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Green Notes from ASSOCHAM
- ISO 14000 and ...
Some special questions
What is ISO?
ISO is an international non-governmental organization that promotes the development and implementation of voluntary international standards. ISO consists of 112 member countries. Standards are developed within ISO technical committees. Draft versions of the standards are sent out for formal support and comments from ISO member countries, and through iterations, feedback is incorporated to eventually realize an agreed-upon international standard.
What is ISO 14000?
The quest for a company for an internationally recognized environmental management system finds an explanation in the ISO 14000 series of standards developed by the International Organisation for Standardization (ISO).
ISO 14000 provides businesses with a structure for managing environmental operations, and can be applied to all types and sizes of manufacturing and service operations throughout the world.
The ISO 14000 standards are designed to provide an internationally recognized framework for environmental management, measurement, evaluation and auditing. They do not prescribe environmental performance targets, but instead provide organizations with the tools to assess and control the environmental impact of their activities, products or services. The standards are designed to be flexible enough to be used by any organization of any size and in any field. They address the following subjects:
Environmental Management Systems Environmental Auditing Environmental Labels and Declarations Environmental Performance Evaluation and Life Cycle Assessment
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How did the effort to develop ISO 14000 come into being, and who is responsible for the development of ISO 14000?
In order to support the June 1992 UN Conference on Environmental Development held in Brazil, ISO made a commitment to determine ways in which it might support the concept of "sustainable business development". Strategic Advisory Group on the Environment (SAGE) was formed. A critical need was recognized for voluntary international standards for environmental management systems and tools. Therefore, SAGE recommended the formation of ISO Technical Committee in 1993 to develop the ISO 14000 series.
What is an Environmental Management System (EMS)?
An environmental management system is a management structure that allows an organization to assess and control the environmental impact of its activities, products or services. ISO 14001, Environmental management systems - specification with guidance for use, outlines the requirements for an EMS.
According to ISO 14001, there are six key elements of an EMS:
* An environmental policy
* Planning
* Implementation and Operation
* Checking and Corrective Action
* Management Review
* Continual Improvement
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What is ISO 14000 registration?
Registration is the formal recognition of an organization's EMS.
Organizations may simply declare that their EMS meets the requirements of ISO 14001 ("self-declaration"). However, many organizations choose to have their EMS registered, usually to provide greater assurance to clients or the public, or because regulators or clients require it. An independent third party, known as a "registrar", assesses and audits the organization's EMS to ensure that it complies with the requirements of the standard.
What is the ISO 14000 Environmental Management Series?
The ISO 14000 series will help organizations meet their corporate responsibilities by integrating environmental considerations into management and decision-making structures in a systematic and organized way. This will make it easier for companies to comply with regulations, meet monitoring requirements, and to go beyond simple demonstrations of due diligence. It will also help them identify problem areas before they become acute, achieve cost savings, or avoid costs.
The ISO 14000 series consists of the following documents in various stages of preparation:
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14001
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Environmental Management System Specification
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14004
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General Guidelines on Systems, Principles and Supporting Techniques
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14010
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General Principles on Environmental Auditing
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14011
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Auditing of Environmental Management Systems
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14012
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Qualification Criteria for Environmental Auditors
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14013
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Management of Environmental Audit Programs
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14014
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Initial Reviews
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14015
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Environmental Site Assessments
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14021
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Environmental Labeling Series
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14031
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Evaluation of Environmental Performance
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14041
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Life Cycle Assessment Series
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14050
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Terms and Definitions
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14060
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Guide for the Inclusion of Environmental Aspects in Product Standards
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What are steps To Implementing ISO 14001?
The ISO 14001 framework is divided into four sections: Environmental Policy, Implementation and Operation, Checking and Corrective Action, and Management Review. The organizing principle for this framework is the Deming Cycle: Plan, Do, Check, and Act.
The planning stage requires the organization to think and plan for its Environmental Policy. Its policy is the organization's statement of principles and intentions with regard to its environmental performance. This statement is a framework for action because it details the environmental objectives and targets that the organization is committed to achieving within a designated period.
The next step is Implementation and Operation. The organization must have an environmental management system with all staff aware of the organization's commitment to its environmental policy. This will require training to increase awareness and competence on environmental matters. The organization must also document its EMS. The EMS will also have to focus on operational control and emergency preparedness and response.
The EMS should be scrutinized in the Checking and Corrective Action step. It must have a procedure for evaluating compliance with its environmental policy, as well as procedures to ensure that it has the capacity to act as circumstances dictate. It will need records and the capacity to undertake an EMS audit.
The final step is Management Review. Top management is required to review the EMS to ensure its continuing suitability. This step can lead to changes in the environmental policy of the organization as per requirements.
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What are critical characteristics of an ISO 14001 EMS?
It is centered on and driven by environmental impacts. The standard outlines a core set of planning activities that ensures a facility will:
identify facility operations, processes, and products that have environmental impacts evaluate which impacts are significant; set objectives and targets for reducing negative impacts; and select and implement activities to achieve identified targets
It promotes integration of environmental management and business functions. The standard promotes integration of environmental management with operations and overall organizational management, by requiring:
an environmental policy defined by top management consideration of operating conditions and controls and their effect upon environmental impacts specific identification of needed authorities and responsibilities for implementation periodic management review of system results and environmental performance
It provides for continual improvement. The EMS is designed to continually improve system and environmental performance, through:
creation of specific timelines, authorities, and designated responsibilities for plan execution and activity implementation periodic compliance audits to identify compliance procedure improvements periodic EMS audits to assess progress towards stated goals and identify needed system improvements monitoring and measurement of activities related to environmental impacts
It is verifiable. Facility activities and conformance with the standard can be objectively verified, because:
documentation requirements ensure that both conformance with the standard and EMS performance can be audited; and the ISO certification process sets specific standards and practices for auditing both conformance with the standard and performance of the EMS
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What are Major Elements of ISO 14001 EMS Standard?
EMS Element (Section)
Environmental policy (4.1)
Planning (4.2)
Environmental aspects (4.2.1) -
Identifying an organization's activities, products, or services that can interact with the environment & that it has control over; and Determining which of those are "significant environmental aspects"- environmental aspects that have or can have significant environmental impacts.
Legal and other requirements (4.2.2) -
Objectives and targets (4.2.3) -
Environmental management programs (4.2.4) -
Implementation and operation (4.3)
Structure and responsibility (4.3.1) -
Training, awareness, and competence (4.3.2) -
Communication (4.3.3) -
EMS documentation (4.3.4) -
Document control (4.4.5) - Establishing/maintaining of procedures for controlling all documents required for EMS. Operational control (4.3.6) -
Emergency preparedness and response (4.3.7) -
Checking and Corrective Action (4.4)
Monitoring and measurement (4.4.1) -
Nonconformance and corrective and preventive action (4.4.2) -
Records (4.4.3) -
EMS Audit (4.4.4) -
Management Review (4.5)
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What are the benefits of ISO 14000? Having an ISO 14000 EMS may help to:
Provide a framework for a systematic and integrated approach for environmental management, which allows the EMS to become part of the fabric of the organization's business Assure customers of one's commitment to demonstrable environmental management Make the EMS "system" dependent and not "person" dependent Maintain good public relations Satisfy investor criteria and improve access to capital Obtain insurance at reasonable cost Enhance image and market share Meet clients' registration requirements Improve cost control Reduce incidents that result in liability Demonstrate reasonable care Reduce consumption of materials and energy Obtain permits and authorizations Reduce the cost of complying with environmental regulations Develop and share environmental solutions and Improve industry-government relations
What is Environmental Policy?
The environmental policy establishes the foundation for an organization to build its EMS. The following requirements apply:
Top management shall define the policy The policy must be relevant to the activities, products, and services of the organization The policy must show commitment to continual improvement of the EMS and prevention of pollution The policy must be documented, communicated to all employees and available to the public
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What are the keys to Success?
Keys to Success of the implementation process for ISO 14001 include:
Top management commitment Adequate resources to establish, implement, and maintain the EMS Assigned roles, responsibility, and authorities A structured and documented implementation plan Adequate education, awareness, and training with respect to the EMS Appropriate procedures and documentation An effective audit program
What is Planning?
The organization must identify and plan for those elements of its business that could interact with the environment. Actions necessary to meet this element of the ISO 14001 standard include
Identifying the significant environmental aspects and impacts of its activities, products, and services - depending on the organization's business Identifying and having access to applicable legal and other requirements that apply to the organization Setting and documenting environmental objectives and targets Establishing environmental management programs for achieving these objectives and targets
What is Implementation and Operation?
Implementation and operation are next steps. ISO 14001 requires the following
Define and communicate roles, responsibility, and authorities necessary to Establish, implement, and maintain the EMS Communicate the environmental policy, objectives and targets, and other elements of the EMS to employees and contractors Ensure that those employees whose job can have a significant impact on the environment are appropriately trained Establish procedures to handle environmental inquiries from interested parties Identify and describe the core elements of the EMS Control EMS documents and procedures Maintain documented procedures to control operations that could impact the environment Have an effective emergency preparedness and response plan
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What is Checking and Corrective Action?
To ensure effective implementation of the EMS it must be periodically checked and preventive action taken when needed by performing the following
Monitor and measure key characteristics of its operations and activities that can have a significant impact on the environment Handle nonconformance to the EMS efficiently by investigating root cause(s) and ensuring corrective and preventive action is taken Identify and maintain environmental records such as permits, calibration records, training records, and monitoring and measuring data. Periodically conduct audits of the EMS, which include the whole EMS and not just compliance with regulations
What is Management Review?
Top management must periodically review the EMS in order to
Ensure its continuing suitability, adequacy and effectiveness Address possible needs for changes to the environmental policy, objectives and targets, and other elements of the EMS Identify opportunities for continual improvement
Top Some special questions We want a fast overview of ISO 14001 certification. Where can we get it? You are welcome to meet our consultants.
Our address is:
The Associated Chambers of Commerce and Industry of India
Corporate House,
147 B, Gautam Nagar, Gulmohar Enclave
New Delhi: 110 049
Phone(s) 6512477-79
Fax: 6512154
E-mail: assocham@sansad.nic.in
How long does it take from the initiation to the acquirement of ISO certification?
Primarily it varies from case-to-case. Typically the evaluation of the environmental aspects take 3 to 6 months. From that point up to setting of objectives and targets and the completion of documented procedures it takes 3 months more. Further, the system must be running for at least 3 months before the certification audit, hence a total of 9 to 12 months period is usually required.
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What are the circumstances for certification?
Conditions are instrumental for certification when
1) System is running for at least a 3-month-period
2) 'Internal Audit' of all departments is done for all pertinent conditions
3) 'Management Review' is done, and P-D-C-A cycle is completed at least once
How often are continuance or supervision audits carried out?
Usually once a year. The same applies for ISO 9000s certification.
Is it possible to be permitted for ISO 14001 without being certified for ISO 9000s?
Yes, in truth many companies go for ISO 14001 after being certified for ISO 9000s, but this is not conditional. However, because both contain common standards of conduct, it is fair that having acquired knowledge in building up an ISO standard-based management system makes it easier to establish a second management system.
Is it possible to have a combined audit for both ISO 9000s and 14001?
Yes. And because there are common conditions the total number of inspection days can be briefly lessen. Continuance audits can also be linked, or completed on the same event, making it easier for auditors and auditees to prepare.
Is it possible to have various sites certified as one management system?
Yes, especially when various sites operate under the same management and regulations.
Must all environmental aspects be continuously improved?
No, the environmental management system as a whole must follow constant improvement. This means that if for instance decrease in fuel consumption is the selected theme for improvement, other aspects and new actions must be at least controlled, but not necessarily improved in terms of environmental performance.
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Is the introductory environmental review a pre-requisite?
No, but it is generally practiced in order to build up a database of environmental aspects that shall be improved as needed. Such a collection of information serves as a basis to ascertain the environmental policy, conduct evaluation of aspects and determine of objectives and targets. In cases where an EMS is already in place it can be reduced or excluded.
What are environmental aspects and environmental impacts?
Environmental aspects are elements that can have an effect on the environment, constituting a 'cause' of a change in the environment, while the 'changes' or 'consequences' are the impacts.
How are the chosen environmental aspects appraised during an audit?
Auditors evaluate the consistency and suitability of the range of elements and activities considered in the identification and evaluation of environmental aspects as well as the criteria for the evaluation of the environmental importance of the real and potential impacts.
What are the environmental aspects 'over which it can be expected to have an influence?
The standard aspects that can be curbed and aspects that can be influenced by the organization are mentioned. The former is distinct and is directly related to the production methods. However, the latter refers to aspects controlled by external bodies but that can be rectified indirectly by the organization.
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Is the totaling of the environmental impact mandatory?
No, the transcription of the environmental impacts into numbers in order to make a comparative study of impacts constitutes one of the numerous procedures practiced. If an evaluation criterion appropriate for the kinds of impacts existent is evolved it is considered sufficient.
In the design department, is it necessary to evaluate the products being created?
Yes. When the design department is included in the scope of certification, the environmental aspects of the products designed must also be considered besides the use of energy, paper and chemicals in selecting the aspects with potential serious impacts. A detailed life cycle assessment is not required but some kind of consideration is expected.
Do auditors collect samples of effluents or make measurements during audits?
No, ISO auditors confirm the accomplishment of the management system only and do not perform hands-on confirmation of environmental aspects. Auditors, however, verify the existence of necessary measurement records.
Does a violation of a legal requirement necessarily yield a deviation during an audit?
No, not necessarily. For example, if it addressed by suitable corrective action. But in many cases it is related to a weak point or open item in the management system, which gives enough evidence to write a deviation report. Such deviations are usually related to legal and other requirements of operational control.
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Must organizations set numerical objectives and targets?
No. However numerical objectives and targets are easier to manage therefore it is advised. ISO 14031 on environmental performance evaluation can be a good reference when setting the indicators.
Must there be a single management representative?
Not necessarily. In most cases only one management representative is appointed, but the standard does not compel a restriction in this respect. Having different management representatives for different locations can be effective.
What are typical examples of communication with external bodies?
Taking care of claims from external interested parties is one typical example. Periodical exchange of information with official organizations, contact with neighbors and neighborhood organizations, and transactions with customers and suppliers are other examples.
Is the preparation of an environmental management system manual a requirement?
No, but it is recommended to serve as the core of the documented management system.
What does 'communicating relevant procedures and requirements to suppliers and contractors' mean?
This requirement is directly related to 'aspects over which an organization can be expected to have an influence'. In other words, it is related to aspects over which an organization has no direct control, hence directions for adequate control have to be communicated to groups that have the control. Organizations have to decide which and, by what means, material suppliers, waste disposal companies and subcontractors are communicated with and act accordingly. In the case of waste disposal subcontractors, the supplier can for instance arrange assessment visits, write letters and provide training to promote awareness and increased cooperation.
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What is an emergency situation?
There is no clear definition of the standard so organizations have to determine their own criteria. Some of the situations commonly under this definition are natural disasters such as strong earthquakes and floods, accidents with serious consequences like heavy oil spillage and fire.
What are the 'key characteristics' over which organizations shall have control?
These are the self-established control parameters about the significant impacts on the environment. 'Key characteristics' are the control parameters of objectives and targets. Other 'key characteristics' are the parameters that express performance of important management aspects.
What are the criteria which qualify internal auditors?
Not mentioned in the ISO14001 standard. ISO14012 is a document referred to in the standard that gives qualification criteria for environmental auditors and can be used as a guideline. It does not and should not be followed word for word as it is intended for environmental auditing in general and tend to be too strict to be taken as an internal standard. Companies are recommended to define their own criteria based on the above standard's contents.
What might ISO 14001 related registration/certification require?
It is expected that registration will require evidence of implementation of ISO 14001, which also includes procedures to maintain compliance to applicable laws, commitment to continual improvement, and commitment to prevention of pollution.
Whether a company decides to seek third-party registration or certification to ISO 14001 will be dependent on the objectives the company has in conforming to ISO 14001, as well as the market and public context in which the company operates. For some companies, third-party certification may be the most reasonable option. It is very important to understand that the ISO 14001 standard is quite clear that either third-party certification or self-declaration are available options. Third-party certification is not mandated by ISO 14001.
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What are the differences between conformity assessment, accreditation, certification, and registration in relation to ISO 14000?
Official definitions, according to ISO are as follows:
Conformity Assessment
This term refers to the determination of whether a product, process or service conforms to particular standards or specifications. Activities associated with conformity assessment may include testing, certification, accreditation, quality assurance system registration and environmental management system registration.
Accreditation
This term refers to a procedure by which an authoritative body gives formal recognition that a body or person is competent to carry out specific tasks. Accreditation means that a body has been evaluated in accordance with internationally recognized standards (ISO) and has been found competent and therefore is authorized to register companies which have successfully demonstrated compliance to ISO 14001.
Certification
This term refers to a procedure by which a third party gives written assurance that a product, process or service conforms to specified requirements.
Registration
This term refers to a procedure by which a body indicates relevant characteristics of a product, product or services and then includes or registers the product, process or services in a publicly available list.
Accredited organizations known as "registrars" will be engaged by a company as third-parties to provide the certification that the company has implemented ISO 14001.
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Does a company or organization have to implement all standards in ISO 14000?
ISO 14000 is a series of voluntary standards. Companies and organizations are not required to comply with or implement any of these standards. However, they become necessary to do business if they become the basis for regulations in countries or regions. ISO 14001 is considered the foundation document of the entire series, and most other documents in the series are proposed as guidelines that will support a company or organization's environmental management system.
How does ISO 14000 relate to international trade?
A significant benefit of international standards is their potential to replace national and regional standards, which may become non-tariff trade barriers in commercial transactions.
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Why are companies implementing ISO 14000 standards at this time?
Private sector organizations are implementing ISO 14001 for a number of reasons.
Recognition
Some organizations simply want to be recognized as being leaders in environmental protection. This may be for commercial or regulatory reasons. In some cases they want to mend fences with neighbors and community groups.
Bottom-line benefits
There is increasing understanding that an EMS addresses organizational inefficiencies and waste and that the greatest benefit is derived from savings and greater operational productivity.
Trade
ISO 14001 is emerging as an additional requirement for trade and commerce. Many organizations are not taking any chances and are feverishly obtaining registration status.
Regulatory
While no additional regulatory flexibility is currently available, many organizations are betting that it is only a question of time before results will create a compelling case for such flexibility. Many believe it is advantageous to get ahead of that curve now.
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Why should a company implement ISO 14000 standards?
To determine if your organization should implement ISO 14000 standards, you might consider the following:
Will it be required by law in regions where you operate? Will it be a commercial necessity or a competitive disadvantage in your markets? Will those entities you supply to require it of you? Is there significant public pressure for you to implement it? Will it improve environmental performance? What is the cost-benefit analysis?
What is expected from ISO 14000?
It is expected that ISO 14000 will
Lead to the harmonization of national rules, labels, and methods Minimize of trade barriers and related complications Promote predictability and consistency Lead to improvement of environmental performance Lead to effective maintenance of regulatory compliance Establish a framework to move beyond compliance Assist organizations to demonstrate commitment Assist organizations to enhance public posture Lead to credibility to performance reporting Support a worldwide focus on environmental management Sensitize the internal culture in organizations to environmental matters and Promote a voluntary consensus standards approach to environmental improvement
What are some of the ways that ISO 14000 will affect or be used by companies and other interests around the world?
They may be used by organizations to better manage their environmental affairs and to show a commitment to environmental protection.
Implementation of ISO 14000 could become a condition of business loans to companies that aren't even involved in international trade. Insurance companies may lower premiums for those who have implemented the standard. ISO 14000 may become a condition of some customer/supplier transactions. Evidence of conformance to ISO 14000 may factor into alternative regulatory programs, the exercise of prosecutorial and sentencing discretion, and into government consent decrees and other legal instruments. In multilateral trade agreements, there is a high probability that the ISO 14000 standards will become a factor in establishing whether governments are actually attempting to improve the environmental situation within their countries. In terms of international aid and loans, the World Bank and other financial institutions may qualify their loans to less developed countries and begin to use the ISO 14000 standards as an indicator of commitment to environmental protection.
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How can one integrate ISO 14000 with ISO 9000?
If an organization is already compliant with ISO 9000, it is well on its way. An ISO 14001 system can be easily integrated with an existing quality management system that is based on the ISO 9000 standard. There are a number of common elements within both the ISO 9000 and ISO 14001 management system standards, including: Document Control, Training, Corrective Action, Records Management, Calibration, Internal Audits and Management Review. Companies can either develop completely separate EMS components, or choose to integrate an ISO 14001-driven EMS with an ISO 9000 quality management system.
What are main 10 Steps to ISO 14001?
1. Obtain management commitment
2. Develop steering committee
3. Gather environmental impact data
4. Develop environmental policy/goals
5. Evaluate existing programs against ISO 14001
6. Develop action plan
7. Analyze and undertake changes addressing 14001
8. Perform internal audits against 14001
9. Correct management system deficiencies
10. Achieve accredited third party ISO 14001 certification.
What are Advantages & Benefits of ISO 14000?
Customer, employees, stockholders and competitors will develop a new level of respect for you as you demonstrate your commitment to the environment.
Advantages
- Risk Reduction: Environmental legal liability; accidents and environmental damage
- Cost Reduction: Insurance premiums; waste handling and disposal costs; reduction in air and water permitting fees
- Competitive Advantage: Improved corporate image; strategic investment; improved regulatory relations
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