SECTION 1

PRESENTATION
This section of the workbook contains copies of presentation overheads, two to a page.
Space has been provided on the right side of each page for entering important notes and
comments.

Introduction to ISO 14001 Implementation

Slides

Notes
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Introduction to ISO 14001

Implementation

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Protecting the Environment is Everyones

Job

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Agenda

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u Supplier

Workbook
14001 & Environmental
Management Systems
u Assessing What You Have

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u ISO

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u Management
u Establishing

Commitment
The Approach

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u Planning
u System
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Documents
Version No. 2

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2

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Introduction to ISO 14001 Implementation

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ISO 14001 Supplier Workbook

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Purpose

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u Learning

aid in visualizing EMS documents

u Jump start to development & implementation
u EMS Template fulfills ISO 14001 4.4.4
requirement for system documentation (i.e.,
EMS Manual)

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Version No. 2

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ISO 14001 Supplier Workbook

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Contents

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u Presentation

slides
u Launch & implementation tools
u EMS template (must be modified to address
local considerations)
u Resources

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Version No. 2

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Introduction to ISO 14001 Implementation

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Notes
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EMS Template

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Contents

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u EMS

manual & appendices - identifies EMS

documents and relationship to ISO 14001

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u Environmental

policy
objectives & targets
u Legal & other requirements
u Environmental management programs

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u Aspects,

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EMS Template

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Contents

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u Structure

& responsibility
u Training matrix
u Procedures
u Work practices
u Master document list
u Master records list
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Introduction to ISO 14001 Implementation

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ISO 14001 & Environmental

Management Systems

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The Basics
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Version No. 2

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Birth Of An EMS Standard

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u September

1996- ISO 14001 EMS finalized

"Environmental Management SystemsSpecification With Guidance For Use"
u International Organization For
Standardization
u ISO 9001 & 9002 QMS created by same
organization
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Version No. 2

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Introduction to ISO 14001 Implementation

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Definitions

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u Env.

Management System (EMS): 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

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Definitions

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Environmental Management
Representative (EMR)

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u Ultimate

responsibility for EMS

u Directs Cross Functional Team in developing,
implementing, and maintaining EMS
u Reports EMS performance to management

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Introduction to ISO 14001 Implementation

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Definitions

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Cross Functional Team (CFT)

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u Representatives

from main areas &

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departments
u Standing team
u EMS development
u Supports implementation & maintenance

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Definitions

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u Env.

Aspect: element of an organizations

activities, products or services that can
interact with the environment
u Env. 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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Introduction to ISO 14001 Implementation

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Notes
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Definitions

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u Env.

Objective: overall goal, arising from

the policy, which is quantified where
practicable
u Env. Target: detailed performance
requirement, quantified where practicable, ...
that needs to be set and met in order to
achieve ... (the stated objective) ...
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Introduction to ISO 14001 Implementation

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Notes
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Definitions

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u Environmental

Performance: measurable
results of the environmental management
system, related to an organization's control of
its environmental aspects, based on its
environmental policy, objectives and targets

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Definitions

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it is intended that the implementation of an

environmental management system
described by (ISO 14001) will result in
improved environmental performance
(Annex A A.1)

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Introduction to ISO 14001 Implementation

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Definitions

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u Env.

Management Program: documented

plan for achieving an objective & target that
includes:
Responsibilities
Means
Time frames

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ISO 14001 Elements

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4.2
Environmental
Policy

4.6

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4.3

Management
Review

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Planning

Environmental
System

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Checking
& Corrective
Action

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Implementation
& Operation

4.5

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4.4
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Introduction to ISO 14001 Implementation

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Notes
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ISO 14001 Elements

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Activities, Products or Services

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4.3.1

Legal
and Other
Requirements

Environmental
Aspects

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4.3.2

4.3
Planning

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Objectives
& Targets

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4.3.3
4.3.4

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Environmental
Program

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ISO 14001 Elements
4.4.7

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4.4.1

Emergency
Preparedness and
Response

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Structure
and
Responsibility

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4.4.6
4.4.2

Operational
Control

4.4
Implementation
and Operation

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Document
Control
4.4.5

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Training ,
Awareness and
Competence

Communication
ES
Documentation

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4.4.3

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4.4.4
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Introduction to ISO 14001 Implementation

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ISO 14001 Elements

4.5.4

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4.5.1

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Monitoring
& Measurement

ES
Audit

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4.5
Checking and
Corrective Action

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Non-Conformance
& Corrective &
Preventive Action

Records
4.5.3
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4.5.2
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Assessing What You Have

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You Have More Than You Think!

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Introduction to ISO 14001 Implementation

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Assessing What You Have

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Understand What You Should Have

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u Review

ISO 14001 requirements

u Review internal requirements
u Review Ford & other requirements

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Assessing What You Have

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Review Internal Requirements

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u Corporate,

Division & Plant

Directives
Guidelines
Procedures
Business Plans

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Introduction to ISO 14001 Implementation

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Assessing What You Have

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Review Ford & Other Requirements

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u ISO

14001 registration
u Material restrictions (WSS-M99P9999-A1)
u Recyclable plastic & polymeric materials (E4)
u Packaging solutions
u Material approval - production & nonproduction
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Assessing What You Have

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Review What You Do Have

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u Identify

current management systems

(Environmental, Quality, Health & Safety,etc.)
How were systems implemented?
What are the system elements?
What works & what doesnt?
Where are the opportunities?

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Introduction to ISO 14001 Implementation

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Assessing What You Have

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Review What You Do Have

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u Identify

operating components
Applicable areas & departments?
What processes, activities & services are in
each?
External support?

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Assessing What You Have

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Review What You Do Have

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u Document

key information
What products are made?
What materials are used?
What types of wastes & discharges are
generated?
What sources of energy are required?

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Introduction to ISO 14001 Implementation

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Notes
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Assessing What You Have

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Review What You Do Have

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u Identify

regulatory compliance
permits and governmental reports
u Review compliance status
u Review environmental programs
Ex.: Elimination of Hg containing lighting
u Assess training & audit programs
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Assessing What You Have

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Review What You Do Have

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u Identify

relevant environmental
plans & procedures
Ex.: Spill prevention plan
Ex.: Document control procedure
u Review organizational structure &
environmental responsibilities
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Introduction to ISO 14001 Implementation

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Notes
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Assessing What You Have

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Determine Resource Needs

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u Resources

depend on:
Size & complexity of facility
ISO 9001/2 registration
Applicable environmental requirements
Workloads

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Assessing What You Have

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Determine Resource Needs

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u General

assumptions
Development & implementation: 10
months
Awareness training: 45 min per employee
Procedure training: 15 min per procedure
& employee

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Introduction to ISO 14001 Implementation

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Management Commitment

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An Absolute Requirement
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Management Commitment

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Management Responsibilities

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u Selects

& supports Environmental

Management Representative (EMR)
u Establishes environmental policy
u Provides resources to implement and
maintain Env. Management System (EMS)
u Approves & periodically reviews EMS
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Introduction to ISO 14001 Implementation

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Management Commitment

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Management Launch Meeting

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u Provide

understanding of benefits,
requirements & effort
u Select an EMR & CFT
u Establish registration date
u Document commitment
>Section 2: Launch & Implementation Tools<
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Management Commitment

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Launch Document

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u Management

meeting
launch guidance
u Meeting agenda
u Meeting announcement
u Commitment memorandum
u CFT roles & responsibilities
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Introduction to ISO 14001 Implementation

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Management Commitment

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Potential Cross Functional

Team Members

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Environmental Quality
Material
Controller's
Handling
Office

Engineering
Human
Resources

Maintenance

Production

Training

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Safety
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Establishing The Approach

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Pick The Right Path

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Introduction to ISO 14001 Implementation

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Establishing The Approach

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u Obtain

management commitment
u Train Cross Functional Team (CFT)
& others on ISO 14001 requirements
u Establish development & implementation plan
u Develop & implement EMS
u Obtain management approval
u Obtain registration
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Establishing The Approach

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Establish Development & Implementation Plan

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u Develop

clear
understanding of implementation path
u Establish realistic implementation schedule

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>Section 2: Launch & Implementation Tools<

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Introduction to ISO 14001 Implementation

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Establishing The Approach

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Implementation Schedule

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u Identify

main tasks to be completed and

corresponding time frames
u Determine whos doing what
u Be consistent with management expectations

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Introduction to ISO 14001 Implementation

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Establishing The Approach

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Develop & Implement System

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u Identify

what you already have & use it!

u Distribute responsibilities among Cross
Functional Team (CFT) and others
u CFT cant do it all!

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Establishing The Approach

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Obtain Management Approval

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u Obtain

approvals after completing major

development & implementation milestones
u Document approvals in meeting minutes
u Obtain final approval of entire system
>Section 2: Launch & Implementation Tools <
>As Starting Point<
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Introduction to ISO 14001 Implementation

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Establishing The Approach

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Obtain 3rd Party Certification

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u Certification

requires an accredited registrar

& certification audit

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Planning

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Taking The First Step

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Introduction to ISO 14001 Implementation

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Core of the EMS

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Evaluate for
Significance
Review Legal and Other
Requirements

Facilitywide

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Regulated
Potential
Release
Energy and
Business Plan

Departments

Department
by
Department

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Env. Load

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Not Significant

Legal Requirements
Aspects

Significant Aspects
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Core of the EMS

Categorize
Objectives and
Targets

Develop Environmental
Management Programs
Project Plan

Significant
Significant
Aspects
Aspects

Control/
Maintain
(e.g., Regulatory Improvement
Compliance) (e.g., Energy
Reduction)

Develop
Procedures and
Work Practices

EMPs

Study
(e.g.,
Feasibility
Study)

Objectives and Targets

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Tasks, Responsible
Parties, Time
Frames

Operational Controls

Monitoring and
Measurement

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Procedures

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Work Prt.1

Environmental
Management Programs

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Work Prt.2

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Work Prt.3
Procedures/Work
Practices

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Introduction to ISO 14001 Implementation

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Environmental Aspects

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ISO 14001, 4.3.1 Environmental Aspects

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u Organization

responsible for identifying and

maintaining aspects
u Include those under control or influence
u Used to set environmental objectives
u Information kept current
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Environmental Aspects

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u
u
u
u
u
u
u

General trash
Spent aerosol cans
Welding fumes
Waste paint & solvents
Automotive exhaust
Paint spray emissions
Car wash water

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u
u
u
u
u
u
u

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Compressed air use

Electricity
Natural gas
Wastewater discharge
Storm water runoff
Storage tanks
Contaminated land

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Introduction to ISO 14001 Implementation

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Environmental Aspects

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u Aspect

types
Controlled
Influenced
Potential
Actual
u Environmental aspect categories
Used to organize aspects

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Aspect Categories

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u
u
u
u
u
u

Material use
Air emissions
Water use
Energy use
Stormwater discharges
Storage tanks

u
u
u
u
u
u

Wastewater discharges
Solid & liquid waste
Noise
Odor
Natural environment
Land condition

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Introduction to ISO 14001 Implementation

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Identifying Aspects

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u Identify

all areas & departments

corresponding activities,
processes & services
u Use 2 to 3 people teams (1 from area or
dept.)
u For each aspect category ask:
do we have or could we have ?
u Record specific aspects
u Identify

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Introduction to ISO 14001 Implementation

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Legal & Other Requirements

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ISO 14001, 4.3.2 Legal & Other Requirements
u Procedure

for identifying and accessing legal

& other requirements
Federal, provincial/state,
and local regulations
Corporate requirements
Industry-specific requirements
u Applicable to environmental aspects
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Legal & Other Requirements

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EP-007 Env. Regulations and Other

Requirements

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_________________________

u Env.

coordinator maintains access to & list of:

Federal, provincial/state & local regulations
Other requirements
u Env. coordinator communicates requirements to
applicable areas & departments
>Section 3, Tab C: Legal & Other Requirements<
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_________________________

Legal & Other Requirements

_________________________

EP-009 Agency Approvals

_________________________

u Env.

coordinator & permit team

determines need for environmental permits
and develops applications
u Environmental Management Representative
(EMR) communicates with regulatory agencies
u EMR communicates permit issues with
management
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_________________________
_________________________
_________________________
_________________________
_________________________
_________________________
_________________________

_________________________
Environmental Legal Requirements

ASPECT
Material
Usage

REQUIREMENT

_________________________
_________________________

CITATION/
SOURCE

_________________________

GENERAL ENVIRONMENTAL REQUIREMENTS

Hazardous Substances and Reportable Quantities

(CERCLA)

40 CFR Part 302

Hazardous Chemical Reporting: Community Right To

Know (SARA Title III)

40 CFR Part 370

Toxic Chemical Release Reporting: Community Right

To Know (SARA Title III)

40 CFR Part 372

_________________________
_________________________
_________________________
_________________________
_________________________

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_________________________

Significant Aspects

_________________________
_________________________

u Aspects

that can cause a significant

change to the environment (significant impact)
u Change could be negative or positive

_________________________

Example: global warming from CO2 emissions

Example: wetland preservation
u Only significant aspects are further managed
u CFT evaluates aspects for significance

_________________________

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_________________________
_________________________
_________________________
_________________________
_________________________

_________________________
_________________________

Significant Aspect Criteria

_________________________
_________________________

EP-002 Environmental Aspects, Objectives ...

_________________________
u Regulated

(or other requirement)

Example: hazardous waste
u Potential for release
Example: propane from storage tank
>Section 3: EMS Template<

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_________________________

Significant Aspect Criteria

_________________________
_________________________

EP-002 Environmental Aspects, Objectives ...

_________________________
u Business

plan and energy usage

Example: natural gas usage
u Environmental load
Example: plastic containers

_________________________
_________________________
_________________________
_________________________

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_________________________
_________________________

_________________________
_________________________

Significant Aspect Criteria

_________________________
_________________________

EP-002 Environmental Aspects, Objectives ...

_________________________
u Environmental

load

_________________________

Toxicity
Restricted substance
Amounts (volume & mass of releases,
resource consumption)
Frequency & severity
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_________________________

Documentation of Aspects

_________________________
_________________________

EP-002 Environmental Aspects, Objectives ...

_________________________
_________________________

u CFT

identifies aspects
and significant aspects
u Rationale for significance documented
u Aspects reviewed every six months
u Process & facility changes reviewed
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_________________________
_________________________

_________________________
_________________________

Objectives & Targets

_________________________

ISO 14001, 4.3.3 Objectives and Targets

_________________________
u Establish
u Must

and maintain objectives & targets

consider:

_________________________
_________________________

Legal & other requirements

Significant env. aspects
Technological options
Financial, operational & bus.requirements
Views of interested parties
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_________________________

Objective Categories

_________________________

EP-002 Environmental Aspects, Objectives ...

_________________________
_________________________
_________________________

u Objectives

& targets
established for all significant aspects
u CFT reviews performance of objectives &
targets every 6 months

_________________________
_________________________
_________________________

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_________________________
_________________________

_________________________
_________________________

Objective Categories

_________________________

EP-002 Environmental Aspects, Objectives ...

_________________________
_________________________

u Control/Maintain

_________________________

Maintain existing program

u Improve
Reduce usage
u Investigate/Study
Study the feasibility
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_________________________

Objectives & Targets

_________________________
_________________________

u Objective-

an environmental goal
e.g., Reduce energy
e.g., Maintain regulatory compliance
e.g., Study material substitution
u Target- amount & when goal will be met
e.g.,10%, rate basis, from 1994 by 2002
e.g., Ongoing
e.g., Complete by Jan. 2001
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_________________________
_________________________
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_________________________
_________________________

_________________________

Aspects, Objectives & Targets

_________________________

Example Forms
u

_________________________

4 3 2
Example No. 1
Environmental Aspects
Example No. 2
Environmental Aspects, Objectives & Targets
Example No. 3
Environmental Aspects, Objectives and Targets
Example No. 4
Significant Aspects Summary, Operational Controls

_________________________
_________________________
_________________________
_________________________
_________________________
_________________________

>Section 3, Tab B: Aspects, Objectives & Targets<

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_________________________

Environmental Policy

_________________________
_________________________

ISO 14001, 4.2 Environmental Policy

_________________________
u Appropriate

to the nature, scale &

environmental impacts of activities,
products, or services
u Commitment to continual improvement &
prevention of pollution
u Commitment to comply with regulations &
other requirements
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_________________________
_________________________

_________________________
_________________________

Environmental Policy

_________________________
_________________________

ISO 14001, 4.2 Environmental Policy

_________________________
_________________________

u Provides

the framework for setting &

reviewing environmental objectives & targets
u Documented, implemented and maintained
u Communicated to all employees
u Available to the public
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_________________________
_________________________

Environmental Policy

_________________________
Contents
u Header with facility name
u Intro explaining what facility does
u Inclusion of the 4 commitments & other
requirements
u General objectives established at facility
u Authorizing signature & date

_________________________
_________________________
_________________________
_________________________
_________________________
_________________________

>Section 3, Tab A: Policy<

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_________________________
_________________________

_________________________

Environmental Management
Programs

_________________________
_________________________

ISO 14001, 4.3.4 Env. Management Programs

_________________________
_________________________

u Establish

& maintain programs

for achieving objectives and targets
u Identify means, responsibilities and
timeframes
u Review new projects or changes for
applicability to existing programs
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_________________________

Environmental Management Programs

_________________________

Example Programs

_________________________
4 3 2 1

_________________________

Example No. 1
Regulatory Compliance Program
Example No. 2
Managed Material Program
Example No. 3
Reduce Energy Program
Example No. 4
Waste Minimization Program

_________________________
_________________________
_________________________
_________________________
_________________________

>Section 3, Tab D: Management Programs<

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_________________________
_________________________

_________________________

Environmental Management
Programs

_________________________

EP-002 Environmental Aspects, Objectives ...

_________________________

_________________________

_________________________
u EMPs

should be created to address:

Pollution prevention/Waste minimization

_________________________
_________________________

Energy management
Materials management
Compliance assurance
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_________________________
_________________________

System Documents

_________________________

SYSTEM
PROCEDURES

ORGANIZATIONAL
CHART

OPERATIONAL
PROCEDURES

ROLES &
RESPONSIBILITIES

WORK
PRACTICES

_________________________
_________________________

LEGAL
REQUIREMENTS

_________________________
TRAINING
MATRIX

POLICY
ASPECTS

_________________________

MASTER
DOCUMENT
LIST

OBJ. & TARGETS

PROGRAMS

_________________________

MASTER
RECORDS
LIST

_________________________

>Section 3 of Workbook<
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_________________________
_________________________

_________________________

EMS Documentation

_________________________
_________________________

ISO 14001, 4.4.4 EMS Documentation

_________________________
u Maintain

& describe core elements of the

EMS
Paper or electronic form
u Provide direction to related documentation

_________________________
_________________________
_________________________
_________________________
_________________________

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_________________________

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_________________________
_________________________

EMS Documentation

_________________________
_________________________

EMS manual
u Environmental Policy
u Roles &
responsibilities
u Legal & other
requirements
u Aspects
u Objectives & targets
u

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EMPs
u Training matrix
u Procedures & forms
u Work practices
u Master document list
u Master records list
u References
u

_________________________
_________________________
_________________________
_________________________
_________________________
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_________________________
_________________________

_________________________
_________________________

EMS Template - Procedures

_________________________
No.
Title
EP-001 Formatting Environmental
Procedures, Work Practices
and Forms

11/23/99

_________________________
_________________________

EP-002 Environmental Aspects,

Objectives and Targets, and
Management Programs

4.3.1
4.3.3
4.3.4

EP-003 Environmental Management

System and Regulatory
Compliance Audits

4.5.4

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ISO
14001
N/A

_________________________
_________________________
_________________________
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_________________________
_________________________

EMS Template - Procedures

_________________________
No.
Title
EP-004 Non-Conformance and
Corrective and Preventive
Action

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_________________________

ISO
14001
4.5.2

_________________________
_________________________

EP-005 Environmental Management

System Management Review

4.6

EP-006 Emergency Preparedness and

Response

4.4.7

_________________________

EP-007 Environmental Regulations

and Other Requirements

4.3.2

_________________________

_________________________

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_________________________
_________________________

_________________________
_________________________

EMS Template - Procedures

_________________________
ISO
14001
4.3.1

_________________________

4.4.6

_________________________

EP-010 Environmental
Communication

4.4.3

_________________________

EP-011 Contractor Control

4.4.6

_________________________

No.
Title
EP-008 Environmental Review of
Projects
EP-009 Agency Approvals

_________________________

_________________________
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_________________________

EMS Template - Procedures

_________________________
No.
Title
EP-012 Environmental Document
Control
EP-013 Environmental Records

ISO
14001
4.4.5

_________________________

4.5.3

_________________________

_________________________

_________________________

EP-014 Environmental Training and

4.4.2
Awareness
EP-015 Monitoring and Measurement 4.5.1

_________________________
_________________________

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_________________________
_________________________

_________________________
_________________________

Master Document List

_________________________
_________________________
_________________________
_________________________
_________________________
_________________________
_________________________

>Section 3, Tab G: Master Document List<

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_________________________

Document Control

_________________________
_________________________

Document Control Ensures

That Only Approved
Documents Are Available For
Use

_________________________
_________________________

Procedure

_________________________
W I

_________________________

WI
W I

_________________________
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_________________________
_________________________

_________________________
_________________________

Document Control

_________________________
ISO 14001, 4.4.5 Document Control

_________________________

u Develop

procedure to control documents

Can be located
Reviewed, revised, & approved
Current versions available
Obsolete documents properly handled
Legible, dated, identifiable, and maintained

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_________________________
_________________________
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_________________________
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_________________________

Document Control

_________________________
EP-012 Environmental Document Control

_________________________
_________________________

u EMR

or designee maintains master

documents & issues controlled copies
u CFT reviews & approves changes to EMS
documents
u Documents marked Controlled Document
u Documents available where needed
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_________________________
_________________________

_________________________
_________________________

Records

_________________________
_________________________

ISO 14001, 4.5.3 Records

_________________________
u Procedure

for records management

u Records must be legible, identifiable, &
traceable to the activity, product, or service
u Protected against damage, deterioration, or
loss
u Retained for a specified period
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_________________________

Records

_________________________
_________________________

EP-013 Environmental Records

_________________________
u Records

retained as specified in Index of

Environmental Records
u Retention consistent with legal & other
requirements
u Responsible personnel access master list of
records relevant to their area or department
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_________________________
_________________________
_________________________
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_________________________
_________________________

_________________________

Index of Environmental
Records

_________________________
_________________________
_________________________
_________________________
_________________________
_________________________
_________________________
_________________________

>Section 3, Tab H: Master Records List<

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_________________________
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_________________________

Structure & Responsibility

_________________________

ISO 14001, 4.4.1 Structure & Responsibility

_________________________
u

Define roles, responsibilities

& authorities
Provide adequate resources
Human resources, specialized skills, technology &
financial resources
Appoint EMR

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_________________________
_________________________
_________________________

>Section 3, Tab E: Structure & Responsibilities<

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_________________________
_________________________
_________________________

_________________________

Operational Controls

_________________________

ISO 14001, 4.4.6 Operational Controls

_________________________
_________________________

u Identify

operations & activities

associated with significant aspects
u Procedure needed where absence could lead
to deviations from policy, objectives & targets
u Communicate procedures to contractors
where applicable

_________________________
_________________________
_________________________
_________________________
_________________________

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_________________________
_________________________

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Operational Controls

_________________________

Types of Operational Controls

_________________________
_________________________

u Operational

procedures
u Work practices
u EMPs
u Permits/Legal & other requirements
u Visual aids
u Manuals & plans

_________________________
_________________________
_________________________
_________________________
_________________________

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_________________________
_________________________

_________________________
_________________________

Monitoring & Measurement

_________________________
_________________________

ISO 14001, 4.5.1 Monitoring & Measurement

_________________________
u Procedure(s)

to monitor
& measure key
characteristics of processes & activities
u Record information to track performance
u Calibration procedures
u Procedure for regulatory compliance audits
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_________________________
_________________________

Monitoring & Measurement

_________________________
_________________________

ISO 14001, 4.5.1 Monitoring & Measurement

_________________________
u Key

characteristics associated
with significant aspects
volumes (e.g., gallons of spent paint)
weights (e.g., tons of metal scrap)
rates (e.g., number of car repairs per day)

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_________________________
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_________________________
_________________________

_________________________
_________________________

Monitoring & Measurement

_________________________
_________________________

EP-015 Monitoring & Measurement

_________________________
u Internal

audits monitor
conformance to objectives & targets
u Environmental performance monitored per
Env. Management Programs (EMPs)
u Operational controls monitored per EMPs,
procedures, work practices & visual aids
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_________________________
_________________________
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_________________________

Monitoring & Measurement

_________________________
_________________________

EP-015 Monitoring & Measurement

_________________________
u Calibrate

per manufactures
recommendations or at least annually
u Calibration & maintenance addressed in
maintenance program or work practices
u Area/Department list of equipment to be
calibrated & frequency
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_________________________
_________________________
_________________________
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_________________________
_________________________
_________________________

_________________________

Training

_________________________
_________________________

ISO 14001, 4.4.2 Training, Awareness &

Competence

_________________________
_________________________

u Identify

training needs
u Establish training procedures
Importance of conformance

_________________________
_________________________

Consequences of departure from procedures

competent by education, training,
and/or experience

u Personnel

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_________________________
_________________________
_________________________
_________________________

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Notes
_________________________

Training

_________________________
_________________________

EP-014 Environmental Training and Awareness

_________________________
_________________________

u Training

department completes Training Needs

Analysis (TNA) and training schedule, reviews at
least annually and revises as necessary
u Permanent on-site contractors included in
training program
u Training records maintained by Training dept.
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_________________________
_________________________
_________________________
_________________________
_________________________
_________________________

_________________________

Training

_________________________
_________________________

Training Needs Matrix

_________________________
_________________________
_________________________

u Environmental

Courses
u Procedures and Work Instructions by Area /
Department

_________________________
_________________________
_________________________

>Section 3, Tab F: Training Matrix<

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_________________________
_________________________

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_________________________
_________________________

Communications

_________________________
ISO 14001, 4.4.3 Communications

_________________________
_________________________

u Procedure

for internal and

external communications
u Between various levels and functions
u Document & respond to external
communications (e.g., requests for info)
u Record decision for external communication
of significant aspects
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_________________________
_________________________
_________________________
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_________________________
_________________________

_________________________
_________________________

Communications

_________________________
EP-010 Environmental Communication

_________________________
_________________________

u CFT

communicates employee
concerns to management
u Area/Dept. managers communicate legal &
other changes to employees
u HR Manager and EMR involved in external
communication with interested parties
u Communications documented
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_________________________
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_________________________

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Notes
_________________________

Emergency Preparedness &

Response

_________________________
_________________________

to identify potential

_________________________

& respond to accidents & emergencies

u Focus on prevention & mitigation
u Process for review and modification
u Periodically test procedures, where needed
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_________________________
_________________________

ISO 14001, 4.4.7 Emergency Prep. &

Response
u Procedure(s)

_________________________

_________________________
_________________________
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_________________________
_________________________
_________________________

_________________________

Emergency Preparedness &

Response

_________________________
_________________________
_________________________

EP-006 Emergency Prep. & Response

_________________________
u CFT

identifies potential
incidents semi-annually

_________________________

u Emergency

Response Coordinator develops

and maintains emergency response
methods
u Methods tested at least annually
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_________________________
_________________________
_________________________
_________________________
_________________________

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Notes
_________________________

Emergency Preparedness &

Response

_________________________
_________________________
_________________________

EP-006 Emergency Prep. & Response

_________________________
u Response

activities conducted
within bounds of training, procedures

_________________________
_________________________

and regulatory expectations

u Corrective & preventative actions initiated
following incidents & emergencies

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_________________________
_________________________

_________________________
_________________________

Env. Review of Projects

_________________________
_________________________

EP-008 Env. Review of Projects

_________________________
u Initiating

Activity completes
Env. Checklist with appropriation request

_________________________
_________________________

u EMR

reviews request & checklist

u EMR or designee identifies aspects
u Environmental issues resolved with Initiating
Activity
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_________________________
_________________________
_________________________

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_________________________
_________________________

Contractor Control

_________________________
_________________________

EP-011 Contractor Control

_________________________
u Facility

provides information to
contractors to ensure awareness of EMS

_________________________
_________________________

u Contractors

submit Method Statements to

Initiating Activity prior to working on-site
u Contractors conform to EMS requirements,
ensure staff awareness & maintain records
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_________________________
_________________________
_________________________

_________________________

EMS Audits

_________________________
_________________________
_________________________

ISO 14001, 4.5.4 EMS Audits

_________________________
u Procedure

to determine conformance to ISO

14001 requirements & planned arrangements
u Audits prove conformance
u Results reported to management
u Audit schedule based on importance &
results of previous audits
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_________________________
_________________________
_________________________
_________________________
_________________________
_________________________

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Notes
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EMS Audits

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Types of Audits

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u 1st

Party - Conducted by facility staff

u 2nd Party - Conducted by personnel
not associated with facility (e.g., corporate
staff, consultant)
u 3rd Party - Conducted by registrar or
regulatory authority
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EMS Audits

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EP-003 EMS & Regulatory Compliance Audits

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u Quality

Manager responsible for EMS audits

u Audit team independent of area being audited
u EMR responsible for compliance audits
u Nonconformances recorded on Corrective
and Preventative Action Requests (CARs)
u Open CARs reported to management
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Nonconformance & Corrective

And Preventive Action

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ISO 14001, 4.5.2 Nonconformance and

Corrective and Preventive Action

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u Procedure

for handling
& investigating nonconformances
u Mitigate impacts and correct & prevent
problems
u Modify procedures, as applicable
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Nonconformance & Corrective

And Preventive Action

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EP-004 Nonconformance and Corrective ...

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u Response

to nonconformances
and noncompliances:
ID root cause
Determine corrective & preventative actions
Implement actions & verity effectiveness

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Nonconformance & Corrective

And Preventive Action

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EP-004 Nonconformance and Corrective ...

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u Nonconformances

and noncompliances
identified outside audit process
u Quality Manager creates Corrective and
Preventative Action Requests (CARs) for
nonconformances, as appropriate
u EMR creates CARs for noncompliances
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Management Review

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ISO 14001, 4.6 Management Review

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u Top

management (i.e., facility/

plant management) reviews
suitability of EMS at defined intervals
u Comprehensive & documented review
u Assess the need for changes to EMS in-line
with commitment to continual improvement
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Management Review

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EP-005 EMS Management Review

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u Management

reviews EMS annually

u EMR reports on EMS performance
u Corrective actions assigned to responsible
managers
u Meeting records maintained by EMR

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Registration Process

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u Certification

Audit
Pre-assessment review
Main audit
u Surveillance audits
u Re-certification audit

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Registration Process

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Certification Audit

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u Main

audit
Major & minor nonconformances
u Auditors recommend, Registrar decides
u Certificate of registration good for 3 years maybe

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Registration Process

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Surveillance Audits

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u At

least annually
u Proof of continual EMS improvement
u Look for systemic problems
u Major nonconformance could effect
re-certification

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Registration Process

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Re-Certification Audits

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u Every

three years by Registrars

auditors
u Same approach as Certification Audit

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Protecting the Environment is

Everyones Job,

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And So Is Maintaining the EMS!

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