ISO 14001 Overview

Princess / P & O / Cunard Shipboard Awareness Training

ISO 14001: What is it?

ISO 14001: a Globally accepted standard for EMS (Environmental Management Systems)
Developed by the Intl Organization for Standardization (ISO) based in Geneva, Switzerland

ISO 14001: a structured framework for achieving continuous performance improvement without the need for additional regulations
Voluntary certification: this is not a regulatory requirement

Princess Cruises E.O. Conference

September 27, 2005

Background on ISO Standards

International Standards have been long recognized as necessary to ensuring quality and compatibility across products and systems ISO 14001 was revised in 2004 to be more userfriendly than the original [1996] standard and to increase emphasis on the linkages from environmental aspects and legal and other requirements to other system elements ISO 14001:2004 is intended to take a slightly more lifecycle approach than previously and reach beyond what was traditionally considered the organizations boundary

Princess Cruises E.O. Conference

September 27, 2005

Background on ISO Standards

The revision to ISO 14001 also aligned it more closely with ISO 9001:2000 [which was revised in 2000 to incorporate lessons learned through ISO 14001] There is no ISO standard on Health and Safety, and BSI 18001 is the commonly accepted standard due to its close alignment to ISO 14001 Other non-ISO standard to be aware of: SA 8000 (Social Accountability) Together, ISO 14001, ISO 9001, BSI 18001 and SA 8000 constitute a comprehensive approach to environment, health, safety, quality and social accountability; this is sometimes called the Best 4

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September 27, 2005

ISO 14001 = Environmental Management System (EMS)

Environmental Policies, Planning Implementation & Operation

Plan

Do

Continuous Improvement Feedback

Management Review

Check
Checking & Corrective Action
September 27, 2005

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ISO 14001:2004 Overview of the 5 Sections

Component
4.2 Policy

Benefit

Provides basis for employees and public to understand commitment to environment Allows for conscious decision-making 4.3 Planning regarding environmental issues of importance 4.4 Implementation & Well-defined procedures and responsibilities increase efficiency and improve performance Operation Monitoring and measurement provides the 4.5 Checking & basis for continuous improvement Corrective Action Ensures that senior management is actively 4.6 Management involved in environmental management Review

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September 27, 2005

ISO 14001:2004

Clause 4.1: General Requirements

Includes the requirement to define and document the SCOPE of the EMS and include all activities, products and services within that boundary (or have a good reason for not doing so) Requires organizations to document how their EMS meets the requirements of ISO 14001

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September 27, 2005

ISO 14001:2004
Clause 4.2: Environmental Policy
Applies all activities, products and services within the scope of the EMS Policy must be communicated to all persons working for or on behalf of the organization Must include a commitment to continual improvement, pollution prevention, compliance with all legal and other applicable requirements to which the organization subscribes, and provides a framework for setting and reviewing objectives and targets Must be made available to the public

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.3.1: Environmental Aspects
Must establish, implement and maintain a procedure to
Identify the environmental aspects of your activities, products and services that you can control and influence; Take into account planned or new developments, new or modified activities, products and services; and Determine which of those aspects can have a significant impact on the environment

Requires significant environmental aspects to be documented and taken into account when establishing, implementing and maintaining the EMS

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004

Clause 4.3.2: Legal and Other Requirements

Must establish, implement and maintain a procedure to
Identify and have access to applicable legal requirements, and other requirements to which the organization subscribes; and Determine how these requirements relate to your environmental aspects

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.3.3: Objectives, Targets and Programs
Must establish, implement and maintain documented objectives and targets that are measurable (where practicable) and
take into account the significant environmental aspects and legal and other requirements consider the technological options, financial, operational, and business requirements, and the views of interested parties

Objectives and targets must be consistent with the policy (specifically continual improvement and P2) Must implement programs to achieve the O&T that define accountability and time-frames for accomplishment

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004

Clause 4.4.1: Resources, Roles, Responsibility and Authority

Organization must ensure the availability of resources essential to establish, implement, maintain and improve the EMS
This clause also includes organizational infrastructure as a resource Roles, responsibilities and authorities must be defined, documented and communicated

Includes the designation of an EMS Representative that is responsible for the EMS and making recommendations for improvement to top management

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.4.2: Competence, Training and Awareness
Must ensure that any person(s) working for or on behalf of the organization that have the potential to cause a significant environmental impact (as defined by the organization) are competent on the basis of appropriate education, training or experience
Records must be retained

Annex A now explicitly states that

The Organization should require that contractors working on its behalf are able to demonstrate that their employees have the requisite competence and/or appropriate training

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004

Clause 4.4.3: Communication

Must have a documented process for
Internal communication at all levels and functions Receiving, documenting and responding to relevant communications from external parties

The organization must now decide if it is going to communicate externally about its significant environmental aspects, and document that decision
If the organization decides to communicate externally about its significant environmental aspects, it must establish and implement (a) method(s) to do so

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.4.4: Documentation
Describes the minimum level of documentation required for a certifiable EMS
Policy, objectives and targets Scope of the EMS Description of the main elements and their interaction and references to related documents (EMS Manual) Documents (including records) required by the EMS Documents, including records, determined by the organization to be necessary to ensure the effective planning, operation and control of processes that relate to its significant environmental aspects

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.4.5: Control of Documents
Must establish, implement and maintain a procedure to
Approve documents for adequacy prior to use Review and update as necessary and re-approve documents Ensure that changes and the current revision status of documents is identified Ensure that relevant versions of applicable documents are available at the points of use Ensure that documents remain legible and readily identifiable Includes [relevant] documents of external origin Prevent the unintended use of obsolete documents

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004

Clause 4.4.6: Operational Control

Must identify and plan those activities that are associated with the identified significant environmental aspects in order to ensure that they are carried out under specified conditions by
Procedures to control situations where their absence could lead to a significant environmental impact, Stipulating operating criteria in procedures, and Communicating [relevant] procedures to suppliers and contractors

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004

Clause 4.4.7: Emergency Preparedness and Response

Must establish, implement and maintain procedure(s) to
Identify potential emergency situations and accidents Respond to actual emergency situations and accidents and prevent or mitigate associated adverse environmental impacts

Includes provisions for periodic review and testing of procedure

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.5.1: Monitoring and Measurement
Must establish, implement and maintain procedures to monitor and measure, on a regular basis, the key characteristics of operations that can have a significant environmental impact
Includes requirements to document results

Must ensure that calibrated or verified measurement or monitoring equipment is used and maintained
Also includes documentation requirement [NOTE: calibration manuals are EMS controlled documents]

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.5.2: Evaluation of Compliance
Requires organizations to periodically evaluate [i.e. audit] and document compliance with identified Legal and Other Requirements Procedure must be documented, and may be combined with internal auditing

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004

Clause 4.5.3: Nonconformity, Corrective Action and Preventive Action

Requires procedures to dealing with actual and potential nonconformities [investigation, action & documentation] Requires organizations to document the results of corrective or preventive action(s) and review their effectiveness after they are fully implemented.

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.5.4: Control of Records
Requires the creation and maintenance of records necessary to demonstrate conformity to the requirements of the standard and the result achieved Must establish, implement and maintain a procedure for the identification, storage, protection, retrieval, retention and disposal of records Records must be legible, identifiable, and traceable

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.5.5: Internal Audit
Requires that internal auditing programs be planned, implemented and maintained by the organization, taking into consideration the environmental importance of the operations concerned and the results of previous audits
Audit for conformity to the standard Audit for implementation & maintenance

Audit results must be communicated to Top Management The audit procedure must
Identify audit roles and responsibilities Determine the audit frequency and scope Describe how auditors are considered qualified

Princess Cruises E.O. Conference

September 27, 2005

ISO 14001:2004
Clause 4.6: Management Review
Planned reviews by Top Management that must include:
Results of internal audits Communication(s) from external interested parties (including complaints) Environmental performance of the organization The extent to which objectives and targets have been met Status of corrective and preventive actions Follow-up actions from previous management reviews Changing circumstances related to environmental aspects, and Recommendations for improvement

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September 27, 2005

Environmental Aspects and Impacts

Environmental Aspect: element of an organizations activities, products and services that can interact with the environment

Environmental Impact: any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organizations activities, products or services.

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September 27, 2005

Environmental Aspects and Impacts

Air Emissions Air Pollution/Climate Change (Aspect) (Impact)

Raw Materials Use (Aspect) Natural Resource Depletion (Impact)

Waste Management (Aspect) Damage to Environment from Potential MisManagement (Impact)

Bilge Water (Aspect)

Water Pollution (Impact)

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September 27, 2005

Changes to the Auditing Process

ECP Audit 3 errors in the ORB EMS Audit Is this an acceptable error rate?
No. While small (3 errors out of 10,000 entries), past experience with external auditors shows that any errors will expose us to potential fines.

Has this problem occurred in the past?

Yes, and weve instituted a monthly internal review process to capture and correct error

Has this monthly review been done on the records that showed these errors
No.

Probable Finding: No finding for this audit. Next audit will include a focus on the effectiveness of the monthly ORB review process.

Princess Cruises E.O. Conference

September 27, 2005

Changes to the Auditing Process

ECP Audit 3 errors in the ORB EMS Audit Is this an acceptable error rate?
No. While small (3 errors out of 10,000 entries), past experience with external auditors shows that any errors will expose us to potential fines.

Has this problem occurred in the past?

Yes, and weve instituted a monthly internal review process to capture and correct error

Has this monthly review been done on the records that showed these errors
No.

Probable Finding: No finding for this audit. Next audit will include a focus on the effectiveness of the monthly ORB review process.

Princess Cruises E.O. Conference

September 27, 2005

Changes to the Auditing Process

ECP Audit

EMS Audit Why? Is there a procedure that bans plastic in the pulper?
Yes

Plastic observed in pulper

Was the galley crew trained in the procedure

Yes, but a few new crew had come on board recently and hadnt been to the Tier 1/2 or departmental procedure training yet. This is not the first time this has happened

Probable Finding: Evidence that the galley crew training and awareness program is ineffective. Also, this is a repeat finding that has not been adequately prevented. (ISO 4.4.2, 4.5.3)

Princess Cruises E.O. Conference

September 27, 2005

Bringing Princess EMS to the Fleet

Currently in process of developing additional EMS procedures and reviewing existing SMS expected completion end October. Registrar (MCA) to complete initial assessments and document review by end December January 2006 carry out internal EMS audits on selected ships. Carry out external audits (MCA) at office and initially 6 ships all ships to have at least one external audit in a three year cycle
Princess Cruises E.O. Conference September 27, 2005