Presentation on theme: "Environmental Management Systems and ISO standards"— Presentation transcript:
1 Environmental Management Systems and ISO standards 04.12.2014 H-ESD : Environmental and Sustainable DevelopmentMichael Staudt, GTK
2 Background of the lecturer Michael Staudt, GeologistMSc (Dipl.-Geol.) in Geology (University of Freiburg/GER, 2000)MSc in Tropical Hydrogeology (University of Tübingen/GER, 2003)Works for Geological Suryey of Finland (GTK) since 2003Mining related projects in Russia , Zambia and EthiopiaBackground of the lecturer
3 Table of contents Environmental Management Systems- An introduction What is ISO ?
4 What is an EMS ? Environmental Management System (EMS) Basics Brief history and getting startedDefining the basic elements of an EMSImplementing an EMSCommon implementation road-blocks
5 EMS- Definitionrefers to the management of an organization's environmental programs in a comprehensive, systematic, planned and documented manner. It includes the organizational structure, planning and resources for developing, implementing and maintaining policy for environmental protection.
6 An EMS is …"a system and database which integrates procedures and processes for training of personnel, monitoring, summarizing, and reporting of specialized environmental performance information to internal and external stakeholders of a firm."
7 Goals of an EMS to increase compliance and reduce waste Compliance is the act of reaching and maintaining minimal legal standards. By not being compliant, companies may face fines, government intervention or may not be able to operate.
8 Goals of an EMS to increase compliance and reduce waste Compliance is the act of reaching and maintaining minimal legal standards. By not being compliant, companies may face fines, government intervention or may not be able to operate.
9 Goals of an EMS to increase compliance and reduce waste Waste reduction goes beyond compliance to reduce environmental impact. The EMS helps to develop, implement, manage, coordinate and monitor environmental policies. Waste reduction begins at the design phase through pollution prevention and waste minimization. At the end of the life cycle, waste is reduced by recycling.
10 EMS featuresServes as a tool, or process, to improve environmental performance and information mainly "design, pollution control and waste minimization, training, reporting to top management, and the setting of goals"Provides a systematic way of managing an organization’s environmental affairsIs the aspect of the organization’s overall management structure that addresses immediate and long-term impacts of its products, services and processes on the environment. EMS assists with planning, controlling and monitoring policies in an organization.Gives order and consistency for organizations to address environmental concerns through the allocation of resources, assignment of responsibility and ongoing evaluation of practices, procedures and processes
11 EMS featuresCreates environmental buy-in from management and employees and assigns accountability and responsibility.Sets framework for training to achieve objectives and desired performance.Helps understand legislative requirements to better determine a product or service's impact, significance, priorities and objectives.Focuses on continual improvement of the system and a way to implement policies and objectives to meet a desired result. This also helps with reviewing and auditing the EMS to find future opportunities.Encourages contractors and suppliers to establish their own EMS.
12 EMS modell.An EMS follows a Plan-Do-Check-Act, or PDCA, Cycle
13 PDCA Cycle process of first developing an environmental policy planning the EMSImplemention of the EMS.The process also includes checking the system and acting on it..
14 PDCA CycleThe model is continuous because an EMS is a process of continual improvement in which an organization is constantly reviewing and revising the systemThis is a model that can be used by a wide range of organizations — from manufacturing facilities to service industries to government agencies
15 PDCA CycleThe model is continuous because an EMS is a process of continual improvement in which an organization is constantly reviewing and revising the systemThis is a model that can be used by a wide range of organizations — from manufacturing facilities to service industries to government agencies
16 ISO 14001 Standard 4.2 Policy 4.3 Planning Environmental Policy Environmental Aspects4.4 Implementation & OperationLegal & OtherRequirementsObjectives & Targetsand ProgramsCompetence, Trainingand AwarenessDocumentationResources, Roles,Responsibility and AuthorityOperational ControlCommunication4.5 CheckingControl of DocumentsEmergency Preparedness& ResponseISO StandardMonitoring &MeasurementEvaluation of ComplianceNonconformity, CorrectiveAction & Preventive ActionControl of RecordsInternal Audit4.6 Management ReviewManagement Review
17 Environmental PolicyDeclares an organization’s commitment to the environment.Provides the framework for planning and action.
18 Environmental Aspects Identify environmental aspectsDetermine aspects with significant environmental impactDocument & maintain in an aspects registerEnsure that significant environmental aspects are the focus of the rest of the EMS
19 Legal and Other Requirements Identify environmental legal requirements applicable to the operations of the organisationIdentify other environmental requirements to which the agency subscribesShow how legal & other requirements apply to environmental aspectsKeep these up-to-date & incorporate them into other elements of the EMS
20 Objectives, Targets and Programs Objective: overall goal consistent with environmental policy that the agency wants to achieveTarget: detailed performance requirement to achieve objectiveEnvironmental program/action plan:to achieve objectives & targetsIncludes responsibility, means & timeframe
21 Implementation & Operation Resources, roles, responsibility & authorityCompetence, training & awarenessCommunicationDocumentationControl of documentsOperational controlEmergency preparedness & response
22 Resources, Roles, Responsibility and Authority Establish roles and responsibilities and provide resources.Clear designation of Authority.
23 EMS Supporting Documents (objective evidence 1. Environmental Policy 4.2Policy2. Environmental AspectsMatrix3. Legal & Other Requirements4. Objectives, Targets and ProgramsTemplate or matrix of programs5. Resources, Roles, Responsibility and AuthorityOrganization chart6. Competence, Training and AwarenessNeeds matrix, schedule & records7. CommunicationMemos, log sheets, news letters8. DocumentationFlow chart (document structure)9. Control of DocumentsFlow chart (approval & revisions)10. Operational ControlSOP’s, contractor packet11. Emergency Preparedness & ResponsePlans, inspections12. Monitoring & Measurement2 types of tracking matrix13. Evaluation of ComplianceCompliance audit results14. Nonconformity, Corrective & Preventive ActionCompeted corrective action form15. Control of RecordsRetention time matrix16. Internal AuditAudit schedule & results17. Management Review 4.6Reports, meeting minutesOctober 2008Virginia EMS Conference23
24 Implementation & Operation Resources, roles, responsibility & authorityCompetence, training & awarenessCommunicationDocumentationControl of documentsOperational controlEmergency preparedness & response
25 Resources, roles, responsibility & authority Management provides appropriate resourcesDocument roles, responsibilities & authoritiesAppoint management representative to:Co-ordinate establishment, implementation & maintenance of EMSReport to top management on performance of EMS & recommend improvements
26 Competence, training & awareness Identify positions & roles associated with significant environmental aspectsAssess competenceIdentify training needsFulfil training needsPropagate awareness of the EMS
27 Communication Develop internal communication process Ensure that communication from external parties is appropriately managedDecide how to proactively communicate externally about significant environmental aspects
28 Documentation Environmental policy, objectives and targets Description of the scope of the environmental management systemDescription of the main elements of the environmental management system and their interaction, and reference to related documentsDocuments and records required by the standardDocuments and records determined by the organisation to be necessary to ensure the effective planning, operation and control of processes that relate to its significant environmental aspects.
29 Document control Document approval Document review, update and re-approvalIdentification of changes and current revision statusAvailability at points of useLegibility and identificationIdentification and distribution of external documentsManagement of obsolete documents.
30 Operational controlPhysically control all activities, functions, products and processes associated with significant environmental impactsOperational control must include documented work instructions and operating procedures defining the manner in which control will be maintained, on a risk management basisOperational control extends to significant environmental aspects of goods & services used by the agency, for communication to suppliers & contractors.
31 Emergency preparedness & response Procedures to identify potential for accidents and emergency situations, appropriately respond to, and minimise the environmental impact of, accident and emergency situationsTest emergency responseReview emergency preparedness & response procedures, especially after incidents
32 Checking Monitoring & measurement Evaluation of compliance Nonconformity, corrective action & preventive actionControl of recordsInternal audit
35 Monitoring & measurement Monitor the activities, functions and processes that are associated with a significant environmental impactMonitor performance, operational controls, & conformity with environmental objectives & targetsCalibrate or verify any monitoring & measurement equipment
36 Evaluation of compliance Periodically evaluate compliance with legal & other requirementsRecord the evaluations
37 Nonconformity, corrective action & preventive action Identify actual & potential nonconformitiesTake action to correct nonconformities and mitigate environmental impactInvestigate nonconformities & determine root causeTake corrective action to avoid recurrence, & preventive action to prevent occurrenceReview effectiveness of action taken
38 This shows a flowchart of the corrective and preventive action process This shows a flowchart of the corrective and preventive action process. The objective of the process is to drive continual improvement of the EMS.
39 Control of recordsRetain all environmental records required for the successful development, implementation and maintenance of the EMSOur agency has a good records management system—all we need to do is ensure that it is used by the EMS.
40 Internal audit Establish & implement internal audit program to: evaluate conformity with requirements of EMS & international standardevaluate effectiveness of EMSprovide information to top managementInternal audits of an environmental management system provide information to management on whether the system conforms to planned arrangements and has been properly implemented and maintained. Ideally, an internal audit looks forward and evaluates the effectiveness of a management system in fulfilling the commitments made in the management system policy and achieving the objectives and targets established for the management system.In the early days of establishing the EMS, internal audits will focus on conformity with the international standard so that certification can be achieved and maintained. It is also appropriate to evaluate compliance with legal and other requirements in an internal audit.In a mature EMS, an internal audit program should be established on a risk basis by considering the environmental importance of an organisation’s operations in terms of its environmental aspects and impacts, and the results of previous audits.
41 Management ReviewHolistic & strategic evaluation, by top management, of audit findings and the degree to which organisation’s environmental policy, objectives and targets, programs and procedures are functioning to improve environmental performance.This is the last element of the EMS, but one of the most important. This is where top management:takes a holistic and strategic look at the continuing suitability, adequacy and effectiveness of the environmental management system, and2. approves actions to improve the system, and in turn improve the environmental performance of the organisation.
42 Steps to establishing an EMS Obtain commitment from top management.Define responsibilities, appoint management representative(s), establish EMS steering committee, develop implementation plan, initial training on EMS.Planning—identify environmental aspects, legal & other requirements; formulate environmental policy; establish environmental objectives & targets & programs.The following 10 steps are involved in establishing and implementing an EMS that is based on the international standard AS/NZS ISO 14001:2004. They could be used as the basis for a project plan.Step 3 could include an initial environmental review. ISO recommends an EIR when an organisation is establishing an EMS from scratch. The main aim of the review is to consider the environmental aspects as the basis for the EMS. It can also cover identification of legal & other requirements, examination of existing environmental management practices and procedures, and evaluation of previous emergency situations and accidents. We can use ISO for further guidance on this.
43 Steps to establishing an EMS Implementation & operation—develop documentation & processesChecking—develop processes for monitoring & measurement & corrective & preventive actionDevelop and deliver presentation on awareness of the EMS in the agency.
44 Steps to establishing an EMS Establish internal audit program, including training; conduct initial internal audit to evaluate conformity to requirements of ISO 14001, including evaluation of complianceFollow up internal audit with improvements to systemConduct initial management review of EMSImplement improvements from management review
45 Steps to gaining certification of an EMS 1. Apply to accredited conformity assessment body for ISO certification2. External comprehensive documentation review & preliminary audit to evaluate readiness for certification3. Implement improvements from documentation review & preliminary audit4. Certification auditThese steps are in addition to establishing an EMS and may be taken if the decision is made to apply for independent certification of the system.
46 Steps to gaining certification 5. Management review, & implementation of further improvements6. Plan corrective action in response to any nonconformities raised7. Certification granted for 3 years8. Surveillance audits initially 6-monthly then annually9. Annual management reviews10. Triennial recertification audits.
47 What resources are available? Model environmental management system for government agencies.International standards, especially AZ/NZS ISO 14001:2004, AS/NZS ISO 14004:2004, AS/NZS ISO 19011:2003Training on environmental management systems, auditing and lead auditing, and internal auditing, e.g. NCS InternationalConsultancy to assist with development of the EMS, e.g. NCSI Training & DevelopmentConformity assessment bodies to certify the EMS to the requirements of AS/NZS ISO 14001:2004.There are several resources that can help the agency establish and implement an EMS.A model EMS for government agencies has recently been devised by the Department of Environment, Water, Heritage and the Arts.It comprises:A guide to the EMSAn EMS manual with essential proceduresA list of legal requirements to be used as the starting point for compiling a register of legal and other requirements.A glossary and reference list to all the relevant standards.Training packages that can be adapted by a government agency, like this package.A decision support spreadsheet.The model has been devised especially for Australian government agencies. It is focussed on a practical system for mostly office-based organisations with relatively low environmental risk.There are three standards directly relevant to environmental management systems:AS/NZS ISO 14001:2004 has the requirements for an EMS—this is the standard to which an EMS can be certified.AS/NZS ISO 14004:2004 has guidelines on principles, systems and support techniques for an EMSAS/NZS ISO 19011:2003 has guidelines for managing internal audit programs as part of an EMS.There are a number of organisations that provide a variety of relevant training. For example, NCS International runs public courses, and can offer in-house courses. Training courses are based on the requirements and guidelines in the international standards.There is also a plethora of consultants willing to assist. However, this can be an expensive trap. Some consultants will provide an organisation with EMS, walk away, and charge a fortune. The risk is that the organisation does not feel that it owns the resulting EMS.The model EMS was devised by NCSI Training & Development to be adapted to an agency by the agency. That way, the agency will own the EMS, but NCSI T&D is still available to assist with the adaptation in an efficient and effective way. As a consultant, NCSI will provide guidance, but agency staff will do all the work. This keeps external costs down.The JAS-ANS website lists accredited conformity assessment bodies that can certify an EMS. NCS International and SAI Global are the major Australian-based players in Australia.
48 What resources are required? Management representative(s) to co-ordinate establishment, implementation & maintenance of EMS & report to top management.Steering committee to establish the EMS, and possibly continue to maintain the EMS.Training of management representative & steering committee members on environmental management systems & ISOThe next two slides take a realistic view of the additional resources that will be required for an agency to establish and implement an EMS.
49 What resources are required? (continued) Training of management representative & internal auditors on internal auditing.Delivery of awareness training on environmental management system to staff.Possible resources for waste segregation, energy & water efficiency measures, and other environmental action plans.Minor modification to procedures to enable monitoring of key characteristics of operations that have environmental impact.
50 Barriers to effective implementation Lack of management support and commitmentInadequate resourcesLack of support from staffInadequate awareness and culture within the organisationLack of clear responsibilities and authoritiesEMS too complex for the organisationOrganisational politics & culture within functional areasThese are all potential barriers to successful establishment and implementation of an EMS. The model environmental management system for government agencies has been put together with these barriers in mind. It is very practical, and is tailored to the requirements of small to large, mainly office-based organisations, with potential for application organisations with substantial field operations.
51 ConclusionAn environmental management system takes time and commitment from the entire organisation.Effective running of an EMS will provide ongoing environmental benefits, cost savings and contribute to building an attractive work place culture.
52 ISO 14001An international standard for requirements of an environmental management system.Produced by the International Organisation for Standardisation.Used as basis for third party certification of environmental management systems.
53 ReferencesSheldon, C. & Yoxon, M. (2003) Installing Environmental Management Systems – A step by step guide, Revided edition, Earthscan Publications Ltd.Whitelaw, K. (2004) ISO Environmental Systems Handbook, 2nd edition, Elsevier