gas
Wastewater discharge
Storm water runoff
Storage tanks
Contaminated land
Environmental Aspects : Environmental Aspects Aspect types
Controlled
Influenced
Potential
Actual
Environmental aspect categories
Used to organize aspects
Aspect Categories : Aspect Categories
Material use
Air emissions
Water use
Energy use
Stormwater discharges
Storage tanks
Wastewater discharges
Solid & liquid waste
Noise
Odor
Natural environment
Land condition
Identifying Aspects : Identifying Aspects Identify all areas & departments
Identify corresponding activities,
processes & services
Use 2 to 3 people teams (1 from area or dept.)
For each aspect category ask:
do we have or could we have …?
Record specific aspects
Legal & Other Requirements : Legal & Other Requirements ISO 14001, 4.3.2 Legal & Other Requirements
Procedure for identifying and accessing legal & other requirements
Federal, provincial/state,
and local regulations
Corporate requirements
Industry-specific requirements
Applicable to environmental aspects
Legal & Other Requirements : Legal & Other Requirements EP-007 Env. Regulations and Other
Requirements
Env. coordinator maintains access to & list of:
Federal, provincial/state & local regulations
Other requirements
Env. coordinator communicates requirements to applicable areas & departments
>Section 3, Tab C: Legal & Other Requirements<
Legal & Other Requirements : Legal & Other Requirements EP-009 Agency Approvals
Env. coordinator & permit team
determines need for environmental permits and develops applications
Environmental Management Representative (EMR) communicates with regulatory agencies
EMR communicates permit issues with management
Slide58 : Environmental Legal Requirements ASPECT REQUIREMENT CITATION/
SOURCE Material
Usage GENERAL ENVIRONMENTAL REQUIREMENTS Hazardous Substances and Reportable Quantities
(CERCLA) Hazardous Chemical Reporting: Community Right To
Know (SARA Title III) Toxic Chemical Release Reporting: Community Right
To Know (SARA Title III) 40 CFR Part 302 40 CFR Part 370 40 CFR Part 372 >Section 3, Tab C: Legal & Other Requirements<
Significant Aspects : Significant Aspects
Aspects that can cause a significant
change to the environment (significant impact)
Change could be negative or positive
Example: global warming from CO2 emissions
Example: wetland preservation
Only significant aspects are further managed
CFT evaluates aspects for significance
Significant Aspect Criteria : Significant Aspect Criteria EP-002 Environmental Aspects, Objectives ...
Regulated (or other requirement)
Example: hazardous waste
Potential for release
Example: propane from storage tank
>Section 3: EMS Template<
Significant Aspect Criteria : Significant Aspect Criteria EP-002 Environmental Aspects, Objectives ...
Business plan and energy usage
Example: natural gas usage
Environmental load
Example: plastic containers
Significant Aspect Criteria : Significant Aspect Criteria EP-002 Environmental Aspects, Objectives ...
Environmental load
Toxicity
Restricted substance
Amounts (volume & mass of releases, resource consumption)
Frequency & severity
Documentation of Aspects : Documentation of Aspects EP-002 Environmental Aspects, Objectives ...
CFT identifies aspects
and significant aspects
Rationale for significance documented
Aspects reviewed every six months
Process & facility changes reviewed
Objectives & Targets : Objectives & Targets ISO 14001, 4.3.3 Objectives and Targets
Establish and maintain objectives & targets
Must consider:
Legal & other requirements
Significant env. aspects
Technological options
Financial, operational & bus.requirements
Views of interested parties
Objective Categories : Objective Categories EP-002 Environmental Aspects, Objectives ...
Objectives & targets
established for all significant aspects
CFT reviews performance of objectives & targets every 6 months
Objective Categories : Objective Categories EP-002 Environmental Aspects, Objectives ...
Control/Maintain
Maintain existing program
Improve
Reduce usage
Investigate/Study
Study the feasibility
Objectives & Targets : Objectives & Targets
Objective- an environmental goal
e.g., Reduce energy
e.g., Maintain regulatory compliance
e.g., Study material substitution
Target- amount & when goal will be met
e.g.,10%, rate basis, from 1994 by 2002
e.g., Ongoing
e.g., Complete by Jan. 2001
Aspects, Objectives & Targets Example Forms : Aspects, Objectives & Targets Example Forms Example No. 1
Environmental Aspects
Example No. 2
Environmental Aspects, Objectives & Targets
Example No. 3
Environmental Aspects, Objectives and Targets
Example No. 4
Significant Aspects Summary, Operational Controls >Section 3, Tab B: Aspects, Objectives & Targets<
Environmental Policy : Environmental Policy ISO 14001, 4.2 Environmental Policy
Appropriate to the nature, scale & environmental impacts of activities,
products, or services
Commitment to continual improvement & prevention of pollution
Commitment to comply with regulations & other requirements
Environmental Policy : Environmental Policy ISO 14001, 4.2 Environmental Policy
Provides the framework for setting & reviewing environmental objectives & targets
Documented, implemented and maintained
Communicated to all employees
Available to the public
Environmental Policy : Environmental Policy Contents
Header with facility name
Intro explaining what facility does
Inclusion of the 4 commitments & other requirements
General objectives established at facility
Authorizing signature & date >Section 3, Tab A: Policy<
Environmental Management Programs : Environmental Management Programs ISO 14001, 4.3.4 Env. Management Programs
Establish & maintain programs
for achieving objectives and targets
Identify means, responsibilities and timeframes
Review new projects or changes for applicability to existing programs
Environmental Management Programs Example Programs : Environmental Management Programs Example Programs Example No. 1
Regulatory Compliance Program
Example No. 2
Managed Material Program
Example No. 3
Reduce Energy Program
Example No. 4
Waste Minimization Program >Section 3, Tab D: Management Programs<
Environmental Management Programs : Environmental Management Programs EP-002 Environmental Aspects, Objectives ...
EMPs should be created to address:
Pollution prevention/Waste minimization
Energy management
Materials management
Compliance assurance
System Documents : System Documents
>Section 3 of Workbook< SYSTEM
PROCEDURES
OPERATIONAL
PROCEDURES
WORK
PRACTICES POLICY
ASPECTS
OBJ. & TARGETS
PROGRAMS ORGANIZATIONAL
CHART
ROLES &
RESPONSIBILITIES
LEGAL
REQUIREMENTS TRAINING MATRIX
MASTER DOCUMENT
LIST
MASTER RECORDS
LIST
EMS Documentation : EMS Documentation ISO 14001, 4.4.4 EMS Documentation
Maintain & describe core elements of the EMS
Paper or electronic form
Provide direction to related documentation
EMS Documentation : EMS Documentation
EMS manual
Environmental Policy
Roles & responsibilities
Legal & other requirements
Aspects
Objectives & targets
EMPs
Training matrix
Procedures & forms
Work practices
Master document list
Master records list
References
EMS Template - Procedures : EMS Template - Procedures
EMS Template - Procedures : EMS Template - Procedures
EMS Template - Procedures : EMS Template - Procedures
EMS Template - Procedures : EMS Template - Procedures
Master Document List : Master Document List >Section 3, Tab G: Master Document List<
Document Control : Document Control
Document Control : Document Control ISO 14001, 4.4.5 Document Control
Develop procedure to control documents
Can be located
Reviewed, revised, & approved
Current versions available
Obsolete documents properly handled
Legible, dated, identifiable, and maintained
Document Control : Document Control EP-012 Environmental Document Control
EMR or designee maintains master documents & issues controlled copies
CFT reviews & approves changes to EMS documents
Documents marked “Controlled Document”
Documents available where needed
Records : Records ISO 14001, 4.5.3 Records
Procedure for records management
Records must be legible, identifiable, & traceable to the activity, product, or service
Protected against damage, deterioration, or loss
Retained for a specified period
Records : Records EP-013 Environmental Records
Records retained as specified in Index of Environmental Records
Retention consistent with legal & other requirements
Responsible personnel access master list of records relevant to their area or department
Index of Environmental Records : Index of Environmental Records >Section 3, Tab H: Master Records List<
Structure & Responsibility : Structure & Responsibility ISO 14001, 4.4.1 Structure & Responsibility
Define roles, responsibilities
& authorities
Provide adequate resources
Human resources, specialized skills, technology & financial resources
Appoint EMR
>Section 3, Tab E: Structure & Responsibilities<
Operational Controls : Operational Controls ISO 14001, 4.4.6 Operational Controls
Identify operations & activities
associated with significant aspects
Procedure needed where absence could lead to deviations from policy, objectives & targets
Communicate procedures to contractors where applicable
Operational Controls : Operational Controls Types of Operational Controls
Operational procedures
Work practices
EMPs
Permits/Legal & other requirements
Visual aids
Manuals & plans
Monitoring & Measurement : Monitoring & Measurement ISO 14001, 4.5.1 Monitoring & Measurement
Procedure(s) to monitor
& measure key
characteristics of processes & activities
Record information to track performance
Calibration procedures
Procedure for regulatory compliance audits
Monitoring & Measurement : Monitoring & Measurement ISO 14001, 4.5.1 Monitoring & Measurement
Key characteristics associated
with significant aspects
volumes (e.g., gallons of spent paint)
weights (e.g., tons of metal scrap)
rates (e.g., number of car repairs per day)
Monitoring & Measurement : Monitoring & Measurement EP-015 Monitoring & Measurement
Internal audits monitor
conformance to objectives & targets
Environmental performance monitored per Env. Management Programs (EMPs)
Operational controls monitored per EMPs, procedures, work practices & visual aids
Monitoring & Measurement : Monitoring & Measurement EP-015 Monitoring & Measurement
Calibrate per manufacture’s recommendations or at least annually
Calibration & maintenance addressed in maintenance program or work practices
Area/Department list of equipment to be calibrated & frequency
Training : Training ISO 14001, 4.4.2 Training, Awareness & Competence
Identify training needs
Establish training procedures
Importance of conformance
Consequences of departure from procedures
Personnel competent by education, training, and/or experience
Training : Training EP-014 Environmental Training and Awareness
Training department completes Training Needs Analysis (TNA) and training schedule, reviews at least annually and revises as necessary
Permanent on-site contractors included in training program
Training records maintained by Training dept.
Training : Training Training Needs Matrix
Environmental Courses
Procedures and Work Instructions by Area / Department >Section 3, Tab F: Training Matrix<
Communications : Communications ISO 14001, 4.4.3 Communications
Procedure for internal and
external communications
Between various levels and functions
Document & respond to external communications (e.g., requests for info)
Record decision for external communication of significant aspects
Communications : Communications EP-010 Environmental Communication
CFT communicates employee
concerns to management
Area/Dept. managers communicate legal & other changes to employees
HR Manager and EMR involved in external communication with interested parties
Communications documented
Emergency Preparedness & Response : Emergency Preparedness & Response ISO 14001, 4.4.7 Emergency Prep. &
Response
Procedure(s) to identify potential
& respond to accidents & emergencies
Focus on prevention & mitigation
Process for review and modification
Periodically test procedures, where needed
Emergency Preparedness & Response : Emergency Preparedness & Response EP-006 Emergency Prep. & Response
CFT identifies potential
incidents semi-annually
Emergency Response Coordinator develops and maintains emergency response methods
Methods tested at least annually
Emergency Preparedness & Response : Emergency Preparedness & Response EP-006 Emergency Prep. & Response
Response activities conducted
within bounds of training, procedures
and regulatory expectations
Corrective & preventative actions initiated following incidents & emergencies
Env. Review of Projects : Env. Review of Projects EP-008 Env. Review of Projects
Initiating Activity completes
Env. Checklist with appropriation request
EMR reviews request & checklist
EMR or designee identifies aspects
Environmental issues resolved with Initiating Activity
Contractor Control : Contractor Control EP-011 Contractor Control
Facility provides information to
contractors to ensure awareness of EMS
Contractors submit Method Statements to Initiating Activity prior to working on-site
Contractors conform to EMS requirements, ensure staff awareness & maintain records
EMS Audits : EMS Audits ISO 14001, 4.5.4 EMS Audits
Procedure to determine conformance to ISO 14001 requirements & planned arrangements
Audits prove conformance
Results reported to management
Audit schedule based on importance & results of previous audits
EMS Audits : EMS Audits Types of Audits
1st Party - Conducted by facility staff
2nd Party - Conducted by personnel
not associated with facility (e.g., corporate staff, consultant)
3rd Party - Conducted by registrar or regulatory authority
EMS Audits : EMS Audits EP-003 EMS & Regulatory Compliance Audits
Quality Manager responsible for EMS audits
Audit team independent of area being audited
EMR responsible for compliance audits
Nonconformances recorded on Corrective and Preventative Action Requests (CARs)
Open CARs reported to management
Nonconformance & Corrective And Preventive Action : Nonconformance & Corrective And Preventive Action ISO 14001, 4.5.2 Nonconformance and
Corrective and Preventive Action
Procedure for handling
& investigating nonconformances
Mitigate impacts and correct & prevent problems
Modify procedures, as applicable
Nonconformance & Corrective And Preventive Action : Nonconformance & Corrective And Preventive Action EP-004 Nonconformance and Corrective ...
Response to nonconformances
and noncompliances:
ID root cause
Determine corrective & preventative actions
Implement actions & verity effectiveness
Nonconformance & Corrective And Preventive Action : Nonconformance & Corrective And Preventive Action EP-004 Nonconformance and Corrective ...
Nonconformances and noncompliances
identified outside audit process
Quality Manager creates Corrective and Preventative Action Requests (CARs) for nonconformances, as appropriate
EMR creates CARs for noncompliances
Management Review : Management Review ISO 14001, 4.6 Management Review
Top management (i.e., facility/
plant management) reviews
suitability of EMS at defined intervals
Comprehensive & documented review
Assess the need for changes to EMS in-line with commitment to continual improvement
Management Review : Management Review EP-005 EMS Management Review
Management reviews EMS annually
EMR reports on EMS performance
Corrective actions assigned to responsible managers
Meeting records maintained by EMR
Registration Process : Registration Process
Certification Audit
Pre-assessment review
Main audit
Surveillance audits
Re-certification audit
Registration Process : Registration Process Certification Audit
Main audit
Major & minor nonconformances
Auditors recommend, Registrar decides
Certificate of registration good for 3 years - maybe
Registration Process : Registration Process Surveillance Audits
At least annually
Proof of continual EMS improvement
Look for systemic problems
Major nonconformance could effect
re-certification
Registration Process : Registration Process Re-Certification Audits
Every three years by Registrar’s
auditors
Same approach as Certification Audit
Slide118 : Protecting the Environment is Everyone’s Job,
And So Is Maintaining the EMS!