Frequently Asked Questions (FAQ)

Through conducting numerous implementation projects, lead auditor training sessions and registration audits, Phillips-Baird has found that many of our clients have the same questions. We hope this page answers many of your questions. Please feel free to call us if you have any further questions regarding ISO 14001 or OHSAS 18001 registration or our services.


Question
What are the potential internal/external benefits of implementing an ISO 14001 Environmental Management System (EMS)?

Answer

  • Improved environmental performance—protect the environment
  • Improved compliance with environmental regulations—Federal (EPA), State (State environmental agency), and Local (permits)
  • Reduced costs by avoiding excessive waste and disposal charges and fees
  • Increased efficiency by improving and standardizing environmental related processes
  • Reduced liability and risk exposure by ensuring an environmentally safe system
  • Improved customer trust and satisfaction by conforming to ISO 14001 International Standards
  • Improved public image and community relations—recognized for achieving certification
  • Gain competitive advantage—use environmental improvements to enhance marketing efforts
  • Increased employee involvement—implementing ISO 14001 is perceived as “the right thing to do”
  • Perhaps, better access to capital—limited risk and liability and fewer environmental accidents
OHSAS 18000 / 18001

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Question
Can I integrate ISO 14001 with my current ISO 9000/QS-9000/TS 16949 Quality Management System and/or OHSAS 18001 Occupational Health & Safety Management System?

Answer

  • YES.  It is acceptable to combine documentation for environmental and other management systems (such as quality or health and safety) as long as the EMS can be clearly identified together with the appropriate interfaces to other systems. Where documentation is not combined, any interfaces between different systems must be clearly defined. Phillips-Baird assisted a number of organization with management system integration - ISO 14001 with ISO 9001 and/or OHSAS 18001.
  • Phillips-Baird’s Integration Model follows:
Integration Model
4.1
4.1 General Requirement
 EM Environmental Manual
 
4.2
4.2 Environmental Policy / EMS Policy Statement
 EM Environmental Manual
 
4.3.1
4.3.1 Environmental Aspects
EP 4.3.1 Environmental Aspects
 
4.3.2
4.3.2 Legal and Other Requirements
EP 4.3.2 Legal/Other Requirements and Compliance
 
4.3.3
4.3.3 Objectives, Targets and Programs
EP 4.3.3 Objectives, Targets and Programs
 
4.4.1
4.4.1 Resources, Roles, Responsibility and Authority
 
QMS #XXX
4.4.2
4.4.2 Competence, Training and Awareness
EP 4.4.2 Competence, Training and Awareness
 
4.4.3
4.4.3 Communication
EP 4.4.3 Communication
 
4.4.4
4.4.4 Documentation
 EM Environmental Manual
 
4.4.5
4.4.5 Control of Documents
 
QMS #XXX
4.4.6
4.4.6 Operational Control
EP 4.4.6 Operational Control
 
4.4.7
4.4.7 Emergency Prep. & Response
EP 4.4.7 Emergency Prep & Response
 
4.5.1
4.5.1 Monitoring and Measurement
 
QMS #XXX
4.5.2
4.5.2 Evaluation of Compliance
 EP 4.3.2 Legal/Other Requirements and Compliance
 
4.5.3
4.5.3 Nonconformity,  Corrective Action & Preventive Action
 
QMS #XXX
4.5.4
4.5.4 Control of Records
 
QMS #XXX
4.5.5
4.5.5 Internal Audit
 
QMS #XXX
4.6
4.6 Management Review
 
QMS #XXX
*The Level 1 Environmental Management System Manual states top management's intent, addresses each element, and provides direction to applicable procedures.

Question
What is the ISO 14001 registration process?

Answer

International Standard ISO/IEC 17021:2006 Conformity assessment - Requirements for bodies providing audit and certification of management systems - defines the registration process.

1. Typical registration process that certified bodies follow:
A. Require the potential client to submit an application to allow the certification body to establish:
    a. the desired scope of the certification,
b. contact information, address of its physical location(s), significant aspects of its process and operations, and any relevant legal obligation,
c. other general information needed,
d. information concerning all outsourced processes that will affect conformity to requirements,
e. the standard or other requirements for which the organization is seeking certification, and
f. information relating to consultants that the organization utilizes.
  B. As part of the Stage 1 Audit process (see below), certified bodies typically require the client to submit the organization’s Level 1 Policy Manual and Level 2 Procedures to the registrar’s lead auditor to conduct a Document Review against the requirements of the ISO 14001 Standard to determine if each of the elements has been properly addressed.
  C. The initial certification audit must be conducted in two stages. Stage 1 Audit. Audit the client's management system documentation and conduct an On-site Readiness Review. NOTE: Some certified bodies send the document review results to the client a few weeks before the On-site Readiness Review; other certified bodies deliver the Document Review, and review the results, during, and as part of, the On-site Readiness Review. The overall purpose of the Stage 1 Audit is to determine if the client is ready for the Stage 2 Audit.
  D. Stage 2 Audit. Conduct an On-site Registration Audit. A team of qualified auditors will assess the organization’s EMS to determine if the documented system has been implemented, is effective, and conforms to the ISO 14001 Standard and to the organization's procedures, work instruction, and practices. The audit team usually makes one of the following recommendations to the certified body:
    a. Recommend registration,
    b. Recommend registration pending verification of corrective action, or
    c. Recommend not to register (on-site reassessment required)
  E. Registration Determination. The registrar’s certification board will make the final registration determination based on a review of the audit information submitted by the lead auditor.
  F. Surveillance Audits. After initial registration, surveillance audits will be conducted to verify that the organization’s EMS is being maintained to ISO 14001 Standards. The frequency is every six months or once per year. With semi-annual audits, all of the elements are audited within a three-year period. 
 NOTE: Surveillance audits must be conducted at least once per year. The date of the first surveillance audit following initial certification must not be more than 12 months from the last day of the stage 2 audit.
  G. Reassessment audits are required every 3 years, which is an audit of the entire environmental management system.

If you have specific questions about the requirements of ISO/IEC 17021, please call Joe Phillips at (317) 590-2905.

Question
How long does it take to prepare for the registration audit?

Answer
Click on the ISO 14001 Implementation Help and go to "What's the Timeline?"


Question
How do I prepare for registration?

Answer
Click on the ISO 14001 Implementation Help.

 


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