Environmental Management System

ISO 14001:1996 INTERNATIONAL Std

Guidelines for Implementation
ISO 14001:1996 EMS Overview
1.0 ISO 14001 is the most important international
environmental standard available today. It specifies core
requirements for an environmental management system
to enable an organisation to formulate a policy and
objectives taking into account legislative requirements
and significant environmental impacts and requirements
of interested parties .
1.1 EMS Requirements or Elements:

4.1 General requirements

4.2 Environmental policy
4.3 Planning
4.4 Implementation and operation
4.5 Checking and corrective action
4.6 Management review
1.2 Key activities in implementation of EMS
• Recognise that environmental management is among the topmost priorities
in the business.
• Determine legislative requirements associated with the organisational
activities.
• Inculcate commitment in all employees to protect environment .
• Establish environmental policy, objectives and targets.
• Establish procedures to achieve the targeted performance levels.
• Provide appropriate resources including training.
• Establish internal & external communication links.
• Evaluate environmental performance.
• Organise regularly audits
• Organise periodically the management reviews.
• EMS drives to achieve significant
competitive advantage
1.3 FIVE GOOD REASONS FOR E M S
IMPLEMENTATION
1.3.1 Environmental
Prevention of emission & discharges
Control and continual reduction and possible
elimination of adverse environmental aspects.
1.3.2 Improved profits
Reduction in wastes & improved roductivity
Profitable use of raw materials, water and
energy resources.
Reduction in operational costs.
1.3.3 Good regularity in interfaces with
Govt. agencies
1.3.4 Improved customer confidence.
1.3.5 Improved public image.
2.0 Initial Environmental Review
The current position of an organisation with regard to the environment can
be established by means of an Initial Environmental Review. Many
Organisations undertake environmental reviews on their own to assess
their environmental performance.
2.0.1The initial review can cover the following:
Identification of legislative and regulatory requirements.
Identification of environmental aspects of its activities, products or
services so as to determine those that have or can have significant
environmental impact and liabilities.
Evaluation of performance compared with relevant internal
criteria, external standards, regulations and codes of practice
and sets of principles and guidelines.
Feedback from the investigation of previous incidents of
noncompliance.
The views of interested parties.For the purposes of this
international standard. The following definitions apply.
3.0 DEFINITIONS
For the purposes of this international standard ,the
following definitions apply

3.1 Continual Improvement

Process of enhancing the environmental management

system to achieve improvements in overall
environmental performance in line with the
organisations environmental policy.
Note : The process need not take place in all areas of
activity simultaneously.
3.2 Environment
Surroundings in which an organisation operates including air,
water, land, natural resources, flora, fauna, humans, and their
interrelation.
Note : Surroundings in this context extend from within an
organisation to the global system.
3.3 Environmental Aspect
Element of an organisations activities, products or services that
can interact with the environment.
Note : A significant environmental aspect is an environmental
aspect that has or can have a significant environmental impact
3.4 Environmental impact
Any change to the environment, whether adverse or
beneficial, wholly or partially resulting from an
organisation's activities, products or services
3.5 Environmental management system
The part of the overall management system that
includes organisational structure, planning activities,
responsibilities, practices, procedures, processes and
resources and developing, implementing, achieving,
reviewing and maintaining the environmental policy.
4.2 Formulation of Environmental Policy
4.2.1 What is an environmental Policy?
"It is a statement by the organisation of its
intensions and principles in relation to its overall
environmental performance, which provides a
frame work for action and for the setting of its
environmental objectives and targets.
The environmental policy must be the driving
force for the whole environmental manage-ment
system, which ensures that the environ-mental
performance of the organisation is improved.
4.2.2 Who creates the policy?

Usually undertaken by the senior management

of the company who are responsible for signing
the document and giving their seal of approval.
All the employees are responsible for providing
inputs to the formulation and modification of
the policy
4.2.3 An environmental policy should consider the
following:
The organisation's mission, vision, core values
and beliefs.
Guiding principles
Prevention of pollution.
Commitment to comply with relevant
environmental law and other regulations to which the
organisation subscribes.
Requirements of and communication with
interested parties.
Coordination with other organisational policies (e.g.
quality, occupational health and safety)
4.2.4 An organisation should define and
document its environmental policy and
ensure it is communicated to all the
employees. It shall be made available to all
the interested parties.
Environmental policy drives EMS
ensures Environment performance
4.3 Planning
The planning involves identifying positive and negative aspects
and impacts of business and establishing object-ives and targets
and formulating environmental manage-ment programmes.
The environmental management system elements relating to
planning include.
Identification of environmental aspects.
Evaluation of associated environmental impacts.
Identifying legal and other requirements.
Setting internal criteria for significant aspects.
Setting environmental objectives and targets.
Development of environmental management
programmes.
4.3.1. Identification of Environmental aspects and
Evaluation of Associated Environmental Impacts
Aspect is the cause of pollution, Impact is the effect

ISO 14001 interprets the interface between

environment and business as an "environ-mental
aspect" which is defined as components of a company's
activities, products or services which are likely to
interact with the environment.
An organisation's policy, objectives and targets
should be based on knowledge about the
environmental aspects and significant environmental
impacts associated with its activities, products or
services.
• The identification of the environmental aspects is
an ongoing process that determines the past,
current and potential impact of an organisation's
activities on the environment.
• The identification of aspects should cover all
processes, products, services, operations, facilities,
supplies and subcontracted operations. This
process also includes the identification of the
regulatory and legal requirements connected with
the organisation. It can also include identification
of health and safety impacts, and environmental
risk assessment.
Some issues to be considered in identification of
aspects and evaluation of environmental impact.
1. Do the organisation's activities, products or services create
any significant adverse environmental impacts?
2. Does the organisation have a procedure for evaluating
the environmental impacts of new projects or new products?
3.Does the location of the organisation require special
environmental consideration, for example sensitive
environmental areas?
4.How will any intend changes or additions to activities,
products or services affect the environmental aspects and their
associated impacts?
5.How significant or severe are the potential environmental
impacts when a process failure occur?
•Aspects to be considered
Emissions to atmosphere including those of vehicles of
employees and of contractors.

 Discharge to water ponds, waste water.

Waste/garbage management, contamination of land.

Handling, storage of hazardous/dangerous goods.

Generation of noise, heat, odor, dust ,smoke & vapours.

Consumption of water and energy.

Likely violation of legal/regulatory/statutory requirements.

Any abnormal or emergency conditions.

Views of interested parties.

Spillages, leakages associated with storage of oils, gas and hazardous

materials.
valuation method for significant aspects
Normally a multi disciplinary team determines the significance, based on
area affected , severity, duration,
occurrence and detection.
• AREA AFFECTED = (A)
• Definition Score
• Very local ------------------------------- 1
• Dept / shop-------------------------------- 2
• Entire work area--------------------------3
• Surrounding society--------- ------------4
• Global effect------------------------------- 5
Severity = (S)
Insignificant------------------------------ 1
Momentary------------------------------- 2
Injuries to very few--------------------- 3
Injuries to a group---------------------- 4
Fatal injury to persons/flora,
fauna--------------------------------------- 5
• Duration = (D)
• Momentary -------------------------------- 1
• Less than 2hrs -------------------------------- 2
• For a day -------------------------------- 3
• Over a month -------------------------------- 4
• Permanent impact ------------------------ 5
Frequency of occurrence = (O)
Monthly once --------------------- 1
Weekly once -------------------- 2
Daily once -------------------------- 3
Several times in a day-------------- 4
Continuously -------------------- 5
• Detection = (N)
• Within an hour -------------------- 1
• Within a shift -------------------- 2
• Within a day -------------------- 3
• Within a week-------------------- 4
• Within a month -------------------- 5
• total score is multiplies of A x s x d x o x n
• Maximum 5 x 5 x 5 x 5 x 5 = 3125
Each aspect is considered and scores are assigned
from low to high (say from 1 to 5) for all the above
situations.
These scores are then multiplied to obtain a score. A
value is determined beyond which the aspect is
considered as significant.
All these significant aspects are then reviewed as
under:
Whether the impact can be eliminated or reduced.
Whether it is technologically feasible.
Whether the technology is economically viable.
• For those which are 'yes' in all 3 categories objectives and
targets are set and EMP's are prepared, implemented and
monitored.
• For others, operational control procedures (OCPs) are
prepared, and followed by the concerned operators.
• An aspect could also become significant if it results in any
one of the following.
• a) Violation of legal/statutory/regulatory
requirements
• b) Leading to emergency situations.
• c) Affects the concern of interested parties.
The aspect impact identification and evaluation is
reviewed and updated periodically.
The objectives are to be prioritized for actions
to achieve targets within a specified time. The
objectives, targets and plans are to be reviewed
periodically for progress and suitability and for
providing required resources.
For those situations identified under
emergency situations Emergency Response
Plan to be established and maintained as
required under clause no:4.4.7 of the standard.
 4.3.2 Legal and Other Requirements
• The organisation shall establish and maintain
procedure to identify, have access to and
understand all legal and other requirements related
to the environmental aspects of its activities,
products or services.
• Other requirements could include.
 Industry codes of practice.
 Agreements with public.
 Non-regulator guidelines.
Some issues to be considered in the legal procedure are:

1. How does the organisation access and

identify relevant legal and other requirements?
2. How does the organisation keep track
of legal and other requirements?
3. How does the organisation
communicate relevant information on legal and other
requirements to employees?

A list of applicable laws, their norms and dept. involved is

found to be more useful.
 4.3.3 Environmental Objectives and Targets
Objective is a goal which an organisation sets itself to
achieveand it should be specific.
Target is a lower level requirement arising from the objective
and should be measurable.
Objectives shall be established to realise the organisation's
environmental policy. These objectives are the overall goals for
environmental performance identified in the environmental
policy. When establishing its objectives, an organisation should
also take into account the relevant findings from environmental
reviews, and the identified environmental aspects and
associated environmental impacts, legal and other
requirements, operational and business requirements.
Environmental targets can then be set to achieve these
objectives within a specified time frame.
When the objectives and targets are set, the organisation
should consider establishing measurable environmental
performance indicators. These indicators can be used as the
basis for an environmental management and the operational
systems.
Objectives and targets can apply broadly across an
organisation or more narrowly to site specific or individual
activities. Appropriate levels of management should define the
objectives and targets. Objectives and targets should be
periodically reviewed and revised, and should take into
consideration the views of interested parties. Objectives are
usually set by top management, while targets are set by
Departmental heads.
Objectives can include commitments to
¨ reduce waste and the depletion of resources ex. water,
energy.
¨ reduce or eliminate the release of pollutants into the
environment.
¨ design products to minimize their impact in
production, use and disposal
¨ control the environmental impact of sources of raw
material.
¨ minimize any significant adverse environmental impact
of new developments.
¨ promote environmental awareness among employees
and the community.
4.3.4 Environmental Management Programmes
Within the general planning of activities, an
organisation should establish Environmental
Management Programmes that address all the
environmental objectives. To be most effective,
environmental management planning should be
integrated into the organisation's strategic plan
Environement management pprogrammes should
address schedules,resources and responsibilities for
achieving the identified environmental objective and
targets.
4.4 Implementation and Operations
4.4.1 Structure and Responsibilities
Roles, responsibilities and authorities shall be defined,
documented and communicated in order to facilitate effective
environmental management.
The successful implementation of an environmental
management system calls for the commitment of all
employees of the organisation. Environmental responsibilities
therefore should not be seen as confined to the environmental
function, but also include other areas of an organisation, such
as operational management or staff functions.
The commitment should begin at the highest levels
ofmanagement should establish the organisation's
environmental policy and ensure that the environmental
management system is implemented
• MANAGEMENT REPRESENTATIVE (MR-EMS)
• As part of its commitment, the top management shall designate a
specific management representative with defined responsibility and authority
for implementing the environmental management system. In large or
complex organisations there may be more than one designated
representative.
 Responsibilities of MR-EMS
 Establish, implement and maintain EMS
 Ensure maintenance of adequate records.
 Organise audits and report audit findings to top
management.management. Accordingly, top
 Report status of corrective and preventive action
 Report environmental performance to management.
 Organise management reviews
4.4.2 ENVIRONMENTAL TRAINING
The organisation should establish and maintain
procedures for identifying training needs. The
organisation should also require that contractors
working on its behalf are able to demonstrate that their
employees have the requisite training.
Management should determine the level of
experience, competence and training neccessary to
ensure the capability of personnel, especially those
carrying out specialised environmental management
functions.
In addition to allocating responsibilities, management
should determine the level of competence, experience,
formal qualification and training necessary to ensure
the capability of personnel, especially those carrying
out certain specialised environmental management
functions. Where appropriate, activities and roles that
affect the environmental performance of the
organisation should be included in job descriptions
and performance appraisals.
 1. Execdutive and management personnel, to ensure that they
understand the environmental management system , have the
necessary knowledge to play their part in it and understand the
criteria.
2. Other personnel, to ensure that they can make an appropriate
contribution to the environmental management system;
3. New recruits and staff assigned to new tasks, equipment and
procedures.
 4.4.3 Communication
Communication of environmental intent to internal and external
stakeholders is important to maintain accountability and demonstrate
commitment.
Communication includes establishing processes to report internally and,
where desired externally on the environmental activities of the
organisation in order to
 demonstrate management commitment to the environment.
 deal with concerns and questions about the environmental aspects of the
organisation's activities, products of services.
 Raise awareness of the organisation's environmental policies, objectives,
targets and programmes.
 Inform internal or external interested parties about the organisation's
environmental management system and performance as appropriate.
Results from EMS monitoring, audit and
management review should be communicated
to those within the organisation who are
responsible for performance.

The provision of appropriate information to

the organisation's employees and other
interested parties serves to motivate
employees and encourage public
understanding and acceptance of the
organisation's efforts to improve its
environmental performance.
 4.4.4. EMS Documentation
• Operational processes and procedures should be
defined and appropriately documented and updated as
necessary. The organisation should clearly define the
various types of documents which establish and specify
effective operational procedures and control.
• The existence of EMS documentation supports
employee awareness of what is required to achieve the
organisation's environmental objectives and enables the
evaluation of the system and environmental performance.
The nature of the documentation can vary depending on the
size and complexity of the organisation. Where elements of
the EMS are integrated with an organisation's overall
management system, the environmental documentation should
be integrated into existing documentation. For ease of use, the
organisation can consider organising and maintaining a
summary of the documentation to:
¨ Collate the environmental policy, objectives and
targets.
¨ Describe the means of achieving environmental
objectives and targets.
¨ Document the key roles, responsibilities and
procedures.
¨ Provide direction related documentation and describe
other elements of the organisation's management system,
where appropriate.
• The level of detail of the documentation should be
sufficient to describe the core elements of the
environmental management system and their
interaction and provide direction on where to
obtain more detailed information on the operation
of specific parts of the environmental management
system. This documentation may be integrated
with documentation of other systems implemented
by the organisation. It does not have to be in the
form of single manual.
EMS Manual provides the vital link between
ISO 14001 and the EMS of the site
Related documentation may include:
¨ Environmental Policy
¨ Aspects and impact Statements
¨ Objectives and targets
¨ Environmental management programmes
¨ Internal standards and operational
procedures
¨ Legal register
¨ Organisational charts & Responsibility
¨ Site emergency plans.
4.4.5 Document Control
The organisation shall establish and maintain procedures for
controlling all documents required by this international standard to
ensure that
 they can be located
 they are periodically reviewed, revised as necessary and
approved for adequacy by authorised personnel.
 The current versions of relevant documents are available at
all locations where operations essential to the effective functioning
of the environmental management system.
 Obsolete documents are promptly removed from all points
of issue and points of use.
 Any obsolete documents retained for legal and/or knowledge
preservation purposes are suitably identified.
 Documentation shall be legible, and readily
identifiable, maintained in an orderly manner and
retained for a specified period. Procedures and
responsibilities shall be established and maintained
concerning the creation and modification of the various
types of document.
The intent is to ensure that organisation create and
maintain documents in a manner sufficient to implement
the environmental management system. The primary
focus of organisations should be on the effective
implementation of the environmental management
system and on environmental performance and not on a
complex documentation control system
4.4.6 Operational Control
Operational controls are to be in place to monitor
process performance. Some times new operations
control may need to be identified from an
environmental view point.
The organisation should consider different operations
and activities contributing to its significant
environmental impacts when developing or modifying
operational controls and procedures.
Such operations and activities which require control:

¨ Boiler operation
¨ Disposal of waste oil and waste water.
¨ Effluent treatment plant operation
¨ Handling and storage of raw materials
¨ House keeping
4.4.7 Emergency Preparedness and Response

Emergency : an unexpected occurance

requiring immediate action.

Emergency preparedness and response

addresses handling accidental incidents leading to environmental
hazards and accidental releases.
Emergency plans and procedures should be established
to ensure that there will be an appropriate response to unexpected or
accidental incidents.
The organisation should define and maintain
procedures for dealing with environmental incidents
and potential emergency situations. The operating
procedures and controls should include, where
appropriate, consideration of

accidental emission to the atmosphere

accidental discharges to water and land

specific environment and ecosystem effects from

accidental releases.
4.5 Checking and corrective action

4.5.1 Monitoring and Measurement

Measuring and monitoring should ensure that the
company's processes are performing in accordance
with the stated policy, procedures and standard
requirements. The data collected at various
operations are to be evaluated and acted upon to
achieve desired results. Environmental audit are to be
conducted to determine conformance to the planned
arrangements.
There should be a system in place for measuring and
monitoring actual performance against the
organisation's environmental objectives and targets in
the areas of management systems and operational
processes. This includes evaluation of compliance
with relevant environmental legislation and
regulations. The results should be analyzed and used
to determine areas of success and to identify activities
requiring corrective action and improvement.
• Appropriate processes should be in place to ensure
the reliability of data, such as calibration of
instruments, test equipment, including software,
and hardware and sampling.
• Identifying appropriate environmental
performance indicators for the organisation should
be an ongoing process. Such indicators should be
objective, verifiable and reproducible. They
should be relevant to the organisation's activities,
consistent with its environmental policy, practical,
cost-effective, and technologically feasible.
4.5.2. Non Conformance, Corrective and
Preventive Action
The corrective and preventive action system is used to
remedy non-conformances and address opportunities for
improvement.
The findings, conclusions, and recommendations
reached as a result of measuring, monitoring, audits and other
review of the environmental management system should be
documented, and the necessary corrective and preventive
actions identified.
Management should ensure that these corrective and
preventive actions have been implemented and that there is a
systematic follow-up to ensure their effectiveness and the
respective documents are amended incorporating the changes.
4.5.3 EMS Records
The organisation shall establish and maintain procedure for
identification, maintenance and disposition of environmental
records. They shall be maintained as appropriate to the system
and the organisation to demonstrate comformance to the
requirements of the standard.
Records are evidence of the ongoing operation of the EMS and
should cover
 Details of nonconformance; incidents, complaints and
follow-up action.
 Environmental aspects and their associated impacts
 Environmental training activity

 Environment performance monitoring

data.

 Environmental communication
records & complaints.
 Legislative and regulatory requirements.
 Records of mock drills.

 Environmental audits and management

reviews.
• The records are legible, identifiable, tractable and
readily retrievable
• The records must be protected against damage ,
deterioration or loss.
• The organisation shall establish and maintain
procedure for the identification, maintenance and
disposition of environmental records. They shall be
maintained as appropriate to the system and the
organisation to demonstrate conformance to the
requirements of the standard.
4.5.4 Environmental Management System Audits
The organisation shall establish a process of auditing
and reviewing the EMS and to identify opportunities for
improvement of the system. This will in turn result in
improved environment performance.
The requirements of ISO 14001 may be objectively
audited for certificate by external recognised organisation.
Auditing of EMS is not intended to find out whether
the work is done correctly. It is simply looking to find out
whether the management system is in control or not.
 Audits of the EMS should be conducted on a periodic
basis to determine whether the system conforms to planned
arrangements and has been properly implemented and
maintained.
Audits of EMS can be carried out by organisation
qualified personnel, and/or by external parties selected by
the organisation. In any case, the person(s) conducting the
audit should be in a position to do so objectively and
impartially and should be properly trained. Audit plan,
schedule and check lists are essential for successful audits.
4.6 Management Review

The intent of Management Review is to

periodically review the performance of the EMS and
act upon the opportunities for improving
environmental performance.
The review of the EMS should include
 a review of environmental objectives,
targets and environmental performance.
 findings of EMS audits and an
evaluation of its effectiveness.
• an evaluation of the suitability of
the environmental policy and the need for
changes in the light of:
o Changing legislation
o Changing expectations and requirements
of interested parties
o Changes in the products or activities of
the organisation
o Advances in science and technology
o Lessons learned from environmental incidents
o Market preferences
o Reporting and communication.
These reviews are best carried out
with multi disciplinary participation
and results of reviews are to be
communicated all functions
responsible for the performance of
the system. The reviews should aid
for continual improvement in the
EMS and provide the required
resources.