1page tÜv sÜd management service division american society for quality’s 2005 national energy...

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Management Service Division

American Society for Quality’s 2005 National Energy and Environmental Conference

TÜV America

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Management Service Division

ISO 14001:2004 Overview

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Presented by: James W. Melloni, Jr.

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TÜV America

Presented By:

Jim MelloniLead Auditor

TÜV America5 Cherry Hill Drive

Danvers, Massachusetts 01923

Phone: (978) 739-7062 Fax: (978) 762-8414

E-Mail: [email protected]

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Why was ISO 14001 revised?

• It was due for revision, ISO requires that all management system standards undergo periodic revision

• To enhance compatibility with ISO 9001:2000

• Revision allows opportunity to clarify requirements in the 1996 version and incorporate needed changes

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ISO 14001:1996

4.1 General Requirements

The organization shall establish and maintain an environmental management system, the requirements of which are described in the whole of clause 4.

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ISO 14001:2004

4.1 General Requirements

The organization shall establish, document, implement, maintain and continually improve an environmental management system in accordance with the requirements of this International Standard and determine how it will fulfill these requirements.

The organization shall define and document the scopescope of its

environmental management system.

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4.2 Environmental Policy

ISO 14001: 1996

Top management shall define the organization's environmental policy and ensure that it:

a) is appropriate to the nature, scale and environmental impacts of its activities, products or services;

b) includes a commitment to continual improvement and prevention of pollution;

ISO 14001: 2004

Top management shall define the organization's environmental policy and ensure that, within the defined scope of its environmental management system, it:

a) is appropriate to the nature, scale and environmental impacts of its activities, products and services,

b) includes a commitment to continual improvement and prevention of pollution,

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ISO 14001: 1996

c) includes a commitment to comply with relevant environmental legislation and regulations, and with other requirements to which the organization subscribes;

d) provides the framework for setting and reviewing environmental objectives and targets;

ISO 14001: 2004

c) includes a commitment to comply with applicable legal requirements and with other requirements to which the organization subscribes which relate to its environmental aspects,

d) provides the framework for setting and reviewing environmental objectives and targets,

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ISO 14001: 1996

e) is documented, implemented and maintained and communicated to all employees;

f) is available to the public.

ISO 14001: 2004

e) is documented, implemented and maintained

f) is communicated to all persons working for or on behalf of the organization, and

g) is available to the public.

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4.3.1 Environmental Aspects

ISO 14001: 1996

The organization shall establish and maintain (a) procedure(s)

to identify the environmental aspects of its activities, products or services

that it can control and over which it can be expected to have an influence,

ISO 14001: 2004

The organization shall establish, implement and maintain a procedure(s)

a) to identify the environmental aspects of its activities, products and services within the defined scope of the environmental management system that it can control and those that it can influence taking into account planned or new developments, or new or modified activities, products and services, and

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4.3.1 Environmental Aspects

ISO 14001: 1996

in order to determine those which have or can have significant impacts on the environment.

The organization shall ensure that the aspects related to these significant impacts are considered in setting its environmental objectives.

The organization shall keep this information up-to-date.

ISO 14001: 2004

b) to determine those aspects that have or can have significant impact(s) on the environment (i.e. significant environmental aspects).

The organization shall document this information and keep it up to date.

The organization shall ensure that the significant environmental aspects are taken into account in establishing, implementing and maintaining its environmental management system.

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4.3.2 Legal and Other Requirements

ISO 14001: 1996

The organization shall establish and maintain a procedure

to identify and have access to legal and other requirements to which the organization subscribes,

ISO 14001: 2004

The organization shall establish, implement and maintain a procedure(s)

a) to identify and have access to the applicable legal requirements and other requirements to which the organization subscribes related to its environmental aspects, and

Connects the applicable legal requirements and other requirements to the organization’s environmental aspects

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4.3.2 Legal and Other Requirements

ISO 14001: 1996

that are applicable to the environmental aspects of its activities, products or services.

ISO 14001: 2004

b) to determine how these requirements apply to its environmental aspects.

The organization shall ensure that these applicable legal requirements and other requirements to which the organization subscribes are taken into account in establishing, implementing and maintaining its environmental management system.

Requires detail of the applicable regulation, 40CFRxxx.y

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4.3.3 Objectives, Targets and Programme(s)

ISO 14001: 19964.3.3 Objectives and targets

The organization shall establish and maintain documented environmental objectives and targets, at each relevant function and level within the organization.

ISO 14001: 20044.3.3 Objectives, targets and programme(s)

The organization shall establish, implement and maintain documented environmental objectives and targets, at relevant functions and levels within the organization.

The objectives and targets shall be measurable, where practicable, and consistent with the environmental policy, including the commitments to prevention of pollution, to compliance with applicable legal requirements and with other requirements to which the organization subscribes, and to continual improvement.

ISO 14001:2004 Combines 4.3.3 and 4.3.4

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ISO 14001: 19964.3.3 Objectives and targets

When establishing and reviewing its objectives,

an organization shall consider the legal and other requirements,

its significant environmental aspects, its technological options and its financial, operational and business requirements, and the views of interested parties. The objectives and targets shall be consistent with the environmental policy, including the commitment to prevention of pollution.


When establishing and reviewing its objectives and targets,

an organization shall take into account the legal requirements and other requirements to which the organization subscribes, and

its significant environmental aspects. It shall also consider its technological options, its financial, operational and business requirements, and the views of interested parties.

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ISO 14001: 19964.3.4 Environmental management program(s)

The organization shall establish and maintain (a) program(s) for achieving its objectives and targets. It shall include

a) designation of responsibility for achieving objectives and targets at each relevant function and level of the organization;

b) the means and time-frame by which they are to be achieved.

If a project relates to new developments and new or modified activities, products or services, program(s) shall be amended where relevant to ensure that environmental management applies to such projects.


The organization shall establish, implement and maintain a programme(s) for achieving its objectives and targets. Programme(s) shall include

a) designation of responsibility for achieving objectives and targets at relevant functions and levels of the organization, and

b) the means and time-frame by which they are to be achieved.

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4.4.1

ISO 14001:2004 new title

ISO 14001: 19964.4.1 Structure and responsibility

Roles, responsibility and authorities shall be defined, documented and communicated in order to facilitate effective environmental management.

Management shall provide resources essential to the implementation and control of the environmental management system. Resources include human resources and specialized skills, technology and financial resources.

ISO 14001: 20044.4.1 Resources, roles, responsibility and

authority

Management shall ensure the availability of resources essential to establish, implement, maintain and improve the environmental management system. Resources include human resources and specialized skills, organizational infrastructure, technology and financial resources.

Roles, responsibilities and authorities shall be defined, documented and communicated in order to facilitate effective environmental management.

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4.4.1


The organization’s top management shall appoint (a) specific management representative(s) who, irrespective of other responsibilities, shall have defined roles, responsibilities and authority for

a) ensuring that environmental management system requirements are established, implemented and maintained in accordance with this International Standard;


authority

The organization's top management shall appoint a specific management representative(s) who, irrespective of other responsibilities, shall have defined roles, responsibilities and authority for

a) ensuring that an environmental management system is established, implemented and maintained in accordance with the requirements of this International Standard,

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4.4.1


b) Reporting on the performance of the environmental management system to top management for review and as a basis for improvement of the environmental management system.


authority

b) reporting to top management on the performance of the environmental management system for review, including recommendations for improvement.

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4.4.2 Competence, training and awareness

ISO 14001: 19964.4.2 Training, awareness and competence

The organization shall identify training needs. It shall require that all personnel whose work may create a significant impact upon the environment, have received appropriate training.

ISO 14001: 20044.4.2 Competence, training and awareness

The organization shall ensure that any person(s) performing tasks for it or on its behalf that have the potential to cause a significant environmental impact(s) identified by the organization is (are) competent on the basis of appropriate education, training or experience, and shall retain associated records.

The organization shall identify training needs associated with its environmental aspects and its environmental management system. It shall provide training or take other action to meet these needs, and shall retain associated records.

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4.4.2


It shall establish and maintain procedures to make its employees or members at each relevant function an level aware of

a) the importance of conformance with the environmental policy and procedures and with the requirements of the environmental management system;


The organization shall establish, implement and maintain a procedure(s) to make persons working for it or on its behalf aware of

a) the importance of conformity with the environmental policy and procedures and with the requirements of the environmental management system,


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4.4.2


b) The significant environmental impacts, actual or potential, of their work activities and the environmental benefits of improved personal performance;

c) Their roles and responsibilities in achieving conformance with the environmental policy and procedures and with the requirements of the environmental management system, including emergency preparedness and response requirements;


b) the significant environmental aspects and related actual or potential impacts associated with their work, and the environmental benefits of improved personal performance,

c) their roles and responsibilities in achieving conformity with the requirements of the environmental management system, and


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4.4.2


d)The potential consequences of departure from specified operating procedures.

Personnel performing the tasks which can cause significant environmental impacts shall be competent on the basis of appropriate education, training and/ or experience


d) the potential consequences of departure from specified procedures.


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ISO 14001:1996

4.4.3 Communication

With regard to its environmental aspects and environmental management system, the organization shall establish and maintain procedures for

a) internal communication between the various levels and functions of the organization;

b) receiving, documenting and responding to relevant communication from external interested parties.

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ISO 14001:1996

4.4.3 Communication

The organization shall consider processes for external communication on its significant environmental aspects and record its decision.

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ISO 14001:2004

4.4.3 Communication

With regard to its environmental aspects and environmental management system, the organization shall establish, implement and maintain a procedure(s) for

a) internal communication among the various levels and functions of the organization,

b) receiving, documenting and responding to relevant communication from external interested parties.

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ISO 14001:2004

4.4.3 Communication

The organization shall decide whether to communicate externally about its significant environmental aspects, and shall document its decision. If the decision is to communicate, the organization shall establish and implement a method(s) for this external communication.

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ISO 14001:1996

The organization shall establish an maintain information, in paper or electronic form, to

a) describe the core elements of the management system and their interaction;

b) provide direction to related documentation

4.4.4 Environmental management system documentation

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ISO 14001:2004

The environmental management system documentation shall include

a) the environmental policy, objectives and targets,

b) description of the scope of the environmental management system,

c) description of the main elements of the environmental management system and their interaction, and reference to related documents,

d) documents, including records, required by this International Standard, and

e) documents, including records, determined by the organization to be necessary to ensure the effective planning, operation and control of processes that relate to its significant environmental aspects.

4.4.4 Documentation

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4.4.5 Control of documents

ISO 14001: 19964.4.5 Document control

The organization shall establish and maintain procedures for controlling all documents required by this International Standard to ensure that

a) they can be located;

ISO 14001: 20044.4.5 Control of documents

Documents required by the environmental management system and by this International Standard shall be controlled. Records are a special type of document and shall be controlled in accordance with the requirements given in 4.5.4.

The organization shall establish, implement and maintain a procedure(s) to:

a) approve documents for adequacy prior to issue,

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b) they are periodically reviewed, revised as necessary and approved for adequacy by authorized personnel;

c) the current versions of relevant documents are available at all locations where operations essential to the effective functioning of the environmental management system are performed;


b) review and update as necessary and re-approve documents,

c) ensure that changes and the current revision status of documents are identified,

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d) obsolete documents are promptly removed from all points of issue and points of use, or otherwise assured against unintended use;

e) any obsolete documents retained for legal and/or knowledge preservation purposes are suitably identified.


d) ensure that relevant versions of applicable documents are available at points of use,

e) ensure that documents remain legible and readily identifiable, ISO 14001:2004(E)

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Documentation shall be legible, dated (with dates of revision) and readily identifiable, maintained in an orderly manner and retained for a specified period. Procedures and responsibilities shall be established and maintained concerning the creation and modification of the various types of documents.


f) ensure that documents of external origin determined by the organization to be necessary for the planning and operation of the environmental management system are identified and their distribution controlled, and

g) prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose.

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4.4.6 Operational control

ISO 14001: 1996

The organization shall identify those operations and activities that are associated with the identified significant environmental aspects in line with its policy, objectives and targets. The organization shall plan these activities, including maintenance, in order to ensure that they are carried out under specified conditions by:

ISO 14001: 2004

The organization shall identify and plan those operations that are associated with the identified significant environmental aspects consistent with its environmental policy, objectives and targets, in order to ensure that they are carried out under specified conditions, by:

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ISO 14001: 1996

a) establishing and maintaining documented procedures to cover situations where their absence could lead to deviations from the environmental policy and the objectives and targets;

b) stipulating operating criteria in the procedures;

ISO 14001: 2004

a) establishing, implementing and maintaining a documented procedure(s) to control situations where their absence could lead to deviation from the environmental policy, objectives and targets, and

b) stipulating the operating criteria in the procedure(s), and

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ISO 14001: 1996

c) establishing and maintaining procedures related to the identifiable significant environmental aspects of goods and services used by the organization and communicating relevant procedures and requirements to suppliers and contractors.

ISO 14001: 2004

c) establishing, implementing and maintaining procedures related to the identified significant environmental aspects of goods and services used by the organization and communicating applicable procedures and requirements to suppliers, including contractors.

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4.4.7 Emergency preparedness and response

ISO 14001: 1996

The organization shall establish and maintain procedures to identify potential for and respond to accidents and emergency situations, and for preventing and mitigating the environmental impacts that may be associated with them.

ISO 14001: 2004

The organization shall establish, implement and maintain a procedure(s) to identify potential emergency situations and potential accidents that can have an impact(s) on the environment and how it will respond to them.

The organization shall respond to actual emergency situations and accidents and prevent or mitigate associated adverse environmental impacts.

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4.4.7 Emergency preparedness and response

ISO 14001: 1996

The organization shall review and revise, where necessary, its emergency preparedness and response procedures, in particular, after the occurrence of accidents or emergency situations.

The organization shall also periodically test such procedures where practicable

ISO 14001: 2004

The organization shall periodically review and, where necessary, revise its emergency preparedness and response procedures, in particular, after the occurrence of accidents or emergency situations.

The organization shall also periodically test such procedures where practicable.

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4.5.1 Monitoring and measurement

ISO 14001: 1996

The organization shall establish and maintain documented procedures to monitor and measure, on a regular basis, the key characteristics of its operations and activities that can have a significant impact on the environment.

This shall include the recording of information to track performance, relevant operational controls and conformance with the organization’s environmental objectives and targets.

ISO 14001: 2004

The organization shall establish, implement and maintain a procedure(s) to monitor and measure, on a regular basis, the key characteristics of its operations that can have a significant environmental impact.

The procedure(s) shall include the documenting of information to monitor performance, applicable operational controls and conformity with the organization's environmental objectives and targets.

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4.5.1 Monitoring and measurement

ISO 14001: 1996

Monitoring equipment shall be calibrated and maintained and records of this process shall be retained according to the organization's procedures.

The organization shall establish and maintain a documented procedure for periodically evaluating compliance with relevant environmental legislation and regulations

ISO 14001: 2004

The organization shall ensure that calibrated or verified monitoring and measurement equipment is used and maintained and shall retain associated records.

ISO 14001:2004 removes“compliance with relevant environmental legislation and regulations”

and provides new sub-clause 4.5.2

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4.5.2 Evaluation of compliance

ISO 14001: 19964.5.1 Monitoring and measurement (3rd paragraph)

The organization shall establish and maintain a documented procedure for periodically evaluating compliance with relevant environmental legislation and regulations

ISO 14001: 20044.5.2.1

Consistent with its commitment to compliance, the organization shall establish, implement and maintain a procedure(s) for periodically evaluating compliance with applicable legal requirements.

The organization shall keep records of the results of the periodic evaluations.

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4.5.2 Evaluation of compliance

ISO 14001:2004

4.5.2.2

The organization shall evaluate compliance with other requirements to which it subscribes. The organization may wish to combine this evaluation with the evaluation of legal compliance referred to in 4.5.2.1 or to establish a separate procedure(s).

The organization shall keep records of the results of the periodic evaluations.

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ISO 14001:1996

The organization shall establish and maintain procedures for defining responsibility and authority for handling and investigating nonconformance, taking action to mitigate any impacts caused, and for initiating and completing corrective and preventive action.

Any corrective or preventive action taken to eliminate the causes of actual and potential nonconformances shall be appropriate to the magnitude of problems and commensurate with the environmental impact encountered.

The organization shall implement and record any changes in the documented procedures resulting from corrective and preventive action

4.5.2 Nonconformance and corrective and preventive action

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ISO 14001:2004

The organization shall establish, implement and maintain a procedure(s) for dealing with actual and potential nonconformity(ies) and for taking corrective action and preventive action. The procedure(s) shall define requirements for:

a) identifying and correcting nonconformity(ies) and taking action(s) to mitigate their environmental impacts,

b) investigating nonconformity(ies), determining their cause(s) and taking actions in order to avoid their recurrence,

c) evaluating the need for action(s) to prevent nonconformity(ies) and implementing appropriate actions designed to avoid their occurrence,

4.5.3 Nonconformity, corrective action and preventive action

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ISO 14001:2004

d) recording the results of corrective action(s) and preventive action(s) taken, and

e) reviewing the effectiveness of corrective action(s) and preventive action(s) taken.

Actions taken shall be appropriate to the magnitude of the problems and the environmental impacts encountered.

The organization shall ensure that any necessary changes are made to environmental management system documentation.

4.5.3 Nonconformity, corrective action and preventive action

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ISO 14001

ISO 14001: 19964.5.3 Records

The organization shall establish and maintain procedures for the identification, maintenance and disposition of environmental records. These records shall include training records and the results of audits and reviews.

ISO 14001: 20044.5.4 Control of records

The organization shall establish and maintain records as necessary to demonstrate conformity to the requirements of its environmental management system and of this International Standard, and the results achieved.

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ISO 14001

ISO 14001: 19964.5.3 Records

Environmental records shall be legible, identifiable and traceable to the activity, product or service involved. Environmental records shall be stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration or loss. Their retention times shall be established and recorded.

Records shall be maintained, as appropriate to the system and to the organization, to demonstrate conformance to the requirements of this International Standard.

ISO 14001: 20044.5.4 Control of records

The organization shall establish, implement and maintain a procedure(s) for the identification, storage, protection, retrieval, retention and disposal of records.

Records shall be and remain legible, identifiable and traceable.

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ISO 14001

ISO 14001: 19964.5.4 Environmental management system audit

The organization shall establish and maintain (a) program(s) and procedures for periodic environmental management system audits to be carried out, in order to

a) determine whether or not the environmental management system:

1) conforms to planned arrangements for environmental management including the requirements of this International Standard;and2) has been properly implemented andmaintained; and

b) provide information on the results of audits to management.

ISO 14001: 2004

4.5.5 Internal audit

The organization shall ensure that internal audits of the environmental management system are conducted at planned intervals to:

a) determine whether the environmental management system

1) conforms to planned arrangements forenvironmental management including therequirements of this International Standard,and2) has been properly implemented and is maintained, and

b) provide information on the results of audits to management.

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ISO 14001

ISO 14001: 19964.5.4 Environmental management system audit

The organization’s audit program, including any schedule, shall be based on the environmental importance of the activity concerned and the results of previous audits. In order to be comprehensive, the audit procedures shall cover the audit scope, frequency and methodologies, as well as the responsibilities and requirements for conducting audits and reporting results.

ISO 14001: 2004

4.5.5 Internal audit

Audit programme(s) shall be planned, established, implemented and maintained by the organization, taking into consideration the environmental importance of the operation(s) concerned and the results of previous audits.

Audit procedure(s) shall be established, implemented and maintained that address the responsibilities and requirements for planning and conducting audits, reporting results and retaining associated records,

— the determination of audit criteria, scope, frequency and methods.

Selection of auditors and conduct of audits shall ensure objectivity and the impartiality of the audit process.

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4.6 Management Review

ISO 14001: 1996

The organization’s top management shall, at intervals it determines, review the environmental management system, to ensure its continuing suitability, adequacy and effectiveness. The management review process shall ensure that the necessary information is collected to allow management to carry out this evaluation. This review shall be documented.

ISO 14001: 2004

Top management shall review the organization's environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness. Reviews shall include assessing opportunities for improvement and the need for changes to the environmental management system, including the environmental policy and environmental objectives and targets. Records of the management reviews shall be retained.

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ISO 14001: 1996

The management review shall address the possible need for changes to policy, objectives and other elements of the environmental management system, in the light of environmental management system audit results, changing circumstances and the commitment to continual improvement

ISO 14001: 2004

Input to management reviews shall include

a) results of internal audits and evaluations of compliance with legal requirements and with other requirements to which the organization subscribes,

b) communication(s) from external interested parties, including complaints,

c) the environmental performance of the organization,

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ISO 14001:2004 continued

d) the extent to which objectives and targets have been met,e) status of corrective and preventive actions,f) follow-up actions from previous management reviews,g) changing circumstances, including developments in legal and

other requirements related to its environmental aspects, andh) recommendations for improvement.

The outputs from management reviews shall include any decisions and actions related to possible changes to environmental policy, objectives, targets and other elements of the environmental management system, consistent with the commitment to continual improvement.

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Do I need to need to rename or renumber my existing documents?

No, your existing document names and numbers can be maintained with only minor revisions needed to meet the revised requirements

FAQ

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FAQ

When do I need to make these changes?

• May 15, 2006

• After this date any certification to ISO 14001:1996 will no longer be recognized

• Until the nonconformances are addressed the certification to ISO 14001:1996 remains valid until May 15, 2006

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FAQ

When do I need to make these changes?

• Registrars are required by the International Accreditation Forum (IAF) to conduct all audits after May 15, 2005 using ISO 14001:2004

– Areas of the management system that do not conform to the new/modified 2001 requirements will be documented on a nonconformity report

– When corrected a revised certificate will be issued

– Usually an additional visit is not necessary

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Conclusion

ISO14001: 2004 “New” Requirement Audit Evidence 4.1 General Requirements “The organization shall define and document the scope of its environmental management system”.

The scope of Registration (as in the QMS) defined in the EMS Manual or similar document. All activities, sites, buildings and property covered by the scope are listed in the documentation.

4.3.2 Legal and other requirements Clarification of connection of organization’s Aspects to the applicable Legal & Other listing.

The Legal & Other Requirements list is established based on the aspects of the organization: trigger points or why the regulation applies is defined. The applicable federal, state and or local regulation is defined as a specific reg or equivalent

4.3.3 Objectives, targets and programs “The objectives and targets shall be measurable, where practicable, and consistent with the environmental policy”.

Depending on the Organization’s aspects, at least one target should be measurable or justified why not. Measurable in this context, refers to quantifiable improvement in pollution reduction, resource conservation, recycle increase, etc

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Conclusion

ISO14001: 2004 “New” Requirement Audit Evidence 4.5.2 Evaluation of compliance: Creates a separate sub-clause to demonstrate importance of compliance audits

A procedure to define how compliance is monitored using the Legal & Other List as a baseline. A record of the Compliance Audit at a prescribed frequency is maintained with appropriate corrective actions. Compliance to Corporate, Industry or Customer requirements is monitored and recorded. Regulatory background of compliance auditor is appropriate and objectivity evident.

4.5.3 Nonconformity, corrective

action and preventive action “c) evaluating the need for action(s) to prevent nonconformities and implementing appropriate actions designed to avoid their occurrence”.

Analysis/ discussions/ interviews are required to support level of corrective/ preventive actions. Environmental “tours” with record for follow-up may be an example of the analysis

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Conclusion

• ISO 14001:2004 changes are more “evolutionary” than “revolutionary”.

• Many existing certified ISO14001: 1996 organizations may

already have evidence of meeting ISO 14001:2004 requirements.

Documentation, Records, Corrective Action, Internal Auditing

and Management Reviews are now closely aligned with ISO 9001:2000. Organizations and Auditors will want to consider the context in which to apply these clauses as related to the Organization’s Environmental Aspects and Impacts.

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