Basic Awareness Training on Standards

1. Environment Management System
– ISO 14001:2015

2. ISO 14001:2015
• ISO 14001:2015 is a global environmental
management system (EMS) which is adopted by
thousands of companies all over the world.
• The intent of ISO 14001:2015 is to provide a
framework for a holistic, strategic approach to
an organization's environmental policy, plans
and actions.
• The benefits of implementing the ISO
14001:2015 framework include increased
efficiency in the use of energy and resources
and reduction in waste outputs.

4. 4
4.2 Environmental
Policy
4.6 Management
Review
4.5 Checking
4.5.1 Monitoring and Measurement
4.5.2 Evaluation of Compliance
4.5.3 Nonconformity, Corrective
Action and Preventive Action
4.5.4 Control of Records
4.5.5 Internal Audits
4.3 Planning
4.3.1 Environmental Aspects
4.3.2 Legal/Other Requirements
4.3.3 Objectives, Targets and
Programs
4.4 Implementation & Operation
4.4.1 Resources, Roles, Responsibility & Authority
4.4.2 Competence, Training & Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Control of Documents
4.4.6 Operational Control
4.4.7 Emergency Preparedness/Response
Continual
Improvement
ISO 14001 - 2004
4.1 General
Red = Identifying Env. Issues
Blue = Managing Env. Issues

5. 5
4 Context of Organization
4.1 Understanding the organization and its context
4.2 Understanding the needs & expectations of
interested parties
4.3 Determining the scope of the EMS
4.4 Environmental management system
8 Operation
8.1 Operational planning and control
8.2 Emergency preparedness and
response
5 Leadership
5.1 Leadership and commitment
5.2 Environmental policy
5.3 Organizational roles,
responsibilities and authorities
6 Planning
6.1 Actions to address risks and opportunities
6.1.1 General
6.1.2 Environmental aspects
6.1.3 Compliance obligations
6.1.4 Planning action
6.2 Environmental objectives and planning to achieve them
6.2.1 Environmental objectives
6.2.2 Planning actions to achieve environmental
objectives
Continual
Improvement
ISO 14001 - 2015
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.4.1 General
7.4.2 Internal communication
7.4.3 External communication
7.5 Documented information
7.5.1 General
7.5.2 Creating and updating
7.5.3 Control of documented
information
9 Performance evaluation
9.1 Monitoring, measurement, analysis
and evaluation
9.1.1 General
9.1.2 Evaluation of compliance
9.2 Internal audit
9.2.1 General
9.2.2 Internal audit program
9.3 Management review
10 Improvement
10.1 General
10.2 Nonconformity and corrective action
10.3 Continual improvement

6. How Does the standard Works?
Significant
Aspects
4.3.1
What are the
Environmental
Issues?
Legal
Requireme
nts
4.3.2
Potential
Emergencie
s4.4.7
How are they
managed?
Targets &
Objectives
4.3.3
Training
Programs
4.4.2
Operational
Controls
4.4.6
Emergency
Response
Plans 4.4.7
How are they
checked?
EMS Audits
4.5.5
Compliance
Evaluations
4.5.2
Emergency
Drills
4.4.7
How are “issues” fixed
and improved?
Corrective /
Preventive
Action 4.5.3
Manageme
nt Review
4.6
Monitoring
&
Measureme
nt
4.5.1

7. 4.1 Understanding the
organization and its context
Understanding Aspects & Impacts is “extremely
one dimensional” when compared to
Understanding the Context if the organization*.
Understanding … includes the organization’s
- direct and indirect environmental consequences
- legal requirements
- effects on your stakeholders by the EMS
7

8. 4.1 Understanding the organization and its
context
• Examples include:
• Env. Conditions – Climate, Air & Water Quality, Land Use,
existing contamination, natural resource availability,
biodiversity, etc.
• External cultural, social, political, legal, regulatory, financial,
technological, economic, natural and competitive
circumstances, whether international, national, regional, or
local
• Internal characteristics or conditions of the organization such as
activities, products and services, strategic direction, culture
and capabilities (i.e. people, knowledge, processes and systems
8

9. 4.2 Understanding the needs and
expectations of interested parties
• This appears to be a duplicate requirement for listing compliance
obligations (i.e. interested parties = regulatory agencies)
• Interested parties could be sponsors of voluntary requirements
(contractual, trade associations, etc.)
• Corporate Management
• Community Members
• Others
9

10. 10
4.3 Determining the Scope of the EMS
Similar to the 2004 standard (4.1 General
Requirements) Consider
• External and internal issues (as per 4.1)
• Compliance obligations (as per 4.2)
• Organizational units, functions and physical
boundaries
• Activities, products and services
• Control and Influence

11. 4.4 Environmental
Management System
• A general, overall requirement stating
the org. must :
• - establish, implement maintain and
continually improve an EMS that meets
ISO 14001
• - consider the knowledge gained in
• 4.1 - Understanding the
organization and its context
• 4.2 – Understanding the needs and
expectations of interested parties
11

12. 5.1 Leadership and Commitment
Top Management shall demonstrate leadership and
commitment by
- taking accountability for the effectiveness of the EMS
- ensuring policy and objectives are established
- integrating EMS with business plan
- ensuring resources
- communicating the importance of EMS
- ensuring the EMS meets "intended outcomes"
- directing and supporting persons in the EMS
- promoting continuous improvement
- supporting other management roles
12

13. 13
5.2 - The Three Pillars (commitments) of Your
Environmental Policy:
 Compliance
 Protection of the Environment
 Continual Improvement
- Top Management must establish, implement &
maintain define the policy

14. 5.3 / 7.1 - Organizational Roles,
Responsibilities, and Authorities / Resources
• Roles, responsibilities, and authorities must
be
• Assigned, documented, communicated
• Determine and provide resources needed
(7.1)
• Top Management must assign responsibilities
for reporting on the performance of the EMS
14

15. 6.1.1 Actions to address risks and
opportunities
• Determine risks and opportunities associated with:
• - aspects
• - legal obligations
• - consider 4.1 and 4.2 (Ref’s - #3)
• - Determine potential emergencies (to be used in 8.2)
15

16. 16
6.1.2 Environmental Aspects & Impacts
Air Emissions
Air Pollution
Stormwater
Water Pollution
Packaging
Land Fill Space
Transportation
Air Pollution
Metal Chips
Minerals Depletion
Energy Use
Fossil Fuel Depletion
Wastewater
Water Pollution

17. Sample EIA

18. Risk Matrix

19. 19
6.1.2 Significant
Aspects
6.1.2
… by using
established criteria…

20. 6.1.2 Env. Aspects
– Life Cycle
• … determine the environmental
aspects … considering life cycle
perspective…for activities, products
and services THAT IT CAN CONTROL OR
INFLUENCE …taking into account:
• - changes (MOC)
• - emergencies
20

21. 6.1.3 – Compliance Obligations
• Determine compliance
obligations
• Have access to them
• Determine how they
apply
• Take them into account
21

22. Example Legal Requirements
22
Legal Req’t Code Aspect
Hazardous Waste
Management
40 CFR 261 Haz Waste Disposal
Air Quality Permit 15A NCAC 2Q.0100 Air Emissions
Storm Water Exclusion 15A NCAC 2H.0126 Stormwater Run-off
Municipal Wastewater Thomasville Code Wastewater
Discharges

23. 6.1.4 – Planning Action
• Significant environmental aspects
• Compliance obligations
• Risk and opportunities
23
Organization Shall Plan:

24. 6.2.1 & 6.2.2 –
Objectives and
Planning Actions
• Objectives—Result to be
Achieved:
• - Consistent with Environmental
Policy
• - Considering Sig Aspects, Legal
Req’ts & Risks/Opportunities
• Planning Actions (Programs): What
will be done, Resources, responsible
party & Due Date
24

25. Example
Objective
& Plan
Revision
Date:
1 Jun-03
2 Aug-03
Title
Maintenance
Maintenance
2 - 3
1 - 2
Noise Minimization 2/20/2003
Date
Completed
Date Due
Date
Completed
Responsibility
Target(s)
Objective:
Project Plan Title:
Decrease noise to below 80 dBA
Significant (S) / Legal
(L) / Emergency (E)
Impact(s):
Aspect
Noise (from Compressor) Environmental Noise S/L
Build Wall
Qet Quote on Compressors
Investigate replacing all other "High Noise" Compressors
1 - 4
2 - 2
Employee
Select Vendor, Get apporved and Award Bid
Roy
Roy
Build wall around work area.
Purchase low noise compressors.
Task #
1 - 1
Activity/ Product or Service
Maint. Work Area
2 - 1
Employee
Install Compressors
1 - 3
Date Due
Select Vendor, Get apporved and Award Bid
Qet Quote on Wall
Other Tasks - Description
Responsibility
Title
2 - 4

26. 26
7.2 & 7.3 Competency and Awareness
7.2: Determine
1) the necessary competence
2) ensure competence
3) training needs
4) take action to acquire competency
7.3: Ensure persons are aware of
1) the environmental policy
2) Significant Aspects of their work
3) Benefits of improved personal performance
4) Implications of NOT conforming to the EMS
(including compliance obligations)

27. Specifying
Environmental
Training
Needs
27

28. 7.2 & 7.3 -
Competency
and
Awareness
28

29. 29
7.4, 7.4.2, & 7.4.3 - Communication: Internal and
External
Develop procedure for
Internal & External communication
Document External Communications such as
Regulatory agencies
Community Complaints
Sustainability Issues w/ Customers
Others
Decide if AND how to communicate externally about significant aspects

30. 30
EMS
Manual
Procedures
Work Instructions
Records
7.5.1 General
- What ever is required by ISO 14001
- What ever is needed for EMS effectiveness
7.5 - Documentation Information
7.5.2 Creating and Updating
- Ensure identification
- Format
- review and approval
7.5.3 Control of Documented Info
- available, suitable, protected,
- distribution, access, retrieval, use
- storage, preservation, change control, retention
& disposition
- external documents

31. Documented
Information -
Procedures
- The 2015 std has replaced
requirements for
“procedures” w/
requirements for “processes”
31

32. Documented
Information
- Records
32
- The term “Records” is not used in
2015 standard
- However, the org. must still present
“evidence” to show they have
• Determined ….
• Identified
• Developed Plans (more of a
“procedure”)

33. ISO
14001:2015 -
Docs and
Records
33

34. 34
ISO 14001: 2015 - Docs and Records (2 of 5)

35. 35
ISO 14001: 2015 - Docs and Records (3 of 5)

36. 36
ISO 14001: 2015 - Docs and Records (4 of 5)

37. 37
ISO 14001: 2015 - Docs and Records (5 of 5)

38. 8.1 - Operational
Planning & Control
Establish processes needed to meet the EMS, 6.1 and
6.2 by:
1) establishing criteria for processes, and
2) implementing control of processes to meet
criteria.i.e.,
• Haz Waste Storage
• Boiler Operation
• Paint Booth Maintenance
• Storm Water Sampling
• Air Permit
• Etc.
38

39. 39
8.1 - Operational Planning & Control
New Pieces of the puzzle for 8.1:
- Control planned changes, consequences of
unintended changes and mitigate the
environmental impacts (MOC also is in 6.1.2)
- ensure outsourced processes are controlled or
influenced (as stated in the EMS)
- Address Life Cycle (LC) perspective by
• establishing env. controls in the design and
development process for each LC stage
• Env. Requirements for procurement
• Communicating env. requirements to
contractors
• Consider providing info on env. impacts of the
different life cycle stages of product

40. 8.2 Emergency
Preparedness
• Re: potential emergencies
identified in 6.1.1
• Develop emergency preparedness &
response plans
• Include plans for mitigating
“environmental impacts”
• Test emergency plans (fire drills)
• Others
40

41. Example -
List of
Potential
Emergencies
#
Potential
Emergencies or
Accidents
Potential Impact
Emergency
Response Plan
to be Used
1 Floods Water Pollution from vehicles and machines EWI-001
2 Hurricanes Loss of Human Life EWI-001
3 Tornadoes Loss of Human Life EWI-001
4 Fire Air Pollution, Loss of Human Life EWI-002
5
Chemical Spills-
small
Employee Exposure (irritants mostly) EWI-003
6
Chemical Spills-
large
Employee exposure, Water Pollution EW-003
7
Waste Water Tote
Spills
Soil / Ground Water Contamination. EWI-004
41

42. 42
Determine
- Performance metrics and comparison
criteria
- monitoring methods, when, where, etc.
- evaluation of metrics (trends)
- effectiveness of the EMS
Conduct Calibrations or Verifications
Communicate performance data as per
communication process
9.1.1 – Monitoring, Measurement,
Analysis, and Evaluation - General

43. 43
9.1.1 – Monitoring, Measurement, Analysis, and
Evaluation - General

44. 44
•Conduct an EoC against compliance
obligations (6.1.3; used to be Legal &
Other Environmental Requirements)
•Develop a process for EoCs wrt frequency
•Conduct the EoC and Take Action if
needed
•Maintain knowledge and understanding of
its compliance status
9.1.2 – Evaluation of Compliance
------ The 2nd Audit Program ------

45. 45
Example Compliance Evaluation Report

46. 46
9.2.1 & 9.2.2 – Internal Audit (1 of 2)
To Determine if EMS meets:
• ISO 14001
• EMS Procedures & Programs

47. NO REAL CHANGES FROM 2004
47
9.2.1 & 9.2.2 – Internal Audit (2 of 2)
Establish an audit program for
- frequency, methods, responsibilities & reporting
- Define audit criteria and scope
- select auditors for objectivity and impartiality
- Ensure audit results are reported to Management

48. 9.3 –
Management
Review
• Involve Top Management
• Determine if EMS is
• Continuingly Suitable
• Adequate
• Effective
• BOTTOM LINE: Determine if EMS needs to be
CHANGED
• Follow required Inputs and Outputs
• Req’d Docs/Records:
- Management Review Schedule
- Documented Minutes
48

49. 49
10.2 – Nonconformity and corrective action
•Control and correct the NC
•Mitigate environmental impacts (immediacy)
•Determine causes & action needed so that it
does not
• recur (actual nonconformities)
• occur (potential nonconformities)

50. 50
10.1 – Improvement - General
•Determine opportunities for improvement (see
also 6.1.1; 9.3
•Implement necessary actions to achieve
“intended EMS outcomes”
10.3 – Continual Improvement
•Continually improve the suitability, adequacy
and effectiveness of the EMS to enhance
environmental performance

51. Auditing Tips
51
• Good Auditors Take Time To develop
• Audit Experience more important than training class
• Develop Your Audit Program For Your Needs (Use Specific Questions)
• Don’t Waste Resources on Duplicating other inspections or audits
• Audit Management for “ISO “ – Audit Non-Management for “their” requirements
• Reward Auditors for their Efforts

52. 52