Environmental Management Systems - ISO 14001

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  • I introduce the term “PDCA” here I often use the term “activities, products, and services” here and reference the standard’s use of these terms
  • I typically read this whole slide – very important
  • Risk assessment – similar to environmental aspects. Should address routine and non-routine activities. Methodology should be proactive. S – specific M- measurable A – achievable R – relevant T – time based
  • Proactive – interviews, done on a routine basis, independent of any event Reactive – in response to event Print and handout Leading Indicators File CA – system to handle, investigate (procedures and root cause analysis), and mitigate acc, incidents and non-conformances Audit – need to know where you’re going.
  • This does not mean signing off a document saying he/she reviewed it. Means actual documented involvement with walkthroughs and employee interviews. Actual verification that the system functions as intended.
  • Pre-assessment - It is a risk-free, dry run before the main assessment and provides a number of benefits: test your management system with an assessor in a relaxed atmosphere. Identify areas that may still require some work, and enables you to plan a realistic time-scale for full assessment. 1 st Phase - At this time, a "site tour" will be conducted, an examination of the environmental/health & safety aspects/effects legislative requirements review takes place a review of the policy statement, specific objectives, targets, internal audits and management review. 2 nd Phase - carried out in accordance with the assessment programme to establish the effectiveness of the management systems compliance with the requirements of the Standards. sampling the Management System and policy requirements review any corrective actions from the Stage 1 the approval outcome is made. Periodic reviews - A typical programme for the surveillance activities will include: review internal audit and management review reports review outstanding observations and improvement notes review corrective and preventive action systems including customer complaints review system changes and the effectiveness of their implementation review use of Registrar and accreditation logos
  • 39 below the line system elements well addressed
  • There’s nothing more tragic than the murder of a beautiful theory by a gang of brutal facts
  • Auditing paper is good, but value comes in providing strategies to change behavior and improve performance
  • Every company has a management system… (don’t tell mgmt to go and buy one) the idea is to improve it. Cultural change, management commitment, employee involvement, etc. You need to get from A to B, you can do it by bicycle, Yugo, or Ferrari (This is your MS) make sure you’re headed in the right direction (strategy) and that you’re moving at the right speed (goals) A Ferrari at low speed (top system without right goals) will not get you anywhere. A bicycle at at higher speed may be better. Set your system by using the right strategy and setting SMART goals, and your OHS program will prosper. Those who don’t have their programs end in stagnation.
  • Environmental Management Systems - ISO 14001

    1. 1. Environmental Management Systems - ISO 14001 Environmental Management Systems - ISO 14001 Professor Hector R Rodriguez School of Business Mount Ida College
    2. 2. <ul><li>Society </li></ul><ul><ul><li>The Corporation and Its Stakeholders </li></ul></ul><ul><ul><li>People for the Ethical Treatment of Animals </li></ul></ul><ul><ul><li>Corporate Citizenship </li></ul></ul><ul><ul><li>The Social Responsibility of Business </li></ul></ul><ul><ul><li>The Shareholder Primacy Norm </li></ul></ul><ul><ul><li>CSR, Citizenship and Sustainability Reporting </li></ul></ul><ul><ul><li>Responsible Investing </li></ul></ul><ul><ul><li>The Community and the Corporation </li></ul></ul><ul><ul><li>Taxation and Corporate Citizenship </li></ul></ul><ul><ul><li>Corporate Philanthropy Programs </li></ul></ul><ul><ul><li>Employees and the Corporation </li></ul></ul><ul><ul><li>Managing a Diverse Workforce </li></ul></ul><ul><li>Environment </li></ul><ul><ul><li>A Balanced Look at Climate Change </li></ul></ul><ul><ul><li>Non-anthropogenic Causes of Climate Change </li></ul></ul><ul><ul><li>Sulfates, Urban Warming and Permafrost </li></ul></ul><ul><ul><li>Conventional Energy </li></ul></ul><ul><ul><li>The Kyoto Protocol </li></ul></ul><ul><ul><li>Green Building </li></ul></ul><ul><ul><li>Green Information Technology </li></ul></ul><ul><ul><li>Transportation, Electric Vehicles and the Environment </li></ul></ul><ul><ul><li>Geo-Engineering </li></ul></ul><ul><ul><li>Carbon Capture and Storage </li></ul></ul><ul><ul><li>Renewable Energy </li></ul></ul><ul><ul><li>Solid, Toxic and Hazardous Waste </li></ul></ul><ul><ul><li>Forests, Paper and Carbon Sinks </li></ul></ul><ul><ul><li>Life Cycle Analysis </li></ul></ul><ul><ul><li>Green Chemistry </li></ul></ul><ul><ul><li>Water Use and Management </li></ul></ul><ul><ul><li>Water Pollution </li></ul></ul><ul><ul><li>Environmental Management Systems </li></ul></ul>Course Map – Topics Covered in Course
    3. 3. <ul><li>Systematic way of managing an organization’s environmental affairs </li></ul><ul><li>Based on Plan-Do-Check-Act Model (PDCA) </li></ul><ul><li>Focused on Continual Improvement of system </li></ul>What is an EMS? <ul><li>Addresses immediate and long-term impact of an organization’s products, services and processes on the environment. </li></ul><ul><li>A tool to improve environmental performance </li></ul>
    4. 4. <ul><li>Created by the International Organization of Standardization, a non-governmental organization (NGO) established in 1947, located in Switzerland </li></ul><ul><li>ISO is a worldwide federation of national standards bodies from over 100 countries; American National Standards Institute (ANSI) is US representative </li></ul><ul><ul><li>They have created many standards: ISO 9000, film speeds </li></ul></ul><ul><li>A series of guidance documents and standards to help organizations address environmental issues. Ones below deal with EMS. </li></ul><ul><ul><li>14001: Environmental Management Systems </li></ul></ul><ul><ul><li>14004: EMS general guidelines </li></ul></ul><ul><ul><li>14012: Auditing - Qualification criteria </li></ul></ul>ISO 14000: A series of standards
    5. 5. <ul><li>ISO 14001 is the only certification standard </li></ul><ul><li>Registration body examines EMS for conformity to the ISO 14001 standard </li></ul><ul><li>Not a compliance audit, an EMS audit </li></ul><ul><li>Facility awarded registration </li></ul><ul><li>Does NOT mean that products are more environmentally friendly </li></ul><ul><li>Does mean have a documented EMS that is fully implemented and consistently followed </li></ul>Becoming ISO 14001 certified
    6. 6. <ul><li>Policy Statement </li></ul><ul><li>Identification of Significant Environmental Aspects and Impacts </li></ul><ul><li>Development of Objectives and Targets </li></ul><ul><li>Implementation Plan to Meet Objectives and Targets </li></ul><ul><li>Training </li></ul><ul><li>Management Review </li></ul><ul><li>How you meet the elements is up to you </li></ul>ISO 14001 Key Elements
    7. 7. <ul><li>Appropriate to nature and scale of risks </li></ul><ul><li>Continuous improvement </li></ul><ul><li>Documented and implemented </li></ul><ul><li>Communicated and understood by employees </li></ul><ul><li>Reviewed periodically to ensure relevance </li></ul><ul><li>States objectives </li></ul><ul><li>Commitment to compliance </li></ul><ul><li>Available to interested parties </li></ul>Environmental Policy Statement
    8. 8. <ul><li>The heart of the system </li></ul><ul><li>Every element involves a degree of planning before implementation </li></ul><ul><li>Involves identifying environmental gaps and setting clear performance criteria defining what, who, and when </li></ul><ul><li>Environmental aspects </li></ul><ul><ul><li>should be the basis of the EMS </li></ul></ul><ul><ul><li>ranking of aspects with plans to manage them </li></ul></ul><ul><li>Legal and other requirements </li></ul><ul><li>Set SMART objectives </li></ul>Planning
    9. 9. <ul><li>Structure and responsibility </li></ul><ul><ul><li>Top management, defined roles, responsibility and authority </li></ul></ul><ul><li>Training awareness and competence </li></ul><ul><ul><li>Identification of required competencies, timely, records, means to check effectiveness, training for contractors </li></ul></ul><ul><li>Consultation and communication </li></ul><ul><ul><li>Procedures for communication, employee involvement, encourage feedback, outside communication </li></ul></ul><ul><li>Documentation </li></ul><ul><ul><li>Assembles and retains environmental knowledge, kept to minimum. Support system, not drive it. </li></ul></ul><ul><li>Records Management </li></ul><ul><ul><li>Identification, maintenance and disposal of records (legible, identifiable, traceable, protected) </li></ul></ul><ul><li>Operational controls </li></ul><ul><ul><li>Procurement and contracting, hazmats, PM’s </li></ul></ul><ul><li>Emergency preparedness and response </li></ul><ul><ul><li>Identifying potential for incidents, preventing and mitigating, responding. </li></ul></ul>Implementation and Operation
    10. 10. <ul><li>Measuring – provides evidence of implementation and effectiveness. Plans implemented? Objectives met? </li></ul><ul><li>Quantitative and qualitative measures – checklists, surveys, audits, etc. </li></ul><ul><li>Proactive and reactive metrics </li></ul><ul><li>Corrective Actions – identify root causes and take immediate action </li></ul>Checking and Corrective Action <ul><li>Audit – Determines if EMS conforms, properly implemented and maintained, effective in meeting policy and objectives. Top management aware. </li></ul>
    11. 11. <ul><li>Ensures MS continuing suitability adequacy and effectiveness </li></ul><ul><li>Foundation for continuous improvement </li></ul><ul><li>Significant issues addressed </li></ul><ul><li>Set goals and objectives </li></ul><ul><li>Identifies resources and organizational structure </li></ul>Management Review
    12. 12. <ul><li>Conduct 3 rd party assessment to verify implementation </li></ul><ul><li>Registrar submits proposal </li></ul><ul><li>Auditee submits formal application </li></ul><ul><li>Optional pre-assessment by Registrar </li></ul><ul><li>Audits </li></ul><ul><ul><li>1 st phase (1-3 days) – aspect identification and assessment, setting of objectives, policies and programs </li></ul></ul><ul><ul><li>2 nd phase (3-7 days) – implementation assessment </li></ul></ul><ul><li>Certification granted </li></ul><ul><li>Periodic reviews (every 6 months-year) </li></ul><ul><li>Recertification every 3 years </li></ul>Part II - Certification Process
    13. 13. Average standard deviations from mean 1. System 2. Policy (4.2) 3. Responsibility (4.4.1) 4. Verification (4.5.1) 5. Representative (4.4.1) 6. Training (4.4.2) 7. Contractors (4.4.6. c) 8. Communications (4.4.3) 9. Aspects (4.3.1) 10. Legal (4.3.2) 11. Objectives (4.3.3) 12. Programme (4.3.4) 13. Manual (4.4.4) 14. Documentation (4.4.5) 15. Operations (4.4.6) 16. Control (4.4.6) 17. Emergencies (4.4.7) 18. Corrective Action (4.5) 19. Records (4.5.3) 20. Audit (4.5.4) 21. Audit Programme (4.5.4) 22. Audit Procedure (4.5.4) 23. Review (4.6) More Difficulties Fewer Difficulties Key Implementation Issues
    14. 14. <ul><li>Benefits </li></ul><ul><ul><li>More reliable performance and compliance </li></ul></ul><ul><ul><li>Document reporting requirements more efficiently </li></ul></ul><ul><ul><li>Better procedures resulting in less incidents </li></ul></ul><ul><ul><li>Better response to incidents </li></ul></ul><ul><ul><li>Easier to identify opportunities to improve performance, resulting in lower cost and less liability </li></ul></ul><ul><ul><li>Less risk to surrounding community </li></ul></ul><ul><ul><li>Means not only doing the right thing, but be seen doing the right thing </li></ul></ul><ul><ul><li>Helps you demonstrate your responsibility to employees, clients, stakeholders and society </li></ul></ul>Part III – Business Value
    15. 15. <ul><li>University of North Carolina (1/03) studied 83 facilities in 17 states for 3 years </li></ul><ul><ul><li>Introduction of an EMS can be expected to be somewhat beneficial to the environmental performance of most facilities </li></ul></ul><ul><ul><li>The existence or certification of an EMS per se does not necessarily provide any clear information about the facility’s actual environmental performance </li></ul></ul><ul><li>EMS Study by the Environmental Agency in Bristol, England </li></ul><ul><ul><li>EMS associated with an increased level of operator performance </li></ul></ul><ul><ul><li>Restricted to procedural aspects of performance </li></ul></ul><ul><ul><li>Sites neither more nor less likely to suffer from incidents, complaints or non-compliance than those without </li></ul></ul><ul><ul><li>Sites neither more nor less likely to be subject to enforcement action </li></ul></ul>Management Systems Studies
    16. 16. <ul><li>Management systems teams get mired in paperwork </li></ul><ul><li>Goal may be to implement system, not to improve performance </li></ul><ul><li>“ All’s well because we’re certified” </li></ul><ul><li>Focus on continuous improvement, not on performance vs benchmarks </li></ul>Pitfalls to Avoid
    17. 17. <ul><li>ISO 14001 is not a thing you install, it’s just a protocol you can use to evaluate your management system. </li></ul><ul><li>It may give you guidance on how to improve your management system </li></ul><ul><li>The key is to: </li></ul><ul><ul><li>Improve your management system by… </li></ul></ul><ul><ul><li>Developing the correct strategy, and… </li></ul></ul><ul><ul><li>Setting appropriate goals </li></ul></ul>Conclusion

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