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D 17

ISO 14 001 readiness

Goal 1 Scope and steps 2 Standards and definitions

2.1 Standards 2.2 Definitions

3 Process approach 3.1 Process

3.1.1 Management process 3.1.2 Realization process 3.1.3 Support process

3.2 Process mapping 3.3 Process approach

4 Requirements 4.1 General requirements 4.2 Environmental policy 4.3 Planning

4.3.1 Environmental aspects 4.3.2 Legal and other requirements 4.3.3 Objectives, targets and programmes

4.4 Implementation 4.4.1 Resources, roles, responsibility and authority 4.4.2 Competence, training and awareness 4.4.3 Communication 4.4.4 Documentation 4.4.5 Control of documents 4.4.6 Operational control 4.4.7 Emergency situations and response 4.5 Checking 4.5.1 Monitoring and measurement 4.5.2 Evaluation of compliance 4.5.3 Nonconformity, corrective and preventive actions 4.5.4 Control of records 4.5.5 Internal audit 4.6 Management review Annexes

Goal of the module: Readiness for implementation, certification, maintenance and improvement of your environmental management system in order to:

increase satisfaction of interested parties control environmental aspects and impacts meet legal and regulatory requirements

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1 Scope and steps

The ISO 14 001 standard (Environmental management systems – Requirements with guidance for use) is generic as it can be applied to the management system of any organization, without limitations about size, activity or type. The scope of the environmental

management system (EMS) is determined and a record is retained.

The ISO 14001 standard does not contain requirements relating to hygiene, health and safety. ISO comes from the Greek "isos" (equal).

This is a voluntary international standard that allows the certification by an accredited organization.

For this it is sufficient that the environmental management system (EMS) be:

determined

implemented

maintained

improved and

compliant with o developed environmental policy o requirements of the ISO 14 001 standard

Environmental commitment is an awareness facing the magnitude of the harmful impacts of modern industry. The first laws on environmental protection have emerged in the 70s of last century.

The purpose of an environmental management system is sustainable development, which will benefit all.

A well-prepared approach is half successful

The approach to implementing an environmental management system goes through several steps. An example of preparation is shown in Figure 1-1.

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Figure 1-1. EMS preparation

Step one contains the determination of the needs and expectations (requirements) of interested parties (internal and external). The involvement of top management at its highest level is truly indispensable. The advice of a consultant is often solicited. A status of the management system (or what exists of it) would be welcome at this stage. An external certification body is chosen.

One of the key questions which comes up quickly (step 2) is the need for this decision. If this is really unnecessary or if the estimated costs of the certification approach exceed the available resources, it is better to give up the idea right now.

The benefits of implementing an environmental management system are often:

improved image of the company one step ahead of the competition enhanced environmental protection save money (prevention of pollution, risks and incidents) increased stakeholder confidence anticipation of sustainable development staff is aware, consulted, motivated and proud improved working conditions best practices valorised reduced energy consumption commitment profitable for all better preparedness for emergencies legal requirements updated formalization of knowledge process control

The benefits of the certification of an environmental management system are often:

new customers increased market share

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increase in sales better financial performance

More than one and a half million businesses worldwide can not be wrong!

The internalization of the spirit of the principles and requirements of an ISO standard significantly improves the overall performance of your business, especially when it is not considered as a constraint.

The third step shall determine whether this approach receives the approval of the staff. A communication campaign is launched in-house on the objectives of an environmental management system (EMS). The staff is aware and understands that without their participation the project cannot succeed.

Have confidence, success will come with the involvement and effort of all!

The vision (what we want to be), the mission (why we exist) and the business plan of the organization are set. The next step (4) begins with a preliminary analysis of legal and regulatory requirements and continues with the establishment of an outline of the environmental policy and environmental objectives. If you do not have a copy of the ISO 14 001 standard, now is the time to get it (cf. sub-clause 2.1 of the present course). You can find the full requirements of ISO 14001 (clause 4) on the site of the Official Journal of the European Union, Regulation No. 1221/2009, annex II, pages 24-33.

Planning is the last step (5) of the project preparation for obtaining ISO 14 001 certification. A reasonable period is between 6 to 12 months (each organization is unique and specific). A management representative is appointed project leader. Top management commitment is formalized in a document communicated to all staff.

The establishment and implementation of an ISO 14 001 environmental management system are shown in figure 1-2.

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Figure 1-2. EMS implementation

Step 1 aims to identify and determine the objectives, targets and environmental programmes. The outline of the environmental manual is written down (the manual is not mandatory).

In step 2 the resources to achieve the environmental objectives are set. Planning tasks, responsibilities and time frames are established. Internal staff and subcontractors are aware of significant environmental impacts. Training of internal auditors is taken into account.

Step 3 allows you to establish early versions of procedures, documents and records related to the environmental management system with the participation of the maximum number of available persons.

Operational control happens in step 4. The activities associated with identified significant environmental aspects, are planned and implemented. Internal and external communications are established and formalized.

Emergency situations with potential impacts on the environment are listed in step 5. The responses (action and reaction) to emergencies are put in place and documented.

To conduct the pre-audit of the EMS (step 6) documents such the environmental manual, procedures and others are checked and approved by the competent authorities. A management review allows evaluating whether applicable requirements are met. The environmental policy and objectives are finalized. An environmental manager from another company or a consultant can provide valuable feedback, suggestions and recommendations.

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When the system is accurately implemented and followed, the certification of the EMS by an external body is a breeze, a formality (step 7).

An appropriate method for evaluating the performance of your environmental management system is the RADAR logic model of excellence EFQM (European Foundation for Quality Management) with its 9 criteria and overall score of 1000 points.

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2 Standards and definitions

2.1 Standards

The 2004 edition of the ISO 14001 standard ("Environmental management systems - Requirements with guidance for use") differs from the first version (1996) by:

improved compatibility with ISO 9001 greater clarity greater emphasis given to continual improvement strengthening the evaluation of compliance (legal and regulatory) further simplification of documentation

As seen in annex B of ISO 14001: Correspondence between ISO 14001: 2004 and ISO 9001: 2000 and annex A of ISO 9001: Correspondence between ISO 9001: 2008 and ISO 14001: 2004 there are many similarities in form and content. This shows that a company that developed one of the two standards can easily implement the second.

Another demonstration of the close relationship between the two management system standards is ISO 19 011 (2011): "Guidelines for auditing management systems."

ISO 14004: 2010 "Environmental management systems - General guidelines on principles, systems and technical implementation" contains many explanations, practical tips and examples.

The standard ISO 14031: 2013 "Environmental Management - Environmental performance evaluation - Guidelines" shows how to set up and use of environmental performance evaluation (EPE) and the analysis of the life cycle to find improvement points. With the help of indicators can be evaluated its commitment to meet legal and regulatory requirements, to control pollution prevention and implement continuous improvement.

All these standards and many more can be ordered in electronic or paper format on the ISO site. More than 28 000 standards (in English and other languages) are available on the Public.Resource.Org site.

The process approach is one of the basic principles of ISO 14001. The PDCA (Plan, Do, Check, Act) applies to any process with an environmental aspect or impact as shown in the Deming cycle:

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Figure 2-1. Deming cycle for continual improvement

Plan: prepare the environmental policy, objectives, targets and programmes, identify and analyse aspects (ISO 14001, § 4.2 and § 4.3)

Do: develop, implement processes, procedures, training, prevention, response to emergencies (ISO 14001, § 4.4)

Check: compare, inspect, verify, measure the level of objectives, conduct audits (ISO 14001, § 4.5)

Act: improve the performance of the EMS, adjust, adapt, management review, corrective and preventive actions (ISO 14001, § 4.6)

For more information on the Deming cycle and his 14 points of management theory you can consult the classic book "Out of the crisis" W. Edwards Deming, MIT press, 2000.

2.2 Definitions

The beginning of wisdom is calling things by their proper names. Chinese proverb

Some terms and definitions used in relation with the EMS:

Conformity: fulfilment of a specified requirement Corrective action: action to eliminate the causes of nonconformity or any other undesirable event and to prevent their recurrence Effectiveness: capacity to realize planned activities with minimum efforts Efficiency: financial relationship between achieved results and used resources Environment: space in which any organization functions Environmental aspect: every element of an organization that interacts with the environment Environmental impact: every change in the environment caused by an organization Environmental management system (EMS): set of processes allowing the achievement of the environmental objectives Environmental objective: environment related, measurable goal that must be achieved Environmental target: value of a parameter, associated with an environmental objective, allowing the objective measure of its effectiveness

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Interested party: person or group that can affect or be affected by an organization Management system: set of processes allowing objectives to be achieved Nonconformity: non-fulfilment of a specified requirement Organization: structure that satisfies a need Preventive action: action to eliminate the potential causes of nonconformity or any other undesirable event and to prevent their appearance Process: activities which transform inputs into outputs Product (or service): every result of a process or activity In the terminology of management systems do not confuse:

accident and incident o an accident is an unexpected serious event o an incident is an event which can lead to an accident

anomaly, defect, dysfunction, failure, nonconformity, reject and waste o anomaly is a deviation from what is expected o defect is the non-fulfilment of a requirement related to an intended use o dysfunction is a degraded function which can lead to a failure o failure is when a function has become unfit o nonconformity is the non-fulfilment of a requirement in production o reject is a nonconforming product which will be destroyed o waste is when there are added costs but no value

audit, inspection, auditee and auditor o an audit is the process of obtaining audit evidence o an inspection is the verification of the conformity of a process or product o an auditee is the one who is audited o an auditor is the one who conducts the audit

audit programme and plan o an audit programme is the annual planning of the audits o an audit plan is the description of the audit activities

calibration and gauging o calibration is the verification of a value found related to a standard (troy weight) o gauging is the positioning of reference marks

control and optimization o control is the achievement of an objective o optimization is the search for the best possible results

customer, subcontractor and supplier o a customer receives a product o a subcontractor provides a service or a product on which a specific work is

done o a supplier provides a product

effectiveness and efficiency o effectiveness is the level of achievement of planned results o efficiency is the ratio between results and resources

follow-up and review o follow-up is the verification of the obtained results of an action o review is the analysis of the effectiveness in achieving objectives

inform and communicate o to inform is to give someone meaningful data o to communicate is to pass on a message, to listen to the reaction and discuss

objective, target and indicator o an objective is a sought after commitment o a target is specified objective

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o an indicator is the information on the difference between the pre-set objective and the achieved result

organization and enterprise, society, company o organization is the term used by the ISO 9001 standard as the entity between

the supplier and the customer o enterprise, society, company are examples of organizations

process, procedure, product, activity and task o a process is how we satisfy the customer using people to achieve the

objectives o a procedure is the description of how to conform to the rules o a product is the result of a process o an activity is a set of tasks o a task is a sequence of simple operations

Remark 1: the use of ISO 14 001 definitions is recommended. The most important thing is to determine for everyone in the organization a common and unequivocal vocabulary.

Remark 2: the customer can be also the user, the beneficiary, the trigger, the ordering party, the consumer.

Annex 05 specifies the frequency of use of certain keywords contained in the ISO 14 001 standard.

For other definitions, comments, explanations and interpretations which you don’t find in this module and in annex 06 you can consult:

ISO 9000: 2005 - Quality management systems. Fundamentals and vocabulary, (ISO, 2005)

Introduction and support package: Guidance on the Terminology used in ISO 9001 and ISO 9004 (Document ISO/TC 176/SC 2/N 526R2, 2008)

Quality management system – Indicators and synoptical tables (FD X50 - 171, ISO, 2000)

Books for further reading on environmental systems:

Joseph Cascio et al, ISO 14000 Guide: The New International Environmental Management Standards, McGraw Hill, 1996

Philip Stapleton, Margaret Glover, EMS: An Implementation Guide for Small and Medium-Sized Organizations, USEPA, 1996

Gregory Johnson, The ISO 14000 EMS Audit Handbook, St Lucie, 1997

John Kinsella, Annette McCully, Handbook for Implementing an ISO14001 Environmental Management System, Shaw Environmental, 1999

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A. J. Edwards, ISO 14001 Environmental Certification Step by Step, Elsevier, 2004

Ken Whitelaw, ISO 14001 Environmental Systems Handbook, Elsevier, 2004

Syed Imtiaz Haider, Environmental Management System ISO 14001: 2004: Handbook of Transition with CD-ROM, CRC Press, 2010

When I think of all the books still left for me to read, I am certain of further

happiness. Jules Renard

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3 Process approach

3.1 Process

The word process comes from the Latin root procedere = go, development, progress (Pro = forward, cedere = go). Each process transforms inputs in outputs creating added value and potential nuisances. A process has three basic elements: inputs, activities, outputs. A process can be very complex (launch a rocket) and relatively simple (audit a product). A process is:

repeatable foreseeable measurable definable dependent on its context responsible for its suppliers

A process is determined among others by its:

title and type purpose (why?) beneficiary (for whom?) scope and activities initiators documents and records inputs outputs (intentional and not intentional) constraints people material resources objectives and indicators person in charge (owner) and actors (participants) means of inspection (monitoring, measurement) mapping interaction with other processes risks and potential deviations opportunities for continual improvement

A process review is conducted periodically by the process owner.

The components of a process are shown in figure 3-1:

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Figure 3-1. Components of a process

Figure 3-2 shows an example that helps to answer some questions:

which materials, which documents, which tools? (inputs) which title, which activities, requirements, constraints? (process) which products, which documents? (outputs) how, which inspections? (methods) what is the level of performance? (indicators) who, with which competences? (people) with what, which machines, which equipment? (material resources)

Figure 3-2. Some elements of a process

Often the output of a process is the input of the next process.

You can find some examples of process sheets in the document pack D 02.

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Any organization (company) can be considered as a macro process, with its purpose, its inputs (customer needs and expectations) and its outputs (products/services to meet customer requirements).

Our preference is to identify a process using a verb (buy, produce, sell) instead of a noun (purchases, production, sales) to differentiate the process from the company's department or procedure and recall the purpose of the process.

The processes are (as we shall see in the following paragraphs) of management, realization and support type. Do not attach too much importance to process categorizing (sometimes it's very relative) but ensure that all the company's activities fall at least into one process.

3.1.1 Management processes

Management processes are also known as piloting, decision, key or major processes. They are part of the overall organization, elaboration of the policy, deployment of the objectives and all required checks. They are the glue of all the realization and support processes.

The following processes can be part of this family:

develop strategy develop policy manage risks deploy objectives plan the EMS acquire and manage resources establish process ownership identify environmental aspects and impacts conduct management review conduct an audit communicate improve measure satisfaction of interested parties

3.1.2 Realization processes

The realization (operational) processes are related to the product, increase the added value and contribute directly to customer satisfaction. They are mainly:

design and develop purchase produce sell inspect (verify) manage waste maintain equipment receive, store and deliver control nonconformities implement preventive and corrective actions prevent emergencies

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3.1.3 Support processes

The support processes provide the resources necessary for the proper functioning of all other processes. They are not directly related to a contribution of the product's added value, but are still essential.

The support processes are often:

control documentation perform environmental analyses acquire and maintain infrastructure provide training manage inspection means provide information keep the legal watch up to date keep accountability manage staff

3.2 Process mapping

The process mapping is par excellence a multidisciplinary work. This is not a formal requirement of the ISO 14 001 standard but is always welcome.

The 3 types of processes and some interactions are shown in figure 3-3:

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Figure 3-3. Process house

Examples of interested parties: investors, customers, employees, suppliers, society.

The mapping among other things lets you:

obtain a global vision of the organization identify the beneficiaries (customers), flows and interactions define rules (simple) for communication between processes

In the resulting output do not underestimate the unwanted products such as waste, nuisances, rejects.

To obtain a clearer picture you can simplify by using a total of about fifteen core processes. A core process can have several sub-processes, for example a process "develop the EMS" can contain:

develop strategy set policy manage risks

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plan the EMS deploy objectives acquire resources establish process ownership improve

Two other process examples (design, figure 3-4 and produce figure 3-5):

Figure 3-4. Design process

Figure 3-5. Produce process

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3.3 Process approach

Simple solutions for now, perfection for later

The process approach contributes enormously to the efficient management of the organization.

Process approach: management by the processes to better satisfy customers, improve the effectiveness of all processes and increase global efficiency

The process approach included during development, implementation and continual improvement of an environmental management system allows one to achieve objectives that are related to satisfaction of interested parties as is shown in figure 3-6.

Figure 3-6. Model of an EMS based on process approach and continual improvement

Process approach:

emphasizes the importance of: o understanding and complying with customer requirements o prevention so as to react to unwanted elements such as:

incidents accidents nuisances waste rejects

o measuring process performance, effectiveness and efficiency o permanently improving objectives based on pertinent measurements o process added value

relies on: o methodical identification

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o interactions o the sequence and o process management which consist of:

determining objectives and their indicators directing related activities analysing obtained results permanently undertaking improvements

allows one to: o better view inputs and outputs and their relationship o clarify roles and responsibilities o judiciously assign necessary resources o break down barriers between departments o decrease costs, delays, wastes

and ensures in the long run: o control o monitoring and o continual improvement of processes

Process approach is not:

crisis management ("You will not solve the problems by addressing the effects") blaming people ("Poor quality is the result of poor management." Masaaki Imai) priority to investments ("Use your brain, not your money." Taiichi Ohno)

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4 EMS requirements

4.1 General requirements (Requirements 1 to 7)

In the simplified diagram in figure 4-1 you can see the purpose of an environmental management system ISO 14001:

Figure 4-1. Purpose of an ISO 14 001 EMS

The requirements of the ISO 14 001 standard, in clause 4, are shown in figure 4-2:

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Figure 4-2. ISO 14 001 requirements

The company top management puts in place an environmental management system (which meets the requirements of ISO 14001) in order to improve its environmental performance. For this:

an environmental diagnosis is performed the scope of the EMS is established environmental policy is developed environmental aspects are identified significant environmental impacts are determined legal and other requirements are identified environmental objectives and targets are set a programme allows implementing the policy and achieving objectives and targets EMS activities ensure compliance with environmental policy potential emergency situations are evaluated

Records are maintained (cf. sub-clause 4.5.4)

Requirement: explicit or implicit need or expectation Environmental performance: measurable results of the environmental management system

Good practices

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top management regularly monitors the environmental objectives, targets and

programmes

commitments of top management regarding the prevention and continual improvement

are widely distributed

EMS is integrated with the quality management system without redundancies

Bad practices

the scope of the EMS is not clearly set the EMS is not up to date (new processes not identified) process owner not formalized

4.2 Environmental policy (Requirements 8 to 18)

Top management at its highest level develops the environmental policy (cf. figure 4-3) which:

matches the purpose of the company includes a commitment to:

o continual improvement o prevention of pollution o meet legal and other requirements

provides the framework for setting environmental objectives and targets

is documented is implemented is updated is communicated and understood at all levels by all is publicly available

Figure 4-3. Develop policy process

Environmental policy: statement by top management allowing the determination of environmental objectives

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Continual improvement: permanent process allowing the improvement of the global performance of the organization

The continual improvement process is established and relies among other things on:

stable processes internal audit results analysis of data establishing new improvement objectives search and justification of solutions implementation of solutions and measurement of results improvement verification, validation and approval standardization of changes when objectives are met

Good practices

environmental policy matches the available resources and associated objectives methods of internal and external communication are presented in the environmental

manual needs and expectations of interested parties are established through on-site meetings,

surveys, round tables and meetings (monthly or frequent) the declaration of commitment of the director is shown at a few key locations

Bad practices

the environmental policy is not updated the environmental policy is undated the environmental policy is not signed by the director the objective of reducing waste, displayed in the business plan, is not included in the

environmental policy tracks on pollution prevention are missing in the environmental policy the environmental policy is not posted outside the office of the director top management commitment does not contain objectives some objectives are not measurable no objectives of continual improvement in the environmental policy communication of environmental policy to interested parties is not determined in any

document