Support, Operation, Performance Evaluation and Improvement Elements

Overview of ISO 14001
5
Lecture 5
Issue : Feb 2019 MMC/INTAS- EMS 14001:2015 Internal Auditor TrainingCourse 1
ISO 14001 Support,
Operation, Performance
Evaluation and Improvement
Elements

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Clause 7. Support
7. Support
7.5
7.3
7.4
7.1
Resources
Competence
7.2
Awareness
Documented
Information
Communication

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7.1 Resources
Determine and provide the resources needed for the
establishment, implementation, maintenance and
continual improvement of the EMS.
Consider :
> capabilities
 constraints, existing internal resources;
 what needs to be obtained from external providers:

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7.2 Competence
a) determine the necessary competence of person(s) doing work under its
control that affects the performance and effectiveness of the EMS;
b) ensure that these persons are competent on the basis of appropriate
education, training, or experience;
c) Determine training needs- environmental aspects and EMS
d) where applicable, take actions to acquire the necessary competence,
and evaluate the effectiveness of the actions taken
Retain appropriate documented information as evidence of competence

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7.3 Awareness
Ensure persons doing work under it’s control are aware of:
a) the environmental policy;
b) significant environmental aspects and related actual or potential
environmental impacts associated with their work
c) their contribution to the effectiveness of the EMS;, including the
benefits of environmental improved performance;
d) implications of not conforming with the EMS; requirements
including not fulfilling compliance obligations

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7.4 Communication
Establish, implement and maintain the process(es) needed for
internal and external communications relevant to the EMS:
a) what it will communicate;
b) when to communicate;
c) with whom to communicate;
d) how to communicate;
e) who communicates.
 Take into account its compliance obligations, Ensure information
generated is reliable. respond to relevant communication on EMS, and
retain documented information as evidence of its communication

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7.4.1 Internal Communication
a) relevant EMS among various levels and functions, including
changes to the EMS as appropriate
b) Ensure its communication process(es), enable(s) persons
doing work under its control contribute to continual
improvement
c) externally communicate information relevant to EMS .

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7.5 Documented Information
7.5
General
Creating &
Updating
Control of
Documented
Information

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7.5 EMS Documented informatio
n
a) required by this International Standard;
b) determined by the organization as being necessary for the
effectiveness of the EMS
Creating and updating documented information, ensure
appropriate:
 identification and description (e.g. a title, date, author,or
reference number);
 format (e.g. language, software version, graphics) and media
(e.g. paper, electronic);
 review and approval for suitability and adequacy

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7.5.3 Control of documented information
7.5.3 Ensure:
a) it is available and suitable for use, where and when it is needed;
b) it is adequately protected (e.g. from loss of confidentiality,
improper use, or loss of integrity
c) distribution, access, retrieval and use;
d) storage and preservation, including preservation of legibility;
e) control of changes (e.g. version control);
f) retention and disposition.
External origin on EMS identified, as appropriate and controlled

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Clause 8. Operation
1. Operational Planning & Control
2. Emergency preparedness and response

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8.1 Operational planning and control
Establish , implement and control the processes needed to meet the
requirements and to implement the action by
a) establishing criteria
b) Implementing control of the process(es) in accordance with operating
criteria
Control planned changes and review the consequences of unintended
changes, taking action to mitigate any adverse effects, as necessary
Ensure that outsourced processes are controlled or influenced. The type
and extent of control or influence to be applied to the process(es) shall be
defined within the EMS

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8.1 Operational planning and control
a) Establish controls, to ensure environmental requirement(s) are
addressed in the design and development process for the product or
service, considering each lifecycle stage;
b) Determine its environmental requirements(s) for the procurement of
products and services
c) Communicate relevant environmental requirements of products and
services, as appropriate;
d) Consider information about potential significant environmental
impacts associated with transportation or delivery, use end-of-life
treatment and final disposal of its products and services
Maintain documented information to extent necessary to
have confidence that the process have been carried out as
planned

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8.2 Emergency preparedness and response
Establish, implement and maintain process (es) needed to prepare for and
respond to potential emergency situations:
a) planning actions to prevent or mitigate adverse environmental impacts;
b) respond to actual emergency situations;
c) prevent or mitigate the consequences of emergency situation,
appropriate to the magnitude of emergency and potential environmental
impacts;
d) Periodically test the planned response actions, where practicable
e) Periodically review and revise the process (es) and planned response
actions in particular after the occurrence of emergency situation or tests
f) Provide relevant information and training related to emergency
preparedness and response as appropriate, to relevant interested parties,
including person’s working under its control
 Retain documented information

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Clause 9. Performance Evaluation
9.1.
9.2.
9.3.
1.Monitoring, measurement ,
analysis and evaluation,
1. General, 9.1.2.Evaluation of compliance
Internal Audit- General, internal Audit
programme
Management Review

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9.1 Monitoring, Measurement, Analysis And
Evaluation
 Determine:
a) what needs to be monitored and measured;
b) the methods for monitoring, measurement, analysis and evaluation
needed to ensure valid results;
c) The criteria against which the organization will evaluate its
environmental performance and appropriate indictors;
d) when the monitoring and measuring shall be performed;
e) when the results from monitoring and measurement shall be
analyzed and evaluated.
Ensure that calibrated or verified monitoring and measurement
equipment's is used and maintained, as appropriate

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9.1 Monitoring, Measurement, Analysis And Evaluation-
 Evaluate its environmental performance and the effectiveness o
f
the EMS
 Communicate relevant performance information both internally
and externally, as identified in its communication processes(es)
and as required by its compliance obligations
 Retain appropriate documented information as evidence of
monitoring and measurement, analysis and evaluation results

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9.1.2 Evaluation Of Compliance
Establish, implement and maintain process(es) needed to evaluate
fulfillment of its compliance obligation
a) Determine the frequency that compliance will be evaluated;
b) Evaluate compliance and take action if needed;
c) Maintain knowledge and understanding of its compliance status
Retain documented information as evidence of the compliance
evaluation result(s)

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9.2 Internal Audit
Conduct internal audits at planned intervals to provide information on
whether the EMS;
a) conforms to:
• the organization’s own requirements for its Environmental
management system;;
• the requirements of this International Standard;
b) is effectively implemented and maintained.

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9.2.2 Internal Audit Programme
Establish, implement maintain(an) internal audit programme(s) including the
frequency, methods, responsibilities, planning requirements and reporting
of its internal audits. Consider environmental importance of the process
concerned, changes, results of previous audits
a) define the audit criteria and scope for each audit;
b) select auditors and conduct audits to ensure objectivity and the
impartiality of the audit process;
c) ensure that the results of the audits are reported to relevant
management;
Retain documented information as evidence of the implementation of the
audit programme and the audit results.
AUDITOR CHECKS?

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9.3 Management Review
 Top management shall review the EMS, at planned intervals, to
ensure its continuing suitability, adequacy, effectiveness
and alignment with the strategic direction of the
organization.

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9.3.2 Management Review Inputs
a) the status of actions from previous management reviews;
b) changes in
1. external and internal issues that are relevant to the
environmental management system;;
2. Need and expectation of interested parties, including
compliance obligation;
3. Its significant environmental aspects
4. risks and opportunities (see 6.1);
c) Extent to which environmental objectives have been achieved

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9.3.2 Management Review Inputs (Cont’d)
d) information on environmental performance, including trends in:
1) nonconformities and corrective actions;
2) monitoring and measurement results;
3) fulfilment of its compliance obligations;
4) audit results;
e) adequacy of resources
f) relevant communication (s) from interested parties
including complaints;
g) opportunities for continual improvement

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9.3.3 Management Review Outputs
 The outputs :
a) Conclusion on the continuing suitability, adequacy and effectiveness
of the EMS
b) Decision related to continual improvement opportunities
c) Decisions related to any need for changes to the EMS system,
including resources
d) Actions, if needed, when environmental objectives have not been
achieved
e) opportunities to improve integration of the EMS with other business
processes, if needed
f) Any implication for the strategic direction of the organization
 Retain documented information as evidence of the results of management
reviews.

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Clause 10. Improvement
10.1 GENERAL
1. Nonconformity and
Corrective Action
2. Improvement

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10.1 Improvement
 Determine and select opportunities for improvement(9.1, 9.2,9.3)
and implement any necessary actions to meet the intended
outcomes of its EMS.

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10.2 Nonconformity And Corrective Action
a) react to the nonconformity and, as applicable:
take action to control and correct it;
deal with the consequences;
b)evaluate the need for action to eliminate the
cause(s) of the nonconformity, in order that
recur or occur elsewhere, by:
 reviewing and analysing the nonconformity;
 determining the causes of the nonconformity;
 determining if similar nonconformities exist, or could potentia
it does not
lly occur;

5 10.2 Nonconformity And
Corrective Action
c) implement any action needed;
d) review the effectiveness of any corrective action taken;
e)make changes to the EMS, if necessary.
Corrective action shall be appropriate to the significance of the
effects of the nonconformities encountered, including environmental
impacts
Retain documented information as evidence of:
 the nature of the nonconformities and any subsequent actions
taken;
 the results of any corrective action

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10.3 Continual Improvement
The organisation shall continually improve the suitability, adequacy
and effectiveness of the environmental management system to
enhance environmental performance.

Support, Operation, Performance Evaluation and Improvement Elements

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