Iso 14001

ISO 14001 ISO 14001 is an international standard that brings a worldwide focus on the environment, encouraging a cleaner, safer, and healthier world for all of us. Understanding > Introduction An Introduction to the ISO 14000 family Environment is one thing that we all share. It is indeed the very basis for the economy. People should recognise that the environment needs immediate attention. Hence, they must protect and sustain it. There are two problems relating to the environment. 1. Resource depletion. •

Energy (Renewable and non renewable).

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Mineral Resources (Non renewable).

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Metals (Non renewable).

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Biological resources (Forests).

2. Environment impact of pollution. •

Greenhouse Effect (Global Warming).

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Ozone Depletion.

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Nitrification and acidification of waterway and soil.

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Noise Pollution.

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Pesticide Pollution.

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Nuclear Radiation.

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Eco toxicity.

Most of these problems have a worldwide impact and have to be addressed globally. A set of international standards brings a worldwide focus on the environment, encouraging a cleaner, safer, and healthier world for all of us. International standards allow organisations to focus their environmental efforts in line with internationally accepted criteria. What is ISO 14000? ISO 14000 is a series of international, voluntary environmental management guidelines and standards. Developed under ISO Technical Committee 207. The 14000 standards deals with: •

Environmental Management Systems (EMS).

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Environmental Auditing & Related Investigations (EA&RI).

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Environmental Labels and Declarations (EL).

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Environmental Performance Evaluation (EPE).

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Life Cycle Assessment (LCA).

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Terms and Definitions (T&D).

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Environmental Communications (EC).

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Climate Change (CC).

The ISO 14000 series of guidelines and standards provides a common framework for managing environmental issues. It helps an organisation curtail the harmful effects of its activities on the environment and continually improve its performance. Evolution of ISO 14000 After the rapid acceptance of the ISO 9000 standards and the development of environment standards in different countries, ISO felt the need to develop an international environmental management standard. ISO formed the Strategic Advisory Group on Environment (SAGE) in 1991 to determine the need for an international standard on environmental management. SAGE consisted of representatives of various countries and international organisations and more than 100 environmental experts. They found the need for an international standard for environmental management and identified key requirements for such a system. Based on the conclusions arrived at by SAGE, ISO formed TC-207 (Technical Committee) in 1993 to develop the ISO 14000 standards. Today the TC-207 consists of environmental experts from 69 participating countries in addition to the 19 observing countries and 46 international and non-government business organisations.

Continue the tour : The ISO 14001 Family Understanding > The ISO 14000 Family The list of ISO 14000 family of guidelines and standard is given below. Standard Title / Description 14000 Guide to Environmental Management Principles, Systems and Supporting Techniques. 14001 Environmental Management Systems - Specification with Guidance for Use. 14004 Environmental Management Systems – Guidelines on Principles, Systems And Supporting Techniques. 14010 Guidelines for Environmental Auditing - General Principles of Environmental Auditing. 14011 Guidelines for Environmental Auditing - Audit Procedures-Part 1: Auditing of Environmental Management Systems. 14012 Guidelines for Environmental Auditing - Qualification Criteria for Environmental Auditors. 14013/15 Guidelines for Environmental Auditing - Audit Programmes, Reviews & Assessments. 14020 General Principles For Environmental Labels And Declarations. 14021/23 Environmental Labels And Declarations – Self-Declaration Environmental Claims – Terms And Definitions, Symbols, Testing And Verification. 14024 Environmental Labels And Declarations-Type 1 Guiding Principles And Procedures. 14031/32 Guidelines on Environmental Performance Evaluation. 14040/43 Life Cycle Assessment General Principles and Practices. 14050 Glossary. 14060 Guide for the Inclusion of Environmental Aspects in Product Standards.

The ISO 14000 family comprises many guideline standards. Nevertheless, it has only one compliance standard - ISO 14001 Environmental Management Systems. Environmental Management System: An Environmental Management System (EMS) is a structured framework that defines how an organisation controls the impact of its operations on the environment. The EMS defines elements such as environmental vision, strategies, approaches and structure set up by the organisation for meeting their commitment to the environment. Need for an EMS: An EMS can act as a guide for organisations to improve their environmental performance and to operate in accordance with environmental laws. Further, an organisation’s EMS can add value to its business by attracting customers who are environmentally conscious. An EMS is expected to: •

Satisfy the regulatory, and legislative requirements.

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Minimise the environmental impact of the organisations activities.

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Assure customers that its products and services do not have a negative impact on the environment.

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Suitably incorporate changing market trends and gain an competitive edge.

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Reduce the costs associated with environmental liabilities and Insurance.

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Gain public and media support.

Scope of EMS:

The scope of the Environmental Management System of an organisation consists of:

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Implementing, Maintaining and improving EMS.

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Conforming to the stated policies and objectives.

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Demonstrating conformance to the EMS through certification.

Each organisation can design its own unique EMS or follow an internationally accepted system of standards. ISO 14001 is one such international standard. Continue the tour: ISO 14001 Environmental Management System Understanding > ISO 14001 EMS standards Different countries and groups are already setting environmental standards individually. The ISO 14001 makes it possible to set a common internationally accepted standard. The ISO 14001 is the world’s most accepted EMS. It was adopted in 1996 as an International Standard to guide organisations worldwide in improving their environmental performance. It is defined as "That part of the overall management system that includes organisational structure, planning activities, responsibilities, practices, procedures, processes, and resources for developing, implementing, achieving, reviewing and maintaining the environmental policy" (ISO 14001: 1996). The ISO 14001 is meant for application in organisations across the world irrespective of their culture and social background. The implementation of the ISO 14001 standard is voluntary, in that it is left to the organisation to embrace and adhere to the ISO standard of legislations and regulations. However, organisations might be interested in implementing ISO 14001 for different reasons like improving process efficiency, meeting customer requirements, pressure from local environmental groups or concern for the environment. The ISO 14001 can be applied to any area of an organisation like production, services, operations, facilities, and transportation. It lays down requirements in the following five key areas of an organisation’s environmental management: a) Environmental policy and commitment. b) Environmental planning. c) Implementation and operation. d) Checking and action. e) Management review. The best approach for organisations to begin using ISO 14001 standard is to analyse and improve the existing processes. If the organisation is improving environment out of its own commitment rather than for demonstrating its efforts to customers and stakeholders, certification may not be necessary. However, if the organisation wants to demonstrate its commitment to its external stakeholders then certification can prove useful. What is certification and how it is obtained? Certification is a statement from an officially recognised body that an organisation conforms to the universally accepted standards in all its operation. An authorised third party auditing agency can recommend the ISO 14001 EMS certification of an organisation. The agency examines whether the company’s existing processes satisfy the international standard’s requirements. If they are found satisfactory then the auditing agency recommends to the country’s ISO representative for certifying the organisation. Benefits of EMS: Implementing the ISO 14001 Environment Management System can lead to: a) Cost savings through: •

Reduction in expenditure on raw material.

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Waste reduction or elimination.

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Decrease in costs of waste disposal.

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Reduction of insurance costs and elimination of penalties

b) Improved public perception and image.

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By certification, legal compliance of the organisation is better demonstrated.

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Since legal obligations are met, fear of penalties for not meeting standards is reduced.

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This encourages the investment and involvement of shareholders and stakeholders.

c) A sense of pride and self esteem in employees and stakeholders leading to greater motivation in work d) Increased business because:

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Environmentally conscious customers tend to patronise ISO 14001 organisation’s products or services. Multi- national companies especially ISO 14001 registered generally prefer to tie up or source from organisations that are ISO 14001 certified.

Continue the tour: Common Misconceptions Regarding ISO 14001. Understanding > Common Misconceptions Regarding ISO 14001 ISO 14001 standards are slowly being adopted by organisations world over. However, certain misconceptions about ISO 14001 need to be clarified. Some of the common misconceptions include: 1. ISO 14001 is a system of documentation: ISO 14001 lays more emphasis on the system than on documentation. It does however require some amount of documentation but not as much as commonly believed. It identifies the broad areas that need to be documented such as environment policy, environmental aspects and impacts, procedures and records. The details of the documentation are left to the organisation’s discretion. Most organisations maintain some form of documentation for operational and legal purposes. Organising and using the existing documents and records can reduce the ISO 14001 documentation efforts. 2. ISO 14001 Specifies Emission and discharge limits: ISO 14001 does not set objectives and targets such as emission or discharge limits for any organisation. It is left to the organisation to set targets that are consistent with their environment policy. Also it requires them to pursue environment programmes that will help them achieve the targets set. 3.ISO 14001 specifies new processes: ISO 14001 does not define processes or procedures. It only provides a framework for an organisation to manage its environment system. The framework covers environmental policy, planning, implementation and operation, checking and corrective action, and management review. ISO 14001 does not lay down any specific process or procedure to be adhered to for achieving certification. The organisations can adopt or modify an existing process to best achieve its environment objectives. 4. ISO 14001 certifies products: ISO 14001 does not certify any product. It however certifies that the organisation that made the product has a system to manage the impact of its operations on the environment. Planning and Implementation > Environmental Policy Deployment Introduction: Before embarking on the implementation of ISO 14001, an organisation must perform a Gap Analysis. A gap analysis compares the existing organisational EMS -if any - vis-a-vis the ISO 14001 requirements. Based on the analysis the organisation can identify areas that need to be improved on to satisfy the ISO 14001 standards. ISO 14001 inherently covers five areas i.e. environmental policy, planning, implementation, checking and corrective action, and management review. It is designed such that the implementation follows a cycle touching upon the five areas sequentially.

We shall delve into the details of the five steps of ISO 14001 implementation and the clauses associated with each of them. Environmental Policy Development: An environmental policy provides a framework to define and review the goals and objectives of the organisation with respect to environmental performance. The establishment of an environmental policy authorised by the top management, and verified by them during the management review is the first step towards the implementation of ISO14001 EMS. The top management must ascertain that the policy:

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Is consistent with the activities being carried out in the organisation and their impact on the environment.

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Highlights the organisation's commitment to prevention of pollution and continual improvement.

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Commits the organisation to meet the appropriate environmental legislations and regulations.

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Is properly applied, documented, and communicated to the entire workforce.

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Provides the framework for setting and evaluating the organisation's environmental objectives and targets.

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Signifies the morals and ethics on which an organisation's activities are based.

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Is publicly accessible.

The policy sets goals for environmental performance against which the efficiency of the management system will be evaluated in future. Once a relevant environmental policy is developed the next step is Planning. Continue the tour: Planning Planning and Implementation > Planning Planning: The plan should include all the elements the Environmental Management System has to deal with. The various areas covered in this step are: a) Environmental Aspects: Environmental aspects are those elements of an organisation’s activities, products or physical resources that impact the environment. These include utilities, products, processes, or activities such as storage or disposal. Emissions, wastewater discharge, hazardous waste management, land contamination, and natural resource depletion are some ways an organisation’s activities can impact the environment. Environmental aspects can be identified through a four-step procedure

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Activities are reviewed/assessed.

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All environmental aspects of the process are identified

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All possible influences on the environment (positive impacts, negative impacts) caused by these aspects are identified and associated with individual aspects.

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A measurement system is developed to separate significant aspects. The organisation then sets targets and objectives to address these aspects to minimise their environmental impact.

Factors to consider while assessing aspects include:

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Ecological effects.

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Resource depletion.

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Influences on human health.

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Catastrophic effects.

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Severity and duration of impacts.

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Probability of occurrence.

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Possible legal, financial, business risks.

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Other business concerns associated with the aspects.

Identification of aspects is a continual process under ISO14001 EMS. In a sense the ISO 14001 EMS implementation is all about addressing environmental aspects. b) Legal and Other Requirements: The organisation should be aware of the legal requirements that apply to its activities, products and services. This includes all applicable environment/ government laws. It also includes voluntarily assumed requirements. These could be management system performance criteria, supplier requirements, lending institutions requirements, or insurance company requirements. Though the law does not stipulate these, organisations set these as standards to achieve. The requirements need to be well communicated, documented, and easily available for reference. The organisation should also have a system to continuously check for changes in the legal requirements and accordingly update itself. c) Objectives and Targets: Objectives and targets are the goals set to improve the environmental performance of the organisation relevant to its environmental impacts. The organisation should set up and maintain documented environmental objectives and targets at each relevant utility and level within the organisation. Objectives and targets should help the organisation meet the commitment it made through its environmental policy. They should be set keeping both business and environment considerations in mind. Some performance indicators organisations use in their targets and objectives include:

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Amount of raw materials / unit of production.

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Levels of discharge on the whole and per unit of productio

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Number of environmental regulations violations.

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Quantity of recycled material being used in packaging and production processes .

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Percentage of the organisation’s wastes being recycled.

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Number of environment restoration projects

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Environmental Targets focus on events that can be gauged such as reduction in energy consumption by x% in m years, reduction in the consumption of raw materials by y% in n years etc. They form the basis for future environmental performance evaluation. For each important environmental aspect identified, the organisation should put in place an objective as well as a quantifiable target connected with that objective. For any non-significant aspect identified earlier, the organisation may set a long-term objective. d) Environmental Management Program (EMP): Once the targets and objectives of the EMS are identified, Environmental Management Programs are designed to make sure that these are accomplished. In other words, an Environmental Management Program provides for the organisation an approach to achieve the targets and objectives of the EMS. It enables the organisation to formulate techniques, assign responsibilities, and fix time schedules for completion. An EMP helps integrate environmental issues into the existing management practices of the organisation such as procurement, financial management and management information systems. The EMPs are action plans to deal with processes; products, services and facilities associated with the set targets and objectives. An EMP should always be in line with the organisation’s environmental policy. These action plans must be

included in the EMS documentation so that crucial activities and responsibilities are periodically checked, modified and redeployed. After the planning stage, organisations move into the implementation and operation phase. Continue the tour: Implementation and Operation Planning and Implementation > Implementation and Operation Implementation and Operation: The implementation and operation of the EMS covers the following areas:

a) Structure and responsibility: The organisation should develop a structure of roles and responsibilities to implement the EMS. The top management should define, document and communicate the responsibilities, authorities and interrelationships of all key environmental personnel. They should also allocate sufficient resources required for implementing and operating the EMS. The top management should also employ a management representative(s) who: • •

Makes sure that the EMS is meeting the ISO 14001 requirements. Continuously updates the top management on the progress of the EMS.

Organisational structure should be described in writing. An organisational chart will be helpful for demonstrating many of the environmental responsibilities to be attended to. Particularly, key personnel should be clearly acknowledged in the organisational structure such as: •

Management Representative (MR).

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Director EH&S (Environment, Health and Safety).

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Facilities Manager.

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Plant Environmental Coordinator (EC).

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Purchasing Agent(s).

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Production Manager(s).

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R&D Manager.

b) Training, Awareness and Competence: All employees of the organisation should be made to clearly understand their environmental roles and responsibilities. They should be made aware of the importance of environmental targets and objectives that they are going to work on. The employee’s job description should include the environmental responsibilities he has been assigned. The organisation should impart the training necessary for employees to meet their environment responsibilities. This should especially be so for those employees whose work has a significant impact on the environment. Subcontractors whose activities might influence EMS should also be trained in the areas of their activities that impact the management system.

The Management Representative is responsible for setting up training facilities in each department within the organisation. He should also explore possible resources to conduct the training programmes. Apart from formal training, other ways to provide inputs on the EMS are through: •

Regular departmental meetings.

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Existing safety meetings.

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Brochures, leaflets, bulletin board presentations.

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Subscriptions to environmental magazines, legal bulletins, and other writings on environment.

Employees and suppliers also need to be constantly informed about the changes in environmental regulations. c) Communication: Effective communication is necessary for establishing an EMS within the organisation. An organisation should set up and maintain a system for: •

Internal communication between the different departments and functions of the organisation.

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Obtaining, recording, and responding to pertinent communication from external sources.

Communication helps an organisation: •

Convey the management’s environmental commitment and expectations to its employees.

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Enable other businesses and people (stakeholders), to become aware of the organisation’s environmental policy and commitment to better environmental performance.

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Focus on concerns raised by external parties about the organisation’s environmental activities; and

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Set up a line of communication that clearly identifies emergency tasks.

The purpose of communication to external parties is to avoid half-truths. Matters that need to be communicated while implementing and operating ISO 14001 are: • •

Environmental policy and corporate profile. The targets and objectives set.

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Environmental opportunities that have been identified.

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Environmental performance evaluation such as waste minimisation data , recycling work, energy savings, etc.

Efficient internal communications help the organisation motivate its employees. It helps specify respective roles and responsibilities, evaluate environmental performance, and identify possibilities for improvement. Employee suggestions are very effective in enhancing the environmental performance of an organisation. Communications should hence be from top-to-bottom as well as bottom-to-top. Communication with external parties is equally vital. Through effective communication an organisation can maintain better relations with regulatory agencies and Non Governmental Organisations. Regular communication with these sources helps build mutual trust and cooperation.

d) Documentation and Document Control: EMS documentation: Documentation is defined as a system of gathering, organising and controlling necessary information. The amount of documentation required to maintain an EMS depends on the nature, size and environmental impacts of the organisation. The ISO 14001 EMS has four levels of documentation. These are: Level 1 - EMS Manual: An EMS manual defines what the organisation’s EMS comprises and the location of relevant documents such as records and operational procedures. An Environmental Manual is used to help employees identify all environmentally significant procedures and elements in a single document. The manual consists of: •

The organisation’s environmental policy, objectives and targets.

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The main people involved in implementing the EMS, their roles and responsibilities.

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Details of various documents and their location.

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Interrelationship between various elements that are part of the EMS.

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Guidelines for implementation.

Level 2 – Procedures: The procedure level documentation describes the processes the organisation follows to meet its EMS commitments. The processes detailed include identifying environmental aspects and impacts, managing wastes and hazardous discharges, study of the plants energy consumption, among many others. The organisation implementing ISO 14001 should document the following procedures: •

Identifying environmental aspects and impacts.

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Identifying legal and regulatory requirements.

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Establishing objectives and targets.

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Defining environmental management programs.

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Document control.

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Communication both internal and external.

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Operations control.

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Emergency preparedness and response.

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Monitoring and measurement.

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Corrective and preventive actions.

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Records.

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Environmental management audit.

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Management review.

Level 3 – Working instructions and general documents: Working instructions are the typical operating procedures applicable to specific operations. They explain how a particular operation related to the EMS has to be executed. Working instructions can include documents detailing training, safety instructions, operating manuals, calibration of particular equipment, and measurement methods among others. Organisations traditionally maintain a major part of working instructions owing to various obligations such as: •

Government laws and regulations.

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Industry stipulations.

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Compliance with other standards, either national or international.

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Good practices.

Level 4 – Records: The previous three levels of documentation define the EMS and its related processes and procedures. However, during audit there should be evidence that the organisation was actually following what was specified by the EMS. Records are documents used to demonstrate the organisation’s compliance to the EMS requirements. They demonstrate that the organisation is doing as required. These may include: •

Records of training conducted.

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Management review records.

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Details of complaints received and corrective action taken.

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Record of monitoring and measurement activities.

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Calibration records.

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Chronological record of communications made.

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Record of environmental programs conducted.

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RFQ’s and contracts signed with suppliers, contractors.

ISO 14001 standards specify the important elements of an EMS to be documented. However, the organisation can document additional areas if they can enhance environmental performance. Documenting effectively: Use language that is simple and easy to understand. This will ensure that the documentation is referred to more often rather than staying in the shelf till the next audit. Use existing documents as far as possible. Organisations normally maintain certain amount of documentation even prior to embarking on the ISO 14001implementation. Being able to locate the relevant documentation and referencing them can reduce the workload for preparing new ones. Employ the use of flow charts, and other graphics tools. They are more effective than a text of written instructions.

Use electronic format for documentation: There are several advantages such as improved accessibility, sharing and ease of editing. Document control: Document control ensures that employees have access to documents that are up to date and accurate. Document control ensures that: •

Clear procedures are defined for effective control of the organisation’s EMS documents.

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Documents are clear, current and distinguishable.

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Documents are

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Documents are easily accessible and well maintained.

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Outdated documents are replaced.

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Outdated documents are retained for reference.

evaluated, enhanced and approved on a regular basis.

Hints for effective document control: Create the right number of copies. Too few might limit accessibility. Too many are difficult to maintain. Maintain a log for documents, their revisions and the locations where they can be accessed. Changes made should be distinguishable. This can be done either by highlighting, boldfacing, using a different font or changing font colour of the changed text. e) Operational control: Controlling and managing all operations in an organisation that profoundly influence the environment is one of the requirements of ISO 14001 standard. Operational controls could include activities: •

Implemented to check pollution or safeguard resources.

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That ensure compliance to regulations.

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Designed to respond to new environmental opportunities or threats.

Activities and operations in an organisation that might require operational control are: •

Management/disposal of wastes.

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Approval of new chemicals.

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Storage and handling of raw materials.

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Wastewater treatment.

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Management of contractors.

Operational methods and procedures must be written down for these specific activities. This ensures uniformity in the way a process is performed even when employee replacements take place. Operation control includes: •

Setting up and maintaining documented procedures to perform certain activities where their absence could lead to variation from the environmental policy, and objective and targets.

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Specifying the operational standards in the procedures.

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Establishing and maintaining procedures associated with the identified significant environmental aspects of materials and services utilised by the organisation. Making known appropriate procedures and requirements to suppliers and contractors.

Specific data that is documented must be provided for those activities where lack of instructions might lead to a potential risk of impact on the environment. In such situations the written instructions must clearly and briefly provide operating procedures, performance verification standards and any remedial measures required in the event of not meeting the standards. Master lists should be prepared to properly manage the existence, location and ownership of each procedure. Setting up of the EMS starts with the establishment of Operational Controls to make sure that an organisation’s policy, targets, and objectives are accomplished. Operational Control in its entirety consists three elements i.e. procedures, instructions and training. According to ISO, a procedure is defined as a prearranged series of events involving several people. The actions are to be performed in a preset order. Within the sequence, any points of choice are clearly indicated. A procedure always deals with: •

What needs to be done?

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Who will have to do it?

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When it will have to be done?

According to ISO an instruction may be defined as a prescribed series of actions to be executed by one single employee in a determined sequence; any points of choice being clearly indicated. A procedure is different in that several employees are involved with the latter. Employees who make use of procedures should generate new instructions, and modify existing ones as and when needed. The development of documentation to set up EMS Operational Control is allotted to departmental teams under the purview of the department manager. The department should assess the requirements for the environmental improvement within the scope of their activities as defined in the Aspects, Objectives and Targets. f) Emergency preparedness and response: The organisation should set up and maintain ways to identify and respond to possible accidents and emergency situations. It should try to avert and minimise the environmental impact that may be related to such situations. Emergencies could be anything such as fire, large-scale hazardous discharges, or chemical reactions out of control. The organisation should continuously evaluate and test its emergency preparedness and response procedures. It should especially do so after accidents or emergency situations have occurred. Aspects to be considered for assessment: •

Are all-important procedures evaluated for emergency readiness?

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Are procedures for managing these possibilities put in place?

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Are personnel trained sufficiently and is the emergency equipment appropriately located?

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Is there a procedure to assess the emergency system after an accident?

Planning for emergencies should consist of: •

Gathering information pertaining to harmful material.

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An emergency evaluation mechanism.

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Developing precautionary measures.

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Assigning responsibilities.

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Communicating plans and procedures.

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Training on measures to be taken during the occurrence of emergencies.

The next phase in the ISO 14001 implementation involves checking and corrective action. Continue: Checking and Corrective Action Planning and Implementation > Checking and corrective action This helps to consistently control activities significantly impact the environment. The purpose is to ensure that the activities conform to the objectives and targets set by the EMS.Checking and corrective action involves

a) Monitoring and Measurement Measuring and monitoring is done to check whether the EMS targets and objectives are being met and to ensure compliance with appropriate environmental regulations. The organisation should also maintain documentation to evaluate conformance. If any monitoring equipment is used, the organisation should ensure that it is regularly calibrated and well maintained. Records need to be maintained to verify equipment calibration. The monitoring and measurement procedures must be in line with the organisation’s activities and policies. Moreover, they should be practical and inexpensive. During measuring and monitoring it is essential to: •

Develop and document metrics along with acceptable tolerances.

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Clearly define who will perform the prescribed task, when and where.

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Develop quality control for the measurement and monitoring procedures.

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State and document procedures for calibration and important maintenance activities.

b) Non-conformance and corrective and preventive action: Once an area of non-conformance is identified, the organisation should investigate the causes. Non-conformance implies deviation of an activity or operation (within the scope of EMS) from the system standards. This could be in terms of the laid down procedures, objectives, targets, or regulations of the EMS. The organisation should take measures to correct those processes that have failed to conform to the standards and prevent the deviations from reoccurring. The organisation should record and put into practice changes in the documented procedures as a result of corrective and preventive action.

Corrective actions need to be diligently planned. This is because corrective actions always involve some change in working which employees may resist. Therefore, the need for change should be properly communicated before the change is introduced. The management should also take into account the suggestions of the individual employees or departments regarding the steps to be taken to resolve issues. Some steps in order to accomplish this: •

Tell the employees that it is everyone’s duty to pinpoint and carry out corrective actions. This consists of exposing non-conformances in operations and procedures.

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Stress on finding a solution, rather than focusing on finding fault. This can help expedite the organisation’s efforts to achieve its goal.

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Make “continual improvement” the benchmark of everyone’s performance evaluation.

c) Records: Records are documents used for detailing the results achieved in the EMS implementation. They are also a proof of the organisation’s implementation of processes that have met the requirements. Many organisations mistake documents for records and vice-versa. Differentiating a document from a record thus becomes necessary. A document has real time application and hence the information contained in it can be modified. A record is an historical account and thus cannot be altered. Items like work orders, sales orders and purchase orders exhibit the features of both records and documents. These items are considered documents until the information contained in them has real time value. After that they are considered records. The organisation should set up measures for identifying and preserving environmental records. Environmental records should be clear and easily identifiable. They should be preserved and maintained so as to make them easily accessible. They should be protected against damage, deterioration or loss. Their maintenance and preservation periods should be pre-defined and documented. Records need to display conformance with the EMS standards. They should be gathered within the scope of the EMS and its implementation process. Records include service provider information, supplier contracts, goods purchased records, calibration records, audit results, management review, and training records necessary for the verification of the EMS implementation. Records should also include details of non-compliance, complaints, applicable environmental regulation, violations, corrective actions, assessment and maintenance records among others. Records can be preserved, in either paper or electronic form. A record of the files that are stored, their structure, and their preservation time can be considered. In case of paper records, one should take steps to safeguard them. Crucial records need to be kept in fireproof cupboards, and other safe locations. A list containing all the details of records maintained needs to be created. The list should also contain information regarding the records that have been destroyed. d) Environmental management system audit: Audit may be defined as a process of examining, verifying or correcting systems, procedures or data. Normally professionally qualified personnel conduct the audit.

As a part of its implementation of EMS an organisation must conduct a regular management system audit. The audit should verify the conformity of the existing management system with the ISO 14001 standards. It should also enable the organisation to sustain and continually improve its environmental management system by identifying areas for improvement. The organisation should utilise sufficient number of audit team members to conduct a professional audit of all concerned aspects at one go. The auditors should be: •

Proficient in environmental sciences.

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Able to understand technical and environmental aspects.

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Aware of relevant environmental laws and legislations.

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Aware of environmental management systems.

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Acquainted with auditing procedures.

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Verify conformity to various aspects laid down in the EMS such as objectives and targets, programs, and other documented procedures.

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Assess if the EMS being implemented in the organisation is in line with its stated environmental policy.

The last step in the EMS implementation is the Management Review. Continue the tour: Management Review

Planning and Implementation > Management Review Management Review is necessary for the continual improvement of the organisation’s EMS. Management Review enables the management to evaluate progress of the EMS. The review must include those elements within the organisation that significantly impact the environment.

The management review process should ensure that sufficient data is collected to perform the evaluation. This assessment should be properly documented. Management Review (MR) should recommend remedial steps to solve problems identified in EMS design and its goals. A final report of review should be submitted to the top management, the management representative, and the departmental managers. The reviewers should also prepare an action plan for conducting the Management Review. The Review process should: •

Assess the EMS in terms of policy, objectives and targets, and changing external environment, legislations and audit results.

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Evaluate the suggestions of the Audits and other reviews besides ways for incorporating them.

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Determine if the budget and resources are sufficient for satisfying the organisation’s EMS requirements.

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Determine the fundamental causes of failures in the system.

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Determine if the corrective actions and preventative measures, have led to improved environmental performance.

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Evaluate the relevance of the EMS with the organisation’s environmental performance and business goals.

Once the organisation is through with the implementation of the Environmental Management System by utilising the five broad steps, it should focus on getting itself registered under ISO14001 standard. The implementation of EMS 14001 is incomplete without the certification under the ISO14001 standard. External audit and certification: In order to achieve ISO 14001 certification or registration, the organisation should go for external auditing from an ISO accredited auditing agency. The external audit normally cover two aspects. One is the documentation audit and the other the compliance audit. Documentation audit checks if the organisation has all the documentation required by the ISO 14001 standards in place. Compliance audit ascertains if the organisation is actually following what it has laid down in its EMS documentation. External audit normally happens in two or more phases. Phase I of the audit consists of a thorough inspection of the existing EMS with respect to the ISO 14001 requirements. After this the organisation is given six months time to take corrective actions for all the deficiencies/non conformances identified by the auditors. Phase II audit is conducted after six months and this involves checking to make sure rectification of all non-conformances. After the completion of this phase the auditors recommend certification or they can suggest certain additional requirements to be fulfilled. The auditors’ recommendation for certification is sent to the country’s ISO representative who then issues the certification. Gap Analysis > Description Definition: "A comparison of the organisation’s existing environmental management structure to the line-by-line requirements of ISO 14001 standards.”

Description and purpose: ISO 14001EMS emphasises on continually improving an organisation’s environmental performance. Before embarking on the implementation, the organisation’s existing EMS needs to be evaluated and compared with the ISO 14001 standard. This evaluation is known as a gap analysis. Results of the gap analysis are usually documented and presented in a format that facilitates the formulation of the ISO 14001 implementation plan. The gap analysis compares each and every element in the existing EMS to the ISO 14001 requirements. These include environmental policy, legal obligations, training, goals, documentation, management review, and corrective action. The time taken to complete a gap analysis depends on the complexities involved in the organisation’s environmental concerns and existing management system. A general gap analysis takes two- to- three-days on-site, followed by the preparation of a gap analysis report and EMS implementation plan.

Implementing Gap Analysis: Gap analysis can be conducted either by an external EMS auditing firm or by an internal team formed for this purpose. Following are the steps involved in a comprehensive and effective gap analysis program. 1. Introductory meeting: This meeting introduces the members of gap analysis team to the management’s expectation from the EMS. The meeting also helps the team to gain the confidence and support of the key personnel within the organisation. During this meeting action plans are developed, time schedules prepared and tasks assigned. 2. Tour and Inspection: An organisational tour helps the gap analysis team understand the organisation’s layout, operations, and environmental aspects. It also helps them identify opportunities for improving the organisation’s environmental performance. 3. System review: A review of the organisation is conducted to understand the systems in place for managing environment concerns. Asking concerned personnel specific questions regarding the systems and procedures followed in specific areas facilitates this. The areas investigated include legal requirements, environmental objectives and targets, environment programmes, training and awareness, emergency preparedness, checking and corrective action, and preventive plans among others. The evaluation also helps obtain vital information regarding the operation of the existing systems. 4. Review of EMS Documentation: In this phase the gap analysis team reviews the amount of documentation maintained in the current EMS. It assesses documentation of various elements like environmental policy, objectives, written procedures, training programs, job descriptions, and records. Reviewing of documentation helps to procure  Information regarding the organisation’s Existing EMS and its operation. 

A comparison of the EMS practiced with the written policies, programs, and procedures found in the documentation.

Comparison with ISO 14001 requirements: At this stage the organisation’s existing EMS is compared with the requirements as specified in the ISO 14001 standards. A standard

questionnaire

is designed for

performing this task. Based on the score from this questionnaire the areas to be addressed are identified.

Post Gap analysis: The EMS implementation plan can be established on the basis of the results of gap analysis. The plan may require modifying existing procedures or designing new ones. A comprehensive list of actions needed to fill the gaps is then prepared. Conclusion: The entire process from analysing the existing EMS, identifying gaps and developing action plans to conform to ISO 14001 standards is painstaking. However, a gap analysis helps develop an efficient EMS adhering to international standards. Continue the tour: Questionnaire Gap Analysis > Questionnaire Yes No Comments

Questions 4.4.1 General requirements:

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Does the organisation’s existing EMS conform to the ISO 14001 standards?

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Is there significant proof confirming the organisation’s existing EMS’s compatibility to ISO 14001?

4.4.2 Environmental policy: •

Is there an environmental policy that ensures commitment to: a) b) c)

Continual improvement of existing EMS? Minimising pollution? Pertinent legislative and regulatory requirements?

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Is the policy apt for the industry, size and environmental impacts of the organisation’s operations and business?

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Does it act as a clear guideline for establishing and evaluating the organisation’s environmental objectives and targets?

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How well is it communicated to the organisation’s employees, and stakeholders?

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Is it accessible to the general public?

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Has the top management endorsed the existing policy at the time of issue?

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Is it evaluated and enhanced on a regular basis?

4.4.3 Environmental Planning: 4.4.3.1 Environmental aspects:

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Is the organisation aware of the environmental aspects of its business and operations?

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Is there a method to identify aspects that have a greater environmental impact?

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Are the established environmental objectives and targets appropriate for the organisation’s environmental aspects and impacts?

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Is the process for determining environmental aspects always applied effectively?

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Is the process evaluated and improved on a regular basis?

4.4.3.2 Legal and other requirements:

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Is there a process to identify and make available all the legal requirements of the organisation’s environmental activities, products or services?

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Is there a process to identify and make available all requirements, which the organisation has voluntarily accepted to keep (like industry stipulations, corporate guidelines, contract conditions, customer specifications, etc)?

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Is the process to identify the above requirements applied effectively and at all times?

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Is the process evaluated and improved on a regular basis?

4.4.3.3 Objectives and targets:

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Are the environmental objectives and targets of the organisation properly defined and followed?

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Is documentation of objectives and targets maintained?

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Are the following factors considered while setting objectives and targets: a) b) c)

Legal and community obligations? Business goals? Operational needs?

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Are the objectives and targets in line with the organisation’s environmental policy?

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Are they evaluated and improved on a regular basis?

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Are they applied appropriately?

4.4.3.4 Environment management programs:

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Does every objective and target have a corresponding environment programme to accomplish them?

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Are the environmental programmes capable of achieving the objectives and targets set? Are sufficient resources and manpower assigned to carry out the programmes?

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Are roles and responsibilities assigned for executing the environmental programmes?

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Is there a process of updating programmes to meet new or changing requirements?

4.4.4. Implementation and operation: 4.4.4.1 Structure and responsibility: •

Does a structure of roles and responsibilities for implementing the EMS exist? Is it well documented and effectively communicated?

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Are sufficient resources assigned for the personnel to effectively fulfil their EMS roles and responsibilities? The resources can be in terms of support staff, training, or funds.

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Is a management representative assigned to: ○

Drive the EMS implementation?

○

Update the top management on the progress?

4.4.4.2 Training, awareness and competence:

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Is there a process in place to analyse and identify training needs of various employees and contractors playing a part in the EMS?

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Does the organisation have a process for educating its employees about: ○

The importance of EMS?

○

The organisation’s environmental policy, objectives targets, and the respective employees role?

○

The benefits of compliance?

○

The cost of non- compliance?

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Is relevant training provided to all employees, especially those whose work has a greater environmental impact?

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Are these employees capable of accomplishing their tasks after training?

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Is the process defined to identify the above requirements applied effectively, and at all times?

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Is the process evaluated and improved on a regular basis?

4.4.4.3 Communication:

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Has an effective communication strategy and approach been developed to communicate information about the EMS and environmental aspects within the organisation?

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Is there a process for gathering, documenting and replying to pertinent communications from outside sources such as suppliers, government authorities, or local communities?

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Is the process well established across the organisation?

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Is the process evaluated and improved on a regular basis?

4.4.4.4 EMS documentation: •

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The existing EMS documentation is: ○

Paper based?

○

Electronic based?

Does the documentation: ○

Cover all the key EMS elements?

○

Detail the interrelationship between the elements?

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Reference/cross link relevant documents?

4.4.4.5 Document control:

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Does the organisation have a defined process to effectively manage and control its EMS documents as required by ISO 14001?

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Has the organisation assigned responsibilities relating to developing, changing and evaluating documentation?

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Are documents evaluated and improved on a regular basis?

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Does the organisation replace outdated documents with current ones?

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Does it ensure that outdated documents are not referred to inadvertently?

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Does it preserve outdated documents for later reference?

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Are the EMS documents easily accessible? Are they close at hand for reference, where needed?

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Are documents clear, recognisable, dated (with dates), logically arranged and conserved for

a defined period? •

Is the process established for documentation, effectively followed?

4.4.4.6 Operational control: •

Are the operational activities (including those of suppliers) that are related to important environment aspects: ○

In control with respect to the policy, objectives and targets of the EMS?

○

Documented along with details of how non- conformance can lead to deviation from the objectives and targets of the organisation?

○

Well communicated?

4.4.4.7 Emergency preparedness and response:

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Does the organisation have a defined process to: a) Identify possible future emergency situations such as accidents? b) Manage such emergency situations? c) Avert their occurrence and minimise their impact?

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Are the processes evaluated and improved upon regularly, especially after a crisis?

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Are the emergency processes regularly practiced, and are they applied every time there is an incident?

4.4.5 Checking and corrective action: 4.4.5.1 Monitoring and measurement:

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Does the organisation have defined processes to monitor and measure the activities and areas that have considerable influence on the environment?

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Does it have a process to evaluate whether it meets all the obligations and requirements?

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Are the processes documented, evaluated, and enhanced on a regular basis? Are they always followed?

4.4.5.2 Non-conformance and corrective and preventive action:

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Does the organisation have defined processes to manage and examine non-conformance with respect to the EMS requirements?

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Are responsibilities for taking corrective and preventive action assigned?

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Is the process used for examining non-conformance evaluated and improved on a regular basis? Is it applied always?

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Are the corrective and preventive actions taken, appropriate for the type, size and extent of environment problems?

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Are corrective actions recorded? Are the relevant modifications being made to the documentation, wherever applicable?

4.4.5.3 Records:

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Does the organisation have a defined procedure for retaining and doing away with records such as audits, measurements, and corrective actions?

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Are the records adequately maintained to prove the organisation’s compliance to the ISO 14001 standards?

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Are the procedures evaluated and improved on a regular basis?

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Are the records: ○

Clear and differentiable?

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Well maintained and preserved from damage?

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Preserved for predefined periods before disposal?

4.4.5.4 EMS audit:

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Does the organisation have established procedures for performing EMS audits?

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Are these procedures consistently applied? Are they evaluated, and improved on a regular basis?

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Do the audit procedures specify:

•

○

The span of coverage?

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The time periods between audit?

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Roles and responsibility of audit team members?

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Results declaration?

Do the EMS audits: ○

Effectively evaluate if the existing EMS is meeting the ISO 14001 standards?

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Reveal the extent of EMS implementation and establishment?

4.4.6 Management review:

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Does the organisation’s top management regularly evaluate its existing EMS to determine its sufficiency, and effectiveness?

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Are management reviews committed to modifying and continually improving the EMS in terms of its policy, objectives and targets based on audit reports and evolving conditions?

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Are records of management reviews maintained?

Documentation > Documentation and Document Control This aspect of ISO 14001 has already been discussed in the "Implementation and Operation" step of the Planning and Implementation section. EMS documentation Documentation is defined as a system of gathering, organising and controlling necessary information. The amount of documentation required to maintain an EMS depends on the nature, size and environmental impacts of the organisation. The ISO 14001 EMS has four levels of documentation. These are: Level 1 - EMS Manual An EMS manual defines what the organisation’s EMS comprises and the location of relevant documents such as records and operational procedures. An Environmental Manual is used to help employees identify all environmentally significant procedures and elements in a single document. The manual consists of: •

The organisation’s environmental policy, objectives and targets.

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The main people involved in implementing the EMS, their roles and responsibilities.

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Details of various documents and their location.

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Interrelationship between various elements that are part of the EMS.

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Guidelines for implementation.

Level 2 – Procedures The procedure level documentation describes the processes the organisation follows to meet its

EMS commitments. The processes detailed include identifying environmental aspects and impacts, managing wastes and hazardous discharges, study of the plants energy consumption, among many others. The organisation implementing ISO 14001 should document the following procedures: •

Identifying environmental aspects and impacts.

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Identifying legal and regulatory requirements.

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Establishing objectives and targets.

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Defining environmental management programs.

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Document control.

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Communication both internal and external.

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Operations control.

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Emergency preparedness and response.

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Monitoring and measurement.

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Corrective and preventive actions.

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Records.

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Environmental management audit.

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Management review.

Level 3 – Working instructions and general documents Working instructions are the typical operating procedures applicable to specific operations. They explain how a particular operation related to the EMS has to be executed. Working instructions can include documents detailing training, safety instructions, operating manuals, calibration of particular equipment, and measurement methods among others. Organisations traditionally maintain a major part of working instructions owing to various obligations such as: •

Government laws and regulations.

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Industry stipulations.

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Compliance with other standards, either national or international.

•

Good practices.

Level 4 – Records The previous three levels of documentation define the EMS and its related processes and procedures. However, during audit there should be evidence that the organsiation was actually following what was specified by the EMS. Records are documents used to demonstrate the organisation’s compliance to the EMS requirements. They demonstrate that the organisation is doing as required. These may include: •

Records of training conducted.

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Management review records.

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Details of complaints received and corrective action taken.

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Record of monitoring and measurement activities.

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Calibration records.

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Chronological record of communications made.

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Record of environmental programs conducted.

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RFQ’s and contracts signed with suppliers, contractors.

ISO 14001 standards specify the important elements of an EMS to be documented. However, the organisation can document additional areas if they can enhance environmental performance. Documenting effectively: Use language that is simple and easy to understand. This will ensure that the documentation is referred to more often rather than staying in the shelf till the next audit. Use existing documents as far as possible. Organisations normally maintain certain amount of documentation even prior to embarking on the ISO 14001implementation. Being able to locate the relevant documentation and referencing them can reduce the workload for preparing new ones. Employ the use of flow charts, and other graphics tools. They are more effective than a text of written instructions.

Use electronic format for documentation: There are several advantages such as improved accessibility, sharing and ease of editing. Document control Document control ensures that employees have access to documents that are up to date and accurate. Document control ensures that: •

Clear procedures are defined for effective control of the organisation’s EMS documents.

•

Documents are clear, current and distinguishable.

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Documents are

•

Documents are easily accessible and well maintained.

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Outdated documents are replaced.

•

Outdated documents are retained for reference.

evaluated, enhanced and approved on a regular basis.

Hints for effective document control Create the right number of copies. Too few might limit accessibility. Too many are difficult to maintain. Maintain a log for documents, their revisions and the locations where they can be accessed. Changes made should be distinguishable. This can be done either by highlighting, boldfacing, using a different font or changing font colour of the changed text. Measurement and Data Analysis > Elements in ISO 14001 Measurement and Data Analysis includes the following three elements that are explained earlier in the "Planning and Implementation" section. a) Monitoring and Measurement Measuring and monitoring is done to check whether the EMS targets and objectives are being met and to ensure compliance with appropriate environmental regulations. The organisation should also maintain documentation to evaluate conformance. If any monitoring equipment is used, the organisation should ensure that it is regularly calibrated and well maintained. Records need to be maintained to verify equipment calibration.

The monitoring and measurement procedures must be in line with the organisation’s activities and policies. Moreover, they should be practical and inexpensive. During measuring and monitoring it is essential to: •

Develop and document metrics along with acceptable tolerances.

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Clearly define who will perform the prescribed task, when and where.

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Develop quality control for the measurement and monitoring procedures.

•

State and document procedures for calibration and important maintenance activities.

b) Environmental management system audit: Audit may be defined as a process of examining, verifying or correcting systems, procedures or data. Normally professionally qualified personnel conduct the audit. As a part of its implementation of EMS an organisation must conduct a regular management system audit. The audit should verify the conformity of the existing management system with the ISO 14001 standards. It should also enable the organisation to sustain and continually improve its environmental management system by identifying areas for improvement. The organisation should utilise sufficient number of audit team members to conduct a professional audit of all concerned aspects at one go. The auditors should be: •

Proficient in environmental sciences.

•

Able to understand technical and environmental aspects.

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Aware of relevant environmental laws and legislations.

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Aware of environmental management systems.

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Acquainted with auditing procedures.

Two major factors that can be accomplished through an audit: •

Verify conformity to various aspects laid down in the EMS such as objectives and targets, programs, and other documented procedures.

•

Assess if the EMS being implemented in the organisation is in line with its stated environmental policy.

c) Management Review Management Review is necessary for the continual improvement of the organisation’s EMS. Management Review enables the management to evaluate progress of the EMS. The review must include those elements within the organisation that significantly impact the environment. The management review process should ensure that sufficient data is collected to perform the evaluation. This assessment should be properly documented. Management Review (MR) should recommend remedial steps to solve problems identified in EMS design and its goals. A final report of review should be submitted to the top management, the management representative, and the departmental managers. The reviewers should also prepare an action plan for conducting the Management Review. The Review process should: •

Assess the EMS in terms of policy, objectives and targets, and changing external environment, legislations and audit results.

•

Evaluate the suggestions of the Audits and other reviews besides ways for incorporating them.

•

Determine if the budget and resources are sufficient for satisfying the organisation’s EMS requirements.

•

Determine the fundamental causes of failures in the system.

•

Determine if the corrective actions and preventative measures, have led to improved environmental performance.

•

Evaluate the relevance of the EMS with the organisation’s environmental performance and business goals.

Once the organisation is through with the implementation of the Environmental Management System by utilising the five broad steps, it should focus on getting itself registered under ISO14001 standard. Tools Deployed > ISO 14001 Tools Various tools and techniques can be implemented by organisations to enhance and expedite the implementation process of EMS 14001. An effort has been made to identify some tools implemented during the various stages of the EMS implementation process.

When an organisation has decided to implement EMS 14001 it implies an intention to change. The organisation should evaluate the requirements for adopting the EMS and ways to manage that change. It should establish forces that aid the change process and also those forces that might hinder the change. Force Field Analysis is a technique used to analyse and address such forces.

Once this is done the organisation should set the tone for the overall programme. Certain important elements govern an organisation’s ability to accomplish a change initiative such as an EMS. Organisations need to evaluate these elements and their influence on each other when introducing a change. The 7-S Model is an efficient technique to accomplish this. Before embarking on the implementation process for ISO 14001, organisation must perform a gap analysis or conduct the initial review of the existing EMS in the organisation. SWOT Analysis, PEST Analysis, Process Analysis, Gap Analysis Questionnaire and EMS fitness test are some effective tools that can be used for this. Having completed the process the top management should deploy an environmental policy. Hoshin Kanri is an effective technique used for policy deployment. It involves managers at all levels for the task of formulating an organisation wide environmental policy. Another approach to formulating a policy is allowing the middle level managers to prepare a draft report of the policy that in turn is presented to the top management. An effective presentation can be made using Environmental Awareness Presentation tool. The next step is to identify the critical environmental aspects of the organisation’s operations. The organisation can implement various analysis techniques such as Process Analysis, Failure Mode Evaluation And Assessment, Simulation, and Rating Sheets to identify the critical environmental aspects. Based on this the organisation can develop its environmental objectives and targets, and environmental programmes. All environmental programmes must follow a structured approach. The sequence of steps to be followed while designing implementation programmes are identification of the problem or opportunity, cause assessment, solution assessment, implementation, and review. The root cause of problems can be identified using Root Cause Analysis Technique. Solution Effect Analysis determines the effectiveness of the solution designed. BS 6079 is a good framework for the proper management of the environmental programme projects. The organisation must allocate roles and responsibilities to its employees to establish and manage the EMS. Performance Planning Technique transforms the general roles and responsibilities allotted to the workforce into tangible outcomes and desired results. The organisation could establish productive training and communication programmes to enable the employees to attain the requisite skills for implementing the EMS. Skills gap analysis technique helps the organisation to identify the specific training requirements of the work force. The organisation needs to set up and maintain proper documentation for the ISO 14001 EMS. A Documentation Management System is an effective tool to manage and control electronic documents. The organisation should constantly monitor and measure the vital activities to assess their conformity of environmental regulations. Control charts, Histograms, and Pareto Analysis are some effective tools used for this purpose. The organisation should focus on identifying the areas of non-conformance and implement necessary corrective action. Some of the tools that aid the top management in this task are Root cause Analysis, Brainstorming technique, Cost/benefit analysis and the Cause and Effect diagram. Finally, a productive management review can be accomplished using the Self-Assessment Technique.

Best Practices > More Than a ‘Paper EMS’ Successful adoption of ISO 14001 standards requires going beyond mere documentation. Introduction: Existing environmental laws in many countries are extremely rigid, with a set of defined rules and regulations stipulating parameters on pollution or emission. In addition, governmental agencies are given the job of inspecting conformance within these parameters. This intrinsic rigidity in the system has developed an antagonistic attitude both in the industry and the government. This has stalled any move towards a joint effort to improve the environment. Increasing apprehensions over this situation necessitated a better approach for co-operation involving the two key players (Industry and Government). In United States and Europe such propositions recommended a mutually acceptable approach for environmental conservation. This approach required a structure for organisations to develop the most comprehensive method by which they could manage their processes and work within the limits of the structure. The formulated structure was the ISO 14001 international standard that consists of modifiable parameters and a methodical incorporation of environmental activities. The ISO 14001 is the standard that supervises the formulation of an all-inclusive environmental management system (EMS). EMS has its roots in Total Quality Management (TQM) and the PDCA (Plan-Do-Check-Act) cycle. This cyclic nature ascertains that the formulated EMS is practical and improving consistently. Adopting ISO 14001 standards depends on the commitment of the organisation towards environmental performance. Contrasting this is the adoption of ISO 9000 standards (Quality Management), which became virtually mandatory for organisations to carry out global business. Most European and Asian organisations expected that ISO14001 would follow the same path and hence secured certification. However, organisations in US believed that ISO 14001 has a complex structure involving rigid procedures and that it does not practically help in environmental enhancement. Thus they were not only sluggish in accepting the standard but also extremely critical of its capability. One such organisation was Procter and Gamble, which had stated that it purposely did not want to be allied with the ISO 14001 due to the large amount of paperwork involved in it. In most organisations, criticism of ISO 14001 was based on the misconception that it requires large amount of paper work. Although, it was noticed from some case studies of ISO14001–registered organisations that there is improvement in environmental performance, the misconception that certification does not add any value still persists. ISO 14001certification is still viewed as an insignificant exercise among many US organisations thus slowing down the pace of the acceptance of the standards. Similar apprehensions were mentioned over ISO 9000 standards for Quality Management in the initial stages. Nevertheless, ISO 9000 become mandatory for conducting international business, while 14001 is not. Thus until further studies disprove the incorrect view of ISO 14001 the industry perception of ISO 14001 will remain the same. This case study explains whether ISO 14001certification is in reality - just a lot of “paper documentation” -or whether it really helps in the improvement of the environmental performance of the organisation. It also explains how the concept of Paper EMS is a myth. Any organisation has to initially undergo an internal gap analysis to accomplish ISO 14001 certification. After the gap analysis the organisation takes necessary steps to eliminate the gap between the existing EMS and the ISO 14001 requirements. An ISO accredited auditing agency then inspects the plant. After the audit, the organisation is given 6 months to correct the loopholes found by auditing agency. Another inspection is then conducted to check the compliance measures taken. Based on this, the auditing agency recommends or rejects the organisation for certification to the ISO representative. Plant under study: This case study was conducted at the Bayer Pharmaceuticals plant site in Berkeley, California. The pharmaceutical plant produces Kogenate (a recombinant DNA product), which is a protein used in the treatment of Hemophilia. Bayer Pharmaceuticals with its site at Berkeley is a part of Bayer Corp, a German Pharma giant. This plant employs over 1700 people. Background: Bayer Pharmaceuticals (at Berkeley) had employed all the essential elements of TQM to ensure effective quality control and quality assurance for its process as well as its products. However, it was not certified for ISO 9000. This plant had a well developed Health, Environment and Safety (HES) Department. The environment division in this department included an Environmental specialist and a trainee. Bayer Pharmaceuticals, at Berkeley initially sought the ISO 14001certification in June 1999. Consequent to this there were audits in Oct 1999 and in Mar 2000 before it secured the certification. It is one of the few Bayer plants worldwide to have registered under ISO 14001. Accomplishing ISO 14001 certification: In June 1999, the senior environmental specialist at the Bayer Berkeley plant began analysing the need for an enhanced EMS. He chose ISO 14001 certification as it exemplifies the pinnacle of environmental management. He also felt that with the plant’s environmental backdrop, it could effortlessly go through the certification process. The measures that were followed over the next few months were:

1.Internal gap analysis: As the analysis was performed by the in-house members it was called internal gap analysis. Two members of the environment division in HES Department, a specialist and at trainee conducted the analysis. The rigorous assessment covered the existing system of the plant to the line-by-line requirements of ISO 14001 standards. They identified the changes to be implemented to make the plant more suitable for certification. These were implemented and published in the environmental manual of the plant that focussed on the plant’s approach for certification. 2. Auditing: The environmental specialist hired an autonomous consulting firm, ERM CVS (Environmental Resource Management Certification And Verification Services) in October 1999 to evaluate the plant’s environmental performance. ERM CVS is an ISO qualified auditing agency and was selected because of its reputation in the business. a) Phase 1 Audit: The auditing agency conducted a inspection of the plant’s processes and reviewed the entire system in place. It found 10 major loopholes in the environmental system of the plant that had not been corrected after the gap analysis program. Following were the loopholes identified: •

Failure of environmental strategy to meet the environmental obligations.

•

In sufficient measures in determining and addressing areas of significant environmental impact.

•

Objectives and goals not linked to the areas of significant impact.

•

Poor planning for accomplishing the objectives and targets.

•

Poor training of employees.

•

Ineffective communication to improve awareness among employees and public.

•

Non-adherence to the environmental standards by suppliers supplying raw materials and spares.

•

Non-conformance of plant’s processes to legal procedures.

•

Ineffective Internal auditing.

•

Poor involvement of senior management in implementation.

These apart, the auditing agency also expressed their concern over two major issues in the plant.

1.

Environmental system was not extended plant wide. The auditing agency found that very few employees run the environmental system in the plant. The environmental system was considered the responsibility of the HES department alone. The auditing agency felt that the environmental system should be a plant wide initiative rather than being limited to a single department.

2.

Lack of interest in the plant as a whole for certification. Auditors found that the plant was facing severe resistance from all corners in its process for certification. Most of the employees considered ISO 14001 as an extra burden. Thus, the auditors informed the management to communicate the advantages of ISO 14001 certification extensively to enhance the involvement of employees.

The auditing agency gave the plant a 6-month deadline to work on the loopholes and the concerns identified by them. The plant’s action plan. The Environmental specialist formed a cross-functional team called ISO 14001 Implementation team. This team comprised members from various departments in the plant such as HES, materials management, information systems, public policy and communications. The existing Quality Excellence Awards (QEA) program (that offered awards to the most successful team to encourage the cross-functional team formation) was used to form the ISO 14001Implementation Team. The team leader was the plant manager, and this enhanced the involvement of senior management interest in the ISO 14001system. To commence work on the tasks involved, the team prepared a priority list of the issues to be addressed, called “Action List”. The concerns and loopholes mentioned by the auditors were communicated to all the departments in the plant. Responsibilities were assigned to different members in the organisation and the deadlines to accomplish tasks clearly defined. Some issues addressed by the team include: •

Previously, there was no auditing system for the contractors. Now a quarterly audit system was established for all major contractors.

•

Environmental training program was made compulsory for all the major contractors of the plant. Contracts were revised after adding environmental rules to be followed before starting site-work.

•

Suppliers supplying chemicals were asked to add a note on environmental control systems needed.

•

Senior management were required to attend review meetings bi-annually to understand the EMS, evaluate its effectiveness and to make useful suggestions. Thereby their involvement was assured.

•

An Annual general environmental awareness-training programme was made compulsory for every employee. The training programme provided inputs regarding: o Hazardous waste disposal methodologies. o Methods of disposing chemicals. o Personal roles and responsibilities in meeting the organisation’s recycling targets. o Improving the existing EMS to reduce costs.

•

Civil engineers and managers responsible for a particular facility in the site were entrusted with the responsibility to manage their own environmental systems effectively. This led to two proposals for improving the EMS: o Eliminate the Sodium Hydroxide (NaOH) secondary containment system in the manufacturing area. o Redesign of the water use system to reduce water requirement by 66%.

The team entirely restructured the environmental management process to work on the loopholes and the concerns identified by the audit agency. Previously, the HES department was responsible for environmental management. Now, though the task of controlling EMS was assigned to the same HES department, its functioning was made possible only after communicating with the other departments in the plant and integrating their activities. This helped enhanced employee involvement in the organisation’s EMS. The implementation team developed a simple numerical system to evaluate and review the environmental impact of their EMS system. This helped in setting up of environmental goals. These goals included analysis of each and every hazardous waste stream. The analysis data, helped in tackling one of the key areas of environmental concern in this plant. Communication: The team effectively communicated its findings and new practices by developing internal communication bulletins for the entire organisation. It also gave press releases and articles for outside use. The environmental manual was restructured such that it reflected all the changes made and provided the information necessary for comprehending the plant’s EMS framework. New roles and responsibilities were communicated to the management and all the employees of the organisation. Phase 2 Audit: The auditing agency conducted a second phase audit (after a span of 6 months) in March 2000. After a rigorous two-day inspection of the whole plant, it declared that the plant had successfully addressed all the loopholes mentioned initially. It also appreciated the plant’s efforts to achieve certification. Thus the auditing agency recommended certification of the plant to the country ISO’s representative. The auditors continue to measure and monitor the plant’s impact on the environment by conducting follow up visits annually. This ensures that the EMS is running efficiently and all the employees are conscious and aware of their environmental responsibilities. The auditing team leader pointed that this was a very special achievement, as she had never before seen an organisation with all its loopholes addressed in one go and ready for recommendation straight away after the second audit. Conclusion: The refusal of the auditors and the organisation to be content with the mere “Paper-work” done on the EMS was the key to genuine success. The auditors and the organisation together strived to address the loopholes in the plant’s EMS. Thereby they improved its overall Environmental Management System. Above all, the emphasis on the involvement of all employees, the decentralisation of the EMS, and spontaneous continual improvement of the EMS brought genuine gains to Bayer’s plant through ISO 14001 certification. Continue: A Local Government Implements ISO 14001

Best Practices > A Local Government Implements ISO 14001 In the recent past, the scope of Environment Management System has gone beyond traditional organisations to other institutions whose activities impact the environment. Local government units such as municipalities are some such institutions that can benefit from an ISO14001 implementation. Local governments carry out a wide range of activities that impact the environment in regions under their authority. These include: •

Obtaining an array of products such as paper, fuel, and chemicals etc. These commodities impact the environment during production, usage and disposal.

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Obtaining a wide range of services such as construction work, pest control and hazardous waste management.

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Managing domestic resources. These include operating buildings; maintaining roads, making drinking water available and treating wastewater etc.

Local governments also influence various functions of other organisations. These include:

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Environmental impact evaluation and review (to assess the impact of the activities of organisations on the environment),

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Zoning determination (confining the setting up of plants to certain areas whose activities have a profound influence on the environment).

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Code and regulatory enforcement (setting up environmental policies and regulations to control the activities of organisations with respect to their influence on environment).

Thus local government units exercise significant environmental influence. The implementation of environmental management system in the local government units has its own benefits. It enables these units (such as municipalities) to methodically contemplate the possible influence on the environment caused by their activities and those of other local firms. The EMS enables these units to expend minimum civic resources, while enhancing the quality of environment. The local government units with broad environmental management systems are in a superior position in terms of setting environmental goals and objectives, evaluating governmental requirements, allotting budget resources, and prioritising enforcement efforts. In the past some local government units implemented various initiatives on environmental quality control. None of these initiatives however are as detailed and comprehensive as ISO 14001. The implementation process of ISO 14001 in a local government unit is similar to that followed in any traditional organisation. One aspect in which they differ however is in getting organisational commitment. In any business organisation the number of top management personnel who need convincing are much lesser than those in a local government unit. Apart from this are the financial benefit associated with the EMS that drive its implementation in a business organisation. The implementation of EMS in the case of local government units is rather difficult because of: •

Bureaucracy.

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Political pressures.

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The number of stakeholders to be convinced.

The success of EMS in local government units is dependent not only on the commitment of respective government but also on garnering support from a large number of other stakeholders. Stakeholders are the people/organisations associated with the local government units. External stakeholders are organisations operating under the local governments jurisdiction. Internal stakeholders include the departments under the local government unit, contractors, and suppliers. The support of all these stakeholders is required. This support can be garnered by: •

Effectively communicating information to all stakeholders.

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Setting up information resource centres.

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Providing assistance to stakeholders expected to meet any stipulations on account of ISO 14001 implementation.

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Setting up a pilot project to demonstrate the implementation and benefits of EMS.

A case study is presented wherein the implementation and benefits of a pilot EMS project in a local government unit is highlighted. Town of Londonderry, New Hampshire: The Londonderry Municipality Londonderry is located sixty miles north of Boston in the southeast corner of New Hampshire, in the US. In the recent years Londonderry has grown rapidly in terms of population and industry. This is gradually impacting the environment in that municipality. Pollution levels are increasing with more industries being set up. Increased population has also led to more vehicles contributing their share to the pollution. This has prompted the town to develop a master plan to ensure that its clean and healthy environment is maintained. This plan includes maintaining open spaces, setting up additional entertainment facilities, and having a proper environment management system in place. The Londonderry local government consists of a Town Council with five elected officers, and a town manager who oversees the town��s activities, and services. Londonderry has taken up a sustainable development program by implementing ISO14001 Environmental Management

System. The purpose is to promote economic growth while sustaining the quality of the environment. The town council chose its Public Works Department (PWD) for its pilot project of implementing the Environmental Management System. The PWD was selected over the other departments because its activities directly impact the environment. The PWD consists of four sub-divisions i.e. Solid Waste, Sewer, Highway, and Engineering. The Solid Waste Division has a supervisor and one solid waste operator for the Drop Off Center. The Sewer Division consists of one superintendent. The Engineering Division consists of a Town Engineer, who is also the Public Works Director, and one junior engineer as staff. The Highway Division employs the maximum number of people with 8 full-time employees and one foreman. The PWD has a total of 15 employees including one as administrative staff. Being a small town, Londonderry utilises the services of external agencies. It obtains wastewater treatment services from neighboring Town of Derry and City of Manchester. A private transporter provides its curbside (side the pavement or street) trash and recycling collections. The town does not have a transfer station of its own, but it provides a Drop Off Center, which accepts limited waste materials. The Highway Garage maintains the roads for the town and possesses some heavy grade construction vehicles along with trucks utilised to salt and sand the roads during the winter. Large road projects are entrusted to external agencies. The town engineer reviews and inspects development plans. The top management The top management for the EMS project includes the Public Works Director/Town Engineer, Town Manager, and the Division Supervisors of Sewer & Solid Waste. The five Town Councilors are kept informed of the progress of EMS, but are not directly involved in its implementation The core team The core team is responsible for completing the project as per schedule. Due to the local town��s small size and limited resources, three representatives were considered sufficient to manage the project. This core team consists of the Solid Waste Supervisor (Project Director), Administrative Services Director (Environmental Management Representative) and the Planning and Economic Director. Role of EMS (ISO14001) Londonderry hopes that a robust EMS would: •

Reduce the adverse influence on environmental quality from the various activities in the region.

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Improve its image as a healthy and safe community;

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Increase efficiency and minimise risks and accountability.

Goals The team developed the following objectives and targets for its divisions. The Solid Waste Division It would aim at decreasing the volume of solid waste through education efforts and create waste recycling awareness among residents. It would divert more materials from the curbside to the Londonderry Drop Off Center. It also sought to �ndecrease the toxicity of the waste streams through the use of recycling processes for household hazardous wastes and waste oil collections. The Highway Division The Highway Division would improve materials management through operational controls at the garage, eliminate hazardous materials, endorse non-toxic material, and ensure safe storage. The Sewer Division The Sewer Division��s objective would be to improve wastewater quality through improved education and the endorsement of the pre-treatment program. All the divisions would also ensure that proper health and safety measures are implemented as required. Results Londonderry set its objectives and targets to address its various environmental impacts. It also developed various environmental programs to meet its objectives and targets. It has completed its internal audit, identified areas for corrective actions, and initiated steps for improvement. Londonderry��s EMS is well on its way to achieve ISO 14001 certification. Success factors The two factors guiding successful implementation of EMS in the local government unit in Londonderry are: 1.

Setting up a core team consisting of members committed to the EMS implementation.

2.

Using the services of a project assistant (from Antioch College in Keene, NH) to help with development and implementation.

Issues faced The core team experienced hurdles such as: •

Keeping to the time schedules set for various elements of EMS development and implementation.

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Assigning tasks.

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Creating the necessary documentation.

The core team also faced some queries regarding the intrinsic worth and viability of investing money for environmental quality improvement. To convince the stakeholders of the EMS project, the core team developed a projected return on investments (ROI) report for the various environmental programs undertaken. They also prepared a document highlighting the economic benefits of implementing ISO 14001. Pay off��s Some of the benefits Londonderry reported were: •

Improved interaction between various divisions in the department.

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Uniformity in addressing environmental issues as a result of documenting standard processes.

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The EMS initiative improved the worker safety because of better training and awareness programs which covered areas such as hazard material disposal and emergency preparedness.

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Improved conservation of natural resources such as water by reducing wastage.

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Clarity regarding individual responsibilities in line with legal stipulations.

Key Lessons It is essential to involve all the key stakeholders (either external or internal) from the beginning of the EMS implementation. The Londonderry experience also suggests that success of the EMS depends on making it a community initiative involving the non-governmental environment groups. Londonderry��s efforts have resulted in a cleaner environment, and a healthier lifestyle. In recognition the state government, awarded the town of Londonderry, the first ever State of New Hampshire Municipal Pollution Prevention Award. Continue: Eco-Efficiency in Action Best Practices > Eco-Efficiency in Action Companies generally regard ISO 14001 implementation as expensive and time consuming. Xerox Ltd shows how implementing ISO 14001 can actually help improve a company’s bottom-line and bring a host of benefits in addition

Today Xerox Ltd is one of the world’s best known producers of copiers, printers and other document-related products and describes itself as a ‘Document-Company.’ Along with other major electronics companies, it is participating in a new industryled program that encourages consumers to reuse and recycle electronic devices such as personal copiers, computers, TVs and cell phones. Keeping in sync with modern ideas of green manufacturing, Xerox is committed to its goals with respect to the impact of its products on the environment and the effects thereof. This commitment to a Waste-Free Factory initiative and global implementation of a Environmental Management System has driven the company to get all of its manufacturing plants and Business Units the coveted ISO 14001 certification. Xerox’s environment policy revolves on the concept of Eco-Efficiency, which advocates the production of goods while reducing resource consumption and

product wastage. This policy is implemented throughout its supply-chain worldwide. Its employees and customers follow it. Xerox’s mantra is: ‘Waste free products from waste free plants for waste free office’, which is explained below in detail: Waste free products Xerox has identified the following measures to produce waste free products,: •

Use of Standard Materials – reduces the variety of items to be stocked and enables recycling.

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Use of Digital Technology – identifies faults if any in production systems and products, minimising servicing by engineers.

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Use of Design for Disassembly – allows waste reclamation from products after their life-span.

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Life Cycle Analysis and Costing – evaluates environmental impacts and the associated costs.

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Designing by Customer Requirements Analysis – facilitates innovation and reduces changes after production.

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Efficient Document Management Systems – reduces consumable material (such as paper) consumption.

Waste free plants Xerox's strategy for waste free plants is based on the following approaches: •

Manufacturing plants have strict norms on the control of waste and emissions.

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Through reverse supply-chain initiatives, its products are recovered from customers, after it’s lifespan.

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The raw material stock to be replenished is also reduced due to the increased reuse/recycling process.

A key focus area in waste free plants is the development of packaging-free products which results in a number of benefits both to the company and its customers, such as: • • •

Waste elimination or at least reduction in packaging and package disposal. Damage-free delivery of products. Increase in savings on space due to the absence of packaging.

This focus on producing packaging free products has yielded a savings of nearly US $3.2 million annually for the company and US $16 per unit for the customer.

Waste free offices Xerox recognises that efficiency at the customer’s side can make a difference in the impact of its products on the environment. Hence, it has adopted the measures outlined below to create waste free offices: •

Xerox is pioneering the concept of 'Waste free office' by reuse of toner cartridges, toner inkbottles.

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The use of duplex mode of printing in which printing is done on both sides of paper yields savings of around US $1600 for a small office.

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The company recognises that paper from a single tree can run a modern office for just 3 days. Hence , it relies on advanced technology in manufacturing to improve the efficeincy of its products.

The environmental approach by Xerox through its ISO 14001 implementation has resulted in substantial cost benefits both for itself and its customers. Other less recognised , but important benefits include: •

Xerox has now a “Green” image which helps when governments and customers demand eco-friendly suppliers in their supply-chain.

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Appreciation by environmental groups.

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Compliance with environment laws enables it to operate in 80 countries.

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Customer satisfaction due to increased efficiency.

The greatest benefit, however, accrues to the Environment - something that is the need of the hour. All companies, regardless of their industry domain can understand and adopt the measures taken by Xerox after suitable modifications to their specific industry. ISO 14001 standards is not an end in itself. It rather provides a guideline for an organisation to meet its commitment to the environment. Hence the success of the ISO 14001 implementation is largely dependent on the approach and commitment of the organisation, as proved by Xerox. Case Studies > ISO 14001—The Case And The Benefits Towards a perfect balance between environmental and corporate goals. The following case studies demonstrate the benefits of implementing ISO 14001. Electrolux avoids penalty and reduces waste Electrolux home products (formerly Frigdaire) in Greenville, Michigan, registered with ISO 14001 in 1999. As per the EMS requirements, Electrolux stipulates that contractors have a valid license for all the work they perform at the company’s site. One such licensed contractor spilled raw sewage out of an underground tank. Electrolux immediately reported the matter to DEQ (Department of Environmental Quality). In its inquiry DEQ found that Electrolux had taken the requisite measures to avert a spill. After the spill occurred, Electrolux also took the necessary steps to prevent recurrence of such incidents. Based on these findings, DEQ decided against fining Electrolux. Electrolux thus saved the $70,000 it would otherwise have had to pay as fine for the spillage. Electrolux also made savings through its commitment to the environmental objectives and targets it had set for itself. For instance, before implementing ISO 14001 Electrolux had to dispose off its solid waste material—“scrap” thrice a week. The vehicle had to travel 45 miles each time. However, the company started compacting its scrap thus reducing the space it occupied in a vehicle. Now, Electrolux needs to dispose its scrap only once a week. A substantial saving on fuel, labour and vehicle maintenance costs. Sony seeks sound EMS Sony Corp. of America’s (SCA) operating units, involving 73 non-manufacturing plants got registration to ISO 14001 in April 2002. One purpose behind SCA’s ISO 14001 registration was to become more environmentally responsible. The other was to improve the safety and health of its employees, customers and community where it operated. Steps taken by SCA as a part of EMS include •

Recycling.

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Conservation of energy.

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Waste reduction.

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Local outreach programmes.

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Health and safety measures to face emergencies.

Sony took some measures as part of its environment commitment. This led to products like

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Lead free solders: Previously, SCA used lead to join electronic components to a substrate. Since lead is harmful to the environment, SCA developed a “lead free solder” which uses an alloy of silver, tin and copper.

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Halogen free printed circuit boards: Earlier, halogen based flame retardants were used for cabinets and printed circuit boards at SCA. These retardants have endocrine disrupting properties and forms dioxin if burned within a certain temperature range. As dioxins are harmful to the environment, SCA replaced halogen-based flameretardants with newer halogen free compounds.

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Conducting Training Programs: The Company conducted training programs to educate employees about the ways to improve their working environment.

Adopting EMS reduced SCA’s recycling rate by more than 95% at 17 plant locations. SCA’s registration to ISO 14001 led to

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Improvement in company’s quality management programmes.

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Improved management commitment.

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Greater employee involvement.

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Document control of operations.

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Lesser resource utilisation.

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Greater participation in local community initiatives.

Delphi Saginaw steers toward waste reduction A major benefit gained by organisations committed to ISO 14001 requirements is resource conservation. Delphi Saginaw, a steering systems manufacturer, experienced this firsthand. Delphi’s focus on monitoring, measurement, analysis and improvement has helped it make major energy savings. One of the steps taken by Delphi in this direction was the practice of energy walks. During times of shutdown an energy team would walk around the plant and check for leakage or opportunities for energy savings. This team’s report, helped Delphi design corrective actions. For instance, an area of water wastage was identified and rectified during such walks. Employees allowed water to run through water outlets in the plant even during non-operational hours. This was because water was in abundance and the employees did not consider it a waste. However, this same water would end up in a water-processing tank and put an extra load on the processing plant. By ensuring that the water outlets were turned off during non- operational hours the plant reduced the amount of water being processed. The company thus saved 40% on its energy costs involved with the processing plant. Inspired by the success of energy walks Delphi installed an energy-monitoring computer system. This system helps Delphi monitor department wise energy consumption. On the whole Delphi is looking at a potential $14 million in annual energy savings after implementing ISO 14001. GM drives down waste General Motors Flint Metal Centre in Michigan experienced tremendous energy savings and increased revenue after implementing ISO 14001. Being a very huge plant, the Flint Metal Centre consumes a lot of electricity. In order to save energy, the plant began monitoring energy consumption. It did this especially during periods of non -production such as weekends and holidays. The plant would identify processes that were not needed and shut them down. The plant even developed documented instructions on shutting down equipment when they are not required. Consequently, the plant was able to save thousands of dollars in electricity bills. For instance, before implementing ISO 14001 the plant’s energy consumption was 448,918-kilowatt hours during a fourday holiday. Two years later, post implementing ISO 14001 the consumption reduced to 174,299 Kilowatts for the same holiday period. In the year 2001, the plant saved $250,000 just by identifying and shutting down equipment not required during period of non-production. Apart from energy conservation, the GM Flint Metal Centre also increased its profits through effective management of wastes like wood and copper. Before ISO registration the plant often disposed off wasted wood as trash in landfills. It later found a customer who used wood as a source of fuel. The plant started selling the waste wood instead of disposing it as trash. Copper tips disposal was another area where the plant earned revenues. Previously, the plant used to combine all its metallic scrap and sell them as one lot. However, the plant realised that copper could actually be sold at a much higher value than the combined metallic scrap rates. Hence, a cross functional team was formed to collect the tips of copper waste separately.

Conclusion Organisations committed to maintaining ISO 14001 standards can benefit in two ways. One it helps them improve their environmental performance. Second, it helps them achieve their business goals by minimising resource utilisation and increasing cost savings. Continue: The ABB’s Of ISO 14001 Case Studies > The ABB’s Of ISO 14001 A detailed study of how ABB Automation Inc went about achieving the ISO 14001 registration… ABB (Asea Brown Boveri) is an international company with many businesses including power and automation technologies, oil, gas and petrochemicals. ABB is committed to lowering the environmental impact of its products and operations both at its own plants and at the customers’ end. The ABB Automation Inc. plant at Ohio in U.S decided to get ISO 14001 registration, as part of its commitment to the environment ABB followed a stepwise approach in its ISO 14001 EMS implementation. Selecting the implementation team The crucial step in implementing EMS is selecting the implementation team. ABB’s EMS implementation team consisted of personnel from different areas of its business. •

Vice President of manufacturing as the management representative.

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Manufacturing operations analyst as site champion.

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Manager of environment, health and safety as technical expert.

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Maintenance manager.

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Engineering representative.

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Supply chain management representative.

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The team members continued to carry out their regular duties in addition to implementing EMS.

EMS training To train its employees, ABB selected an external consulting firm experienced in implementing EMS. This firm trained the employees on aspects like: •

Basics of ISO 14001 standard.

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EMS implementation techniques.

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Tools appropriate for each of the team personnel’s EMS responsibilities.

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As a requirement for ISO 14001 standard, ABB had to regularly audit its EMS. ABB employed the same external consultant to train its personnel as internal auditors for this task.

Environmental policy ABB adopted an appropriate environmental policy addressing the adverse effects of its operations, products and services on the environment. The environment policy committed ABB to continuously improve its environment performance and comply with legal regulations. ABB’s top management approved of the policy. Aspect identification An aspect is any element of an organisation’s operations, products or services, which has considerable impact on the environment like waste production, raw material utilisation, and air emissions. ABB’s implementation team listed all the aspects including minor ones. The team employed an assessment method that rates each aspect on a scale of 1 to 3 on each of the following criteria: •

Gravity of environmental impact.

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Probability.

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Legal requirements and regulations.

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Civic concerns.

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Financial impact.

Aspects having a cumulative score of 9 and above were considered important and accorded greater priority. Setting up objectives, targets and programs ABB’s implementation team set objectives covering all the important environmental aspects. Objectives set specific goals to be achieved. Targets on the other hand are metrics set to aid the achievement of objectives.

For example, an organisation may have set itself the objective of reducing electricity consumption. One target set to achieve the objective will be to reduce a particular department’s operating electricity consumption by 10% in the coming year. ABB developed programs that helped in achieving its targets and objectives within specified time frames. EMS procedures At ABB, environment related procedures were developed and documented in the early stages of EMS implementation. These documents were stored in the electronic format, as all ABB employees had access to computers. Maintaining documents in the electronic format makes updation easier. ABB followed two levels of procedures. One, was that which applied across the entire company. The other included those that were division or department specific. While carrying out the conformance audits ABB’s auditors used the companies EMS documented procedures and ISO 14001 standards as references. ABB therefore followed a balanced approach while including procedures to be followed, in their documentation. While some important procedures need to be documented and adhered to, others are left to the discretion of the organisation. Incorporating a procedure in the EMS documentation implies that it would be open to scrutiny and enquiry from external auditors. Therefore, ABB only included those procedures that would pass the strict scrutiny of audit. For example, an organisation can exclude MSDS (Material Safety Data Sheet) since it is a matter of safety but not a matter of EMS. Training, awareness and competence Appropriate training is necessary for the success of an EMS. At ABB, training sessions improved company wide environmental awareness. During training, qualified instructors reviewed the important elements of the ABB EMS. After the training session, employees were tested on their understanding and awareness of their processes and roles. This awareness training helped ABB during the certification. Management review ISO 14001implementation is not to be a one-time event. It is supposed to help an organisation continually improve its environmental performance. Management review helps an organisation evaluate the progress it is making in relation to its environment performance. It also helps the organisation make appropriate changes in its policy, objectives and targets, and resources allocation to enhance the EMS. Management reviews are mandatory requirement in the ISO 14001 standards. Auditors normally check the minutes of the management review meetings to ascertain if they were held. They also check if key management personnel attended those meetings and if all-important issues were discussed adequately. ABB conducted periodic management review meetings. Audit and certification External auditors review the details of the EMS implementation. Their aim is to evaluate whether the EMS is actually complying with the ISO 14001 requirements. Based on the evaluation, auditors either recommend certification, or require some corrective actions to be taken. In some cases even if the organisation meets all requirements, the auditors might recommend certification after a follow up review. At ABB, the external auditors first reviewed documentation and then the environmental system for completeness and relevance. For ABB, they suggested certain corrective actions to be taken before giving approval. ABB got its ISO 14001 registrations in December 1998, after it made all the corrections suggested. Benefits achieved by ABB due to ISO 14001 registration are many including lesser resource utilisation, lower wastage, increased goodwill of customers and a motivated workforce. It did take some time for ABB to gain its ISO 14001 certification. However, the benefits it received far outweighed the efforts it put in. Online Navigator > Understanding and Implementation A list of online links that outline the ISO 14000 Environmental Management System. Understanding 1. Overview of EMS and ISO 14001 This presentation outlines the basics of EMS and ISO 14001. http://www.p2pays.org/ref/09/08056/al_intro.ppt 2. ISO 14001 – An introduction This presentation dwells on the steps involved in the implementation of ISO 14001. http://www.tcozzie.com/downloads/ISO14000_intro.ppt 3. ISO 14001 for EMS A presentation that deals with the trade, environment and development aspects of ISO 14001. The implications of ISO 14001 in trade, market and SMEs are also outlined. http://r0.unctad.org/trade_env/rene/mod6en.ppt 4. Environmental Management Systems and ISO 14000 The aim of EMS is to promote environmental performance and enhance the business of “clean” firms. This document

explains in detail the ISO 14000 system that enables organisations achieve environmental compliance. http://www.environmental-center.com/articles/article96/article96.htm 5. Roadmap to Realisation – Getting started with your EMS This document lists the principles and essential roadmap steps for effectively integrating Environmental Management System (EMS) into the present system. http://www.asq-eed.org/publications/QEMSpaper.pdf Implementation 1. Environmental Management system implementation – Getting the job done This document details the steps in EMS implementation plan. http://www.environmental-center.com/articles/article1185/article1185.htm 2. Documenting ISO 14001 This PDF document presents an overview of documenting ISO 14001 EMS. http://www2.statamatrix.com/docs/Iso14001article.pdf 3. Is ISO 14001 an important element in business survival? In spite of the fact that not all concepts have survived, the speed at which new ones take birth is truly surprising. So the usual question that springs with every concept is “Is it truly essential to follow this concept?” This document addresses this question in the context of ISO 14001. http://www.iso14000.com/Implementation/DNV_Article.htm 4. What can you actually gain through an ISO 14001 EMS? Implementing an EMS makes an organisation adopt a responsible approach to the environment. It provides a framework for making the environmental and economic interests go hand-in-hand. This document focuses on the benefits attained by the organisations through implementation of ISO 14001. http://www.firstenvironment.com/assets/downloads/ems4.pdf 5. Organisational issues in the implementation of ISO 14001 Organisations have not encouraged the mandatory approach adopted by the environmental authorities. They have viewed the authoritative approach as incompetent and burdensome. But the arrival of ISO 14001 has now transferred the whole responsibility of environmental compliance into the hands of the organisation itself. This document views some of the organisational issues that relate to the implementation of ISO 14001. http://www.firstenvironment.com/assets/downloads/ems2.pdf 6. Obstacles to ISO 14001 implementation in SMEs This article discusses the obstacles for implementation of ISO 14001 in Small and Medium Enterprises and recommends ways to overcome them. http://www.environmental-center.com/articles/article106/article106.htm 7. EMS: An implementation guide for small and medium – sized organisations This PDF document explains in detail the steps to be adopted by small and medium sized organisations for developing an EMS. http://www.environmental-center.com/articles/article612/finalgu.pdf Tools 1. Environmental tools for SMEs: A Handbook This handbook focuses on the environmental tools that SMEs can put to use for the EMS implementation project. The topics discussed are basics of environment management, the need for SMEs to implement it and what tools are essential for the implementation? http://www.environmental-center.com/articles/article807/enviissu10.pdf 2. Audits and privilege in the ISO 14000 Arena This document is a detailing on the ISO EMS audits. http://www.firstenvironment.com/assets/downloads/audits&privelege.pdf Continue the tour: Online links to Best Practices and Case Studies Online Navigator > Best Practices and Case Studies Following are some online links realting to Best Practices and Case studies in ISO 14001. Also some additional links are provided to enrich the reading experience. Best Practices and Case Studies 1. Enhancing supply chain performance with environmental cost information A detailed explanation of enhancing supply chain performance with environmental cost information. The discussed examples include Commonwealth Edison, Anderson Corporation and Ashland Chemical. http://www.epa.gov/opptintr/acctg/pubs/eacasestudies.pdf 2. ISO14001 certification – a case study This document details ABB Automation Inc.’s ISO 14001 implementation process. The information contained is also useful

for organisations planning for ISO 14001. http://www.epa.state.oh.us/opp/ems/ABB%20Case%20Study.pdf 3. Successful environmental management This article outlines the design of Environmental Management system at Intel. http://www.iol.ie/~bruss/enviro/intel.htm 4. Cities, EMS and ISO 14001: A view from Japan ISO 14001 is designed to help organisations implement environmental management systems voluntarily and enhance environmental performance and promote sustainability. When used in the right combination of environmental objectives, management commitment and effective planning the system does positively impact the business of the organisation. This paper focuses on implementation of EMS in cities and in obtaining ISO 14001 certification. http://www.gdrc.org/uem/observatory/iso-cover.html Additional reading 1. ISO 14001: Profitable – Yes! But is it eco-effective A prevalent question around ISO 14001 is “Does an EMS truly support environmental performance and promote sustainability?” This paper details the results of a survey that covered more than 150 companies in Switzerland. The focus is on the EMS impact on the environmental learning processes within the companies. http://www.unisg.ch/org/iwo/web.nsf/SysWebRessources/JHDT_GMI2002.pdf/$FILE/JHTD_GMI2002.pdf 2. Application of Environmental Management Standards to Climate change The developed countries were greatly concerned about the Green House Gas (GHG) emissions. The Kyoto Protocol on Climate change was put into effect, which contained a rigid set of goals for developed countries to reduce GHG emissions. Though this was designed with a view of achieving the goal with an economical cost, it had various hurdles. This document deals with these hurdles and details the utility of ISO 14001 applicability to GHG emissions. http://www.firstenvironment.com/assets/downloads/ems5.pdf 3. ISO 14000: an agnostic’s report from the front line This document presents an outline for reviewing ISO 14001. Instead of listing the benefits it goes on to analyse some of the misconceptions of ISO 14000 and discusses the basis for these “false beliefs”. The document also discusses further evolution of ISO 14000. http://www.environmental-center.com/articles/article835/feb2000(1).pdf 4. Strategic Planning for sustainability for using ISO 14001 ISO 14001 in addition to being an effective EMS has also taken the role of an administrative tool for an organisation’s response to sustainability. ISO 14001 though being a framework for sustainability is not necessarily a strategic plan for sustainability. In addition it is also difficult to quantify the position of ISO 14001 as one of the tools. This paper suggests integration of “backcasting” and a five stage planning structure for complex systems with the ISO 14001 planning requirements. http://www.naturalstep.ca/articles/strategicplanningiso14001.pdf 5. Additional links http://www.pprc.org/pubs/topics/grnchain/supcase.html - This link offers case studies on ISO 14000 and EMS in supply chain. http://www.environmental-expert.com/ - This website contains lot of information on EMS and ISO 14000. The articles can be found by running a search in the title box. http://www.epa.gov/ - The official website of Environmental Protection Agency of the US. Contains news, information listed topic wise. http://www.mgmt14k.com/0articles.html - Articles on ISO 14000 from magazines and conference papers. http://www.dep.state.pa.us/dep/deputate/pollprev/Iso14001/isolinks.htm - Lists various links related to ISO 14000.

Service Providers > ISO 14001 Consultants Given below is a list of ISO 14001 Consultants with a brief on each of them as posted in their websites. 1. Cavendish Scott Inc http://www.cavendishscott.com

Cavendish Scott Inc is a full-service, Quality-Management and Environmental Consultancy providing a range of services including but not limited to Consultation, Education, Ongoing Support, Gap Analysis, Pre-assessment, Internal Audits, Product Management, ISO 9000, QS 9000, EN4600/ISO13485, AS 9000, and Medical Device Directive.

2. Clayton Group Services http://www.claytongrp.com

Clayton provides sound solutions for a broad range of environmental concerns. We offer clients comprehensive integrated services, extensive technical expertise, and a long-standing reputation for excellence. As a stable presence in the environmental services industry for more than 45 years, Clayton has established the experience necessary to perform consistent, high-quality work. 3. Environmental Data Validation http://www.edv-inc.com

Environmental Data Validation Inc, (EDV, Inc.) is a progressive, full service data validation and consulting company specialising in Total Environmental Quality. EDV, Inc. specialise in total environmental quality, EDV, Inc offers review and validation of environmental analytical data, environmental and ISO 14000 (EMS) consulting, laboratory audits and training. 4. ENLAR Compliance Services, Inc http://enlar.com

ENLAR Compliance Services, Inc. ISO 14000, 14001 engineering and legal consultants for environmental, safety and health management systems, program certification, training and gap audits. Services are tailored according to the needs of the customer. 5. Environmental Control Opportunities http://ecollc.net Environmental Control Opportunities provides consulting/training/auditing services for companies who are developing an Environmental Management System (EMS) or who already have an EMS in place. Provides effective environmental consulting at economiclly sensitive rates.

6. Environmental Print Management http://www.clare-taylor-consulting.co.uk

Environmental Print Production offers advice and consultancy to printers wishing to implement environmental management systems, and to specifiers wishing to include environmental criteria in their specifications and their supply chain assessment. 7. Environmental Risk Management Solutions Ltd http://www.enviro-web.co.uk

Environmental Risk Management Solutions Limited are in the business of environmental consultancy. It is our mission to ‘work with industry to help business meet its environmental obligations’. We aim to provide high quality, low cost environmental services to clients who require both advice and practical assistance with environmental problems or issues relevant to their business. 8. Future Past Inc. http://www.futurepast.com

Future Past, Inc. serves clients in the areas of environmental and quality management, business and marketing, and communications and public participation.