ISO 14001 Overview

Charlie Parrish
charles_parrish@ncsu.edu
(919) 515-4266
 What is ISO?

• "ISO" is a word, derived from the Greek

isos, meaning "equal.”

• ISO an acronym - International

Organization for Standardization

www.p2pays.org www.iso.org
2
 ISO ….

• The ISO film speed code.

• Telephone and banking cards

• Paper sizes

• ISO metric screw threads

• ISO 9000 & ISO 14000

3
 What is ISO 14001?

• One of the Many ISO 14000 standards

• Model for implementing an EMS
• Voluntary, international standard
• Auditable standard
• Similarities with ISO 9001
• REVISED (NOV 15, 2004)

4
ISO 14000
Series of
Standards

3 main Stds:
- ISO 14001
- ISO 14004
- ISO 19011

www.iso.org
5
 What ISO 14001 is NOT !
• NOT Focused strictly on regulatory
compliance (regulatory is 1 of 3 focuses)
• NOT A process wherein you immediately
address every single potential
environmental impact
• NOT A performance standard
• NOT An occupational health and safety
standard

6
 ISO 14001 is a Model

OTHER EMS
MODELS

• EMAS - Eco-Audit and

Management Scheme
for the European Commission
• Responsible Care by American
Chemistry Council (many
companies migrating to RC-14001)
7
 http://www.ecology.or.jp/isoworld/english/analy14k.htm
8
 ISO 14001 Registrations in the USA

55 6
4
82
VT - 7 19
5 12 146
46
8 913 155
NH- 30

51 RI - 19
27
242 MA - 98
249 430
10 NJ - 100 CN - 40
28 49 96 283
23 29 DE - 23
189 100 MD - 55

150 DC -2
408 34 241
41 11 66
81 127
36
403 48 123

77

AK -10
HI -
NOTE Current North America
registrations are ~ 8,366
(USA=6,166; CAN= 1,702, MEX=
http://qsuonline.com/ 498)
9
Growth in ISO 14001 – Worldwide (1996-2003)

As of 1/2007 ~ 130,000 ISO

14001 registrations - Globally

10
List reasons for getting
registered

1. __________________________

2. __________________________

3. __________________________

4. __________________________

5. __________________________

11
Registration Mandates

• Ford - Suppliers required to be

third-party registered by 7/1/2003
• General Motors - all suppliers
implement an EMS by 12/31/2002
• DaimlerChrysler ….all suppliers …. by
12/31/2002
• Toyota - obtain 3rd party certification to
ISO 14001 by 12/31/2003
• Honda - … 2004 ...
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 List some FUNCTIONS of an EMS

1. _______________ 7. _______________

2. _______________ 8. _______________

3. _______________ 9. _______________

4. _______________ 10. ______________

5. _______________ 11. ______________

6. _______________ 12. ______________

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 P-D-C-A Model of Continual
Improvement

ACT
Continual
Improvement PLAN

CHECK

DO
14
 ACT
P-D-C-A Exercise
• ___________________ Activity: __________
• ___________________
• ___________________ PLAN
• ___________________ • ____________________
• ___________________ • ____________________
• ____________________
• ____________________
CHECK Continual
• ____________________ Improvement
• ____________________ DO
• ____________________ • ____________________
• ____________________ • ____________________
• ____________________ • ____________________
• ____________________ • ____________________
• ____________________ • ____________________
• ____________________
• ____________________ 15
 ISO 14001 - 2004
4.1 General

4.6 Management
Review
4.5 Checking
4.5.1 Monitoring and Measurement
4.5.2 Evaluation of Compliance
4.5.3 Nonconformity, Corrective
Action and Preventive Action
4.5.4 Control of Records
4.5.5 Internal Audits
Red = Identifying Env. Issues
Blue = Managing Env Issues
4.2 Environmental
Continual Policy
Improvement
4.3 Planning
4.3.1 Environmental Aspects
4.3.2 Legal/Other Requirements
4.3.3 Objectives, Targets and
Programs
4.4 Implementation & Operation
4.4.1 Resources, Roles, Responsibility & Authority
4.4.2 Competence, Training & Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Control of Documents
4.4.6 Operational Control
4.4.7 Emergency Preparedness/Response 16
 Planning Elements

4.1 General

4.2 Environmental Policy

4.3 Planning
4.3.1 Environmental Aspects
4.3.2 Legal/Other Requirements
4.3.3 Objectives, Targets and Programs

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 4.1 General Requirements

Define the scope of your EMS (what is

covered)
ƒ Locations
ƒ Exclusions

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4.2 The Three Pillars (commitments) of
Your Environmental Policy:

• Compliance
• Prevention of Pollution, or “P2”
• Continual Improvement

Company Policy Statement

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Policy Slogans
 Policy Slogans

OUR ENVIRONMENTAL STATEMENT

Respect for the Environment

Reduce energy use

Eliminate wastes and emissions
Survey our processes
Plan for the future
Evaluate options
Comply with all laws and regulations
Treasure our employees, community and environment
4.3.1 Environmental Aspects

s e
Environmental Aspect: u
Ca
• Element of an organization’s activities,
products, and services (A/P/S) that can
interact with the environment ( Waste
Stream)

c t
Environmental Impact: ffe
E
• Any change to the environment, whether
adverse or beneficial, wholly or partially
resulting from an organization’s activities,
products, or services (A/P/S) -
22
 Environmental Aspects & Impacts
Air Emissions Energy Use
Air Pollution Fossil Fuel Depletion

Packaging Metal Chips

Land Fill Space Minerals Depletion

Stormwater
Water Pollution
Transportation
Air Pollution Wastewater
Water Pollution 23
 Column 1 Column 2 Column 3
Type Description Type Description Type Description
• Delivery Truck • Damages flora/fauna • oily rags storage and

Choose if Operation
• Depletion of water
resources
• Generating noise
handling
• solvent emissions

its an • Using propane in

forklifts
• Bio-waste disposal
• Boiler combustion

• Paint booth over-

• water pollution

• store/handle
spray hazardous waste
Aspect (A) • excessive noise in
community
• vehicle washing • CFC emissions

• Conservation of • chemical spillls • increasing the river

or Impact available landfill space

• used tires disposal • store solid waste
water temperature
• discharging waste
water to the storm

(I) • aluminum cans

storage
• lawn care
sewer
• office cleaning

• using styrofoam • forests depletion • used batteries

packaging peanuts disposal
• air conditioning • paint booth emissions • VOC emissions

• facility electricity • use of solvents • asbestos removal

usage
• depletion of metal • soil pollution • chemicals &
Remember: An Impact ore
• waste water effluent • oil leaks
pesticide use
• detergent use
has to include: discharge
• ozone layer • erosion of hillside • PCB disposal
1. which resource destruction
• operating a fossil fuel • waste water • trash disposal
(i.e. water) fired boiler
• generating metal
discharges
• heavy metals • community
2. type of change to scrap
• endanger human
disposal
• depletion of arabian
degredation
• water usage in the
health oil plant
that resource (i.e. • end of product life • indoor air quaity • employee exposure
(disposal method) degredation
pollution) • paper usage • used antifreeze • degrading facility
disposal appearance
• used filters disposal • freon 12 loss • beautifying the
community
• disposal of oil • storage of oil and • sanitary sewer
gasoline discharge
• landscaping • water depletion • Depletion of 24
available landfill space
 Significant Aspects
4.3.1
Environmental
Aspects

Severity Probability Legal Business

of Impact of Impact Issues Objectives

NOTE: Other Criteria can

be used as well SIGNIFICANCE
25
 4.3.1 Identifying Significant
Environmental Aspects

Numerical Score
Stakeholders's
Legal Issues
Environmental

Probability

Significant
Concerns
Activity Aspect

Business
Concers
Severity
Impact

Aspect
Boiler Air Air Pollution - Re
Operation Emissions NOx 2 4 5 4 5 20 Y Em
Fuel Natural Resource
Consumption Depletion 2 3 3 2 1 11 N
Re
Boiler Water Bl
Blowdown Water Pollution 3 4 3 4 4 18 Y W

Water Natural Resource

Consumption Depletion 2 2 3 3 1 11 N

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 Identifying and Evaluating
Environmental Aspects/Impacts
Identify
Determine Impact
Environmental
to Environment
Aspect
You decide this.
Aspect is No
Therefore Yes Is Impact
Significant Significant?

Stop
Establish Targets & Objectives via (Record)
Environmental Management Programs
and Operational Controls

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4.3.2 Legal and Other requirements
• Identify Requirements
• Have access to them
• Determine how they apply to its aspects

• Write a Level 2 Procedure covering this

process

NOTE : DOES NOT HAVE TO

BE LISTED FOR EACH ASPECT

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 Example Legal Requirements

Legal Req’t Code Aspect

Hazardous Waste 40 CFR 261 Haz Waste
Management Disposal
Air Quality Permit 15A NCAC Air Emissions
2Q.0100
Storm Water 15A NCAC Stormwater
Exclusion 2H.0126 Run-off
Municipal Thomasville Wastewater
Wastewater Code Discharges
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 Other Legal Requirements
Legal Req’t Code Aspect
Corporate Company Web Could be
Environ. Policy Site several
Customer Customer Letter Could be
Manadate for ISO several
Pallet Nemotode Geographical Shipping
Treatment Request Letter
Customer Customer Letter Raw
Prohibition of Material
Toxics Usage
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 ISO 14001 Req’ts for Legal Issues
4.2 Environmental Demonstrate a Commitment
Policy to Compliance
Identify You Legal and
4.3.2 Legal & Other
Other Requirements

4.3.2 Legal & Other Have Access to the Code

4.3.2 Legal & Other Determine How They Apply

4.3.3 Objectives When establishing O & T,

& Targets shall consider L & O
4.5.2 Compliance
Determine Compliance
Evaluation
4.6 Management Updates (developments) in
Review Legal Req’ts 31
Legal and other - it can cost you ?
• After discovering non compliances – you
are obligated to correct them OR it’s a
willful violation ($$$$)
• Need to generate records to demonstrate
compliance ($$)
• i.e., Refrigerants for HVAC. If adding
refrigerant, need follow-up visit from
maintenance vendor – to verify no leaks
occur

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 4.3.3 Objectives,
Targets & Programs
Objectives: Overall
Goals

Targets: Detailed
performance requirement that helps you achieve
the objective.

Programs: Due Date, responsible party and

Detailed Plan (means)

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 Example Environmental Management
Program
Revision
Project Plan Title: Noise Minimization 2/20/2003
Date:
Significant (S) / Legal
Activity/ Product or Service Aspect Impact(s):
(L) / Emergency (E)

Maint. Work Area Noise (from Compressor) Environmental Noise S/L

Objective: Decrease noise to below 80 dBA

Responsibility Date
Target(s) Date Due
Employee Title Completed
1 Build wall around work area. Roy Maintenance Jun-03

2 Purchase low noise compressors. Roy Maintenance Aug-03

Responsibility Date
Task # Other Tasks - Description Date Due
Employee Title Completed

1-1 Qet Quote on Wall

1-2 Select Vendor, Get apporved and Award Bid

1-3 Build Wall

1-4

2-1 Qet Quote on Compressors

2-2 Select Vendor, Get apporved and Award Bid
2-3 Install Compressors

2-4 Investigate replacing all other "High Noise" Compressors

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 Implementation Elements

4.4 Implementation
4.4.1 Resources, Roles, Responsibility &
Authority
4.4.2 Competence, Training & Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Control of Documents
4.4.6 Operational Control
4.4.7 Emergency Preparedness/Response
35
 4.4.1 Roles, Roles, Responsibilities
and Authorities
• Roles, responsibilities, and authorities must be
• defined , documented, communicated
• Management must provide essential resources:
• People, skills , technologies, infrastructure, & money
• A Management Representative(s) must be
designated (appointed
by top management)
• MR must report on EMS
and make recommend-
ations for improvement to
Top Management
36
 Roles & Responsibility Matrix – An
Example

Title
Plant Manager
Environmental Manager (MR)
Production Supervisors
Waste Disposal Operators
Waste Treatment Operators
General Maintenance
Materials Manager
Human Resource Manager
Receptionist/Administration
Responsibilities
Establish overall direction, maintain Environmental
Policy
Maintain Environmental Policy, monitor overall EMS
performance, ensure EMS conformance
Develop objectives, targets and programs;
implement programs
Collect and handle waste within the plant
Operate the wastewater treatment plant
Perform maintenance on production and waste
handling and treatment equipment
Track and control incoming chemical supplies
Establish and maintain environmental training
program; maintain training records
Logs environmental communication from
interested parties and directs to appropriate responder
37
4.4.2 Competency, Awareness &
Training
• Demonstrate Competency around significant
Aspects
• Tests (CHMM, PE, etc)
• Supervisor Sign-offs (Work Instructions, etc)
• Certifications (Fork Lift Training)
• Identify Training Needs
• Conduct Trainings (Training records)
• ISO 14001 Awareness
• Emergency Evacuations
• SPCC/ Stormwater, etc.
38
Example Training Needs Table

39
 4.3.3 Communication

•Develop procedure for

•Internal communication
•External communication
•Decide on communicating significant
aspects externally

40
 4.4.4 Documentation
No Manual is required, But
… You need a description
of the main elements …

EMS Top Level Document (Main Elements

Manual

Procedures EMS Procedures (Aspects, Training, etc

Waste Disposal, Permit

Work
Instructions Compliance, etc

Records Evidence of what you did ( reports,

(manifests, list of aspects, etc)
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Identifying Environmental Aspects *
Legal & Other Requirements ISO 14001 - Level
Setting Objectives, Targets, Programs 2 Procedures
*
Environmental Training
Environmental Communication
Document Control
Operational Controls
Contractor Management
Emergency Response Planning
Monitoring & Measuring
Compliance Evaluation
Required
Corrective & Preventive Action
Environmental Records Recommended
Internal EMS Audit
Red Add to 9000
EMS Management Review
Procedure
42
4.4.5 Document Control
Documents must be:

• approved and authorized

• periodically reviewed and revised
• have changes identified
• current versions are available
• obsolete documents identified or removed
• External Documents – distribution controlled

43
 4.4.6 Operational Control
Identify those operations and
activities associated with
significant environmental
aspects that need work
instructions
i.e.,
• Haz Waste Storage
• Boiler Operation
• Paint Booth Maintenance
• Storm Water Sampling
• Air Permit
• Etc.

44
Operational Controls – Contractors
and Suppliers
Include activities associated with significant
aspects of goods and services used by the
organization;

• relevant procedures must be

communicated to suppliers and
contractors

45
 c)…. Examples Requirements
to Communicate
Grounds keeping No pesticides allowed

Air Conditioning/ Service technicians must show

Chiller servicing proper certification to handle
Freon
On-site Contractors must follow our
Construction facility’s liquid waste disposal
procedures
Shipping (trucking, All Shipper’s must check in with
transportation, bulk the Shipping/Receiving Dept. for
delivery, labeling) instruction on our bulk chemical
unloading procedures 46
Operational Controls Form

47
 Emergency Preparedness

• ID potential emergencies
and develop response
plans

• Include plans for

mitigating “environmental
impacts”

• Test emergency plans

(fire drills)

48
 Example of List of Potential
Emergencies
Potential Emergency
# Emergencies or Potential Impact Response Plan
Accidents to be Used

1 Floods Water Pollution from vehicles and machines EWI-001

2 Hurricanes Loss of Human Life EWI-001

3 Tornadoes Loss of Human Life EWI-001

4 Fire Air Pollution, Loss of Human Life EWI-002

Chemical Spills-
5 small
Employee Exposure (irritants mostly) EWI-003
Chemical Spills-
6 large
Employee exposure, Water Pollution EW-003
Waste Water Tote
7 Spills
Soil / Ground Water Contamination. EWI-004

49
 Checking Elements
4.5 Checking

4.5.1 Monitoring and Measurement

4.5.2 Evaluation of Compliance
4.5.3 Nonconformity, Corrective Action and
Preventive Action
4.5.4 Control of Records
4.5.5 Internal Audits

50
 Summary – What needs Monitoring?

• monitoring related to significant aspects

(key characteristics)
• criteria listed in operational controls
• progress & conformance with objectives
and targets
• monitoring required by regulations
• Others

“You can’t manage it if you don’t measure it” 51

 Summary – What needs Calibrating?

• Only where data accuracy warrants it

• On equipment which the manual recommends
periodic calibration
• Examples:
Scales pH meter
Air/water flow meter Thermometer
Natural gas meter Electric meter
CO meter O2 meter

52
 4.5.1 Monitoring and Measurement

Examples

Objective Target Operational Performance

Control Monitoring
---------------------------------------------------------------------------------------------
Maintain compliance < 200 lbs Air Scrubber Monitor & record
with EPA Air Permit hex chrome daily air flow rate
per week and calculate
emissions
-------------------------------------------------------------------------------------------------------------------
Reduce hex < 150 lbs Perform routine Record maintenance
chrome emissions per week and preventive activities in log
maintenance on book
air scrubber
-------------------------------------------------------------------------------------------------------------------
Maintain compliance < 1 mg/L Zinc Wastewater Monitor & record
with City Wastewater average Treatment daily zinc
Permit monthly conc. equipment concentrations
-------------------------------------------------------------------------------------------------------
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Monitoring Calendar ???

54
 4.5.2 – Evaluation of Compliance -
------ The 2nd Audit Program ------

• With Legal Environmental Requirements

• With Other Requirements (customer

Environmental Requirements)

NOTE: No real guidance on frequency of

compliance audits

55
Example Compliance Audit Report

56
 Other Checking Elements

• 4.5.3 Nonconformity, Corrective Action and

Preventive Action
• 4.5.4 Control of Records
• 4.5.5 Internal Audits

57
4.5.3.2 – Nonconformity, Corrective &
Preventive Action

• Mitigate environmental impacts (immediacy)

• Determine causes
• Correcting actual nonconformities
• Preventing potential nonconformities

This may require:

• New or Modified EMS Procedures

58
4.5.4 – Records

Keep them

59
4.5.5 – Internal Audit

To Determine if EMS meets:

• ISO 14001
• EMS Procedures
• Policy & Objectives

NEED:
• Audit Schedule
• Audit Procedure
• Trained Auditors (typically) 60
4.6 – Management Review
• Involve Top Management
• Determine if EMS is
• Continuingly Suitable
• Adequate
• Effective
• Determine if OH&SMS needs to be
CHANGED
NEED:
- Management Review Schedule
- Documented Minutes
61
4.6 – Management Review - Agenda

• Audit results
• Compliance Evaluations
• External Communications (complaints)
• EMS Performance (Sig Aspects)
• Objectives Status
• CARs and PARs Status
• Follow-up Actions from Previous MRs
• Changing Circumstances (esp Legal
Reqt's)
• Recommendations for Improvements (Man
Rep)
62
 Which 3 ISO 14001 elements identify
what environmental issues will be
managed?

1. ___________________________________

2. ___________________________________

3. ___________________________________

63
 Which ISO 14001 elements manage
significant aspects?

• _________________

•_________________

•_________________

64
What performance results will you be
held accountable for?

• _________________________________

•__________________________________

•__________________________________

•__________________________________

•__________________________________

65
 ISO 14001 EMS Development &
Steps to Registration

Continual Improvement

Surveillance Audits
Registration Audit

Doc Audit & PreAssessment

Conduct Corrective Actions & MRs

Internal Auditing
Training – Awareness, Auditors, SOPs
Develop EMS (aspects, procedures, etc.) 66
 ISO 14001 vs ISO 9001
25 to 40% ?
ISO 14001 ISO 9001
• Environmental Policy • Quality Policy
• Training/Awareness • Training
• Document Control • Document/Data Control
• Monitoring/Measuring • Inspection/Test/Control
• Nonconformance/C.A. • Control/Noncon. Product
• Records • Control of Quality Rec.
• EMS Audit • Internal Quality Audits
• Management Review • Management Review
67
 DENR Strongly Supports
the use of EMS

DENR will seek to encourage

the implementation of effective
EMS.

DENR will educate its

customers and DENR
employees.

DENR will explore incentives

that promote the adoption of
EMSs to achieve performance

http://www.p2pays.org/ref/03/02256.pdf

68
NC DENR / DPPEA’s
EMS Award

http://www.p2pays.org/esi/index.htm
69
 EPA Strongly Supports the use of EMS
Through Its Performance Track Initiative

Because ... implementation of an

(EMS) requires a commitment to
compliance, periodic EMS and
compliance audits, and an annual
certification of compliance - EPA will
grant Performance Track facilities a -
Low Priority Status for Routine
inspections

Criteria for Performance Track Co.’s

•Environmental Management System
•Continuous Improvement
•Community Outreach
•Sustained Compliance
•Annual Performance Reporting

http://www.epa.gov/performancetrack/
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