Document and Data Control in ISO 9000 & ISO 14001

The organization shall establish and maintain procedures for controlling all documents and data required by ISO 9000 & ISO 14001
a) they can be located;
b) they are periodically reviewed, revised as necessary, and approved for adequacy by authorized personnel;
c) current versions of relevant documents and data are available at all locations where operations essential to the effective functioning of the OH&S system are performed;
d) obsolete documents and data are promptly removed from all points of issue and points of use, or otherwise assured against unintended use;
e) archival documents and data retained for legal or knowledge preservation purposes, are suitably identified.
Accidents, incidents, non-conformances and corrective and preventive action
The organization shall implement and record any changes in the documented procedures resulting from corrective and preventive action.
Documents required by the ISO 9000 & ISO 14001 shall be controlled. Records are a special type of document and shall be controlled in accordance with the requirements.
The organization shall establish, implement and maintain procedure[s] to:
a) approve documents for adequacy prior to use;
b) review and update as necessary and re-approve documents;
c) ensure that changes and the current revisions status of documents are identified;
d.) ensure that relevant versions of applicable documents are available at points of use;
e.) ensure that documents remain legible and readily identifiable;
f.) ensure that documents of external origin determined by the organization to be necessary for the planning and operation of the ISO 9000 & ISO 14001 management system are identified and their distribution controlled, and
g.) prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose.

Emergency Preparedness and Response In ISO 14001

Emergency Preparedness and Response In ISO 14001
Under the Emergency Preparedness and Response requirement of ISO 14001:2004 (§4.4.7), the organization is required to establish procedures for identifying the potential for and responding to emergency situations and accidents that can have an impact on the environment.
Identification of Potential Emergency and Accident Situations – Experience indicates that organizations infrequently have a preexisting procedure for identifying potential emergency and accident situations.The norm is to establish emergency and accident responses for a variety of emergency and accident situations irrespective of the potential for their occurrence. But ISO 14001 is specific about requiring a procedure to identify the potential for emergency situations and accidents. Adhering to the requirement of the procedure is a valuable exercise that helps organizations identify weaknesses in their own emergency planning and to plan for that which is most likely to occur.Because many environmental impacts of an emergency or accident situation are secondary in nature, it appears that all potential emergency or accident situations need to be identified before a determination of environmental impacts can be made. An organization that attempts to identify potential emergency or accident situations based on a review of its environmental aspects would likely miss the environmental impact potential of, say, an automobile accident.
There are five steps implied by the emergency preparedness and response requirement:
1) Identify the potential for emergency situations and accidents of all kinds;2) Paying particular attention to the potential environmental impacts of accidents and emergency situations, identify how the organization can prevent and mitigate associated adverse environmental impacts;3) Determine how the organization and its employees should respond to emergency situations and accidents;4) Periodically simulate emergency situations to test response capabilities; and,5) Review and revise procedures based on experience derived from actual and simulated emergency situations and accidents.
Accident and Emergency Situation Identification – In order to identify potential for and responding to emergency situations and accidents, the organization should develop a procedure for systematically identifying accident and emergency situations, evaluating their probability of occurrence, their likely consequences, and their severity.Organizations often engage risk management specialists to assist in the identification of potential emergency or accident situations that could lead to human injury, environmental damage, or economic loss. While many checklists are available to facilitate this kind of evaluation, there is virtually no substitute for physical evaluation of facilities by knowledgeable personnel, whether employees or outside professionals.
Emergency Response Procedures – The organization is required to develop procedures for responding to emergency situations and accidents when they occur. Typically, response procedures include identifying public emergency response agencies and their capabilities, identifying individuals within the organization who are trained and able to provide assistance in emergencies, establishing an emergency communications network, and providing emergency lighting, signage, and equipment. Because Emergency Response Procedures are based on identified potential emergency situations and accidents specific to the organization, the emergency response plan will be unique for each organization.
Periodic Testing – The value of conducting emergency response exercises lies not only with simulating situations that could occur but also in identifying flaws in the response plan. Practice drills can be the most effective test of the system to give employees, emergency response personnel, and management the opportunity to walk through the plan and gain familiarity with its procedures. While a full-dress response exercise is valuable, testing of procedures can be effectively done on much smaller scales and still provide the benefits of testing. Above all, the organization should not let the impracticality of a full-dress exercise keep it from testing sub elements of the emergency response plan.
Review and Revise – ISO 14001 calls for continual improvement of the EMS. Periodically reviewing and revising emergency response plans based on the experience gained from the occurrence of emergency situations or accidents or in testing response plans is an example of continual improvement.
Written Response Plans – Many written emergency response plans are too cumbersome to be of value in an emergency situation – their value depends entirely upon previous training of persons who will be called upon to execute them. Yet, many organizations fail to provide the emergency response training necessary to make the plans functional.Keeping in mind that even the simplest, most direct emergency response plan requires training for effective implementation, an alternative for organizations to consider is establishment of abbreviated, readily available Immediate Response Directions established for each kind of potential emergency situation or accident. Such an emergency response plan might consist of a laminated card prepared for each potential emergency situation or accident and providing specific responsibilities and associated actions for employees and visitors, supervisors, emergency coordinators, and emergency directors.

REQUIREMENTS OF ISO 14001

REQUIREMENTS OF ISO 14001In order to effectively implement and benefit from an ISO 14001 EMS, it is important tohave an understanding of the standard’s requirements. A quick review of the standardshows that it is structured following the Plan, Do, Check, Improve philosophy of theTotal Quality Management movement, as follows:
PLAN4.2 Policy4.3 Planning
DO4.4 Implementation and Operation
CHECK4.5 Checking and Corrective Action
IMPROVE4.6 Management Review
Within these five elements are 17 sub-elements stating the various requirements.
4.2 Policy
4.3 Planning4.3.1 Environmental Aspects4.3.2 Legal and Other Requirements4.3.3 Objectives and Targets4.4.4 Environmental Management Programs
4.4 Implementation and Operation4.4.1 Structure and Responsibility4.4.2 Training Awareness and Competence4.4.3 Communications4.4.4 EMS Documentation4.4.5 Document Control4.4.6 Operation Control4.4.7 Emergency Planning and Response
4.5 Checking and Corrective Action4.5.1 Monitoring and Measurement4.5.2 Nonconformance, Corrective, and Preventive Action4.5.3 Records4.5.4 EMS Audit
4.6 Management Review
Within these 17 sub-elements are all of the requirements, or “shalls”, necessary toconform to ISO 14001. There is no substitute for reading the standard in terms ofrecognizing the requirements. As a matter of fact, no auditor should embark on an auditwithout having easily available the criteria to which they are doing the audit. However,below we briefly summarize the key points of the sub-elements. This summary is notintended to be a replacement for ISO 14001, and should not be used exclusively as suchduring an audit.
Detailed Section by Section Summary4.2 PolicyISO 14001 requires that the organization have a policy statement to drive the EMS.These tend to be short, one page or less documents, and simply affirm the commitments.There is no expectation that specific details be noted in the policy. For example, thecommitment to pollution prevention can simply be stated saying, “we are committed toprevention of pollution”. The policy must be clearly endorsed by top management andbe available to the public and employees. Although the availability to the public can berather passive; i.e. “is here if they want it”, there is an expectation that the employeeawareness is more proactive. Section 4.2 of ISO 14001 lists the other requirements of thepolicy.
4.3.1 Environmental AspectsThis element requires a procedure that not only identifies the aspects and impacts, butalso provides for determination of significance, and keeping the information up to date.ISO 14001 does not prescribe what aspects should be significant, or even how todetermine significance. However, it is expected the organization will develop aconsistent and verifiable process to do so.
4.3.2 Legal and Other RequirementsThis is a requirement for a procedure that explains how the organization obtainsinformation regarding its legal and other requirements, and makes that informationknown to key functions. This is not the assessment or compliance audit requirement, butrather a more up front determination of requirements.
4.3.3 Objectives and TargetsThere is no requirement for a procedure in this element, only that objectives and targetsbe documented. It does require that certain items be considered in developing theobjectives, such as legal requirements and prevention of pollution. It is sometimeseasiest to develop a procedure anyway for this element to be able to verify theseconsiderations were made.
4.3.4 Environmental Management Programs (EMP)EMPs are the detailed plans and programs explaining how the objectives and targets willbe accomplished. These EMPs usually note responsible personnel, milestones and dates,and measurements of success. Noting monitoring and measurement parameters directlyin the EMP facilitates conforming to 4.5.1 on Monitoring and Measurement discussedbelow.
4.4.1 Structure and ResponsibilityISO 14001 requires that the relevant management and accountability structure be definedin this element. This usually takes the form of an organizational chart. Also, theorganization must denote the Management Representative who is responsible to overseethe EMS and report to management on its operation.
4.4.2 Training Awareness and CompetenceThe key point in this element is that personnel must receive applicable training regardingthe EMS. Specific requirements are itemized in ISO 14001, and include general,company-wide items such as knowing the policy, to more function-specific training onaspects and emergency response. An organization usually responds to this element with atraining matrix, cross-referencing to training materials and records.
4.4.3 CommunicationsProcedures are required for both internal and external communications. Note that ISO14001 only requires procedures, and allows the organization to decide for itself thedegree of openness and disclosure of information. Whatever the decision in terms ofdisclosure, that decision process must be recorded.
4.4.4 EMS DocumentationThis requirement is simply that the organization has documented the system in eitherelectronic or paper form such that it addresses the elements of the standard and providesdirection to related documentation. Not all ISO 14001-required procedures need to bedocumented, as long as the system requirements can be verified.
4.4.5 Document Control.Procedures are required to control documents, such as system procedures and workinstructions, and to ensure that current versions are distributed and obsolete versions areremoved from the system.
4.4.6 Operational ControlThis element is the one which connects the EMS with the organization as a whole. Here,the critical functions related to significant aspects and objectives and targets are identifiedand procedures and work instructions created to ensure proper execution of activities.Requirements for communicating applicable system requirements to contractors are alsoaddressed.
4.4.7 Emergency Planning and ResponseAlthough typically addressed through conventional emergency response plans, thiselement also requires that a process exist for identifying the potential emergencies, inaddition to planning and mitigating them. A linkage to the aspects analysis, whereimpacts are assessed, is appropriate. Emergency incidents include those that may not beregulated, but may still cause significant impact as defined by the organization.
4.5.1 Monitoring and MeasurementProcedures are required describing how the organization will monitor and measure keyparameters of operations. These parameters relate to the significant aspects, objectivesand targets and legal and regulatory compliance. In order to properly manage the system,measurements must be taken of its performance to provide data for action. Responses tothis element usually cross reference to many other specific procedures and workinstructions describing measurement and equipment calibration. It is in this element thatwe find the requirement for what is commonly referred to as a compliance audit.
4.5.2 Nonconformance, Corrective, and Preventive ActionThis element requires procedures for acting on Non-conformances identified in the system,including corrective and preventive action. Non-conformances may be identified throughaudits, monitoring and measurement, and communications. The intent is to correct thesystem flaws. Typically, Corrective Action Report (CAR) forms are the norm, noting thenonconformance, the suggested fix, and closure of the action when completed. Note thatthis requirement does not imply in any way that the party identifying the nonconformancemust be the one to suggest the fix. Instead, it is expected that the system provide for theinformation to be routed to the most appropriate party to address the concern.
4.5.3 RecordsRecords are expected to exist to serve as verification of the system operating. Forexample, records include audit reports and training records. Unlike controlleddocuments, records are “once and done” documents, resulting from the execution of someprocess or procedure. Procedures in this element are required for the maintenance ofrecords.
4.5.4 EMS AuditsISO 14001 requires that the system provide for internal audits. This procedures(s) willinclude methodologies, schedules, and processes to conduct the audits. Interestingly, theEMS audit will in essence, audit the audit process itself!
4.6 Management ReviewThis element requires that periodically, top management will review the EMS to ensure itis operating as planned. If not, resources must be provided for corrective action. Forareas where there are no problems, the expectation is that with time, management willprovide for improvement programs. Usually there is no detailed procedure for thiselement, although records of agendas, attendance, and agreed upon action items aremaintained as verification.

Conducting An Initial Environmental Review in EMS

Conducting An Initial Environmental Review in ISO 14001 EMS

An initial environmental review covers all the aspects of an EMS. As a result of this review the organization knows its strengths and weaknesses, risks and opportunities regarding the current status of its EMS. The gap between the requirements of the EMS standard and the actual status of the organization shows which aspects the organization should focus its efforts on to improve the system. This leads directly to the development of an environmental management program that should fill the gaps.

The review should focus on three key areas:
- Examination of existing environmental management practices and procedures
- Identification of significant environmental impacts and their priority
- Identification of legal and regulatory requirements

1. Examination of Existing Environmental Management Practices and
Procedures
The methodology for assessing existing environmental management practices and procedures is proposed here using a questionnaire. The review team fills out this questionnaire by interviewing appropriate people, by analyzing existing documents and procedures dealing with environmental issues and by collecting information about environmental aspects of the organization's operations, products and services.
By conducting the initial environmental review, an organization-specific profile of strengths and weaknesses can be drawn up. Because the score in each EMS area shows the effort needed in terms of financial and human resources,the organization knows where to focus its efforts when building up an EMS and where the largest effort is needed.

2. Identification of Significant Environmental Aspects and their Priority
An environmental policy requires top management to set priorities regarding environmental aspects. An initial review clearly shows where to set priorities regarding the EMS itself. But, it does not help to set priorities among different environmentalproblems. Many top managers feel pressure to do something for the environment and thus embark on some form of ・Eenvironmental activism・E often containing many isolated activities, but no clear direction. One way to solve this problem is to develop a so called ・Environmental exposure portfolio・E
The first step of this portfolio analysis is to assess the exposure and therefore the importance of different environmental aspects for an organization's overall performance.
The appropriate perspective and priorities of the environmental policy will differ depending on this preliminary analysis. The analysis should be conducted from the perspective of the stakeholders of the organization, their needs and their importance for the success of the organization. The degree of exposure to different environmental aspects should guide the involvement and perspective of an organization when implementing an EMS. Evaluating exposure to environmental aspects is important, because this exposure is likely to influence the organization's success sooner or later, either through new legislation, public or consumer perception and behavior or otherwise.
The analysis of the expected exposure of an organization to different environmental problems and the weight given to these aspects by various stakeholders enables management to focus on environmental issues that are a high priority to the organization. This is represented in the quadrant in the upper right corner of the environmental exposure portfolio. However, the two quadrants on the left must also be observed, although less vigorously. Issues with low public priority, to which the firm contributes heavily become a problem as soon as the perception of the stakeholders and the public environmental policy changes (the quadrant in the upper left corner of the portfolio). That this can happen very rapidly is obvious, for example from Shell`s ・Brent Spar・Edumping case (detailed information about this case is available from Shell or Greenpeace at their respective WWW-sites). Investments in new production technology, products and services can increase the environmental impact of the organization when not anticipated early enough. In this case, a problem ranked in the lower right corner of the portfolio would shift to the field with the highest priority. Problems ranked in the lower left corner are of no priority. No measures should be taken here.

3. Identification of Legal and Regulatory Requirements
The identification of legal and regulatory requirements assesses two levels of an organization:
- production-related environmental regulations
- product- and service-related environmental regulations
The former addresses the production department while the latter addresses the marketing
and R&D departments. Basically, three questions must be answered:
- Which are the relevant environmental regulations? (= target)
- Is the current situation in the organization known? (= actual)
- Does the organization comply with relevant regulations? (=gap)
The methodology used here is a questionnaire. To obtain information about environmental regulations the following information sources can be used:
- governmental authorities
- industry associations
- daily newspaper
- university publications (law departments)

The ISO 14000 Challenge

The building blocks of an environmental management system is an understanding of aspects and impacts.
Implementing ISO 14001 begins with identifying how an organisation’s business activities impact on the
environment.
Many organisations believe they are already aware of the significant aspects and impacts of their operations.
The process of implementing ISO 14001 may uncover significant impacts not previously identified and allows
for a consistent approach to analysis.
Generally this analysis is done department by department or centre by centre.
It is best if it is a team approach that involves the employees who do the activity. An employee’s
familiarity with a task is essential for both the identification of the environmental impacts of business
activities and the determination or implementation of control measures.
An aspect is any element of an organisation’s activities, products or services that can interact with the
environment.
An impact is the change caused to the environment.
Impacts may occur during normal and abnormal operating conditions, such as accidents and
emergencies.
Aspects can often be isolated by analysing the inputs and outputs of an activity.
EVALUATION OF IMPACTS
Once the impacts have been determined they have to be evaluated.
Criteria for evaluation include environmental concerns such as the severity of the impact, and business
concerns such as potential regulatory and legal exposure, the probability of the impact occurring, the
cost of changing the impact and effect on public image.
This type of evaluation highlights the significant impacts. These, in turn, determine the significant
aspects. Once the significant aspects have been determined, targets and objectives can be set.

What Is an Environment Management System (EMS) ?

An EMS can be described as a program of continuous environmental improvement that follows a defined sequence of steps drawn from established project management practice and routinely applied in business
management. In simple terms these steps are as follows:
• Review the environmental consequences of the operations.
• Define a set of policies and objectives for environmental performance.
• Establish an action plan to achieve the objectives.
• Monitor performance against these objectives.
• Report the results appropriately.
• Review the system and the outcomes and strive for continuous improvement.
Not every system will present these steps in exactly the same way, but the basic principles are clear and easily understandable.
The ISO 14000 series is a series of standards for different aspects of environmental management. A number of these standards relating to environmental management systems have been adopted formally by
the members of the ISO, while others are in different stages of preparation.
The standards that have been adopted are (as of early 1997):
ISO 14001-1996 Environmental management systems:
specification with guidance for use
ISO 14004-1996 Environmental management systems:
general guidelines on principles, systems, and supporting techniques
ISO 14010-1996 Guidelines for environmental auditing:
general principles of environmental auditing
ISO 14011-1996 Guidelines for environmental auditing:
audit procedures; auditing of environmental management systems.
ISO 14012-1996 Guidelines for environmental auditing:
qualification criteria for environmental auditors Standards currently available as draft international standards:
ISO 14021 Environmental labels and declarations:
self-declaration environmental claims; guidelines and definition and usage of terms.
ISO 14040 Environmental management: life cycle assessment; principles and framework
ISO 14050 Environmental management: vocabulary More than half a dozen others in this series have been drafted and are under discussion.

ISO 14001 STANDARD

ISO 14001 is in fact a series of international standards on environmental management. It provides a framework for the development of an [url=htttp://www.iso9001store.com/]environmental management system[/url] and the supporting audit programme.
The ISO 14001 series emerged primarily as a result of the Uruguay round of the GATT negotiations and the Rio Summit on the Environment held in 1992. While GATT concentrates on the need to reduce non-tariff barriers to trade, the Rio Summit generated a commitment to protection of the environment across the world.
After the rapid acceptance of ISO 9000, and the increase of environmental standards around the world, the International Standards Organisation (ISO) assessed the need for international environmental management standards. They formed the Strategic Advisory Group on the Environment (SAGE) in 1991, to consider whether such standards could serve to:
Promote a common approach to environmental management similar to quality management;Enhance organizations’ ability to attain and measure improvements in environmental performance; andFacilitate trade and remove trade barriers.In 1992, SAGE’s recommendations created a new committee, TC 207, for international environmental management standards. This committee and its sub-committees included representatives from industry, standards organizations, government and environmental organizations from many countries. What developed was a series of ISO14000 standards designed to cover:
-environmental management systems-environmental auditing-environmental performance evaluation-environmental labelling-life-cycle assessment-environmental aspects in product standards
ISO 14001 was first published as a standard in 1996 and it specifies the actual requirements for an environmental management system. It applies to those environmental aspects over which an organization has control and where it can be expected to have an influence.
ISO 14001 is often seen as the corner-stone standard of the ISO 14000 series. It specifies a framework of control for an Environmental Management System and is the only ISO 14000 standard against which it is currently possible to be certified by an external certification body. However, it does not in itself state specific environmental performance criteria.