The document discusses the key elements of an Environmental Management System (EMS) based on ISO 14001 standards. It explains that an EMS establishes procedures to identify environmental impacts, set objectives and targets, implement operational controls, monitor progress, and conduct management reviews to ensure continual improvement. The document provides details on each element, including developing an environmental policy, planning actions to address impacts and compliance, implementing controls, checking performance, and reviewing the system.

1. Environmental Management
Systems
ISO 14001
Dr. Johan van Rooyen

2. EMS
A system put into place that keeps things
running smoothly

3. WHY DO WE NEED
ENVIRONMENTAL
STANDARDS?

4. A FEW WAYS THE USA ADMINISTRATION HAS
CHANGED ENVIRONMENTAL POLICIES
1. U.S. pulls out of Paris Climate Agreement (June 2017)
2. Trump (Environmental Protection Agency)EPA poised to scrap clean power plan.
“War on coal” (October 2017)
3. EPA loosens regulations on toxic air pollution
4. Rescinding methane-flaring rules
5. Trump announces plan to weaken Obama-era fuel economy rules (August 2018)
6. Trump revokes flood standards accounting for sea-level rise

5. WHY ENVIRONMENTAL
STANDARDS?
…to "promote a harmonious and balanced development
of economic activities, sustainable and non-inflationary
growth respecting the environment… the raising of stan
dards of living and quality of life" (EMAS).
…to support environmental protection and prevention
of pollution in balance with socio-economic needs (IS
O 14001)

6. ISO 14001 STANDARDS
 Voluntary
 Set up the by industry: countries can adapted into their legislation
 Is aimed to improve processes not performance itself
 Key aspect is that of continual improvement
 Doesn’t require the publication of an environmental statement
 Provides the company with a guideline on how to manage
environmental aspects
 Requires management commitments and involvement from all
employees

7. ISO
 ISO develops International Standards but does not operate any
schemes for assessing conformity with them.
What ISO is not?
 ISO is not an auditor, assessor, registrar, or certifier of
management systems, products, services, materials or
personnel, nor does it endorse or control any such activities perf
ormed by other parties.
 750 certification bodies worldwide

9. WHAT DOES THE ISO 14000
COVER?

10. ENVIRONMENTAL MANAGEMENT
SYSTEM (EMS)
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

11. ENVIRONMENTAL
POLICY The environmental policy
describes the organization’s over
all approach and intentions.
 Is the Keystone upon which the
entire EMS is constructed.
 NOT A PUBLIC
RELATIONS DOCUMENT
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

12. POLICY
REQUIREMENTSTo meet ISO 14001 requirements, the policy must:
1. Be appropriate to the nature, scale, and environmental impacts of the
organization activities and goods produced.
2. Include a commitment to continual improvement and prevention of
pollution.
3. Include a commitment to relevant legal requirements.
4. Provide a framework for setting and reviewing environmental
objectives and targets.
5. Be documented, implemented and maintained, and communicated to
all employees (also contractors)
6. Be available to the public.

13. POLICY STATEMENT
 Organization must be able to demonstrate that it is
fully aware of all relevant environmental issues and t
heir potential impact and importance.
 No list is appropriate to all organizations; each
establishes methods/measures relevant to its operati
ons.

14. POLICY STATEMENT
 Provides a framework for setting environmental
objectives
 Objectives are specific and defined goals that need to be
achieved in order to meet the requirements of the
Environmental Policy.
 Every action, requirement, procedure, etc. contained
within the EMS must have its roots in the Environmental
Policy Statement.

15. POLICY STATEMENT
 Commitment to continual improvement
 “Process of enhancing the environmental management
system to achieve improvements in overall environmental
performance in line with the organization's environmenta
l policy.“
 Ties together the Environmental Policy Statement and
Management Review elements of ISO 14001.
 Requires the EMS be reviewed and evaluated at a set frequency
for changed aspects and impacts (yearly is generally acceptable).

16. POLICY STATEMENT
 Commitment to Compliance with Laws, Regulations, and Requirements
 Identify applicable laws & regulations
 Determine compliance
 Develop action plan to correct noncompliance
 Establish a system to maintain compliance
 Organization does not need to be in full compliance in order to conform
with 14001
 Continued pattern of noncompliance may need to nonconformance
with ISO 14001.

17. POLICY STATEMENT
 Documentation and Communication
 Executive level manager must sign the Policy Statement and
maintained based on Document Control (4.4.5) proceedures.
 All employees must understand and recognize the commitments
and relate their job functions with the Policy.
 Policy must be communicated with the public.

18. PLANNI
NG Environmental Aspects.
 Legal and Other Requirements.
 Objectives and Targets.
 Environmental Management
Program
 Dynamic
 Integrated
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

19. PLANNING
Identify
activities,
products
and
services
Identify
environmental
aspects and
impacts
Determine
priority
environmental
aspects
Determine legal and other
requirements
Establish
objectives
and
targets
Develop
Environmental
Management
Program

20. ACTIVITIES, PRODUCTS AND
SERVICES
 This is where is described what the facility
does
Consider mission – what ‘facility’ is designed to do
e.g. fast delivery of documents/packages
Consider activities that support the mission
e.g. vehicle maintenance
Consider actions that are both regulated and not
regulated
e.g. commuting to work

21. ASPECTS AND IMPACTS
 Identify environmental aspects of activities products and
services that can be controlled and over which can be
expected to have an influence”
Aspects: Element of an organization's activities,
products or services that can interact with the
environment.
Impacts: Any change to the environment, whether
adverse or beneficial, wholly or partially resulting from
an organization's activities, products or services

24. ASPECTS AND IMPACTS
 Content Requirements of Environmental Aspects
 understand how organization interacts with the environment
 control versus influence
 arrive at a list of significant environmental aspects based upon
impacts
 develop a procedure to support the four step decision making
process

27. DETERMINE SIGNIFICANT
ASPECTS
 The process of arriving at a list of Significant Environmental
Aspects must be a reasonable and understandable procedure be
based upon the following criteria:
1. perceived risk(human health vs. ecosystem);
2. impact analysis (internal, local, regional, global);
3. probability of occurrence
4. direct or indirect control;
5. regulated or non-regulated;
6. resource utilization;
7. community interest.
 Consider normal, unique, and emergency conditions
 Where do opportunities exist for improvement?

28. LEGAL AND OTHER
REQUIREMENTS
 Identify legal requirements that apply to a facility’s activities – use audit
guides or protocols
 Identify other requirements that apply including corporate policies,
Executive Orders (public organizations), facility initiatives or voluntary pra
ctices
 ISO 14001 does not require documentation for the Legal and Other
Requirements section (4.3.2). However, the only practical way to demonstra
te conformance is to assemble in one place a list and copies of each applicab
le environmental law, regulation and voluntary subscription along with the
supporting permits and/or contracts as evidence.

29. OBJECTIVES AND TARGETS
 Consider “legal and other requirements”
 Consider significant aspects
 Reflect corporate policies
 Reflect financial and technical limitations
 Reflect “interested parties”
 Reflect policy commitment and commitment to
pollution prevention
 Consider how you will measure progress

30. OBJECTIVES AND TARGETS
 Objectives are the “Goals” that support the “Vision” contained in the
Environmental Policy Statement.

31. ISO 14001 SPECIFICATIONS FOR
OBJECTIVES AND TARGETS
 The ISO 14001 Standard stipulates several criteria that must be considered when establishing environmental objectives.
Specifically:
 Environmental policy commitments to continual improvement, prevention of pollution, and compliance with legal and other
requirements.
 Concentration on controlling significant environmental aspects – the activities, products, and services with the highest
environmental impacts – since reducing their significance (i.e., the risks associated with them) automatically lowers their
impacts.
 Taking consideration of technological options and financial, operational, and business requirements means that
environmental objectives and targets must be practical in terms of being technologically achievable, within the limits of
available budget constraints, and consistent with operational and business strategies.
 In other words, objectives and targets must be realistic and attainable, not mere dreams or wish lists.
 The views of interested parties. Any individual, group, agency, or community that may be affected by or have a stake in the
operations of the facility implementing the EMS. This can be a long list, including:
 National, regional/provincial, local government officials
 Local community representatives
 Public interest groups and other stakeholders (The views of interested parties are also helpful when an organization
makes a decision regarding communication of its environmental aspects).

32. ENVIRONMENTAL MANAGEMENT
PROGRAMS
An EMP is an action plan specifying:
How objectives and targets will be accomplished
Who is responsible for achieving them
Who will manage and supervise the activities
Who will carry out the work
What they will do
What resources are needed (e.g., people, skills, equipment, time,
money)
When the tasks will be completed (i.e., a schedule)

33. ISO 14001 PLANNING SEQUENCE
ENVIRONMENTAL
POLICY
Guiding
Light
ENVIRONMENTAL
ASPECTS
Problem
Definition
LEGAL AND
OTHER
REQUIREMENTS
Obligations
OBJECTIVES
AND TARGETS
Goal
Setting
ENVIRONMENTAL
MANAGEMENT
PROGRAMS
Means of
Achieving
Goals

34. IMPLEMENTATION AND
OPERATION This phase includes 7
elements:
 Resources, Roles,
Responsibilities and Authority
 Competence, Training and
Awareness
 Communication
 Documentation
 Controls of documents
 Operational control
 Emergency Preparedness and
Response
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

35. IMPLEMENTATION AND
OPERATION
Structure and
Responsibility
Training,
Awareness and
Competence
Document Control
EMS Documentation
Emergency
preparedness and
response
Communication
Operational Control
Organization &
Accountability
Capabilities &
Communications
Controls

36. STRUCTURE AND
RESPONSIBILITY
 Roles and responsibilities are defined, documented,
communicated
 Management will provide resources for implementation of
the system
 Identifies Management Representative (s)
 In charge
 Report to top management

37. R.A.C.I.
 Responsible
 Accountable
 Consult
 Inform

39. TRAINING, AWARENESS AND
COMPETENCE
 Ensure training and awareness relevant to
 EMS - including policy
 relationship between employees’ activities and
environmental impacts
 Ensure competence training to
 regulatory requirements
 standard operating procedures

40. COMMUNICATION
 Ensure internal communication
 External communication of significant environmental
impacts is optional, however this decision shall be do
cumented
 Provide process for responding to external
communication

41. DOCUMENTATION AND
DOCUMENT CONTROL
 Procedures for controlling documents
can be located - are legible, dated and maintained
reviewed and revised as necessary and approved
current versions are available to practitioner
obsolete documents are removed from use

42. DOCUMENTATION
 Under ISO 14001, documentation refers to all written material
concerning the EMS
 Documents include policies, procedures, manuals, plans,
diagrams, flowcharts, correspondence, memoranda related to t
he EMS
 Records are documents, but under ISO 14001 are
distinguished from documentation:
 Documentation concerns what should happen
 Records contain information on what has happened

43. MUST DOCUMENT
4.2 ENVIRONMENTAL POLICY
4.3.3 Environmental objectives and targets
4.4.1 Roles, responsibilities, and authority for EMS
4.4.3 Communications from external interested parties
4.4.4 EMS core elements
4.4.6 Procedures essential for operational control
4.5.1 Monitoring and measurement of key operations that have potential
significant impacts
4.5.1 Compliance with laws and regulations
4.5.3 Records
4.6 MANAGEMENT REVIEW

44. GOOD IDEA TO DOCUMENT
4.3.1 Environmental aspects and impacts inventory
4.3.2 Significant environmental aspects
4.3.3 Registry of legislation and regulations
4.3.4 Environmental management programs - action plans to achieve
objectives and targets
4.4.2 Training needs results, and training plans
4.4.7 Emergency response plan
4.5.2 Corrective and preventive actions
4.5.5 EMS audit results

45. WHAT ARE OPERATIONAL
CONTROLS?
 Means by which an organization prevents
pollution from operations, e.g.:
 Pollution control equipment such as scrubbers, filters,
precipitators, clarifiers, biological and chemical treatment,
etc.
 Alarms for gas, pH, conductance, tank level, etc.
 Preventive maintenance practices
 Operating procedures

46. METHODS OF OPERATIONAL
CONTROL
 Process controls:
 electronic
 mechanical
 monitoring
 observation
 Operating procedures:
 verbal
 documented

47. WHAT IS A PROCEDURE?
 An activity carried out according to specified
instructions
 Combination of responsibilities, authority,
resources, instructions needed to consistently perf
orm an activity
 A procedure may be documented (i.e., written),
but the document is NOT the procedure

48. RESPONSIBILITIES OF
CONTRACTORS AND SUPPLIERS
 The organization is responsible for informing contractors
and suppliers about operating procedures relating to their g
oods and services
 Contractors must comply with all EMS requirements when
on site
 Suppliers may be required to meet specified environmental
standards in their own facilities

49. EMERGENCY PREPAREDNESS AND
RESPONSE
 Procedures to address accidents and emergencies
 prevent and mitigate environmental impacts
 review and revise after emergency or accident
 test where appropriate

50. CHECKI
NG 5 elements:
 Monitoring and Measurement.
 Evaluation of compliance
 Non-Conformance and Corrective
and Preventive Actions.
 Control of Records
 EMS Internal Audit.
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

51. CHECKING
RecordsOngoing
Monitoring and
Measuring
Periodic Internal EMS Audits
Non-conformance,
Corrective and
Preventive Action
Periodic Evaluations of compliance

52. MONITORING AND MEASURING
 Procedures to monitor and measure activities related
to significant aspects
 Root cause analysis
 Audits
 Track performance, operational control and objectives and
targets
 Maintain and calibrate monitoring equipment

54. EVALUATION OF COMPLIANCE
 Periodically evaluate compliance with applicable
legal requirements
 Also evaluate compliance with other requirements
the company subscribes
 Keep records of such evaluations

55. NONCONFORMITY, CORRECTIVE
AND PREVENTIVE ACTION
 Identify cause of nonconformity
 Develop corrective action and implement it
 Modify procedures if necessary to prevent recurrence
 Define responsibility and authority to address non-
conformance

56. CONTROL OF RECORDS
 Procedures for identification, maintenance
and disposition of environmental records
Legible and traceable to the activity, product or
service involved

57. INTERNAL EMS AUDITS
 Periodically audit to determine if the EMS
 is being properly implemented and maintained, and
 conforms to the standard
 Provide audit information to management

58. MANAGEMENT
REVIEW
Policy
Audits
Corrective and Preventive
Action Systems.
Environmental Objectives and
Targets.
Policy
Management
Review
Implementation
and Operation
Checking and
Corrective Action
Planning

59. MANAGEMENT REVIEW PROCESS
Need to consider:
• audit findings
• progress records on objectives
• changes to facilities
• changes in activities,
products or services
• changes in technology
• concerns of interested parties
• other relevant information
To Assess the
• suitability,
• adequacy, and
• effectiveness of the EMS
In order to determine the need
for change and improvement to:
• the environmental policy
• the objectives and targets
• other elements of the EMS

60. SUMMARY
 An EMS is a formal system for managing the environmental footprint
of organizations
 Most organizations already have several EMS elements in place - the
system relationship is lacking
 An EMS must serve the mission of the organization
 The EMS and related measurement tools are just that- tools. Alone,
they will not guarantee success.
 The organization must use the tools, not just have them.
 Success comes from being committed to continual improvement for
the long term