Basics of ISO 14001

The Basics of ISO 14001

Environmental Management Systems – Requirements with Guidance for Use

Copyright ©2008 Lorne Duquette Distributed by The 14000 Store


This brief tutorial will cover:

• What is ISO 14001?• Why become ISO 14001 Registered?• Requirements of the Standard• Implementation Steps • Tools to help you achieve certification


What is ISO 14001?

• It is an Environmental Management System (EMS) that uses a continual improvement approach in achieving and demonstrating sound environmental performance.

• The goal is for organizations to control the impacts that their activities, products and services have on the environment.

• ISO 14000 is the standard, and ISO 14001 is the document containing the requirements.


Why become ISO 14001 registered?

• Organizations are becoming increasingly concerned in achieving & demonstrating sound environmental performance, often delivering cost savings.

• Marketing Tool: Shows customers, shareholders, vendors, etc. that you are a “Good Corporate Citizen”

“It is Everyone’s Job to Protect the Environment”

“Protect the land, the air, and the water by

preventing or reducing pollution”

Overview of the Requirementsof the ISO 14001 Standard

Plan – Do – Check - Act

Copyright ©2008 Lorne Duquette Distributed by 14000 Store


Requirements: General

• The organization must develop an effective system that meets the requirements of the Standard.

• Document, implement and maintain the system.• The EMS documents need to be controlled.• Follow a Plan-Do-Check-Act approach.

– Plan - Establish the objectives and processes needed to deliver the results (in line with the EMS).

– Do - Implement the needed processes of the EMS.– Check - Check the processes against the policy, objectives,

targets, regulations, and report on the results. (Auditing)– Act - Take actions that will continually improve the EMS.


Requirements (Plan): Management

• Top Management must be committed to and involved in the design and implementation of the EMS.

• They will write the Environmental Policy and be responsible for making sure it is communicated and implemented.

• Many specific responsibilities are assigned to Top Management to ensure their input and participation.

• After implementation Management will conduct management review to ensure continued effectiveness of the system.


Requirements (Plan): Resources

• The EMS must clarify what resources, human and physical are required to create safe products and operations.

• During development of the system you will determine how to ensure competent personnel, identify training that is required, and identify the infrastructure and work environment required


Requirements (Plan): Form EMS

• Your organization will need to plan all of the processes that go into making your product to ensure safe conditions.

• You will need to state of scope of the EMS and clearly identify the products and define the locations or sites that are part of the EMS.


Requirements (Do):Environmental Review

• An initial environmental review will be needed.(see Tutorial: ISO 14001 Initial Environmental Review)

• An assessment of environmental aspects and their Impacts will have to be performed.

• Regulatory, legal and other requirements will need to be identified.

http://www.14000store.com/initialenvironmentalreview.html


Requirements (Do): Create EMS

• Environmental programs with targets and objectives will need to be established, implemented and evaluated on an ongoing basis.

• Emergency preparedness procedures will be required to address potential accidents and emergencies.


Requirements (Do): Create EMS

• Measuring and monitoring of product and process characteristics that can have an impact on the environment will be required.- Measuring and monitoring equipment will need to be

controlled and calibrated.

- A process will be needed for the Environmental Safety

Team to evaluate compliance to legal and other

requirements.


Requirements (Check):Control Nonconformities

• Establish and document a system for controlling nonconformities.– When specified product and process limits are

exceeded potentially unsafe conditions must be identified, assessed, controlled and dispositioned appropriately.

– Identify corrections and corrective actions to mitigate environmental impacts and to eliminate the nonconformity and its cause.


Requirements (Check): Audit System and Control Records

• Establish the internal audit process. - Train auditors, and plan internal audits to establish an

audit program that will determine if the EMS is effective

and up to date.

• Control the records associated with the EMS.

• Conduct regular management reviews to ensure effectiveness of the EMS.


Requirements (Act): Improve your EMS

• Continually improve the EMS through the use of:– Management reviews– Internal audits– Corrective actions– Analysis of data / results– Update the EMS

ISO 14001 Implementation Steps

ISO 14001:

Environmental Management Systems

Copyright ©2008 Lorne Duquette Distributed by 14000 Store


Implementation Timeline

• You will need to develop an implementation plan that covers:– Education on the contents of the standard– Determine your position with regards to the

environment and the requirements of ISO 14001 – Analyze the shortcomings and close the gaps. – A timeline of the implementation steps based on the

gap analysis– Time to run the Environmental Management System,

collect records and make improvements before your registration audit.


Implementation Timeline

ISO DEVELO PM ENT WO RKSHO P T ASKS 1 2 3 4-5 6-7 8-9 10-11 12 13 14 15 16

A. Preparation Phase -from T asks 1-13

1. De scribe your orga niza tion

. De cide on ISO m a na ge m e nt syste m

. S e le ct ISO M a na ge m e nt Re p + Com m itte e

7. Conduct Environm e nta l Te a m m e e tings

. Form ula te Qua lity Policy / Obje ctive s

. S ta te S cope of QM S

13. Assign im prove m e nt a ctions

B. Deve lopment Phase -from T asks 14-23

14. P rovide ISO tra ining - Ex e rcise A-E

. P e rform e nvironm e nta l a sse ssm e nt

. Ide ntify le ga l a nd othe r re quire m e nts

. Ide ntify e nvironm e nta l progra m s

. M a na ge im ple m e nta tion proje ct

. Colle ct e x isting docum e nts

. Do fina ncia l study - Costs vs Be ne fits

. Re confirm IS O de cision

23. P rom ote & pra ctice te a m w ork

C. Implementation Phase -re f T asks 24-28

24. Obta in / Re vie w EM S M ode l/Te m pla te

. Dra ft EM S docum e nta tion - use M ode l

Approve Qua lity M a nua l

Approve P roce dure s & Instructions

. Im ple m e nt P roce dure s & Instructions

. Tra in a uditors & conduct Inte rna l Audit T ra in Au d it

28. Pe rform m a na ge m e nt re vie w

D. Registration Phase -from T asks 29-30

29. Se le ct a re gistra r

P e rform docum e nta tion re vie w

P e rform fina l Re gistra tion a udit

30. Re ce ive IS O ce rtifica te / CELEBRATE !!

Significant Dates Jan -09 Feb M ar Ap-M ay Ju-Jul Au-Sep O c-Nov Dec 09 Jan 10 Feb M ar Ap r2010

T ask 19 - ISO 14001:2004 EM S T IM ING CHART for :________________________________________ ISO REP: _______________________


Implementation: Conduct the Environmental Gap Analysis

1. You must determine your position with regards to the environment:– Are there GAPS that need to be bridged? – What are they and where are they located?– How can they be improved?– Who will be taking corrective / preventive actions?

2. Your environmental position needs to be analyzed so that the GAPS can be bridged / closed.


Implementation: Conduct the Environmental Gap Analysis

3. Conduct a Gap Analysis – Complete a series of assessments in the following order:– Perform Initial Environmental Review– Perform Environmental Assessment – Aspects/Impacts– Identify Legal and Other Requirements– Identify Environmental programs with objectives and targets

4. Based on the results of the assessments, implement Improvement actions.


Implementation: Form a Team

• Appoint a Management Representative

- This individual will be the ISO project manager.

• Assign a Environmental Safety Team– This team will be active in the design and development of the

EMS and participate in the on going operation of the system.

• Assign a Management Team - This team will be providing the direction and guidance for the

development and implementation of the EMS.



• The Management Team will act as a steering team for the project, assigning responsibilities, providing resources and coordinating the project.

– The Management Team can assign task teams to work on specific processes that must be designed and documented for the EMS.



• Each task team will evaluate the current process that they are assigned to and the requirements of the standard.

– A new or modified process will be developed, documented and submitted to the Management Team for review and approval.


Implementation: Execute your plan

• After the task teams have designed and documented a new or modified process, it must be implemented.

• Train all employees that are involved in the process

• When the required processes have been implemented, start your internal audit program and management review meetings.


Implementation: Audit

• Use information / results from internal audits and management review to make improvements to the EMS.

• Run your system long enough to generate records for the Registrar to audit.

• Make sure all employees are trained on ISO 14001

• Have a Registrar conduct your Registration Audit.


Tools to help your implementation:

• The ISO 14001 Workbook – This is a series of 30 detailed checklists, exercises

and instructions that take you through 30 systematic tasks for your organization to consider and complete.

• EMS Manual, Procedures and Forms.– Move your project along with our professionally

designed documentation. – This package provides Microsoft Word templates to

use as a foundation for your EMS. – Customize this Environmental Manual including

procedures, forms, and tables to save time and ensure an efficient, effective system.

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Basics of ISO 14001

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