Introduction To ISO 14001

Introduction to ISO 14001VA DEQEMSISO 14001 is a powerfulmanagement tool that can beutilized by an organization.ajanthony@deq.state.va.usINTRO-001

Introduction to ISO 14001 (cont.)VA DEQEMSThe benefits of ISO 14001 are notjust applicable to the organizationwhich adopts it. Adjacent propertyowners and environmental groupshave the potential to benefit also.ajanthony@deq.state.va.usINTRO-002

Introduction to ISO 14001 (cont.)VA DEQEMSAn organization normally employs ageneralized strategic planningprocess to determine what products,services and/or activities it shouldproduce to respond to the market.ajanthony@deq.state.va.usINTRO-003

Introduction to ISO 14001 (cont.)VA DEQEMSThe generalized strategic planningprocess normally follows the plan,do, check and act concepts.ajanthony@deq.state.va.usINTRO-004

Introduction to ISO 14001 (cont.)VA DEQEMSISO 14001 is built upon the sameplan, do, check and act concepts.ISO 14001 also stresses theadditional concept of continualimprovement.ajanthony@deq.state.va.usINTRO-005

Introduction to ISO 14001 (cont.)VA DEQEMSISO 14001 can be integrated intoan organization’s strategic planningprocess.ajanthony@deq.state.va.usINTRO-006

Introduction to ISO 14001 (cont.)VA DEQEMSREMEMBER THE ISO 14001 FRAMEPLANDOCHECKContinualImprovementACTajanthony@deq.state.va.usINTRO-007

Overview of ISO 14001VA DEQEMSGeneral requirements (4.1)This clause states that all sections ofthe standard must be complied within order to be in conformance withthe standard.ajanthony@deq.state.va.usOV-001

Overview of ISO 14001(cont.)VA DEQEMSEnvironmental Policy (4.2)An environmental policy must beconstructed that contains the followingelements:1. Relevant to activities2. Comply with legislation3. Commits to the prevention ofpollutionajanthony@deq.state.va.usOV-002

Overview of ISO 14001(cont.)VA DEQEMSPLANajanthony@deq.state.va.usOV-004

Overview of ISO 14001(cont.)VA DEQEMSEnvironmental Aspects (4.3.1)Identify environmental aspects for:1. Normal operating conditions2. Foreseeable deviations andemergenciesajanthony@deq.state.va.usOV-005

Overview of ISO 14001(cont.)VA DEQEMSLegal and Other Requirements (4.3.2)Identify the following:1. Legislation2. Regulations3. Other restrictionsajanthony@deq.state.va.usOV-006

Overview of ISO 14001(cont.)VA DEQEMSObjectives and Targets (4.3.3)Environmental objectives and targetsmust be established which are consistentwith the environmental policy.DOCUMENTEDajanthony@deq.state.va.usOV-007

Overview of ISO 14001VA DEQEMSEnvironmental Management Program (4.3.4)1. Programs for the achievement ofobjectives and targets must be established.2. Responsibilities designated.ajanthony@deq.state.va.usOV-008

Overview of ISO 14001VA DEQEMSIMPLEMENTajanthony@deq.state.va.usOV-009

Overview of ISO 14001(cont.)VA DEQEMSStructure and Responsibility (4.4.1)1. Adequate resources and skills provided.2. Management representative assigned tooperate and report.DOCUMENTEDajanthony@deq.state.va.usOV-010

Overview of ISO 14001(cont.)VA DEQEMSTraining, Awareness & Competence (4.4.2)1. Employees must be aware ofenvironmental objective(s).2. Employees in area of responsibilitymust have appropriate training.3. Employees in the area of responsibilitymust be aware of consequencesajanthony@deq.state.va.usOV-011

Overview of ISO 14001(cont.)VA DEQEMSCommunication (4.4.3)1. System in place to receive andrespond to communications with respectto environmental aspects.2. Process for both internal andexternal communication.ajanthony@deq.state.va.usOV-012

Overview of ISO 14001(cont.)VA DEQEMSEnvironmental Management SystemDocumentation (4.4.4)1. Documented description of the EMS thatrelates policy, objectives and targets, andresponsibilities.2. Must describe how to access associateddocuments.DOCUMENTEDajanthony@deq.state.va.usOV-013

Overview of ISO 14001(cont.)VA DEQEMSDocument Control (4.4.5)There must be a document controlsystem.ajanthony@deq.state.va.usOV-014

Overview of ISO 14001(cont.)VA DEQEMSOperational Control (4.4.6)1. Documented procedures must beprepared when they are needed to insureconformance.2. Suppliers and contractorsinformed of procedures.DOCUMENTEDajanthony@deq.state.va.usOV-015

Overview of ISO 14001(cont.)VA DEQEMSEmergency Preparedness and Response (4.4.7)1. Foreseeable emergency situations mustbe identified, and procedures in place torespond.2. Procedures tested periodically.ajanthony@deq.state.va.usOV-016

Overview of ISO 14001(cont.)VA DEQEMSCHECKajanthony@deq.state.va.usOV-017

Overview of ISO 14001(cont.)VA DEQEMSMonitoring and Measuring (4.5.1)1. Documented procedures for monitoringprocedures.2. Calibrated equipment.3. Procedure for evaluating compliancewith laws and regulationsDOCUMENTEDajanthony@deq.state.va.usOV-018

Overview of ISO 14001(cont.)VA DEQEMSNonconformance and Corrective andPreventative Action (4.5.2)Process in place for investigating andcorrecting nonconformance(s).ajanthony@deq.state.va.usOV-019

Overview of ISO 14001(cont.)VA DEQEMSEnvironmental ManagementRecords (4.5.3)Record retention and archiving mustbe specified.ajanthony@deq.state.va.usOV-020

Overview of ISO 14001(cont.)VA DEQEMSEnvironmental Management System Audit (4.5.4)1. The EMS must be audited to insure it isoperating as designed.2. Audit results reported to management.3. Nonconformance(s) must be addressed.ajanthony@deq.state.va.usOV-021

Overview of ISO 14001(cont.)VA DEQEMSACTajanthony@deq.state.va.usOV-022

Overview of ISO 14001(cont.)VA DEQEMSManagement Review (4.6)1. Review must occur, with emphasison policy and objectives, to determine ifEMS is still effective for organization'sactivities.2. Review the need to modify all orpart of the EMS due to changedconditions.ajanthony@deq.state.va.usOV-023

Overview of ISO 14001(cont.)VA DEQEMSREMEMBER THE FOLLOWING:1. All sections are a “shall”.2. “Documented” is used sparingly,more is probably appropriate.3. Continually evolving process --audits, corrections, and changingcircumstances.ajanthony@deq.state.va.usOV-024

ISO 14001 DefinitionsVA DEQEMSISO 14001 DEFINITIONSajanthony@deq.state.va.usDF-001

ISO 14001 Definitions (cont..)VA DEQEMSThe definition section of the ISO 14001standard provides the foundation of theentire standard. They need to beunderstood is the standard is to beimplemented.ajanthony@deq.state.va.usDF-002

ISO 14001 Definitions (cont..)VA DEQEMS"3.1 -- Continual ImprovementProcess of enhancing the environmentalmanagement system to achieve improvementsin overall environmental performance in linewith the organization's environmental policy.NOTE -- The process need not take place inall areas of activity simultaneously."ajanthony@deq.state.va.usDF-003

ISO 14001 Definitions (cont..)VA DEQEMSContinual improvement in this usageapplies only to the environmentalmanagement system. It does not directlyapply to environmental performance. Itis assumed that if the environmentalmanagement system is improved thatenvironmental performance will alsoimprove.ajanthony@deq.state.va.usDF-004

ISO 14001 Definitions (cont..)VA DEQEMS"3.2 -- EnvironmentSurroundings in which an organization operates,including air, water, land, natural resources, flora,fauna, humans, and their interrelation.NOTE -- Surroundings in this context extend fromwithin an organization to the global system."ajanthony@deq.state.va.usDF-005

ISO 14001 Definitions (cont..)VA DEQEMSIncludes environment and natural resources,but does not require the inclusion of safetyand industrial hygiene.ajanthony@deq.state.va.usDF-006

ISO 14001 Definitions (cont..)VA DEQEMS"3.3 -- Environmental AspectElement of an organization's activities,products or services that can interact with theenvironment.NOTE -- A significant environmental aspect is anenvironmental aspect that has or can have asignificant environmental impact."ajanthony@deq.state.va.usDF-007

ISO 14001 Definitions (cont..)VA DEQEMS“Interact’ -- positive, neutral or negativeajanthony@deq.state.va.usDF-008

ISO 14001 Definitions (cont..)VA DEQEMS"3.4 -- Environmental ImpactAny change to the environment,whether adverse or beneficial, wholly orpartially resulting from an organization'sactivities, products or services."ajanthony@deq.state.va.usDF-009

ISO 14001 Definitions (cont..)VA DEQEMSThe combination of environmentalaspects with the environmental impactsis the first step in establishing thesignificance of the environmental aspect.ajanthony@deq.state.va.usDF-010

ISO 14001 Definitions (cont..)VA DEQEMS“3.5 -- Environmental Management SystemThe part of the overall management systemthat includes organizational structure, planningactivities, responsibilities, practices, procedures,processes and resources for developing,implementing, achieving, reviewing andmaintaining the environmental policy."ajanthony@deq.state.va.usDF-011

ISO 14001 Definitions (cont..)VA DEQEMS“3.6 -- Environmental Management System AuditA systematic and documented verificationprocess of objectively obtaining and evaluatingevidence to determine whether an organization'senvironmental management system conforms to theenvironmental management system audit criteria setby the organization, and for communication of theresults of this process to management."ajanthony@deq.state.va.usDF-012

ISO 14001 Definitions (cont..)VA DEQEMSChecking to see if the EMS is beingimplemented properly at everyappropriate level of the organization.ajanthony@deq.state.va.usDF-013

ISO 14001 Definitions (cont..)VA DEQEMS"3.7 -- Environmental ObjectiveOverall environmental goal, arisingfrom the environmental policy, that anorganization sets itself to achieve, andwhich is quantifiable where practicable."ajanthony@deq.state.va.usDF-014

ISO 14001 Definitions (cont..)VA DEQEMSSpecific goals that must be set toimplement the environmental policy.ajanthony@deq.state.va.usDF-015

ISO 14001 Definitions (cont..)VA DEQEMS“3.8 -- Environmental PerformanceMeasurable results of the environmentalmanagement system, related to an organization'scontrol of its environmental aspects, based uponits environmental policy, objective and targets."ajanthony@deq.state.va.usDF-016

ISO 14001 Definitions (cont..)VA DEQEMS“3.9 -- Environmental PolicyStatement by the organization of itsintentions and principles in relation to its overallenvironmental performance which provides aframework for action and for the setting of itsenvironmental objectives and targets."ajanthony@deq.state.va.usDF-017

ISO 14001 Definitions (cont..)VA DEQEMSThe entire environmental managementsystem is designed to meet thecommitments of the environmentalpolicy. It provides the framework forsetting the environmental objectives andtargets.ajanthony@deq.state.va.usDF-018

ISO 14001 Definitions (cont..)VA DEQEMS"3.10 -- Environmental TargetDetailed performance requirement,quantified where practicable, applicableto the organization or parts thereof, thatarises from the environmental objectivesand that needs to be set and met in orderto achieve those objectives."ajanthony@deq.state.va.usDF-019

ISO 14001 Definitions (cont..)VA DEQEMSDetailed performance requirement thatarise from environmental objective.Must be measurable and quantifiable.ajanthony@deq.state.va.usDF-020

ISO 14001 Definitions (cont..)VA DEQEMS"3.11 -- Interested PartyIndividual or group concernedwith or affected by the environmentalperformance of an organization."ajanthony@deq.state.va.usDF-021

ISO 14001 Definitions (cont..)VA DEQEMS"3.12 -- OrganizationCompany, corporation, firm, enterprise,authority or institution, or part or combinationthereof, whether incorporated or not, public orprivate, that has its own functions andadministration.NOTE -- For organizations with more than oneoperating unit, a single operating unit may bedefined as an organization."ajanthony@deq.state.va.usDF-022

ISO 14001 Definitions (cont..)VA DEQEMS"3.13 -- Prevention of PollutionUse of processes, practices, materials orproducts that avoid, reduce or control pollution,which may include recycling, treatment, processchanges, control mechanisms, efficient use ofresources and material substitution.NOTE -- The potential benefits of prevention ofpollution include the reduction of adverseenvironmental impacts, improved efficiency andreduced costs."ajanthony@deq.state.va.usDF-023

ISO 14001 Definitions (cont..)VA DEQEMSThe organization must commit to reviewand utilize where appropriate the followingprevention of pollution techniques --recycling, treatment, process change, controlmechanisms,efficient use of resources andmaterial substitution.ajanthony@deq.state.va.usDF-024

ISO 14001 Definitions (cont..)VA DEQEMSNon-ISO 14001 Definitionsajanthony@deq.state.va.usDF-025

ISO 14001 Definitions (cont..)VA DEQEMSConformanceThe condition or fact of being inharmony or agreement; correspondence;congruity; similarity.ajanthony@deq.state.va.usDF-026

ISO 14001 Definitions (cont..)VA DEQEMSComplianceComplying, or giving in to arequest, demand, wish, etc. Also--incompliance with, in accordance with.ajanthony@deq.state.va.usDF-027

ISO 14001 Definitions (cont..)VA DEQEMSConformance is utilized in ISO 14001.Compliance is associated with commandand control activities such asenvironmental laws.ajanthony@deq.state.va.usDF-028

General RequirementsVA DEQEMSGeneral Requirements (4.1)ajanthony@deq.state.va.usGR-001

General Requirements (cont.)VA DEQEMSIn order to be considered for compliancewith the requirements of ISO 14001 everyelement of Section 4, EnvironmentalManagement System Requirements, mustbe addressed.ajanthony@deq.state.va.usGR-002

General Requirements (cont.)VA DEQEMSISO 14001 does contain Annex A(Informative) -- Guidance on the Use of theSpecification. This is only guidance thereare not any third party audit issuescontained within Annex A.ajanthony@deq.state.va.usGR-003

General Requirements (cont.)VA DEQEMSSection 4.1 clearly states that all issues laidout in Section 4 must be addressed.THIS IS THE PURPOSE OF 4.1ajanthony@deq.state.va.usGR-004

Environmental PolicyVA DEQEMSISO 14001Environmental Policy (4.2)ajanthony@deq.state.va.usEP-001

Environmental Policy (cont.)VA DEQEMSThe Environmental Policy statement isthe keystone of the environmentalmanagement system.ajanthony@deq.state.va.usEP-002

Environmental Policy (cont.)VA DEQEMSMust contain and communicate:• mission and core values with respect to theenvironment, and• commitments to control and improveenvironmental performance with respect tosignificant environmental aspects of theorganization’s products, activities and/orservices.ajanthony@deq.state.va.usEP-003

Environmental Policy (cont.)VA DEQEMSContent requirements of the EnvironmentalPolicy statement:1. Appropriate to organization’senvironmental impacts,2. Provides framework for settingEnvironmental Objectives and Targets,3. Commitment to continual improvement,ajanthony@deq.state.va.usEP-004

Environmental Policy (cont.)VA DEQEMSContent requirements of the EnvironmentalPolicy statement: (cont.)4. Commitment to prevention of pollution,5. Commitment to comply withenvironmental laws and regulations, and otherrequirements to which the organizationsubscribes,6. Document and implement theEnvironmental Policy, andajanthony@deq.state.va.usEP-005

Environmental Policy (cont.)VA DEQEMSContent requirements of the EnvironmentalPolicy statement: (cont.)7. Commitment to communicate theEnvironmental Policy to the Public.ajanthony@deq.state.va.usEP-006

Environmental Policy (cont.)VA DEQEMSAppropriate…environmental impacts:1. Every organization has uniqueinteractions with and impacts on theenvironment.2. Must demonstrate that it is fully awareof all relevant environmental issues and theirpotential impact and importance.ajanthony@deq.state.va.usEP-007

Environmental Policy (cont.)VA DEQEMSOrganization will need to review at a minimumthe following:• its operation,• pollutant emissions and releases,• past environmental performance,• location,• land use activities,• sensitive environmental areas,ajanthony@deq.state.va.usEP-008

Environmental Policy (cont.)VA DEQEMSOrganization will need to review at a minimum thefollowing: (cont.)• environmental impacts from other organizationsnearby,• environmental legislation and regulation,• community stakeholder views,• etc.ajanthony@deq.state.va.usEP-009

Environmental Policy (cont.)VA DEQEMSFramework…Objectives & Targets:• Each Environmental Objective must betraceable back to the Environmental Policystatement.• Every action, requirement, procedure,etc., must trace back to the EnvironmentalPolicy statement.ajanthony@deq.state.va.usEP-010

Environmental Policy (cont.)VA DEQEMSContinual Improvement:This issue focuses on the improvementof the environmental managementsystem. The system must be reviewed ata set frequency for changed aspects andimpacts.Yearlyajanthony@deq.state.va.usEP-011

Environmental Policy (cont.)VA DEQEMSCommitment to Prevention of Pollution:Once Environmental Objectives havebeen established the only requirement isthat prevention of pollution be evaluatedas one of the alternatives.ajanthony@deq.state.va.usEP-012

Environmental Policy (cont.)VA DEQEMSCommitment to comply...environmental laws &regulations:1. This statement is straightforward.2. No clause in ISO 14001 requiresunconditional compliance.3. What is required?a. Identify applicable laws andregulations,ajanthony@deq.state.va.usEP-013

Environmental Policy (cont.)VA DEQEMSCommitment to comply...environmental laws &regulations: (cont.)b. decide whether in compliance ornoncompliance,c. for those areas where noncomplianceexists, develop an action plan to correctnoncompliance, andd. establish a system to maintaincompliance.ajanthony@deq.state.va.usEP-014

Environmental Policy (cont.)VA DEQEMSCommitment to comply...environmental laws &regulations: (cont.)4. Does an organization need to be in fullcompliance in order to conform with ISO 14001? NO5. A continued pattern of noncompliance maydemonstrate a lack of a “system to maintaincompliance”.6. Include voluntary guidelines.ajanthony@deq.state.va.usEP-015

Environmental Policy (cont.)VA DEQEMSDocument and implement:Executive level manager must sign theEnvironmental Policy statement.Document control must be utilized.ajanthony@deq.state.va.usEP-016

Environmental Policy (cont.)VA DEQEMSCommunicate…Employees:All employees within the organizationmust understand and recognize thecommitments. Additionally, eachemployee should know how their jobfunction interacts with theEnvironmental Policy statement.ajanthony@deq.state.va.usEP-017

Environmental Policy (cont.)VA DEQEMSCommunicate…Public:The Environmental Policy statementmust be made available to the public.ajanthony@deq.state.va.usEP-018

Planning RequirementsVA DEQEMSPlanning Requirements (4.3)ajanthony@deq.state.va.usPR-001

Planning Requirements (cont.)VA DEQEMSThe planning phase of ISO 14001contains four distinct steps:1. Environmental Aspectsdetermination (4.3.1),2. Legal and Other Requirementsdocumentation (4.3.2),ajanthony@deq.state.va.usPR-002

Planning Requirements (cont.)VA DEQEMSThe planning phase of ISO 14001contains four distinct steps:3. Objectives and Targetsdevelopment (4.3.3), and4. Environmental ManagementProgram development (4.3.4)ajanthony@deq.state.va.usPR-003

Planning Requirements (cont.)VA DEQEMSThe four step process may cause theEnvironmental Policy (4.2) statement tobe an iterative process. Don’t view thispossibility as an impediment. It is just aopportunity to strengthen theEnvironmental Policy statement.ajanthony@deq.state.va.usPR-004

Environmental AspectsVA DEQEMSENVIRONMENTALASPECTS (4.3.1)ajanthony@deq.state.va.usEA-001

Environmental Aspects (cont.)VA DEQEMSThe organization must determine itsenvironmental aspects and thenarrive at a list of the most importantor significant aspects.ajanthony@deq.state.va.usEA-002

Environmental Aspects (cont.)VA DEQEMSThere are three distinct requirements:1. The organization must identifythe environmental aspects of itsproducts, services and/or activities.How does it interact with environment?ajanthony@deq.state.va.usEA-003

Environmental Aspects (cont.)VA DEQEMSThere are three distinct requirements:(cont.)2. The organization shall identify thespecific aspects that can be controlled, andover which it can be expected to haveinfluence.Control versus Influenceajanthony@deq.state.va.usEA-004

Environmental Aspects (cont.)VA DEQEMSThere are three distinct requirements:(cont.)3. The organization must arrive at alist of significant aspects based upon theindividual impact of each aspect.Which are the most important?ajanthony@deq.state.va.usEA-005

Environmental Aspects (cont.)VA DEQEMSIdentify Environmental AspectsPotential list of environmental aspects:1. releases of material to the air, waterand/or soil;2. disposal of wastes;3. energy and natural resourceconsumption;ajanthony@deq.state.va.usEA-006

Environmental Aspects (cont.)VA DEQEMSIdentify Environmental Aspects(cont.)Potential list of environmental aspects:4. noise levels;5. transportation and/or storage of materials ;6. manufacturing processes;7. etc.ajanthony@deq.state.va.usEA-007

Environmental Aspects (cont.)VA DEQEMSThe purpose of this step is not todetermine the importance of eachaspect. The purpose of the step is todevelop a complete listing of how theorganization interacts with theenvironment.ajanthony@deq.state.va.usEA-008

Environmental Aspects (cont.)VA DEQEMSThe procedure developed mustinclude non routine conditions.ajanthony@deq.state.va.usEA-009

Environmental Aspects (cont.)VA DEQEMSThe concept of continual improvementmust be included. The overall list ofenvironmental aspects can be influencedby future changes in laws, changes inoperations, etc.ajanthony@deq.state.va.usEA-010

Environmental Aspects (cont.)VA DEQEMSControlled…Influence:The organization needs to identifywhich of its environmental aspectsthat it can control versus those overwhich it only has influenceajanthony@deq.state.va.usEA-011

Environmental Aspects (cont.)VA DEQEMSControlled…Influence: (cont.)The simple approach here is to onlyinclude those over which it hascontrol. However, this might not beenough in all cases. The use of lifecycle analysis might be necessary inthe design of products.ajanthony@deq.state.va.usEA-012

Environmental Aspects (cont.)VA DEQEMSControlled…Influence: (cont.)This is a “grey” area in the standard.The procedure that is utilized willneed to address this “grey” area.ajanthony@deq.state.va.usEA-013

Environmental Aspects (cont.)VA DEQEMSSignificant EnvironmentalAspectsThe process of arriving at a list ofsignificant environmental aspectsmust be a reasonable andunderstandable procedure.ajanthony@deq.state.va.usEA-014

Environmental Aspects (cont.)VA DEQEMSSignificant EnvironmentalAspects (cont.)The following criteria could be used:1. perceived risk (human health vs.ecosystem);2. impact analysis (internal,regional global);3. probability of occurrence;ajanthony@deq.state.va.usEA-015

Environmental Aspects (cont.)VA DEQEMSSignificant Environmental Aspects(cont.)The following criteria could be used: (cont.)4. direct or indirect control;5. regulated or non-regulated;6. resource utilization;7. community interest;8. etc.ajanthony@deq.state.va.usEA-016

Environmental Aspects (cont.)VA DEQEMSSignificant EnvironmentalAspects (cont.)Utilize the preceding information todevelop a risk based matrix thatevaluates all the aspects for ranking.The information that is utilized in thematrix should be quantitative innature, not qualitative.ajanthony@deq.state.va.usEA-017

Environmental Aspects (cont.)VA DEQEMSReview Points:1. Organization mustdemonstrate that it understandshow it interacts with theenvironment.2. Explain its position on“control vs. Influence”.ajanthony@deq.state.va.usEA-018

Environmental Aspects (cont.)VA DEQEMSReview Points: (cont.)3. Explain how it arrived atsignificant environmentalaspects based upon impacts.4. Develop a procedure thatincorporates the three requiredsteps.ajanthony@deq.state.va.usEA-019

Environmental Aspects (cont.)VA DEQEMSThe procedure describing theestablishment of the significantenvironmental aspects will beaudited very closely under theconformance review of ISO14001.ajanthony@deq.state.va.usEA-020

Legal and Other RequirementsVA DEQEMSLEGAL AND OTHERREQUIREMENTS (4.3.2)ajanthony@deq.state.va.usLR-001

Legal and Other Requirements (cont.)VA DEQEMSThe organization must know andunderstand which environmentallaws and regulations govern itsoperation.ajanthony@deq.state.va.usLR-002

Legal and Other Requirements (cont.)VA DEQEMSThree requirements:1. Must understand whichenvironmental laws and regulationsgovern its operations.2. Must be able to explain therequirements of the appropriate lawsand regulations.ajanthony@deq.state.va.usLR-003

Legal and Other Requirements (cont.)VA DEQEMSThree requirements: (cont.)3. Demonstrate that it keeps up todate on the environmental laws,regulations and requirements.ajanthony@deq.state.va.usLR-004

Legal and Other Requirements (cont.)VA DEQEMSAdditional Point:If the organization voluntarilysubscribes to any environmentalguidelines and/or requirements thepreceding three points must befollowed.ajanthony@deq.state.va.usLR-005

Legal and Other Requirements (cont.)VA DEQEMSThis section does not contain theword “document” in the language ofthe standard. However, the onlypractical manner to demonstrateconformance is to assemble in oneplace a complete list and copies ofthe referenced material.ajanthony@deq.state.va.usLR-006

Environmental Objectives and TargetsVA DEQEMSENVIRONMENTALOBJECTIVES ANDTARGETS (4.3.3)ajanthony@deq.state.va.usEOT-001

Environmental Objectives and Targets(cont.)VA DEQEMSEnvironmental Objectives are essentiallythe “goals” that are established to meetthe “vision” statement of the organization.ajanthony@deq.state.va.usEOT-002

Environmental Objectives and Targets(cont.)VA DEQEMSThe “vision” statement of the organizationis its Environmental Policy statement.ajanthony@deq.state.va.usEOT-003

Environmental Objectives and Targets(cont.)VA DEQEMSOnce these “goals” have beenestablished detailed workplans andschedules need to be established toarrive at the “goals”. The detailedworkplans and schedules are knownas the Environmental Targets.ajanthony@deq.state.va.usEOT-004

Environmental Objectives and Targets(cont.)VA DEQEMSISO 14001 requires that EnvironmentalObjectives and Targets be quantitativerather than qualitative. In addition everylevel of the organization must be examinedfor inclusion in the Environmental Targets.ajanthony@deq.state.va.usEOT-005

Environmental Objectives and Targets(cont.)VA DEQEMSISO 14001 also requires that theEnvironmental Objectives andTargets be documented.ajanthony@deq.state.va.usEOT-006

Environmental Objectives and Targets(cont.)VA DEQEMSThere are four distinct contentrequirements for the development ofthe Environmental Objectives andTargets:1. Organization must consider thematerial developed in the Legal andOther Requirements (4.3.2) section.ajanthony@deq.state.va.usEOT-007

Environmental Objectives and Targets(cont.)VA DEQEMSfour…content requirements… (cont.)2. The organization must utilize the listof significant environmental aspectspreviously developed.3. The organization must evaluate theprevention of pollution commitmentinclude in the Environmental Policystatement.ajanthony@deq.state.va.usEOT-008

Environmental Objectives and Targets(cont.)VA DEQEMSfour…content requirements… (cont.)4. The organization must ensure thatthe views of interested parties areconsidered in the process of developingthe Environmental Objectives.ajanthony@deq.state.va.usEOT-009

Environmental Objectives and Targets(cont.)VA DEQEMSLegal and Other RequirementsA reasonable approach here might be to developan objective for all the applicable environmentallaws and regulations and their correspondingrequirements. Once compliance with a certainrequirement is obtained the associated targetcould be set to a maintenance level of activity.ajanthony@deq.state.va.usEOT-010

Environmental Objectives and Targets(cont.)VA DEQEMSSignificant Environmental AspectsThe organization must evaluate everysignificant environmental aspect forinclusion as an Environmental Objective. Ifa significant environmental aspect is notcarried forward into an objective theorganization must provide a plausible andrational explanation.Technology or Financial Limitationsajanthony@deq.state.va.usEOT-011

Environmental Objectives and Targets(cont.)VA DEQEMSPrevention of PollutionAn organization must evaluate the applicationof prevention of pollution techniques in thedevelopment of Environmental Targets. If theprevention of pollution approaches evaluatedare not cost effective they do not need to beemployed in a specific case.ajanthony@deq.state.va.usEOT-012

Environmental Objectives and Targets(cont.)VA DEQEMSInterested PartiesThe organization will need to developand maintain a process foraccepting, evaluating and addressingoutside comments.ajanthony@deq.state.va.usEOT-013

Environmental ManagementProgramsVA DEQEMSENVIRONMENTAL MANAGEMENTPROGRAMS (4.3.4)ajanthony@deq.state.va.usEMP-001

Environmental ManagementPrograms (cont.)VA DEQEMSThis section of ISO 14001 requiresfour distinct steps:1. The organization mustdemonstrate that it has established amanagement program for achievingits objectives and targets.2. Assigned responsibility at allappropriate levels.ajanthony@deq.state.va.usEMP-002

Environmental ManagementPrograms (cont.)VA DEQEMSThis section of ISO 14001 requiresfour distinct steps: (cont.)3. The organization must specifytime frames and mechanismsneeded.4. The organization must employ“continual improvement” whenappropriate.ajanthony@deq.state.va.usEMP-003

Environmental ManagementPrograms (cont.)VA DEQEMSThis section of the standard completes the“PLANNING PROCESS” of ISO 14001. Theplanning process contained the followingelements:1. Environmental Aspects,2. Legal and Other Requirements,3. Objectives and Targets, and4. Management ProgramsNow it is time to move to Implementation!ajanthony@deq.state.va.usEMP-004

Implementation and OperationVA DEQEMSIMPLEMENTATION ANDOPERATION (4.4)ajanthony@deq.state.va.usIO-001

Implementation and Operation (cont.)VA DEQEMSSection 4.4 of the standard contains theoverall requirements for the organizationaland operational roles and structures of theISO 14001 environmental managementsystem.ajanthony@deq.state.va.usIO-002

Implementation and Operation (cont.)VA DEQEMSThe major topics within the Implementation andOperation heading are:A. Structure and Responsibility (4.4.1)Who does what?B. Training, Awareness and Competence (4.4.2)Who needs to be trained?ajanthony@deq.state.va.usIO-003

Implementation and Operation (cont.)VA DEQEMSThe major topics within the Implementation andOperation heading are: (cont.)C. Communication (4.4.3)What communication system needs to beestablished?D. Environmental Management SystemDocumentation (4.4.4)What level of documentation is needed?ajanthony@deq.state.va.usIO-004

Implementation and Operation (cont.)VA DEQEMSThe major topics within the Implementation and Operationheading are: (cont.)E. Document Control (4.4.5)How do you keep current and accurate documents?F. Operational Control (4.4.6)How do you insure that the operations are controlledproperly?ajanthony@deq.state.va.usIO-005

Implementation and Operation (cont.)VA DEQEMSThe major topics within the Implementation andOperation heading are: (cont.)G. Emergency Preparedness and Response (4.4.7)How do you plan and respond to emergencysituations?ajanthony@deq.state.va.usIO-006

Structure and ResponsibilityVA DEQEMSSTRUCTURE ANDRESPONSIBILITY (4.4.1)ajanthony@deq.state.va.usSR-001

Structure and Responsibility (cont.)VA DEQEMSThe basic issue that needs tobe addressed in the Structureand Responsibility section ofthe standard is“WHO DOES WHAT?”ajanthony@deq.state.va.usSR-002

Structure and Responsibility (cont.)VA DEQEMSThree specific tasks must beaddressed:A. Responsibilities of eachindividual and and unit within theorganization must be defined anddocumented with respect to theEMS.ajanthony@deq.state.va.usSR-003

Structure and Responsibility (cont.)VA DEQEMSThree specific tasks must be addressed:(cont.)B. Adequate resources must beprovided to implement and maintain theEMS.C. Management representative must beappointed to ensure conformance andcontinual improvement.ajanthony@deq.state.va.usSR-004

Structure and Responsibility (cont.)VA DEQEMSEveryone’s role with respect to theEMS must be documented andcommunicated -- In other wordsevery member of the organizationmust recognize and understand theirrole.ajanthony@deq.state.va.usSR-005

Structure and Responsibility (cont.)VA DEQEMSTop management must commit theresources necessary to support theEMS:•manpower,•special skills,•technology, and•financialajanthony@deq.state.va.usSR-006

Structure and Responsibility (cont.)VA DEQEMSThe appointed management representativemust have the responsibility and necessaryauthority to perform the following:•establish ISO 14001 requirements,•review implementation•determine operational conformance with ISO14001, and•report to top management on conformanceand continual improvement .ajanthony@deq.state.va.usSR-007

Training, Awareness andCompetenceVA DEQEMSTRAINING, AWARENESSAND COMPETENCE (4.4.2)ajanthony@deq.state.va.usTA-001

Training, Awareness andCompetence (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the Training,Awareness and Competency sectionof the standard isWHO NEEDS TO BE TRAINED?ajanthony@deq.state.va.usTA-002

Training, Awareness andCompetence (cont.)VA DEQEMSThere are two types of trainingrequired:A. General Awareness, andBTechnical and Skillsajanthony@deq.state.va.usTA-003

Training, Awareness andCompetence (cont.)VA DEQEMSAwareness TrainingThe entire organization should havegeneral awareness training.ajanthony@deq.state.va.usTA-004

Training, Awareness andCompetence (cont.)VA DEQEMSThe general awareness training shouldconsist of the following:1. Importance of the EMS,2. Various roles within the organizationfor achieving and maintaining the EMS, and3. Consequences of deviating from theEMS.ajanthony@deq.state.va.usTA-005

Training, Awareness andCompetence (cont.)VA DEQEMSTechnical and Skills training has twosubdivisions:1. Provided for those individualsand units which are responsible foractivities that may create significantenvironmental impacts.2. Emergency Preparedness andResponse.ajanthony@deq.state.va.usTA-006

Training, Awareness andCompetence (cont.)VA DEQEMSThe level of training will depend uponthe complexity of the activity and thelevel of education and experience ofthe personnel involved.ajanthony@deq.state.va.usTA-007

Training, Awareness andCompetence (cont.)VA DEQEMSThe organization must developcompetency standards for the training.ajanthony@deq.state.va.usTA-008

CommunicationVA DEQEMSCOMMUNICATION (4.4.3)ajanthony@deq.state.va.usC-001

Communication (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the Communication sectionof the standard isWHAT COMMUNICATION SYSTEMNEEDS TO BE ESTABLISHED?ajanthony@deq.state.va.usC-002

Communication (cont.)VA DEQEMSThree issues must be addressed:1. Organization must establish and maintain aninternal communication system for the EMS.2. Organization must establish a system forresponding to external communication with respectto the EMS.3. Organization should decide whether tocommunicate significant environmental aspects toexternal parties.ajanthony@deq.state.va.usC-003

Communication (cont.)VA DEQEMSThe internal communicationrequirement already existswithin the standard.ajanthony@deq.state.va.usC-004

Communication (cont.)VA DEQEMSThe wording used is the standardwith respect to the remainingrequirements becomes “grey” .i.e. “relevant” & “record its decision”ajanthony@deq.state.va.usC-005

Communication (cont.)VA DEQEMSIt is left to the organization todetermine what is “relevant”, andtherefore what it is required torespond to from externalcommunication.ajanthony@deq.state.va.usC-006

Communication (cont.)VA DEQEMSThe standard raises the issue ofcommunicating to external partiesinformation on the significantenvironmental aspects of theorganization. The standard thengoes on to state that the organizationmust “record its decision” whether tocommunicate this information.ajanthony@deq.state.va.usC-007

Communication (cont.)VA DEQEMSThe Communication Section of thestandard should be read verycarefully, and the organization’sinteractions with external partiesevaluated carefully.ajanthony@deq.state.va.usC-008

Environmental ManagementSystem DocumentationVA DEQEMSENVIRONMENTALMANAGEMENT SYSTEMDOCUMENTATION (4.4.4)ajanthony@deq.state.va.usEMSD-001

Environmental ManagementSystem Documentation (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the EnvironmentalManagement System Documentationof the standard isWHAT LEVEL OF DOCUMENTATIONIS NEEDED?ajanthony@deq.state.va.usEMSD-002

Environmental ManagementSystem Documentation (cont.)VA DEQEMSThree issues must be addressed:1. Organization must describe thefoundation elements of the EMS in eitherpaper or electronic format.2. Description must demonstrate theinteraction between elements.3. Description must reference the relateddocumentation.ajanthony@deq.state.va.usEMSD-003

Environmental ManagementSystem Documentation (cont.)VA DEQEMSWhen reviewing the standard the requirements fordocumentation are based upon the presence of thefollowing:1. Word -- “document”; and,2. Phrases --a. “establish and maintain procedures”,andb. “establish and maintain programme(s)”ajanthony@deq.state.va.usEMSD-004

Environmental ManagementSystem Documentation (cont.)VA DEQEMSWhen reviewing the language of thestandard either the word “document”or one of the phrases is discoveredin every section.ajanthony@deq.state.va.usEMSD-005

Environmental ManagementSystem Documentation (cont.)VA DEQEMSThe standard is silent on the form ofthe documentation. The developmentof an environmental managementsystem manual is one possibleapproach.ajanthony@deq.state.va.usEMSD-006

Environmental ManagementSystem Documentation (cont.)VA DEQEMSOne possible format for the EMS manual:A. Planning (4.2 and 4.3.1 through4.3.4)B. Program Overview (4.4.1 through4.4.7 and 4.5.1 through 4.5.4)C. Management Review (4.6)ajanthony@deq.state.va.usEMSD-007

Environmental ManagementSystem Documentation (cont.)VA DEQEMSPlanning section of the EMS manualwould include the development of theenvironmental policy, significantenvironmental aspect, objectives andtargets and the workplans andtimelines for the objectives andtargets.ajanthony@deq.state.va.usEMSD-008

Environmental ManagementSystem Documentation (cont.)VA DEQEMSEnvironmental Management ProgramOverview section of the manual wouldinclude the structure and responsibilitycharts and the procedures and evidencerequired by sections 4.4 and 4.5 of thestandard.ajanthony@deq.state.va.usEMSD-009

Environmental ManagementSystem Documentation (cont.)VA DEQEMSThe Management Review section of theEMS manual would contain the recordsof the review by top management.ajanthony@deq.state.va.usEMSD-010

Environmental ManagementSystem Documentation (cont.)VA DEQEMSThe potential benefits to this approach arethat it ties together the vision and goals ofthe organization in the first section of themanual. The second section of themanual contains the necessaryprocedures and evidence to support thevision and goals. The final section of themanual contains the record of review bytop management with respect to the visionand goals.ajanthony@deq.state.va.usEMSD-011

Environmental ManagementSystem Documentation (cont.)VA DEQEMSThe EMS manual should be kept assimple and streamlined as possible. Donot create a collection of documents morecomplicated than necessary to meet therequirements of this section of thestandardajanthony@deq.state.va.usEMSD-012

Document ControlVA DEQEMSDOCUMENT CONTROL (4.4.5)ajanthony@deq.state.va.usDC-001

Document Control (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the Document Controlsection of the standard isHOW DO YOU MAINTAINCURRENT AND ACCURATEDOCUMENTS?ajanthony@deq.state.va.usDC-002

Document Control (cont.)VA DEQEMSSix issues must be addressed:1. Scope of the overall document controlsystem needs to be defined.2. Must be a document approval orauthorization process.3. Maintain a document revision trackingprocess.4. Insure that correct revisions are availableat workstations.ajanthony@deq.state.va.usDC-003

Document Control (cont.)VA DEQEMSSix issues must be addressed: (cont.)5. Out of date documents promptlyremoved from workstations.6. Out of date documents that needto be archived for historical purposesare maintained at a separate location.ajanthony@deq.state.va.usDC-004

Document Control (cont.)VA DEQEMSThe primary purpose of the documentcontrol system is to insure that only thecurrent and approved documents areemployed in the planning andimplementation of the EMS.ajanthony@deq.state.va.usDC-005

Operational ControlVA DEQEMSOPERATIONAL CONTROL (4.4.6)ajanthony@deq.state.va.usOC-001

Operational Control (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the Operation Controlsection of the standard isHOW DO YOU INSURE THAT THEOPERATIONS ARE CONTROLLEDPROPERLY?ajanthony@deq.state.va.usOC-002

Operational Control (cont.)VA DEQEMSThree issues must be addressed:1. Organization must identify theoperations and activities that are directlyassociated with the SignificantEnvironmental Aspects.2. Organization must develop proceduresand operational criteria, includingmaintenance, that address these specificoperations and activities.ajanthony@deq.state.va.usOC-003

Operational Control (cont.)VA DEQEMSThree issues must be addressed: (cont..)3. Organization must communicatethe procedures and operational criteria tosuppliers of products and services thatmight interact with the establishedSignificant Environmental Aspects.ajanthony@deq.state.va.usOC-004

Operational Control (cont.)VA DEQEMSThe first two points have been previouslyaddressed and evaluated during thedevelopment of Environmental Policy statement,Significant Environmental Aspects and theEnvironmental Objectives and Targets. Thissection of the standard reinforces the need fordocumented procedures for those programsdirectly related to Significant EnvironmentalAspects.ajanthony@deq.state.va.usOC-005

Operational Control (cont.)VA DEQEMSThe third point references the “control andinfluence” concept. The organization willneed to communicate relevant portions ofthe EMS to suppliers and contractors iftheir activities and services have thepotential to interact with the organization’sSignificant Environmental Aspects.ajanthony@deq.state.va.usOC-006

Emergency Preparedness andResponseVA DEQEMSEMERGENCYPREPAREDNESS ANDRESPONSE (4.4.7)ajanthony@deq.state.va.usER-001

Emergency Preparedness andResponse (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the EmergencyPreparedness and Responsesection isHOW DO PLAN ANDRESPOND TO EMERGENCYSITUATIONS?ajanthony@deq.state.va.usER-002

Emergency Preparedness andResponse (cont.)VA DEQEMSThree specific issues must be addressed:1. Organization must identify thepossibilities for accidents and emergencysituations.2. Organization must prepare emergencypreparedness and response procedures.3. Organization should evaluate and reviseas appropriate the procedures.ajanthony@deq.state.va.usER-003

Emergency Preparedness andResponse (cont.)VA DEQEMSNOTE: The Emergency Preparednessand Response section of the standardapplies to the entire organization, not justthe Significant Environmental Aspects.ajanthony@deq.state.va.usER-004

Emergency Preparedness andResponse (cont.)VA DEQEMSPotential process steps:•inventorying hazardous substances•identifying potential accident scenarios•modeling potential distribution patterns•evaluating potential impactsajanthony@deq.state.va.usER-005

Emergency Preparedness andResponse (cont.)VA DEQEMSOnce the preceding steps have beencompleted the organization shoulddevelop procedures to potentiallyeliminate the incidents.ajanthony@deq.state.va.usER-006

Emergency Preparedness andResponse (cont.)VA DEQEMSOrganization should also developprocedures to respond to thepotential accidents.ajanthony@deq.state.va.usER-007

Emergency Preparedness andResponse (cont.)VA DEQEMSThe emergency response proceduresshould be tested periodically.ajanthony@deq.state.va.usER-008

Checking and CorrectiveActionVA DEQEMSCHECKING ANDCORRECTIVE ACTION (4.5)ajanthony@deq.state.va.usCC-001

Checking and CorrectiveAction (cont.)VA DEQEMSSection 4.5 of the standard contains theoverall requirements for the checking(data collection) and corrective action(assessment) requirements of the ISO14001 environmental managementsystem.ajanthony@deq.state.va.usCC-002

Checking and CorrectiveAction (cont.)VA DEQEMSThe major topics within the Checking andCorrective Action heading are:1. Monitoring and Measurement (4.5.1)How does the organization evaluatethe key characteristics of the EMSwith respect to conformance withboth the Environmental Objectivesand Targets and environmental lawsand regulations?ajanthony@deq.state.va.usCC-003

Checking and CorrectiveAction (cont.)VA DEQEMSThe major topics within the Checking andCorrective Action heading are: (cont.)2. Nonconformance and Corrective andPreventative Action (4.5.2)How does the organization handlenonconformance with respect to theEMS?ajanthony@deq.state.va.usCC-004

Checking and CorrectiveAction (cont.)VA DEQEMSThe major topics within the Checking andCorrective Action heading are:(cont.)3. Records (4.5.3)How does the organization handlerecords associated with the EMS?ajanthony@deq.state.va.usCC-005

Checking and CorrectiveAction (cont.)VA DEQEMSThe major topics within the Checking andCorrective Action heading are: (cont.)4. Environmental Management SystemAudit (4.5.4)How does the organization conductenvironmental audits of the EMS?ajanthony@deq.state.va.usCC-006

Monitoring and MeasuringVA DEQEMSMONITORING ANDMEASUREMENT (4.5.1)ajanthony@deq.state.va.usMM-001

Monitoring and Measuring (cont.)VA DEQEMSSection 4.5.1 of the standard containsthe requirements for monitoring andmeasurement of those activities relatedto the significant environmental aspectsof ISO 14001.ajanthony@deq.state.va.usMM-002

Monitoring and Measuring (cont.)VA DEQEMSThe basic issue that needs to be addressed inthe monitoring and measurement section isHOW DOES AN ORGANIZATION EVALUATETHE KEY CHARACTERISTICS OF THE EMSWITH RESPECT TO CONFORMANCE WITHTHE ENVIRONMENTAL OBJECTIVES ANDTARGETS AND COMPLIANCE WITHENVIRONMENTAL LAWS ANDREGULATIONS?ajanthony@deq.state.va.usMM-003

Monitoring and Measuring (cont.)VA DEQEMSThree specific issues must be addressed:1. Organization must establish a documentedprocedure to monitor and measure on a setfrequency the activities that are related to thesignificant environmental aspects.2. Organization must ensure that the devicesused for monitor and measure are calibratedaccurately.ajanthony@deq.state.va.usMM-004

Monitoring and Measuring (cont.)VA DEQEMSThree specific issues must be addressed:(cont.)3. Organization must establish adocumented procedure for evaluating ona set frequency compliance withenvironmental laws and regulations.ajanthony@deq.state.va.usMM-005

Monitoring and Measuring (cont.)VA DEQEMSRemember the significant environmentalaspects lead to the development of theobjectives and targets. The monitoringprograms must be directly related toeach established target.ajanthony@deq.state.va.usMM-006

Monitoring and Measuring (cont.)VA DEQEMSCalibration of monitoring and measuringdevices is required to insure that theorganization has control of accuracy andprecision issues.ajanthony@deq.state.va.usMM-007

Monitoring and Measuring (cont.)VA DEQEMSISO 14001 requires that the organizationevaluate, understand and recognize itsobligations with respect to applicableenvironmental laws and regulations. Adocumented procedure with a set frequencymust be developed to review compliancewith laws and regulations.ajanthony@deq.state.va.usMM-008

Monitoring and Measuring (cont.)VA DEQEMSISO 14001 requires that the organizationmaintain these records.ajanthony@deq.state.va.usMM-009

Nonconformance and Corrective andPreventative ActionVA DEQEMSNONCONFORMANCE ANDCORRECTIVE ANDPREVENTATIVE ACTION(4.5.2)ajanthony@deq.state.va.usNC-001

Nonconformance and Corrective andPreventative Action (cont.)VA DEQEMSSection 4.5.2 of the standardcontains the requirements foraddressing, correcting andpreventing nonconformance withinthe environmental managementsystem.ajanthony@deq.state.va.usNC-002

Nonconformance and Corrective andPreventative Action (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the nonconformanceand corrective and preventativesection isHOW DOES THE ORGANIZATIONHANDLE NONCONFORMANCEWITH RESPECT TO THE EMS?ajanthony@deq.state.va.usNC-003

Nonconformance and Corrective andPreventative Action (cont.)VA DEQEMSThree specific issues must be addressed:1. Organization must develop a procedurefor investigating nonconformance from theestablished EMS (include responsibility andauthority).2. Organization must take the necessaryactions to mitigate impacts.3. Organization will need to modify existingprocedures as preventative action.ajanthony@deq.state.va.usNC-004

Nonconformance and Corrective andPreventative Action (cont.)VA DEQEMS4.5.2 is aimed at the following process:1. document the nonconformance;2. notify and mitigate;3. investigate the cause;4. prevent reoccurrence;5. modify existing procedure (preventative);and,6. communicate changed procedure.ajanthony@deq.state.va.usNC-005

Nonconformance and Corrective andPreventative Action (cont.)VA DEQEMSWhere does the evidence of a nonconformanceoriginate?1. internal reporting system of the EMS, and2. external sources such as suppliers, endusers and stakeholders.There must be recognition for the potential ofexternal communication with respect tononconformance.ajanthony@deq.state.va.usNC-006

RecordsVA DEQEMSRECORDS (4.5.3)ajanthony@deq.state.va.usR-001

Records (cont.)VA DEQEMSSection 4.5.3 of the standard containsthe requirements for records within theenvironmental management system.ajanthony@deq.state.va.usR-002

Records (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the records section isHOW DOES THE ORGANIZATIONHANDLE RECORDS ASSOCIATEDWITH THE EMS?ajanthony@deq.state.va.usR-003

Records (cont.)Three specific issues must be addressed:VA DEQEMS1. Organization must establish andmaintain a records retention system for thenecessary supporting documentationrelating to the EMS.2. Organization must establish retentiontimeframes for the records.3. Records archived in a traceable andidentifiable fashion.ajanthony@deq.state.va.usR-004

Records (cont.)VA DEQEMSUniverse of records for retention:1. Legal and other requirements2. Permits3. Environmental aspects and impacts4. Environmental training5. Inspection and calibration information6. Monitoring dataajanthony@deq.state.va.usR-005

Records (cont.)VA DEQEMSUniverse of records for retention: (cont.)7. Nonconformance reports and follow-upinformation8. Environmental audits9. Management reviews10. Emergency preparedness responseinformation11. Etc.ajanthony@deq.state.va.usR-006

Records (cont.)VA DEQEMSRetention Time Frames:1. Permits--established by regulatorygroups2. Suggestion--maintain records relatedto previous nonconformance longer thanother time frames.ajanthony@deq.state.va.usR-007

Records (cont.)VA DEQEMSRecord system should be indexedand archived in such a manner thatany searches can be accurately andquickly completed.ajanthony@deq.state.va.usR-008

Records (cont.)VA DEQEMSNOTE:The records that support the EMSare extremely important to theorganization with respect to auditsand management reviews.ajanthony@deq.state.va.usR-009

Environmental ManagementSystem AuditsVA DEQEMSENVIRONMENTALMANAGEMENT SYSTEMAUDITS (4.5.4)ajanthony@deq.state.va.usAU-001

Environmental ManagementSystem Audits (cont.)VA DEQEMSSection 4.5.4 of the standardcontains the requirements for auditsof the environmental managementsystem.ajanthony@deq.state.va.usAU-002

Environmental ManagementSystem Audits (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the EMS audit section isHOW DOES THE ORGANIZATIONCONDUCT ENVIRONMENTALAUDITS OF THE EMS?ajanthony@deq.state.va.usAU-003

Environmental ManagementSystem Audits (cont.)VA DEQEMSFour specific issues must be addressed:1. Organization must develop a programand procedures that define the audit plan,including frequency.2. Procedures must define methodologyand qualifications of auditors.3. Requirement that audit reports besubmitted to top management.ajanthony@deq.state.va.usAU-004

Environmental ManagementSystem Audits (cont.)VA DEQEMSFour specific issues must beaddressed: (cont.)4. Audit reports must containrecommendations for correcting anynonconformance discovered.ajanthony@deq.state.va.usAU-005

Environmental ManagementSystem Audits (cont.)VA DEQEMSFrequency of audits:1. Mature systems -- once a year,2. Implementation phase -- morefrequent, and3. Nonconformance areas -- morefrequent.ajanthony@deq.state.va.usAU-006

Environmental ManagementSystem Audits (cont.)VA DEQEMSMethodology requirements:1. Determine conformance withrequirements of ISO 14001, and2. That the EMS has been managed asdescribed in the Environmental Policystatement, the Environmental Objectivesand Targets, and related work descriptionsand procedures.ajanthony@deq.state.va.usAU-007

Management ReviewVA DEQEMSMANAGEMENT REVIEW (4.6)ajanthony@deq.state.va.usMR-001

Management Review (cont.)VA DEQEMSSection 4.6 of the standard containsthe requirements for top managementreview of the EMS.ajanthony@deq.state.va.usMR-002

Management Review (cont.)VA DEQEMSThe basic issue that needs to beaddressed in the managementreview section isWHAT MUST HAPPEN DURINGTHE MANAGEMENT REVIEW?ajanthony@deq.state.va.usMR-003

Management Review (cont.)VA DEQEMSThree specific issues must be addressed:1. Top management must conduct reviews ofthe EMS on a set frequency.2. Top management must evaluate theexisting information on the EMS to determine if itis adequate.3. Top management must evaluate the needfor modifying the Environmental Policy and theEnvironmental Objectives.ajanthony@deq.state.va.usMR-004

Management Review (cont.)What material should be provided to topmanagement:VA DEQEMS1. compliance information,2. internal audit reports,3. progress reports w/r to environmental targets,4. information w/r to environmental aspects, and5. internal and external communications w/r toEMS.ajanthony@deq.state.va.usMR-005

Management Review (cont.)VA DEQEMSPLANIMPLEMENTCHECKTopManagementDrivesContinuousImprovementACTajanthony@deq.state.va.usMR-006