Environmental Management Quick and Easy - Creating an Effective ISO 14001 EMS in Half the Time

297 Pages·2007·2.95 MB·English

by  Kausek, Joe

Environmental
Management
Quick and Easy
Creating an Effective
ISO 14001 EMS in Half the Time
Joe Kausek
ASQ Quality Press
Milwaukee, Wisconsin
American Society for Quality, Quality Press, Milwaukee 53203
© 2007 by American Society for Quality
All rights reserved. Published 2006
Printed in the United States of America
12 11 10 09 08 07 06 5 4 3 2 1
Library of Congress Cataloging-in-Publication Data
Kausek, Joe, 1957–
Environmental management quick and easy : creating an effective ISO 14001
EMS in half the time / Joe Kausek.
p. cm.
Includes bibliographical references and index.
ISBN-13: 978-0-87389-705-1 (hard cover : alk. paper)
1. Industrial management—Environmental aspects. 2. Environmental
management. I. Title.

HD30.255.K38 2006
658.4′083—dc22
2006032728
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Preface
T
he current concern for the environment has never been greater. Turn
on any newscast, read any newspaper, or scan any of the top stories
on your favorite Internet site and you’re likely to find at least one
article discussing global warming, the change in climate, the rising price
and scarcity of oil, or the need for alternative energy sources. When I first
got involved in developing and implementing environmental management
systems (EMSs) back in the 1990s, much of the debate centered on whether
global warming was real. Now, however, while almost all scientists agree
that humans are impacting on the environment, the debate now centers on
what the effects of this impact will be. Interesting enough, most scientists
also agree that these effects, in whatever form they take, will for practical
purposes be irreversible if we do not act quickly.
But what can we do right now? Passing stricter environmental regula-
tions may be part of the answer, but these are typically costly and have great
economic impact. In addition, many of the current environmental issues
have developed over the past 30 years despite the passage of a multitude of
laws. Although stricter regulations in certain key areas are needed, clearly
we will not be able to regulate our way out of our current dilemma.
The answer is voluntary environmental performance improvement
beyond compliance. The goal is to achieve sustainable development, which
is economic development that meets the needs of today’s generation with-
out impacting on the ability of future generations to meet their own needs.
It was for this reason that the international community developed ISO
14001. The ISO 14001 standard provides a model for companies to use in
developing a management system that moves beyond compliance toward
sustainable development. The real benefit of ISO 14001 is that it can signifi-
cantly improve an organization’s environmental performance while greatly
improving its bottom line at the same time. Unfortunately, most companies
that have implemented ISO 14001 have not yet moved beyond compliance
and have not yet realized these dual benefits.
xvii
xviii Preface
My motivation in writing this book was to demonstrate that the design
and implementation of an ISO 14001 EMS need not be complicated or
costly. The focus is on getting a basic yet effective EMS in place with mini-
mal effort so that the organization can move quickly toward the environ-
mental performance improvements that will be needed to meet the growing
international demand for corporate environmental stewardship. Throughout
this book, the focus is on the actions needed to generate corporate-wide sup-
port for and involvement in environmental performance improvement. It is
my wish that readers understand not only what they need to do and how to
do it but also why they should do it and how to infuse this passion to others
within their company.
In order to support the goal of fast and easy ISO 14001 implemen-
tation, I have provided dozens of tools, checklists, procedure templates,
and spreadsheets I have developed and used during dozens of ISO 14001
implementations in organizations of all sizes. These tools not only speed the
design and implementation of the EMS, they also provide for efficient and
effective ongoing maintenance of the system. The goal is to minimize the
overhead needed to manage and maintain the system so that more time and
resources are available for actions that actually benefit the environment.
By no means do the chapters in this book or the tools on the CD rep-
resent the only or, in some cases, even the best way to implement an EMS
in any specific company. I would be very grateful for any feedback or sug-
gestions on this book or the tools provided. I can be contacted through
[email protected].
Contents
CD-ROM Contents ...................................... ix
List of Figures and Tables ................................. xiii
Preface ............................................... xvii
Part I EMS Overview . . . . . . . . . . . . . . . . . . 1
Chapter 1 Management Systems Overview . . . . . . . . . . . . . . 3
The Purpose of a Management System ........... 4
The Case for ISO 14001 ...................... 4
Management System Evolution ................ 11
Chapter 2 EMSs and the ISO 14001:2004 Standard . . . . . . . 15
ISO 14001 Basics ........................... 15
Introductory Information ..................... 16
Scope ..................................... 18
Normative References ........................ 19
Terms and Definitions ........................ 19
Clause 4.1 General Requirements ............... 21
Clause 4.2 Environmental Policy ............... 22
Clause 4.3.1 Environmental Aspects ............. 23
Clause 4.3.2 Legal and Other Requirements. . . . . . . 28
Clause 4.3.3 Objectives, Targets, and Programs .... 29
Clause 4.4.1 Resources, Roles, Responsibility,
and Authority ........................... 31
Clause 4.4.2 Competence, Training, and Awareness 32
Clause 4.4.3 Communication .................. 32
Clause 4.4.4 Documentation ................... 33
Clause 4.4.5 Control of Documents ............. 34
v
vi Contents
Clause 4.4.6 Operational Control ............... 35
Clause 4.4.7 Emergency Preparedness and
Response .............................. 36
Clause 4.5.1 Monitoring and Measurement ....... 36
Clause 4.5.2 Evaluation of Compliance .......... 37
Clause 4.5.3 Nonconformity, Corrective and
Preventive Action ........................ 37
Clause 4.5.4 Control of Records ................ 37
Clause 4.5.5 Internal Audit .................... 38
Clause 4.6 Management Review ................ 38
Summary .................................. 39
Part II EMS Design and Deployment . . . . . . 41
Chapter 3 The Planning Phase . . . . . . . . . . . . . . . . . . . . . . . . . 43
Project Overview ............................ 43
Planning Your EMS .......................... 45
Make the Initial Commitment .................. 45
Appoint the Management Representative ......... 48
Determine the EMS Scope .................... 49
Create the CFT ............................. 49
Create a Project Plan ......................... 50
Provide Initial Training ....................... 53
Draft the Environmental Policy Statement ........ 53
Develop a Communication Plan ................ 55
Summary .................................. 56
Chapter 4 The Design and Development Phase . . . . . . . . . . . 59
Identifying Regulatory Requirements ............ 59
Other Requirements ......................... 62
Organizing and Planning the Initial
Environmental Review .................... 65
Initial Team Training ......................... 73
Establishing Criteria for Determining Significance . 73
Environmental Planning Workbook ............. 77
Conducting the Initial Environmental Review ..... 81
Determining Significant Environmental Aspects ... 86
Performing the Assessment .................... 89
Other Methods for Determining Significance ...... 97
Identifying Operational Controls ............... 98
Identifying Environmental Metrics .............. 103
Reviewing and Developing Emergency
Preparedness and Response Procedures ...... 107
Contents vii
Developing Common Support Processes ......... 108
Communications Process ..................... 115
Vendor and Subcontractor Control .............. 119
Calibration Systems ......................... 122
Training, Competency, and Awareness System .... 124
Nonconformance, Corrective and Preventive
Action System .......................... 131
Internal Audit Process ........................ 136
Summary .................................. 141
Chapter 5 EMS Deployment . . . . . . . . . . . . . . . . . . . . . . . . . . 143
Reviewing, Approving, and Issuing System
Policies and Procedures ................... 144
Deploying Other Operational Controls ........... 146
Providing Initial Awareness Training ............ 147
Providing Activity-Specific Training ............ 148
Initiating Environmental Monitoring ............ 149
Conducting the First Round of Internal
Management System Audits ............... 150
Summary .................................. 158
Part III EMS Improvement . . . . . . . . . . . . . . . 159
Chapter 6 The Improvement Phase . . . . . . . . . . . . . . . . . . . . . 161
Preparing for the Management Review. . . . . . . . . . . 161
Conducting the Management Review ............ 167
Environmental Objectives, Targets, and
Management Programs ................... 170
Summary .................................. 175
Chapter 7 Conducting EMS Audits . . . . . . . . . . . . . . . . . . . . . 177
ISO 14001 Revisited ......................... 177
Audit Scope ................................ 180
Key Audit Points ............................ 181
Environmental Planning ...................... 182
Audit Strategy and Key Audit Points ............ 183
Operational Control ......................... 200
Audit Strategy and Key Audit Points ............ 207
Key Support Processes ....................... 218
Summary .................................. 224
viii Contents
Chapter 8 Moving beyond Compliance . . . . . . . . . . . . . . . . . . 225
Pollution Prevention ......................... 226
EPA WasteWise Program ..................... 228
EPA Energy Star Program ..................... 236
EPA Green Power Partnership ................. 243
EPA Greenscapes Program .................... 244
Resource Conservation Challenge .............. 247
EPA’s Design for the Environment Program ....... 250
Internal Environmental Improvement Projects ..... 251
Small-Business Example: Oetiker—USA ........ 259
Summary .................................. 267
Notes ................................................. 269
Index ................................................. 271
Part I
EMS Overview
P
art I examines the structure and intent of the ISO 14001 management
system standard. Chapter 1 looks at what any management system
should do and then briefly reviews the structure of ISO 14001.1 Of
particular note is the section that discusses management system evolution
from conformance through effectiveness and toward improvement.
Chapter 2 builds on Chapter 1 by examining the ISO 14001:2004 model
in more detail. The structure, interactions, and basic principles of environ-
mental management as defined by ISO 14001:2004 are explored along with
some of the important environmental factors driving organizations to imple-
ment comprehensive EMSs.
1
Management Systems
Overview
I
n general, any management system is composed of three primary
processes:
• The core processes, which focus on the primary purpose or outputs
of the system and the processes that produce them. In the EMS it
is the identification of significant environmental aspects along with
the methods and means to control their related activities and to mini-
mize or eliminate any adverse environmental impacts. The processes
used to determine, assign, and monitor environmental improvement
objectives would also classify as core processes in that they directly
contribute to the core purpose of the EMS.
• The key supporting processes, which provide direct inputs into the
core processes or measure the results of the outputs. These include
the processes used to maintain an awareness of legal and other
requirements, ensure competency and awareness of employees, pro-
vide an adequate infrastructure, communicate important EMS infor-
mation, and monitor and evaluate environmental performance.
• The management system supporting processes, such as document
control, record control, and internal auditing.
For a management system to be effective, these three components must be
aligned and must perform as intended. While most of the attention is given
to the core processes, failure to adequately monitor or control any of the
supporting processes will impact on the effectiveness of the overall system.
Now we will look at what a management system is supposed to do.