ISO 14001 Guide: Environmental Management System Standards

3
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

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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

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How Does ISO 14001-2004 Work?
Significant
Aspects
4.3.1
What are the
Environmental
Issues?
Legal
Requirements
4.3.2
Potential
Emergencies
4.4.7
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
Management
Review
4.6
Monitoring &
Measurement
4.5.1

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How Does The New ISO14001-2015 Work?
Significant
Aspects
6.1.2
Legal
Requirements
6.1.3
Potential
Emergencies
8.2 & 6.1.2
Targets &
Objectives
6.2.1/6.2.2
Operational
Controls
8.1
Emergency
Response
Plans 8.2
EMS Audits
9.2
Compliance
Evaluations
9.1.2
Emergency Drills
8.2
Corrective /
Preventive
Action 10.1
Management
Review
9.3
Monitoring &
Measurement
9.1.1
Risks &
Opportunities
- General
6.1.1
Planning
Action
(to Address
6.1)
6.1.4
Competence
7.2 &
Awareness
7.3
Env
requirements
for
Procurement
Env Req’ts for
the Design &
Development
of product/
service
Env Aspects w/
Product Life
Cycle
(transportation,
end of life,
disposal)
6.1.2, 8.1
What are the Environmental Issues?
How are they managed?
How are they checked on?
How are “issues” fixed and improved?
Planned or
Unplanned
Changes
6.1.2
Outsourced
Processes
8.1
Communicate
Req’ts to
- outsourced
processes
- contractors
- other (re:
stages of LC)

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The New ISO 14001 Standard
• The revised ISO 14001 was
published on Sept 2015.
• Some changes are:
• From 5 pages to 11 pages
• Elements (clauses) from 18 to 32
• Structure same as ISO 9001 & other
Management System Standards (MSS)
incorporating High Level Structure
format
> Context, Leadership, Planning,
Support, Operation, Performance,
Improvement
http://www.iso.org/iso/home/store/catalogue
_tc/catalogue_detail.htm?csnumber=60857

The New ISO 14001 Standard (1 of 2)
8

The New ISO 14001 Standard (2 of 2)
9
http://asq.org/quality-press/display-item/?item=T986E
http://www.iso.org/iso/home/standards_development.htm

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8 Big Changes (1 of 3)
1) 4.1- Understanding the Organization and its context - by
determining – A) External circumstances – political,
regulatory, international, national, etc. B) Internal
characteristics (i.e., strategic direction, culture, capabilities)
C) Environmental conditions – that could affect the
organization (climate, natural resource availability, etc.)
2) 4.2 - Understanding the Needs of Interested Parties.
Who are the interested parties relevant to the EMS, What are
their needs and expectations
3) 5.1 - Leadership and Commitment. Top Management
must demonstrate its commitment to the EMS for a list of
items, none of which are required to be documented or
recorded (but it may help)

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4) 6.1.1 - Actions to address Risks and Opportunities –
Must be “determined” on issues surrounding “context” as
per 4.1 and “interested parties” as per 4.2, as well as for
aspects and legal requirements
5) 6.1.2 - Environmental Aspects of Products –
Considering life-cycle perspective. (i.e., environmental
issues associate with design, use, end of life and disposal
6) 8.1 - Operational Controls - for product design and
development for life cycle stages AND provide information
about potential significant impacts on product delivery, use,
end-of-life and disposal AND Environmental requirements
for purchasing

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7) 10.2 - No Preventive Actions formally required (it’s all
corrective action)
8) 7.5 - No mention of the word records (it’s all
documented information)

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4.1 Understanding the organization
and its context (1 of 4)
• Determine the internal and external issues relevant to
the EMS.
• Include environmental conditions being affected or
capable of affecting the organization
THIS IS
- A HIGH LEVEL UNDERSTANDING
- INCLUDE IMPORTANT ENVIRONMENTAL TOPICs
- INCLUDE CHANGING CIRCUMSTANCES

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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
* John Nolan (google search)

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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

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4.1 What does it look like ? (4 of 4)
Document the context in the EMS manual – or document
meeting minutes where these issues are discussed (i.e.
Management Review, etc.)

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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

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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
How many times will we reference 4.1 and 4.2 in this
standard ?

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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
References 4.1 and 4.2 - #2

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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

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5.2 - The Three Pillars (commitments)
of Your Environmental Policy:
Company Policy
Statement
 Compliance
 Protection of the Environment
 Continual Improvement

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• 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
5.3 / 7.1 - Organizational Roles,
Responsibilities, and Authorities / Resources

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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)

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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

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6.1.2 Significant Aspects
6.1.2
… by using
established criteria…

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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

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

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Example Legal Requirements
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

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

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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
6.2.1 & 6.2.2 –
Objectives and
Planning Actions

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
Example Objective & Plan
The term “Target” Not used.

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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)

33
Specifying Environmental Training Needs

34
7.2 & 7.3 - Competency and
Awareness

35
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
DH

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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

37
Documented Information - Procedures
- The 2015 std has replaced requirements for
“procedures” w/ requirements for “processes”

38
Documented Information - Records
- 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”)

ISO 14001:2015 - Docs and Records (1 of 5)
39

40
ISO 14001: 2015 - Docs and Records (2 of 5)

41

42

43

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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.

45
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

46
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

47
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

48
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

49
9.1.1 – Monitoring, Measurement, Analysis,
and Evaluation - General

50
• 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 ------

51
Example Compliance Evaluation Report

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

53
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
NO REAL CHANGES FROM 2004

54
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

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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)

56
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

Auditing Tips
58
• 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

Thea Dunmire’s 6 Potential Pitfalls to ISO
59
1) There is legal liability that could be uncovered
by ISO 14001.
2) 14001 designates Top Management as
responsible. This could connect TM to potential
legal issues.
3) Treat audit findings and related confidentially
especially with external auditors, registrars, etc.
4) Correct identified problems or there maybe
potential – “willful violations.”
5) Written procedures can over-complicate EMS
and create additional legal obligations.
6) Realize that records can implicate. “Get a
handle” on all records “floating around”.www.enlar.com

The Newly Proposed ISO 14001 - BLOG
60
http://www.ies.ncsu.edu/news-center/blog/the-new-dis-
14001-2014-is-it-too-late-to-clean-it-up

ISO.org Revision Fact Sheet
61
http://www.iso.org/iso/home/standards/management-
standards/iso14000/iso14001_revision.htm

62
Similarities 18001 with 14001

63
How’s Does OHSAS 18001 Work
JHAs and
Risks
4.3.1
What are the
OHS Issues
Legal
Requirements
4.3.2
Potential
Emergencies
4.4.7
How are they
managed ?
Objectives &
Programmes
4.3.3
Training
Programs
4.4.2
Operational
Controls
4.4.6
Emergency
Response
Plans 4.4.7
How are they
checked on ?
OHS MS
Audits
4.5.5
Compliance
Evaluations
4.5.2
Emergency
Drills
4.4.7
How are “issues”
fixed and improved
Corrective /
Preventive
Action 4.5.3.2
Management
Review
4.6
Monitoring &
Measurement
4.5.1
Incident
Investigation
4.5.3.1

64
How’s Does ISO/CD 45001 Work

65
ISO 14001:2004 -
Level 2
Procedures
Identifying Environmental Aspects *
Legal & Other Requirements
Setting Objectives, Targets, Programs
*
Environmental Training
Environmental Communication
Document Control
Operational Controls
Contractor Management
Emergency Response Planning
Monitoring & Measuring
Compliance Evaluation
Corrective & Preventive Action
Environmental Records
Internal EMS Audit
EMS Management Review
Recommended
Required
Red Add to 9000
Procedure

66
EMS
Manual
Procedures
Work
Instructions
Records
How you do it
Evidence of what you do
Intent & Direction
What you do & who does it
7.5 - Documentation - Typical ISO
14001 Document System

67
Links
http://www.bms-services.com/iso-140012015/

14001: 2004 - Docs & Records (1 of 2)
69

14001: 2004 - Docs & Records (2 of 2)
70

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Op Controls (part 2) …. Communicate relevant
requirements to those external providers
including contractors
Grounds keeping No pesticides allowed
Air Conditioning/
Chiller servicing
Service technicians must show
proper certification to handle
Freon
On-site
Construction
Contractors must follow our
facility’s liquid waste disposal
procedures
Shipping (trucking,
transportation, bulk
delivery, labeling)
All Shippers must check in with
the Shipping/Receiving Dept. for
instruction on our bulk chemical
unloading procedures

72
Other Legal Requirements
Legal Req’t Code Aspect
Corporate
Environ. Policy
Company Web
Site
Could be
several
Customer
Manadate for ISO
Customer Letter Could be
several
Pallet Nemotode
Treatment
Geographical
Request Letter
Shipping
Customer
Prohibition of
Toxics
Customer Letter Raw
Material
Usage

ISO 14001 Guide: Environmental Management System Standards

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ISO 14001 Guide: Environmental Management System Standards