EMS Overview - Auditor Training

Environmental Management
Systems (EMS)
and the ISO Standard -
Overview
1
WHAT IS AN ENVIRONMENTAL
MANAGEMENT SYSTEM?
The ISO 14001 Definition
• “The overall management system that
includes organizational structure, planning
activities, responsibilities, practices,
procedures, processes and resources for
developing, implementing, achieving,
reviewing and maintaining the
environmental policy.”
Plan Do Check Act
Continual Improvement
Management Environmental
Review Policy
Checking & Corrective Planning

Action
Implementation &
Control
ISO 14001
1. Scope
2. Normative references
3. Terms and Definitions
4. Environmental Management System requirements
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
Annex A Guidance on the use of the specification
Annex B Links between ISO 14001 and ISO 9001
Bibliography
4.1 General requirements
 Establish, document, implement and

continuously improve EMS in accordance
with requirements of the Standard and
determine how it fulfill its requirements
 Define and document the scope of its EMS
 How long EMS is operational?
4.1 Policy
• Defined by top management
• Includes commitment to continual improvement and pollution
prevention
• Includes commitment to compliance with legal and other
requirements
• Displayed
• Communicated internally and externally
• Awareness of policy exhibited
• Implemented at all levels
• Made available to public
4.3 Planning
Identify Determine
Environmenta Significant Develop
l Aspects and Environmental Establish
Identify
Impacts Aspects Environmenta
Activities, Objectives
l
Products and Management
and Targets
Service Determine Legal and Other Progra
s Requirements m
4.3.1 Environmental Aspects
• Identified
• Aspects reflect normal, abnormal and emergency
conditions
• Evaluated for significance
• No. of significant aspects
• Documented and kept up-to-date
• Significant aspects considered for implementing
EMS
Determining Significant
Aspects
• Significant aspects! Determined by YOU!
What is important in your situation.
– Considers likelihood, severity, frequency,
duration, boundaries, stakeholder concerns
• Significance is based on environmental
impact
4.3.2 Legal and Other
Requirements
• Establish and maintain a procedure to identify legal
requirements that apply to your facility’s aspects
• Identify other requirements to which you “subscribe”
e.g., Executive Orders, voluntary practices
• Linkages with aspects
• Considered for implementing EMS
• Preparation of Environmental Legislation Register
recommended
4.3.3 Objectives, Targets and
Progammes
• Establish and maintain documented environmental
objectives, targets and programmes
• No. of objectives, target and programmes
• Consistent with “Environmental policy” and “legal
and other requirements”
• Consider significant aspects
• Reflect financial / operational limitations
• Reflect views of “interested parties”
• Responsibility, resources and time frame specified
Management Program
• Availability of programmes to achieve
objectives and targets of relevant functions
and levels
• Describe what is to be done, what will be

measured, and what the time frame will be
4.4 Implementation and
Operation
Organization & Capabilities & Controls
Accountability Communications
Control of
documents
Competence
Training and
awareness
Operational Control
Resources, roles,
responsibility and
authority
Communication
Emergency
Preparedness and
Response
13
4.4.1 Resources, roles,
Responsibility and authority
• Roles and responsibilities defined, documented,
communicated
• Resources allocated (human, financial, technical,
organization infrastructure)
• Management identifies Management
Representative that is responsible for and has
authority for
– Establishing, implementing and maintenance of EMS
– Reporting to top management on EMS progress and
improvement
4.4.2 Competence, training
and awareness
• Establish and maintain a procedure for training relevant to
– EMS awareness and policy training
– Identification of training needs related to aspects and EMS
• Ensure skills / competence training
• Evaluation of training
• Training of contractors, suppliers
• Training calendar
• External training
• Maintenance of associated records
4.4.3 Communication
• Mode of internal communication – between
levels and functions BOTH WAYS!
• Handling of external communication
• Decision on external communication of
significant aspects and documenting its
decision
• Suggestion scheme / complaints register
4.4.4 Documentation
 Paper form or electronic form
 The environmental policy, objectives, targets and their
interaction
 Description of scope of EMS
 List of available documents including records
 Linkage with other management systems
 Master list of all documents
4.4.6 Control of documents
• Establish and maintain procedures for

controlling system documents
– Can be located - are legible, dated and
maintained
– Reviewed and revised as necessary and
approved
– Current versions are available to user /
specified locations
– Obsolete documents are removed from use and
maintained if necessary with proper
identifications
4.4.7 Operational Control
• Operations or activities related with significant
environmental aspects identified and documented
procedures available
• Operating criteria specified
• Goods and services covered by the procedure
• Suppliers and contractors appraised of the
procedures
• Procedures implemented
4.4.7 Emergency
Preparedness and Response
• Potential emergencies and accidents identified

• System for response and equipment
availability
• Disaster management plan
• Mock drill and evaluation
• Review after accident / emergency
20
4.5 Checking and Corrective
Action
Non-conformance,
Monitoring and Corrective and
Measuring Preventive Action Records
Periodic Internal EMS Audits

4.5.2 Evaluation of compliance
• Monitoring of legal and other requirements
• Evaluation of compliance to legal and other requirements
• To ensure breaches of applicable legal requirements do not
occur
– This is taken care of during routing inspections or by
internal auditing
– Audit checklists should indicate clearly that compliance
is verified
• Records of periodic evaluation of compliance
4.5.3 Non Conformity, Corrective
action and Preventive Action
• Handling & investigating actual and potential non-
conformities
• Corrective and preventive actions, who is
authorized
• Recording of results of corrective and preventive
actions taken
• Reviewing the effectiveness
4.5.4 Control of Records
• List of records and their retention periods

• Identifiable
• Traceable to the activity
• Retrievable
• Protected against damage, deterioration or loss
• Master list of records
• Disposal of records
4.5.4 Internal Audit
• Whether procedure cover planning of internal audit
• Whether audits are based on status / importance of activity/ audit plan /
schedule
• Who carries out audit?
• No of trained auditors including lead auditors
• How trained
• Whether results are recorded and communicated to auditee
• Results of audits available in the dept
• Verification of corrective actions
• Non-conformance cleared
• Results of internal audit referred to top management
4.6 Management review
 Chaired by whom
 Periodicity
 Proper agenda circulated
 Contents of the agenda
 Minutes prepared and circulated
 Commitment to continual improvement
4.6 Management Review
Take account of: To Assess the
• audit findings • suitability,
• compliance to legal and • adequacy, and
other requirements • effectiveness of the EMS
• progress in meeting objectives,
• targets and Management Prog.
• Communication i.e. complaints
• Concerns of interested parties In order to determine the need
• Environmental performance for change and improvement to:
• Status of Corrective & • the environmental policy
preventive actions • the objectives and targets
• Recommendations for • other elements of the EMS
improvement
• other relevant information
27
The Three C’s of an Effective
EMS
Conformance
Meets the requirements (Implements the “shalls”)
Consistency
Various elements inter-related (i.e., Significant aspects reflected in
emergency planning, etc.)
Continual improvement
Mechanisms are in place to improve the EMS and organizational
performance, supported by management commitment and support

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Environmental Management

Checking & Corrective Planning

 Establish, document, implement and

• Describe what is to be done, what will be

• Establish and maintain procedures for

• Potential emergencies and accidents identified

Periodic Internal EMS Audits

• List of records and their retention periods

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