L19 ISO 14001 Dileep Andhare

© Indian Institute of Public Health Gandhinagar, NFP usage only
Certificate Programme in
Health, Safety And Environment Management
ISO 14001:2004
Environmental Management Systems Requirements with guidance for use
Dr. Dileep Andhare

Adj. Professor & Course Coordinator
1 IIPHG
Standards…. What is the need?

A management system (eg ISO 14001) gives an organization a
framework
While self-declaration is technically possible, most organizations go for
a third party “certification”
It is a verifiable evidence of the organization meeting its legal,
organizational and other requirements pertaining to environmental
performance
For customers / stakeholders, it is an assurance for sustainability
2
What is ISO
• International Organization for Standardization (So why not IOS?)
• It’s a federation of international standards bodies representing 162
countries and 3368 technical bodies.
• So far, it has published more than 19500 standards
• There are different “series” or “families” of standards (eg 9000,
14000 etc)
• Draft standards are prepared by technical committees. They are
published as standards only after deliberations and at least 75 %
members voting in its favor.
• Founded in 1947 and has office in Geneva, Switzerland
3
What are the benefits

• International Standards ensure that products and services are safe,
reliable and of good quality.
• For business, they are strategic tools that reduce costs by
minimizing waste and errors and increasing productivity.
• They help companies to access new markets, level the playing field
for developing countries and facilitate free and fair global trade.
4
Overall Benefits of an EMS

• Assurance To Customers
• Good Public/Community Relations
• Access To Capital
• Enhancing Image And Market Share
• Vendor Certification Criteria
• Improving Cost Control
• Reducing Liability
• Conserving Materials And Energy
• Obtaining Permits/Authorisations
• Improving Government-industry Relations
5
ISO, Accreditation And Certification

• While ISO is the standards making body, there are “accreditation
bodies” such as UKAS from UK, ANAB from US and NABCB from
India. These agencies authorize and supervise “certification bodies”
such as Bureau Veritas, DNV, TUV etc
• Certification bodies perform audits and “register” or “certify”
organizations for various standards such as ISO 9001:2008, ISO
14001:2004 etc
• Certification is a 3 year cycle beginning with pre-assessment
(optional), stage I & stage II audit. This is followed by surveillance
audits and a recertification at the end of 3 year period.
6
• ISO 14001 was prepared by Technical Committee ISO/TC 207,

Environmental management, Subcommittee SC 1, Environmental
management systems.
• This second edition cancels and replaces the first edition (ISO
14001:1996), which has been technically revised.
• A newer version of the standard is in draft stage and may be
published in 2015.
• By 2012 end, more than 285000 organizations the world over were
certified for ISO 14001.
7
Environmental issues
• Have a universal significance
• Are complex
• And
• Have economic implications
8
Environmental issues Protocol and conventions

Global warming International Framework Convention on
Climate Change signed in Rio in 1992
Kyoto Protocol – 1997
Depletion of the ozone layer Montreal Protocol
Loss of biodiversity CITES - Convention on International Trade

in Endangered Species
Rio Biodiversity Convention
Air pollution Transboundary air pollution convention

Local and regional controls
Water pollution Marpol Convention on pollution from

ships
Local legislation
Waste Basel Convention and Local Legislation
Surroundings in which an organization operates, including

Environment air, water, land, natural resources, flora, fauna, humans,
and their interrelation
The act or art of managing : the conducting or supervising

Management
of something (as a business)
A regularly interacting or interdependent group of items

System
forming a unified whole
Environmental “Part of an organization’s management system used to

Management develop and implement its environmental policy and
System manage its environmental aspects”
10
Structure of the standard

• Introduction
• Scope
• References (none)
• Definitions
• Requirements (the auditable part)
• Annex A Guidance
• Annex B Links to quality systems
• Annex C Bibliography
11
4.1 General requirements

The organization shall establish, document, implement, maintain
and continually improve an EMS in accordance with the
requirements of this International Standard and determine how it
will fulfill these requirements.
The organization shall define and document the scope of its EMS.
Clause 4.1 represents the intent of the summary of all clauses

within Section 4.
4.1 is not audited directly with the exception of the requirement to
document the scope of the EMS.
12
4.2 Environmental Policy

Policy is:
• A key component of the EMS
• States what the organization wants to achieve at a
strategic level.
13
4.2 Environmental Policy

• Top management
• Defined scope of EMS
• Appropriate
• Commitment to
• improvement
• pollution prevention
• Comply with legal & other requirements
• Framework for objectives
• Documented
• Communicated
14
• Available to public
15
4.3 Planning…. The P of PDCA

4.3.1 Environmental Aspects

• The environmental aspects analysis is the means by which an
organization understands how it may or does impact the
environment. Two main concepts are ASPECT & IMPACT.
• Def 3.6 ENVIRONMENTAL ASPECT – “element of an organization’s

activities or products or services that can interact with the
environment”
“Note: A significant environmental aspect has or can have a
significant environmental impact.”
• Def 3.7 ENVIRONMENTAL IMPACT – “any change to the

environment whether adverse or beneficial wholly or partially
resulting from an organization’s environmental aspects”
16

Activities, products and services
Within the defined scope of the EMS that it can control and those it
can influence
Taking into account planned or new developments, or new or modified

activities, products and services
To determine … (significant aspects)
Document this information
(Significant aspects) taken into account in (managing) the EMS

17
Aspects and Impacts
Cause Effect
Aspect Impact
Death of bird
Oil Death of fish
discharge
Marine
Pollution
18
Annex A.3.1
• Conditions • Activities / Products / Services
• Normal • Current
• Abnormal, Including Start-up
And Shut-down • Relevant Past
• Emergency • Planned / New / Modified
19
Aspects and Impacts

Activity Aspect Impacts
Handling of Release to Land Contamination of soil
hazardous materials Contamination of water
Product Aspect Impact

Product Design Reduction in Conservation of raw
volume materials
Service Aspect Impact
Vehicle Exhaust emissions Reduction of air
maintenance pollution
20

What does significant mean?
• There is no absolute level for significance.

• Each organization defines significant aspect for itself.
• Typical considerations for “significance” include:
 Regulations or Legislation
 Views of interested parties
 Type of environmental impact
 Scope (Local, national, worldwide)
 Probability (likelihood) or Frequency (ongoing/intermittent)
 Consequences and Who/what is affected
21
Aspects procedure should consider...

• Emissions To Air
• Releases To Water
• Releases To Land
• Use Of Raw Materials And Natural Resources
• Use Of Energy
• Energy Emitted
• Waste And By-products
• Physical Attributes
22
4.3.2 Legal and other Requirements

Key points
A procedure to
Identify and have access to legal and other requirements …

Related to environmental aspects.
Determine how these requirements apply to environmental aspects.
Ensure legal and other requirements taken into account in Ems
Note: H&S legal and other requirements may be related to

environmental aspects.
23
Typical Legal Requirements

 Process licence/consent
 Emission/noise limits
 Control of waste contractors
 Handling of hazardous materials
 Planning/building licences
 Water abstraction licence
 Public disclosure
 Related H&S requirements
24
Typical “other” Requirements

 Codes Of Practice
 Sector Guidance For Best Technology
 Site Policy
 Corporate/Group Policy
 Other Standards
 Organization’s Commitments
25
4.3.3 Objectives, Targets, Programme(s)

Documented environmental objectives and targets
Objective – what will be accomplished?
Target – how much or to what extent?
Programme – who, how and when will it get done?
26
4.3.3 Objectives, targets, programme(s)

Objectives must be consistent Considerations when setting
with… objectives…
• Environmental policy • Legal and other requirements
• Commitment to prevention of • Significant aspects
pollution • Technological options
• Compliance with legal and other • Financial, operational and
requirements business factors
• Commitment to continuous • Views of interested parties
improvement
27
Do part
• Clause 4.4 deals with D of PDCA cycle
• It has 7 subcluses
• 4.4.1
28
MANAGEMENT ensures availability of RESOURCES to establish,

implement, maintain and improve the EMS.
Resources include : human resources, specialized skills,

organizational infrastructure, technology and financial.
Roles, Responsibilities, Authorities – Documented and

communicated
Top Management appoints a “management representative(s)”

- Ensure EMS meeting requirements
- Report to top management on performance of EMS
29
- Make recommendations for improvement
4.4.2
“Any person performing tasks for organization or on behalf of it” that
have the potential to cause significant environmental impact must be
competent.
Basis for competence = education, training or experience.
Training needs must be identified.
Training / other action must be provided (& records kept).
Procedures needed to make persons aware

Policy, procedures, EMS requirements, Aspects/Impacts,
30 Roles/Responsibilities, Consequences
4.4.3
Procedures for internal communication
• between various levels
• between functions.
 What procedures are used?
 How does information flow within the management chain?
 How does management communicate with employees?
 How do employees communicate to management?

31
4.4.3
• Procedures for communicating with external interested parties.
• Decision whether to communicate significant environmental

aspects externally.
• Record decision on above.
• If yes, then establish method.
32
4.4.4
• Environmental policy, objective & targets
• Description of ems scope
• Description of: main elements, their interaction, reference to

related documents
• Documents, including records, req’d by iso14001
• Documents determined by the organization to be necessary …

Typical Documentation Levels

Top 1 Policy
Level 2 EMS Description
Level 3 Related Procedures
Level 4 Work Instructions

4.4.5
Ensure that document is General rule:
and remains legible and The right document
readily identifiable must be available at
the right time in the
right place
Review
Define needed Develop Issue to
& approve
document document points of use
prior to issue
YES
Identify revision status Update
Changes?
document
Prevent
N
unintende
Control “Externally” O
d use
generated documents YES
Identify
Obsolete?
too! (e.g. permits and if retained
licenses)
35
4.5.4
Establish and maintain records to demonstrate conformity.
Procedure for records covering:
• Storage
• Identification
• Protection
• Retrieval
• Retention and disposal
Records are legible, identifiable and traceable
36
Documents 4.4.5 Records 4.5.4

• Describe intended actions • Are historical documents
• Provide guidance • Indicate results
• Can be revised • Can not be changed
• Prescriptive (answer how • Descriptive (tell how
to do something) something WAS done)
37
4.4.6
• Identify and plan operations associated with significant environmental
aspects … in order to ensure they are carried out under specified
conditions”
• Documented procedures where needed.
• Stipulating operating criteria in procedures
• Establishing procedures related to significant aspects of goods and

services used by the organization
• Communicating applicable procedures and requirements to suppliers

including contractors.
38
4.4.7
Establish procedures to:
• Identify potential accidents and emergency situations that have an
impact on the environment
• How to respond (to accidents and emergencies)
• Organization shall respond to actual emergencies and accidents.
• Prevent or mitigate associated adverse environmental impacts
• Periodically review (and revise) procedures.
• Periodically test procedures.
39
4.5 Checking
4.5.1 Monitoring and Measurement
4.5.2 Evaluation of compliance
4.5.3 Non-conformance, Corrective Action and Preventive
Action
4.5.4 Control of Records
4.5.5 Audits
40
4.5.1
Procedures to regularly monitor and measure “key characteristics” of
operations including:
• Performance
• Operational Controls
• Objectives and Targets
• Document information
Ensure use of calibrated equipment keep records

41
What is Monitored and Measured?

Def. 3.10 -Environmental Performance
Performance indicators allow the organisation to track improvement
over time.
Progress on objectives and targets reflects effectiveness of EMS to
make improvements.
42
Operational controls are monitored to ensure they are

working and effective.
• Operational logs
Actual operating conditions vs. desired
• Performance metrics
• Observations
• Inspections
43
Examples of Measures • Efficiency measures

• Volume/weight/chemical normalized to production
characteristics of wastes, • Number and type of
emissions and discharges communications from
• Number of excursions, interested parties
defects, deviations • Financial
• Actual vs. License • Raw materials usage
requirements
Selecting Measures is critical to the EMS.

“What gets measured gets managed.”
44
4.5.2
Procedures required:
• Compliance evaluation - legal

• Compliance evaluation - other req.
Conduct evaluations
Keep records
45
4.5.3
Procedure to deal with actual and potential nonconformance and
taking Corrective and Preventive action
Procedure must define requirements for:

• ID nonconformity and action to mitigate environmental impacts
• Investigating nonconformance
• Evaluating the need for action and taking “appropriate” action
• Recording the results of actions
• Reviewing effectiveness of actions
Necessary changes made to EMS documentation.

46
Definition 3.15 “nonconformity – non-fulfillment of a

requirement”
• Potential ways for identifying nonconformity
• Internal audit
• Monitoring and measurement
• Observation
• Review of records
• Evaluation of compliance
47
Definition 3.14 – Internal Audit

“Systematic, independent and documented process for obtaining
audit evidence and evaluating it objectively to determine the extent
to which the EMS audit criteria set by the organization are fulfilled.”
Note 1 : Audit criteria includes ISO14001, legal and other

requirements and the organization’s documentation of their EMS.
NOTE 2 : Independent does not necessarily mean external to the
organization. In many cases, particularly in smaller organizations,
independence can be demonstrated by the freedom from
responsibility for the activity being audited.
NOTE 3 : For further guidance on "audit evidence" and "audit
criteria" see ISO 19011.
48
4.5.5
• Conducted at planned intervals.
• Purpose to determine whether the EMS conforms to “planned

arrangements” (audit criteria).
• Purpose to determine whether the EMS has been properly

implemented and maintained.
• Provide results to management.
49
4.5.5
• Audit programmes (plans) shall consider environmental
importance of operations and results of previous audits
• Audit procedures must cover responsibilities and

requirements for audits: planning, conducting, reporting
results, retaining records
• Audit procedures must cover: determining audit criteria,

scope, frequency and methods
• Auditor selection ensures objectivity and impartiality.

50
4.6 Management review “Act” part of PDCA

• Top Management does it! Planned intervals.
• Purpose is to ensure continuing suitability, adequacy and

effectiveness of EMS.
• Assess opportunities for improvement
• Access need for changes to the EMS
• Defined inputs include some new requirements
• Defined outputs to be consistent with commitment to continual

improvement. Records are kept.
51
52
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© Indian Institute of Public Health Gandhinagar, NFP usage only

Dr. Dileep Andhare

Standards…. What is the need?

What are the benefits

Overall Benefits of an EMS

ISO, Accreditation And Certification

• ISO 14001 was prepared by Technical Committee ISO/TC 207,

Environmental issues Protocol and conventions

Depletion of the ozone layer Montreal Protocol

Loss of biodiversity CITES - Convention on International Trade

Air pollution Transboundary air pollution convention

Water pollution Marpol Convention on pollution from

Surroundings in which an organization operates, including

The act or art of managing : the conducting or supervising

A regularly interacting or interdependent group of items

Environmental “Part of an organization’s management system used to

Structure of the standard

• Requirements (the auditable part)

• Annex B Links to quality systems

4.1 General requirements

Clause 4.1 represents the intent of the summary of all clauses

4.2 Environmental Policy

4.2 Environmental Policy

4.3 Planning…. The P of PDCA

4.3.1 Environmental Aspects

• Def 3.6 ENVIRONMENTAL ASPECT – “element of an organization’s

• Def 3.7 ENVIRONMENTAL IMPACT – “any change to the

4.3.1 Environmental Aspects

Taking into account planned or new developments, or new or modified

To determine … (significant aspects)

Document this information

(Significant aspects) taken into account in (managing) the EMS

Aspects and Impacts

Aspects and Impacts

Product Aspect Impact

4.3.1 Environmental Aspects

• There is no absolute level for significance.

Aspects procedure should consider...

4.3.2 Legal and other Requirements

Identify and have access to legal and other requirements …

Note: H&S legal and other requirements may be related to

Typical Legal Requirements

Typical “other” Requirements

4.3.3 Objectives, Targets, Programme(s)

Objective – what will be accomplished?

Target – how much or to what extent?

Programme – who, how and when will it get done?

4.3.3 Objectives, targets, programme(s)

MANAGEMENT ensures availability of RESOURCES to establish,

Resources include : human resources, specialized skills,

Roles, Responsibilities, Authorities – Documented and

Top Management appoints a “management representative(s)”

Basis for competence = education, training or experience.

Training needs must be identified.

Training / other action must be provided (& records kept).

Procedures needed to make persons aware

 What procedures are used?

 How does information flow within the management chain?

 How does management communicate with employees?

 How do employees communicate to management?

• Decision whether to communicate significant environmental

• Record decision on above.

• If yes, then establish method.

• Description of ems scope