ISO 9001 Standard / ISO 9001 Standards – ISO 9000 Standard / ISO 9000 Standards Certification & Implementation

Save OUR EARTH!!! Go For ISO 14001 Standards – Environmental Management System. If all companies implement ISO 140001 Standards – Environmental Management System in the organization, it will help us to protect our environment.

Preventive Action,

• Define responsibility and authority for handling and investigating nonconformance

• Take action to mitigate any impacts caused by nonconformance

• Initiate and complete the appropriate corrective and preventive action.

ISO 14001:2004 Section 4.5.2 also states that “…any corrective or preventive action taken to eliminate the causes of actual and potential nonconformances must be appropriate to the magnitude of problems and commensurate with the

environmental impact encountered.”

If any changes in the documented procedures result from any corrective and preventive action, you must implement and record these changes.

Nonconformance refers to any issues that do not meet or comply with the requirements established in the EMS or the ISO 14001 standard. Procedures developed under ISO Section 4.5.2 will provide the mechanism to handle

non-conformances and to ensure steps be taken to prevent a recurrence.

The procedures should include the following key steps:

1. Identify the problem

2. Determine the cause

3. Establish the solution

4. Document the solution

5. Implement the solution

6. Record the documentation and implementation of the solution

7. Communicate the solution.

Pre-assessmentRegistration Audit – Stage 2Audit Findings• A review of action taken on nonconformities identified during the previous audit• A review of the continued effectiveness of the management system in its entiretyThe continued applicability to the scope of registration

The pre-assessment audit is an optional activity, outside of the registration process, it is highly encourages that any organization to undertake to evaluate the readiness to undergo the two stage registration process. That would optimally occur prior to the stage 1 and 2 audits.

Unlike the Stage 1 and Stage 2 activities you have full discretion as to which areas the preassessment should focus on and for the length of the pre-assessment. This activity allows your organization to become familiar with the audit process and helps prepare your employees for the registration assessment.

The auditor conducting the pre-assessment will typically return to the organization for the assessment. Similar to a ‘true’ audit, the end result of the pre-assessment will be a documented report identifying findings observed during the audit and a closing meeting to discuss the issues.

The pre-assessment activity allows you to correct any issues prior to beginning the registration process.

Assessment

New requirements for certification bodies have changed the registration process. Registration is now conducted in two distinct visits- Stage One and Stage Two- each of which has defined requirements that are outlined below.

Registration Audit – Stage 1

The stage 1 audit, conducted at your facility, is primarily performed for planning and determining the readiness of an organization to undergo a stage 2 registration audit. It also facilitates communicating any needs and expectations to the organization. Activities performed at a stage 1 audit include:

• Conducting a documentation review – This review determines if the organization’s EMS documentation adequately covers all the requirements of the ISO standard

• A review of the aspects and impacts and their significance and an evaluation of the facility(s) site specific conditions

• A review of your organizations non-conformance, preventive and corrective action system • An overview of applicable regulations

• Interviewing your organization’s personnel to assess their general readiness to undertake a stage 2 audit

• Confirming the applicability of the scope of the organization’s EMS

• Obtaining evidence that internal audits and management reviews are being planned and performed

• Providing focus for the planning of the stage 2 audit

• A major non-conformity relates to the absence or total breakdown of a required process or a number of minor non-conformities listed against similar areas. A major non-conformity at the Registration Audit – Stage 2 would defer recommendation for registration until that major has been closed.

• A minor non-conformity is an observed lapse in your systems ability to meet the requirements of the standard or your internal systems, while the overall process remains in tact.

• An observation or opportunity for improvement relates to a matter about which the Auditor is concerned but which cannot be clearly stated as a non-conformity. Observations also indicate trends which may result in a future non-conformity.

Corrective Action Response

ISO 14001 Standards requires corrective action responses from all Registration Audits. Once certification is achieved, dependant upon the extent and nature of the findings, your organization may be required to submit a corrective action plan, detailing your intent to correct the non conformity.

The auditor may also recommend that your organization submit objective evidence to support the to verify closure may be required.

• Customer and interested parties communications

• Effectiveness of the management system in achieving defined objectives

• The progress of planned continual improvement activities

• Continuing operational control

• A review of any changes made by the organization which may have impact on the registration

• Use of accreditation and certification body logos provided to the organization upon registration

• objectives, targets and programs

• evaluation of compliance

Re-assessment Audits

The accreditation body requires that a recertification audit be carried out every three years. The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of activity.

Recertification audits review the performance of the EMS over the registration period, and include a review of previous surveillance audit records. The recertification audit includes the following: 

•  The continued relevancy of the organization’s policy and objectives

•  The continued effective interaction between the processes of the management system

 • A review of internal audits, management reviews, document changes during this certification period

ISO 14001 provides a logical, common-sense approach for

businesses to adopt. To start it is recommended to carry out an

environmental review of the business and the Annex to the Standard

provides guidance on the approach required. The Standard then

requires a management system to be developed that addresses the

key environmental issues that were identified by the review as being

relevant to the business, through a rational programme of control and

continual improvement.

 There are five key steps to ISO 14001 EMS implementation, and

subsequent operation which are clearly laid out in just three pages of

text.

The five key steps are:

1. Environmental Policy

2. Planning

3. Implementation and Operation

4. Checking and Corrective Action

5. Management Review

 Step 1. Environmental Policy

The company or organisation must write an environmental policy

statement which is relevant to the business activities and approved by

top management. Their full commitment is essential if environmental

management is to work. The ISO 14001 Standard clearly sets out

what to cover in the policy. Often a one page document is sufficient.

Produce a first issue and expect to amend it several times before

assessment and registration as knowledge grows in the company.

Step 2. Planning

Plan what the EMS is to address.

Environmental aspects

First make lists of the environmental aspects (issues) that are relevant

to the business. The environmental review mentioned earlier should

provide most of this information and the Annex to ISO 14001 provides

guidance on the format for doing this.

Consider the inputs, outputs and processes/activities of the business in

relation to;

a) emissions to air

b) releases to water

c) waste management

d) contamination of land

e) use of raw materials and natural resources

f) other local environmental and community issues

Consider both site (direct) and offsite (ie. indirect) aspects that you

control or have influence over (such as suppliers) and in relation to

normal operations, shut-down and start-up conditions and reasonably

foreseeable and emergencies situations.

A simple written procedure is then required to determine which of the

aspects identified are really or probably significant (important) and

training needs, outline the key stages of the project and dates that will

lead to the target achievement).

Gradually apply environmental management programme thinking to

such things as the introduction of new products, new or improved

processes and other key activities of the business. In particular,

ensure existing projects become environmental management projects

where there is a significant environmental impact involved, so that the

EMS becomes company wide. This is a frequent oversight found

during ISO 14001 assessments. The EMS must cover the whole

business – like a net thrown over the whole business and for example

including such things as engineering and maintenance

 Step 3. Implementation and Operation

Structure and responsibility

Appoint one or more people, depending on the size of the business, to

have authority and responsibility for implementing and maintaining the

EMS and provide sufficient resources. (It’s worth monitoring costs

carefully and benchmarking these against key consumption figures so

that improvements delivered by the EMS become apparent).

Training, awareness and competence

Implement a procedure to provide environmental training appropriate

to identified needs for management, the general workforce, project

teams and key plant operators. This can have far reaching benefits

on employee motivation. The workforce is usually very supportive of

moves to achieve genuine environmental improvement. Every

company has its share of cynics but even some of these can be won

over with time. Training will vary from a general briefing for the

workforce to detailed environmental auditor training.

Communication

Implement procedures to establish a system of internal and external

communication to receive environmental information and respond to it

and to circulate new information to people that need to know. This will

include: new legislation, information from suppliers, customers and

neighbours and communications both with employees and for

employees about progress with the EMS. This process can often

generate worthwhile ideas from employees themselves for future

environmental improvements.

Environmental management system documentation

The EMS itself needs to be documented with a manual, procedures

and work instructions but keep it brief and simple. The Standard

clearly states where procedures are required. Eleven system

procedures are required to maintain the EMS, plus operating work

instructions but if you already have ISO 9000, this will cover most of six

of the procedures required and a quality system can certainly be

expanded to cover ISO 14001 as well. Cross reference the EMS

manual to other environmental and quality documents to link the EMS

and to integrate it with existing business practices.

Operational control

Implement additional operating procedures (work instructions) to

control the identified significant (important) aspects of production

processes and other activities. Some of these will already exist but

may need a ‘bit of polish’. Don’t forget significant aspects that relate to

goods and services from suppliers and contractors.

Emergency preparedness and response

Implement procedures to address reasonably foreseeable

emergencies and to minimise their impact should they occur. (eg. Fire,

major spillages of hazardous materials, explosion risks etc.)

Step 4. Checking and Corrective Action

Monitoring and measurement

Implement procedures to monitor and measure the progress of

projects against the targets which have been set, the performance of

processes against the written criteria using calibrated equipment (verify

monitoring records) and regularly check (audit) the company’s

compliance with legislation that has been identified as relevant to your

business. The most effective way of doing this is through regular

progress meetings.

Nonconformance and corrective and preventive action

Implement procedures to enable appropriate corrective and

subsequent preventive action to be taken where breaches of the EMS

occur (eg. process control problems, delays in project process, noncompliance

with legislation, incidents etc.).

Records

Implement procedures to keep records generated by the

environmental management system. The Annex to the Standard

suggests those that are likely to be required.

Environmental management system audit

Implement a procedure to carry out audits of each part of the EMS and

company activities and operations to verify both compliance with the

EMS and with ISO 14001. Audit results must be reported to top

management . A typical audit cycle is one year but more critical

activities will require auditing more frequently.

Step 5. Management Review

At regular intervals (typically annual), top management must conduct

through meetings and record minutes of a review of the EMS, to

determine that it is still appropriate and effective or to make changes

where necessary. Top management will need to consider audit

results, project progress, changing circumstances and the requirement

of ISO 14001 for continual improvement, through setting and achieving

further environmental targets.