Agenda 1. What Does the Standard Require? • What does the ISO 14001:2004 standard require? • What does the ISO 14001:2015 standard require? 2. Examples of Methods to Meet the Standard 3. Value of Minimizing Documenation • When Improvements are Made? • When Internally Auditing? Presenter: Debra M. Hay Hampton, P.E., C.Q.E., C.P.T, CMC, Lead Auditor - QMS and EMS Principal Auditor - OHSAS

1. Minimizing the documents
Needed for an
Environmental
Management System
Prepared by Debra M Hay Hampton,
C.Q.E., P.E., Certified Lead Auditor EMS
On behalf of PECB
www.CE-Q.com

2. Documentation Requirements of
14001:2004
 Policy (4.2 and 4.4.4a.)
 Objectives and targets (4.3.3 and 4.4.4.a)
 Aspects (4.3.1 and 4.4.4.c)
 Roles, Responsibilities and Authorities (4.4.1)
 Communication from external interested parties (4.4.3.b.)
 Document decision to communicate externally significant environmental aspects (4.4.3.)
 Scope of the environmental management system (4.4.4
 Description of the main elements of the environmental management system and their
interaction and reference to related documents (4.4.4.c)
 Documents including records determined by the organization to be necessary to ensure the
effective planning, operation and control of processes that relate to its significant
environmental aspects (4.4.4.d)
 Documented procedure to control situations where their absence could lead to deviation from
the environmental policy, objectives and targets; (4.4.4.e)
 Document information to monitor performance, applicable operational controls and
conformity with the organizations environmental objectives and targets (4.5.1)

3. Required Records
 Training records (4.4.2)
 Records of calibration and verification of monitoring and measurement
equipment (4.5.1)
 Results of periodic evaluations of compliance and other requirements to
which it subscribes (4.5.2)
 Results of corrective actions and preventive actions (4.5.3)
 Internal Audit (4.5.5)
 Management review (4.6)

4. 2015 Version Requirements:
Documented Information
 Scope
 Policy
 Sufficient documentation to the extent necessary to have confidence the process has been carried out as planned.
 Documented information of its criteria used to determine its significant aspects, their impacts, and the significant aspects chosen
 Document compliance obligations
 Documented information of the risk associated with threats and opportunities that need to be addressed
 Document the objectives
 Document information as evidence of competence
 Documented information as evidence of it’s communications
 Evidence monitoring, measuring, analysis and evaluation required did take place
 Evidence of compliance evaluation
 Evidence of implementation and audit results
 Evidence of management review
 Evidence of nature of nonconformities and any subsequent actions taken
 Evidnce of results of any corrective action

5. Documented Information
 Replaces the nouns “documentation” and “record” used in prior reveisions
 Can mean records or documentation other than records

6. Document the Policy and Objectives
 Policy should be simple
 Do as little harm as possible
 Pursue a smaller footprint
 Objectives
 Change Annually?
 Specific and Measurable
 Reduce energy consumption by 10% every year for the next 10 years
 Reduce pounds sent to the landfill
 Reduce hazardous wastes costs

7. Scope and Interaction of Processes
 Scope
 Boundaries of the Environmental Management System
 Description of the main elements of the environmental management system
and their interaction and reference to related documents (4.4.4.c)

8. One Document to Address
 Aspects (4.3.1 and 4.4.4.c)
 Roles, Responsibilities and Authorities (4.4.1)
 Communication from external interested parties (4.4.3.b.)
 Document decision to communicate externally significant environmental aspects (4.4.3.)
 Description of the main elements of the environmental management system and their
interaction and reference to related documents (4.4.4.c)
 Documents including records determined by the organization to be necessary to ensure the
effective planning, operation and control of processes that relate to its significant
environmental aspects (4.4.4.d)
 Documented procedure to control situations where their absence could lead to deviation from
the environmental policy, objectives and targets; (4.4.4.e)
 Document information to monitor performance, applicable operational controls and
conformity with the organizations environmental objectives and targets (4.5.1)
EMAIL debra@CE-Q.com
and request a Copy of
the ONE DOCUMENT

9. One Document with Columns to Address
Each One
 Aspect
 Impact
 Controls
 Roles – Who is Responsible for the Control
 Responsibilities – What they do to manage the control
 Authorities – What can they do or who can do what
 Optional – Record Retention

10. One Main Document
Aspect Impact Controls Who Responsibility Authority Record
Retention
Storm
Water
Pollution of
Stream
Collection
1x/Quarter – See
Collection Form;
Annual Training
EHS
Coor
dinat
or
Collect Samples;
Report Annually;
Escalate to Top Mgr if
Fails
Sign Reports on
behalf of Org
7 years
Haz
Waste
Contaminati
on of Land
Satellite Collection
Sites; Haz
Accumulation Site
Inventory Log;
Annual Training of
Employees per
Training Matrix
EHS
Coor
dinat
or
Establish collection
sites, train; retain
training records
Arrange pick up of
Haz Waste
7 years
BOL Shipp
ing
Prepare manifest and
inventory of haz mat
Sign Manifest
when Haz Mat
leaving
7 years
Complia
nce
Fines Legal
Requirements Log;
Evaluation of
Compliance
EHS
Coor
dinat
or
Update Legal
Requirements; Ensure
Eval of Compliance
done
Report Eval of
Compliance
Results to Top
Mgmt
3 years

11. What Other Documents Needed?
 Table of Contents of the Standard.
 1 Scope
 2 Normative References
 3 Terms and Definitions
 4.1 General Requirements
 4.2 Environmental Policy
 4.3 Planning
 4.4 Implementation and Operation
 4.5 Checking
 4.6 Management Review

12. Process Map
 Planning
 Implementation and Operation
 Checking

13. Plan to
Meet
Require-
ments
EHS Coordinator Team of Middle Managers
List activities that can be controlled or
influenced in a Controls Matrix.
Rank by those with most significant impact
on environment
Document information and keep up to date
Take significant aspects into account to
establish, implement and maintain the
EMS.
Identify applicable Legal requirements.
Plan operational controls to address
aspects
Plan Internal Audits and Compliance
Evaluations to Ensure conformance to
planned arrangements per Internal Audit
Process.
Submit nonconformities and failures to
meet requirements on CAR Form.
Process CARs using Corrective Action
Process

14. Imple-
menta-
tion and
Opera-
tion
EHS Coordinator Team of Middle Managers
Determine roles, responsibilities and
authorities for the each control in the
Controls Matrix for each aspect.
Ensure competence training and awareness
is completed per the controls for the
aspects per Competency and Training
Process.
Plan and provide communication regarding
the EMS requirements internally and
externally as is appropriate per Controls
Matrix.
Prepare a policy, objectives and targets.
Document the scope of the EMS. Ensure
the documents, including records, required
by the standard are retained. Ensure the
documents necessary are controlled per
the Control of Documents Process.
Plan and practice emergency preparedness
situations and retain records of the
occurrence.

15. "Any intelligent fool can make things bigger and more
complex... It takes a touch of genius --- and a lot of courage
to move in the opposite direction." - Albert Einstein

16. Simple is Better
 Easier to Read
 To Communicate to Others
 And Follow
 To Edit When Needed
EMAIL debra@CE-Q.com
and request a Copy of a
Process Map

17. Auditing Minimally Documented Systems
 Easier to Audit
 Quicker to Audit
 Saving Investments in Audiitng Time
 More Confidence in Audit Results