Overview of EMS and ISO 14001
Environmental Management Systems
Development Course
Raleigh, NC
July 24, 2001
Beth Graves
NC Division of Pollution Prevention
and Environmental Assistance
What is ISO?
• International Organization for
Standardization - Not an acronym
• "ISO" is a word, derived from the Greek
isos, meaning "equal.”
• From "equal" to "standard”-- line of
thinking that led to the choice of "ISO" as
the organization’s name.
International Organization for
Standardization (ISO)
• Worldwide federation of national standards
bodies from over 100 countries, one
representative from each country.
• Non-governmental organization
(NGO) established in 1947,
located in Switzerland.
• American National Standards Institute
(ANSI) is US representative to ISO
ISO Organization
TMB
(Technical Mgmt. Board)
ISO
TC 176
ISO 9000
QMS
TC 207
ISO 14000
EMS
SC1
Terms & Def.
SC6
Terms & Def.
Other TCs...
History
• 1987 - World Commission on Env. & Development
(WCED) published “Our Common Future”
– first use of “sustainable development”
– called for the development of effective env. management
systems by industries
• 1989 - Creation of Strategic Advisory Group on the
Environment (SAGE)
– Recommended that a new ISO Technical Committee (TC)
be formed to develop standards for EM
• January 1993 - ISO creates TC 207
(TC 176 over QMS standards - ISO 9000)
• Fall 1996 – ISO 14001 adopted
Structure of ISO’s TC 207
ISO/TC 207
Environmental
Management
SC 1
Environmental
Management
Systems
SC 2
Environmental
Auditing
WG1
Specification
WG 1
Aud. Principles
WG1
EPE
WG 2
Gen. Guidelines
WG 2
Aud. Procedures
WG2
Industry Sector
EPE
SME
WG
WG 3
Aud. Qual.
WG 4
Other Invest.
SC 3
Environmental
Labelling
WG 3
Guiding Prin.
for
Env. Labeling Prog.
SC 4
Environmental
Performance
Evaluation
SC 5
Life Cycle
Assessment
SC 6
Terms and
Definitions
WG on Forestry
WG 1
Env. Aspects
in Product
Standards
Sub-Committees of TC 207
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•
•
•
•
•
SC 1: EMS - UK
SC 2: Env. Auditing - Netherlands
SC 3: Env. Labeling - Australia
SC 4: Env. Performance Evaluation - US
SC 5: Life Cycle Assessment - France
SC 6: Terms and Definitions - Norway
ISO-related Acronyms
•
•
•
•
•
US TAG to TC 207, SC’s and WG’s
St’s to the TAG
NWIP, CD, DIS, and FDIS
ISO specification standard/guidance or TR
ANSI-RAB and the NAP
ISO 14000 Standards Family
• Management System standards
– EMS, auditing, EPE (14030)
• Product standards
– LCA (14040), labeling (14020)
ISO 14000 Family
• A series of guidance documents and standards
to help organizations address environmental
issues.
–
–
–
–
–
–
–
–
14001: Environmental Management Systems
14004: EMS general guidelines
14010: Guidelines for Environmental Auditing
14011: Guidelines for Auditing of an EMS
14012: Auditing - Qualification criteria
14020: Environmental Labeling
14030: Env. Performance Evaluation (EPE)
14040: Life-Cycle Assessment (LCA)
Environmental Management System (EMS)
• ISO 14001 is the specification standard that
is a model for an environmental
management system.
• ISO 14004 is the guidance for the EMS
specification
• 14001 is the only specification standard in
the ISO series.
Becoming ISO 14001 certified
• Registration body examines EMS for conformity
to the ISO 14001 standard
• Not a compliance audit, an EMS audit
• Facility awarded registration
• Does NOT mean that products are more
environmentally friendly
• Does mean have a documented EMS that is fully
implemented and consistently followed
Registration
• Terms “certification” and “registration” are
synonymous
• May self-declare or self-certify
• Accredited registrars
3rd Party Certification
• Accreditation Body
– Ex. RAB
Accreditation
Body
• Registrar
– Ex. Underwriters Laboratory
• Auditors
Registrar
– Ex. John Doe, certifies the EMS of
an organization meets requirements
of ISO 14001
Auditors
To Whom Do the Standards
Apply?
•
•
•
•
•
Standard is Voluntary
Large and Small Businesses & Industry
Service Sectors (hospitals, hotels, etc.)
City and County Government
Applicable to all types of organizations, of
all sizes anywhere in the world
What is an EMS?
• Systematic way of managing an organization’s
environmental affairs
• Based on Plan-Do-Check-Act Model (PDCA)
• Focused on Continual Improvement of System
• Addresses immediate and long-term impact of an
organization’s products, services and processes
on the environment.
• A tool to improve environmental performance
EMS
• Focus not only on what but also why
• Top management priority
• Dynamic
• Flexible, simple
• Employee involvement
• Endorses continual improvement
EMS
• Much of an EMS may already be in place
• Key is to use a systematic approach to
planning, controlling and improving
environmental efforts
• Can be a vehicle for positive change
17 Requirements in ISO 14001
Env. Policy 4.2
Document control 4.4.5
Env. Aspects 4.3.1
Operational control 4.4.6
Legal and other req. 4.3.2
Emergency preparedness and response
4.4.7
Obj. and targets 4.3.3
Monitoring and measurement 4.5.1
Env. Mgmt. Program 4.3.4
Corrective/preventive action 4.5.2
Structure and Responsibility 4.4.1
Records 4.5.3
Training, awareness, and competence
4.4.2
EMS audit 4.5.4
Communication 4.4.3
Management Review 4.6
EMS documentation 4.4.4
EMS Model
Policy
Management
Review
Plannin
g
Implementation
Checking
Corrective Action
EMS Key Elements







Policy Statement/Commitment
Identification of Significant Environmental
Impacts
Development of Objectives and Targets
Implementation Plan to Meet Obj. and Targets
Checking and Follow-up
Training
Management Review
Some EMS Models
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•
•
•
•
•
•
•
Metal Finishers
National Biosolids Partnership
Project XL with the United Egg Producers
Agriculture EMS models (livestock, soybean)
SGIA model
Federal facility models (CEMP, DOE guide)
Compliance-focused EMS (CFEMS)
Commission for Env. Cooperation (CEC guide)
EPA Position
• published in Federal Register 3/12/98
• “Implementation of an EMS has the
potential to improve an organization’s
environmental performance and compliance
with regulatory requirements. EPA supports
and will help promote the development and
use of EMSs, including those based on the
ISO 14001 standard...”
US EPA and EMSs
• Office of Water funded pilot efforts in 10
states, municipality pilots – 1st project
complete; beginning second pilot; new
pilot with Biosolids Assoc.
• Region I Star Track program; Region IX
EMS template for metal finishers
• EMS and Enforcement (CFEMS)
• EPA “Aiming for Excellence” Report Sept.
99
• Performance Track