1. Environmental Management Systems and ISO standards 04.12.2014
H-ESD : Environmental and Sustainable Development
Michael Staudt, GTK

2. Background of the lecturer
Michael Staudt, Geologist
MSc (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 2003
Mining related projects in Russia , Zambia and Ethiopia
Background 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 started
Defining the basic elements of an EMS
Implementing an EMS
Common implementation road-blocks

5. EMS- Definition
refers 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 features
Serves 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 affairs
Is 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 features
Creates 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 EMS
Implemention of the EMS.
The process also includes checking the system and acting on it..

14. PDCA Cycle
The model is continuous because an EMS is a process of continual improvement in which an organization is constantly reviewing and revising the system
This is a model that can be used by a wide range of organizations — from manufacturing facilities to service industries to government agencies

15. PDCA Cycle
The model is continuous because an EMS is a process of continual improvement in which an organization is constantly reviewing and revising the system
This 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 Aspects
4.4 Implementation & Operation
Legal & Other
Requirements
Objectives & Targets
and Programs
Competence, Training
and Awareness
Documentation
Resources, Roles,
Responsibility and Authority
Operational Control
Communication
4.5 Checking
Control of Documents
Emergency Preparedness
& Response
ISO Standard
Monitoring &
Measurement
Evaluation of Compliance
Nonconformity, Corrective
Action & Preventive Action
Control of Records
Internal Audit
4.6 Management Review
Management Review

17. Environmental Policy
Declares an organization’s commitment to the environment.
Provides the framework for planning and action.

18. Environmental Aspects
Identify environmental aspects
Determine aspects with significant environmental impact
Document & maintain in an aspects register
Ensure 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 organisation
Identify other environmental requirements to which the agency subscribes
Show how legal & other requirements apply to environmental aspects
Keep 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 achieve
Target: detailed performance requirement to achieve objective
Environmental program/action plan:
to achieve objectives & targets
Includes responsibility, means & timeframe

21. Implementation & Operation
Resources, roles, responsibility & authority
Competence, training & awareness
Communication
Documentation
Control of documents
Operational control
Emergency 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 4.2 
Policy
2. Environmental Aspects
Matrix
3. Legal & Other Requirements
4. Objectives, Targets and Programs
Template or matrix of programs
5. Resources, Roles, Responsibility and Authority
Organization chart
6. Competence, Training and Awareness
Needs matrix, schedule & records
7. Communication
Memos, log sheets, news letters
8. Documentation
Flow chart (document structure)
9. Control of Documents
Flow chart (approval & revisions)
10. Operational Control
SOP’s, contractor packet
11. Emergency Preparedness & Response
Plans, inspections
12. Monitoring & Measurement
2 types of tracking matrix
13. Evaluation of Compliance
Compliance audit results
14. Nonconformity, Corrective & Preventive Action
Competed corrective action form
15. Control of Records
Retention time matrix
16. Internal Audit
Audit schedule & results
17. Management Review 4.6
Reports, meeting minutes
October 2008
Virginia EMS Conference 23

24. Implementation & Operation
Resources, roles, responsibility & authority
Competence, training & awareness
Communication
Documentation
Control of documents
Operational control
Emergency preparedness & response

25. Resources, roles, responsibility & authority
Management provides appropriate resources
Document roles, responsibilities & authorities
Appoint management representative to:
Co-ordinate establishment, implementation & maintenance of EMS
Report to top management on performance of EMS & recommend improvements

26. Competence, training & awareness
Identify positions & roles associated with significant environmental aspects
Assess competence
Identify training needs
Fulfil training needs
Propagate awareness of the EMS

27. Communication Develop internal communication process
Ensure that communication from external parties is appropriately managed
Decide how to proactively communicate externally about significant environmental aspects

28. Documentation Environmental policy, objectives and targets
Description of the scope of the environmental management system
Description of the main elements of the environmental management system and their interaction, and reference to related documents
Documents and records required by the standard
Documents 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-approval
Identification of changes and current revision status
Availability at points of use
Legibility and identification
Identification and distribution of external documents
Management of obsolete documents.

30. Operational control
Physically control all activities, functions, products and processes associated with significant environmental impacts
Operational control must include documented work instructions and operating procedures defining the manner in which control will be maintained, on a risk management basis
Operational 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 situations
Test emergency response
Review emergency preparedness & response procedures, especially after incidents

32. Checking Monitoring & measurement Evaluation of compliance
Nonconformity, corrective action & preventive action
Control of records
Internal audit

35. Monitoring & measurement
Monitor the activities, functions and processes that are associated with a significant environmental impact
Monitor performance, operational controls, & conformity with environmental objectives & targets
Calibrate or verify any monitoring & measurement equipment

36. Evaluation of compliance
Periodically evaluate compliance with legal & other requirements
Record the evaluations

37. Nonconformity, corrective action & preventive action
Identify actual & potential nonconformities
Take action to correct nonconformities and mitigate environmental impact
Investigate nonconformities & determine root cause
Take corrective action to avoid recurrence, & preventive action to prevent occurrence
Review 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 records
Retain all environmental records required for the successful development, implementation and maintenance of the EMS
Our 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 standard
evaluate effectiveness of EMS
provide information to top management
Internal 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 Review
Holistic & 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, and
2. 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 & processes
Checking—develop processes for monitoring & measurement & corrective & preventive action
Develop 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 compliance
Follow up internal audit with improvements to system
Conduct initial management review of EMS
Implement improvements from management review

45. Steps to gaining certification of an EMS
1. Apply to accredited conformity assessment body for ISO certification
2. External comprehensive documentation review & preliminary audit to evaluate readiness for certification
3. Implement improvements from documentation review & preliminary audit
4. Certification audit
These 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 improvements
6. Plan corrective action in response to any nonconformities raised
7. Certification granted for 3 years
8. Surveillance audits initially 6-monthly then annually
9. Annual management reviews
10. 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 19011:2003
Training on environmental management systems, auditing and lead auditing, and internal auditing, e.g. NCS International
Consultancy to assist with development of the EMS, e.g. NCSI Training & Development
Conformity 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 EMS
An EMS manual with essential procedures
A 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 EMS
AS/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 & ISO
The 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 commitment
Inadequate resources
Lack of support from staff
Inadequate awareness and culture within the organisation
Lack of clear responsibilities and authorities
EMS too complex for the organisation
Organisational politics & culture within functional areas
These 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. Conclusion
An 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 14001
An 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. References
Sheldon, 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