Understanding and Implementing ISO 14000

Environmental Management Systems (EMS)

Course Objectives
Understanding of ISO 14000 Requirements Process and Practice in Implementing ISO 14000 Deliverables from each participant: 1. Pass the training Exam 2. Trained at least one batch to Next Level.

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Contents
Chapter 1 - Introduction to ISO 14000 Chapter 2 - Formulate EMS Strategy Breakout One - Defining EMS Scope Chapter 3 - Define Environmental Policy Breakout Two - Drafting an Environmental Policy Chapter 4 - Identifying Significant Environmental Aspects Breakout Three - Identifying Environmental Aspects and Impacts Breakout Four - Conducting an Environmental FMEA Chapter 5 - Establishing Objectives, Targets and Programs Breakout Five - Defining Objectives, Targets and Programs

Chapter 6 - Defining Organization, Training and Communication

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Contents Continued
Chapter 7 EMS Documentation Breakout Six - Defining Documentation Requirements Breakout Seven - Combining ISO 9001 and ISO 14000 Documentation Chapter 8 - Establishing Operational Controls Breakout Eight - Developing a Control Plan Breakout Nine - Documenting Operational Control Procedures Chapter 9 - Measurement, Monitoring and Improvement Breakout Ten - Taking Corrective Action Chapter 10 - Conducting Management Reviews Breakout Eleven - Conducting Management Reviews Appendix A: Market Analysis Appendix B: U.S. Government Regulations

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Chapter 1 Introduction to ISO 14000

What is an Environmental Management System?

Part of an organizations management system used to develop and implement its environmental policy and manage its environmental aspects.
(ISO 14001:2004)

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Stakeholders
ISO 14001-EMS Customer Stockholder Regulatory Agencies Employees Community ISO/QMS Customer ISO/TS 16949 Customer Stockholder Regulatory Agencies Employees

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ISO 14000 Background

International Organization for Standardization Established in 1946 Based in Geneva Over 12,000 published standards Published ISO 9000 standards in 1980s ISO 14000 standards in 1990s ISO work carried out by 125 technical committees ISO/TC 207 formed in 1993

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Conformance Verification Levels

Third party certification - registrar Second party assessment - customer evaluation Self declaration - self assessment All plants of Apollo Tyres are certified by TUV Sud (Third party) The Certification agency TUV Sud of Apollo Tyres is known for its high standards and effective audits. By virtue of this major MNC such as FORD, General Motors, Mercedes India, Hyundai, Honda Motors etc. are certified by TUV Sud only. Audit done by customer such as Ford recently is a second party assessment Internal audit is self assessment Omnex, Inc.
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Third Party Registration

ISO/TC 207
EMS Technical Committee

ANSI/RAB USA

UKAS UK

SCC Canada

National Accreditation Bodies (IAF for Apollo Tyres : German Association)

Registrars (TUV Sud for Apollo Tyres) AQSR BSI

Company A

Company B

Companies

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Benefits Include
Enhance image and market share Improve cost control Conserve input materials, water and energy Facilitate permits and authorizations Improve industry-government relations Possible marketing advantage Conformity to international standards In Apollo Tyres after ISO 14001 certification : Plant Environment standard increased substantially including capturing of environment risk situations in more comprehensive manner with better analysis.
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Potential Concerns
Effect on how we do business (prescriptive) Inflexibility caused by interpretations Regulatory bodies may use for performance enforcement Regulatory bodies may use to determine criminal penalties May be used to create trade protection barriers

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ISO 14000/9000 Similarities

Not a performance standard System for setting and maintaining process control parameters Provides common sense guidelines Standardize EMS programs Well-defined personnel responsibilities Many similar requirements EMS may integrate into QMS-50%-60% In Apollo Tyres QMS, EMS , OHSAS common manual, common procedures and other documents. Almost 60% documents are common.
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ISO 14000 Standards

ISO 14001 EMS Specifications (Published 2004) ISO 14004 EMS Guidelines on Principles, Systems and Supporting Techniques (Published 2004) ISO 14002 EMS Guide on ISO 14001 for Small and Medium Sized Industries (Project Team Assessment)

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Environmental Compliance vs. EMS Conformity

ISO 14001:2004:
commitment to comply with applicable legal requirements procedure to identify and have access to legal and other requirements When establishingits objectivestake into account the legal and other requirements procedure for periodically evaluating compliance with applicable legal requirements

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Environmental Compliance vs. EMS Conformity

14000 Requires: commitment to comply with relevant environmental legislation and regulations procedure to identify and have access to legal and other requirements ...consider the legal and other requirements in objectives and targets procedure for periodically evaluating compliance with environmental legislation and regulations Framework for improving and maintaining compliance Systematically detect and correct nonconformances that can lead to violations Responsibility, resources, communication, planning, review, checking, etc.

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ISO 14001 and OSHA

OSHA standards deal with occupational safety and health ISO 14001 deals with the environmental policies and impact OSHA regulations and EMS management standards are currently not related No current plans for ISO Safety Health Standard (were rejected) Employee Environment?

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ISO 14001 - Intent

Demonstrate sound environmental performance by controlling the impact of activities, products and services Conduct reviews and audits within a structured management system Integrate reviews and audits with overall management activities Provide elements of an effective EMS Specify requirements applicable to all types and sizes of organizations Accommodate diverse geographical, cultural, and social conditions

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ISO 14001 - Intent

Enable organizations to achieve conformance and demonstrate such conformance to others Support environmental protection Prevent pollution in balance with socioeconomic needs Assure interested parties that one appropriate EMS is in place

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ISO 14001 - Intent

ISO 14000 does not require 100% compliance with Governmental Environmental Regulations ISO 14000 does not include aspects of occupational health and safety management Shares common management system principles with ISO 9000

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What is an Environmental Management System?

Policy and Goals Planning Process Implementation

Management Review

Checking and Corrective Action

Operation

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What is an Environmental Management System?

Management Review

Policy

Planning Env. aspects Legal & Other requirements Objectives & Env.

Management
review

Act

Plan

programme(s) Implementation and Operation

Checking and Corrective Action

Continual improvement Check

Monitoring and
measurement Evaluate Compliance Non-conformance corrective and preventive action Records Auditing

Structure & responsibility Training, Do Communication EMS documentation Document & data control Operational control Emergency preparedness & response
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ISO 14001 Scope

Specifies Requirements Enable an organization to formulate policy and objectives, taking into account... Legislative requirements Significant environmental impacts Applies to environmental aspects which the organization can control and be expected to have an influence Does not state specific environmental performance criteria

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ISO 14001 Scope

ISO 14001 applies to any organization that wishes to:
Implement, maintain, and improve an EMS Assure itself of conformance with its stated environmental policy Demonstrate such conformance to other parties Seek registration of its EMS by an external organization Make a self-determination and self-declaration of conformance with ISO 14001

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ISO 14001 Scope

The extent (and execution) of the application will depend on the: Organizations environmental policy Nature of the organizations activities Operational conditions

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ISO 14001: Key EMS Definitions

What is the environment? Surroundings in which an organization operates, including:
Air Water Land Natural resources Flora Fauna Humans

AND THEIR INTERACTION.

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ISO 14001: EMS Definitions

Environmental Aspect: Element of an organizations activities, products, or services that can interact with the environment. ISO 14001 requires you to know your aspects and rate their significance.

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ISO 14001: EMS Definitions

Environmental Impact: Any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organizations environmental aspects. ISO 14001 requires you to identify actual and potential impacts.

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ISO 14001: Aspects and Impacts

 Activity = chrome plating / ETP sludge removal


Aspect = Cause = chrome waste disposal/ Disposal of sludge

 Impact = Effect = soil or waste water contamination / Land contamination

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ISO 14001: Aspects and Impacts

 Product = aluminum wheels / Tyre  Aspect = Cause = recycle defective wheels / Disposal of rejected Tyre  Impact = Effect = remove from landfill / Land Contamination

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ISO 14001: Aspects and Impacts

 Service = solvent supply for tool cleaning / Naphtha supply for Tyre Curing and other process  Aspect = Cause = solvent (hazardous) waste disposal / Excess use of Naptha  Impact = Effect = soil and water contamination / Resource conservation

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ISO 14001: EMS Definitions

What is the environmental policy? Overall intentions and direction of an organization related to its environmental performance as formally expressed by top management. The environmental policy provides a framework for action and for the setting of environmental objectives and environmental targets.

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ISO 14001 Definitions

Environmental Objective:
Overall environmental goal, consistent with the environmental policy, that an organization sets itself to achieve.

Environmental Target:
Detailed performance requirement, applicable to the organization or parts thereof, that arises from the environmental objectives and that needs to be set and met in order to achieve those objectives. e.g. Zero discharge of effluent outside the premises, Energy saving by 2% in Year of 2011, Ensure 100% legal compliance etc. Environmental objectives of various Apollo Tyres Units are different from Unit to Unit because Env. Risks are different in all Units.
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Introduction to ISO 14001 Standard

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Best-in-Class Systems
Minimize effort when performing Simple to implement Easy to maintain Provide high performance with value added

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Chapter 2 ormulate EMS Strategy

4.1 EMS Requirement

Intent

That the organization has: Environmental Management System (EMS) Shows effective implementation of the system
Requirements

Establish, document, implement, maintain and continually improve an environmental management system meeting the requirements of this International Standard Determine how to fulfill requirements Define and document the scope of the system
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4.1 EMS Requirement - Guidance

Ensure Top Management commitment Vital for EMS success vs. failure Support company environmental responsibilities Take responsibility for EMS implementation May not be delegated Must play active and visible role Examples: Active participation Define and implement key policies Allocate resources Review and approve processes Apply influence and support Maintain EMS as priority

COMMITMENT MUST BE MAINTAINED!

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4.1 EMS Requirement - Guidance

Form an EMS Steering committee Multidisciplinary Representation from various levels of management and business groups Appropriate expertise Knowledge of operations Proficiency in auditing techniques Review products and services Look for potential benefits Secure top management commitment and leadership Analyze opportunities to structure a process for continual improvement Flexibility to define system parameters

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4.1 EMS Requirement - Guidance

Conduct an initial environmental review considering: Identification of environmental aspects Identification of legal and other environmental requirements Examination of existing environmental practices and procedures Evaluate previous environmental emergencies and accidents

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4.1 EMS Requirement - Guidance

Define scope of EMS: Products and services? Facilities or parts of facilities? Define EMS documentation structure: Type of documentation Media Joint with QMS? Develop EMS implementation plan: Timeline Responsibilities Resources
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Requirement

Observations

EMS Checklist

1. Applicable environmental legislative and regulatory requirements (see Appendix B)

2. Preliminary environmental aspects of activities, products and services

3. Evaluation of environmental performances with relevant criteria, regulations, etc.

4. Existing EMS practices

5. Existing policies and practices related to procurement

6. Feedback from incidents

7. Opportunities for competitive advantage

8. Views of interested parties

9. Functions of other organizations that can enable or impede environmental performance

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Breakout Activity

Breakout One - Defining EMS Scope

Please refer to your Breakout Book

Scope for Apollo Tyres : "Design and Manufacturing of Tyres"

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Chapter 3 Define Environmental Policy

4.2 Environmental Policy

Intent Organization has an environmental policy defined by top management Requirements Top management defines the environmental policy Top management ensures that, within the defined scope of the EMS, it: Is appropriate Includes a commitment to continually improve and prevent pollution Includes a commitment to comply with applicable legal requirements and with other requirements Provides the framework for objectives and targets Is documented, implemented and maintained Is communicated to all workers Is available to the public

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4.2 Environmental Policy - Guidance

After reviewing the results of an initial environmental review, an EMS Policy should be written. It should reflect top managements commitment. It should provide real direction. The best practice is for the policy to be written by a team led by top management. A record of any meeting should be maintained. The EMS Policy should be communicated to all persons working for or contracted by the organization. Records of the communication methods should be maintained. The EMS Policy should be reviewed and updated periodically as necessary. Records of any meetings should be maintained. Identify means of making policy available to the public.

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4.2 Environmental Policy - Guidance

EMS Policy - Considerations
Built on organizational mission and objectives, vision, values and beliefs What is business focus? Incorporate vision, core values, beliefs, and ethical positions Account for organizations cultural, local and regional conditions Consider organizational image, guiding principles and other organizational policies Consider interested party views Commit to continual improvement, prevention of pollution, and regulatory compliance Local and regional conditions

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4.2 Environmental Policy - Guidance

Potential Issues
Minimize significant environmental impacts of existing processes and new developments Environmental performance evaluation and indicators Life-cycle thinking Product design to minimize environmental impacts in production use and disposal Prevent pollution, reduce waste and resource consumption Recover and recycle to minimize disposal
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4.2 Environmental Policy - Guidance

Potential Issues
Provide education and training Communicate with other organizations and interested parties Encourage use of EMS by subcontractors Sustainable development Defined by top management? Continual improvement

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EMS Requirement 4.2 - Guidance

Policy Requirements 1. Top executive responsibility 2. Ensure policy is implemented, communicated, and understood by organization 3. Appropriate to nature, scale, and environmental impact of activities products and services 4. Commitment to continual improvement 5. Commitment to prevention of pollution 6. Compliance to legislative and other requirements 7. Set and review environmental objectives and targets 8. Policy documented, implemented and maintained and communicated to employees 9. Available to the public ISO 14001
X X X X X X X X X

ISO 9001
X X N/A X N/A N/A X X N/A

QS9000
X X N/A X N/A 4.9 X X N/A

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Breakout Activity
Breakout Two - Drafting an Environmental Policy
Please refer to your Breakout Book IMS Policy Apollo Tyres: We, at Apollo Tyres, will ensure that all our manufacturing and associated functions use a fact-based approach to continually improve systems and processes, which create excellence in product and service quality, minimizes environmental impact, safeguards employee health and safety, and strives to exceed requirements and expectations of our customers, business partners and statutory authorities.
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Chapter 4 Identifying Significant Environmental Aspects

4.3 Planning
Environmental planning consists of identifying environmental aspects of the organizations activities, products or services and their impacts, legal and other requirements to which it subscribes, setting objectives and targets, and developing environmental management programs to fulfill these objectives Clause 4.3 is therefore divided into three sub-clauses: 4.3.1 - Environmental Aspects 4.3.2 - Legal and other requirements 4.3.3 Objectives, Targets and Programs

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Identify Scope of Environmental Planning

Plant Departments Processes (activity/service) that have environmental aspects
Ground Water

Natural Resource

Surface Water Land

Flora/Fauna Humans Air

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4.3.1 Environmental Aspects

Intent

To provide a process for an organization to identify environmental aspects of the organizations activities, products or services, and their actual or potential impact on the environment The organization should consider all environmental aspects as a basis for establishing its EMS

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4.3.1 Environmental Aspects

Requirements Establish and maintain a procedure(s): To identify the environmental aspects of its activities, products and services within the defined scope of the EMS and taking into consideration new developments, products, etc. To determine those aspects that have or can have significant impact(s) on the environment Document significant aspects and keep it up-to-date Ensure that the significant environmental aspects are taken into account when establishing the EMS
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4.3.1 Environmental Aspects Guidance

Identifying Environmental Aspects

Inputs
Raw and auxiliary materials Hazardous materials Water Energy

Processes
Analysis Levels: I. Company II. Department III. Process

Outputs
PRODUCT Air emissions Solid waste Ground pollution Hazardous waste Other emissions (noise, heat)

What enters the process? Waste water What comes out as product? What are the production and cleaning processes? Are there environmental or occupational problems? Are oil or chemical substance stored underground risking soil contamination?
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4.3.1 Environmental Aspects - Guidance

Establish a process for identifying and evaluating environmental aspects. This should include the activity, product or service involved; aspect; impact; severity and current controls. When evaluating aspects, employ an objective method of establishing severity of the impact of aspects Consider all types of aspects including: Emissions to air Emissions to water Releases on land Use of raw materials and natural resources Use of energy Energy emitted Waste Physical attributes (size, shape, etc.)

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4.3.1 Environmental Aspects - Guidance

Consider aspects that the organization can influence Consider all of the organizations activities, products and services Identify measurements appropriate to each significant aspect that can be used to set objectives Identify the activities, processes or products that need to be controlled to control and minimize the impact of the significant aspects The process should be conducted in a practical manner. It is not anticipated that the process will require life cycle analysis.
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4.3.1 Environmental Aspects - Guidance

EMS Impact Evaluation
Evaluation should include: Projects, processes, products, services Supplier chain and raw materials Other resources: e.g., water, energy Disposal chain and customers Stakeholders Evaluate on: Direct and indirect impacts Positive and negative impacts Possible, normal and abnormal energy impacts

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4.3.1 Environmental Aspects - Guidance

EMS Impact Evaluation
Methods may vary Risk assessment Regulatory compliance FMEA Conformity with organizational standards Best industry practice (benchmarking)

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Objectives Methodically review activities, products, and services to identify environmental aspects and impacts.

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Aluminum Melting Die Casting of Aluminum Parts Publishing of Printed Materials Vehicle Maintenance and Repair Chemical Storage Warehouse Underground fuel storage This can be at company, department or process levels, as appropriate.

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Identifying Aspects and Impacts

Inputs What enters the activity, product or service (process) being analyzed? Raw and auxiliary materials Hazardous materials Water Energy

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Identifying Aspects and Impacts

Outputs What exits from the activity, product or service Products Bi-products Waste Heat/Cold Fumes

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Identifying Aspects and Impacts

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Identifying Aspects and Impacts

Examples of Aspects: Hazardous waste disposal Potential for spillage of solvents Recycling of defective aluminum parts VOC emissions Potential for underground tank leaks

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Identifying Aspects and Impacts

Impacts Review aspects Determine positive and negative impacts on environment Examples Water or soil contamination Air pollution

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Chapter 5 Establishing Objectives, Targets and Programs

4.3.2 Legal and Other Requirements

Intent To provide a mechanism for identifying and maintaining a list of relevant regulatory and other requirements that apply to the environmental aspects of the organizations operations, products, and activities - this will ensure that the organization can meet the commitment in the policy Requirements Establish and maintain a procedure(s): To identify and have access to the applicable legal requirements and other requirements To determine how these requirements apply Ensure that these applicable legal requirements and other requirements are taken into account in establishing the EMS

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ederal Environmental Statutes

Pollution Prevention Act National Environmental Policy Act Clean Air Act Clean Water Act Ocean Dumping Act Oil Pollution Act Safe Drinking Water Act Federal Insecticide, Fungicide and Rodenticide Act Resource Conservation and Recovery Act/Solid Waste Disposal Act Toxic Substances Control Act Occupational Safety and Health Act Comprehensive Environmental Response, Compensation and Liability Act Emergency Planning and Right-To-Know Act

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4.3.2 Legal and Other Requirements Guidance

Legal requirements include national, state and local laws and regulations. If there is not staff familiar with these matters, look to an outside expert, industry association or service for the information. The requirement is to have access. Other requirements can mean many things including: Agreements with public authorities, customers, community groups Non-regulatory guidelines Voluntary principles or guidelines Requirements of the company, trade associations or the public
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4.3.2 Legal and Other Requirements Guidance

Issues: How does the organization access and identify relevant legal and other requirements? How does the organization keep track of legal and other requirements? What about changes? How does the organization communicate relevant information on legal and other requirements to employees?

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4.3.2 Legal and Other Requirements Guidance

Types: Those specific to an activity General environmental laws, licenses, and permits Agreements with public authorities (POTWs) Industry-specific regulations Regulations specific to an organizations products or services Chambers of commerce Industry associations

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4.3.2 Legal and Other Requirements Guidance

Sources: Local, state, and federal government Industry associations or groups Commercial databases Professional services Where?
On-line CD databases Newsletters and specialty publications Federal Register Lawyers and Consultants Seminars

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4.3.2 Legal and Other Requirements Guidance

Considerations: Manual of regulations not required Keep at least one set of applicable regulations Ensure compliance and keep abreast of changes and amendments Incorporate the procedure with other business practices so that environmental regulations and concerns are central business concerns

09 File

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4.3.3 Objectives, Targets and Programs

Intent To establish and maintain documented objectives and targets, taking into consideration significant aspects, legal and other requirements to improve the EMS or environmental performance, technological options, financial, operational and business requirements, and views of interested parties The organization will set environmental goals (objectives) with associated performance requirements (targets) that are based on the environmental policy To establish a means for the organization to achieve its objectives and targets This is considered a key element to successful implementation of an EMS, defining how the objectives and targets will be achieved, including time-frames and responsibilities Programs must, where applicable, be modified to reflect new or changed activities or products
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4.3.3 Objectives, Targets and Programs

Requirements Establish environmental objectives and targets at relevant functions and levels within the organization that are: Measurable, where practicable Consistent with the environmental policy Take into account the legal requirements and other requirements to which the organization subscribes, and its significant environmental aspects Consider technological options, financial, operational and business requirements, and the views of interested parties Establish a program for achieving its objectives and targets including: Designation of responsibility at relevant functions and level of the organization Means and time-frame

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4.3.3 Objectives, Targets and Programs Guidance

Define objectives and targets in terms of the measurements identified during the analysis of significant environmental aspects. Levels and timing should be identified. Consideration should be given to short and long term issues. Programs should be identified for each objective. Programs should be defined and managed, employing project management tools including timelines, responsibilities and resources required. They should consider improvements involving activities, processes, products and services. The full life cycle of each should be considered.
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4.3.3 Objectives, Targets and Programs Guidance

What is an Environmental Objective? Overall environmental goal, consistent with the environmental policy, that an organization sets itself to achieve What is an Environmental Target? Detailed performance requirement, applicable to the organization or parts thereof, that arises from the environmental objectives and that needs to be set and met in order to achieve those objectives.

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4.3.3 Objectives, Targets and Programs Guidance

Development: Use Environmental Policy as guide for objectives Translate policy into specific and measurable terms Measure objectives with targets Targets should reflect time requirements and be numerical Incorporate into strategic business plan

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4.3.3 Objectives, Targets and Programs Guidance

Relationships Examples: Policy: Reduce Objective: Recycle more Target: Increase aluminum solid waste aluminum scrap recycling by scrap 10% by 5/2005

Policy: Reduce air Objective: Reduce VOC emissions emissions

Target: Install and operate new pain sprayers to reduce VOCs by 50% by 12/2006

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Breakout Activity

Breakout Five - Defining Objectives, Targets and Programs

Please refer to your Breakout Book

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Chapter 6 Defining Organization, Training and Communication

4.4.1 Resources, Roles, Responsibility and Authority

Intent The organization must define and document the roles and responsibilities required to facilitate effective environmental management The organization must provide the resources needed to develop, implement, and maintain the EMS The organization must appoint an Environmental Management representative

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4.4.1 Resources, Roles, Responsibility and Authority

Requirements Management must ensure the availability of resources for the EMS including: Human resources and specialized skills Organizational infrastructure Technology Financial resources Define, document and communicate roles, responsibilities and authorities Top management must appoint a specific management representative(s) with responsibility for: Ensuring that an EMS is established, implemented and maintained in accordance with the requirements of this International Standard Reporting to top management on the performance of the EMS, including recommendation for improvement
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4.4.1 Resources, Roles, Responsibility and Authority - Guidance

Develop an implementation plan for the EMS that includes identification of all resources required for its effective implementation and operation. Make sure that there is a record of approval of the plan by top management Identify all jobs with roles and responsibilities associated with the EMS. This should not be confined to the environmental management positions only, but should include all jobs with any impact on the EMS. Then develop an organization chart. Define all objectives, responsibilities and authorities, skills and education required for each job and record this information on job descriptions. Assign an EMS Management Representative and ensure that he/she receives appropriate training for this role.

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4.4.1 Resources, Roles, Responsibility and Authority - Guidance

Personnel Issues: Define and document organizational structure of EMS Identify employees whose work functions impact, or potentially impact, the environment All employees responsible for environmental performance; delegate authority Create understanding for authority Organizational charts(outline technical and functional interfaces) Clarify job function, boundaries of authority, and responsibility Identify communication lines Detail depends on environmental impact
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4.4.1 Resources, Roles, Responsibility and Authority - Guidance

The Management Representative: Responsible for the EMS implementation, maintenance, and improvement Report to CEO and upper management Team approach for larger organization Attributes: Project management Good facilitator and communicator Information systems Analytical Research Auditing

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4.4.1 Resources, Roles, Responsibility and Authority - Guidance

The Management Representative: Understand organizations purpose, structure and flow Create company-wide involvement Requires knowledge of organizations environmental issues Authority to establish, implement, maintain and enforce the Standard

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4.4.1 Resources, Roles, Responsibility and Authority - Guidance

Resource Issues: Define appropriate resources and make them available Human - skills, numbers Physical - plant, facilities, equipment Financial - $$$ Assess benefits and costs of EMPs

Costs of pollution control Wasted and recovered resources Disposal costs

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4.4.2 Competence, Training and Awareness

Intent

To provide the required training, skills and competence for the fulfillment of the environmental objectives and targets, and to ensure effective environmental management, at all levels of the organization

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4.4.2 Competence, Training and Awareness

Requirements Ensure that personnel are competent on the basis of appropriate education, training or experience and retain associated records Identify training needs Provide training or take other action to meet these needs, and retain associated records Establish a procedure to make personnel aware of: Importance of conformity with the environmental policy and procedures and with the requirements of the environmental management system Significant environmental aspects and impacts associated with their work, and the environmental benefits of improved personal performance Roles and responsibilities in achieving conformity with the requirements of the environmental management system Potential consequences of departure from specified procedures

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4.4.2 Competence, Training and Awareness - Guidance

Ensure that the entire organization receives appropriate orientation on the organizations EMS. This should include an explanation of the environmental policy, objectives and targets, roles and responsibilities, and the workings of the EMS. Ensure that suppliers and contractors know their roles and responsibilities for the EMS Develop a training matrix listing all of the training required for each job. Use the matrix to identify appropriate training programs. Deliver the training and keep a record of attendance. It is important to strive to see that all personnel received the required training.
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4.4.2 Competence, Training and Awareness - Guidance

14000 requires participation of all employees Create employee awareness for more effective involvement Present purpose and consequences of required tasks The importance of achieving and maintaining registration Management must commit to training Understanding and awareness of objectives and targets Continual improvement

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4.4.2 Competence, Training and Awareness - Guidance

Issues:
Top management must establish, reinforce, and communicate organizational commitment to the environmental policy Employees must understand, accept, and share the organizations environmental values Shared environmental values should motivate environmentally responsible action Recognize employee achievement Identify job responsibilities that link to significant environmental impacts
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4.4.2 Competence, Training and Awareness - Guidance

Developing an EMS Training Program: Appropriate awareness for all employees - policy, organizational importance of an EMS, environmental aspects and impacts, objectives and targets, roles and responsibilities Employees whose work has, or potentially has, an environmental impact:

Link personnel to environmental impacts of activities, products, and services Consider management through operational personnel Involve personnel associated with achieving and maintaining EMS objectives, targets and goals Consider all departments Determine type of training required
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4.4.2 Competence, Training and Awareness - Guidance

Developing an EMS Training Program: EMS Training Program Elements Conformance with environmental policy Conformance with objectives Conformance with operational control procedures Interested party concerns Environmental effects of work activities Individual roles and responsibilities for conformance and achieving targets Potential consequences of not following procedure Set training dates as necessary

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4.4.2 Competence, Training and Awareness - Guidance

Potential Training Means: Establish formal qualifications of personnel performing operations related to significant environmental impacts, based on: Formal education Past work experience Courses Seminars Grandfathering Supervised on-the-job

Retain Training Records!

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4.4.2 Competence, Training and Awareness - Guidance

Sample EMS Training Matrix
mp o ees All employees Chemical handlers Engineers CFT Members Maintenance Hazardous waste handlers Environmental Staff Cleaning room Class hours required 1 2 Class Number 3 4 5

20

means class is required and not yet taken. means class requirement has been fulfilled. Class Class Class Class Class Class 1= 2= 3= 4= 5= 6= Chemical Handling Hazard Communication Hazardous Waste Handling / Management Emergency Response ISO 14000 Awareness WastewaterTreatment
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4.4.2 Competence, Training and Awareness - Guidance

Other Types of Training Job Specific HAZMAT Wastewater Treatment Supervisor Environmental and Health Training

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4.4.3 Communication
Intent To provide a structure for managing internal communications between the various levels of the organization and external communication with interested external parties Requirements Establish procedures for: Internal communication Receiving, documenting, and responding to relevant communication from external interested parties Decide whether to communicate externally about its significant environmental aspects, and document this decision. If the decision is to communicate, the organization shall establish and implement a method(s) for this external communication.

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4.4.3 Communication - Guidance

Communications is key to an effective implementation of an EMS. Develop a procedure for internal communications that includes the definition of the kinds and frequency of communications. This can include methods such as meetings, postings on bulletin boards, intranet, etc. Develop a procedure for receiving, documenting and responding to external communication. This should define how to dialog with external interested parties on their concerns and how to pass them along for resolution. It should also define the methods of communicating in emergencies. Define the significant environmental aspects about which the public should be informed. If you decide to inform them about these aspects, define the methods of doing so. These methods may include meetings, postings on websites, annual reports, etc.

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4.4.3 Communication - Guidance

Purpose: Demonstrate management commitment Deal with concerns about the organizations environmental aspects Report incidents Raise awareness about policy, objectives, targets, and EMPs Inform internal or external interested parties about EMS and/or environmental performance

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4.4.3 Communication - Guidance

Who Are Interested Parties?:
Person or group concerned with or affected by the environmental performance of an organization
Environmental groups or NGOs Customers and suppliers Community groups Insurance companies Regulatory agencies

Media Employees Management representatives Investors Academic and research institutions

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4.4.3 Communication - Guidance

Determine the Views of Interested Parties: Surveys or questionnaires Meetings or workshops Market research studies Research public statements or reports Participate in interested party activities

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4.4.3 Communication - Guidance

Internal Communication: Informal meetings QOS Newsletters Bulletin boards

For:

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4.4.3 Communication - Guidance

External Communication (DOCUMENT): Annual report Industry publications Government records Paid advertising Regular compliance reporting Newsletters Press releases

or: Compliance data Publicity Environmental policy Inquiries

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Chapter 7 EMS Documentation

4.4.4 Documentation
Intent To define the documentation required for the EMS Requirements EMS documentation includes: Environmental policy, objectives and targets Scope of the EMS Description of the main elements of the EMS, their interaction, and reference to related documents Documents and records required by ISO 14001:2004 Document and records necessary to ensure the effective planning, operation and control of processes that relate to its significant environmental aspects

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4.4.4 Documentation - Guidance

Minimum Requirements Environmental policy, objectives and targets Scope of the EMS Description of the main elements of the EMS, their interaction, and reference to related documents Documents and records required by ISO 14001:2004 Documents and records necessary to ensure the effective planning, operation and control of processes that relate to its significant environmental aspects
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4.4.4 Documentation - Guidance

Extent of Documentation Depends Upon Size and type of organization Activities, products and services Complexity of business Competence of personnel

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4.4.4 Documentation - Guidance

ISO 14001 Requirements for Procedures
4.3.1 Environmental Aspects 4.3.2 Legal and Other Requirements 4.4.3 Communication 4.4.5 Control of Documents 4.4.6(a) Operational Control (specifies documented) 4.4.6(c) Suppliers 4.4.7 Emergency Preparedness and Response 4.5.1 Monitoring and Measurement 4.5.2 Evaluation of Compliance 4.5.3 Nonconformity, Corrective Action and Preventive Action 4.5.4 Control of Records 4.5.5 Internal Audit

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4.4.4 Documentation - Guidance

Issues to Consider
Consequences of not documenting procedures Need to comply with legal requirements Ensuring consistency of activity Ease of EMS implementation

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4.4.7 Emergency Preparedness and Response - Guidance

Inclusions List of key personnel Arrangements with emergency service contacts (fire dept., spill clean-up, manufacturer, etc.) Internal and external communication plans Actions and responsibilities required for different types of emergencies Information on hazardous materials or chemicals Locations and types of emergency equipment Maintenance of emergency equipment Testing and training plans Evacuation plans
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4.4.7 Emergency Preparedness and Response - Guidance Emergency Preparedness and Response Example
Potential Emergency:

Activity, Product or Service:

Action to be taken:

Micr ft rd D cum nt

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Breakout Activity

Breakout Six - Defining Documentation Requirements

Please refer to your Breakout Book

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Combining ISO 9001 and ISO 14001 Documentation

EMS Documentation - Model 1: Total ISO 9001
Level 1 IMS Manual
Ma
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me r o c r Or i e es s n t e d es

en Or i en t e s em s n a g r o c es

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Cu

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Work Instructions / Standard Operating rocedures / Operational Control rocedures Records (in form of filled formats, checklists etc.)

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Level 3 Level 4

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Combining ISO 9001 and ISO 14001 Documentation

EMS Documentation - Model 1: Total ISO 9001
EMS Level 1 Include: Policy, Objectives and Targets Scope Description of Main Elements Reference to related documentation Similar to QS manual
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Combining ISO 9001 and ISO 14001 Documentation

EMS Documentation - Model 1: Total ISO 9001

EMS Level 2 Include: EMS procedures Tell who, what, where, when

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Combining ISO 9001 and ISO 14001 Documentation

EMS Documentation - Model 1: Total ISO 9001
Include: Tell how Relate steps for controlling EMS processes to operators EMS Level 3

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Combining ISO 9001 and ISO 14001 Documentation

EMS Documentation - Model 1: Total ISO 9001
Include:
Records to demonstrate environmental performance from level 2 and 3 operations Compliance records and data Permits Subcontractor Approval Corrective actions

EMS Level 4
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Breakout Activity

Breakout Seven - Combining ISO 9001 and ISO 14000 Documentation

Please refer to your Breakout Book

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Chapter 8 Establishing Operational Controls

4.4.6 Operational Control

Intent To plan and implement procedures and operating criteria for the various activities, including maintenance, related to the fulfillment of the organizations environmental objectives and targets To provide a means for communicating the organizations environmental requirements to suppliers and contractors

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4.4.6 Operational Control

Requirements Identify and plan operations associated with significant environmental aspects consistent with its environmental policy, objectives and targets to ensure that they are carried out under specified conditions by: Establishing documented procedure(s) to control deviations from the environmental policy, objectives and targets Stipulate operating criteria in the procedures Establish procedures related to the identifiable significant environmental aspects and communicate them to suppliers, including contractors

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4.4.6 Operational Control - Guidance

Review the activities, processes or products identified in clause 4.3.1 that need to be controlled to minimize the impact of the significant environmental aspect, identify the type of control required. This review should consider all areas of the organization. For each control point, define and document the procedures needed for control.

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4.4.6 Operational Control - Guidance

Applications:
Research and development Design and engineering Purchasing Contracting Handling and storage of raw materials Production and maintenance processes Laboratories Product storage Transportation Customer service Acquisition, construction, or modification of property or facilities

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4.4.6 Operational Control - Guidance

Identification: Look at environmental aspects and potentially significant aspects Identify the associated processes On process flow charts, identify the points for appropriate control Prepare draft procedures to minimize the risk of environmental impact and review with users Look at existing procedures for adequacy or modify Track of effectiveness of procedures Identify required measurements Frequency Are actions appropriate?

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4.4.6 Operational Control - Guidance

Suppliers and Contractors: Identify significant aspects of goods and services used by the organization Communicate requirements to suppliers and contractors

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4.4.6 Operational Control - Guidance

Documented Procedures: Exercise control over all activities involving significant environmental aspects Create a documented procedure wherever the absence of a documented procedure might lead to a deviation from the environmental policy or objectives and targets

Mi ro oft E el or heet

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Control Plan
I ent Pro ct C aracter t c
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EMS Procedures

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Control Plan
Objectives
The primary objective of the Control Plan in the context of an EMS is to establish the controls and conditions for those activities and operations associated with significant aspects (at a minimum) Aiding in the establishment of procedures where their absence could lead to deviations from the policy and objectives and targets Establishing the operating criteria for these activities NOTE: the output of the Control Plan is used as a basis for: Development of activity and operation work instruction Development of emergency preparedness and response procedures

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What is a Control Plan?

A Control Plan Is a written summary of the strategy for controlling the impact of the aspect of an activity

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How Does a Control Strategy Work?

The Control Strategy systematically Analyzes aspects Selects methods for control and the tool(s) for communication, evaluation, and reaction

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The Benefits of a Control Plan

Reduced Risk of Impact, leading to Reduced EMS Costs Improved Communication Within a Company Between a Company and Suppliers Provides an Emphasis on Prevention Provides a Focus on Process Control Promotes Proactive Planning Provides an Entire Picture of Control

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The Benefits of a Control Plan

Meets Various ISO 14001 Requirements OPCAL M&M Helps Standardize Documentation DOC Check Sheets EM Resp. Work Instructions

Records

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Control Plan
Inputs
Legal and other requirements Views of interested parties Internal and external communication process Historical Data (accidents, environmental emergencies, etc) Compliance audit data EMS Audit data History of EPA, OSHA, or other regulatory violations Corrective and Preventive Action Plant layout/Flow Chart EMS FMEA Business Plan EMS Policy

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How to Complete a Control Plan for EMS

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Breakout Activity

Breakout Eight - Developing a Control Plan

Please refer to your Breakout Book

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Creating EMS Procedures

OMNEX approach Create a list of processes to be documented Assign groups to work on development of documents based on the listing Create Team Charter for each team Complete a Process Definition of each process Create a flowchart for each process Create a text document if desired

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Develop lowchart for Each Procedure

Create by an individual or a team of process experts Define the process Describe how the process is currently conducted with Post-It Notes Move/Insert/Delete process steps to improve process and to make procedures meet ISO 14001:2004 Document who, what and when

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Types of Level III Documents

Operator Instructions Setup Instructions P/M Instructions Housekeeping Instructions Reference Documents Format for Level III Documents

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Types of Level IV Documents

For Example Checklists Assessments Forms Problem Solving Form Control Plan FMEA

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Breakout Activity

Breakout Nine - Documenting Operational Control Procedures

Please refer to your Breakout Book

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Chapter 9 Measurement, Monitoring and Improvement

4.5.1 Monitoring and Measurement

Intent

To establish procedures for monitoring and measuring the key characteristics of the EMS, including conformance with stated objectives and targets, tracking performance and relevant operational controls To ensure monitoring equipment is calibrated and calibration records are maintained To establish procedures for periodically evaluating compliance to applicable environmental legislation and regulations
Requirements

Establish procedures to regularly monitor and measure key characteristics of its operations that can have a significant environmental impact including documenting information to monitor performance, applicable controls and conformity with objectives and targets Ensure that calibrated or verified monitoring and measurement equipment is used and maintained and retain associated records

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4.5.1 Monitoring and Measurement Guidance

Review measurements, and associated objectives and targets, identified as relating to clauses 4.3.1 and 4.3.3. This review should cover the measures of the key characteristics of the operation. Develop appropriate procedures to monitor and measure these key characteristics Ensure that the data gathered from monitoring and measurement is analyzed and used to trigger improvement activities Identify monitoring equipment required, establish calibration schedules for the equipment and ensure that it is calibrated on a regular basis
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4.5.1 Monitoring and Measurement Guidance

Purpose Monitor actual performance vs. environmental objectives and targets and environmental compliance Successful areas vs. opportunities for corrective action or improvement Analyze root cause of problems Reliability based on sampling protocols, regular instrument and test equipment calibration Assure third party of compliance commitment

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4.5.1 Monitoring and Measurement Guidance

Selecting Environmental Performance Indicators Examine organizational policies and performance goals Use Control Plans EPIs must be relevant to environmental objectives Qualitative - paint usage Quantitative metrics - paint usage per unit of production Time-based - quantitative metric / time period

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4.5.1 Monitoring and Measurement Guidance

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4.5.1 Monitoring and Measurement Guidance

Selecting Environmental Performance Indicators Management system metrics examples: Frequency of training, auditing Number of violation notices, compliance fines, or penalties Expenditures on environmental improvement Number of environmentally related complaints Number of suppliers with environmental performance approval rating

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4.5.1 Monitoring and Measurement Guidance

Selecting Environmental Performance Indicators Operational metrics examples: Energy and/or water consumed during manufacturing Toxic or hazardous materials used in production Hazardous waste generated during production Air emissions, water effluents, or solid waste generated during production Percent of product recovered or reused at end of life Fraction of packaging or containers recycled
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4.5.1 Monitoring and Measurement Guidance

Selecting Environmental Performance Indicators Environmental metrics examples: Depletion rate of nonrenewable resources Wetland impacts Lethal or sub-lethal effects on wildlife Reduction in visibility or air quality Fraction of packaging or containers recycled Concentrations of hazardous by-products in various media

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4.5.1 Monitoring and Measurement Guidance

Selecting Environmental Performance Indicators Combine Result and Process Measurables Process Measurables - upstream factors Amount of paint used per production unit Number of employees trained Result Measurables - results of a process or activity Amount of waste generated Number of spills

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4.5.1 Monitoring and Measurement Guidance

Equipment Calibration Identify equipment that affect environmental performance Begin with key process characteristics Integrate key monitoring equipment into 9000 calibration system Subcontract

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4.5.1

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Reduce r ste f r duct ste emissi s fr m ei t eli i te dis sed i r ducts r cesses l dfill C nser e natural res urces Rec cled c ntent in r duct ei t f r duct material t at is rec cled

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4.5.2 Evaluation of Compliance

Intent

To establish a procedure for evaluating compliance with legal and other requirements
Requirements

Establish procedures for periodically evaluating compliance with applicable legal requirements Establish procedures for compliance with other requirements (may be combined with legal requirements) Keep records of the results of periodic evaluations

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4.5.2 Evaluation of Compliance - Guidance

Review the legal and other requirements identified in relationship to clause 4.3.2 Legal and Other Requirements. These are the requirements for which evaluation of compliance needs to be conducted. Determine the appropriate methods of evaluation. Initiate regular evaluation.

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4.5.3 Nonconformity, Corrective and Preventive Action

Intent

To provide the means for handling and investigating nonconformance, taking action to mitigate impacts of nonconformance, and initiating and completing appropriate corrective and preventive action

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4.5.3 Nonconformity, Corrective and Preventive Action

Requirements Establish procedures for dealing with nonconformities, and for taking corrective action and preventive action including Identifying and correcting nonconformities, and taking action to mitigate their impact Investigating nonconformities, determining their cause and taking action to avoid recurrence Evaluating the need for actions to prevent nonconformities and implementing appropriate actions to avoid their occurrence Recording the results of corrective and preventive actions Reviewing the effectiveness of corrective and preventive actions Actions taken shall be appropriate to the magnitude of the problems and the environmental impacts encountered Ensure that necessary changes are made to EMS documentation

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4.5.3 Nonconformity, Corrective and Preventive Action - Guidance

Required Actions: Investigate problems Identify root causes Are there any trends? Identify and implement corrective actions Track and document corrective actions

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Blank EMS CAR

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Complete EMS CAR

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4.5.4 Control of Records

Intent To provide the means for identifying, maintaining and disposing of environmental records Requirements Establish and maintain records to demonstrate conformity to the requirements of the EMS and ISO 14001:2004, and the results achieved Establish a procedure for the identification, storage, protection, retrieval and disposal of records Maintain records so that they are legible, identifiable and traceable
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4.5.4 Control of Records - Guidance

Retention
Decide what records to retain, how to retain them, and retention period Manage records like ISO 9000 system Focus on records that add value EMS Forms Retention requirements may be specified Consider Who needs access To what records When Electronic management Back-up copies

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4.5.4 Control of Records - Guidance

ISO 14001:2004 Requirements Referring to Records or Recording 4.4.2 Competence, Training and Awareness 4.4.3 External Communications 4.5.1 Monitoring and Measurement 4.5.1 Calibration 4.5.2 Evaluation of Compliance 4.5.3 Nonconformity, Corrective Action and Preventive Action Changes 4.5.5 Internal Audits 4.5.6 management Review
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4.5.5 Internal Audit

Intent To establish a process for determining whether the EMS conforms to planned arrangements and to the ISO 14001 Standard, and is properly implemented and maintained To provide audit results to management for review

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4.5.5 Internal Audit - Guidance

Environmental Management System Audit:
Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the environmental management system audit criteria set by the organization are fulfilled."

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4.5.5 Internal Audit - Guidance

Purpose Verify EMS implementation and effectiveness Identify and report deficiencies Maintain management focus on the EMS Improve EMS Ensure cost-effectiveness

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4.5.5 Internal Audit - Guidance

Objectives Develop audit procedures and protocols Establish EMS appropriate audit frequency Train auditors Maintain records

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4.5.5 Internal Audit - Guidance

requency Determine nature of operations Account for significance rating Account for monitoring and measurement results and performance Look at performance from previous EMS audits At least annually Full cycle or partial over time

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Audit Plan Example

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4.5.5 Internal Audit - Guidance

ISO 14011 - EMS Audit Procedures EMS audit scope and objectives Lead Auditor Auditor Auditee Review Documentation Audit Plan Meetings Collect Evidence Findings Audit Report
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4.5.5 Internal Audit - Guidance

Audit Success
Preparation and Organization Scope and purpose Schedule Audit trails Interpersonal skills Objective evidence Identify trends or patterns Follow-up Link to compliance audits Simultaneous but different purposes

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Breakout Activity

Breakout Ten - Taking Corrective Action

Please refer to your Breakout Book

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Chapter 10 Conducting Management Reviews

4.6 Management Review

Intent

To establish a process enabling top management to periodically review the performance of the environmental management system To assess the potential need for revising the policy, objectives and targets and other components of the system
Requirements

`Top management review of the EMS at planned intervals to ensure its continuing suitability, adequacy and effectiveness Includes assessing opportunities for improvement and need for changes to the environmental management system, including the environmental policy and environmental objectives and targets Retain records

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4.6 Management Review

Requirements Inputs: Internal audits results Evaluations of compliance with legal and other requirements Communications from external parties, including complaints Environmental performance Progress meeting objectives and targets Status of corrective and preventive actions Follow-up actions from previous management reviews Changing circumstances Recommendations for improvement Outputs Decisions and actions
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4.6 Management Review - Guidance

Maintain continual improvement, suitability, and effectiveness of the EMS Use to enhance EMS performance Define intervals Management evaluate performance Required - document review observations, conclusions and recommendations - keep minutes! Not all clauses must be reviewed at the same time

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4.6 Management Review - Guidance

Continual Improvement
Identify areas to improve the EMS that will lead to performance improvement Identify root causes of required corrective action Will new processes be incorporated into the EMS? Verify corrective action effectiveness Document procedural changes Compare objectives and targets to identify which ones are performing

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4.6 Management Review - Guidance

Evaluate need for change: Changing legislation Changing expectations and requirements Advances in science and technology Lessons learned from environmental incidents Market preferences Reporting and communication Corrective and preventive action

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Management Review Process

Meet Regularly At Least Once per Month Maintain Discipline Review Measurable Performance Use trend charts and Pareto diagrams Authorize Improvement Activities Form Improvement Teams Allocate Resources Monitor Progress of Improvements Remove Roadblocks

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Management Review Meetings

Maintain Good Meeting Discipline Calendar Agendas Action Plan Responsibilities Chairperson Recorder

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Presenting Data
Trend Charts Used to present data Adopt a standard format Include a goal line Pareto Diagrams Used to present data on causes Helps focus on most important problems/causes

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S m e
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en
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Sample Pareto Diagram

O Item Year to Date
16.0 14.0 12.0 10.0 on 8.0 6.0 4.0 2.0 0.0 Pai t Cl aning Mat rial alant Item i t r

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Use

our Panel Charts

A our Panel Chart consists of Trend Chart with a Goal Line Tracks key measurable Highlights gap between current performance and goal Pareto Diagram Highlights causes for variations in the trend chart Status of Action Plans Reports action to eliminate causes Paynter Chart Tracks impact of actions
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Tracking Improvement Progress

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Omnex, Inc.

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Management Reviews Process for IMS Implementation in Apollo Tyres (Total 6 Reviews) : Chennai
Purpose : Implementation/Way Forward plan approval with Roles, Resp. & Timeliness and
resource allocation wherever required by Top Management.
Tole Gate 1 - Agreement on road map & resource requirement for IMS implementation - Finalize IMS steering committee for whole journey - Approve Implementation plan for closure the identified Gap

Initial Gap Assessment Closure : 06th May 11

2

- Approve and review the Risk elimination/reduction and improvement programs

Risk Assessment (EHS) 10th une 11

3

Legal Compliance Assessment : 1st July 11

4

- Approve and review the projects identified during legal assessment

Internal Audit 25th July 11

5

- Approve and review the improvement programs identified during internal System Audit

Pre-assessment Audit 22nd Sep. 11

6

- Approve and review the improvement programs identified during Preassessment System Audit

Certification Audit: External 20th Nov. 11

- Approve and review the improvement programs identified during Certification audit

At each Toll Review presence of Unit Head + ChiefInc. Omnex, Project + Chief Corporate Manufacturing (through VC) + Group Leaders

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Breakout Activity

Breakout Eleven - Conducting Management Reviews

Please refer to your Breakout Book

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