Lec 2_HSOH 3220

HSOH 3220 – Environmental Management
Instructor Name – Dr. Ravi Rangarajan

Room # 19.2.21
E-mail – [email protected]
Phone – 4495 2661
Element 2:
Environmental Management
Systems (EMS)
Environmental Management Systems
Learning Outcomes
 Identify the reasons for implementing an environmental

management system
 Describe the key features and appropriate content of an effective

EMS
 Identify the benefits and limitations of introducing a formal

EMS
 Identify key members of the ISO 14000 family of standards and

their purpose
Implementing EMS
 EMSs – Tools that help organisations manage their environmental
issues systematically and comprehensively
 Most widely adopted

ISO 14001 standard
Based on ISO 9001 Quality Management system standard

Implementing EMS – Why?
 Manage EI in resource efficient way
 Cost Savings - Control of energy consumption & waste management
 Achieve compliance with environmental legislation
 Environmental commitments to Stake holders
 Stakeholders ???
 Those with interest in your company
 Shareholders, Supply Chain, regulatory authorities and customers

Implementing EMS
 One of the main advantages of implementing an EMS is demonstrating
management commitment to protecting the environment
 Doing so can secure the reputation of the organization and ensure that
its relationships with suppliers and customers are maintained
 It can convince pressure groups and regulators of the organization’s

environmental credentials
CSR
Effective EMS – Key Steps
ISO 14001 Management System
 Context of the Organisation
 Leadership
 Planning
 Support
 Operation
 Performance Evaluation
 Improvement
 Initial Environmental Review

 Not mandatory.
 Identification of aspects and impacts.
 Compliance obligations.
 Existing practices.
 Assessment of previous incidents, complaints and
non-conformances.
 ‘Where we are now.’
 Context of the Organisation

 Understand positive and negative internal and external issues
(environmental conditions).
 Determine Scope.
 Establish, implement and maintain an ISO 14001 compliant EMS.
 Leadership
 Defined duties as stated in a
formal EMS which include
responsibility for appropriate
resource allocation and the
ongoing input and review of the
EMS.
 Demonstrate leadership –
accountable, integrated into
organization & promote continual
improvement.
 Environmental Policy
 Leadership
 Top management have defined duties as stated in a formal EMS which include
responsibility for appropriate resource allocation and the ongoing input and
review of the EMS.
Example Environmental Responsibility
Responsibilities
Identify overall direction of the EMS. Chief Executive / Managing Director.
Design policy. Chief Executive / Managing Director /
Environmental Manager.
Identify environmental objectives, Departmental Managers.
targets and programmes.
Monitor EMS performance. Environmental Manager.
Identify training needs / Retain Environmental Manager / Human
training records. Resources Manager.
Track cost associated with the EMS. Finance.
Identify customer requirements. Sales and marketing staff.
Compliance with procedures. All staff.
Undertaking audits. Audit team.
 Leadership
 Top management demonstrate
leadership – accountable, integrated into
organization & promote continual
improvement.
 Environmental management
programmes (action plans).
 Legislative requirements.
 Control of significant environmental

impacts.
 Current responsibilities for

environmental management or other
management systems (e.g. quality).
 Leadership
 Environmental policy - To document the environmental intentions and

principles of an organisation and to provide a framework for setting
objectives and targets.
 ISO 14001 requirements
 Appropriate to the nature, scale and environmental impacts of the

company’s activities, products or services.
 Commitment to continual improvement and protection of the

environment (including prevention of pollution and specific commitments).
 Commitment to fulfil compliance obligations.
 Framework for setting and reviewing environmental objectives.
 Documented, communicated with the organisation and available to

interested parties.
 Planning
 Actions to address risk and opportunities.
 Determine risk and opportunities associated with:
 Environmental aspects.
 Other issues.
 An organisation is required to have access to documented compliance

obligations related to its environmental aspects and determine how
these apply.
 They must also take into account compliance obligations when

developing, maintaining and continually improving the EMS.
ISO 14001 Management System - Planning
 Environmental aspects (covered in E3).
 Life-cycle perspective should be considered when determining environmental

aspects and impacts.
 The way in which significant aspects are identified and assessed must be
documented.
 Must include responsibilities and arrangements for identifying aspects,

determining significance and periodically updating the information.
 Environmental objectives
 Result to be achieved - An objective may be strategic, operational or tactical. And

may apply to different disciplines and different levels.
 An objective may be expressed in other ways such as an intended outcome, as an

environmental objective or by use of other words (aim, goal or target).
 Set objectives and targets (SMART)
E.g. Reduce waste sent to landfill by 25% by 2017 compared to 2012.

 Environmental objectives - Selection
 The extent that an impact is an issue to a stakeholder.
 The influence of the stakeholders.
 How well the impact is already being managed.
 The resources available.
 Environmental objectives - Documentation
 Consistent with the environmental policy.
 Measurable (the standard states if practicable).
 Monitored and Communicated.
 Updated as appropriate.
ISO 14001 Management System - Support
 Resources - Provision by organisation.
 Competence - Understand, ensure, train,

evaluate and document.
 Awareness - Policy, significant impacts,

contribution and non-compliance.
 Communication - Internal and external.
 Documented information - Creating and

updating and document control.
ISO 14001 Management System - Operation
 Operational control - Procedural or

engineering.
 May follow elimination, substitution and

administrative hierarchy (HoC).
 Operational control - Examples
 Management or disposal of wastes.
 Operation of an effluent treatment plant.
 Wastewater treatment.
 Operation of plating system.

 Consistent with a life-cycle perspective the
organization must:
 Develop controls at each life-cycle stage during

the development process of products and services.
 Determine what requirements are needed for

the procurement of products and services.
 Communicate relevant environmentally-

related information to external providers (e.g.
contractors).
 Consider whether to provide information

regarding significant impacts associated with
transport, delivery, end-of-life treatment and
end-of-life disposal of products and services.
 Emergencies:
 Common accidents that have an environmental impact include:
 Fires, Floods, Wastewater releases, Air releases.
 The number and type of procedures that are required to be developed depend
on the type and complexity of an organization – E.g. Large chemical company
will need a relatively complex emergency plan whereas an office would require
a few simple procedures.
 Organisations must develop and maintain procedures to identify and respond

to accidents and emergencies and to prevent or reduce environmental impacts
that are associated with them.
 They must be reviewed and revised on a regular basis, particularly after an

accident has occurred. Procedures must also be tested.
ISO 14001 Management System – Performance Evaluation
 Audit.
 Monitoring, measurement,
analysis and evaluation.
 Management review.
 Environmental Audit - An environmental audit can be defined as a:
“systematic, independent and documented process for obtaining audit

evidence and evaluating it objectively to determine the extent to which the
audit criteria are fulfilled.”
 Distinction between Audits and Inspections ???
 Inspections are an assessment of what is there at the time an inspection takes

place. They are essentially looking for signs of failure, e.g. leaks in pipes.
 Audits are a pre-planned, systematic and objective assessment of a situation

against a given set of criteria.
 Therefore, against these criteria, the auditor would be looking for evidence
to establish that a policy is in place, has been agreed by top management and
is appropriate to the nature and scale of the organisation.
 Environmental Audit – Internal Audit  Pre-audit preparation

 The activities and areas to be  Team selection.
considered in audits.
 Scope:
 The frequency of audits.
 Location.
 The responsibilities associated with  Process.
managing and conducting audits.  Procedure to be audited.
 The communication of audit results.  Logistical issues:
 Auditor competence.  Transport.

 PPE.
 How audits are to be conducted.  Office space
 Other Internal Audit considerations
 Information-gathering:
 Site plans.
 Results of previous audits.
 Records of emissions monitoring.
 Accident/incident reports.
 Enforcement notices.
 Responsibility:
 Notification and Interviews - Key personnel must be informed.

 Ultimate responsibility rests with senior management - Individuals
responsible for actually planning and carrying out audits will vary between
organizations.
 Audits should normally be carried out by those with no line-management
responsibilities - This may mean the use of external auditors.
 Auditors must be competent and responsible.
 Internal Audit – Benefits and Limitations
 Reduced costs.
 Auditor probably has better understanding of the business.
 Interviewees may relax more with someone they know or who at least is from within the
organisation.
 More flexibility on times for audits and potential to change if needed.
 Auditor may be ‘blind’ to some problems as they are ‘situation normal’.
 Seen by external parties (customers, suppliers, etc.) as less objective.
 Possibly more open to pressure from senior management not to highlight bad areas.
 Flexibility may lead to audits continually being put off.
 Time required for employees to conduct audits and also attend training.
 External Audit – Benefits and Limitations
 Objective auditor with no preconceived perceptions.
 Auditor likely to have experience of other similar processes/industries so able to bring a

comparative view.
 Seen by external parties (customers, suppliers and regulators) as more objective and
carries more weight.
 Once audit is booked there is a set deadline by which to achieve objectives.
 Less likely to be unduly influenced by senior managers not to highlight poor areas.
 Less flexibility on times; once audit is booked it is likely to be charged for, so greater
pressure to undertake even if not quite ready.
 Auditor may not fully understand some of the issues involved.
 Interviewees may not feel they want to discuss problem areas with an external person.
 Costs increased.
 Audit.
 Monitoring, measurement,
analysis and evaluation.
 Management review.
 Monitoring
• Active Monitoring methods
 What should be monitored and
measured. • Measuring progress towards
targets
• Continuous
 The methods for monitoring,
• Looking for trends
measuring, analysing and
• Able to identify problems in
evaluating. future
 The frequency of monitoring. • Reactive Monitoring methods
 What criteria the organisation • Monitoring of Organizational

performance is compared failures
against. • To prevent recurrence
• Corrective and preventive
 When monitoring results should actions taken
be analysed and evaluated.
Active Methods Reactive Methods
- Inspections - Non-compliance and

enforcement action
- Monitoring of resources with
time and waste production - Complaints
- Sampling and analysis - Incidents and near misses
- KPIs (Key Performance - Sudden changes in the use of

Indicators) resources
- Use of checklist - Conducting investigations

 Active Monitoring Measures:
 Emissions - monitoring atmospheric emissions.

 Effluent - a simple example may be that of a discharge consent to a controlled water
with a maximum temperature of 25°C.
 Waste - monitoring production of waste.
 Energy and water - efficiency of machinery and the presence of leaks for water.
 Inspection of plant and premises – Inspection Types
 General environmental inspections - undertaken by managers, environmental

representatives or other suitably trained members of staff.
 Statutory inspections - required by legislation.
 Compliance inspections - to compare against stated performance standards that

may include legal compliance and may also form part of an audit.
 Tours - follow predetermined route and are for a short time.

 Active Monitoring Measures:
 Inspection Frequency:
 The purpose of the inspection.

 Any frequency imposed by regulations, such as discharge consents,
environmental permits.
 The level of risk to the environment.
 Conditions found at the last inspection.
 Competence of Inspector:
 An understanding of the tools of workplace inspections, their

advantages and disadvantages and how to use them.
 An understanding of the process or activity being inspected.
 Knowledge of the potential environmental impacts from the process or
activity.
 The standards that are acceptable.
 At least a basic report-writing ability or ability to use a checklist.
 Active Monitoring Measures - Use of Checklists:
 Reference point when required to ensure the inspection

remains focused.
 Aid note-taking and provide an easy way to follow up

on issues found during an inspection.
 No set format - Possible Contents:
 Site drainage - marked with type of drain and direction

of flow.
 Fugitive emissions - emissions that are unplanned.
 Waste - correct type of containers, correct waste in
containers, segregated and secure.
 Discharges from interceptors - visible signs of oil.
 Noise - unusual noise levels.
 Signs - are they clear and correct?
 Signs of leaks from machinery or other spills.
 Are unattended machines left running?
 Reactive Monitoring Measures:
 Monitoring of organisational failures.
 Try to prevent a recurrence of the failure.
 Reactive monitoring measures are data arising from the reactive monitoring
techniques.
 Near-misses - unplanned, unwanted events that have the potential to cause

environmental damage.
 Complaints from neighbours and/or the workforce.
 Enforcement action - a major signal that things are not right, etc.
 Management Review:
 Review of Environmental Performance
 Analysis of the data gathered through the monitoring techniques.

 Allows to make decisions on whether performance is acceptable.
 May be viewed as a targeted internal audit.
 Areas Covered
 Achievement of environmental objectives.

 Implementation of environmental controls.
 Effectiveness of training, communication and consultation with
employees and other stakeholders.
 Lessons learnt from environmental incidents and implements
effective corrective and preventive actions.
 Legal compliance.
 Management Review: Gathering Information
 Incident data.
 Inspections.
 Control and monitoring emissions.
 Energy/raw material management.
 Waste management.
 Surveys/tours/sampling.
 Quality reports.
 Audits.
 Monitoring data/ records/reports.
 Complaints.
 Environmental incidents would normally be reported internally.
 May also need to be reported externally.

 Management Review: Content
 Communication inputs and outputs

 Status of actions from previous reviews.
 Changes in significant aspects.
 Internal and external issues.
 Extent to which objectives have been reached.
 Information on the environmental performance of the organisation.
 How adequate resources are.
 Communications from interested parties (this includes complaints).
 Areas for continual improvement.
 Management Review: Output
 Whether the EMS is still suitable, adequate and effective.

 Decisions that are linked to continual improvement.
 Action when environmental objectives have not been met.
 Areas where the EMS could be integrated with other business processes.
 Implications for the strategic direction.
ISO 14001 Management System – Improvement
 Conformance and non-conformance.
 Non-conformance controlled and

rectified.
 Eliminate and understand cause.
 Corrective actions implemented and

reviewed.
 Documentary evidence retained.
 Ensure continual improvement of the

EMS’s suitability, adequacy and
effectiveness to enhance
environmental performance.
 EU Eco-Management and Audit Scheme (EMAS).
 Shares a core framework with ISO 14001.

 Number of important differences from ISO 14001 exists.
 Key features:
 Mandatory initial environmental review.
 Must demonstrate that it complies with environmental law.
 Publicly available environmental statement is required that has to be validated by an

independent body.
 Open dialogue must be established between the organisation and the public.
 Usually site-based (exception - certain multi-site organisations).
 Specifically mentions employee involvement.
 Three-year audit cycle.

 Certification and Accreditation
 Formal environmental management systems can be

externally certified.
 Certification bodies are external bodies which

certify an organization by audit.
 Accreditation is the process by which certification

bodies are checked to ensure competence.
 British Standards Institution (BSI) and TÜV

Rheinland.
 ISO 14001 certification body in the UK is UKAS.
 Accreditation of certification bodies is generally

voluntary.
 Benefits:
 Improved management of environmental risk
 Competitive edge over non-certified businesses
 Increased compliance with legal and other requirements
 Increased credibility with pressure groups and regulators
 Increased resource productivity
 Integration with other management systems (ISO 45000, ISO 9000)
 Savings from reduced non-compliance with environmental regulations.
 Heightened employee, shareholder and supply chain satisfaction and morale.
 Increased involvement and consultation with internal and external interested parties
 Meeting modern environmental ethics.
 Streamlining and reducing assessments and audits.

 Limitations:
 Inconsistency of auditors.
 Improvements in environmental performance can be negligible.
 Implementing an EMS may have high cost implications for small and medium-sized
enterprises
 Integration with other management systems (ISO 45000, ISO 9000) can be
expensive
 Paperwork and documentation
 ISO 14000 does not have stated performance levels
 Prescriptive environmental performance levels are not included within a

standard.
 Lack of public reporting, unlike other internationally recognised management

systems.
ISO 14001 Management System – Key Members
• ISO 14004: General guidelines on principles, systems and support

techniques
• ISO 14005: Guidelines for the phased implementation of an EMS
• ISO 14020: Environmental labels and declarations – requirements

for eco labels, such as the promotion of energy efficiency and other
claims
• ISO 14031: Guidelines on the selection and use of environmental

performance indicators
• ISO 14064: Greenhouse gas accounting and verification

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HSOH 3220 – Environmental Management

Instructor Name – Dr. Ravi Rangarajan

 Identify the reasons for implementing an environmental

 Describe the key features and appropriate content of an effective

 Identify the benefits and limitations of introducing a formal

 Identify key members of the ISO 14000 family of standards and

 Most widely adopted

Based on ISO 9001 Quality Management system standard

 Manage EI in resource efficient way

 Cost Savings - Control of energy consumption & waste management

 Achieve compliance with environmental legislation

 Environmental commitments to Stake holders

 Those with interest in your company

 Shareholders, Supply Chain, regulatory authorities and customers

 It can convince pressure groups and regulators of the organization’s

 Context of the Organisation

 Initial Environmental Review

 Context of the Organisation

 Control of significant environmental

 Current responsibilities for

 Environmental policy - To document the environmental intentions and

 ISO 14001 requirements

 Appropriate to the nature, scale and environmental impacts of the

 Commitment to continual improvement and protection of the

 Commitment to fulfil compliance obligations.

 Framework for setting and reviewing environmental objectives.

 Documented, communicated with the organisation and available to

 Actions to address risk and opportunities.

 Determine risk and opportunities associated with:

 An organisation is required to have access to documented compliance

 They must also take into account compliance obligations when

 Life-cycle perspective should be considered when determining environmental

 Must include responsibilities and arrangements for identifying aspects,

 Result to be achieved - An objective may be strategic, operational or tactical. And

 An objective may be expressed in other ways such as an intended outcome, as an

 Set objectives and targets (SMART)

E.g. Reduce waste sent to landfill by 25% by 2017 compared to 2012.

 The extent that an impact is an issue to a stakeholder.

 The influence of the stakeholders.

 How well the impact is already being managed.

 The resources available.

 Environmental objectives - Documentation

 Consistent with the environmental policy.

 Measurable (the standard states if practicable).

 Monitored and Communicated.

 Resources - Provision by organisation.

 Competence - Understand, ensure, train,

 Awareness - Policy, significant impacts,

 Communication - Internal and external.

 Documented information - Creating and

 Operational control - Procedural or

 May follow elimination, substitution and

 Operational control - Examples

 Management or disposal of wastes.

 Operation of an effluent treatment plant.

 Operation of plating system.

 Develop controls at each life-cycle stage during

 Determine what requirements are needed for

 Communicate relevant environmentally-

 Consider whether to provide information