ISO 14001: Standard for EMS
By
Prof. Seema Unnikrishnan
NITIE
Management Systems
What is MS?
The movement of information within an organisation
to facilitate decision making and the efficient use of
resources.
Management Systems within an organisation:
Financial, Communication / Information, Personnel,
Quality, Health and Safety, Environmental
MS is the means, not the goal
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P2.2
Why Standard for EMS?
Need to demonstrate environmental
performance
Yardstick to evaluate
EMS Standard analogous to QMS
Standard
Continuous improvement
Prescriptive
Basic framework
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ISO 14001 Proactive Approach
Reactive
WAIT
CURE
IDENTIFY
REACT
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P2.2
Proactive Deming Model
Review &
revise as
necessary
PLAN
ACT
Establish Policy
Carry out analysis of
current position
Establish goals &
objectives
DO
CHECK
Audit performance of
management system is it achieving your
goals and objectives
Design & implement
management system
to achieve above
Evaluation &
Auditing
Auditing
guidelines
ISO
14010
14011
14012
Management Product oriented
Systems
support tools
EMS
specification
ISO 14001
EMS guide
ISO 14004
19011
Terms & definitions ISO 14050
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Life cycle
Assessment
ISO 14040
14041
14042
Eco labelling
ISO 14020
14021
14024
The following table illustrates
clause structure of ISO 14001:2004 and ISO 14001:2015.
ISO 14001:2004
ISO 14001:2015
0. Introduction
0. Introduction
1. Scope
1. Scope
2. Normative References
2. Normative References
3. Terms and Definitions
3. Terms and Definitions
4.1 General Requirements
4. Context of the Organization
4.2 Environmental Policy
5. Leadership
4.3 Planning
6. Planning
4.4 Implementation and
Operation
4.5 Checking
7. Support
4.6 Management Review
9. Performance Evaluations
8. Operations
10.Improvement
2004 versus 2015
2004 versus 2015
4.1 Understanding the organization
and its context.
This
is a new requirement: one of several
that might suggest a greater union between
the EMS or IMS and wider business planning
activities.
Requires organizations to ascertain, monitor
and review both internal and external
issues that are relevant to its purpose and
strategic direction, and have the ability to
impact the management system and its
intended results.
4.2 Understanding the needs and
expectations of interested parties.
Requires
the organization to
determine which interested
parties are relevant to the EMS,
what are their relevant needs
and expectations, and which of
those become compliance (i.e.
legal or regulatory) obligations.
4.3 Determining the scope of the EMS.
Determine
the boundaries and
applicability of the EMS e.g. the
geographical and organizational
boundaries to which the EMS system will
apply.
This
scope must include any activities,
products and services that can have
significant environmental aspects.
scope statement must be documented
and made available to interested parties.
Interested Party
Individual or group concerned with or affected by
the environmental performance of an
organization.
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Customer
Government agencies
Employees
Stake holders
Scope of control and influence
P5.1
Scope of control
Scope of influence
Waste materials
Supplier
companies
Raw
Materials
Power
Supply
companies
Energy
Water
Supply
companies
Water
Noise
Packaging
PRODUCTION
PROCESSES
Use by
PRODUCT customer
Discharges
Contractors & Sub-contractors
End of
life disposal
4.4 Environmental management
system
.
States
requirement for the organization to
establish, implement, maintain and continue
to improve an EMS.
This
largely replaces the requirement
expressed in clause 4.1 of the previous
standard, but adds a requirement for the
organization to consider knowledge of its
context when establishing and maintaining
the EMS.
Environmental Management
Programme(s)
Programme(s) to achieve all objectives & targets
shall include:
Responsibility
Means & timeframe
Means
Methodology, resources, expertise, equipment,
plant , machinery
Review mechanism
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Environmental Management
Programme(s)
Shall apply to, if appropriate, new developments
and new products, services, activities.
Guidance:
Treat EMP as Action Plans to achieve objectives and
targets
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EMP
Management Programme
Needs to be clear and well-planned
Contains the means by which the objectives and
targets are to be achieved
Identify resources required
Allocate responsibilities for tasks
Set time-frames required
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P8.2
5.1 Leadership and commitment
5.1 Greater emphasis is placed on the role of top
management. Requires top management to demonstrate
leadership and commitment, and be accountable for the
effectiveness of the EMS. This suggests that a more hands-on
approach is expected.
5.2 Environmental policy.
This
replaces a broadly similar requirement in clause 4.2
of the 2004 standard. A requirement is introduced that the
policy is appropriate to the context of the organization.
5.3 Organizational roles, responsibilities and authorities.
The
requirement for a specific management
representative is no longer specified.
4.2 [now 5.2]Environmental policy
Top management shall define the organizations
environmental policy and ensure that it:
a) is appropriate to the nature, scale and environmental
impacts of its activities, products and services within
the defined scope of the environmental management
system;
b) includes a commitment to continual improvement and
prevention of pollution;
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c) includes a commitment to comply with applicable
environmental legislation, regulations and other
requirements to which the organization subscribes;
d) provides the framework for setting and reviewing
environmental objectives and targets;
e) is documented, implemented and maintained and
communicated to all persons within the organization;
f) is available to the public.
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6. Planning
6.1 Actions
to address risk associated with threats and
opportunities.
This
incorporates the planning requirements from clause 4.3
of the 2004 standard e.g. aspects, impacts, legal and regulatory
requirements. Greater emphasis is placed on taking a risk-based
approach, considering the context of the organization and the
requirements of relevant interested parties.
6.2 Environmental objectives and planning to achieve them.
This
is broadly similar to the requirements of clause 4.3.3
Objectives, targets and programme(s) in the 2004 standard.
Additional details are added for progress towards achieving
objectives to be monitored and indicated.
4.3 [ now 6] Planning
4.3.1 Environmental aspects
The organization shall establish and maintain (a)
procedure(s) to:
identify the environmental aspects of its activities,
products and services within the defined scope of the
environmental management system (taking into account
planned or new developments or new or modified
activities, products and services) that it can control and
those over which it can be expected to have an
influence; and
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Environmental Impacts
Any change to environment, adverse or
beneficial, due to organizations activities,
products or services.
Effect due to aspect
Air / water / soil pollution
Resource depletion, Climatic changes
Deforestation, ozone layer depletion
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Environmental Aspects
Elements of organizations activities, products or
services which can interact with the
environment.
Whatever one takes & releases
Resource / energy consumption
Emissions, wastewater, solid waste
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Environmental Aspects
ISO14001 requirements
Procedure to identify environmental aspects
Consider all aspects under control and influence
(direct and indirect)
Determine those which have or can have a
significant impact
Consider significant aspects when setting objectives
Keep the information up-to-date (ongoing process)
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P5.1
Significant Aspects
No absolute requirements
Organization to decide significance
Process highly organization specific
Auditors of certifying agency to check only the
consistency in approach
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Significance of Aspects
What makes an aspect significant?
Actual and potential regulatory control
Environmental Policy
Business exposure - cost, public image, client
concern, cause work to stop
Scale and severity of environmental impact (e.g.
local, regional or global in scope)
Views of stakeholders and interested parties
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P5.3
Legal & Other Requirements
State
Central
Organization
Local
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P6.1
Regulatory Issues
Noise and Nuisance
Producer
responsibility /
packaging
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Air, water and
land pollution
Other
Waste Management
P6.1
P7.2
6.2 Objectives and planning to achieve them
Establish and maintain documented
environmental objectives and targets, at each
relevant function and level within the
organization
Consistent with environmental policy, including
commitment to pollution prevention
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Objectives & Targets
Consider:
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legal and other requirements
significant environmental aspects
technological options
financial, operational and business requirements
views of interested parties
Relationship
Policy: We will minimize waste generation.
Objective: We will reduce land-fill waste by 15%
by end of 200?.
Targets: We will
reduce plant waste by 10 %...
recycle plant waste by 8 %...
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Achieving objectives and targets
P8.2
EMP
Why do
we need
to do it?
What do
we need to
do?
When do we
need to do it?
Who will do it?
Where will it be
done?
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How will it be
done?
7. SUPPORT
7.1 Resources
Define roles, responsibilities
& authorities
Document & Communicate
Provide resources
Appoint MR
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7.2Competence
Competence
Education, training, and/or experience
Training need analysis
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7.3 Awareness
Make personnel aware of
Importance of conforming with environmental policy
Environmental impacts of work activity
Consequence of departing from specified operating
procedures
Establish training procedures
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7. Support
7.4 Communication.
This clause is considerably reworded and expanded from
the equivalent clause 4.4.3 in the 2004 standard.
It adds requirements for the organization to respond to
relevant communications on its EMS, and to retain
documented evidence of its communications.
Interestingly, there is also a new requirement to ensure
that the information communicated is consistent with
that generated within the EMS, and is reliable.
So, there should only be one version of the truth and if
an environmental communication proves to be
unreliable that would presumably constitute a
nonconformity.
Communications
Internal: between levels & functions
External
Procedure for receiving, documenting and responding to
the requests from interested parties
Decide on communication on significant
environmental aspects and record decision.
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7.5 Documented information
In
a controversial change that will no doubt
confuse many, Documents,
Documentation and Records are
combined to become Documented
information.
Requirements
are expanded to mention
issues such as confidentiality, access, and
(data) integrity. This suggests an adoption
of information security considerations in
recognition of the increasing use of
electronic documents/data.
8. Operations
8.1
Operational planning and control.
This
clause is considerably reworded and expanded
from the equivalent clause 4.4.6 in the 2004 standard.
It adds requirements for the organization to control or
influence outsourced work, and for the type and
degree of control applied to be defined within the
EMS.
Reference
is made to taking a life-cycle perspective
when determining, establishing and communicating
environmental requirements to external providers.
Operational Control
Identify operations & activities associated with
significant aspects
Documented procedure needed where absence
could lead to deviations from policy, objectives &
targets
Stipulate operating criteria
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Operational Control
Communication of procedures and requirements
to suppliers and contractors
Guidance
Analogous to process control
Difficult to maintain the controls
Monitor operating criteria
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8.2 Emergency preparedness and
response
This
is broadly similar to the requirements
of clause 4.4.7 in the 2004 standard, but
adds the requirement for the organization to
take action to prevent the occurrence of
environmental emergency situations and
accidents. A similar (but not quite so
specific) requirement was included in the
preventive action clause of the 2004
standard.
Emergency Preparedness &
Response
Procedure(s) to identify potential
& respond to accidents & emergencies
Focus on prevention & mitigation of
ENVIRONMENTAL IMPACTS
Process for review and modification
Train personnel, awareness on role
Periodically test procedures, where needed
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Emergency Preparedness
Aim to prevent environmental damage due to
accident & emergencies
Identify potential accidents & chalk out response
to them
Update emergency preparedness & response
procedures
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9. Performance Evaluation
9.1 Monitoring, measurement, analysis and evaluation.
There
is a new requirement for the organization to
evaluate its environmental performance and provide input to
the management review.
There is a requirement to communicate information
relevant to environmental performance both internally and
externally, but only as determined by the organizations
communication process and as required by its compliance
obligations. So, that may not be a great deal for many
organizations.
9.2 Internal audit.
This expands on the requirements of clause 4.5.5 in the
2004 standard with is a new requirement that the audit
programme or schedule must take into account the risk
associated with threats and opportunities.
Monitoring and Measurement
Key characteristics of operations and activities
Compliance with environmental legislation and
regulations
Track performance and conformance with
objectives and targets
Calibration
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Monitoring & Measurement
Procedure(s) to
monitor& measure key characteristics of processes
& activities (documented)
record information to track performance
calibrate monitoring equipment
evaluate regulatory compliance (documented)
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9.3 Management review.
Expanded requirements for management review
inputs to consider changes in significant
environmental aspects and risk associated with
threats and opportunities, and the adequacy of
resources required for maintaining an effective
EMS.
Requirements for outputs are expanded
specifically mentioning any resource needs and
implications for the strategic direction of the
organization.
Management Review
Top management reviews
Suitability
Adequacy &
Effectiveness of EMS
Review frequency defined
Comprehensive
Documented review (record)
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Management Review
Assess the need for changes in
Policy
Objectives &
Other elements of EMS
in-line with
Audit results
Changing circumstances &
Commitment to continual improvement
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10. Improvement
Nonconformity and corrective action.
Specific reference to preventive action is removed.
The clause now includes an additional requirement to
record the nature of nonconformities.
On discovering a nonconformity, an explicit
requirement is introduced for the organization to
determine whether other similar nonconformities
actually exist, or could potentially happen within the
scope of the EMS.
10.2 Continual improvement.
There is a new requirement to continually improve the
EMS to enhance environmental performance.
10.1
Nonconformance (NC) & Corrective And
Preventive Action (CAPA)
Procedure for handling & investigating nonconformances
Mitigate any (environmental) impacts
Complete CAPA
Modify procedures, as applicable
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NC & CAPA
Response to non-conformances:
Identify root cause
Determine CAPA
Implement actions & verity effectiveness
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