Iso 14001
Iso 14001
Iso 14001
ISO 14001 is an international standard that brings a worldwide focus on the environment, encouraging a cleaner, safer,
and healthier world for all of us.
14011 Guidelines for Environmental Auditing - Audit Procedures-Part 1: Auditing of Environmental Management Systems.
14012 Guidelines for Environmental Auditing - Qualification Criteria for Environmental Auditors.
14013/15 Guidelines for Environmental Auditing - Audit Programmes, Reviews & Assessments.
14021/23 Environmental Labels And Declarations – Self-Declaration Environmental Claims – Terms And Definitions,
Symbols, Testing And Verification.
14050 Glossary.
The ISO 14000 family comprises many guideline standards. Nevertheless, it has only one
compliance standard - ISO 14001 Environmental Management Systems.
Environmental Management System:
An Environmental Management System (EMS) is a structured framework that defines how an
organisation controls the impact of its operations on the environment. The EMS defines elements
such as environmental vision, strategies, approaches and structure set up by the organisation for
meeting their commitment to the environment.
Need for an EMS:
An EMS can act as a guide for organisations to improve their environmental performance and to
operate in accordance with environmental laws. Further, an organisation’s EMS can add value to
its business by attracting customers who are environmentally conscious. An EMS is expected to:
• Satisfy the regulatory, and legislative requirements.
• Assure customers that its products and services do not have a negative impact on the environment.
Scope of EMS:
The scope of the Environmental Management System of an organisation consists of:
Each organisation can design its own unique EMS or follow an internationally accepted system of standards. ISO 14001 is
one such international standard.
Different countries and groups are already setting environmental standards individually. The ISO 14001 makes it possible
to set a common internationally accepted standard.
The ISO 14001 is the world’s most accepted EMS. It was adopted in 1996 as an International Standard to guide
organisations worldwide in improving their environmental performance. It is defined as
"That part of the overall management system that includes organisational structure, planning activities, responsibilities,
practices, procedures, processes, and resources for developing, implementing, achieving, reviewing and maintaining the
environmental policy" (ISO 14001: 1996).
The ISO 14001 is meant for application in organisations across the world irrespective of their culture and social
background. The implementation of the ISO 14001 standard is voluntary, in that it is left to the organisation to embrace
and adhere to the ISO standard of legislations and regulations.
However, organisations might be interested in implementing ISO 14001 for different reasons like improving process
efficiency, meeting customer requirements, pressure from local environmental groups or concern for the environment.
The ISO 14001 can be applied to any area of an organisation like production, services, operations, facilities, and
transportation.
It lays down requirements in the following five key areas of an organisation’s environmental management:
The best approach for organisations to begin using ISO 14001 standard is to analyse and improve the existing processes.
If the organisation is improving environment out of its own commitment rather than for demonstrating its efforts to
customers and stakeholders, certification may not be necessary. However, if the organisation wants to demonstrate its
commitment to its external stakeholders then certification can prove useful.
What is certification and how it is obtained?
Certification is a statement from an officially recognised body that an organisation conforms to the universally accepted
standards in all its operation.
An authorised third party auditing agency can recommend the ISO 14001 EMS certification of an organisation. The agency
examines whether the company’s existing processes satisfy the international standard’s requirements. If they are found
satisfactory then the auditing agency recommends to the country’s ISO representative for certifying the organisation.
Benefits of EMS:
Implementing the ISO 14001 Environment Management System can lead to:
• Since legal obligations are met, fear of penalties for not meeting standards is reduced.
• This encourages the investment and involvement of shareholders and stakeholders.
c) A sense of pride and self esteem in employees and stakeholders leading to greater motivation in work
d) Increased business because:
• Environmentally conscious customers tend to patronise ISO 14001 organisation’s products or services.
• Multi- national companies especially ISO 14001 registered generally prefer to tie up or source from organisations
that are ISO 14001 certified.
Continue the tour:
Common Misconceptions Regarding ISO 14001.
Understanding > Common Misconceptions Regarding ISO 14001
ISO 14001 standards are slowly being adopted by organisations world over. However, certain misconceptions about ISO
14001 need to be clarified.
Introduction:
Before embarking on the implementation of ISO 14001, an organisation must perform a Gap Analysis. A gap analysis
compares the existing organisational EMS -if any - vis-a-vis the ISO 14001 requirements. Based on the analysis the
organisation can identify areas that need to be improved on to satisfy the ISO 14001 standards.
ISO 14001 inherently covers five areas i.e. environmental policy, planning, implementation, checking and corrective action,
and management review. It is designed such that the implementation follows a cycle touching upon the five areas
sequentially.
We shall delve into the details of the five steps of ISO 14001 implementation and the clauses associated with each of them.
Environmental Policy Development:
An environmental policy provides a framework to define and review the goals and objectives of the organisation with
respect to environmental performance.
The establishment of an environmental policy authorised by the top management, and verified by them during the
management review is the first step towards the implementation of ISO14001 EMS. The top management must ascertain
that the policy:
• Is consistent with the activities being carried out in the organisation and their impact on the environment.
• Commits the organisation to meet the appropriate environmental legislations and regulations.
• Provides the framework for setting and evaluating the organisation's environmental objectives and targets.
• Signifies the morals and ethics on which an organisation's activities are based.
• Is publicly accessible.
The policy sets goals for environmental performance against which the efficiency of the management system will be
evaluated in future.
Once a relevant environmental policy is developed the next step is Planning.
4. A measurement system is developed to separate significant aspects. The organisation then sets targets and
objectives to address these aspects to minimise their environmental impact.
Factors to consider while assessing aspects include:
• Ecological effects.
• Resource depletion.
• Influences on human health.
• Catastrophic effects.
• Severity and duration of impacts.
• Probability of occurrence.
• Possible legal, financial, business risks.
• Other business concerns associated with the aspects.
Identification of aspects is a continual process under ISO14001 EMS. In a sense the ISO 14001 EMS implementation is all
about addressing environmental aspects.
b) Legal and Other Requirements:
The organisation should be aware of the legal requirements that apply to its activities, products and services. This includes
all applicable environment/ government laws. It also includes voluntarily assumed requirements. These could be
management system performance criteria, supplier requirements, lending institutions requirements, or insurance company
requirements. Though the law does not stipulate these, organisations set these as standards to achieve.
The requirements need to be well communicated, documented, and easily available for reference. The organisation should
also have a system to continuously check for changes in the legal requirements and accordingly update itself.
c) Objectives and Targets:
Objectives and targets are the goals set to improve the environmental performance of the organisation relevant to its
environmental impacts. The organisation should set up and maintain documented environmental objectives and targets at
each relevant utility and level within the organisation.
Objectives and targets should help the organisation meet the commitment it made through its environmental policy. They
should be set keeping both business and environment considerations in mind.
Some performance indicators organisations use in their targets and objectives include:
Environmental Targets focus on events that can be gauged such as reduction in energy consumption by x% in m years,
reduction in the consumption of raw materials by y% in n years etc. They form the basis for future environmental
performance evaluation.
For each important environmental aspect identified, the organisation should put in place an objective as well as a
quantifiable target connected with that objective. For any non-significant aspect identified earlier, the organisation may set
a long-term objective.
In other words, an Environmental Management Program provides for the organisation an approach to achieve the targets
and objectives of the EMS. It enables the organisation to formulate techniques, assign responsibilities, and fix time
schedules for completion. An EMP helps integrate environmental issues into the existing management practices of the
organisation such as procurement, financial management and management information systems.
The EMPs are action plans to deal with processes; products, services and facilities associated with the set targets and
objectives. An EMP should always be in line with the organisation’s environmental policy. These action plans must be
included in the EMS documentation so that crucial activities and responsibilities are periodically checked, modified and
redeployed.
After the planning stage, organisations move into the implementation and operation phase.
• Makes sure that the EMS is meeting the ISO 14001 requirements.
• Facilities Manager.
• Purchasing Agent(s).
• Production Manager(s).
• R&D Manager.
Employees and suppliers also need to be constantly informed about the changes in
environmental regulations.
c) Communication:
Effective communication is necessary for establishing an EMS within the
organisation.
An organisation should set up and maintain a system for:
• Internal communication between the different departments and functions of the organisation.
• Obtaining, recording, and responding to pertinent communication from external sources.
• Environmental performance evaluation such as waste minimisation data , recycling work, energy savings, etc.
• The main people involved in implementing the EMS, their roles and responsibilities.
• Details of various documents and their location.
Level 2 – Procedures:
The procedure level documentation describes the processes the organisation follows
to meet its EMS commitments. The processes detailed include identifying
environmental aspects and impacts, managing wastes and hazardous discharges,
study of the plants energy consumption, among many others.
The organisation implementing ISO 14001 should document the following
procedures:
• Identifying environmental aspects and impacts.
• Document control.
• Operations control.
• Records.
• Industry stipulations.
Level 4 – Records:
The previous three levels of documentation define the EMS and its related processes
and procedures. However, during audit there should be evidence that the
organisation was actually following what was specified by the EMS.
Records are documents used to demonstrate the organisation’s compliance to the
EMS requirements. They demonstrate that the organisation is doing as required.
These may include:
• Records of training conducted.
• Calibration records.
• Wastewater treatment.
• Management of contractors.
Operational methods and procedures must be written down for these specific
activities. This ensures uniformity in the way a process is performed even when
employee replacements take place. Operation control includes:
• Setting up and maintaining documented procedures to perform certain activities where their absence could lead
to variation from the environmental policy, and objective and targets.
• Specifying the operational standards in the procedures.
• Establishing and maintaining procedures associated with the identified significant environmental aspects of
materials and services utilised by the organisation.
Specific data that is documented must be provided for those activities where lack of
instructions might lead to a potential risk of impact on the environment. In such
situations the written instructions must clearly and briefly provide operating
procedures, performance verification standards and any remedial measures
required in the event of not meeting the standards. Master lists should be prepared
to properly manage the existence, location and ownership of each procedure.
Setting up of the EMS starts with the establishment of Operational Controls to make
sure that an organisation’s policy, targets, and objectives are accomplished.
Operational Control in its entirety consists three elements i.e. procedures,
instructions and training.
According to ISO, a procedure is defined as a prearranged series of events involving
several people. The actions are to be performed in a preset order. Within the
sequence, any points of choice are clearly indicated. A procedure always deals with:
• What needs to be done?
• Assigning responsibilities.
The next phase in the ISO 14001 implementation involves checking and corrective
action.
Continue:
Checking and Corrective Action
Planning and Implementation > Checking and corrective action
This helps to consistently control activities significantly impact the environment. The purpose is to ensure that the activities
conform to the objectives and targets set by the EMS.Checking and corrective action involves
• Clearly define who will perform the prescribed task, when and where.
• State and document procedures for calibration and important maintenance activities.
c) Records:
Records are documents used for detailing the results achieved in the EMS implementation. They
are also a proof of the organisation’s implementation of processes that have met the
requirements.
Many organisations mistake documents for records and vice-versa. Differentiating a document
from a record thus becomes necessary. A document has real time application and hence the
information contained in it can be modified. A record is an historical account and thus cannot be
altered.
Items like work orders, sales orders and purchase orders exhibit the features of both records and
documents. These items are considered documents until the information contained in them has
real time value. After that they are considered records.
The organisation should set up measures for identifying and preserving environmental records.
Environmental records should be clear and easily identifiable. They should be preserved and
maintained so as to make them easily accessible. They should be protected against damage,
deterioration or loss. Their maintenance and preservation periods should be pre-defined and
documented.
Records need to display conformance with the EMS standards. They should be gathered within
the scope of the EMS and its implementation process. Records include service provider
information, supplier contracts, goods purchased records, calibration records, audit results,
management review, and training records necessary for the verification of the EMS
implementation.
Records should also include details of non-compliance, complaints, applicable environmental
regulation, violations, corrective actions, assessment and maintenance records among others.
Records can be preserved, in either paper or electronic form. A record of the files that are stored,
their structure, and their preservation time can be considered. In case of paper records, one
should take steps to safeguard them. Crucial records need to be kept in fireproof cupboards, and
other safe locations.
A list containing all the details of records maintained needs to be created. The list should also
contain information regarding the records that have been destroyed.
d) Environmental management system audit:
Audit may be defined as a process of examining, verifying or correcting systems, procedures or
data. Normally professionally qualified personnel conduct the audit.
As a part of its implementation of EMS an organisation must conduct a regular management
system audit. The audit should verify the conformity of the existing management system with the
ISO 14001 standards. It should also enable the organisation to sustain and continually improve
its environmental management system by identifying areas for improvement.
The organisation should utilise sufficient number of audit team members to conduct a
professional audit of all concerned aspects at one go. The auditors should be:
• Proficient in environmental sciences.
Management Review is necessary for the continual improvement of the organisation’s EMS. Management Review enables
the management to evaluate progress of the EMS. The review must include those elements within the organisation that
significantly impact the environment.
The management review process should ensure that sufficient data is collected to
perform the evaluation. This assessment should be properly documented.
Management Review (MR) should recommend remedial steps to solve problems
identified in EMS design and its goals. A final report of review should be submitted
to the top management, the management representative, and the departmental
managers.
The reviewers should also prepare an action plan for conducting the Management
Review.
• Determine if the budget and resources are sufficient for satisfying the organisation’s EMS requirements.
• Determine if the corrective actions and preventative measures, have led to improved environmental performance.
• Evaluate the relevance of the EMS with the organisation’s environmental performance and business goals.
Once the organisation is through with the implementation of the Environmental
Management System by utilising the five broad steps, it should focus on getting
itself registered under ISO14001 standard.
The implementation of EMS 14001 is incomplete without the certification under the
ISO14001 standard.
External audit and certification:
In order to achieve ISO 14001 certification or registration, the organisation should
go for external auditing from an ISO accredited auditing agency.
The external audit normally cover two aspects. One is the documentation audit and
the other the compliance audit. Documentation audit checks if the organisation has
all the documentation required by the ISO 14001 standards in place. Compliance
audit ascertains if the organisation is actually following what it has laid down in its
EMS documentation.
External audit normally happens in two or more phases. Phase I of the audit consists
of a thorough inspection of the existing EMS with respect to the ISO 14001
requirements. After this the organisation is given six months time to take corrective
actions for all the deficiencies/non conformances identified by the auditors.
Phase II audit is conducted after six months and this involves checking to make sure
rectification of all non-conformances. After the completion of this phase the auditors
recommend certification or they can suggest certain additional requirements to be
fulfilled.
The auditors’ recommendation for certification is sent to the country’s ISO
representative who then issues the certification.
Gap Analysis > Description
Definition:
"A comparison of the organisation’s existing environmental management structure to the line-by-line requirements of ISO
14001 standards.”
The gap analysis compares each and every element in the existing EMS to the ISO
14001 requirements. These include environmental policy, legal obligations, training,
goals, documentation, management review, and corrective action.
The time taken to complete a gap analysis depends on the complexities involved in
the organisation’s environmental concerns and existing management system. A
general gap analysis takes two- to- three-days on-site, followed by the preparation
of a gap analysis report and EMS implementation plan.
Implementing Gap Analysis:
Gap analysis can be conducted either by an external EMS auditing firm or by an
internal team formed for this purpose. Following are the steps involved in a
comprehensive and effective gap analysis program.
1. Introductory meeting:
This meeting introduces the members of gap analysis team to the management’s
expectation from the EMS. The meeting also helps the team to gain the confidence
and support of the key personnel within the organisation. During this meeting action
plans are developed, time schedules prepared and tasks assigned.
2. Tour and Inspection:
An organisational tour helps the gap analysis team understand the organisation’s
layout, operations, and environmental aspects. It also helps them identify
opportunities for improving the organisation’s environmental performance.
3. System review:
A review of the organisation is conducted to understand the systems in place for
managing environment concerns. Asking concerned personnel specific questions
regarding the systems and procedures followed in specific areas facilitates this.
The areas investigated include legal requirements, environmental objectives and
targets, environment programmes, training and awareness, emergency
preparedness, checking and corrective action, and preventive plans among others.
The evaluation also helps obtain vital information regarding the operation of the
existing systems.
4. Review of EMS Documentation:
In this phase the gap analysis team reviews the amount of documentation
maintained in the current EMS. It assesses documentation of various elements like
environmental policy, objectives, written procedures, training programs, job
descriptions, and records.
Reviewing of documentation helps to procure
Information regarding the organisation’s Existing EMS and its operation.
A comparison of the EMS practiced with the written policies, programs, and procedures found in the
documentation.
At this stage the organisation’s existing EMS is compared with the requirements
performing this task. Based on the score from this questionnaire the areas to be
The EMS implementation plan can be established on the basis of the results of
gap analysis. The plan may require modifying existing procedures or designing
new ones. A comprehensive list of actions needed to fill the gaps is then
prepared.
Conclusion:
The entire process from analysing the existing EMS, identifying gaps and developing
action plans to conform to ISO 14001 standards is painstaking. However, a gap
analysis helps develop an efficient EMS adhering to international standards.
Yes No Comments
Questions
• Does the organisation’s existing EMS conform to the ISO 14001 standards?
• Is there significant proof confirming the organisation’s existing EMS’s compatibility to ISO
14001?
• Is the policy apt for the industry, size and environmental impacts of the organisation’s
operations and business?
• Does it act as a clear guideline for establishing and evaluating the organisation’s
environmental objectives and targets?
• Has the top management endorsed the existing policy at the time of issue?
• Are the established environmental objectives and targets appropriate for the organisation’s
environmental aspects and impacts?
• Is the process for determining environmental aspects always applied effectively?
• Is the process evaluated and improved on a regular basis?
4.4.3.2 Legal and other requirements:
• Is there a process to identify and make available all the legal requirements of the
organisation’s environmental activities, products or services?
• Is there a process to identify and make available all requirements, which the organisation
has voluntarily accepted to keep (like industry stipulations, corporate guidelines, contract
conditions, customer specifications, etc)?
• Is the process to identify the above requirements applied effectively and at all times?
• Is the process evaluated and improved on a regular basis?
4.4.3.3 Objectives and targets:
• Are the environmental objectives and targets of the organisation properly defined and
followed?
• Is documentation of objectives and targets maintained?
• Are the following factors considered while setting objectives and targets:
a) Legal and community obligations?
b) Business goals?
c) Operational needs?
• Are the objectives and targets in line with the organisation’s environmental policy?
• Are the environmental programmes capable of achieving the objectives and targets set? Are
sufficient resources and manpower assigned to carry out the programmes?
• Are roles and responsibilities assigned for executing the environmental programmes?
• Are sufficient resources assigned for the personnel to effectively fulfil their EMS roles and
responsibilities? The resources can be in terms of support staff, training, or funds.
• Is there a process in place to analyse and identify training needs of various employees and
contractors playing a part in the EMS?
• Does the organisation have a process for educating its employees about:
• Is relevant training provided to all employees, especially those whose work has a greater
environmental impact?
• Does the organisation have a defined process to effectively manage and control its EMS
documents as required by ISO 14001?
• Are documents clear, recognisable, dated (with dates), logically arranged and conserved for
a defined period?
• Is the process established for documentation, effectively followed?
4.4.4.6 Operational control:
• Are the operational activities (including those of suppliers) that are related to important
environment aspects:
○ In control with respect to the policy, objectives and targets of the EMS?
○ Documented along with details of how non- conformance can lead to deviation
from the objectives and targets of the organisation?
○ Well communicated?
4.4.4.7 Emergency preparedness and response:
• Are the processes evaluated and improved upon regularly, especially after a crisis?
• Are the emergency processes regularly practiced, and are they applied every time there is
an incident?
• Does the organisation have defined processes to monitor and measure the activities and
areas that have considerable influence on the environment?
• Does it have a process to evaluate whether it meets all the obligations and requirements?
• Are the processes documented, evaluated, and enhanced on a regular basis? Are they
always followed?
4.4.5.2 Non-conformance and corrective and preventive action:
• Does the organisation have defined processes to manage and examine non-conformance
with respect to the EMS requirements?
• Are responsibilities for taking corrective and preventive action assigned?
• Is the process used for examining non-conformance evaluated and improved on a regular
basis? Is it applied always?
• Are the corrective and preventive actions taken, appropriate for the type, size and extent of
environment problems?
• Are corrective actions recorded? Are the relevant modifications being made to the
documentation, wherever applicable?
4.4.5.3 Records:
• Does the organisation have a defined procedure for retaining and doing away with records
such as audits, measurements, and corrective actions?
• Are the records adequately maintained to prove the organisation’s compliance to the ISO
14001 standards?
• Does the organisation have established procedures for performing EMS audits?
• Are these procedures consistently applied? Are they evaluated, and improved on a regular
basis?
• Do the audit procedures specify:
○ The span of coverage?
• Does the organisation’s top management regularly evaluate its existing EMS to determine its
sufficiency, and effectiveness?
• Are management reviews committed to modifying and continually improving the EMS in
terms of its policy, objectives and targets based on audit reports and evolving conditions?
This aspect of ISO 14001 has already been discussed in the "Implementation and Operation" step
of the Planning and Implementation section.
EMS documentation
Documentation is defined as a system of gathering, organising and controlling necessary
information. The amount of documentation required to maintain an EMS depends on the nature,
size and environmental impacts of the organisation.
The ISO 14001 EMS has four levels of documentation. These are:
Level 1 - EMS Manual
An EMS manual defines what the organisation’s EMS comprises and the location of relevant
documents such as records and operational procedures.
An Environmental Manual is used to help employees identify all environmentally significant
procedures and elements in a single document.
The manual consists of:
• The organisation’s environmental policy, objectives and targets.
• The main people involved in implementing the EMS, their roles and responsibilities.
• Details of various documents and their location.
Level 2 – Procedures
The procedure level documentation describes the processes the organisation follows to meet its
EMS commitments. The processes detailed include identifying environmental aspects and
impacts, managing wastes and hazardous discharges, study of the plants energy consumption,
among many others.
The organisation implementing ISO 14001 should document the following procedures:
• Identifying environmental aspects and impacts.
• Document control.
• Operations control.
• Records.
• Industry stipulations.
Level 4 – Records
The previous three levels of documentation define the EMS and its related processes
and procedures. However, during audit there should be evidence that the organsiation was
actually following what was specified by the EMS.
Records are documents used to demonstrate the organisation’s compliance to the EMS
requirements. They demonstrate that the organisation is doing as required.
These may include:
• Records of training conducted.
• Calibration records.
ISO 14001 standards specify the important elements of an EMS to be documented. However, the
organisation can document additional areas if they can enhance environmental performance.
Documenting effectively:
Use language that is simple and easy to understand. This will ensure that the documentation is
referred to more often rather than staying in the shelf till the next audit.
Use existing documents as far as possible. Organisations normally maintain certain amount of
documentation even prior to embarking on the ISO 14001implementation. Being able to locate
the relevant documentation and referencing them can reduce the workload for preparing new
ones.
Employ the use of flow charts, and other graphics tools. They are more effective than a text of written instructions.
Use electronic format for documentation: There are several advantages such as improved
accessibility, sharing and ease of editing.
Document control
Document control ensures that employees have access to documents that are up to date and
accurate.
Document control ensures that:
• Clear procedures are defined for effective control of the organisation’s EMS documents.
Measurement and Data Analysis includes the following three elements that are explained earlier in the "Planning and
Implementation" section.
• Assess if the EMS being implemented in the organisation is in line with its stated environmental policy.
c) Management Review
Management Review is necessary for the continual improvement of the organisation’s EMS. Management Review enables
the management to evaluate progress of the EMS. The review must include those elements within the organisation that
significantly impact the environment.
The management review process should ensure that sufficient data is collected to perform the evaluation. This assessment
should be properly documented.
Management Review (MR) should recommend remedial steps to solve problems identified in EMS design and its goals. A
final report of review should be submitted to the top management, the management representative, and the departmental
managers.
The reviewers should also prepare an action plan for conducting the Management Review.
The Review process should:
• Assess the EMS in terms of policy, objectives and targets, and changing external environment, legislations and
audit results.
• Evaluate the suggestions of the Audits and other reviews besides ways for incorporating them.
• Determine if the budget and resources are sufficient for satisfying the organisation’s EMS requirements.
• Evaluate the relevance of the EMS with the organisation’s environmental performance and business goals.
Once the organisation is through with the implementation of the Environmental Management System by utilising the five
broad steps, it should focus on getting itself registered under ISO14001 standard.
Tools Deployed > ISO 14001 Tools
Various tools and techniques can be implemented by organisations to enhance and expedite the implementation process of
EMS 14001. An effort has been made to identify some tools implemented during the various stages of the EMS
implementation process.
When an organisation has decided to implement EMS 14001 it implies an intention to change. The organisation should
evaluate the requirements for adopting the EMS and ways to manage that change. It should establish forces that aid the
change process and also those forces that might hinder the change. Force Field Analysis is a technique used to analyse
and address such forces.
Once this is done the organisation should set the tone for the overall programme. Certain
important elements govern an organisation’s ability to accomplish a change initiative such as an
EMS. Organisations need to evaluate these elements and their influence on each other when
introducing a change. The 7-S Model is an efficient technique to accomplish this.
Before embarking on the implementation process for ISO 14001, organisation must perform a
gap analysis or conduct the initial review of the existing EMS in the organisation. SWOT Analysis,
PEST Analysis, Process Analysis, Gap Analysis Questionnaire and EMS fitness test are some effective
tools that can be used for this.
Having completed the process the top management should deploy an environmental policy.
Hoshin Kanri is an effective technique used for policy deployment. It involves managers at all
levels for the task of formulating an organisation wide environmental policy.
Another approach to formulating a policy is allowing the middle level managers to prepare a
draft report of the policy that in turn is presented to the top management. An effective
presentation can be made using Environmental Awareness Presentation tool.
The next step is to identify the critical environmental aspects of the organisation’s operations.
The organisation can implement various analysis techniques such as Process Analysis, Failure Mode
Evaluation And Assessment, Simulation, and Rating Sheets to identify the critical environmental
aspects. Based on this the organisation can develop its environmental objectives and targets, and
environmental programmes.
All environmental programmes must follow a structured approach. The sequence of steps to be
followed while designing implementation programmes are identification of the problem or
opportunity, cause assessment, solution assessment, implementation, and review. The root cause
of problems can be identified using Root Cause Analysis Technique. Solution Effect Analysis determines
the effectiveness of the solution designed. BS 6079 is a good framework for the proper
management of the environmental programme projects.
The organisation must allocate roles and responsibilities to its employees to establish and
manage the EMS. Performance Planning Technique transforms the general roles and responsibilities
allotted to the workforce into tangible outcomes and desired results.
The organisation could establish productive training and communication programmes to enable
the employees to attain the requisite skills for implementing the EMS. Skills gap analysis technique
helps the organisation to identify the specific training requirements of the work force.
The organisation needs to set up and maintain proper documentation for the ISO 14001 EMS. A
Documentation Management System is an effective tool to manage and control electronic documents.
The organisation should constantly monitor and measure the vital activities to assess their
conformity of environmental regulations. Control charts, Histograms, and Pareto Analysis are some
effective tools used for this purpose.
The organisation should focus on identifying the areas of non-conformance and implement
necessary corrective action. Some of the tools that aid the top management in this task are Root
cause Analysis, Brainstorming technique, Cost/benefit analysis and the Cause and Effect diagram.
The measures that were followed over the next few months were:
1.Internal gap analysis:
As the analysis was performed by the in-house members it was called internal gap analysis. Two members of the
environment division in HES Department, a specialist and at trainee conducted the analysis. The rigorous assessment
covered the existing system of the plant to the line-by-line requirements of ISO 14001 standards.
They identified the changes to be implemented to make the plant more suitable for certification. These were implemented
and published in the environmental manual of the plant that focussed on the plant’s approach for certification.
2. Auditing:
The environmental specialist hired an autonomous consulting firm, ERM CVS (Environmental Resource Management
Certification And Verification Services) in October 1999 to evaluate the plant’s environmental performance. ERM CVS is an
ISO qualified auditing agency and was selected because of its reputation in the business.
a) Phase 1 Audit:
The auditing agency conducted a inspection of the plant’s processes and reviewed the entire system in place. It found 10
major loopholes in the environmental system of the plant that had not been corrected after the gap analysis program.
Following were the loopholes identified:
• Failure of environmental strategy to meet the environmental obligations.
• In sufficient measures in determining and addressing areas of significant environmental impact.
• Objectives and goals not linked to the areas of significant impact.
• Poor planning for accomplishing the objectives and targets.
• Poor training of employees.
• Ineffective communication to improve awareness among employees and public.
• Non-adherence to the environmental standards by suppliers supplying raw materials and spares.
• Non-conformance of plant’s processes to legal procedures.
The existing Quality Excellence Awards (QEA) program (that offered awards to the most successful team to encourage the
cross-functional team formation) was used to form the ISO 14001Implementation Team. The team leader was the plant
manager, and this enhanced the involvement of senior management interest in the ISO 14001system.
To commence work on the tasks involved, the team prepared a priority list of the issues to be addressed, called “Action
List”. The concerns and loopholes mentioned by the auditors were communicated to all the departments in the plant.
Responsibilities were assigned to different members in the organisation and the deadlines to accomplish tasks clearly
defined.
• Environmental training program was made compulsory for all the major contractors of the plant. Contracts were
revised after adding environmental rules to be followed before starting site-work.
• Suppliers supplying chemicals were asked to add a note on environmental control systems needed.
• Senior management were required to attend review meetings bi-annually to understand the EMS, evaluate its
effectiveness and to make useful suggestions. Thereby their involvement was assured.
• An Annual general environmental awareness-training programme was made compulsory for every employee.
The training programme provided inputs regarding:
o Hazardous waste disposal methodologies.
o Methods of disposing chemicals.
o Personal roles and responsibilities in meeting the organisation’s recycling targets.
o Improving the existing EMS to reduce costs.
• Civil engineers and managers responsible for a particular facility in the site were entrusted with the responsibility
to manage their own environmental systems effectively. This led to two proposals for improving the EMS:
o Eliminate the Sodium Hydroxide (NaOH) secondary containment system in the manufacturing area.
o Redesign of the water use system to reduce water requirement by 66%.
The team entirely restructured the environmental management process to work on the loopholes and the concerns
identified by the audit agency. Previously, the HES department was responsible for environmental management. Now,
though the task of controlling EMS was assigned to the same HES department, its functioning was made possible only after
communicating with the other departments in the plant and integrating their activities. This helped enhanced employee
involvement in the organisation’s EMS.
The implementation team developed a simple numerical system to evaluate and review the environmental impact of their
EMS system. This helped in setting up of environmental goals. These goals included analysis of each and every hazardous
waste stream. The analysis data, helped in tackling one of the key areas of environmental concern in this plant.
Communication:
The team effectively communicated its findings and new practices by developing internal communication bulletins for the
entire organisation. It also gave press releases and articles for outside use. The environmental manual was restructured
such that it reflected all the changes made and provided the information necessary for comprehending the plant’s EMS
framework. New roles and responsibilities were communicated to the management and all the employees of the
organisation.
Phase 2 Audit:
The auditing agency conducted a second phase audit (after a span of 6 months) in March 2000. After a rigorous two-day
inspection of the whole plant, it declared that the plant had successfully addressed all the loopholes mentioned initially. It
also appreciated the plant’s efforts to achieve certification. Thus the auditing agency recommended certification of the
plant to the country ISO’s representative.
The auditors continue to measure and monitor the plant’s impact on the environment by conducting follow up visits
annually. This ensures that the EMS is running efficiently and all the employees are conscious and aware of their
environmental responsibilities.
The auditing team leader pointed that this was a very special achievement, as she had never before seen an organisation
with all its loopholes addressed in one go and ready for recommendation straight away after the second audit.
Conclusion:
The refusal of the auditors and the organisation to be content with the mere “Paper-work” done on the EMS was the key to
genuine success. The auditors and the organisation together strived to address the loopholes in the plant’s EMS. Thereby
they improved its overall Environmental Management System. Above all, the emphasis on the involvement of all
employees, the decentralisation of the EMS, and spontaneous continual improvement of the EMS brought genuine gains to
Bayer’s plant through ISO 14001 certification.
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In the recent past, the scope of Environment Management System has gone beyond traditional organisations to other
institutions whose activities impact the environment. Local government units such as municipalities are some such
institutions that can benefit from an ISO14001 implementation.
Local governments carry out a wide range of activities that impact the environment in regions under their authority. These
include:
• Obtaining an array of products such as paper, fuel, and chemicals etc. These commodities impact the
environment during production, usage and disposal.
• Obtaining a wide range of services such as construction work, pest control and hazardous waste management.
• Managing domestic resources. These include operating buildings; maintaining roads, making drinking water
available and treating wastewater etc.
Local governments also influence various functions of other organisations. These include:
• Environmental impact evaluation and review (to assess the impact of the activities of organisations on the
environment),
• Zoning determination (confining the setting up of plants to certain areas whose activities have a profound
influence on the environment).
• Code and regulatory enforcement (setting up environmental policies and regulations to control the activities of
organisations with respect to their influence on environment).
Thus local government units exercise significant environmental influence.
The implementation of environmental management system in the local government units has its own benefits. It enables
these units (such as municipalities) to methodically contemplate the possible influence on the environment caused by their
activities and those of other local firms. The EMS enables these units to expend minimum civic resources, while enhancing
the quality of environment.
The local government units with broad environmental management systems are in a superior position in terms of setting
environmental goals and objectives, evaluating governmental requirements, allotting budget resources, and prioritising
enforcement efforts.
In the past some local government units implemented various initiatives on environmental quality control. None of these
initiatives however are as detailed and comprehensive as ISO 14001.
The implementation process of ISO 14001 in a local government unit is similar to that followed in any traditional
organisation. One aspect in which they differ however is in getting organisational commitment.
In any business organisation the number of top management personnel who need convincing are much lesser than those in
a local government unit. Apart from this are the financial benefit associated with the EMS that drive its implementation in a
business organisation.
The implementation of EMS in the case of local government units is rather difficult because of:
• Bureaucracy.
• Political pressures.
• The number of stakeholders to be convinced.
The success of EMS in local government units is dependent not only on the commitment of respective government but also
on garnering support from a large number of other stakeholders. Stakeholders are the people/organisations associated
with the local government units. External stakeholders are organisations operating under the local governments
jurisdiction. Internal stakeholders include the departments under the local government unit, contractors, and suppliers.
The support of all these stakeholders is required. This support can be garnered by:
• Effectively communicating information to all stakeholders.
• Providing assistance to stakeholders expected to meet any stipulations on account of ISO 14001 implementation.
• Setting up a pilot project to demonstrate the implementation and benefits of EMS.
A case study is presented wherein the implementation and benefits of a pilot EMS project in a local government unit is
highlighted.
Town of Londonderry, New Hampshire:
The Londonderry Municipality
Londonderry is located sixty miles north of Boston in the southeast corner of New Hampshire, in the US. In the recent
years Londonderry has grown rapidly in terms of population and industry. This is gradually impacting the environment in
that municipality. Pollution levels are increasing with more industries being set up. Increased population has also led to
more vehicles contributing their share to the pollution.
This has prompted the town to develop a master plan to ensure that its clean and healthy environment is maintained. This
plan includes maintaining open spaces, setting up additional entertainment facilities, and having a proper environment
management system in place.
The Londonderry local government consists of a Town Council with five elected officers, and a town manager who oversees
the town��s activities, and services.
Londonderry has taken up a sustainable development program by implementing ISO14001 Environmental Management
System. The purpose is to promote economic growth while sustaining the quality of the environment. The town council
chose its Public Works Department (PWD) for its pilot project of implementing the Environmental Management System.
The PWD was selected over the other departments because its activities directly impact the environment. The PWD
consists of four sub-divisions i.e. Solid Waste, Sewer, Highway, and Engineering.
The Solid Waste Division has a supervisor and one solid waste operator for the Drop Off Center. The Sewer Division
consists of one superintendent. The Engineering Division consists of a Town Engineer, who is also the Public Works Director,
and one junior engineer as staff. The Highway Division employs the maximum number of people with 8 full-time employees
and one foreman.
The PWD has a total of 15 employees including one as administrative staff.
Being a small town, Londonderry utilises the services of external agencies. It obtains wastewater treatment services from
neighboring Town of Derry and City of Manchester. A private transporter provides its curbside (side the pavement or
street) trash and recycling collections. The town does not have a transfer station of its own, but it provides a Drop Off
Center, which accepts limited waste materials.
The Highway Garage maintains the roads for the town and possesses some heavy grade construction vehicles along with
trucks utilised to salt and sand the roads during the winter. Large road projects are entrusted to external agencies. The
town engineer reviews and inspects development plans.
The top management
The top management for the EMS project includes the Public Works Director/Town Engineer, Town Manager, and the
Division Supervisors of Sewer & Solid Waste. The five Town Councilors are kept informed of the progress of EMS, but are
not directly involved in its implementation
The core team
The core team is responsible for completing the project as per schedule. Due to the local town��s small size and limited
resources, three representatives were considered sufficient to manage the project. This core team consists of the Solid
Waste Supervisor (Project Director), Administrative Services Director (Environmental Management Representative) and the
Planning and Economic Director.
Goals
The team developed the following objectives and targets for its divisions.
All the divisions would also ensure that proper health and safety measures are implemented as required.
Results
Londonderry set its objectives and targets to address its various environmental impacts. It also developed various
environmental programs to meet its objectives and targets. It has completed its internal audit, identified areas for
corrective actions, and initiated steps for improvement. Londonderry��s EMS is well on its way to achieve ISO 14001
certification.
Success factors
The two factors guiding successful implementation of EMS in the local government unit in Londonderry are:
1. Setting up a core team consisting of members committed to the EMS implementation.
2. Using the services of a project assistant (from Antioch College in Keene, NH) to help with development and
implementation.
Issues faced
The core team experienced hurdles such as:
• Keeping to the time schedules set for various elements of EMS development and implementation.
• Assigning tasks.
• Creating the necessary documentation.
The core team also faced some queries regarding the intrinsic worth and viability of investing money for environmental
quality improvement. To convince the stakeholders of the EMS project, the core team developed a projected return on
investments (ROI) report for the various environmental programs undertaken. They also prepared a document highlighting
the economic benefits of implementing ISO 14001.
Pay off��s
Some of the benefits Londonderry reported were:
• Improved interaction between various divisions in the department.
• Uniformity in addressing environmental issues as a result of documenting standard processes.
• The EMS initiative improved the worker safety because of better training and awareness programs which covered
areas such as hazard material disposal and emergency preparedness.
• Improved conservation of natural resources such as water by reducing wastage.
• Clarity regarding individual responsibilities in line with legal stipulations.
Key Lessons
It is essential to involve all the key stakeholders (either external or internal) from the beginning of the EMS
implementation. The Londonderry experience also suggests that success of the EMS depends on making it a community
initiative involving the non-governmental environment groups.
Londonderry��s efforts have resulted in a cleaner environment, and a healthier lifestyle. In recognition the state
government, awarded the town of Londonderry, the first ever State of New Hampshire Municipal Pollution Prevention
Award.
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Eco-Efficiency in Action
Best Practices > Eco-Efficiency in Action
Companies generally regard ISO 14001 implementation as expensive and time consuming. Xerox Ltd shows how
implementing ISO 14001 can actually help improve a company’s bottom-line and bring a host of benefits in addition
Today Xerox Ltd is one of the world’s best known producers of copiers, printers and
led program that encourages consumers to reuse and recycle electronic devices
• Efficient Document Management Systems – reduces consumable material (such as paper) consumption.
• Through reverse supply-chain initiatives, its products are recovered from customers, after it’s lifespan.
• The raw material stock to be replenished is also reduced due to the increased reuse/recycling process.
A key focus area in waste free plants is the development of packaging-free products
which results in a number of benefits both to the company and its customers, such
as:
This focus on producing packaging free products has yielded a savings of nearly US
$3.2 million annually for the company and US $16 per unit for the customer.
Xerox recognises that efficiency at the customer’s side can make a difference in the
impact of its products on the environment. Hence, it has adopted the measures
• Xerox is pioneering the concept of 'Waste free office' by reuse of toner cartridges, toner inkbottles.
• The use of duplex mode of printing in which printing is done on both sides of paper yields savings of around US
$1600 for a small office.
• The company recognises that paper from a single tree can run a modern office for just 3 days. Hence , it relies on
advanced technology in manufacturing to improve the efficeincy of its products.
The environmental approach by Xerox through its ISO 14001 implementation has
resulted in substantial cost benefits both for itself and its customers. Other less
• Xerox has now a “Green” image which helps when governments and customers demand eco-friendly suppliers in
their supply-chain.
• Appreciation by environmental groups.
• Compliance with environment laws enables it to operate in 80 countries.
• Customer satisfaction due to increased efficiency.
The greatest benefit, however, accrues to the Environment - something that is the
need of the hour. All companies, regardless of their industry domain can understand
and adopt the measures taken by Xerox after suitable modifications to their specific
industry.
ISO 14001 standards is not an end in itself. It rather provides a guideline for an
organisation to meet its commitment to the environment. Hence the success of the
ISO 14001 implementation is largely dependent on the approach and commitment
of the organisation, as proved by Xerox.
Case Studies > ISO 14001—The Case And The Benefits
Towards a perfect balance between environmental and corporate goals.
The following case studies demonstrate the benefits of implementing ISO 14001.
Electrolux avoids penalty and reduces waste
Electrolux home products (formerly Frigdaire) in Greenville, Michigan, registered with ISO 14001 in 1999.
As per the EMS requirements, Electrolux stipulates that contractors have a valid license for all the work they perform at the
company’s site.
One such licensed contractor spilled raw sewage out of an underground tank. Electrolux immediately reported the matter
to DEQ (Department of Environmental Quality).
In its inquiry DEQ found that Electrolux had taken the requisite measures to avert a spill. After the spill occurred,
Electrolux also took the necessary steps to prevent recurrence of such incidents. Based on these findings, DEQ decided
against fining Electrolux. Electrolux thus saved the $70,000 it would otherwise have had to pay as fine for the spillage.
Electrolux also made savings through its commitment to the environmental objectives and targets it had set for itself. For
instance, before implementing ISO 14001 Electrolux had to dispose off its solid waste material—“scrap” thrice a week. The
vehicle had to travel 45 miles each time. However, the company started compacting its scrap thus reducing the space it
occupied in a vehicle. Now, Electrolux needs to dispose its scrap only once a week. A substantial saving on fuel, labour and
vehicle maintenance costs.
• Lead free solders: Previously, SCA used lead to join electronic components to a substrate. Since lead is harmful to
the environment, SCA developed a “lead free solder” which uses an alloy of silver, tin and copper.
• Halogen free printed circuit boards: Earlier, halogen based flame retardants were used for cabinets and printed
circuit boards at SCA. These retardants have endocrine disrupting properties and forms dioxin if burned within a
certain temperature range. As dioxins are harmful to the environment, SCA replaced halogen-based flame-
retardants with newer halogen free compounds.
• Conducting Training Programs: The Company conducted training programs to educate employees about the ways
to improve their working environment.
Adopting EMS reduced SCA’s recycling rate by more than 95% at 17 plant locations.
SCA’s registration to ISO 14001 led to
Continue:
ABB (Asea Brown Boveri) is an international company with many businesses including power and automation technologies,
oil, gas and petrochemicals. ABB is committed to lowering the environmental impact of its products and operations both at
its own plants and at the customers’ end. The ABB Automation Inc. plant at Ohio in U.S decided to get ISO 14001
registration, as part of its commitment to the environment
• As a requirement for ISO 14001 standard, ABB had to regularly audit its EMS. ABB employed the same external
consultant to train its personnel as internal auditors for this task.
Environmental policy
ABB adopted an appropriate environmental policy addressing the adverse effects of its operations, products and services
on the environment. The environment policy committed ABB to continuously improve its environment performance and
comply with legal regulations. ABB’s top management approved of the policy.
Aspect identification
An aspect is any element of an organisation’s operations, products or services, which has considerable impact on the
environment like waste production, raw material utilisation, and air emissions.
ABB’s implementation team listed all the aspects including minor ones. The team employed an assessment method that
rates each aspect on a scale of 1 to 3 on each of the following criteria:
• Gravity of environmental impact.
• Probability.
• Legal requirements and regulations.
• Civic concerns.
• Financial impact.
Aspects having a cumulative score of 9 and above were considered important and accorded greater priority.
Setting up objectives, targets and programs
ABB’s implementation team set objectives covering all the important environmental aspects. Objectives set specific goals
to be achieved. Targets on the other hand are metrics set to aid the achievement of objectives.
For example, an organisation may have set itself the objective of reducing electricity consumption. One target set to
achieve the objective will be to reduce a particular department’s operating electricity consumption by 10% in the coming
year.
ABB developed programs that helped in achieving its targets and objectives within specified time frames.
EMS procedures
At ABB, environment related procedures were developed and documented in the early stages of EMS implementation.
These documents were stored in the electronic format, as all ABB employees had access to computers. Maintaining
documents in the electronic format makes updation easier.
ABB followed two levels of procedures. One, was that which applied across the entire company. The other included those
that were division or department specific.
While carrying out the conformance audits ABB’s auditors used the companies EMS documented procedures and ISO 14001
standards as references. ABB therefore followed a balanced approach while including procedures to be followed, in their
documentation. While some important procedures need to be documented and adhered to, others are left to the discretion
of the organisation.
Incorporating a procedure in the EMS documentation implies that it would be open to scrutiny and enquiry from external
auditors. Therefore, ABB only included those procedures that would pass the strict scrutiny of audit. For example, an
organisation can exclude MSDS (Material Safety Data Sheet) since it is a matter of safety but not a matter of EMS.
Training, awareness and competence
Appropriate training is necessary for the success of an EMS. At ABB, training sessions improved company wide
environmental awareness. During training, qualified instructors reviewed the important elements of the ABB EMS. After the
training session, employees were tested on their understanding and awareness of their processes and roles. This
awareness training helped ABB during the certification.
Management review
ISO 14001implementation is not to be a one-time event. It is supposed to help an organisation continually improve its
environmental performance. Management review helps an organisation evaluate the progress it is making in relation to its
environment performance. It also helps the organisation make appropriate changes in its policy, objectives and targets,
and resources allocation to enhance the EMS.
Management reviews are mandatory requirement in the ISO 14001 standards. Auditors normally check the minutes of the
management review meetings to ascertain if they were held. They also check if key management personnel attended those
meetings and if all-important issues were discussed adequately.
A list of online links that outline the ISO 14000 Environmental Management System.
Understanding
Following are some online links realting to Best Practices and Case studies in ISO 14001. Also some additional links are
provided to enrich the reading experience.
Given below is a list of ISO 14001 Consultants with a brief on each of them as posted in their
websites.