ISO 14001 Standards Audit

ISO 14001:2004 emphasizes the continuous improvement of an environmental management system (EMS). The standard specifies requirements for an environmental management system to enable an organization to develop and implement a policy and objectives which take into account legal requirements and information about significant environmental aspects. The certification process ensures the conformance of your EMS against the international standard, as well as any organizational specific requirements that have been identified.

The ISO 14001 Standards audit consist of 2 stage registration audit process followed by surveillanceaudits, and ultimately a recertification audit. ISO 14001 Audits include on-site assessments of documents, data, records, activity and personnel. Process audit trails are followed by interviews of personnel responsible for the tasks and reviewing associated activity and records of occurrence. The audit trail will follow interactions between processes as well as the details of the process itself. Following are the stages of the audit process.

Pre-assessmentRegistration Audit – Stage 2Audit Findings• A review of action taken on nonconformities identified during the previous audit• A review of the continued effectiveness of the management system in its entiretyThe continued applicability to the scope of registration

The pre-assessment audit is an optional activity, outside of the registration process, it is highly encourages that any organization to undertake to evaluate the readiness to undergo the two stage registration process. That would optimally occur prior to the stage 1 and 2 audits.

Unlike the Stage 1 and Stage 2 activities you have full discretion as to which areas the preassessment should focus on and for the length of the pre-assessment. This activity allows your organization to become familiar with the audit process and helps prepare your employees for the registration assessment.

The auditor conducting the pre-assessment will typically return to the organization for the assessment. Similar to a ‘true’ audit, the end result of the pre-assessment will be a documented report identifying findings observed during the audit and a closing meeting to discuss the issues.

The pre-assessment activity allows you to correct any issues prior to beginning the registration process.

Assessment

New requirements for certification bodies have changed the registration process. Registration is now conducted in two distinct visits- Stage One and Stage Two- each of which has defined requirements that are outlined below.

Registration Audit – Stage 1

The stage 1 audit, conducted at your facility, is primarily performed for planning and determining the readiness of an organization to undergo a stage 2 registration audit. It also facilitates communicating any needs and expectations to the organization. Activities performed at a stage 1 audit include:

• Conducting a documentation review – This review determines if the organization’s EMS documentation adequately covers all the requirements of the ISO standard

• A review of the aspects and impacts and their significance and an evaluation of the facility(s) site specific conditions

• A review of your organizations non-conformance, preventive and corrective action system • An overview of applicable regulations

• Interviewing your organization’s personnel to assess their general readiness to undertake a stage 2 audit

• Confirming the applicability of the scope of the organization’s EMS

• Obtaining evidence that internal audits and management reviews are being planned and performed

• Providing focus for the planning of the stage 2 audit

If during the stage 1 audit any nonconformities are identified, the auditor will request a corrective action response (see Corrective Action Response).

The objective of the Stage 2 on-site audit is to assess your organizations’ adherence to your own policies, objectives, and procedures and to ascertain conformance to the requirements of the ISO 14001 standard. To accomplish this, the audit will address the implementation of all the elements of the standard. Review of documentation and records to support the implementation is an expected part of the assessment process. If non-conformances or opportunities for improvement are identified they will be documented in a report which will be presented to the organization during the closing meeting. The report will include the auditor’s recommendation regarding registration.

Any deviation from procedures or requirements of the standard will be identified as an audit finding, which will be documented in the audit report. The auditor will draw your attention to non-conformities as they arise so there will be no “surprises” at the closing meeting. Findings are categorized into three categories defined as follows:

• A major non-conformity relates to the absence or total breakdown of a required process or a number of minor non-conformities listed against similar areas. A major non-conformity at the Registration Audit – Stage 2 would defer recommendation for registration until that major has been closed.

• A minor non-conformity is an observed lapse in your systems ability to meet the requirements of the standard or your internal systems, while the overall process remains in tact.

• An observation or opportunity for improvement relates to a matter about which the Auditor is concerned but which cannot be clearly stated as a non-conformity. Observations also indicate trends which may result in a future non-conformity.

Corrective Action Response

ISO 14001 Standards requires corrective action responses from all Registration Audits. Once certification is achieved, dependant upon the extent and nature of the findings, your organization may be required to submit a corrective action plan, detailing your intent to correct the non conformity.

The auditor may also recommend that your organization submit objective evidence to support the to verify closure may be required.

It is recommended that all non-conformities are addressed within your internal corrective action system. Typically, opportunities for improvement would be addressed as preventive actions by your organization.

closure of the finding. In certain circumstances such as a major non conformity an on site activity

Surveillance Audits

Company shall conduct Surveillance Audits on an annual or semi-annual basis. The purpose of the Surveillance Audit is to ensure that the EMS continues to conform to both the organizations’ and the ISO 14001 requirements. Certain processes will be reviewed at each surveillance including:

• Internal audits and management review

• Customer and interested parties communications

• Effectiveness of the management system in achieving defined objectives

• The progress of planned continual improvement activities

• Continuing operational control

• A review of any changes made by the organization which may have impact on the registration

• Use of accreditation and certification body logos provided to the organization upon registration

• objectives, targets and programs

• evaluation of compliance

Re-assessment Audits

The accreditation body requires that a recertification audit be carried out every three years. The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of activity.

Recertification audits review the performance of the EMS over the registration period, and include a review of previous surveillance audit records. The recertification audit includes the following:

• The continued relevancy of the organization’s policy and objectives

• The continued effective interaction between the processes of the management system

• A review of internal audits, management reviews, document changes during this certification period

What is a “document” In ISO 9001 Standard?

What is a “document” In ISO 9001 Standard?

The following are some of the main objectives of an organization’s documentation, independent of whether or not it has implemented a formal QMS;
a) Communication of Information as a tool for information transmission and communication. The type and extent of the documentation will depend on the nature of the organization’s products and processes, the degree of formality of communication systems and the level of communication skills within the organization, and the organizational culture.
b) Evidence of conformity provision of evidence that what was planned, has actually been done.
c) Knowledge sharing to disseminate and preserve the organization’s experiences. A typical example would be a technical specification, which can be used as a base for design and development of a new product.
A list of commonly used terms relating to documentation is presented in Annex A (taken fromISO 9000:2005). It must be stressed that, according to ISO 9001:2008 clause 4.2 Documentation requirements documents may be in any form or type of medium, and the definition of “document” in ISO 9000:2005 clause 3.7.2 gives the following examples:
paper
magnetic
electronic or optical computer disc
photograph
master sample

ISO 14001 Standards – Complying with Environmental Laws and Regulations

One of the most commonly cited reasons for implementing an ISO 14001 environmental management system is that it helps an organization comply with environmental laws and regulations.

ISO 14001 registration will provide additional assurance to City Council, senior management, regulators and key stakeholders that appropriate procedures have been implemented to identify, track, and communicate environmental laws and regulations. ISO 14001 registration will also provide assurance that our Administration is controlling, monitoring, and improving performance, relative to these laws/regulations.

A strong environmental management system, aimed at legal/regulatory compliance, will serve the City of Edmonton by increasing the likelihood of avoiding convictions, fines and judgments; avoiding internal legal costs; and promoting positive relations with regulators.

ISO 14001:2004 Evaluation of compliance

ISO 14001:2004 Evaluation of compliance

This clause has been separated from 4.5.1 and includes two sub-clauses, as well as clarification and an addition to the ISO 14001:1996 standard. Included in Clause 4.5.1 of ISO 14001:1996 was a requirement for the organisation to periodically evaluate compliance with relevant (now applicable) environmental legislation and regulations. This requirement has been retained in Clause 4.5.2.1 of the revised standard. In Clause 4.5.2.2, ISO 14001:2004includes evaluation of compliance with other requirements to which the organisation subscribes, which was not specifically required by ISO 14001:1996. This clarification also includes a requirement for records of periodic evaluations of compliance to be kept.

The UK-based Institute of Environmental Management and Assessment (IEMA) has published an opinion that this means that compliance against each and every piece of legislation / regulation relating to an organisation’s environmental aspects will need to be evaluated before it can be considered to be in conformity with ISO 14001: 2004; it will not be acceptable for organisations to claim that the periodic evaluation will be covered by their internal EMS audit program at some future date.

This has always been one of the most difficult issues in ISO 14001:2004, and organisations will need to review and revise their compliance procedures to ensure that they meet these new requirements.

ISO 14001 – Certification/Registration

ISO 14001 – Certification/Registration

Similar to the organized approach to problem solving contained in ISO 9000

and ISO 14000, an organized approach is necessary to achieve certification. Although the written requirements contained in ISO 14001 are straightforward and brief, the level of effort required to conform with the requirements should not be underestimated.

If an environmental review of the facility‘s operations has not been conducted, it is important to retain a qualified consultant to conduct the review. which should focus on the requirements of ISO 14000 versus programs currently in use. This activity is known as a Gap Analysis.?EAfter the Gap Analysis is completed, the environmental status of the operation should be known and the level of effort necessary to develop the ISO 14000 program understood.

It can easily take six months to a year to develop a program that meets EMS requirements. Staff should develop the EMS program as they will ultimately be required to manage it. If staff is inadequate to develop the program, a consultant can be retained to provide guidance to staff as the program is being developed.

But, retaining a consultant will not resolve the problem of long term program maintenance. The ultimate goal of developing the EMS is to obtain certification/registration. Aside from the internal benefits offered by the ISO 14000 series of standards, external benefits may be derived through the certification/registration process. The certification/registration process only applies to ISO 14001, and this is the only standard to which the audit process applies. For the purposes of certification/registration, all other ISO 14000 standards are considered guidance. Certification can either be by a self declaration?Eor by an independent registrar.

Obviously the use of an independent registrar would give more credibility to those looking at an organization from outside.

Registrars have individual preferences about how the requirements should be administered. A registrar should be selected early in the process to help ensure that the program being developed is consistent with the registrars preferences. When the program is fully prepared and implemented, the registrar will be notified and a formal program audit undertaken. This audit will not result in a denial of ISO 14000 certification, but it may result in either approval or a list of deficiencies that must be corrected before certification.

ISO 14001 ENVIRONMENTAL ASPECTS AND IMPACTS

ISO 14001 Environmental Aspects And Impacts

The fundamental purpose of the EMS is to control and reduce the environmental impacts of your facility’s processes and products. For this reason, a critical element of the EMS involves identifying and prioritizing the environmental aspects and impacts associated with your facility. An environmental aspect is an element of an organizations activities, products, or services that can interact with the environment. For example, chrome plating is a metal finishing activity and an associated aspect is chrome air emissions.
This aspect may have an impact on the environment in several ways, for example, ambient air quality degradation.
The environmental aspects and impacts of your metal finishing operations can be identified, prioritized, and documented in several ways. This Template includes two approaches, either of which can be used during EMS implementation. Use the approach that works best for your circumstances. This process is important because high-priority environmental aspects and impacts will be considered when environmental objectives and targets are established.

Aspects and Impacts Form A — The first approach uses the experience and judgment of
employees familiar with facility processes to identify the top five environmental issues
currently facing the facility. These issues and their specific aspects and impacts should
be summarized using Aspects and Impacts Form A.

Aspects and Impacts Form B — The second approach uses detailed, structured matrices
to list and prioritize environmental aspects and impacts according to the following
categories:
• Environmental Aspects and Impacts: Wastewater
• Environmental Aspects and Impacts: Air Emissions
• Environmental Aspects and Impacts: Hazardous and Solid Waste
• Environmental Aspects and Impacts: Raw Materials
• Environmental Aspects and Impacts: Water and Energy

The matrices that comprise Form B will help facility staff identify and document environmental aspects and impacts. The matrices also provide criteria for prioritizing environmental aspects and impacts; this process is important because high-priority environmental aspects and impacts will be considered when environmental objectives and targets are established. One possible way to prioritize environmental aspects and impacts using Form B is described as follows:
Step 1:
For each aspect and impact, score each prioritization criterion on a scale from 1 to 5, where 1 indicates the criterion is very important or relevant to that aspect (for example, the aspect is strictly regulated, is the subject of compliance violations, or is a waste generated in large uantities), and 5 indicates the criterion is relatively unimportant or irrelevant to that aspect (for example, the aspect is an unregulated waste, is generated infrequently, and is inexpensive to manage).
Step 2:
Add the scores of all criteria for each aspect and write the total in the right-most column of the form.
This number indicates the relative priority of the aspect compared to other aspects and impacts in the same category. The lower the total score, the higher the priority.
Purpose Of This procedure is used to identify, document, and update the environmental aspects and impacts of facility processes and operations.

Step 1 The environmental manager and other facility personnel selected by the environmental manager are responsible for identifying and prioritizing the environmental aspects and impacts of facility operations during EMS planning and development.
Environmental aspects are characteristics of facility processes and products that interact with the environment. Only environmental aspects the company can control or influence will be considered. Environmental impacts are the effects of an organization’s activitie , products or services on the environment.

Step 2 Environmental aspects and impacts will be documented and prioritized.
Environmental aspects and impacts will be associated with the following categories:
• Wastewater
• Air emissions
• Hazardous and solid waste
• Raw materials
• Water and energy
High-priority environmental aspects and impacts will be considered when environmental
objectives and targets are set.

Step 3 The environmental manager and other facility personnel will review and update
the environmental aspects and impacts documentation annually.

Step 4 Environmental aspects and impacts documentation will be retained at the facility
for at least 2 years.

Responsible Person: _____________________________________
Signature and Date: ______________________________________

ISO 14001 And The Environment

The ISO 14000 family of International Standards on environmental management is a relative newcomer to ISO’s portfolio – but enviroment-related standardization is far from being a new departure for ISO.

In fact, ISO has two-pronged approach to meeting the needs of business, industry, governments, non-governmental organizations and consumers in the field of the environment.

On the one hand, it offers a wideranging portfolio of standardized sampling, testing and analytical methods to deal with specific environmental challenges. It has developed more than 350 International Standards (out of a total more
than 12000) for the monitoring of such aspects as the quality of air, water and soil. These standards are means of providing business and government with scientifically valid data on the environmental effects of economic activity.

They also serve in a number of countries as the technical basis for environmental regulations.

ISO is leading a strategic approach by developing environmental management systemstandards that can be implemented in any type of organization in either public or private sectors (companies, administration, public utilities). To spearhead this strategic approach, ISO establish a new technical commitee, ISO /TC 207, Environmental management, in

1993. This followed ISO’s successful pioneering experience in management system standardization with the ISO 9000 series for quality management.

ISO’s direct involvement in environmental management stemmed from an intensive consultation process, carried out within the framework of a Strategic Advisory Group on Environment (SAGE),set up in 1991, in which 20 countrie, 11 international organizations and more than 100 environmental experts participated in defining the basic requirements of a new approach to environment-related standards.

This pioneering work was consolidated with ISO’s commitment to support the objective of “sustainable development” dicussed at the United Nations Conference on Environment and Development in Rio de Janeiro in 1992.

Today, delegations of business and government experts from 55 countries have participate actively within TC 207,

and another 16 countries have observer status. These delegations are chosen by the national standars institute concerned and they are required to bring to TC 207 a national consensus on issue being addressed by the commitee.

This national consensus is derived from a process of consultation with interested parties.

From its beginning, it was recognized that ISO/TC 207 should have close cooperation with ISO/TC 176, Quality management and quality assurance, in the areas of management systems, auditing and related terminology. Active efforts are under way to ensure compatibility of ISO environmental management and quality management standards, for the benefit of all organizations wishing to implement them.

ISO 14000 – Environmental Program Management

The ISO 14000 series of standards has

received widespread attention, and, like ISO 9000, it is becoming a requirementfor domestic and global organizations.

This document is intended to provide a

baseline understanding of the ISO 14000 standards and to discuss the current status of this important standard.

The International Organization for Geneva, Switzerland, is composed of 92 European Union (EU) to establish universal quality standards. Over time, ISO

Standardization (IOS), headquartered in member countries. Adherance to standards developed by the IOS is voluntary. However, countries and industries may adopt the IOS standards. Until approximately 15 years ago, IOS focused on traditional standards-setting activities. In 1987, IOS published the ISO 9000 series standards that were used with the9000 became recognized as a positive indicator of quality and a prerequisite toestablishing/maintaining business relationships within and outside the European Union.

In the United States, both the American

National Standards Institute and the American Society of Quality Control are privately funded organizations that have adopted ISO 9000, Quality Management, and the ISO 14000 standards.

ISO 14000 is the generic title given to 14040, ISO 14041, and ISO14050 have

the 14000 series of standards. ISO 14001, ISO 14004, ISO 14010, ISO 14011, ISO 14012, ISO 14020, ISO been published as international standards. The ISO 14000 series of standards consists of the following 18 subjects that can be grouped under two major headings:

14001 Specification with Guidance for Use

14004 General Guidelines on Principles,

14010 General Principles of Environmental Auditing

14011 Audit Procedures

14012 Environmental Auditing ? Qualification Criteria

14015 Environmental Site Assessments

14031 Evaluation of Environmental Performance ? Guidelines

14032 Evaluation of Environmental Performance ? Case Studies

14020 Goals and Principles of All Environmental Labeling

14021 Environmental Labels and Declarations ? Terms and Definitions

14024 Environmental Labels and

14025 Type III Labeling

14040 Life Cycle Assessment ? Principles and Framework

14041 Life Cycle Assessment ? Inventory Analysis

14042 Life Cycle Assessment ? ImpactAssessment

14043 Life Cycle Assessment ? Interpretation

14048 Life Cycle Indicator Format

14050 Guide on the Principles of Terminology Work

At the current time, the ISO 14000 as International Standards are referred to

Standards that have not been published as Draft International Standards (DIS). Most DIS are in the final review period before publication. If a particular standard is of interest and is not final, a copy of the DIS may be available for review.

EMS Documentation

ISO 14001 Section 4.4.4, EMS Documentation, requires that organizations “. . . establish and maintain information, in paper or electronic form, to: 1. describe the core elements of the management system and their interaction; 2. provide direction to related documentation.”

ISO 14001 Section 4.4.5, Document Control, requires that organizations establish and maintain procedures to control all documents required by ISO 14001. The purpose of these document control procedures is to ensure that organizations create and maintain documents sufficient to implementing an EMS.

The procedure must ensure that:

• EMS documents can be located

• EMS documents are legible, dated (with dates of revisions) and readily identifiable

• EMS documents are maintained in an orderly manner and retained for a specified period

• EMS documents are periodically reviewed, revised as necessary, and approved for adequacy by authorized personnel

• The current versions of relevant documents are available at all locations where they are necessary

• Obsolete documents are promptly removed from all distribution points

• Any obsolete documents retained for legal and/or knowledge preservation purposes must be identified as such.

ISO 14001 Section 4.3.5 also requires that organizations establish procedures and designate responsibilities and

authority regarding the creation and modification of EMS documents.

What is ISO14000 Environmental Management Systems

What is ISO 14000?
ISO 14000 is a series of international standards on environmental management. It provides a framework for the development of an environmental management system and the supporting audit programme.

The main thrust for its development came as a result of the Rio Summit on the Environment held in 1992.

ISO 14000 is an Environmental Management System (EMS), which requires that an organization consider the environmental aspects of its products and services.

Iso14000 approach forces you to take a hard look at all areas of your business that has an environmental impact.

Iso14000 is the world’s first series of Internationally accepted Standards for Environmental Management Systems (EMS).

Iso14000 elevates Environmental Management to a Strategic Level that can be applied to any organization, from any industry, anywhere in the world.

ISO 14000 is a series of voluntary standards and guideline reference documents.

The part of the overall management system that includes organizational structure, planning activities, responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining the environmental policy.

ISO 14000 is an Environmental Management System (EMS) who’s purpose is:

· A management commitment to pollution prevention.

· An understanding of the environmental impacts (reducing) of an organization’s activities.

A commitment (pollution prevention) to employees, neighbors and customers

The History of ISO 14000
As a number of national standards emerged (BS 7750 being the first), the International Organization for Standardisation (ISO) created a group to investigate how such standards might benefit business and industry. As a result this group recommended that an ISO committee be created to create an international standard.

What is ISO 14001?
ISO 14001 is the corner stone standard of the ISO 14000 series. It specifies a framework of control for an Environmental Management System against which an organization can be certified by a third party.

The environment cannot be protected by our convictions or goodwill alone. Efforts to protect the environment must be planned, coordinated and organized into a system, such as ISO 14001.

· ISO 14004 provides guidance on the development and implementation of environmental management systems

· ISO 14010 provides general principles of environmental auditing (now superseded by ISO 19011)

· ISO 14011 provides specific guidance on audit an environmental management system (now superseded by ISO 19011)

· ISO 14012 provides guidance on qualification criteria for environmental auditors and lead auditors (now superseded by ISO 19011)

· ISO 14013/5 provides audit program review and assessment material.

· ISO 14020+ labeling issues

· ISO 14030+ provides guidance on performance targets and monitoring within an Environmental Management System

· ISO 14040+ covers life cycle issues

Of all these, ISO14001 is not only the most well known, but is the only ISO 14000 standard against which it is currently possible to be certified by an external certification authority.

ISO14000 – Introduction

After the success of the ISO9000 series of quality standards, the International Standards Organization published a comprehensive set of standards for environmental management. This series of standards is designed to cover the whole area of environmental issues for organizations in the global marketplace.

History of Development

The ISO 14000 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. The environmental field has seen a steady growth of national and regional standards. The British Standards Institution has BS 7750 , the Canadian Standards Association has environmental management, auditing, eco-labeling and other standards, the European Union has all of these plus the eco-management and audit regulations , and many other countries (e.g. USA, Germany and Japan) have introduced eco-labeling programs.