1. Environmental Management Systems
ISO v. 2004
Environmental Management Systems

2. Quiz
According to the ISO standard, there is a continual improvement of 5 specific phases based on the methodology known as Plan-Do-Check-Act. Which are they?
According to the ISO standard, what is a preventive action, and how it is different from a corrective action?

3. EMS “A system put into place that keeps things running smoothly” Denso Manufacturing Michigan, Inc.
EMS does not have to be certified ISO 14001
Plant personnel can develop the EMS with/without consulting support
3rd-Party Auditors are needed for ISO certification

4. EMS Evolution Until 1960s when gained public attention
Corporations reacted to increased legislation
Responsible Care Program (Canada) in 1984
British created the first national EM standard BS 7750 in 1994
A Canadian standard Z750 was created in 1994
Legislated in 1993, EU published EMAS in 1994, open in 1995.
In the U.S. no national standard was developed during the 1990s, however groups of companies did (e.g. GEMI)
The first international EMS was ISO by ISO.
Based on:
The success of ISO 9001
Increasing international concern (UN Conference of Rio 1992)
Created a Technical Committee 207
The ISO was published for the first time in 1996.

5. Why environmental standards?
…to "promote a harmonious and balanced development of economic activities, sustainable and non-inflationary growth respecting the environment… the raising of standards of living and quality of life" (EMAS).
…to support environmental protection and prevention of pollution in balance with socio-economic needs (ISO 14001)

6. EMS and ISO 14001
First version finalized and issued in 1996, revised every five years (2004 current version)
Market sector created and driven; governments participate but it is not legislative or regulatory
Process standard, not performance
Each participating nation has a committee that develops consensus and contributes (one vote each, for US it is ANSI)
14001 is one of the standards in the series

8. ISO 14001 Standards Voluntary
Set up the by industry: countries can adapted into their legislation
Is aimed to improve processes not performance itself
Key aspect is that of continual improvement
Doesn’t require the publication of an environmental statement
Provides the company with a guideline on how to manage environmental aspects
Requires management commitments and involvement from all employees

9. ISO, ANSI, Certifiers
ISO develops International Standards but does not operate any schemes for assessing conformity with them.
What ISO is not?
ISO is not an auditor, assessor, registrar, or certifier of management systems, products, services, materials or personnel, nor does it endorse or control any such activities performed by other parties.
ANSI coordinates the development of standards in the U.S. and accredit programs that assess conformance with the standards
750 certification bodies worldwide
ISO's logo
Upon certification, many organizations turn to ISO to request use of “the ISO 9001:2000 logo” or “ISO 14001:2004 logo”. No such ISO logos exist. There is only the ISO logo itself, which is a registered trademark. Unless authorized by ISO, use of its logo is prohibited. ISO will not allow its logo to be used in connection with the certification of management systems, even when these certifications attest conformity to ISO 9001:2000, or to ISO 14001:2004. Examples of unacceptable use of the ISO logo would include use on products, product labels and product-related information, on Web sites, in marketing materials, advertisements and company letterheads.
Allowing the ISO logo to be used would give the false impression that ISO carries out certification activities, or has approved or authorized the organization using its logo. These activities are not business functions of ISO.ISO is not an auditor, assessor, registrar, or certifier of management systems, products, services, materials or personnel, nor does it endorse or control any such activities performed by other parties. ISO develops International Standards but does not operate any schemes for assessing conformity with them. ISO 9001:2000 and ISO 14001:2004 certificates are issued independently of ISO by more than 750 certification bodies worldwide, although the organization does develop voluntary standards and guidelines to encourage good practice by these certification bodies and by the accreditation bodies that approve the latter as competent.ISO reserves the right to take appropriate action when its logo is used without its permission, or if it is adapted or modified. These remarks apply not only to certified organizations, but also to accreditation and certification bodies, and to consultants and trainers involved in activities related to ISO’s management system standards. They also apply to publishers and journalists when illustrating material dealing with ISO and its standards, whether in hard copy or electronic publications, or on Web sites. Prior permission must always be sought for the use of ISO’s logo.
Remember: ISO has no “ISO 9001:2000 logo” or “ISO 14001:2004 logo”. In addition, you are not allowed to use ISO’s logo, which is copyrighted. ISO will take whatever actions it considers necessary to prevent the misuse of its logo.
What logo can I use?
Your organization may well want to communicate its certification visually in the form of a logo which can be used, for example, in advertisements, in company literature, on company flags or vehicle fleets. What can you do and not do?
Certified organizations cannot use ISO’s logo, adapt or modify the ISO logo.
One option is to use your organization’s own logo, adapting it by embedding the information that your organization is certified to ISO 9001:2000 or ISO 14001:2004. A second option is to create a new logo with this information. However, if you choose either of these options, the logos should not be designed in such a way that they could be interpreted as being ISO’s logo.
A third option is to apply to use the logo of the certification body which has audited your organization and issued an ISO 9001:2000 or ISO 14001:2004 certificate of conformity. The logo belongs to the certification body and, therefore, you will need its permission to use its logo, and to respect whatever guidelines it has for the logo’s use. A possible extra benefit will be that if the certification body is accredited*, you may also be authorized to use the logo of the accreditation body.
Remember: You can’t use ISO’s logo, nor adapt or modify it. If you adapt your organization’s existing logo to communicate its certification, or if you have a new logo designed to convey this, they should not be capable of being mistaken for the ISO logo. If you want to use the logo of your certification body, you will need to ask for the latter’s authorization.

10. ISO's logo
Upon certification, many organizations turn to ISO to request use of “the ISO 9001:2000 logo” or “ISO 14001:2004 logo”. No such ISO logos exist. There is only the ISO logo itself, which is a registered trademark. Unless authorized by ISO, use of its logo is prohibited. ISO will not allow its logo to be used in connection with the certification of management systems, even when these certifications attest conformity to ISO 9001:2000, or to ISO 14001:2004. Examples of unacceptable use of the ISO logo would include use on products, product labels and product-related information, on Web sites, in marketing materials, advertisements and company letterheads.
Allowing the ISO logo to be used would give the false impression that ISO carries out certification activities, or has approved or authorized the organization using its logo. These activities are not business functions of ISO.ISO is not an auditor, assessor, registrar, or certifier of management systems, products, services, materials or personnel, nor does it endorse or control any such activities performed by other parties. ISO develops International Standards but does not operate any schemes for assessing conformity with them. ISO 9001:2000 and ISO 14001:2004 certificates are issued independently of ISO by more than 750 certification bodies worldwide, although the organization does develop voluntary standards and guidelines to encourage good practice by these certification bodies and by the accreditation bodies that approve the latter as competent.ISO reserves the right to take appropriate action when its logo is used without its permission, or if it is adapted or modified. These remarks apply not only to certified organizations, but also to accreditation and certification bodies, and to consultants and trainers involved in activities related to ISO’s management system standards. They also apply to publishers and journalists when illustrating material dealing with ISO and its standards, whether in hard copy or electronic publications, or on Web sites. Prior permission must always be sought for the use of ISO’s logo.
Remember: ISO has no “ISO 9001:2000 logo” or “ISO 14001:2004 logo”. In addition, you are not allowed to use ISO’s logo, which is copyrighted. ISO will take whatever actions it considers necessary to prevent the misuse of its logo.
What logo can I use?
Your organization may well want to communicate its certification visually in the form of a logo which can be used, for example, in advertisements, in company literature, on company flags or vehicle fleets. What can you do and not do?
Certified organizations cannot use ISO’s logo, adapt or modify the ISO logo.
One option is to use your organization’s own logo, adapting it by embedding the information that your organization is certified to ISO 9001:2000 or ISO 14001:2004. A second option is to create a new logo with this information. However, if you choose either of these options, the logos should not be designed in such a way that they could be interpreted as being ISO’s logo.
A third option is to apply to use the logo of the certification body which has audited your organization and issued an ISO 9001:2000 or ISO 14001:2004 certificate of conformity. The logo belongs to the certification body and, therefore, you will need its permission to use its logo, and to respect whatever guidelines it has for the logo’s use. A possible extra benefit will be that if the certification body is accredited*, you may also be authorized to use the logo of the accreditation body.
Remember: You can’t use ISO’s logo, nor adapt or modify it. If you adapt your organization’s existing logo to communicate its certification, or if you have a new logo designed to convey this, they should not be capable of being mistaken for the ISO logo. If you want to use the logo of your certification body, you will need to ask for the latter’s authorization.

11. Environmental Management System (EMS)
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

12. The ISO 14001 EMS Model P D C A 4.2 Define Policy
4.5.1 Monitoring & Measurement
4.5.2 Preventive & Corrective Action
4.5.3 Records
4.5.4 EMS Audit
4.4.1 Resources, Roles,
responsibility and authority
4.4.2 Competence, Training &
Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Document Control
4.4.6 Operational Control
4.4.7 Emergency Preparedness
4.2 Define Policy
4.3.1 Identify Aspects
4.3.2 Legal Requirements
4.3.3 Identify Objectives
Targets and Programs
4.4 Implementation
and Operation
4.5 Checking
4.6 Management Review
3.2 Continual Improvement
3.18 Prevention of Pollution
Products,
Services, and
Activities
P D C A

13. ISO 14001 Environmental Standard v2004
4.1 General Requirements
4.2 Environmental Policy
4.3 Planning
Environmental aspects
Legal and other requirements
Objectives, Targets and Programs
4.4. Implementation and Operation
Resources, Roles, Responsibilities and Authority
Competence, Training and Awareness
Communication
Documentation
Controls of documents
Operational control
Emergency Preparedness and Response
4.5 Checking
Monitoring and Measurement
Evaluation of compliance
Nonconformity, Corrective action and Preventive action
Control of records
Internal audit
4.6. Management Review

14. Environmental Policy
The environmental policy describes the organization’s overall approach and intentions.
Is the Keystone upon which the entire EMS is constructed.
NOT A PUBLIC RELATIONS DOCUMENT
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

15. Policy Requirements To meet ISO 14001 requirements, the policy must:
Be appropriate to the nature, scale, and environmental impacts of the organization activities and goods produced.
Include a commitment to continual improvement and prevention of pollution.
Include a commitment to relevant legal requirements.
Provide a framework for setting and reviewing environmental objectives and targets.
Be documented, implemented and maintained, and communicated to all employees (also contractors)
Be available to the public.

16. Policy Statement
Organization must be able to demonstrate that it is fully aware of all relevant environmental issues and their potential impact and importance.
No list is appropriate to all organizations; each establishes methods/measures relevant to its operations.

17. Policy Statement
Provides a framework for setting environmental objectives
Objectives are specific and defined goals that need to be achieved in order to meet the requirements of the Environmental Policy.
Every action, requirement, procedure, etc. contained within the EMS must have its roots in the Env. Policy Statement.

18. Policy Statement Commitment to continual improvement
“Process of enhancing the environmental management system to achieve improvements in overall environmental performance in line with the organization's environmental policy.“
Ties together the Env. Policy Statement and Management Review elements of ISO
Requires the EMS be reviewed and evaluated at a set frequency for changed aspects and impacts (yearly is generally acceptable).

19. Policy Statement Commitment to P2
After pollution based objectives have been set, P2 must be evaluated at one of the alternative approaches to setting the Target(s).
If P2 is not cost-effective, it does not have to be accepted.

20. Policy Statement
Commitment to Compliance with Laws, Regs, and Requirements
Identify applicable laws & regs
Determine compliance
Develop action plan to correct noncompliance
Establish a system to maintain compliance
Organization does not need to be in full compliance in order to conform with 14001
Continued pattern of noncompliance may need to nonconformance with ISO

21. Policy Statement Documentation and Communication
Executive level manager must sign the Policy Statement and maintained based on Document Control (4.4.5) proceedures.
All employees must understand and recognize the commitments and relate their job functions with the Policy.
Policy must be communicated with the public.

22. Planning Environmental Aspects. Legal and Other Requirements.
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning
Environmental Aspects.
Legal and Other Requirements.
Objectives and Targets.
Environmental Management Program
Dynamic
Integrated

23. Planning Identify Determine Environmental Priority Aspects and Impacts
Develop
Identify
Environmental
Aspects
Establish
Environmental
Activities,
Objectives
Management
Products
and
Program
and
Targets
Services
Determine Legal and Other
Requirements

24. Activities, Products and Services
This is where is described what the facility does
Consider mission – what ‘facility’ is designed to do e.g. fast delivery of documents/packages
Consider activities that support the mission
e.g. vehicle maintenance
Consider actions that are both regulated and not regulated
e.g. commuting to work

25. Aspects and Impacts
Identify environmental aspects of activities products and services that can be controlled and over which can be expected to have an influence”
Aspects: Element of an organization's activities, products or services that can interact with the environment.
Impacts: Any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization's activities, products or services
Video

26. Aspects and Impacts Content Requirements of Environmental Aspects
understand how organization interacts with the environment
control versus influence
arrive at a list of significant environmental aspects based upon impacts
develop a procedure to support the three step decision making process
Video

27. Determine Significant Aspects
The process of arriving at a list of Significant Environmental Aspects must be a reasonable and understandable procedure be based upon the following criteria:
perceived risk(human health vs. ecosystem);
impact analysis (internal, local, regional, global);
probability of occurrence
direct or indirect control;
regulated or non-regulated;
resource utilization;
community interest;
etc.
Consider normal, unique, and emergency conditions
Where do opportunities exist for improvement?

28. Legal and Other Requirements
Identify legal requirements that apply to a facility’s activities – use audit guides or protocols
Identify other requirements that apply including corporate policies, Executive Orders (public organizations), facility initiatives or voluntary practices
ISO does not require documentation for the Legal and Other Requirements section (4.3.2). However, the only practical way to demonstrate conformance is to assemble in one place a list and copies of each applicable environmental law, regulation and voluntary subscription along with the supporting permits and/or contracts as evidence.

29. Objectives and Targets
Consider “legal and other requirements”
Consider significant aspects
Reflect corporate policies
Reflect financial and technical limitations
Reflect “interested parties”
Reflect policy commitment and commitment to pollution prevention
Consider how you will measure progress

30. Objectives and Targets
Objectives are the “Goals” that support the “Vision” contained in the Environmental Policy Statement.

31. ISO 14001 Specifications for Objectives/Targets
The ISO Standard stipulates several criteria that must be considered when establishing environmental objectives. Specifically:
Environmental policy commitments to continual improvement, prevention of pollution, and compliance with legal and other requirements.
Concentration on controlling significant environmental aspects – the activities, products, and services with the highest environmental impacts – since reducing their significance (i.e., the risks associated with them) automatically lowers their impacts.
Taking consideration of technological options and financial, operational, and business requirements means that environmental objectives and targets must be practical in terms of being technologically achievable, within the limits of available budget constraints, and consistent with operational and business strategies.
In other words, objectives and targets must be realistic and attainable, not mere dreams or wish lists.
The views of interested parties. Any individual, group, agency, or community that may be affected by or have a stake in the operations of the facility implementing the EMS. This can be a long list, including:
National, regional/provincial, local government officials
Local community representatives
Public interest groups and other stakeholders (The views of interested parties are also helpful when an organization makes a decision regarding communication of its environmental aspects).

32. ISO 14001 Environmental Management Programs:
The organization shall establish and maintain programs for achieving its objectives and targets, including:
(a) designation of responsibility for achieving objectives and targets at each level and function of the organization
(b) the means and time-frame by which they are to be achieved

33. Environmental Management Programs
An EMP is an action plan specifying:
How objectives and targets will be accomplished
Who is responsible for achieving them
Who will manage and supervise the activities
Who will carry out the work
What they will do
What resources are needed (e.g., people, skills, equipment, time, money)
When the tasks will be completed (i.e., a schedule)

35. ISO Planning Sequence

36. Implementation and Operation
This phase includes 7 elements:
Resources, Roles, Responsibilities and Authority
Competence, Training and Awareness
Communication
Documentation
Controls of documents
Operational control
Emergency Preparedness and Response
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

37. Implementation and Operation
Capabilities &
Organization &
Controls
Accountability
Communications
EMS Documentation
Training,
Awareness and
Document Control
Competence
Structure and
Responsibility
Operational Control
Communication
Emergency preparedness and response

38. Structure and Responsibility
Roles and responsibilities are defined, documented, communicated
Management will provide resources for implementation of the system
Identifies Management Representative (s)
In charge
Report to top management

39. Training, Awareness and Competence
Ensure training and awareness relevant to
EMS - including policy
relationship between employees’ activities and environmental impacts
Ensure competence training to
regulatory requirements
standard operating procedures

40. Communication Ensure internal communication
External communication of significant environmental impacts is optional, however this decision shall be documented
Provide process for responding to external communication

41. Documentation and Document Control
Procedures for controlling documents
can be located - are legible, dated and maintained
reviewed and revised as necessary and approved
current versions are available to practitioner
obsolete documents are removed from use

42. Documentation
Under ISO 14001, documentation refers to all written material concerning the EMS
Documents include policies, procedures, manuals, plans, diagrams, flowcharts, correspondence, memoranda related to the EMS
Records are documents, but under ISO are distinguished from documentation:
Documentation concerns what should happen
Records contain information on what has happened

43. Must Document 4.2 ENVIRONMENTAL POLICY
Environmental objectives and targets
Roles, responsibilities, and authority for EMS
Communications from external interested parties
4.4.4 EMS core elements
4.4.6 Procedures essential for operational control
4.5.1 Monitoring and measurement of key operations that have potential significant impacts
Compliance with laws and regulations
Records
MANAGEMENT REVIEW

44. Good Idea to Document
4.3.1 Environmental aspects and impacts inventory
Significant environmental aspects
Registry of legislation and regulations
Environmental management programs action plans to achieve objectives and targets
Training needs results, and training plans
Emergency response plan
Corrective and preventive actions
EMS audit results

45. What are Operational Controls?
Means by which an organization prevents pollution from operations, e.g.:
Pollution control equipment such as scrubbers, filters, precipitators, clarifiers, biological and chemical treatment, etc.
Alarms for gas, pH, conductance, tank level, etc.
Preventive maintenance practices
Operating procedures

46. Methods of Operational Control
Process controls:
electronic
mechanical
monitoring
observation
Operating procedures:
verbal
documented

47. What is a Procedure?
An activity carried out according to specified instructions
Combination of responsibilities, authority, resources, instructions needed to consistently perform an activity
A procedure may be documented (i.e., written), but the document is NOT the procedure

48. One More Thing from ISO
The organization shall establish and maintain procedures related to the identifiable significant environmental aspects of goods and services used by the organization and communicate relevant procedures and requirements to suppliers and contractors

49. Responsibilities of Contractors and Suppliers
The organization is responsible for informing contractors and suppliers about operating procedures relating to their goods and services
Contractors must comply with all EMS requirements when on site
Suppliers may be required to meet specified environmental standards in their own facilities

50. Emergency Preparedness and Response
Procedures to address accidents and emergencies
prevent and mitigate environmental impacts
review and revise after emergency or accident
test where appropriate

52. Checking 5 elements: Monitoring and Measurement.
Evaluation of compliance
Non-Conformance and Corrective and Preventive Actions.
Control of Records
EMS Internal Audit.
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

53. Periodic Evaluations of compliance
Checking
Periodic Evaluations of compliance
Ongoing
Records
Non-conformance,
Monitoring and
Corrective and
Measuring
Preventive Action
Periodic Internal EMS Audits

54. Monitoring and Measuring
Procedures to monitor and measure activities related to significant aspects
Root cause analysis
Audits
Track performance, operational control and objectives and targets
Maintain and calibrate monitoring equipment

55. Evaluation of Compliance
Periodically evaluate compliance with applicable legal requirements
Also evaluate compliance with other requirements the company subscribes
Keep records of such evaluations

56. Nonconformity, Corrective and Preventive Action
Identify cause of nonconformity
Develop corrective action and implement it
Modify procedures if necessary to prevent recurrence
Define responsibility and authority to address non-conformance

57. Control of Records
Procedures for identification, maintenance and disposition of environmental records
Legible and traceable to the activity, product or service involved

58. Periodically audit to determine if the EMS
Internal EMS Audits
Periodically audit to determine if the EMS
is being properly implemented and maintained, and
conforms to the standard
Provide audit information to management

59. Management Review Policy Audits
Corrective and Preventive Action Systems.
Environmental Objectives and Targets.
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

60. Management Review Process
To Assess the
suitability,
adequacy, and
effectiveness of the EMS
Need to consider:
audit findings
progress records on objectives
changes to facilities
changes in activities, products or services
changes in technology
concerns of interested parties
other relevant information
In order to determine the need for change and improvement to:
the environmental policy
the objectives and targets
other elements of the EMS

61. Summary
An EMS is a formal system for managing the environmental footprint of organizations
Most organizations already have several EMS elements in place - the system relationship is lacking
An EMS must serve the mission of the organization
The EMS and related measurement tools are just that- tools. Alone, they will not guarantee success.
The organization must use the tools, not just have them.
Success comes from being committed to continual improvement for the long term
In summary
An EMS can help manage all of the environmental issues of a facility or organization - not just regulatory requirements and not just traditional environmental issues - many existing systems address safety and health aspects of operations as well
Many components of the EMS standard are almost always in existence within an organization - look for them and use the standard to weave them together - build on existing programs
To succeed, an EMS must serve the mission of the facility or organization - its design allows it to do this well by increasing overall efficiency and limiting or controlling environmental liabilities
One of the greatest benefits of an EMS is its flexibility and recognition that things take time - the continual improvement aspect of EMS allows an organization to establish a program which reflects both realties and aspirations