Environmental Management Systems

Training

Aligned to ISO 14001:2015

1
Emergency Requirements etc

Are there any fire drills planned today?

Should a fire alarm be sounded, everyone should evacuate the
building to the muster point following the evacuation
instructions.
Refreshments are provided throughout the day and there will
also be comfort breaks at approx. 10.30am and 3.00pm
Lunch break will be 12.30 to 1.00pm, with training
commencing at 1.05pm (please be prompt)
Mobile phone should be switched to silent, but it is fully
accepted that calls may need to be taken from time to time, if
that is the case please leave the room to take your call
Training Delivery
The style of training that will be delivered over the course of
the next 3 days will be;

– Presentation around power point slides

– Demonstration of elements of an EMS through an FQM

software product

– Open dialogue of questions and answers through out the

training. Please don’t wait to be asked if you understand,
please ask any questions you wish. If I can not answer I will
ensure to provide you with an answer by email or follow up
call

– Open dialogue between peers to gain an understanding of

the differences of locations within the agency, positions
within the agency and the behaviours within the room
Meet the Trainer and You

4
About OPA

The OPA operate 6 Oil Fuel Depots (OFD) around the UK and their
aim is to;
provide a marine fuel receipt, storage, delivery and jetty
service
manage, operate and maintain the OFDs safely and securely
in accordance with all regulatory requirements
manage and maintain those sites previously in GPSS which
were not part of the recent GPSS sale, safely and efficiently

Is this correct?

5
About OPA

Ministry Of Defence Commercial Clients

Gosport OFD

Loch Ewe Thanckes

OFD OFD

OPA London

Loch Striven Garelochhead

OFD OFD

Campbeltown
OFD

6
About FQM Ltd

WWW.FQMLTD.COM

WWW.FQMTRAINING.COM

7
Course Outline
• ISO 14001:2015 Introduction (Day1 )
Background and Evolution of Standard
Overview of Principles
Overview of the Family of Standards
Detailed Review of the Requirements
• Implementing an EMS (Day 2)
Gap Analysis Process
Roles and Responsibilities
System Design, Development and Implementation
Example systems
Certification Process
• Implementing an EMS (Day 3 – Half day)
Management of the system
Development workshop
Questions / Answers

8
Objectives

Get an insight in to what ISO14001:2015 is

Greater understanding of an Environmental Management System
The benefits of an EMS system
How it may apply to your company
Roles and Responsibilities
Provide you with information on the requirements of the standard
Understand what EMS documentation is needed (minimum)
Give understanding of Environmental Legislation
What a good implementation looks like
What a Electronic system looks likes
Understand how to prepare and manage a system for certification
Why continual improvement is important
Environmental Management System (EMS)

Introduction Training (day 1)

Aligned to ISO 14001:2015

Delivered by: Chris Docherty

10
Foreword

European public authorities spend each year over €1,800 billion on

goods and services (14% -16% of the GDP). Directing this spending
power towards the purchase of greener products and services can:
Achieve huge direct environmental benefits
Help drive the market for greener products
Result in considerable cost saving
Set an example for corporate and private consumers

For example, the EU Public authorities buy 2.8 million computers

annually, which is 12% of the European computer market. If the
European market could be moved to producing slightly more efficient
computers then over 8 million tonnes CO2 could be saved -
equivalent to the emissions of almost 1 million people.
What is ISO 14001

An international standard for requirements of an

environmental management system.
Produced by the International Organisation for
Standardisation.
Adopted by greater than 300,000 companies globally
Used as basis for third party and accredited certification of
environmental management systems.
What is an EMS

Part of an organisation’s management system used to develop

and implement its environmental policy and manage its
environmental aspects.
(ISO 14001:2015)

A demonstrable system to direct and control an organisation

with regard to the environment
What your company does to minimise the harmful effects on
the environment caused by its activities
To conform to applicable regulatory requirements
To manage it’s environmental risks
To achieve continual improvement in its environmental
performance
Generic

ISO 14001 is a generic standard

Can be applied to any organisation large or small, using any
product or service, in any sector of activities
You can be a private business, government department. It
does not matter!
The ISO 14001 standard tells you what the requirements are
but not how to apply them. This is because every
organisation is different in some way and it must interpret
how to meet the requirements of the standard from their
risks to the environment.
The 2015 version of the standard provides much more
flexibility for the organisation;
– Decrease the emphasis on Documentation
– Increase the emphasis on Achieving Value for the
Organisation and its customers
– Increase emphasis on Risk Management to achieve
objectives
The Origin
ISO 14001 was developed in response to the environmental
problems that the world face today. First published in 1996, the
latest improved version is ISO 14001:2015 and was only
released in September 2015. The new standard takes the basis
of the 2004 standard and brings it in line with the Risk and
Process approach to management systems and uses the Annex
SL platform;
Mandated by ISO’s Technical Management Board (TMB)
High level structure, identical core text and common terms
and core definitions for use in all Management System
Standards
Purpose - Enhance the consistency and alignment of different
management system standards
Organisations who implement a single system addressing
multiple standards (e.g. QMS, EMS, HSMS, ISMS etc.) will see
the most potential benefit
Status
As of December 2014 – more than 10,000 companies in the UK
have been certified to ISO 14001, with companies in over 138
countries taking up certification and many more apply the
principals of an EMS but choosing not to have their system
externally certified.

It is the most recognised Environmental Standard globally

Benefits of an EMS
Improve management of environmental impacts
Set targets to reduce energy use, water use & waste to landfill
Initiate and maintain procedures to improve efficiencies
including:
– Use a quality approach to drive continual improvement
– Use of less evasive chemicals
– Risk management approach to Environmental incidents
– Work with contractors to ensure your expectations are
driven down through the supply chain
– Preferred business travel option
Define key responsibilities for achieving targets
Promote a culture of environmental awareness among staff
and contractors to encourage good adoption of the EMS, but
also gain knowledge on improvement ideas
Monitor and measure environmental performance against key
indicators
Regularly assess progress towards achieving set objectives
Benefits of an EMS
Ensure due diligence and ongoing consideration of legal and
other environmental requirements
Assist with environmental reporting as required by DECC
Driven by government policy and communicates good practise
to industry and communities
Contribute to preferred employer status
Achieve cost savings
Show leadership, nationally and/or internationally
Obtain competitive advantage
May be required by clients, customers and/or regulators
Build goodwill from customers, employees and stakeholders
MOD Website Info
Interaction of EMS Elements
Role of Management
Develop & approve environmental policy as a statement of
commitment
Provide the necessary resources
Provide the budget to train resources or appoint external
support
Take responsibility to ensure EMS is established, implemented
and maintained, and to report on performance of EMS including
recommendations for improvement (Management may wish to
appoint a management representative)
Be a constant advocate of the EMS, it’s benefits and need
Provide regular communication for employee engagement
If a management representative is appointed, ensure they
understand that they are acting on behalf of the management
and accountability for establishment, implementation and
continual improvement remains with the management
Provide the necessary support to overcome barriers
Regularly review the EMS to ensure its continuing suitability,
adequacy and effectiveness.
Top Level Structure
Plan Do Check Act (PDCA)
Comfort Break
Plan Do Check Act (PDCA)

Plan
– To determine scope of the system during the initial phase,
which will continually develop throughout the lifecycle
Do
– To develop appropriate documentation and assign
responsibilities in order to ensure that relevant issues are
managed effectively
Check
– Period monitoring and checking to ensure the system is
working efficiently and effectively to meet the
requirements
Act
– Appropriate measures to rectify any shortfalls and updating
where the circumstances change or incidents / findings
need actions taken
Key Elements
Policy Statement
Identification of Significant Environmental Aspects
Development of Objectives and Targets
Implementation Plan to Meet Objectives and Targets
Training and Competence
Management Review
Improvement

How you meet the elements is up to you

ISO 14001:2015 Elements
3 Terms and Definitions
Terms related to the organisation and leadership
Terms related to planning
Terms related to support and operations
Terms related to performance evaluation and improvement

4 Context of the Organisation

Understanding the organisation and its context
Understanding the needs and expectations of interested parties
Determining the scope of the EMS
The Environmental Management System
ISO 14001:2015 Elements
5 Leadership
Leadership and commitment
Environmental Policy
Organisational roles, responsibilities and authorities

6 Planning
Actions to address risks and opportunities
General
Environmental Aspects
Compliance obligations
Planning action
Environmental objectives and planning to achieve them
Environmental objectives
Planning actions to achieve environmental objectives
ISO 14001:2015 Elements
7 Support
Resources
Competence
Awareness
Communication
General
Internal
External
Documented Information
General
Creating and updating
Control of documented information

8 Operations
Operational planning and control
Emergency preparedness and response
ISO 14001:2015 Elements
9 Performance evaluation
Monitoring, measurement, analysis and evaluation
General
Evaluation of compliance
Internal Audit
General
Internal audit programme
Management Review

10 Improvement
General
Nonconformity and corrective action
Continual improvement
Policy Statement
Management’s declaration of commitment to the environment.
Policy Statement
3 Main Elements (Big 3)
Commitment to Compliance
Commitment to Prevention of Pollution and Accident
Commitment to Continual Improvement
Broader definition of pollution prevention
Must be appropriate to the nature, scale and environmental impacts
of the organisation’s activities, products or services
Provides a framework for setting and reviewing objectives and
targets
Way of communicating environmental mission internally and
externally
Can be cascaded down from higher level group (government)
statements
Communication
Aspects and Impacts
An organisation evaluates and addresses its own significant
aspects, including non-regulated aspects

May be positive or negative

Think from the fence line:

– Aspect: Cause or Input: Element of an organisation’s
activities, products, or services which can interact with
the environment
– Impact: Effect or Output: Any change to the environment,
whether adverse or beneficial, resulting from an
organisation’s activities, products, or services
Aspects and Impacts
Consider:
– Air emissions
– Solid/hazardous waste
– Water effluents
– Contamination of land
– Noise, vibration and odour
– Land use, energy use, water use
– Raw material and resource use
– Positive environmental issues
Example:
– Aspect: Radioactive material
– Impact: Transportation and storage issues;
Environmental contamination
in storage, Likelihood of incident
in transportation
Aspects and Impacts
Ranking of Aspects:
The organisation shall establish a documented procedure to
identify its environmental aspects in order to determine those
which can have a significant impact on the environment
Ranking/Significance Scoring, consider:
– Environmental Concerns
• Regulatory/legal exposure; health/env - Risks and
Conservation
– Business Concerns:
• Effect on the public image; community concerns
• Cost savings; cost recovery period; equipment/facility
– Other issues:
• Scale, duration, and zone of impact
• Probability of occurrence - frequent, likely, possible,
rarely, unlikely
• Severity of impact - catastrophic, severe, moderate,
minor
Aspects and Impacts
Legal and Other Requirements
Setting legal framework for the EMS
– have a process to identify and access the legal
requirements: local, national and international
– have a documented system for keeping up-to-date
– communicate to the right people
Industry-specific requirements
Other voluntary requirements
Planning

• Leadership
Policy
• Intent

Establish
Objectives Aspects and
• Risk Based
and
Impacts
• Significance
targets

• Legal
Requirements
• Other
Video 1
Lunch Break
Objectives and Targets
The organisation shall establish and maintain documented
environmental objectives and targets.

Can include commitment to:

– reduce waste
– reduce or eliminate release of pollutant
– design product to minimise environmental impact in
production, use, and disposal
– improve efficiency in operation to reduce environmental
impact
– Implementation of a certified EMS

Be realistic. Keep objectives simple, flexible, measurable and

achievable.
Consider alignment with group / government objectives
Objectives and Targets

Objective: Reduce Electricity Use in Office

Target: Reduce Electricity Use by 15% by year end 2015 by
introducing a policy to turn off all computer monitors, install
energy efficient light bulbs and install heat exchange pumps
Objective: Reduce company fuel use
Target: Reduce fuel use by 20% by year end 2015 by
reducing the amount of business travel by 10% and
increasing the use of web or tele based meetings, by using
contractors with fuel efficient plant and equipment.

Exercise 1:
What potential objectives & targets could your department,
division, subsidiary, organisation, group possibly implement?
Programme Action Plan

Utilise existing action plan process to help achieve the

objectives and targets e.g.
Traffic Light System
Do you have a similar action plan system?
The Standard in Detail
3.0 Terms and Definitions
Terms and Definitions
Terms related to the organisation and leadership
– Management System
– Policy
– Organisation
– Top management
– Interested parties

Terms related to planning

– Environment
– Environmental aspects
– Environmental Condition
– Environmental Impacts
– Objectives
– Prevention and Pollution
– Requirements
– Compliance
– Risk and opportunity
3.0 Terms and Definitions
Terms and Definitions
Terms related to support and operations
– Competence
– Documented information
– Life cycle
– Outsource
– Process approach

Terms related to performance evaluation and improvement

– Audit
– Conformity
– Non Conformity
– Corrective action
– Continual improvement
– Effectiveness
– Indicator
– Monitoring
– Measurement
– Performance
4.0 Context of the Organisation

Context of the Organisation

Understanding the organisation and its context
Understanding the needs and expectations of interested parties
Determining the scope of the EMS
Environmental Management System
5.0 Leadership

Leadership
Leadership and commitment
– Must be demonstrated and lead from the top
– No longer able to delegate accountability
Environmental Policy
Organisational roles, responsibilities and authorities
6.0 Planning

Planning
Actions to address risks and opportunities
– General
– Environmental Aspects
Compliance obligations
– Planning action
Environmental objectives and planning to achieve them
– Environmental objectives
– Planning actions to achieve environmental objectives
7.0 Support
Support
Resources
Competence
Awareness
Communication
– General
– Internal
– External
Documented Information
– General
– Creating and updating
– Control of documented information
8.0 Operations

Operations
Operational planning and control
Emergency preparedness and response
9.0 Performance Evaluation

Performance evaluation
Monitoring, measurement, analysis and
evaluation
– General
– Evaluation of compliance
Internal Audit
– General
– Internal audit programme
Management Review
10.0 Improvement

Improvement
General
Nonconformity and corrective action
Continual improvement
Video 2
Monitor and Measure

The organisation shall establish and maintain documents

(Processes / Procedures) to monitor and measure the key
characteristics of its operations that can have a significant
impact on the environment.
Track how well the system is working
Measure the key characteristics of those activities that can
have significant impacts
Analyse the root causes of problems
Evaluation of Compliance

Develop a process / procedure for periodically evaluating

compliance with applicable legal requirements
Keep records of evaluations.
Can be done during EMS Internal Audits
Non Conformity and Action
Develop processes / procedure for investigating, correcting,
and preventing system deficiencies
Set up process for assigning responsibilities for and tracking
completion of corrective action
Set up process to revise EMS processes / procedures based
on corrective actions
Control of Records
The organisation shall establish and maintain processes /
procedures for the identification, maintenance and
disposition of environmental records
Include - training records, audits, management reviews
Internal Audit

Develop internal EMS audit program

Are all EMS requirements met?
– (Are we meeting the standard?)
Is the system working?
– (Are we doing what we said we would?)
Determine audit frequency and procedures; train auditors;
keep records of audits, findings, and follow up actions
Comfort Break
Management Review
Reviews EMS to ensure its continuing suitability, adequacy
and effectiveness
Reviews process to ensure necessary information is collected
for evaluation
Review must be documented
Consider changes to:
– policy
– objectives
– other EMS elements
Overlapping Requirements
The following requirements are found as general requirements
across many different standards, including ISO 14001 and ISO
9001:

Control of Documents
Control of Records
Internal Auditing
Management Review
Corrective and Preventive Action
Competence, Training and Awareness
Improvement
Guidelines for Auditing
The general principles contained in BS EN ISO 19011: 2002
embrace well proven and accepted practices in the
performance of management system audits.
BS EN ISO 19011: 2002 provides useful guidance on the
procedures to be adopted to ensure a satisfactory EMS audit
process for both auditor and auditee.
Legislation Overview

Source of environmental legislation

International: Rio, Kyoto, Agenda 21,

Montreal Protocol

National: Air, Water, Land

Local: Noise, Nuisance, Litter

Legislation
Statutes (acts)
Statutory instruments (regulations)
Local by-laws
Land Use – Town and Country Planning Act 1990

For example:

Land use - the town and country planning regulations

requires developers of major projects to produce an
environmental statement – a detailed EIA.
Legislation
Air Pollution: regulates atmospheric emissions leading to acid
rain, global warming, air pollutants, solvent release, ozone
depletion and vehicle emission pollutants. European directives and
international agreements reinforce the EPA 1990 and Environment
Act 1995.
In the UK, two pollutant control regimes operate in the areas of
LAPC (Local Air Pollution Control) and IPC (Integrated Pollution
Control).

EC Directives – NO2, SO2, particulates, CFCs, Lead,

vehicle exhausts
Environmental Protection Act 1990 – IPPC, Parts A1,
A2, B
Environmental Act 1995 – Part 4 Air Quality
Climate Change Legislation
Legislation
Effluent and Water: there are a number of legislation control
discharge to water and require consent in advance. The EPA 1990,
Water Act 1989, Water Industry Act 1991, Water Resources Act 1991
and in Scotland, Control of Pollution Act 1974, Sewerage (Scotland) Act
1968 and Water(Scotland) Act 1980.
Discharges of effluent to sewer, water courses and the sea are subject
to consent for levels of COD (Chemical Oxygen Demand), BOD, Ph
level, mineral content and other chemical constituents.

EC Directives – water quality, sea water,

groundwater, urban waste, water treatment
Environmental Protection Regulations – Red list of
prescribed substances 1991, black list EU
Water Resources Act 1991
Control of Pollution Act 1974 – consent to discharge
Sewerage (Scotland) Act 1968
Water (Scotland) Act 1980
Water Act 1989 – water quality
Legislation
Waste Management : Waste disposal comes under the EPA 1990
where it imposes a ‘duty of care’ on all producers of waste. A
licensing system regulates the consigning and disposal of various
types of waste.
‘Special Waste’ – hazardous, ‘Controlled Waste’.
Management of landfill sites is regulated through Part 2 of EPA
1990.
‘Packaging Waste’ – is regulated through the Producer
Responsibility Obligations (Packaging Waste) Regulation 1997,
under the Environmental Act 1995.

The control, storage and handling of hazardous substances under

the COSHH 1994 Regulations, places the responsibility for
protection of employees on the Employers.

Control measures include: information and training as well as

routine monitoring and health surveillance.
Other Legislation
Noise and Statutory Nuisance Act 1993 give local authorities
power to deal with noise or vibration which is prejudicial to
health.
Occupational noise is covered by the Health & Safety at Work Act
1974.
Statutory Nuisances – state of premises, odours, gases,
accumulations, animals and others which create a nuisance.
EU ECO-Labelling – is a voluntary scheme administer by an
independent board. This needs a Life Cycle Analysis of the
products evaluating environmental impacts from birth to
death of the products.
Life-cycle analysis – researching through raw material usage,
manufacturing, distribution, use, maintenance and disposal.
Others – Air quality, Sox, Nox, greenhouse gases, vehicle CO2
emissions, electrical and electronic waste disposal etc.
EU Legislation
EU Legislation:
EU Regulations – mandatory
EU Directives – national legislation to schedule
EU Recommendations – no legal enforcement

Regulatory Agencies:
Environment Agency (EA) – England & Wales
Scottish Environment Protection Agency (SEPA)
Department of Energy and Climate Change (DECC)
Environment and Heritage Service (EHS) – Northern Ireland
Local Councils
Water Authorities
Legislation For Aspects

IDENTIFICATION OF RELEVANT LEGISLATION

COMPLIANCE ISSUES
UPDATING ROUTINE
REPORTING AND COMMUNICATION
Documentation
Documentation importance:

Provides signposting to system components

Must comply with ISO 14001 Requirements
Align with system operations
Definitive criteria for audit

A thorough knowledge of the system documentation is

essential for the EMS Manager and for the individual
auditors.
System Documentation
The purpose of the system documentation is
to provide the reference
Control function reference for all activities and
procedures involved
Can be hard/soft in the operation and
copy format
control of the
Controlled environmental
Issue management
as required by Document Control
Available to all Users
system.
Appropriate Coverage for understanding

Environmental Initial Review

Environmental Manual
Environmental Procedures
Environmental Registers – ASPECT,
LEGISLATION
Environmental Records
Document Structure
Document / Components
Document set
Preliminary Data gathering and analysis. Relevant data held by all
Environmental employees. This review will locate the documents needed
Review to determine your aspects and impacts. This is done
during implementation phase
Environmental policy
Provides the documentary basis for auditing the EMS
Refers to other systems - quality, health & safety, etc
Environmental
System Address all clauses of the standard
Where appropriate, refers to procedures, registers and
records
Describes document control system
Provide the means of implementing the EMS policies
Process for assessing environmental aspects
Environmental Process for assessing relevant regulations
Processes /
Procedures Process for developing objectives and targets
Auditing procedures
Effluent disposal procedures etc.
Authorisations and consents from the statutory bodies
Environmental Policy documents form parent organisation
Registers Register of regulations
Register of objectives and targets
Electricity and fuel bills Air emissions analysis
Environmental Waste disposal Accident reports
Records
Effluent analysis Audit reports
Minimum Requirements
There are certain necessary requirements in ISO 14001:

Identification of environmental aspects & determination of

significance.
Identification of legislation and regulations and the
associated procedure for maintaining the currency of the
information.
Communication within the organisation and with
customers, suppliers, the general public and regulatory
agencies.
Document Control
Emergency preparedness and response – environmental
risk assessment with the methodologies for reducing the
risk and mitigating the associated environmental impacts.
Non-conformance and Corrective Actions - methodology
for information of non-conformances and providing the
follow-up to ensure appropriate corrective actions are
applied.
Management Requirements
There are certain necessary management requirements
in ISO 14001:
Maintenance of environmental records – methods of
storing, retrieving, updating and destruction of records of
environmental importance.
Audit Process - providing a consistent framework for the
conduct of audits on the system or operational
components of the environmental management system.

Operational Procedures:
Solid Waste Management
Effluent Management
Monitoring of Emissions
Spillage Containment
Ground Contamination Assessment
Review and Improve
Review of Documentation

In working with documentation in preparing for the audit,

the auditor needs to consider the value of the procedure.

Management or Operational?
Roles and responsibilities
Prescribed or Non-prescribed?
Recognised Format?
Understandable Language?
Referenced Correctly?
Records Identified?
End of Day 1

Questions ??
Environmental Management System (EMS)

Implementation Training

Aligned to ISO 14001:2015

Delivered by: Chris Docherty

79
Foreword

An organisation can have the best processes, procedures and

supporting documentation and equipment in the world. But without
the correctively trained, competent and motivated people, the
system will not be effective.

YOU MUST CONSIDER THE HUMAN AS PART OF THE SYSTEM!!

Benefits of an EMS - Reminder
Improve management of environmental impacts
Set targets to reduce energy use, water use & waste to landfill
Initiate and maintain procedures to improve efficiencies
including:
– Use a quality approach to drive continual improvement
– Use of less evasive chemicals
– Environmentally friendly purchasing procedures
– Work with contractors to ensure your expectations are
driven down through the supply chain
– Using more innovative equipment to reduce impact
Define key responsibilities for achieving targets
Promote a culture of environmental awareness among staff
and contractors to encourage good adoption of the EMS, but
also gain knowledge on improvement ideas
Monitor and measure environmental performance against key
indicators
Regularly assess progress towards achieving set objectives
Ensure due diligence and ongoing consideration of legal and
other environmental requirements
Benefits of an EMS
Assist with environmental reporting as required by law
Driven by government policy and communicates good practise
to industry and communities
Contribute to preferred employer status
Achieve cost savings
Show leadership, nationally and/or internationally
Obtain competitive advantage
May be required by clients, customers and/or regulators
Build goodwill from customers, employees, stakeholders
(Including the public)
Continual Improvement
Interaction of EMS Elements
Engagement & Communication
At the earliest stage develop internal engagement process
taking in to consideration the impact of the EMS and how
wide spread it will be
Decide how to keep the engagement process open and
positive, thus ensuring that you learn from your workforce
and external parties you interact with
Using a communication strategy and process may be a good
approach to ensure open, often, consistent and provide
positive leadership direction.
Engagement with external parties is undertaken should this
be deemed necessary at the early stage of implementation
Implementation Planning

The impact on an organisation can

often be far deeper than anticipated
at the early stages. Fear of the
unknown can drive resistance

Sharing of information, experiences

and concerns is a good way to
ensure that plans are well placed for
success. It also allows for open
dialogue and removes fear
Implementation Planning

Often something new can bring

about lots of questions. Utilise
resources at your disposal to
understand the unknown

Understand why you are doing what

you are doing, what it is you are
going to undertake, when and by
whom

Make your plans dynamic, but

ensure all stakeholders are engaged
and in agreement
Steps to Establish an EMS
1. Obtain commitment from top management.
2. Define responsibilities, appoint management team or
delegate to a representative(s), establish EMS steering
committee, develop implementation plan, initial training on
EMS.
3. Planning—identify environmental aspects, legal & other
requirements; formulate environmental policy; establish
environmental objectives & targets & programs.
4. Implementation & operation—develop documentation &
processes
5. Checking—develop processes for monitoring & measurement
& corrective & preventive action
6. Develop and deliver presentation on awareness of the EMS in
the agency.
Steps to Establish an EMS

7. Establish internal audit program, including training; conduct

initial internal audit to evaluate conformity to requirements of
ISO 14001, including evaluation of compliance
8. Follow up internal audit with improvements to system
9. Conduct initial management review of EMS
10. Implement improvements from management review
11. Continuous communication and employee engagement to
ensure effective implementation of the system
12. Ongoing analysis, engagement and improvement
Video 3
Comfort Break
Phase 1
• On-site gap analysis (Phase 1)

• Implementation Action Plan identifying responsibilities (Phase 1)

• Document EMS Policy, Aspects & Impacts and Objectives (Phase 2)

• Document EMS processes and procedure (Phase 2)

• Create supporting documents, templates, guidance and records (Phase 2)

• ‘Health Check’ utilising Implementation Action Plan for ‘progression’ (all phases – see
Phase 1 for explanation)

• Internal audit of ‘implemented’ system (Phase 3)

• Management Review of ‘implemented’ system (Phase 3)

• Certification management (Phase 4)

92
Gap Analysis

Audit of existing processes, procedures, supporting documents, records and delivery

within an organisation against ISO 14001 standard (Or any other standard)
Gap analysis checklist used to facilitate this process by identifying gaps from ISO
14001
Gap Analysis Report documents the gaps and gives advice as to how to close the gaps
Project Tracker (traffic light system) – Action Implementation Plan used for managing
the project, which includes identified gaps from gap analysis and delegates actions to
individuals

93
Gap Analysis

94
Gap Analysis Report

Element by element Guidance

Report written identifying the gaps between current processes and those necessary to
meet the requirements of the standard (ISO 14001) for your organisations specific
requirements
Gaps documented in Action Plan – Project Tracker

95
Project Action Plan

Simple, flexible, ‘traffic light’ system for managing

implementation
Identifies responsibilities
Used as main tool during regular project progression meetings
Gives ‘Green’ for ‘Go’ for full implementation and project
completion

96
Project Action Plan
QHSE Manager : Joe Bloggs ISO Tracker
Consultant : Michael Freeman Issue 8

Item No Element Actionee Status Comments

1 Documentation Review MF This includes streamlining existing manual and drafting new process map. Modify 6 required documented procedures.

2 Audits and preparation for Management Review MF M.R set for 03/10/07. Audit management system using existing procedures. MR took place on the 13th Nov.

3 Preparation for Management Review TMG/MF Ensure available documentation is ready. Agenda from standard etc Data being collected - Ongoing- Prep will include the review of ATEX
Collate results, enter into CAPA system - new IT logging system being developed- reamaining audits to be done w/c 19th Nov. Follow up audits
4 Results of Internal Audits TMG/MF we 7th Dec
5 Customer Feedback TMG Customer satisfaction forms, obtain data back 1 week prior to M.R Complete by next MR 5th Nov.Completed
TMG/MF/
6 Analysis of NCR system EC Give output from this for analysis and inclusion into MR 1 week prior to M.R - Analysis will be avaiable for MR 2 on the 5th Nov
7 Status of preventive & corrective actions TMG/FM Include in pack for M.R - information currently being collated

8 Follow up actions from previous reviews TMG Copies of previous sales reviews, meetings since no previous M.Rs - Infomration being collated - Ongoing next meeting set for 3rd week jan 08
9 Housekeeping prior to audit ALL Require complete blitz including office areas 1 week prior to final audit
10 Notification to staff and availability for audit ALL Communication to staff audit taking place 2 weeks before final audit
TMG/MF/
11 Records in Management System EC Review for evidence against measurement as part of audit - underway and ongoing - to be completed within 10 days

12 Notice Board TMG/RH Require notice board for quality policy and measures of performance. Populate with information. Quality Policy to be signed
13 Administration for day of audit TMG Ensure all staff know auditor is coming and why.
17 Print out of Documentation TMG Ensure clear, quality copy available for audit. Do on week of audit.
TMG/MF/
18 Review and finalise objectives & Policy RH Finalise quality objectives, include achievement of UKAS ISO 9001:2000. & policy statement. To be completed w/c 19 nov.
TMG/MF/ Provide information as to how we are performing against these now & set targets. Do in consultation with MF- 3 main objectives will be in line
19 Provide performance measurements against objectives RH with financial/eng/QA and will be documented
20 Review customer returns process TMG/MF Establish what status is. Analysis of customer returns and create for MR - Work instruction being collated
TMG/MF/
21 Review non conforming product AA What is decision of this material, scrap, rework, how is this recorded ? List created / material still to be reviewed.-
TMG/MF/
22 Review non conforming process AA Establish if practice follows current written process and provide feedback.

25 Audit maintenance in terms of internal audits TMG Ongoing - revievied schedule 26/09/07. 13th Nov identified another 4 audits to be completed. Deadline 21st Nov

26 Contact FM approvals to confirm scope of registration TMG Application form completed. Awaiting FM response

27 Practical Management on day of audit i.e. Who ALL Create list of audit areas against responsibilities

28 Training Matrix and records TMG Populate training matrix and create records to support categories in matrix . MF to audit HR on 24 th Oct 07- Ongoing
29 Updated documentation TMG Ensure updated documentation is transferred onto network
30 Hard copy updated documentation TMG Ensure updated documentation is transferred onto network

97
Role of Management
Develop & approve environmental policy as a statement of
commitment
Provide the necessary resources
Provide the budget to train resources or appoint external
support
Take responsibility to ensure EMS is established, implemented
and maintained, and to report on performance of EMS including
recommendations for improvement (May wish to appoint a
management representative)
Be a constant advocate of the EMS, it’s benefits and need.
Provide regular communication for employee engagement
If a management representative is appointed, ensure the
understand that they are acting on behalf of the management
and accountability for establishment and implementation
remains with the management
Provide the necessary support to overcome barriers
Regularly review the EMS to ensure its continuing suitability,
adequacy and effectiveness.
Phase 2
• On-site gap analysis (Phase 1)

• Implementation Action Plan identifying responsibilities (Phase 1)

• Document EMS Policy, Aspects & Impacts and Objectives (Phase 2)

• Document EMS processes and procedure (Phase 2)

• Create supporting documents, templates, guidance and records (Phase 2)

• ‘Health Check’ utilising Implementation Action Plan for ‘progression’ (all phases – see
Phase 1 for explanation)

• Internal audit of ‘implemented’ system (Phase 3)

• Management Review of ‘implemented’ system (Phase 3)

• Certification management (Phase 4)

99
Environmental Policy
Sets the direction for the way the organisation plans to manage its
environmental impacts
Set by top management with input as required from appropriate
people in the organisation
Acts as the pinnacle of the EMS
Includes commitments to pollution prevention, legal compliance,
communication & continual improvement
Includes framework for objectives & targets
Must be effectively communicated through employee and
contractor engagement & importantly it must be maintained to
reflect changes
OPA Policy
Objectives and Targets
Objective: overall goal consistent with environmental policy
that the agency wants to achieve
Target: detailed performance requirement to achieve objective
Consider how your supply chain and contractors fit within
these.
Objectives
Policy statement indicates what is important for the organisation in
general terms, Environmental objectives must show specific goals to
be achieved within a certain time frame, and must be measurable
Examples are:
reduce scrap by 10% within the next 6 months;
increase recycling by 50% in next year;
remove repeat Env incidents within the next year;
reduce number of nonconforming products by 15% within the next
year;
Implement supply chain environmental plan in next year
Start small … and build on a firm foundation. You should have at least
one ‘macro’ level objective regarding supplier performance, overall
system effectiveness, and customer satisfaction – you will be required to
monitor and measure performance in these areas anyway

103
Environmental Aspects

Identify environmental aspects

Determine aspects with significant environmental impact
Document & maintain in an aspects register
Ensure that significant environmental aspects are the focus of
the rest of the EMS
High Level Aspects & Impacts
Consider Impact In Use
Risk Matrix
Risk Matrix
Aspects & Impacts

Discussion
Lunch Break
Legal Requirements

Identify environmental legal requirements applicable to the

operations of the organisation
Show how legal requirements apply to environmental aspects
Keep these up-to-date & incorporate them into other elements
of the EMS
Legal Requirements
Other Requirements

Identify other environmental requirements to which the

agency subscribes
– MOD requirements
– Government direction
– Commercial client requirements
– Etc
Show how other requirements apply to environmental aspects
Keep these up-to-date & incorporate them into other elements
of the EMS
Requirements - Discussion

Legal and other requirements discussion

Program
Environmental program/action plan:
– to achieve objectives & targets
– Includes responsibility, means & timeframe
Roles and Responsibility

Management provides appropriate resources

Document roles, responsibilities & authorities
Management delegate some responsibilities to a management
representative or ensure management take responsibility to:
– Co-ordinate establishment, implementation & maintenance
of EMS
– Report to top management on performance of EMS &
recommend improvements
– Drive continual improvement through lessons learned and
PDCA
Competence and Training
Does the company have a Competence Management
System?
Identify positions & roles associated with significant
environmental aspects
Including senior management roles
Assess competence to meet requirements
Identify training needs (Training Needs Analysis)
Fulfil training needs
Assess if training needs meet requirements
Assess if coaching / mentoring is needed to meet
competence needs
Is there the desire to meet the competence needs
Continual assessment of competence
Awareness

Ensure all appropriate members of staff and contractors

are aware of EMS requirements and the system
Propagate awareness of the EMS
Engagement
Communication

Ensure that communication from external parties is

appropriately managed
Decide how to proactively communicate externally about
significant environmental aspects
Engagement
As the system starts to get implemented, this can often be
a time when barriers appear. Ensuring that the engagement
process remains in place and is positive, will allow these
barriers to be reduced
Ensure that engagement with external parties is
appropriately managed and undertaken
Decide how to keep the engagement process open and
positive, thus ensuring that you learn from your workforce
and external parties you interact with
Documentation
Environmental statement of intent (May be driven by a group
or government body – MOD)
Environmental policy
Environmental Strategy
Environmental Plan
Environmental objectives and targets
Description of the scope of the environmental management
system
Description of the main elements of the environmental
management system and their interaction, and reference to
related documents (Including how they interact with Quality,
Health and Safety)
Documents and records required by the standard
Documents and records determined by the organisation to be
necessary to ensure the effective planning, operation and
control of processes that relate to its significant environmental
aspects.
Document Control
Document Template (Numbering convention)
Document approval
Document review, update and re-approval
Identification of changes and current revision status
Management of change
Roles and responsibilities
Availability at points of use
Legibility and identification
Identification and distribution of external documents
Management of obsolete documents.
Operational Control

Physically control all activities, functions, products and

processes associated with significant environmental impacts
Operational control must include documented processes, work
instructions and operating procedures defining the manner in
which control will be maintained, on a risk management basis
Control of work practices may form the basis of how these
risks are managed (Which will include E risks)
Operational control extends to significant environmental
aspects of goods & services used by the agency, for
communication to suppliers & contractors.
Operations In-Service
Video 4
Comfort Break
Supply Chain Management
Supply Chain Management
Life Cycle Assessment
Life Cycle Assessment
Life Cycle Assessment
Life cycle assessment (LCA) is a formal process as part of your
EMS to assess the Environmental aspects and impacts
throughout the lifecycle of a product or service
It is used in particular related to purchasing of products or
services that will be embedded as part of a operational control
or life of a facility
For example pollution arising from a production process may
be reduced by changes to raw materials or equipment used in
the process, but the lifecycle impact must be looked at, from
grade to grave.
Importantly this includes the disposal or decommissioning
Even during the earliest stages of a lifecycle or planning, the
assessment of impact at later stages should be considered.
Contract Management
A significant risk to any large organisation or agency is the
utilisation of contractors
Development of a Contract Management Process and
supporting processes, procedures and supporting documents
is of upmost importance if significant Environmental Risks
could come from or be managed by contractors
Assessment of the supply chain, to identify that they meet a
minimum set criteria
Working closely to ensure they understand the agencies EMS
requirements. This may require interface documents to
understand who manages what and in particular during
emergency situations
Continual management and improvement of the supply chain
through performance assurance and improvement
programmes
Contract Management

Demonstrate Contract Management Process

Emergency Preparedness
Preparedness is the processes and procedures in place to
ensure the organisation is prepared for any form of natural or
manmade disasters.
In the next slide we talk of response and management of an
incident or disaster, but the preparedness is in relation to;
– Communication (to all)
– Everyone must no what to do in such a situation
– The protocols are in place and have been tested regularly
– The equipment used and services relied on in a disaster
situation are fully compliant with their requirements
– All possible scenarios are considered
Management is fully engaged
Emergency Response

Processes / Procedures to identify potential for accidents and

emergency situations, appropriately respond to, and minimise
the environmental impact of, accident and emergency
situations
Ensure the appropriate training is provided to the assigned
persons
– Dependent on level within the company this can be
anything from awareness, ER coordinator, through to ER
manager – often many people share these roles.
Test emergency response
Review emergency preparedness & response procedures,
especially after incidents
Crisis Management

Processes / Procedures to identify the method of how the

agency will manage the crisis, including the communication
internally and externally
Ensure the appropriate training is provided to the assigned
persons
– Dependent on level within the company this can be
anything from awareness to command center manager
Test crisis management programme
Review crisis management processes / procedures, especially
after incidents and tests.
Phase 3
• On-site gap analysis (Phase 1)

• Implementation Action Plan identifying responsibilities (Phase 1)

• Document EMS Policy, Aspects & Impacts and Objectives (Phase 2)

• Document EMS processes and procedure (Phase 2)

• Create supporting documents, templates, guidance and records (Phase 2)

• ‘Health Check’ utilising Implementation Action Plan for ‘progression’ (all phases – see
Phase 1 for explanation)

• Internal audit of ‘implemented’ system (Phase 3)

• Management Review of ‘implemented’ system (Phase 3)

• Certification management (Phase 4)

137
Management Review
Complete EMS should be reviewed by top management on a regular basis.
Management decide the ‘frequency of review (usually anything from quarterly to once
a year to review all system)
Management reviews are not implementation status meetings … they are system
effectiveness review sessions
Review looks at data over time to see if the desired results (objectives and plans) are
being achieved … and taking action if/when needed (this must be factual data)
Management reviews make management systems dynamic!!! If they did not take
place then the systems become static and ineffective

138
Review of Implementation

To be effective, management reviews should be well prepared i.e. agenda, data/trends

etc
Allows top management to assess the effectiveness of the Management System based
on the policy, objectives and to define the opportunities for improvement and the need
for changes
Attendees must come with data/trends … know what it means … and be prepared to
offer related recommendations
The results of management reviews should be in the form of specific actions, ensuring
that improvements are made in products/services and processes/systems, and that
resource needs are identified

139
Review of Implementation

Management review outputs can also set the direction for the future;
new/revised policy can be considered
improvement objectives can be established
specific improvement initiatives can be agreed
Depends on how the company operates the process
Many companies split their meeting to 4 quarterly meetings each one covering a
certain part of the Management System
The meeting is often best being part of other business / operational / management
systems meetings (HS / Q)
The output of the review meeting is in the form of a Management Review
Report.
The report should be used to drive changes in the system for continual
improvement and should be shared with other sites and interested parties

140
Monitoring and Measurement
Evaluation of Compliance
Nonconformity

Identify actual & potential nonconformities

– From employee engagement
– Incident or accident
– Internal Audit
– External Audit

Take action to stop / correct nonconformities and mitigate

environmental impact – immediately if impact is significant
Short term actions should be following emergency / incident
response processes and procedures
Root Cause Corrective Action

Identify actual & potential nonconformities

Investigate nonconformities & determine root cause
– Ensure person or team have the necessary RCCA training
Take corrective action to avoid recurrence (consider does
action prevent occurrence in the future
Review effectiveness of action taken, if not long term effective
then take appropriate measures
Consider sharing with other sites or peers
Corrective Action
Control of Records
Internal Audit
Establish & implement internal audit program to:
– evaluate conformity with requirements of EMS &
international standard
– evaluate effectiveness of EMS
– opportunity for improvement
– provide information to top management

More during Auditor Training

Questions?
Environmental Management System (EMS)

Implementation Training

Aligned to ISO 14001:2015

Delivered by: Chris Docherty

14
Steps to Establish an EMS
1. Obtain commitment from top management.
2. Define responsibilities, appoint management team or
delegate to a representative(s), establish EMS steering
committee, develop implementation plan, initial training on
EMS.
3. Planning—identify environmental aspects, legal & other
requirements; formulate environmental policy; establish
environmental objectives & targets & programs.
4. Implementation & operation—develop documentation &
processes
5. Checking—develop processes for monitoring & measurement
& corrective & preventive action
6. Develop and deliver presentation on awareness of the EMS in
the agency.
Steps to Establish an EMS

7. Establish internal audit program, including training; conduct

initial internal audit to evaluate conformity to requirements of
ISO 14001, including evaluation of compliance
8. Follow up internal audit with improvements to system
9. Conduct initial management review of EMS
10. Implement improvements from management review
11. Continuous communication and employee engagement to
ensure effective implementation of the system
12. Ongoing analysis, engagement and improvement
Integration

In some organisations it will be beneficial both administratively

and for the purpose of expanding knowledge to combine both the
environmental and safety case in order to produce a single set of
information.
The advantages of combining the two may be outweighed by the
disadvantages, which may result in overly complex
documentation, management resource and increased
administrative burdens.
It may be an area to consider however.
Core System
Establishing Continual Review

Continual
Review
Continual Improvement
Continual Improvement

Plan
– To determine scope of the system during the initial phase,
which will continually develop throughout the lifecycle
Do
– To develop appropriate documentation and assign
responsibilities in order to ensure that relevant issues are
managed effectively
Check
– Period monitoring and checking to ensure the system is
working efficiently and effectively to meet the
requirements
Act
– Appropriate measures to rectify any shortfalls and updating
where the circumstances change or incidents / findings
need actions taken
Phase 4
• On-site gap analysis (Phase 1)

• Implementation Action Plan identifying responsibilities (Phase 1)

• Document EMS Policy, Aspects & Impacts and Objectives (Phase 2)

• Document EMS processes and procedure (Phase 2)

• Create supporting documents, templates, guidance and records (Phase 2)

• ‘Health Check’ utilising Implementation Action Plan for ‘progression’ (all phases – see
Phase 1 for explanation)

• Internal audit of ‘implemented’ system (Phase 3)

• Management Review of ‘implemented’ system (Phase 3)

• Certification management (Phase 4)

157
Steps to Gaining Certification

1. Apply to UKAS accredited certification body for ISO 14001

certification
2. External comprehensive documentation review & preliminary
audit to evaluate readiness for certification (Stage 1)
3. Implement improvements from documentation review &
preliminary audit
4. Certification audit (Stage 2)
Steps to Gaining Certification

5. Management review, & implementation of further improvements

6. Plan corrective action in response to any nonconformities raised
7. Certification granted for 3 years
8. Surveillance audits initially 6-monthly then annually
9. Regular management reviews
10. Triennial recertification audits.
Comfort Break
Electronic BMS Demo
External Resources
Model environmental management system for government
agencies.
International standards ISO 14001:2015, ISO 14004:2004, ISO
19011:2003
Training on environmental management systems and auditing
Consultancy to assist with development of the EMS
Software to simply the whole process
Conformity assessment bodies to certify the EMS to the
requirements of ISO 14001:2015.
External Resources
External Resources
Other Useful Websites
www.netregs.gov.uk This aims to make environmental legislation
clearer and provides generic environmental management and sector-
specific guidance
www.legislation.gov.uk Another website from which UK Acts of
Parliament, Statutory Instruments and Explanatory Notes can be
downloaded. Also includes new and draft legislation
www.iema.net Institute of Environmental Management and
Assessment
http://ec.europa.eu/environment/gpp/index_en.htm European
Commission Green Public Procurement webpages
www.aof.mod.uk Acquisition Operating Framework webpages, which
provides information on policy and good practice for the MOD and
industry partners concerned with acquisition
http://wwf.panda.org/ World Wide Fund for Nature
Internal Resources
Management team (Steering committee) or delegated
representative to co-ordinate establishment, implementation &
maintenance of EMS & report to top management.
Steering committee to establish the EMS, and possibly continue
to maintain the EMS.
Training of management representative & steering committee
members on environmental management systems & ISO 14001.
Training of management representative & internal auditors on
internal auditing.
Delivery of awareness training on environmental management
system to all staff.
Possible resources for waste segregation, energy & water
efficiency measures, and other environmental action plans.
Implementation Barriers
Lack of management support and commitment
Lack of support from staff
Inadequate resources
Inadequate awareness and culture within the organisation
Lack of clear responsibilities and authorities
EMS too complex for the organisation
Organisational politics & culture within functional areas
Constraints
Best Available Techniques (BAT)
Bat is a concept applied by regulations to limit the pollutant
discharges from industrial processes, with particular regard to
the preferred abatement strategy
The best technically feasible option under the circumstances, to
reduce the environmental impacts arising from a process or an
organisations activities.
Best Practicable Means (BPM)
Refers to options that are financially and technologically
feasible. It can include such factors as the design installations,
maintenance and manner or period of operation for plant and
machinery, construction and maintenance of including
buildings.
It looks at areas where money, time or trouble are
disproportionate to the benefits likely to be achieved. Lack of
finance is not a reasonable defence.
Final Words
An environmental management system takes time and
commitment from the entire organisation.

Effective running of an EMS will provide ongoing

environmental benefits, cost savings and contribute to
building an attractive work place culture.

The process approach to management systems allows for

easier adoption, simpler understanding and importantly
identification of roles and responsibilities against tasks
associated with the requirements of the EMS. The use of
electronic tools to simplify these steps, make for a more
efficient and well controlled system.
Questions?
Thank You

Contact Details;
[email protected]
[email protected]