Introduction to ISO 14001

Chapter 4

Introduction to ISO 14001 Introduction

In this chapter we take a general look at the content of ISO 14001 and its requirements. The detailed study of the requirements and how to put them into practice comes in Chapters 6, 7 and 8. ISO 14001 is not an isolated standard. It is part of a family of supporting standards, details of which are included in this chapter. Finally, there is a comparison of the structure of ISO 14001 and ISO 9001: 2000, where it becomes apparent that there are considerable similarities, particularly in the way that the different management systems are controlled. This gives an opportunity for organisations that are already registered to ISO 9001 to integrate their quality and environmental systems. The clauses of ISO 14001

The following synopsis of ISO 14001 gives a quick understanding of the range of standard's requirements. It is no substitute for looking at the full text of the standard. Your assessor will expect you to have a copy and you should purchase one. Standards are obtainable in the UK from the British Standards Institution. The address for sales is given in Appendix D. The requirements for environmental management systems are set out in Clause 4 of the Standard under six main headings: 4.1 4.2 4.3 4.4 4.5 4.6

General requirements Environmental policy Planning Implementation and operations Checking and corrective action Management review

These are then when necessary divided into sub-clauses. 4. / General requirements

There must be a documented environmental management system (EMS) that meets all the following requirements. 4.2 Environmental policy

There must be an environmental policy that is consistent with any group or sector policy, is relevant to the organisation's activities, commits to prevent pollution and observe relevant legislation, has a commitment to continual improvement and setting environmental objectives and targets, and states how it is made available to all employees and publicly.

ISO 14001 Environmental Certification Step by Step 4.3 Planning 4.3.1 Environmental aspects

Environmental aspects shall be identified both for normal operating conditions, for reasonably foreseeable deviations and for emergencies. This is usually documented in a Register of Environmental Aspects. 4.3.2 Legal and other requirements

Relevant legislative, regulatory and other environmental requirements must be identified. This is usually documented in a Register of Environmental Legislation which must be kept up to date. 4.3.3 Objectives and targets

Environmental improvement objectives and targets must be set, consistent with the policy. 4.3.4 Environmental management programme

Programmes must be set for the achievement of the objectives and targets, and responsibilities must be designated.

4.4 Implementation and operation 4.4.1 Structure and responsibility

Responsibilities must be defined. Adequate human resources with appropriate skills must be provided. There must be a management representative with the authority to ensure the EMS is implemented and to make sure that performance is reported upon to management. 4.4.2 Training, awareness and competence

All employees must be aware of the environmental objectives, have appropriate job training in relevant environmental procedures and know the consequences of departing from the procedures. 4.4.3 Communication

There must be a system for receiving and responding to communications regarding environmental aspects, from both external and internal sources. 4.4.4 Environmental management system and documentation

There must be a documented description of the environmental management system, which brings together the policy, objectives and targets, and responsibilities. It must point to all the associated documentation (e.g. the Registers, Operating Procedures, including emergency plans). 4.4.5 Document control

There must be a system for document control. 4.4.6 Operational control

Documented procedures and Work Istructions must be prepared where they are needed to ensure compliance with the requirements of the EMS. These should also relate to goods and services with significant environmental aspects, and be communicated to suppliers and contractors. For example, when contractors are working on site, whether in a long-term or short-term capacity, they need to be aware of, and observe, the local environmental rules and procedures. Assessors are paying particular attention to the control of contractors, simply because experience has shown that they can be the cause of a significant number of environmental incidents. Going one stage further, although not a specific requirement of ISO 14001, good environmental practice suggests that enquiries should be made about the environmental status or performance of key suppliers and subcontractors. 10

Introduction to ISO 14001 4,4.7 Emergency preparedness and response

Reasonably foreseeable and emergency situations must be identified and appropriate procedures implemented. They must be reviewed, especially if they have ever been called into action, and tested periodically. 4.5 Checking and corrective action 4.5.1 Monitoring and measurement

There must be procedures for monitoring activities which impact on the environment. Any monitoring equipment must be calibrated. 4.5.2 Nonconformance and corrective and preventive action

There must be a system for handling noncompliances, with investigation and corrective actions. 4.5.3 Environmental management records

Records must be kept and archiving requirements specified. 4.5.4 Environmental management system audit

The EMS must be audited regularly to ensure the system is operating effectively. There must be an audit programme and a reporting and follow-up system. 4.6 Management review

Management must periodically review the environmental policy, objectives and the EMS to ensure they are still effective and relevant to the organisation's needs in the light of changing circumstances.

Annex A and ISO 14004

The standard contains an Annex A giving very useful guidance and additional information on the interpretation of the standard. This is further supplemented by ISO 14004 'Environmental management systems General guidelines on principles, systems and supporting techniques'. This is particularly helpful when writing about the benefits of having an EMS and when preparing to carry out an initial environmental review, and at the planning stage of the project. The structure of the documented environmental management system

The structure of the final documented EMS will be as shown in Fig. 4.1.

Environmental Management Manual

Register of Environmental Legislation

Register of Environmental Aspects

Operating Procedures

Work Instructions (if needed)

Fig. 4.1 The structure of a documented environmental management system

ISO 14001 Environmental Certification Step by Step Table 4.1 ISO 14001 : 1996

Environmental management systems - Specification with guidance for use

ISO 14004 : 1996

Environmental management systems - General guidelines on principles, systems and supporting techniques

ISO 14015 : 2001

Environmental assessment of sites and organisations

ISO 14020 series

Environmental labels and labelling (published in 1999 and 2000)

ISO 14031 : 2000

Environmental performance evaluation - Guidelines

DD ISO/TR 14032:2000

Examples of environmental performance evaluation

ISO 14040 : 1997

Environmental management - Life cycle assessment - Principles and framework

ISO 14041 : 1998

Environmental management - Life cycle assessment - Goal and scope definition and inventory analysis

ISO 14042 : 2000

Environmental management - Life cycle assessment - Impact assessment

ISO 14043 : 2000

Environmental management - Life cycle assessment - Interpretation

DD ISO/TS 14048 : 2002

Life cycle assessment - Data documentation format

PD ISO/TR 14049 : 2002

Examples of application of ISO 14041 to goal and scope definition and inventory analysis

ISO 14050 : 2002

Environmental management - Vocabulary

ISO 19011 : 2002

Guidelines for quality' and/or environmental management systems auditing

The ISO 14000 family T h e International Standards Organisation (ISO) attaches such i m p o r t a n c e to the developm e n t of environmental m a n a g e m e n t standards that it has allocated the range of n u m b e r s 14000-14099 to environmental topics. A n u m b e r of the standards have already b e e n published a n d others are in the course of preparation. T h e most significant ones are included in Table 4.1. These standards have b e e n a d o p t e d by the British Standards Institution, a n d are mostly prefixed BS in the UK. However, in the first instance concentrate on ISO 14001, a n d as suggested above, you may also find ISO 14004 helpful.

Similarities with ISO 9001 In writing this book, I have assumed that the organisation may wish to create a free-standing environmental m a n a g e m e n t system, i.e. registration to ISO 9001 is n o t a prerequisite for going forward to ISO 14001. However, the j o b will be that m u c h easier if a quality m a n a g e m e n t system already exists. T h e possibility of having c o m m o n O p e r a t i n g Procedures for b o t h m a n a g e m e n t systems is recognised in the m o d e l O p e r a t i n g Procedures. T h e overlap between ISO 14001 a n d ISO 9001: 2000 is shown in Table 4.2. W h e r e bold text has b e e n used, it should be possible to write an O p e r a t i n g P r o c e d u r e which is c o m m o n to b o t h the environmental a n d quality m a n a g e m e n t systems.

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Introduction to ISO 14001 Table 4.2

Similarities between ISO 14001 and ISO 9001: 2000 ISO 14001

Clause no

ISO 9001: 2000 Clause no

4.1

Environmental management system

4.1

Quality management systemGeneral requirements

4.2

Environmental policy

5.3

Quality policy

4.3.3

Objectives and targets

5.4.1

Quality objectives

4.3.4

Environmental management programme

5.4.2

Quality management system planning

4.4.1

Structure and responsibility

5.5.1

Responsibility and authority

5.5.2

Management representative

4.4.2

Training, awareness and competence

6.2.2

Competence, awareness and training

4.4.3

Communication

5.5.3

Internal conununication

4.4.4

Environmental management system and documentation

4.2.1

Documentation requirements general

4.4.5

Document control

4.2.3

Control of documents

4.4.6

Operational control

7.5.1

Control of production and service pro\ision

4.5.1

Monitoring and measurement

7.6

Control of monitoring and measuring devices

4.5.2

Non-conformance and corrective and preventive action

8.3

Control of non-conforming product

8.5.2

Corrective action

8.5.3

Preventive action

4.5.3

Environmental management records

4.2.4

Control of quality records

4.5.4

Environmental management system audit

8.2.2

Internal audit

4.6

Management review

5.6

Management review