ISO 14001 Overview
Charlie Parrish
[email protected]
(919) 515-4266
What is ISO?
• "ISO" is a word, derived from the Greek
isos, meaning "equal.”
• ISO an acronym - International
Organization for Standardization
www.p2pays.org
www.iso.org
2
ISO ….
• The ISO film speed code.
• Telephone and banking cards
• Paper sizes
• ISO metric screw threads
• ISO 9000 & ISO 14000
3
What is ISO 14001?
•
•
•
•
•
•
One of the Many ISO 14000 standards
Model for implementing an EMS
Voluntary, international standard
Auditable standard
Similarities with ISO 9001
REVISED (NOV 15, 2004)
4
ISO 14000
Series of
Standards
3 main Stds:
- ISO 14001
- ISO 14004
- ISO 19011
www.iso.org
5
What ISO 14001 is NOT !
• NOT Focused strictly on regulatory
compliance (regulatory is 1 of 3 focuses)
• NOT A process wherein you immediately
address every single potential
environmental impact
• NOT A performance standard
• NOT An occupational health and safety
standard
6
ISO 14001 is a Model
OTHER EMS
MODELS
• EMAS - Eco-Audit and
Management Scheme
for the European Commission
• Responsible Care by American
Chemistry Council (many
companies migrating to RC-14001)
7
8
http://www.ecology.or.jp/isoworld/english/analy14k.htm
ISO 14001 Registrations in the USA
55
6
4
82
12
5
46
VT - 7
146
8
913
10
408
249
28
41
49
34
11
403
MD - 55
DC -2
241
66
48
DE - 23
100
150
36
MA - 98
NJ - 100 CN - 40
29
189
RI - 19
242
430
283
96
23
NH- 30
155
51
27
19
127
81
123
77
AK -10
HI -
http://qsuonline.com/
NOTE Current North America
registrations are ~ 8,366
(USA=6,166; CAN= 1,702, MEX=
498)
9
Growth in ISO 14001 – Worldwide (1996-2003)
As of 1/2007 ~ 130,000 ISO
14001 registrations - Globally
10
List reasons for getting
registered
1. __________________________
2. __________________________
3. __________________________
4. __________________________
5. __________________________
11
Registration Mandates
• Ford - Suppliers required to be
third-party registered by 7/1/2003
• General Motors - all suppliers
implement an EMS by 12/31/2002
• DaimlerChrysler ….all suppliers …. by
12/31/2002
• Toyota - obtain 3rd party certification to
ISO 14001 by 12/31/2003
• Honda - … 2004 ...
12
List some FUNCTIONS of an EMS
1. _______________
7. _______________
2. _______________
8. _______________
3. _______________
9. _______________
4. _______________
10. ______________
5. _______________
11. ______________
6. _______________
12. ______________
13
P-D-C-A Model of Continual
Improvement
ACT
Continual
Improvement
PLAN
CHECK
DO
14
ACT
• ___________________
P-D-C-A Exercise
Activity: __________
• ___________________
PLAN
• ___________________
• ___________________
• ____________________
• ___________________
• ____________________
• ____________________
CHECK
• ____________________
• ____________________
Continual
Improvement
• ____________________
DO
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
• ____________________
15
ISO 14001 - 2004
4.1 General
4.6 Management
Review
4.5 Checking
Continual
Improvement
4.2 Environmental
Policy
4.5.1 Monitoring and Measurement
4.3 Planning
4.5.2 Evaluation of Compliance
4.3.1
Environmental Aspects
4.5.3 Nonconformity, Corrective
Action and Preventive Action
4.3.2
Legal/Other Requirements
4.5.4 Control of Records
4.3.3
Objectives, Targets and
Programs
4.5.5 Internal Audits
4.4 Implementation & Operation
4.4.1 Resources, Roles, Responsibility & Authority
4.4.2 Competence, Training & Awareness
4.4.3 Communication
4.4.4 Documentation
Red = Identifying Env. Issues
Blue = Managing Env Issues
4.4.5 Control of Documents
4.4.6 Operational Control
4.4.7 Emergency Preparedness/Response
16
Planning Elements
4.1 General
4.2 Environmental Policy
4.3 Planning
4.3.1 Environmental Aspects
4.3.2 Legal/Other Requirements
4.3.3 Objectives, Targets and Programs
17
4.1 General Requirements
Define the scope of your EMS (what is
covered)
ƒ Locations
ƒ Exclusions
18
4.2
The Three Pillars (commitments) of
Your Environmental Policy:
• Compliance
• Prevention of Pollution, or “P2”
• Continual Improvement
Company Policy Statement
19
Policy Slogans
Policy Slogans
OUR ENVIRONMENTAL STATEMENT
Respect for the Environment
Reduce energy use
Eliminate wastes and emissions
Survey our processes
Plan for the future
Evaluate options
Comply with all laws and regulations
Treasure our employees, community and environment
4.3.1 Environmental Aspects
s
Environmental Aspect:
u
a
C
• Element of an organization’s activities,
products, and services (A/P/S) that can
interact with the environment ( Waste
Stream)
Environmental Impact:
• Any change to the environment, whether
adverse or beneficial, wholly or partially
resulting from an organization’s activities,
products, or services (A/P/S) -
e
t
c
fe
f
E
22
Environmental Aspects & Impacts
Air Emissions
Air Pollution
Packaging
Land Fill Space
Energy Use
Fossil Fuel Depletion
Metal Chips
Minerals Depletion
Stormwater
Water Pollution
Transportation
Air Pollution
Wastewater
Water Pollution
23
Choose if
its an
Aspect (A)
or Impact
(I)
Remember: An Impact
has to include:
1. which resource
(i.e. water)
2. type of change to
that resource (i.e.
pollution)
Column 1
Type Description
• Delivery Truck
Operation
• Depletion of water
resources
• Using propane in
forklifts
• Bio-waste disposal
• excessive noise in
community
• Conservation of
available landfill space
• used tires disposal
• aluminum cans
storage
• using styrofoam
packaging peanuts
• air conditioning
• facility electricity
usage
• depletion of metal
ore
• waste water effluent
discharge
• ozone layer
destruction
• operating a fossil fuel
fired boiler
• generating metal
scrap
• endanger human
health
• end of product life
(disposal method)
• paper usage
•
used filters disposal
• disposal of oil
• landscaping
Column 2
Column 3
Type Description
Type Description
• Damages flora/fauna
• oily rags storage and
handling
• Generating noise
• solvent emissions
• Boiler combustion
•
• Paint booth overspray
• vehicle washing
• store/handle
hazardous waste
• CFC emissions
• chemical spillls
• increasing the river
water temperature
• discharging waste
water to the storm
sewer
• office cleaning
• store solid waste
•
lawn care
• forests depletion
• paint booth emissions
water pollution
• used batteries
disposal
• VOC emissions
•
use of solvents
•
asbestos removal
•
soil pollution
•
oil leaks
• chemicals &
pesticide use
• detergent use
• erosion of hillside
•
• waste water
discharges
• heavy metals
disposal
• depletion of arabian
oil
• indoor air quaity
degredation
• used antifreeze
disposal
• freon 12 loss
• trash disposal
• storage of oil and
gasoline
• water depletion
PCB disposal
• community
degredation
• water usage in the
plant
• employee exposure
• degrading facility
appearance
• beautifying the
community
• sanitary sewer
discharge
• Depletion of
available landfill space
24
Significant Aspects
4.3.1
Environmental
Aspects
Severity
of Impact
NOTE: Other Criteria can
be used as well
Probability
of Impact
Legal
Issues
Business
Objectives
SIGNIFICANCE
25
Boiler
Operation
Air
Emissions
Air Pollution NOx
Fuel
Natural Resource
Consumption Depletion
Boiler Water
Blowdown
Water Pollution
Water
Natural Resource
Consumption Depletion
Aspect
Significant
Numerical Score
Concers
Business
Concerns
Stakeholders's
Environmental
Impact
Legal Issues
Aspect
Probability
Activity
Severity
4.3.1 Identifying Significant
Environmental Aspects
2
4
5
4
5
20
Y
2
3
3
2
1
11
N
3
4
3
4
4
18
Y
2
2
3
3
1
11
N
Re
Em
Re
Bl
W
26
Identifying and Evaluating
Environmental Aspects/Impacts
Identify
Environmental
Aspect
Determine Impact
to Environment
You decide this.
Aspect is
Therefore
Significant
Yes
Is Impact
Significant?
Establish Targets & Objectives via
Environmental Management Programs
and Operational Controls
No
Stop
(Record)
27
4.3.2 Legal and Other requirements
• Identify Requirements
• Have access to them
• Determine how they apply to its aspects
• Write a Level 2 Procedure covering this
process
NOTE : DOES NOT HAVE TO
BE LISTED FOR EACH ASPECT
28
Example Legal Requirements
Legal Req’t
Code
Hazardous Waste 40 CFR 261
Management
Air Quality Permit 15A NCAC
2Q.0100
Storm Water
15A NCAC
Exclusion
2H.0126
Municipal
Thomasville
Wastewater
Code
Aspect
Haz Waste
Disposal
Air Emissions
Stormwater
Run-off
Wastewater
Discharges
29
Other Legal Requirements
Legal Req’t
Code
Aspect
Corporate
Environ. Policy
Customer
Manadate for ISO
Pallet Nemotode
Treatment
Customer
Prohibition of
Toxics
Company Web Could be
Site
several
Customer Letter Could be
several
Geographical
Shipping
Request Letter
Customer Letter Raw
Material
Usage
30
ISO 14001 Req’ts for Legal Issues
4.2 Environmental
Policy
Demonstrate a Commitment
to Compliance
4.3.2 Legal & Other
Identify You Legal and
Other Requirements
4.3.2 Legal & Other
Have Access to the Code
4.3.2 Legal & Other
Determine How They Apply
4.3.3 Objectives
& Targets
When establishing O & T,
shall consider L & O
4.5.2 Compliance
Evaluation
Determine Compliance
4.6 Management
Review
Updates (developments) in
31
Legal Req’ts
Legal and other - it can cost you ?
• After discovering non compliances – you
are obligated to correct them OR it’s a
willful violation ($$$$)
• Need to generate records to demonstrate
compliance ($$)
• i.e., Refrigerants for HVAC. If adding
refrigerant, need follow-up visit from
maintenance vendor – to verify no leaks
occur
32
4.3.3 Objectives,
Targets & Programs
Objectives: Overall
Goals
Targets: Detailed
performance requirement that helps you achieve
the objective.
Programs: Due Date, responsible party and
Detailed Plan (means)
33
Example Environmental Management
Program
Activity/ Product or Service
Maint. Work Area
Objective:
Revision
Date:
Noise Minimization
Project Plan Title:
Aspect
2/20/2003
Significant (S) / Legal
(L) / Emergency (E)
Impact(s):
Noise (from Compressor)
Environmental Noise
S/L
Decrease noise to below 80 dBA
Responsibility
Target(s)
Employee
Title
Date Due
1
Build wall around work area.
Roy
Maintenance
Jun-03
2
Purchase low noise compressors.
Roy
Maintenance
Aug-03
Task #
Other Tasks - Description
1-1
Qet Quote on Wall
1-2
Select Vendor, Get apporved and Award Bid
1-3
Build Wall
Responsibility
Employee
Title
Date Due
Date
Completed
Date
Completed
1-4
2-1
Qet Quote on Compressors
2-2
Select Vendor, Get apporved and Award Bid
2-3
Install Compressors
2-4
Investigate replacing all other "High Noise" Compressors
34
Implementation Elements
4.4 Implementation
4.4.1 Resources, Roles, Responsibility &
Authority
4.4.2 Competence, Training & Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Control of Documents
4.4.6 Operational Control
4.4.7 Emergency Preparedness/Response
35
4.4.1 Roles, Roles, Responsibilities
and Authorities
• Roles, responsibilities, and authorities must be
• defined , documented, communicated
• Management must provide essential resources:
• People, skills , technologies, infrastructure, & money
• A Management Representative(s) must be
designated (appointed
by top management)
• MR must report on EMS
and make recommendations for improvement to
Top Management
36
Roles & Responsibility Matrix – An
Example
Title
Responsibilities
Plant Manager
Establish overall direction, maintain Environmental
Policy
Environmental Manager (MR)
Maintain Environmental Policy, monitor overall EMS
performance, ensure EMS conformance
Production Supervisors
Develop objectives, targets and programs;
implement programs
Waste Disposal Operators
Collect and handle waste within the plant
Waste Treatment Operators
Operate the wastewater treatment plant
General Maintenance
Perform maintenance on production and waste
handling and treatment equipment
Materials Manager
Track and control incoming chemical supplies
Human Resource Manager
Establish and maintain environmental training
program; maintain training records
Receptionist/Administration
Logs environmental communication from
interested parties and directs to appropriate responder
37
4.4.2 Competency, Awareness &
Training
• Demonstrate Competency around significant
Aspects
• Tests (CHMM, PE, etc)
• Supervisor Sign-offs (Work Instructions, etc)
• Certifications (Fork Lift Training)
• Identify Training Needs
• Conduct Trainings (Training records)
• ISO 14001 Awareness
• Emergency Evacuations
• SPCC/ Stormwater, etc.
38
Example Training Needs Table
39
4.3.3 Communication
•Develop procedure for
•Internal communication
•External communication
•Decide on communicating significant
aspects externally
40
4.4.4 Documentation
No Manual is required, But
… You need a description
of the main elements …
EMS
Manual
Procedures
Work
Instructions
Records
Top Level Document (Main Elements
EMS Procedures (Aspects, Training, etc
Waste Disposal, Permit
Compliance, etc
Evidence of what you did ( reports,
(manifests, list of aspects, etc)
41
Identifying Environmental Aspects *
Legal & Other Requirements
Setting Objectives, Targets, Programs
*
Environmental Training
Environmental Communication
Document Control
Operational Controls
Contractor Management
Emergency Response Planning
Monitoring & Measuring
Compliance Evaluation
Corrective & Preventive Action
Environmental Records
Internal EMS Audit
EMS Management Review
ISO 14001 - Level
2 Procedures
Required
Recommended
Red
Add to 9000
Procedure
42
4.4.5 Document Control
Documents must be:
•
•
•
•
•
•
approved and authorized
periodically reviewed and revised
have changes identified
current versions are available
obsolete documents identified or removed
External Documents – distribution controlled
43
4.4.6 Operational Control
Identify those operations and
activities associated with
significant environmental
aspects that need work
instructions
i.e.,
• Haz Waste Storage
• Boiler Operation
• Paint Booth Maintenance
• Storm Water Sampling
• Air Permit
• Etc.
44
Operational Controls – Contractors
and Suppliers
Include activities associated with significant
aspects of goods and services used by the
organization;
•
relevant procedures must be
communicated to suppliers and
contractors
45
c)…. Examples Requirements
to Communicate
Grounds keeping
No pesticides allowed
Air Conditioning/
Chiller servicing
Service technicians must show
proper certification to handle
Freon
On-site
Contractors must follow our
Construction
facility’s liquid waste disposal
procedures
Shipping (trucking, All Shipper’s must check in with
transportation, bulk the Shipping/Receiving Dept. for
delivery, labeling) instruction on our bulk chemical
unloading procedures
46
Operational Controls Form
47
Emergency Preparedness
• ID potential emergencies
and develop response
plans
• Include plans for
mitigating “environmental
impacts”
• Test emergency plans
(fire drills)
48
Example of List of Potential
Emergencies
#
Potential
Emergencies or
Accidents
1
Floods
Water Pollution from vehicles and machines
EWI-001
2
Hurricanes
Loss of Human Life
EWI-001
3
Tornadoes
Loss of Human Life
EWI-001
4
Fire
Air Pollution, Loss of Human Life
EWI-002
5
Chemical Spillssmall
Employee Exposure (irritants mostly)
EWI-003
6
Chemical Spillslarge
Employee exposure, Water Pollution
EW-003
7
Waste Water Tote
Soil / Ground Water Contamination.
Spills
Potential Impact
Emergency
Response Plan
to be Used
EWI-004
49
Checking Elements
4.5 Checking
4.5.1
4.5.2
4.5.3
4.5.4
4.5.5
Monitoring and Measurement
Evaluation of Compliance
Nonconformity, Corrective Action and
Preventive Action
Control of Records
Internal Audits
50
Summary – What needs Monitoring?
•
monitoring related to significant aspects
(key characteristics)
•
criteria listed in operational controls
•
progress & conformance with objectives
and targets
•
monitoring required by regulations
•
Others
“You can’t manage it if you don’t measure it”
51
Summary – What needs Calibrating?
• Only where data accuracy warrants it
• On equipment which the manual recommends
periodic calibration
•
Examples:
Scales
Air/water flow meter
Natural gas meter
CO meter
pH meter
Thermometer
Electric meter
O2 meter
52
4.5.1 Monitoring and Measurement
Examples
Objective
Target
Operational
Performance
Control
Monitoring
--------------------------------------------------------------------------------------------Maintain compliance
with EPA Air Permit
< 200 lbs
hex chrome
per week
Air Scrubber
Monitor & record
daily air flow rate
and calculate
emissions
------------------------------------------------------------------------------------------------------------------Reduce hex
< 150 lbs
Perform routine
Record maintenance
chrome emissions
per week
and preventive
activities in log
maintenance on
book
air scrubber
------------------------------------------------------------------------------------------------------------------Maintain compliance
< 1 mg/L Zinc
Wastewater
Monitor & record
with City Wastewater
average
Treatment
daily zinc
Permit
monthly conc.
equipment
concentrations
------------------------------------------------------------------------------------------------------53
Monitoring Calendar ???
54
4.5.2 – Evaluation of Compliance ------ The 2nd Audit Program ------
• With Legal Environmental Requirements
• With Other Requirements (customer
Environmental Requirements)
NOTE: No real guidance on frequency of
compliance audits
55
Example Compliance Audit Report
56
Other Checking Elements
• 4.5.3
Nonconformity, Corrective Action and
Preventive Action
• 4.5.4 Control of Records
• 4.5.5 Internal Audits
57
4.5.3.2 – Nonconformity, Corrective &
Preventive Action
• Mitigate environmental impacts (immediacy)
• Determine causes
• Correcting actual nonconformities
• Preventing potential nonconformities
This may require:
• New or Modified EMS Procedures
58
4.5.4 – Records
Keep them
59
4.5.5 – Internal Audit
To Determine if EMS meets:
• ISO 14001
• EMS Procedures
• Policy & Objectives
NEED:
• Audit Schedule
• Audit Procedure
• Trained Auditors (typically)
60
4.6 – Management Review
• Involve Top Management
• Determine if EMS is
• Continuingly Suitable
• Adequate
• Effective
• Determine if OH&SMS needs to be
CHANGED
NEED:
- Management Review Schedule
- Documented Minutes
61
4.6 – Management Review - Agenda
• Audit results
• Compliance Evaluations
• External Communications (complaints)
• EMS Performance (Sig Aspects)
• Objectives Status
• CARs and PARs Status
• Follow-up Actions from Previous MRs
• Changing Circumstances (esp Legal
Reqt's)
• Recommendations for Improvements (Man
Rep)
62
Which 3 ISO 14001 elements identify
what environmental issues will be
managed?
1. ___________________________________
2. ___________________________________
3. ___________________________________
63
Which ISO 14001 elements manage
significant aspects?
• _________________
•_________________
•_________________
64
What performance results will you be
held accountable for?
• _________________________________
•__________________________________
•__________________________________
•__________________________________
•__________________________________
65
ISO 14001 EMS Development &
Steps to Registration
Continual Improvement
Surveillance Audits
Registration Audit
Doc Audit & PreAssessment
Conduct Corrective Actions & MRs
Internal Auditing
Training – Awareness, Auditors, SOPs
Develop EMS (aspects, procedures, etc.)
66
ISO 14001 vs ISO 9001
25 to 40% ?
ISO 14001
• Environmental Policy
• Training/Awareness
• Document Control
• Monitoring/Measuring
• Nonconformance/C.A.
• Records
• EMS Audit
• Management Review
•
•
•
•
ISO 9001
Quality Policy
Training
Document/Data Control
Inspection/Test/Control
•
•
•
•
Control/Noncon. Product
Control of Quality Rec.
Internal Quality Audits
Management Review
67
DENR Strongly Supports
the use of EMS
DENR will seek to encourage
the implementation of effective
EMS.
DENR will educate its
customers and DENR
employees.
DENR will explore incentives
that promote the adoption of
EMSs to achieve performance
http://www.p2pays.org/ref/03/02256.pdf
68
NC DENR / DPPEA’s
EMS Award
http://www.p2pays.org/esi/index.htm
69
EPA Strongly Supports the use of EMS
Through Its Performance Track Initiative
Because ... implementation of an
(EMS) requires a commitment to
compliance, periodic EMS and
compliance audits, and an annual
certification of compliance - EPA will
grant Performance Track facilities a Low Priority Status for Routine
inspections
Criteria for Performance Track Co.’s
•Environmental Management System
•Continuous Improvement
•Community Outreach
•Sustained Compliance
•Annual Performance Reporting
http://www.epa.gov/performancetrack/
70
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ISO 14001 Overview Charlie Parrish (919) 515-4266