OHSAS ISO 14000 Project Report

SHIVAJI UNIVERSITY, KOLHAPUR M.B.
A PROJECT
CHAPTER 1:
Introduction to the Study & Methodology
1.1 Introduction
1.2 Management Problem
1.3 Statement of Research Problem
1.4 Objective of the Study
1.5 Scope of the Study
1.6 Importance of the Study
1.7 Research Methodology
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K.B.P.I.M.S.R, SATARA
SHIVAJI UNIVERSITY, KOLHAPUR M.B.A PROJECT
CHAPTER 1:
Introduction to the Study & Methodology
1.1 Introduction:
Since ages, industrial growth has started to affect environment with severe downside
problems. It causes tremendous stress on the entire bionetwork and natural system
components like water, air, soil, bio-diversity including surrounding eco-system.
Realizing the severity of the problem, impacts of industrialization on the environment
need to be analyzed with more intensity and feeling.
ISO 14000 is a family of standards related to environmental management that exists
to help organizations minimize how their operations (processes, etc.) negatively affect
the environment (i.e. cause adverse changes to air, water, or land);comply with
applicable laws, regulations, and other environmentally oriented requirements; and
continually improve in the above.
ISO 14001 defines criteria for an EMS. It does not state requirements for
environmental performance but rather maps out a framework that a company or
organization can follow to set up an effective EMS. It can be used by any organization
that wants to improve resource efficiency, reduce waste, and reduce costs. ISO 14001
is known as a generic management system standard, meaning that it is relevant to any
organization seeking to improve and manage resources more effectively.
is the newest addition to $3.0 billion to the estimated Group. The company has
implemented ISO 14001:2004 as a contributory step towards environment
protection and sustainable development.
1.2 Management Problem:
Organization wants to analyze the implementation effectiveness & maintenance of
Environment Management System (EMS) in respective key business functions &
areas for effective sustainable management activities,in accordance with ISO
14001:2004.
1.3 Statement of Research Problem:
To analyze the implementation effectiveness & maintenance of Environment
Management System in key business functionsin accordance with ISO 14001:2004.
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So title signifies “A Study of the Implementation & Maintenance of Environment

Management System In Accordance With ISO 14001:2004 System”
1.4 Objectives of the Study:
1. To understand the scope & concept of ISO 14001:2004.
2. To understand the Environment management system approach.
3. To evaluate the effectiveness of implementation and maintenance of
Environment management system for various business functions in accordance
with ISO 14001:2004.
1.5 Scope of the study:
 The geographical scope of the study is limited up to the operations
 The conceptual scope of the study includes the concept of standards & clauses
of ISO 14001:2004 system.
 The analytical scope is confined to evaluation of present system on
comparative basis wrt clauses of ISO 14001:2004 standards.
 The study is limited to following tabulated clauses under ISO 14001:2004
Environment Management System (EMS) :
Table 1.5.1:
Sr.No. Clause Number Title
1 4.1 General requirements
2 4.2 Environmental policy
3 4.3.1 Environmental aspects
4 4.3.2 Legal and other requirements
5 4.3.3 Objectives, targets and programme(s)
6 4.4.1 Resources, roles, responsibilities and
authority
7 4.4.2 Competence, training and awareness
8 4.4.3 Communication
9 4.4.4 Documentation
10 4.4.5 Control of documents
11 4.4.6 Operations control
12 4.4.7 Emergency preparedness and response
13 4.5.1 Monitoring and measurement
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14 4.5.2 Evaluation and compliance

15 4.5.3 Non-conformity, corrective actions and
preventive actions
16 4.5.4 Control of records
17 4.5.5 Internal audit
18 4.6 Management review
(Source: ISO 14001:2004 Manual)
1.6 Importance of the Study:
 The study will help to evaluate the status of ISO 14001:2004 at the
organisation.
 Thus evaluation will help us to identify and resolve the problems.
 The study will help to develop various measures for the problems identified
 The study will finally able the organisation to fully and efficiently implement
the ISO 14001:2004.
1.7 Research Methodology:
The research is of descriptive type; where comparative study is done to know the
loopholes in the current EMS system.
1.7.1 Data Required for the Research:
The researcher requires data regarding eighteen of the clauses as mentioned in the
table (1.5.1) for the research study.
1.7.2 Data Sources:
 Primary Data:Primary data has been collected through observations, formal &
informal discussion with process owners in accordance with ISO 14001:2004
& experiences and opinions of various functional heads.
 Secondary Data: Secondary data regarding quality system is obtained via
standard manual for ISO 14001:2004 and secondary sources viz. customer
specified supplier manuals, reference books, websites and company
documents.
1.7.3 Data Analysis:
In the qualitative part through interviews and discussions with the participants the
evaluation will be done and a suitable Rating scale to quantify the qualitative data.
Also in the ‘Comparison’ and ‘Theory Testing’ the differentiation, assessment and
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evaluation between actual standard clauses/requirements and in-effect practices will

be done.
1.8 Chapterization or Presentation of the Project:
Chapter 1: Introduction to the Study & Methodology
This chapter contains introductory/pilot part of the project involving crisp and clear
idea of the project nature and work, its principle components and research
methodology employed. The chapter focuses on brief introduction of project,
organization, management issue, characteristics of the study and overview of research
methodology employed.
Chapter 2: Theoretical Background
This chapter contains introduction to ISO 14000 family which involves its concepts
and characteristics. Then the chapter further specifically explains ISO 14001:2004 in
details with respect to introduction, relevant definitions, clauses and guidelines to
implement this EMS system.
Chapter 3: Company Profile
In this chapter brief history of the organization, its management status such as review
of operational/production aspects as well as its products, important HR (Human
Resource) structures and key personnel are explained. Along with these, the financial
condition of the company based on fiscal data of past three financial years is also
explained. The chapter also focuses on the goals, objectives and mission statement if
the company.
Chapter 4: Analysis and Interpretation of Data
The data collected for the sake of the study is neatly arranged in this chapter. The
functional data i.e. the data observed during data collection from the organization is
exhaustively and comprehensively compared with each other. Then the observations
are inferred from the comparisons and interpretation(s) is done and mentioned below
each of such comparisons.
Chapter 5: Findings and Suggestions
In this chapter based on the interpretations drawn after comparisons from previous
chapter, the data is used to come to a conclusion/ opinion for the sake of improvement
in various clauses which may be may be required. Suggestions are given with respect
to each improvement necessary to make the EMS system more efficient for the sake
of betterment of the company.
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CHAPTER 2:
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Conceptual Framework
2.1 Introduction
2.2 About the Standard
2.3 General Step-Wise Procedure in developing a Clause
2.4 Generalized procedure for achieving certification of any Quality
or a Management System
CHAPTER 2:
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Conceptual Framework
2.1 Introduction:
Organizations of all kinds are increasingly concerned with achieving and
demonstrating sound environmental performance by controlling the impacts of their
activities, products and services on the environment, consistent with their
environmental policy and objectives. They do so in the context of increasingly
stringent legislation, the development of economic policies and other measures that
foster environmental protection, and increased
Concern expressed by interested parties about environmental matters and sustainable
development.
Many organizations have undertaken environmental “reviews” or “audits” to assess
their environmental performance. On their own, however, these “reviews” and
“audits” may not be sufficient to provide an organization with the assurance that its
performance not only meets, but will continue to meet, its legal and policy
requirements. To be effective, they need to be conducted within a structured
management system that is integrated within the organization.
International Standards covering environmental management are intended to provide
organizations with the elements of an effective environmental management system
(EMS) that can be integrated with other management requirements and help
organizations achieve environmental and economic goals. These standards, like other
International Standards, are not intended to be used to create non-tariff trade barriers
or to increase or change an organization’s legal obligations.
This International Standard specifies requirements for an environmental management
system to enable an organization to develop and implement a policy and objectives
which take into account legal requirements and information about significant
environmental aspects. It is intended to apply to all types and sizes of organization
and to accommodate diverse geographical, cultural and social conditions. The basis of
the approach is shown in Figure 1. The success of the system depends on commitment
from all levels and functions of the organization, and especially from top
management. A system of this kind enables an organization to develop an
environmental policy, establish objectives and processes to achieve the policy
commitments, take action as needed to improve its performance and demonstrate the
conformity of the system to the requirements of this International Standard, The
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overall aim of this International Standard is to support environmental protection and

prevention of pollution in balance with socio-economic needs. It should be noted that
many of the requirements can be addressed concurrently or revisited at any time.
The second edition of this International Standard is focused on clarification of the
first edition, and has taken due consideration of the provisions of ISO 9001 to
enhance the compatibility of the two standards for the benefit of the user community.
There is an important distinction between this International Standard, which describes
the requirements for an organization’s environmental management system and can be
used for certification orregistration and/or self-declaration of an organization’s
environmental management system, and a non-certifiable guideline intended to
provide generic assistance to an organization for establishing, implementing or
improving an environmental management system. Environmental management
encompasses a full range of issues, including those with strategic and competitive
implications. Demonstration of successful implementation of this International
Standard can be used by an organization to assure interested parties that an
appropriate environmental management system is in place.
This standard uses PDCA (Plan-Do-Check-Action) methodology in its course of
execution and maintenance which is explained below with a diagram:
Table 2.1.1
Sr.No. Title Definition
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1 Environment The organization shall establish, document, implement,

policy maintain and continually improve an environmental
management system in accordance with the requirements
of this International Standard and determine how it will
fulfil these requirements.
2 Plan A well-defined project plan provides the framework from
which to operate. Importantly, it should reflect the
organization’s mission and values. It should also map the
project's goals and clearly indicate the best way to meet
them.Therefore, establish objectives and processes
required to deliver the desired results.
3 Do Carry out the objectives from the previous step.

This the step where the plan is set in motion. The plan was
made for a reason, so it is important for players to execute
it as outlined. This stage can be broken down into three
sub-segments, including training of all personnel involved
in the project, the actual process of doing the work, and
recording insights, or data, for future evaluation.
4 Check During the check phase, the data and results gathered from
the do phase are evaluated. Data is compared to the
expected outcomes to see any similarities and differences.
The testing process is also evaluated to see if there were
any changes from the original test created during the
planning phase. If the data is placed in a chart it can make
it easier to see any trends if the PDCA cycle is conducted
multiple times. This helps to see what changes work better
than others, and if said changes can be improved as well.
Example: Gap analysis, or Appraisals.
5 Act Also called "Adjust", this act phase is where a process is

improved. Records from the "do" and "check" phases help
identify issues with the process. These issues may include
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problems, non-conformities, opportunities for

improvement, inefficiencies and other issues that result in
outcomes that are evidently less-than-optimal. Root causes
of such issues are investigated, found and eliminated by
modifying the process. Risk is re-evaluated. At the end of
the actions in this phase, the process has better instructions,
standards or goals. Planning for the next cycle can proceed
with a better base-line. Work in the next do phase should
not create recurrence of the identified issues; if it does,
then the action was not effective.

2.2 About the Standard
Clause 1: Scope of the ISO 14001:2004 EMS
This International Standard specifies requirements for an environmental management
system to enable an organization to develop and implement a policy and objectives
which take into account legal requirements and other requirements to which the
organization subscribes, and information about significant environmental aspects. It
applies to those environmental aspects that the organization identifies as those which
it can control and those which it can influence. It does not itself state specific
environmental performance criteria. This International Standard is applicable to any
organization that wishes to:
 Establish, implement, maintain and improve an environmental management
system,
 Assure itself of conformity with its stated environmental policy,
 Also, for an organization which wants to demonstrate conformity with this
International Standard by:
 Making a self-determination and self-declaration, or
 Seeking confirmation of its conformance by parties having an interest in the
organization, such as customers, or
 Seeking confirmation of its self-declaration by a party external to the
organization, or
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 Seeking certification/registration of its environmental management system by

an external organization.
All the requirements in this International Standard are intended to be incorporated into
any environmental management system. The extent of the application depends on
factors such as the environmental policy of the organization, the nature of its
activities, products and services and the location where and the conditions in which it
functions.
Clause 2: Normative References
No normative references are cited for this standard.
Clause 3: Definitions of important terms in the ISO14001:2004
Before going into details of the ISO14001:2004 EMS, an organisation should have
idea of each and every term which will be used. Therefor the definitions relevant to
the organisation, its functional areas and the EMS are comprehensively defined to
avoid the confusion. These definitions are tabulated in the table below:
Table2.2.1
Clause Title Definition
Number
3.1 Auditor Person with the competence to conduct an audit.
Adapted from [ISO 9000:2000, 3.9.9]
3.2 Continual Recurring process of enhancing the environmental
Improvement management system (3.8) in order to achieve
improvements in overall environmental performance
(3.10) consistent with the organization’s (3.16)
environmental policy (3.11)
3.3 Corrective Action to eliminate the cause of a detected
action nonconformity (3.15)
3.4 Document Information and its supporting medium
NOTE: The medium can be paper, magnetic, electronic or
optical computer disc, photograph or master sample, or a
combination thereof.
3.5 Environment Surroundings in which an organization (3.16) operates,
including air, water, land, natural resources, flora, fauna,
humans, and their interrelation
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NOTE: Surroundings in this context extend from within

an organization (3.16) to the global system.
3.6 Environmental Element of an organization’s (3,16) activities or products
aspect or services that can interact with the environment (3,5)
NOTE: A significant environmental aspect has or can
have a significant environmental impact (3.7)
3.7 Environmental Any change to the environment (3.5), whether adverse or
impact beneficial, wholly or partially resulting from an
organization’s (3.16) environmental aspects (3.6)
3.8 Environmental part of an organization’s (3.16) management system used
Management to develop and implement its environmental policy (3,1
System 1) and manage its environmental aspects (3.6)
(EMS) NOTE: A management system is a set of interrelated
elements used to establish policy and objectives and to
achieve those objectives.
NOTE:A management system includes organizational
structure, planning activities, responsibilities, practices,
procedures (3.1 9), processes and resources.
3.9 Environmental Overall environmental goal, consistent with the
Objective environmental policy (3.1 1), that an organization (3.16)
sets itself to achieve
3.10 Environmental Measurable results of an organization’s (3.16)
Performance management of its environmental aspects (3.6)
NOTE: In the context of environmental management
systems (3.8), results can be measured against the
organization’s (3. 16) environmental policy (3.1 1),
environmental objectives (3.9), environmental targets
(3.12) and other
environmentalperformancerequirements.
3.11 Environmental Overall intentions and direction of an organization (3.16)
Policy related to its environmental performance (3.10) as
formally expressed by top management
NOTE: The environmental policy provides a framework
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for action and for the setting of environmental objectives

(3.9) and environmental targets (3.12).
3.12 Environmental Detailed performance requirement, applicable to the
Target organization (3.16) or parts thereof, that arises from
the environmental objectives (3.9) and that needs to be
set and met in
3.13 Interested Person or group concerned with or affected by the
party environmental (3.16)
3.14 Internal audit Order to achieve those objectives performance (3.10) of
an organization
systematic, independent and documented process for
obtaining audit evidence and evaluating it objectively to
determine the extent to which the environmental
management system audit criteria set by the organization
(3.16) are fulfilled
NOTE: In many cases, particularly in smaller
organizations, independence can be demonstrated by the
freedom from responsibility for the activity being
audited.
3.15 Nonconformity Non-fulfilment of a requirement.
Adapted from [ISO 9000:2000, 3.6.2]
3.16 Organization Company, corporation, firm, enterprise, authority or
institution, or part or combination thereof, whether
incorporated or not, public or private, that has its own
functions and administration
NOTE: For organizations with more than one operating
unit, a single operating unit may be defined as an
organization.
3.17 Preventive Action to eliminate the cause of a potential
action nonconformity (3.15)
3.18 Prevention of Use of processes, practices, techniques, materials,
pollution products, services or energy to avoid, reduce or control
(separately or in combination) the creation, emission or
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discharge of any type of pollutant or waste, in order to

reduce adverse environmental impacts (3.7)
NOTE: Prevention of pollution can include source
reduction or elimination, process, product or service
changes, efficient use of resources, material and energy
substitution, reuse, recovery, recycling, reclamation and
treatment.
3.19 Procedure Specified way to carry out an activity or a process
NOTE: Procedures can be documented or not.
NOTE:Adapted from LSO 9000:2000, 3.4.5.
3.20 Record Document (3.4) stating results achieved or providing
evidence of activities performed.
NOTE: Adaptedfrom ISO 9000:2000, 3.7.6.
Clause 4: Environment Management System Requirements
The requirements which are to be fulfilled by the said/interested organisation to obtain
ISO 14001:2004 certification are specified under clause 4 of this EMS. They are
exhaustively listed under next to their clause/ sub-clause numbers as follows:
4.1 General requirements
The organization shall establish, document, implement, maintain and continually
improve an environmental management system in accordance with the requirements
of this International Standard and determine how it will fulfil these requirements.
The organization shall define and document the scope of its environmental
management system.
4.2 Environmental policy
Top management shall define the organization’s environmental policy and ensure
that, within the defined scope of its environmental management system, it
 Is appropriate to the nature, scale and environmental impacts of its activities,
products and services,
 Includes a commitment to continual improvement and prevention of
pollution,
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 Includes a commitment to comply with applicable legal requirements and with

other requirements to which the organization subscribes which relate to its
environmental aspects,
 Provides the framework for setting and reviewing environmental objectives
and targets,
 Is documented, implemented and maintained,
 Is communicated to all persons working for or on behalf of the organization,
and
 Is available to the public
4.3 Planning
4.3.1 Environmental aspects
The organization shall establish, implement and maintain a procedure(s)
 To identify the environmental aspects of its activities, products and services
within the defined scope of the environmental management system that it can
control and those that it can influence taking into account planned or new
developments, or new or modified activities, products and services.
 To determine those aspects that have or can have significant impact(s) on the
environment (i.e. significant environmental aspects).the organization shall
document this information and keep it up to date.
The organization shall ensure that the significant environmental aspects are taken into
account in establishing, implementing and maintaining its environmental management
system.
4.3.2 Legal and other requirements
The organization shall establish, implement and maintain a procedure(s)
 To identify and have access to the applicable legal requirements and other
requirements to which the organization subscribes related to its environmental
aspects.
 To determine how these requirements apply to its environmental aspects.the
organization shall ensure that these applicable legal requirements and other
requirements to which the organization subscribes are taken into account in
establishing, implementing and maintaining its environmental management
system.
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4.3.3 Objectives, targets and programmed

The organization shall establish, implement and maintain documented environmental
objectives and targets, at relevant functions and levels within the organization.
The objectives and targets shall be measurable, where practicable, and consistent with
the environmental policy, including the commitments to prevention of pollution, to
compliance with applicable legal requirements and with other requirements to which
the organization subscribes, and to continual improvement.
When establishing and reviewing its objectives and targets, an organization shall take
into account the legal requirements and other requirements to which the organization
subscribes, and its significant environmental aspects. It shall also consider its
technological options, its financial, operational and business requirements, and the
views of interested parties.
The organization shall establish, implement and maintain a programmed for achieving
its objectives and targets. Programmed shall include
a) Designation of responsibility for achieving objectives and targets at relevant
functions and levels of the organization, and
b) The means and time-frame by which they are to be achieved.
4.4 Implementation and operation
4.4.1 Resources, roles, responsibility and authority
Management shall ensure the availability of resources essential to establish,
implement, maintain and improve the environmental management system. Resources
include human resources and specialized skills, organizational infrastructure,
technology and financial resources.
Roles, responsibilities and authorities shall be defined, documented and
communicated in order to facilitate effective environmental management.
The organization’s top management shall appoint a specific management
representative(s) who, irrespective of other responsibilities, shall have defined roles,
responsibilities and authority for
a) Ensuring that an environmental management system is established, implemented
and maintained in accordance with the requirements of this International Standard,
b) Reporting to top management on the performance of the environmental
management system, for review, including recommendations for improvement.
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4.4.2 Competence, training and awareness

The organization shall ensure that any person(s) performing tasks for it or on its
behalf that have the potential to cause a significant environmental impact(s) identified
by the organization is (are) competent on the basis of appropriate education, training
or experience, and shall retain associated records.
The organization shall identify training needs associated with its environmental
aspects and its environmental management system. It shall provide training or take
other action to meet these needs, and shall retain associated records.
The organization shall establish, implement and maintain a procedure(s) to make
persons working for it or on its behalf aware of
 The importance of conformity with the environmental policy and procedures
and with the requirements of the environmental management system,
 The significant environmental aspects and related actual or potential impacts
associated with their work, and the environmental benefits of improved
personal performance,
 Their roles and responsibilities in achieving conformity with the requirements
of the environmental management system, and
 The potential consequences of departure from specified procedures.
4.4.3 Communication
With regard to its environmental aspects and environmental management system, the
organization shall establish, implement and maintain a procedure(s) for
a) Internal communication among the various levels and functions of the organization,
b) Receiving, documenting and responding to relevant communication from external
interested parties.
The organization shall decide whether to communicate externally about its significant
environmental aspects, and shall document its decision. If the decision is to
communicate, the organization shall establish and implement a method(s) for this
external communication.
4.4.4 Documentation
The environmental management system documentation shall include
 The environment policy, objectives and description of the scope of the
environmental management system,
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 Description of the main elements of the environmental management system

and their interaction, and
 Reference to related documents,
 Documents, including records, required by this International Standard,
and documents, including records, determined by the organization to be
necessary to ensure the effective
 Planning, operation and control of processes that relate to its significant
environmental aspects.
4.4.5 Control of documents
Documents required by the environmental management system and by this
International Standard shall be controlled. Records are a special type of document and
shall be controlled in accordance with the requirements given in 4.5.4.
The organization shall establish, implement and maintain a procedure(s) to
 Approve documents for adequacy prior to issue,
 Review and update as necessary and re-approve documents,
 Ensure that changes and the current revision status of documents are
identified,
 Ensure that relevant versions of applicable documents are available at points
of use,
 Ensure that documents remain legible and readily identifiable,
 Ensure that documents of external origin determined by the organization to be
necessary for and operation of the environmental management system are
identified and their distribution controlled, and
 Prevent the unintended use of obsolete documents and apply suitable
identification to them if they are retained for any purpose.
 The planning.
4.4.6 Operational control
 The organization shall identify and plan those operations that are associated
with the identified significant environmental aspects consistent with its
environmental policy, objectives and targets, in order to ensure that they are
carried out under specified conditions, by
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 Establishing, implementing and maintaining a documented procedure(s) to

control situations where their absence could lead to deviation from the
environmental policy, objectives and targets, and
 Stipulating the operating criteria in the procedure(s), and establishing,
implementing and maintaining procedures related to the identified significant
environmental aspects of goods and services used by the organization and
communicating applicable procedures and requirements to suppliers, including
contractors.
4.4.7 Emergency preparedness and response
The organization shall establish, implement and maintain a procedure(s) to identify
potential emergency situations and potential accidents that can have an impact(s) on
the environment and how it will respond to them.
The organization shall respond to actual emergency situations and accidents and
prevent or mitigate associated adverse environmental impacts.
The organization shall periodically review and, where necessary, revise its emergency
preparedness and response procedures, in particular, after the occurrence of accidents
or emergency situations.
The organization shall also periodically test such procedures where practicable.
4.5 Checking
4.5.1 Monitoring and measurement
The organization shall establish, implement and maintain a procedure(s) to monitor
and measure, on a regular basis, the key characteristics of its operations that can have
a significant environmental impact. The procedure(s) shall include the documenting
of information to monitor performance, applicable operational controls and
conformity with the organization’s environmental objectives and targets.
The organization shall ensure that calibrated or verified monitoring and measurement
equipment is used and maintained and shall retain associated records.
4.5.2 Evaluation of compliance
4.5.2.1
Consistent with its commitment to compliance, the organization shall establish,
implement and maintain a procedure(s) for periodically evaluating compliance with
applicable legal requirements.
The organization shall keep records of the results of the periodic evaluations.
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4.5.2.2
The organization shall evaluate compliance with other requirements to which it
subscribes. The organization may wish to combine this evaluation with the evaluation
of legal compliance referred to in 4.5.2.1 or to establish a separate procedure(s).
The organization shall keep records of the results of the periodic evaluations.
4.5.3 Nonconformity, corrective action and preventive action
The organization shall establish, implement and maintain a procedure(s) for dealing
with actual and potential nonconformity (ies) and for taking corrective action and
preventive action. The procedure(s) shall define requirements for
 Identifying and correcting nonconformity(ies) and taking action(s) to mitigate
their environmental impacts,
 Investigating nonconformity(ies), determining their cause(s) and taking
actions in order to avoid their recurrence,
 Evaluating the need for action(s) to prevent nonconformity(ies) and
implementing appropriate actions designed to avoid their occurrence,
 Recording the results of corrective action(s) and preventive action(s) taken,
and
 Reviewing the effectiveness of corrective action(s) and preventive action(s)
taken.
Actions taken shall be appropriate to the magnitude of the problems and the
environmental impacts encountered.
The organization shall ensure that any necessary changes are made to environmental
management system documentation.
4.5.4 Control of records
The organization shall establish and maintain records as necessary to demonstrate
conformity to the requirements of its environmental management system and of this
International Standard, and the results achieved.
The organization shall establish, implement and maintain a procedure(s) for the
identification, storage, protection, retrieval, retention and disposal of records.
Records shall be and remain legible, identifiable and traceable.
4.5.5 Internal audit
The organization shall ensure that internal audits of the environmental management
system are conducted at planned intervals to
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a) Determine whether the environmental management system

 Conforms to planned arrangements for environmental management including
the requirements of this International Standard, and
 Has been properly implemented and is maintained, and
 b) Provide information on the results of audits to management.
 Audit programmed shall be planned, established, implemented and maintained
by the organization, taking into consideration the environmental importance of
the operation(s) concerned and the results of previous audits.
 Audit procedure(s) shall be established, implemented and maintained that
address
 The responsibilities and requirements for planning and conducting audits,
reporting results and retaining associated records,
 The determination of the audit criteria, scope, frequency and methods..
 Selection of auditors and conduct of audits shall ensure objectivity and the
impartiality of the audit process.
4.6 Management review

Top management shall review the organization’s environmental management system,
at planned intervals, to ensure its continuing suitability, adequacy and effectiveness.
Reviews shall include assessing opportunities for improvement and the need for
changes to the environmental management system, including the environmental
policy and environmental objectives and targets. Records of the management reviews
shall be retained.
Input to management reviews shall include:
 Results of internal audits and evaluations of compliance with legal
requirements and with other requirements to which the organization
subscribes,
 Communication(s) from external interested parties, including complaints,
 The environmental performance of the organization,
 The extent to which objectives and targets have been met,
 Status of corrective and preventive actions,
 Follow-up actions from previous management reviews,
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 Changing circumstances, including developments in legal and other

requirements related to its environmental aspects, and
 Recommendations for improvement.
 The outputs from management reviews shall include any decisions and
actions related to possible changes to environmental policy, objectives,
targets and other elements of the environmental management system,
consistent with the commitment to continual improvement.
(2.3) General Step-Wise Procedure in Developing a Clause:
1. Pointing out general properties,
2. Identification of key constraints,
3. Identifying opportunities with regards to already identified key constraints,
4. Operation and Control,
5. Documentation and its Control,
6. Continual improvement.
(2.4)Generalized Procedure for Achieving a Certification of any
Quality or Management System
1. Gap analysis,
2. Team formation (awareness and training),
3. Developing a tentative monthly action plan,
4. Survey, drafting of the policy and its objectives,
5. Review of the organisation structure
6. Redesigning of processes and plant layouts
7. Develop relevant modules and formats at organisational and departmental
level,
8. Review and finalize the policy (develop objectives, programs and training
schedules),
9. Identify needs of all interested parties,
10. Risk assessment and mitigation,
11. Implementation,
12. Control (compliance and PACA),
13. Auditing
14. Select and train internal auditor(s),
15. Design annual audit plans- department wise and at organisational level,
23
16. Carry out first IQA (Internal Quality Audit),

17. Closure with NCR and PACA,
18. MRM (review and decisions/actions),
19. Select and consult with certification body (C-body),
20. Pre-assessment and training by the C-body,
21. Final audit aka CERTIFICATION AUDIT.
24
CHAPTER 3: COMPANY PROFILE

3.1 Name and Address of the Organisation
3.2 Brief history and present position of the Organisation
3.3 Strategic Intend
3.4 Certifications obtained by the Organisation
3.5 Marketing Scenario
3.6 Human resource Scenario
3.7 Operations Management
3.8 Financial position of the Company with its analysis
3.9 Future plans
3.10 Organization chart
25
CHAPTER 3: COMPANY PROFILE

3.1 Name and Address of the organisation
Table 3.1.1:
Name Baramati
Address Opp. Jarandeshwar Railway
3.2 Brief history and present position of the organisationwas established

Balyani Group in 2011 to provide above mentioned need. Today India’s largest single
point finishing services provider.
BalyaniGro up was established in 1960s byvisionary industrialist Mr. Pilkanthrao
Balyani. It is conglomerate focusing mainly in field ofEngineering Steel, Automotive
& Non-Automotive Components, Renewable Energy & Infrastructure, Specialty
Chemicals and Defense Engineering. With an iron will of excellence it has already
proved its mettle in the field of heavy duty manufacturing at national as well as
international level viz. Germany, Sweden, France & North America, the Group has
remarkableannual turnover of over USD $ 3.0 billion.
Under Prometheus foresight and leadership of Mr. C. N. Balyani, Group Chairman,
with strong focus on market leadership through technology and it's over 10,000 strong
engineering global workforce, the group today is a market leader in all its respective
business segments.Kalyani Steels Ltd (KSL) was established in Feb 1973 in Pune as a
part of the Kalyani Group, primarily with the objective of fulfilling the group’s in-
house requirements of forging quality steel.Indian and International component
manufacturers for commercial vehicles, two wheelers, diesel engines, bearings,
tractors, turbines and rail form the significant part of the company’s clientele.
3.3 Strategic Intend:
3.3.1 Philosophy of the Organization:
“To use our specialized skills and innovative technology to contribute to the welfare
of the society. It is our intention to grow with our employees and to aid and
encourage them to participate in our Goals in order that they realize their full
potential. Our prosperity is linked to the prosperity of our customers.”
3.3.2 Mission undertaken by the said organization:
26
“To attain market leadership in value added engineering, steel segment by constantly
updating manufacturing technologies and adopting cost effective methods of steel
making, thus, enhancing shareholder value.”
3.3.3 Core objective of the organization:
“To be committed to listening and responding to the needs of our customers,
associates and business partners, and honoring their individual value.
To be committed to an entrepreneurial spirit that fuels growth of our companies and
increases shareholder value.”
3.4 Certifications obtained by the organisation:
Table 3.4.1
Sr.no. Certification Series Details
1 OHSAS 18001 : 2007 OHSAS 18001 Deals with
(Occupational Health management and its
and Safety focus on organization’s
Assessment Systems overall work
) environment safety
situations.
OHSAS 18000 assists
organizations in
managing and
controlling their health
and safety risks
2 ISO 14001:2004 ISO 14000 Deals with organization
(International and its duties towards
Organization for nature i.e. sustainable
Standardization) development, no
pollution etc.
ISO 14000 is a family
of standards related to
environmental
management that exists
to help organizations
minimize how their
27
operations negatively
affect the environment;
comply with applicable
laws, regulations, and
other environmentally
oriented requirements;
and continually
improve in the above.
3 ISO 9001:2008 ISO 9000 The ISO 9000 family
of quality management
systems is a set of
standards that helps
organizations ensure
they meet customers
and other stakeholder
needs within statutory
and regulatory
requirements related to
a product or service
3.5 Marketing Scenario:

3.5.1 Products & Services:
 Round bars / square / flats supplied in as rolled / heat treated / bright
condition.
 Valve steel 8 mm to 25 mm as rolled and in bright condition.
 Service support for heat treatment processes for long products upto 6 m length
& 650 mm dia.
 Service support for bright bars.
 Service support for mechanical testing of steel.
Rolling Facility: Monthly capacity is about 1400 tons per month.

 Round/RCS size from 12 mm to 62 mm diameter for alloy steel.
 Stainless steel 12 mm to 25 mm straight length for valve steel.
28
 Flat products (30-60mm) thickness and (40 to 100mm) width.

Heat treatment facility:
 Quenching + Tempering/ solution annealing capacity = 1400 tons per month.
 Annealing and stress relief capacity = 700 tons per month.
 Bright Bar facility:
 Diameter 6 mm to 25 mm finish size [h9 to h11 tolerances,
Roughness=0.8µm] at a capacity of 500 MT per month.
 Diameter 38 mm to 200 mm finish size [h9 to h11 tolerances,
Roughness=0.8µm] finish straightness 0.75 mm per meter after peeling and
0.5 mm per meter after burnishing. Capacity is 2000 to 3000 MT per month.
3.5.2 Competitors:
Table 3.5.2.1
TATA Steel Ltd. Jindal Steel and Power Ltd.
JSW Steel Ltd. RashtriyaIspat Nigam Ltd.
ArcelorMittal SAIL
Essar Steel Ltd.
3.6 Human Resource Scenario of the Company:

3.6.1 Executive Information:
The company or the organisation has following persons at respective positions within
the organisation who make it perform/function excellently.
Table 3.6.1.1
Sr.No. TITLE NAME
1 Chairman Mr. B N Kalyani
2 Board Of Directors Mr. Shrinivas B Kanade
Mrs. SupriyaGajananTilak
Mr. JeevanprasadGovindPatwardhan
3 HR Manager Mr. AnshumanJagdale
4 Finance Manager Mr. Rajshekhar
3.6.2 Key Personnel:

Table 3.6.2.1
29
Department Personnel
Production Planning Mr. D. Margaje
Q.C. Mr. Suresh Pawar
Dispatch Mr. Patil Santosh
Maintenance Mr. Amrendra Kumar
Purchase Mr. R. Sulkhe
Quality and heat treatment Mr. Pawar S.D.
3.7 Operations Management:

The operation of the company takes place sequentially in following manner:
1. The semis or semi-finished goods are received from the inward transportation
at the receipt bay.
2. Then those semis are inspected by a standardized process before carrying out
operations.
3. Next, the semis go at respective processing bays or points where they may be
charged into furnace or positioned for peeling or as the case may be.
4. Then the respective operations are carried out on those semis to convert them
into desired finished products.
5. Again the inspection of the finished goods is done to ensure conformance of
the properties to those desired by the customers.
6. Then the colour coding is done for identification purposes.
7. Therefore, finally the products are dispatched.
3.8 Financial position of the company with its analysis:
Table 8
Sr.No. Title Data collected as on 31 March of
every year( values in Rupees
million)
2018 2019 2020
1 Total income 14043.98 14198.26 12221.91
2 Total expense 12294.34 12399.15 10542.88
3 Profit after tax 1152.53 1313.79 1371.18
4 Each of the total assets and 13622.76 13789.10 13644.12
30
liabilities
 Total income reduced in 2020 as effect of domestic as well as international
economic slowdown.
 The cash and cash equivalents have gone in negative in the following 2020
financial year.
 The organisation should expect rise in demand of steel after COVID 19
Pandemic domestically and internationally as economic mechanisms will
begin to crank to recover from recession/slowdown.
 The organisation should keep an eye on developments in automobile and real
estate sectors as they are expected to kick off production to meet demand of
BS-VI vehicles and real estate sector will finish impending projects.
 Due to the international political situations leading to trade war, the
automobile companies like MG, KIA have planned to start manufacturing in
India. The organisation should expand its base of clients with these
newcomers.
3.9 Future Plans:
 The organisation is planning to upgrade its EMS certification from ISO
14001:2004 to ISO 14001:2015.
 The organisation is planning to achieve full-fledged operation capacity against
loss of the same in lockdowns.
3.10 Organisation Chart:
CHAPTER 4:
31
Analysis and Interpretation of Data

4.1 Introduction
4.2 Data Analysis
4.3 Exhaustive summary of analysis
4.4 Effectiveness {e} of the implementation and maintenance of its
EMS by the organisation compared to ISO 14001:2004
CHAPTER 4:
32
Analysis and Interpretation of Data

4.1Introduction:
In this chapter the collected data has been processed and analyzed to fulfill the
objectives laid down for the purpose of study. The data collected through
observations, formal & informal discussion with process owners, experiences and
opinions of various functional heads in accordance with ISO 14001:2004.
Interpretation is the outcome of analysis, which enables conversion of data into
statement, and conclusions, which ultimately completes the research objectives.
This chapter presents the analysis & interpretation of Environment Management
System in accordance with ISO 14001:2004.
4.2 Data Analysis:
In this chapter the data researcher has taken one clause at a time and considered
various requirements w.r.t. that clause. Then corresponding to those requirements, the
actual prevailing conditions will be noted. For total conformance to ISO 14001:2004
by the prevailing condition five marks are allotted, for partial conformance three and
zero for nonconformity. In such manner the researcher has carried out audit. After
analysis of every clause, the interpretation of data in comprehensive manner will be
done highlighting the crucial spots to be filled. To study the prevailing conditions
w.r.t. the necessary requirements formal and informal discussions with the employees,
stakeholders and management is done. Besides, observation and comparison also
provide a typical insight for data collection. At the end the combined audit score
regarding the data collected is tabulated and then the entire EMS system is tested for
its efficiency.The data collected for the sake of the study is neatly arranged in this
chapter. The functional data i.e. the data observed during data collection from the
organization is exhaustively and comprehensively compared with each other. Then
the observations are inferred from the comparisons and interpretation(s) is done and
mentioned below each of such comparisons.
Clause 4.1: General Requirements
33
Table 4.2.1
Requirements Points=Criteria Prevailing Score
condition
1. The organisation shall 0= No such Environmental 5
establish, document, system present policy is present, all
implement, maintain 3= Environmental such corresponding
and continually improve policy is present points and areas wrt
an EMS in accordance but all such ISO 14001:2004
with requirements of corresponding are covered.
ISO 14001:2004 and points and areas
determine how it will wrt ISO
fulfill them. 14001:2004 are
2. The organisation shall not covered.
define and document the 5= Environmental
scope of its EMS. policy is present,
all such
corresponding
points and areas
wrt ISO
14001:2004 are
covered.
Interpretation: The table gives a very crisp understanding about the organisation’s
actions towards environment protection. It can be inferred from the above data that an
environment policy and a suitable EMS corresponding to that of ISO 14001:2004 is
established as obligated in its (Clause 4.1). The organisation has studied various
environmental impacts due to its present and potential/planned activities and
identified environmental aspects stimulated through them. Then the organisation has
carried out documentation for the same. Thus, this defines the scope of the
environment policy and EMS of the organisation. This documentation itself carries
the scope and relevance of the environmental policy adopted.
Clause 4.2: Environmental policy
34
Table 4.2.2
Requirements PointsCriteria Prevailing Score
Criteria
Top management shall define 0No Evidence found The top 5
the environmental policy and 3 The top management
within defined scope of its management has has defined an
EMS, it: defined an environmental
1. Relates to nature and environmental policy policy along
scale of environmental but framework related with framework
impacts of its present or to EMS or related to
planned activities. policy EMS’s
environmental or
2. Commitment towards objectives setting and environmental
continual improvement, review is absent. policy’s
legal obligations, other 5 The top objectives
related subscriptions management has setting and
towards prevention of defined an review, thus
pollution. environmental policy making it
3. Provide framework to set along with framework possible to
and review related to EMS’s or document
environmental objectives environmental policy’s maintain and
and targets. objectives setting and communicate to
4. Documented, maintained review, thus making it interested
and communicated. possible to document parties.
5. Available to public. maintain and
communicate to
interested parties.
Interpretation: From the table the inference can be drawn that the organisation has
well defined environmental policy by top management as expected in ISO
14001:2004 standard (Clause 4.2) along with its scope and targets. The defining and
establishing a framework for setting up objectives and review methods has played a
keen role, where this step makes it possible to be committed to continual
improvement, legal and other binding subscriptions related to prevention of pollution.
35
Also this step helps the organisation to carry out documentation of the environmental
policy and maintain it keenly. Before starting any business with external parties, the
environmental policy of the organisation is thoroughly conveyed. Also the
environmental policy is conveyed to internal parties of the organisation through
annual workshops, trainings etc. The periodic updates and changes are also
communicated.
Clause 4.3: Planning

Clause 4.3.1: Environmental aspects
Table 4.2.3
Requirements PointsCriteria Prevailing Criteria Score
The organisation shall 0No such The organisation has 5
establish, implement and procedure present identified the
maintain a procedure(s) to 3 Such environmental aspects
1. Identify environmental procedure exists arising from its
aspects of its activities but the aspects and activities (present or
(present or planned) their critical planned) and has
within scope of its impacts on the determined their
EMS that it can environment are critical impacts on
control. not cited. environment. This is
2. Determine the aspects 5 Such evident from their
that can have procedure exists “Process risks and
significant impact(s) on and the aspects opportunities” charts.
environment. and their critical
impacts on the
environment are
cited.
Interpretation: The table shows us that the organisation has conformance to ISO
14001:2004 planning activities (Clause 4.3) and fulfills identification of
environmental aspects as per sub clause (4.3.1). The table further explains that the
organisation has valued the need of identifying aspects related to its activities of
critical value regarding the environment.
36
Clause 4.3.2: Legal and other requirements

Table 4.3.4
The organisation shall 0 No The organisation has 5
establish, implement and Procedure identified correlation of
maintain a procedure(s) to 3Procedure is its activities and related
1. Identify and access to present but environment aspects and
relevant legal correlation maintained a master data
requirements and between of it. Also the
requirements(other than requirements organisations maintains
legal) to which and aspects is 100% compliance to
organisation subscribes not done obligations, rules and
related to environmental 5 Procedure regulations of :
aspects. is present but  MPCB
2. Determine how these correlation  Water act 1974
requirements apply to its between (amended in 1988).
environmental aspects. requirements  Hazardous waste
and aspects is management act
not done (2016).
 Rules and regulations
set up by various
external interested
parties (eg. NGOs,
suppliers, local
associations like
MAS etc.)
Interpretation: The table shows us that the organisation is following the ISO
14001:2004 regarding legal and other obligatory requirements in conformance to
clause 4.3 sub clause 4.3.2). The organisation has identified the legal requirements
right from local level to state level, which depicts the seriousness of the organisation
towards CSR.
Clause 4.3.3: Objectives, targets and programme(s)
37
Table 4.2.5
The organisation shall 0 No such The organisation has set 5
establish, implement and methodology its objectives in
maintain documented adopted accordance with its legal
environmental objectives 3 Such obligations to be
and targets at all methodology is consistent with its
functions and levels adopted but environment policy.
which are measureable, dedicated These objectives cover
practicable and consistent responsibilities and up all environmental
with its environment time checks are aspects related to
policy. missing company. Also, the
The organisation shall 5 Such organisation
established, implement methodology is hasestablished,
and maintain a adopted. The implemented a dedicated
programme(s) to achieve responsibilities are structure consisting
its objectives(s) imparted and timely responsibility and
consisting of checks of periodic check lists to
 Designation of conformance are keep in check the
responsibility and, done. environmental impacts
 Time frame/limit to arising from its activities.
achieve

Interpretation:From the above table we can infer that the organisation has followed
ISO system to set up proper objectives, targets to satisfy those objectives and
programmes to systematically fulfil the need of the requirement of the target, thus,
fulfilling the requirement of sub-clause (4.3.3) in clause (4.3).
Clause 4.4: Implementation and Operation

Clause 4.4.1: Resources, roles, responsibility and authority
Table 4.2.6
38

The organisations top 0No evidence of The organisation has 5
management shall facilitate such system placed responsibility
with necessary resources 3The with HR manager
and appoint a specific responsibilities are mainly and with other
management delegated but key role players to
representative(s) who, scarcity of ensure efficient
irrespective of his/her own resources or functioning of EMS.
duties shall: improper review of Within the organisation
1. Ensure that EMS is EMS or no proper review of EMS
established, implemented communication of is done periodically
and maintained as per ISO, responsibility. along with feedback
2. Report to top 5The and improvements. The
management on responsibilities are assignment of
performance and delegated along responsibility shows up
improvement of EMS. with suitable on every check-list
3. Roles, resources with with mandatory
responsibilities must be proper review of validation by signature
defined, documented and EMS. The of concerned authority.
communicated for ease. assignment of
responsibility is
properly
communicated.
Interpretation: From the above table we can infer that organisation has strictly
followed the guidelines regarding allotment of resources, roles, responsibilities and
authority as per sub clause (4.4.1) of clause (4.1).
Clause 4.4.2: Competence, Training and Awareness

Table 4.2.7
39
The organisation shall identify 0No such The management, 5

the training needs associated to procedures employees and labour
its environmental aspects and present have to undergo
it’s EMS with properly 3The training training regarding
retained records. needs are objectives EMS and
The organisation shall identified but necessary aspects of
establish, implement and the records of environment policy.
maintain a procedure to impart training are not The trainings are
awareness to its workforce kept, trainings carried out periodically
regarding: are irregular. i.e. annually, quarterly
 Importance of environment 5 The or as necessary. The
policy and EMS. training needs data and records of the
 Environment aspects are identified. trainings held are
arising from work Trainings are stored in the database.
(actual/potential) and their carried out at
roles to achieve conformity regular intervals
with EMS. and proper
 Consequences of non- training records
conformity. are maintained.
Interpretation:From the above table we can infer that the organisation is keenly
following the training, competence and awareness requirements of the ISO
14001:2004 as specified in sub-clause (4.4.2) in clause (4.4).
Clause 4.4.3: Communication
Table 4.2.8
With regards to its EMS 0 No procedure The shortcomings, needs, 5
and environmental aspects present. accidents, feedbacks are
the organisation 3Such promptly communicated
shallestablish, implement procedure present throughout the
and maintain a but lacks proper organisation regarding
procedure(s) for documentation environment, its aspects
1. Internal 5Such and EMS by use of LANs,
40
communication procedure present intercoms, internal mails

among the various along with etc. The system of
levels and functions proper feedback boxes, dedicated
of the organisation, documentation contact portals and well
2. Receiving, established meeting
documenting and spaces are present to
responding to communicate with the
relevant external parties. Monthly
communication with checks to comply with the
external parties. interest of interested
parties is done.
Interpretation:From the above table we can infer that the organisation is fulfilling
the communication (sub-clause 4.4.3) criteria as stipulated under clause (4.4) in
accordance with ISO 14001:2004. The organisation has established a robust
communication system for external and internally interested parties. The external
parties may include legal bodies or executives, NGOs, local association (MAS),
stakeholders like suppliers-vendors-creditors etc. The communication details are
recorded in form of memos, MoUs, receipts, certifications etc. the communication
plays a vital role in wellbeing and upkeep of the EMS and is an essential part of
successful EMS.
Clause 4.4.4: Documentation
Table 4.2.9
The EMS documentation 0Absence of The organisation has 5
must include: documentation. documentation
1. Environment policy, 5Presence of describing its
objectives and relevant objectives. Main
targets. documents elements such as
2. Description of the planning, resource
scope and main allocation, authority-
elements (and their responsibility definition
significance) of the and delegation, control,
41
EMS. communication,
3. Documents incl. operation, audit and
records, as management review are
determined by the stated along with their
organisation to be interaction and
necessary to ensure importance. The
effective documents and records
management and are kept as per need of
maintenance of the ISO 14001:2004.
related environmental
aspects.
4. Documents incl.
records required by
this International
Standard.
Interpretation: From the above table we can infer that the organisation has
maintained documents (as per sub-clause 4.4.4) in accordance with the requirements
of ISO 14001:2004 clause (4.4). The documents are constructed by identifying the
environmental aspects arising from organisation’s activities and various areas such as
scope, definition, duties/responsibilities, operation and control are considered. The
organisation has maintained reliable, legible and reproducible documentation which
can be of further use of identification, feedback, improvement scope etc.
Clause 4.4.5: Control of documents
Table 4.2.10
Criteria
The organisation shall 0 No such There are 3
establish, implement and procedures found preventive
maintain a procedure(s) to3Such procedures are measures if
1. Approve documents for evident but review criticality of
adequacy prior to use.
process and availability any
2. Review update and re- of document at point of environmental
42
approve the documents. use is absent aspects flare-

3. Ensure that relevant 5 Such procedures up. But active
versions of applicable are evident, the review presence of
documents is available at process is intact and relevant
point of use. access of document at documentation
4. Ensure that documents point of use. at point of use
remain legible and is scarce/absent.
readily identifiable.
5. Documents of external
origin are used in
planning.
6. Obsolete documents are
taken care of.
Interpretation:From the above table we can infer that the organisation tends to carry
out control of documents as per sub-clause (4.4.5) of clause (4.4) of ISO 14001:2004.
The absence or the scarcity of the documents at the point of use creates a loophole. It
may disrupt operations/ activities of the organisation for prolonged periods if
environment aspects flare-up. The activities of the organisation of administrative or
technical sense/nature can cause effect on the cash flows of the organisation
considering that the organisation is serious about conformance of its EMS with ISO
14001:2004. Thus the prolonged disruption may affect the organisation and its
stakeholders economically.
Clause 4.4.6: Operational control
Table 4.2.11
The organisation shall 0No such procedure Procedure to control 3
identify and plan such is present. breach of
operations related to 3Procedure to environment policy
environmental aspects control breach of are present such as
consistent with environment policy waste and hazardous
environment policy to are present but the waste management,
ensure their execution by stipulation of resource use
43
1. Establishing, operating criteria is management etc. but

implementing and lacking and the stipulation of
maintaining a identification of operating criteria
procedure to control environment aspects must be better like
non-conformance or arising from goods presence of
breach of and services is absent. calibrated
environment policy. 5Procedure to instruments to
2. Stipulate the control breach of measure impact of
operating criteria in environment policy environmental aspect
the procedures. are present but the etc. Identification of
3. Identification of stipulation of environment aspects
environmental operating criteria is arising from goods
aspects of goods and lacking and and services is
services used by identification of present due to
organisation and environment aspects communication with
communicating arising from goods external parties
applicable and services is absent.
procedures to
suppliers.
Interpretation: From the above table we can infer that the organisation tends to
follow the guidelines regarding operational control (sub clause 4.4.6 of clause 4.4) in
accordance with the ISO 14001:2004. The presence of the calibrated instrument to
gather data from an operation regarding environmental aspect could give more insight
in meeting the objective and/or mitigating the breach.
Clause 4.4.7: Emergency preparedness and response
Table 4.2.12
The organisation shall 0No such The organisation has 5
establish, implement and emergency adopted an
maintain a procedure(s) to preparedness and environmental
1. Identify potential response methodolog emergency and
emergency situations y present. mitigation plan.
44
that can have impact on 3 Such emergency Dedicated

environment and preparedness and emergency response
effective response response methodol- teams (ERT) have
method to them. ogy present but the also been created.
2. Review-revise and revision and mock Awareness about
improvise the drill phases are not / mock drills relevant
emergency preparedness seldom followed. to employees have
response methods 5 Such emergency been given.
wherever and whenever preparedness and Emergency
necessary or during response methodolog gathering spots have
periodic drills. y present the revision been designed.
3. The organisation shall and mock drill phases Alarm and fire
periodically test such are dedicatedly and systems have been
procedures. timely followed. also designed.

Interpretation:From the above table we can infer that the organisation is following
guidelines on emergency preparedness in its EMS in accordance with sub-clause
(4.4.7) of the clause (4.4) ISO 14001:2004 standard.
Clause 4.5: Checking

Clause 4.5.1: Monitoring and measurement
Table 4.2.13
The organisation shall 0No such measures The organisation 3
establish, implement and are taken monitors its day to
maintain a procedure(s) to 3Such measures are day operations/
1. Monitor, measure taken and thoroughly activities to keep
characteristics of its documented, but there in check their
operations respective to are no calibrated environmental
their environmental measuring equipment impact. The
impact. to check and rectify organisation has
2. The organisation
shall the environmental scarce on-site
carry out documentation impacts. calibrated
45
of results of such 5 Such measures are equipment to

measurements. taken and thoroughly judge the
3. Ensure that calibrated or documented. Also environment
verified monitoring and there are various policy breach
measuring equipment is calibrated measuring first-hand andthis
used and maintained and equipment to check significant process
shall retain associated and rectify the has been
records. environmental outsourced.
impacts.
Interpretation: From the above table we can infer that the organisation tends to
follow monitoring and measurement guidelines in its EMS in accordance to sub-
clause (4.5.1) under the clause (4.5) of the ISO 14001:2004 standard.
Clause 4.5.2 Sub-clauses (4.5.2.1 & 4.5.2.2): Evaluation of compliance
Table 4.2.14
Requirements (Points)= Prevailingcondition Score
Criteria
With regards to its 0=There is no In the organisation, 5
commitment to such procedure monthly checks are
environmental policy 3=Such performed to meet
the organisation shall procedure is the needs and
establish, implement present but it is concerns of the
and maintain a incomplete in interested parties.
procedure(s)for terms of Audits(s) are held
periodically evaluating documenting/ per year to meet
and documenting/ recording and its with the focus to
recording the periodicity. meet the conditions
compliance with 5=Such and requirements of
relevant legal procedure is the legal
obligations. present and it is subscriptions. The
complete in documentation of
terms of the same is
documenting/ maintained to act as
46
recording and its reference in

periodicity. management
reviews and
revision or
reference purposes.

Interpretation: From the above table we can interpret that the organisation is
holistically following the compliance requirements of the legal and miscellaneous
subscriptions relevant to protection of the environment as per sub-clause(4.5.2) under
clause (4.5) of the ISO 14001:2004 standard.
Clause 4.5.3: Nonconformity, corrective action and preventive action
Table 4.2.15
Criteria
The organisation shall 0No evidence of In the 5
establish, implement and such procedure. organisation
maintain a procedure(s) to deal 3Such procedure is such procedure
with actual andpotential present but its principal is present. It
nonconformities (with regards focus is on corrective focuses on
to environment policy) by actions than taking
rather
1. Identifying and correcting preventive actions. corrective
nonconformities and 5 Such procedure is actions and in
mitigating them. present. Its focuses on turn developing
2. Investigating and taking corrective preventive
determining the causes of actions and in turn ones. Through
nonconformities and taking developing preventive various
actions to avoid recurrence. ones. Through various feedback and
3. Evaluating the need and feedback and review review
taking appropriate actions mechanisms preventive mechanisms
to prevent actions are identified preventive
nonconformities. and taken. actions are
4. Recording and reviewing identified and
47
the results and taken.

effectiveness respectively
of corrective and
preventive actions taken.
Interpretation:From the above table we can interpret that the organisation is keenly
following the Nonconformity, corrective action and preventive action requirements in
its EMS in accordance with sub-clause (4.5.3) under clause (4.5) of the ISO
14001:2004 standard.
Clause 4.5.4: Control of records
Table 4.2.16
1. The organisation 0No evidence The organisation has 5
shall establish, 3Such maintained files and folders
implement and procedures are to record environmental
maintain records present but are aspects from its activities
as necessary to partially executed. and the files contain details
exhibit 5Such of conformities with ISO
conformities procedures are system. These files are
between its EMS present and the periodically checked by top
and the ISO records so management and are
standard. maintained present maintained daily by middle
2. The organisation conformity management like HR
shall establish, between EMS and managers, production
implement and ISO standard. Also managers etc. these records
maintain a need of recording are meticulously maintained.
procedure(s) to is identified at The activity is analysed for
identify, store, various levels and scope of its recording and
retrieve, retain and aspects necessary documentation
dispose records. and recording is done.
3. Records shall be
and remain legible,
identifiable and
48
traceable.
Interpretation: From the above table we can interpret that the organisation if
following guidelines for control of the records in its EMS in accordance with clause
(4.5.4) under the clause (4.4) in ISO 14001:2004 standard.The organisation has
maintained a clean, legible, identifiable and traceable recording system relevant to its
environment policy.
Clause 4.5.5: Internal audit
Table 4.2.17
The organisation must 0No internal audits The organisation has 5
conduct internal audits of are conducted or no developed an audit
EMS to determine similar procedure is procedure to check
whether it evident compliance of its
1. Conforms to planned 3Internal audits are EMS with IS and
arrangements of conducted but they environmental policy.
environment do not conform to IS The entire audit
management, and the audit procedure from
2. Fulfills requirements procedures lack designing to training
of International clarity. of internal auditors is
Standard (IS), 5 Internal audits looked after by TUV
3. Is properly are conducted for India Pvt. Ltd. which
implemented. their conformance to works in fields like
Audit procedures must be Environment policy Management Systems
established, implemented and they do conform Certifications,
and maintained to address to IS and the audit Industrial Services,
1. Requirements to procedures are clear, Inspection Services
conduct audit and well defined and etc. the training to the
maintaining records, maintained. internal auditors is
2. Determination of audit given twice a year.
criteria and scope.
49
Interpretation: From the above table we can interpret that the organisation follows
sub-clause (4.5.5) of clause (4.5) of the ISO 14001:2004. The organisation has
maintained an efficient, updated and a tested internal audit system. By hiring services
of TUV India Pvt. Ltd. the organisation has played a vital role of ensuring the
conformance of its EMS with that of IS.
Clause 4.6: Management Review

Table 4.2.18
Criteria
To ensure the suitability, 0The The organisation 5
adequacy and effectiveness management conducts annual
following inputs shall be taken at review is not MRM related to
planned intervals by the performed its environment
management of the organisation 3The policy. Here, the
during the review of its EMS: management management
1. Results of internal audits and review is performed review is
compliance reports to legal but the inputs are performed and
and other subscriptions. scarce or marginal all the valid
2. Communications/complaints i.e. some of the inputs are
from external parties inputs are missing. studied. The
3. Extent to which objectives Output from such output
and targets have been met, review is not actions/changes
4. Status of CAPA or PACA, implemented and
5. Review of actions on previous seriously or there is recommendation
management reviews, absence of (s) are firmly
6. Changes in legal and other checking acted upon with
aspects related to its mechanism. due diligence.
environmental aspects, 5The
7. Recommendations on management
improvements. review is performed
Output from management review and all the valid
must include decisions related to inputs are studied.
50
change(s) in environment policy The output

and EMS consistent with the actions/changes and
commitment of continual recommendations
improvement. are firmly acted
upon with due
diligence.
Interpretation:From the above table we can interpret that the organisationfollows
clause (4.6) of the ISO 14001:2004. The organisation annually holds review meetings
to gather internally audited performance of its EMS in accordance with IS and
develop corrective actions against loopholes and pass on the guidelines and changes
in EMS for developing parallelism with the IS. The review of actions of
prior/previous management reviews is also done and necessary prompt actions are
taken.
4.3 Exhaustive summary of analysis:

Table: 4.3.1
Sr.No. Clause Title Points Points
Number allotted scored
1 4.1 General requirements 5 5
2 4.2 Environmental policy 5 5
3 4.3 Planning - -
4 4.3.1 Environmental aspects 5 5
5 4.3.2 Legal and other requirements 5 5
6 4.3.3 Objectives, targets and programme(s) 5 5
7 4.4 Implementation and operation - -
8 4.4.1 Resources, roles, responsibilities and 5 5
authority
9 4.4.2 Competence, training and awareness 5 5
10 4.4.3 Communication 5 5
11 4.4.4 Documentation 5 5
12 4.4.5 Control of documents 5 3
51
13 4.4.6 Operations control 5 3

14 4.4.7 Emergency preparedness and 5 5
response
15 4.5 Checking - -
16 4.5.1 Monitoring and measurement 5 3
17 4.5.2 Evaluation and compliance 5 5
18 4.5.3 Non-conformity, corrective actions 5 5
and preventive actions
19 4.5.4 Control of records 5 5
20 4.5.5 Internal audit 5 5
21 4.6 Management review 5 5
 - - 90 84
4.4 Effectiveness {e} of the implementation and maintenance of its

EMS by the organisation compared to ISO 14001:2004
 The effectiveness {e} will be calculated by dividing the total score scored by the
total points allotted.
 If the e = 75% or less, then the system must be re-audited with regards to
particular clauses and operations, as it contains many major and minor loopholes
thus leaving a wide gap to be filled in order to run EMS smoothly in absolute
accordance with ISO 14001:2004.
 If the e = 76% to 90%, then the system must be revisited and troubleshooting of
minor NCs must be done in order to run EMS smoothly in absolute accordance
with ISO 14001:2004.
 If the e = 91% or more, then system is, then, the system is excellently
implemented and maintained and there is still scope for improvement.
 Thus, the effectiveness of the implementation and maintenance of EMS by the
organisation compared to ISO 14001:2004 is,
{e} = 84 / 90 * 100
= 93.33 %
Effectiveness {e} of the implementation and maintenance of its EMS by the
organisation compared to ISO 14001:2004 is 93.3%.
52
CHAPTER 5:
53
Findings and Suggestions

5.1 Introduction
5.2 Findings from the Study
5.3 Suggestions
5.4 Conclusion
CHAPTER 5:
54
Findings and Suggestions

5.1 Introduction:
Based on the topic of the study titled as “A Study of the implementation &
maintenance of Environment Management System in accordance with ISO
14001:2004 system”with reference to BSSL, Satara, the researcher has done field
work which was necessary to cover each and every topic and area coming under the
title in an exhaustive manner. From the relevant field work and analysis carried out,
the researcher has observed some important points categorized under ‘findings’ and
based on such findings some significant suggestions are given to the organisation.
5.2 Findings from the study:

Clause 4.1: General Requirements
The organisation has studied various environmental impacts due to its present and
potential/planned activities and identified environmental aspects arising out of them.
Then the organisation has performed documentation for thoseidentified environmental
aspects. This is then summed up as the scope of the environment policy and EMS of
the organisation.
Clause 4.2: Environmental Policy
The organisation has defined and established a framework for setting up objectives
and review methods. Where this step has made the organisation committed to various
constraints such as continual improvement, legal and other binding subscriptions
related to prevention of pollution. Necessary and its maintenance is an easy job due to
this step. The environmental policy of the organisation is thoroughly conveyed to
internal and external parties to organisation along with updates.
Clause 4.3: Planning
1. Clause 4.3.1: Environmental aspects
The organisation has identified the environmental aspects arising from its
activities (present or planned) and has determined their critical impacts on
environment. This is evident from their “Process risks and opportunities”
charts.
2. Clause 4.3.2: Legal and other Requirements
55
The organisation has identified the legal requirements such as binding

regulations of MPCB, various obligations under water and waste management,
rules and regulations of various NGOs and other interested parties. This
reflects the solid motive of the organisation regarding the protection,
sensitivity and significance of the environment protection and commitment
towards continual improvement in its operations (present/planned) regarding
environment protection.
3. Clause 4.3.3: Objectives, Targets and Programme(s)
After going through legal and other mandatory under the clause (4.3.2)
requirements the organisation has set its objectives in accordance with its legal
obligations to be consistent with its environment policy. These objectives
cover up all environmental aspects related to company. Also, the organisation
has established, implemented a dedicated structure consisting responsibilities
and periodic check lists to keep in check the environmental impacts arising
from its activities.
Clause 4.4: Implementation and Operation
1. Clause 4.4.1: Resources, roles, responsibility and authority
The organisation has placed responsibility with HR manager mainly and with
other key role players to ensure efficient functioning of EMS. Within the
organisation proper review of EMS is done periodically along with feedback
and improvements. The assignment of responsibility shows up on every
check-list with mandatory validation by signature of concerned authority.
2. Clause 4.4.2: Competence, Training and Awareness
The management, employees and labour have to undergo training regarding
objectives EMS and necessary aspects of environment policy. The trainings
are carried out periodically i.e. annually, quarterly or as necessary. The data
and records of the trainings held are stored inform of suitable database.
3. Clause 4.4.3: Communication
The organisation has established a fast, reliable, practical and robust
communication system relevant to its environment policy in response to
clauses NCRs 4.5.3), Evaluation of compliance (4.5.2), Emergency
Preparedness and Response (4.4.7) and Operational Control (4.4.6).
4. Clause 4.4.4: Documentation

56
The documents are constructed by identifying the environmental aspects

arising from organisation’s activities and various areas such as scope,
definition, duties/responsibilities, operation and control are considered.
5. Clause 4.4.5: Control of documents
Here under this clause we can find a non-conformity, though there are
preventive measures if criticality of any environmental aspects flare-up, but
active presence of relevant documentation at point of use is scarce/absent.
6. Clause 4.4.6: Operational control
Procedure to control breach of environment policy are present such as waste
and hazardous waste management, resource use management etc. but the
stipulation of operating criteria must be better like presence of calibrated
instruments to measure impact of environmental aspect etc. Identification of
environment aspects arising from goods and services is present due to
communication with external parties.\
7. Clause 4.4.7: Emergency preparedness and response
The organisation has adopted an environmental emergency and mitigation
plan. Dedicated Emergency Response Teams (ERT) have also been created.
Awareness about mock drills relevant to employees have been given.
Emergency gathering spots have been designed. Alarm and fire systems have
been also designed.
Clause 4.5: Checking
1. Clause 4.5.1: Monitoring and measurement
Even though the organisation monitors its day to day operations/ activities to
keep in check their environmental impact, however, the organisation has
scarce on-site calibrated equipment to judge the environment policy breach
first-hand and this significant process has been outsourced.
2. Clause 4.5.2 Sub-clauses (4.5.2.1 & 4.5.2.2)Evaluation of compliance
In the organisation, monthly checks are performed to meet the needs and
concerns of the interested parties. Audits(s) are held per year to meet with the
focus to meet the conditions and requirements of the legal subscriptions. The
documentation of the same is maintained to act as reference in management
reviews and revision or reference purposes.
3. Clause 4.5.3: Nonconformity, corrective action and preventive action
57
The organisation has procedure to identify NCs and to prepare a NCR. It

focuses on taking corrective actions and in turn developing preventive ones.
Through various feedback and review mechanisms preventive actions are
identified and taken.
4. Clause 4.5.4: Control of records
The organisation has maintained files and folders to record environmental
aspects from its activities and the files contain details of conformities with ISO
system. These files are periodically checked by top management and are
maintained daily by middle management like HR managers, production
managers etc. these records are meticulously maintained. The activity is
analysed for scope of its recording and necessary documentation and recording
is done.
5. Clause 4.5.5: Internal audit
The organisation has promptly implemented and maintained an effective,
practical and comprehensive internal audit system. The fact that internal
auditors are trained and guided by TUV India Pvt. Ltd. is of greater
significance and matters the most. The organisation has vehemently followed
internal audit guidelines in conformance to that of sub-clause (4.5.5) of the
clause (4.5) of ISO 14001:2004.
Clause 4.6: Management Review
In the organisation a MRM is held to collect data from internally audited
performance parameters of its EMS in comparison to ISO 14001:2004.
Various short comings are reported and improvements are recommended.
Necessary framework of decisions and actions is setup in this meeting. The
actions with regards to pervious MRM are also reviewed for their results
and/or reference.
 From the table 4.3.1 named ‘Exhaustive summary of analysis’ we find that
three of the eighteen clauses loophole(s) and/or anomaly.
 From calculations in point 4.4 we get, Effectiveness {e} of the implementation
and maintenance of its EMS by the organisation compared to ISO 14001:2004
is 93.33%.
5.3 Suggestions
58
5.3.1 Specific suggestions:

1) With respect to anomaly/loophole detected in EMS of the organisation under
clause (4.4.6), the organisation must develop such operations and operational
control mechanisms with regards to its environmental policy which
incorporate calibrated indicating equipment so as to point out adverse
environment impact when necessary.
2) With respect to the anomaly identified in the EMS of the organisation under
the clauses (4.4.6) and (4.5.1), the organisation must develop IS calibrated
equipment(s) relevant to its environmental aspects arising from its activities
(planned/ present) to undertake proactive measures like indication-intimation-
prevention and reactive measures like scale-impact-effects etc. This should be
done to prevent and/or identify major or minor environment policy-
environment objective(s) or target(s) failure(s) firsthand.
3) With respect to loophole identified in EMS of the organisation under the
clause (4.4.5) the organisation must provide necessary indicative, informative
and mitigation documents at all the areas sensitive to environmental impacts.
4) The documentation must be of more specific nature like for e.g. Rather than
providing just a check list, the organisation must provide a detailed document
with possible origin-causes-remedies-precautions etc. against such
environmental hazard, this can also help to mitigate the aspect firsthand if
feasible.
5.3.2General Suggestions:
a) The organisation should update its certification from ISO 14001:2004 to ISO
14001:2015 as soon as possible.
b) The calibrated equipment which will be used must be IS and BIS certifies.
c) The organisation must take help from professional firms in the market for
above purposes.
d) The organisation must carry out proper screening and selection of the firm
with regards to its external party interests and its own environmental policy.
5.4 Conclusion:
59
The study provides valuable implications to organization for verifying the

implementation effectiveness & maintenance of ISO 14001:2004 in accordance with
ISO 14001:2004. From the research study it is significantly proved that ISO
14001:2004ISO 14001:2004 is implemented effectively & maintained properly in the
organization but still there is a scope for improvement in various key operations in
the organization. The loopholes exist in documentation, operational control and
monitoring or checking aspects of the EMS of the organisation.
If the top management takes corrective measures as suggested and develops a positive
approach towards building of sustainable business environment and to protect the
environment through its well established environmental policy, it’s EMS including all
resources (finance, workforce, technology etc.) and takes PACA to eliminate the
loopholes and anomalies, then, the EMS will be implemented& maintained more
effectively resulting in competitive advantages for the organization.
ANNEXURE
60
List of abbreviations used throughout the study

Sr.No. Abbreviation Full form
1 EMS Environmental Management System
2 ISO International Organisation for Standards
3 IS Indian Standards
4 PDCA Plan-Do-Check-Act
5 B Baramati
6 OHSAS Occupational Health And Safety Assessment Series
7 KSL Kalyani Steel Group
8 MPCB Maharashtra Pollution Control Board
9 SAIL Steel Authority Of India
10 MAS Manufacturers Association Of Satara
11 IS International Standard
12 CAPA or Corrective Action, Preventive Action
PACA
13 MRM Management Review Meeting
14 wrt With respect/regards to
15 NCs Non-Conformity(ies)
16 NCR Non-Conformity(ies) Report
17 IQA Internal Quality Audit
61

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SHIVAJI UNIVERSITY, KOLHAPUR M.B.

So title signifies “A Study of the Implementation & Maintenance of Environment

14 4.5.2 Evaluation and compliance

evaluation between actual standard clauses/requirements and in-effect practices will

overall aim of this International Standard is to support environmental protection and

1 Environment The organization shall establish, document, implement,

3 Do Carry out the objectives from the previous step.

5 Act Also called "Adjust", this act phase is where a process is

problems, non-conformities, opportunities for

(Source: ISO 14001:2004 Manual)

 Seeking certification/registration of its environmental management system by

NOTE: Surroundings in this context extend from within

for action and for the setting of environmental objectives

discharge of any type of pollutant or waste, in order to

 Includes a commitment to comply with applicable legal requirements and with

4.3.3 Objectives, targets and programmed

4.4.2 Competence, training and awareness

 Description of the main elements of the environmental management system

 Establishing, implementing and maintaining a documented procedure(s) to

a) Determine whether the environmental management system

4.6 Management review

 Changing circumstances, including developments in legal and other

16. Carry out first IQA (Internal Quality Audit),

CHAPTER 3: COMPANY PROFILE

CHAPTER 3: COMPANY PROFILE

Address Opp. Jarandeshwar Railway

3.2 Brief history and present position of the organisationwas established

3.5 Marketing Scenario:

Rolling Facility: Monthly capacity is about 1400 tons per month.

 Flat products (30-60mm) thickness and (40 to 100mm) width.

3.6 Human Resource Scenario of the Company:

3.6.2 Key Personnel:

3.7 Operations Management:

Analysis and Interpretation of Data

Analysis and Interpretation of Data

Clause 4.1: General Requirements

Clause 4.2: Environmental policy

Clause 4.3: Planning

Clause 4.3.2: Legal and other requirements

(Source: ISO 14001:2004 Manual)

Clause 4.4: Implementation and Operation

Requirements PointsCriteria Prevailing Criteria Score

Clause 4.4.2: Competence, Training and Awareness

The organisation shall identify 0No such The management, 5

communication procedure present intercoms, internal mails

approve the documents. use is absent aspects flare-

1. Establishing, operating criteria is management etc. but

that can have impact on 3 Such emergency Dedicated

(Source: ISO 14001:2004 Manual)

Clause 4.5: Checking

of results of such 5 Such measures are equipment to

recording and its reference in

(Source: ISO 14001:2004 Manual)

the results and taken.

Clause 4.6: Management Review

change(s) in environment policy The output

4.3 Exhaustive summary of analysis: