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8/9/2019 What is ISO 14001 DNV Booklet
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WHAT IS ISO 14001AND SHOULD ICARE?
DNV Business Assurance
1-877-386-3530 | www.dnvcert.com | ContactUs@dnv.com
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The role of standards
The objective of any standard, whether
it relates to the manufacture of cars,
airplanes, machinery, or the delivery
of a service - transportation, hospitals,
etc. - is the same. Standards are
designed to promote, facilitate andenable consistency in a process or
product; to provide assurance that the
process or product output will meet
requirements, to provide a uniform
and predictable output every time
a set of procedures are executed.
It is important to understand that
standards, in and of themselves, do not
necessarily produce a quality process
or product.
The ISO 14001 standard was published
by ISO in September 1996, andsubsequently revised in 2004. It was
developed to allow
organizations to formulate a policy,
objectives and targets and implement
programs within a structured
management systems framework.
Simultaneously,
legislative requirements, important
public issues and plant-specific
environmental concerns shall be
considered and included where
applicable within the framework of the
environmental management system.
What is an EnvironmentalManagement System?
An EMS is the management system
that addresses the environmental
impact of a companys processes,
products and services on theenvironment. The EMS provides a
formalized structure for ensuring that
environmental concerns are addressed
and met, and works to both control a
companys significant environmental
effects and achieve regulatory
compliance.
The ISO 14000 Series ofStandards
ISO 14000 is a series of international
environmental management systemstandards. They can be divided into
process related standards and product
oriented standards.
1
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Organization oriented processstandards14001 Environmental management
systems.Specification and
guidance for use.
14004 Environmental management
systems. General guidelines onprinciples, systems and
supporting techniques.
19011 Guidelines for Quality and/or
Environmental Management
System Auditing.
14015 Environmental site assessments.
14031 Evaluation of the
environmental performance of
the management system and its
relationship to the environment.
Product oriented standards
14020 Goals and principles of all environmental labeling.
14021 Environmental labeling - self
declaration environmental
claims. Terms & definitions.
14022 Environmental labeling -
symbols.
14023 Environmental labeling - testing
and verification methodologies.
14024 Environmental labeling -
practitioner programs. Guiding
principles, practices and
certification procedures for
multiple-criteria programs.
14040 Environmental management -
life cycle assessment. General
principles and guidelines.
14041 Environmental management -
life cycle assessment. General
principles and guidelines.14042 Environmental management -
life cycle assessment.
14043 Environmental management -
life cycle assessment.
Interpretation.
14050 Terms and definitions.
14060 Guide for the inclusion of
environmental aspects in
product standards.
ISO 14001 is the auditable
standard against which certificates of
compliance are issued.
The ISO 14000 series of standards is
one of more than 15,000 different
standards which are maintained
by the International Organization
for Standardization in Geneva,
Switzerland. The reference to ISO
comes from the Greek word Isos
meaning equal or the same - isobars,
isotherms, etc. The concept is one
of consistency, predictability and
repeatability of processes.
Standards
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Evolution of the iSO 14000
series of standardsAs a result of the United Nationsconference on Environmental
Development held in Brazil in June
1992, the International Organization
for Standardization in Geneva
made a commitment to support the
development of a set of environmentalmanagement system standards. ISO
Technical Committee TC 207 was
formed in 1993. Members of TC 207
and its subcommittee were drawn from
all over the world. A consensus process
agreement was first reached through
these committees and ISO 14001 (the
auditable standard) was first released
in 1996.
The standards are revised through
review and revision recommendations
made by ISO member countriesor national bodies. There are
approximately 140 member countries
and national bodies. Each member,
through its committees and sub-
committees, provides input on
suggested changes to the standards
back through a hierarchy to ISOs
headquarters in Geneva, Switzerland.
The structure of the ISO 14001standardThe structure of ISO 14001 is
complimentary to the clause structure of
ISO 9001:2000.
General requirements ofISO 14001:20044.1 General Requirements
4.2 Environmental Policy
4.3 Planning
4.3.1 Environmental Aspects 4.3.2 Legal and Other Requirements
4.3.3 Objectives, Targets and
Programs
4.4 Implementation and Operation
4.4.1 Resources, Roles,
Responsibility and Authority
4.4.2 Competence, Training
and Awareness
4.4.3 Communication
4.4.4 Documentation
4.4.5 Control of Documents
4.4.6 Operational Control
4.4.7 Emergency Preparedness andResponse
4.5 Checking
4.5.1 Monitoring and Measurement
4.5.2 Evaluation of Legal
Compliance
4.5.3 Non-Conformity and Preventive
and Corrective Action
4.5.4 Control of Records
4.5.5 Internal Audit
4.6 Management Review
3
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What does ISO 14001 - relatedregistration/certificationrequire?
Registration requires evidence of
implementation of ISO 14001,
which also includes: procedures tomaintain compliance to applicable
laws, commitment to continual
improvement (in a broad sense),
and commitment to prevention of
pollution (e.g. recycling, process
changes, energy efficiency, materials
substitution).
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 wellas the market and public context in
which the company operates. For some
companies, third-party certification
may be the most reasonable option.
For example, companies selling
products to markets in Europe might
face considerable pressure to obtain
third-party certification. However,
even in Europe, companies should not
presume certification will be necessary.
It is very important to understand
that either third-party certification or
self-declaration are available options.
Third-party certification may or may
not be mandated by the suppliers
customers.
Acceptance of the standards
The ISO 14000 series of standards
has been accepted and adopted
throughout
the world. There are an estimated
40,000 certificates that have been
issued in more than 80 countries.
Certificates issued in Europe now
exceed 20,000.
There are currently more than
4,000 certificates in the U.S., 1,500in Canada and approximately 600
in Mexico. It is estimated that an
additional 2,500 companies in North
America are actively in the process of
implementing an ISO 14001 compliant
environmental management system.
Should ISO 14001 certificationbe in my plans?
There are costs associated with
implementing an ISO 14001 compliant
Requirements
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environmental management system. If
companies are to make this investmentthen it is important that they are able
to derive a benefit and a return on that
investment.
There are really only four reasons why
anyone would consider ISO 14001
certification:
1. For the value of an ISO 14001
compliant system to identify and
reduce potential aspects and impacts
that result from a companys process.
This will facilitate reducing the
likelihood of an environmental impact
occurring and can also reduce the
magnitude of the impact. It can also
improve processes and increase the
productivity and effectiveness of the
system. These attributes can in turn
result in reduced scrap and rework,more efficient handling and disposal
of waste and by-products and therefore
increased profitability. This has
the potential to increase customer
satisfaction and raise stakeholder
confidence in the company.
Stakeholders include shareholders,
employees, customers, suppliers and
the local community.
So how do you determine if
certification will have value for you
and your company? The key is to
benefit from those who have alreadygone through the certification process.
Most companies that have become
certified are usually proud of their
achievement and happy to share
their experience with others. Lists of
certified companies are available from
the registrars or certifying bodies.By selecting companies who are in
similar businesses to yours (your direct
competitors are probably not going to
share much information with you) and
asking them a few pertinent questions,
you can get a pretty good feel for
the value of certification to these
companies.
Questions like: What have been
the benefits of certification? Can
you measure these benefits and
express them in dollars - i.e. returnon investment? What was the single
biggest barrier to certification? What
would you do differently if you had to
do this over again? How much did it
cost and how long did it take?
2. From a sales and marketing point
of view, would certification make a
difference? With a like price, product
or service as your competitors, would
ISO 14001 certification make a
difference in your customers
5
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decision process in selecting a
supplier? Does certification representa means of differentiating you from
your competition? Are you losing
business because your competitors are
already certified?
Talk to your sales and marketing
personnel, get answers to thesequestions on a regular basis things
change.
3. Are one or more of your largest
customers likely to require that you
have ISO 14001 certification in order
to continue to be a preferred supplier,
or worse, require certification to even
be allowed to bid on
contracts? Once again you need to get
your sales and marketing people to ask
these questions of your customers on a
regular basis.
4. Are there regulatory requirements
for you to have ISO 14001
certification? The American Chemistry
Council (ACC), formerly the Chemical
Manufacturers Association, is now
requiring compliance with RC14001.
The RC14001 standard combines
Responsible Care with ISO 14001
requirements. It is important to note
that certification will not remove your
obligation to comply with federal, state
and local environmental requirements.
The ISO 14001 implementationmethodology will generally serve to
facilitate implementation of other
mandatory environmental compliance
requirements.
Some states are providing incentives to
encourage companies to implementan EMS or to become certified to ISO
14001. Examples, Texas and Wisconsin
are lining up bipartisan support for
so called green programs (e.g.
Clean Texas) designed for a company
to voluntarily exceed regulatory
compliance through ISO 14001 or an
equivalent program.
Texas legislation provides for
regulatory incentives, among them
reduced inspections, on-site technical
assistance, and, in certain situationseven modification of state or federal
regulatory requirements.
The answers to these four questions
should provide you with a strong basis
to make an informed decision as to
whether ISO 14001 should be in your
companys plans. One thing is key,
if based on the answers to the above
questions you make a determination
that ISO 14001 should be in your
companys future, put plans in place
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How long does it take and howmuch will it cost?
The time to implement an ISO 14001
compliant system is a function of the
size of the company, the number of
people involved under the scope of the
certification, the complexity ofthe processes, the number and
significance of the aspects and
impacts, and the degree to which the
existing EMS meets the requirements
of the standard. A typical time line
for implementation would be six to
twelve months. Certification costs, that
is those fees paid to the registrar, are
small compared to the internal costs
of implementation. The fees are a
function of the audit days required to
verify compliance which is a function
of the number of employees andthe number and complexity of the
processes which relates to the aspects
and impacts. Most registrars will
provide a no obligation quotation on
request.
Selecting a Registrar
If you are planning on becoming
certified to ISO 9001, ISO/TS 16949,
ISO 14001, or any other accredited
management system scheme, the
selection of your certifying body is an
important decision.
Everything being equal, it is a
relationship that will be in place for
a very long time. That is why it is so
important that your choice is one which
will provide you with a partnership
approach to certification, provide youwith value-added services and result
in a certification that is recognized
and accepted by your customers and
prospects.
In the ISO 14001 market place there
are a large number of registrars in
North America offering certification
services. It is an unregulated market -
that is anybody can set themselves up as
an ISO 14001 registrar, perform audits
and issue certificates. It is very much a
buyer beware market place.
So how do you go about making an
informed decision when selecting
your registrar?
Areas to consider when evaluating
registrars:
Technical competencies
Interpretation of the standards
and overall philosophy
Price
People factors
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Technical competencies
The rules that registrars operate
under are largely governed by the
accreditation bodies. Most of the
countries that have adopted the
ISO 14000 series of standards havetheir own national accreditation body.
In the U.S. that body is the American
National Accreditation Board (ANAB
formerly the RAB). Accreditation is
an important attribute when selecting
a registrar and a key factor in making
your initial short list of candidates.
In order to become accredited a
registrar has to undergo a rigorous
audit and review process. Very
similar to the ISO 14000 certification
process, in order to maintain their
accreditation, they are subject toongoing surveillance or periodic
audits. But not all accredited registrars
are created equally. There are
considerable differences between
them.
Interpretation of the standardsand overall philosophy
There are variances in how registrars
interpret the standards, their general
audit philosophy are they auditing to
the letter of the standard, or do they
adopt a more pragmatic approach of
auditing to the intent of the standard?
What kind of customer service
response can you expect if you select
a particular registrar? What is their
track record on customer satisfaction?
What experience does this particularregistrar have in your industry sector
how many certificates have they issued
to businesses like yours?
These questions are best answered
by talking to clients who have
selected and have become certified
by the registrar you are considering.
Reference accounts are fine but are
generally selected or pre-screened by
the registrar. A more effective and
potentially unbiased approach is for
you to make the customer selectionyourself. If a registrar is accredited
they are obligated to produce and
maintain a list of all companies that
they have certified. The list may be in
hard copy or part of their web page.
Once you access the list, pick six or
seven companies. Select companies
that are either in similar businesses to
yours, geographically close to you, or
just pick companies whose judgment
you trust.
9Interpretation and Philosophy
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If you call these companies and ask the
challenging questions - What was yourexperience with XYZ registrar? What
impressed you most about the
registrar? What did you least like about
your dealings with them? Would you
recommend them to others? If you
ask these questions of six or seven
companies, you will get a pretty goodpicture of the overall character and
the philosophy of the registrar.
Everything being equal, this is a
relationship that will be in place
for a long time and it is therefore
imperative that you make a decision
based on sound information.
Price
Money is important to most of us
as individuals, as employees and asmanagers and owners of businesses.
Most of the major registrars have an
overall cost of certification, which is
very similar. Auditor day rate might
appear to be a convenient indicator
to compare registrar costs, but it will
not give you the basis for an apples-to-
apples comparison.
An important thing to keep in mind
is that registrars have many different
ways of actually structuring their
quotations. There are some registrarsthat have application, listing and
administration fees, adders to travel
expenses, cancellation and deferment
fees. There are almost as many pricing
schemes as there are registrars. How
they price is not nearly as important
as the overall cost for certification -having said that, keep a look out for
cancellation and deferment charges,
which can be particularly unfriendly.
Irrespective of how a quotation is
structured, the important thing is that
you are able to determine the exact
cost-of-ownership. Most registrars
will have certificates which are valid
for three years. However the pricing
is structured, ask for quotations in a
format that will allow you to determine
the full costs for a three-year period,which is the typical certification cycle.
That way you can make an apples-
to-apples comparison of registrar
charges.
When making a registrar selection,
price is important but should not be
your primary selection criteria. If you
make a decision based solely on price,
you are probably making a decision
that you may regret later. Certification
is a free market service.
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This means that there is no
requirement for a registrar to be
accredited (some industry specific
standards may require accreditation).
If a registrar is unaccredited there are
no rules or requirements for auditor
training and qualifications, industryexperience, the methodology for the
certification process and more.
Compliance with accreditation
requirements costs money - but has
value to you as a customer.
Look for registrars that offer value
added services beyond the structured
certification process. Your company
listing on their web site, electronic
access to your audit reports and audit
schedule.
The external fees that you will pay to
registrars for your certification are
small compared to money you will
have invested internally in putting
your system in place. Most estimates
will show that the internal costs are at
least 10 times the costs that you will
pay the registrar. Having made the
commitment and investment to
implement a compliant system - keep
cost in mind when making your
registrar selection but make sure that
you take into account the other
important factors listed here.
People Factors
Most registrars who are accredited
have very similar technicalcompetencies, because these
competencies are defined and are
requirements of the accreditation
bodies. Some registrars will have
the right philosophical approach
described above and most will be
about the same price range.
So all these things being equal - how
do you make an informed decision?
The registration process is a people
business - outside of the certificateitself, there is no physical product.
The product consists of a series of
interfaces from initial requests for
information, requests for quotations,
answers to questions, visits
and presentations.
Ask yourself the following questions
about your initial experiences when
dealing with a potential registrar
candidate. They will give you a pretty
good indication where the registrar is
11Summary
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on the people factor scale:
What was and has been the response
to your requests?
Were the responses timely?
What was the general attitude of the
people you had to deal with?
Do they really act like they would want
and work to keep your business?
Are these the kind of people that you
would look forward to having a long
term business relationship with?
SummarySelecting a registrar is an important
decision. It is a relationship which will
ideally be in place for a long time.
Taking the time to evaluate registrarsbased on the above criteria will be a
good investment of your time.
About DNVDNV is one of the leading
management system certifying bodies
in the world having issued more than
70,000 certificates across a very broad
spectrum of manufacturing and service
industries.
DNV Academy
DNV offers on-site and publictraining courses as well as online
courses related to quality, safety, the
environment and food & beverage.
Go towww.dnvtraining.comfor more
information.
Webinars - Live & On DemandDNV offers free webinars, both live
and on-demand, covering various
topics related to quality and safety.
For a schedule of live and a list of on
demand webinars, go to
www.dnvcert.com.
Additional informationCopies of the ISO 14000 series of
standards can be purchased from the
American Society for Quality (ASQ) at
http://qualitypress.asq.org
For additional free copies of this
leaflet, to request a quotation or
for additional information about
certification, please call:
Toll Free: 1.877.DNV.3530 or
1.877.368.3530
E-mail: ContactUs@dnv.com
Web Site: www.dnvcert.com
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Published by
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established in 1864 whose objective is
safeguarding life, property and
the environment.
DNV is a world-class provider of risk
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health, quality and environmental
protection for business, government
and industry.
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Certification, Inc. (DNV Certification),
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77084. No part of this document may be
reproduced by any means, nor
transmitted, nor translated into a machine
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of the publisher.
The information contained in this
reference material is distributed as a guide
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believed to be reliable and to represent
the best current opinion on the subject.
No warranty, guarantee or representation
is made by DNV Certification, as to the
absolute correctness or sufficiency of any
representation contained in this reference
material, and DNV Certification assumes no
responsibility in connection therewith; nor
can it be assumed that all acceptable safety
measures are included herein, or that other
measures may not be required in particular
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While DNV Certification does not
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Inc. All rights reserved.
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