ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY

Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225

Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING

ENVIRONMENTAL PROTECTION AND

MANAGEMENT (17CV662)
Module 3: ENVIRONMENTAL MANAGEMENT SYSTEM
Syllabus:
1.1 EMAS
1.2 ISO 14000
1.3 EMS as per ISO 14001
1.4 Benefits and barriers of EMS
1.5 Concept of continual improvement and pollution
prevention
1.6 Environmental policy
1.7 Initial environmental review
1.8 Environmental aspect and impact analysis
1.9 Legal and other requirements
1.10 Objectives and targets
1.11 Environmental management programs
1.12 Structure and responsibility
1.13 Training awareness and competence
1.14 Communication
1.15 Documentation and document control
1.16 Operational control
1.17 Monitoring and measurement
1.18 Management review

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING

1.1 EMAS

The European Eco-Management and Audit Scheme is a voluntary

European scheme that will evaluate a participant’s system for good
environmental management and publish the results.

In this voluntary initiative companies and other organizations have

to evaluate, report, and improve their environmental performance.
It should be highlight that EMAS is a European Union Regulation,
which applied within the European Union and the European
Economic Area (EEA) — Iceland, Liechtenstein, and Norway. The
aim of EMAS is to recognize and reward those organizations that
go beyond minimum legal compliance and continuously improve
their environmental performance (EMAS-UK, 2004).

The EMAS Regulation 1836/93 was first introduced in July 1993

as an environmental policy tool devised by the European
Commission in a step towards fulfilling the Community’s goal of
sustainable development. EMAS has been open for voluntary
participation by organisations since April 1995. Its scope initially
restricted participation to companies in the industrial sector.

In 2001 the revised Regulation (EC) No 761/2001 (“EMAS II”) was

adopted. Its main elements were the extension of the scope of
EMAS to all sectors of economic activity including local
authorities, and the integration of the international environmental
management system standard EN ISO 14001.

In 2009 the EMAS Regulation was revised and modified for the
second time. Regulation (EC) No 1221/2009 (“EMAS III”) came into
effect on 11 January 2010.

EMAS III includes the following new elements:

 Revised audit cycles to further improve applicability for

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
SMEs (companies with fewer than 250 employees or a
turnover of less than €50 million euro)

 Corporate registrations to ease administrative and financial

burdens on organisations with several EMAS registered sites

 Environmental core indicators to adequately document

environmental performance

 Introduction of EMAS Global to make EMAS accessible to

organisations and sites worldwide

In 2017 Annexes I, II and III of the EMAS Regulation (EU

Commission Regulation EU 2017/1505) were amended to include
the changes associated with the revision of the ISO 14001:2015
standard.

Since January 9th 2019, also an amended Annex IV of the EMAS

regulation (EU Commission Regulation EU 2018/2026) is in place.
This amendment includes an update of EMAS’ core indicators and
the language of the environmental statement. It also allows EMAS
organisations new opportunities to report on their environmental
performance and to use the organisation's EMAS environmental
statement also for other reporting obligations.

1.2 ISO14000

ISO 14000 is a family of standards related to environmental

management that exists to help organizations
(a) Minimize how their operations (processes, etc.) negatively affect
the environment (i.e., cause adverse changes to air, water, or
land)
(b) Comply with applicable laws, regulations, and other
environmentally oriented requirements, and
(c) Continually improve in the above.

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
ISO 14000 is similar to ISO 9000 quality management in that both
pertain to the process of how a product is produced, rather than to
the product itself.

PRINCIPLES WITHIN ISO 14000:

There are five environmental management system principles within

ISO 14000:

Commitment and Policy Principle 1:

An organization should focus on what needs to be done -- it should

ensure commitment to the environmental management system and
define its policy.

Planning (PLAN) Principle 2:

An organization should formulate a plan to fulfill its environmental

policy.

Implementation (DO) Principle 3:

For effective implementation an organization should develop the

capabilities and support mechanisms necessary to achieve its
environmental policy, objectives, and targets.

Measurement and Evaluation (CHECK) Principle 4:

An organization should measure, monitor, and evaluate its

environmental performance.

Review and Improvement (ACT) Principle 5:

An organization should review and continually improve its

environmental management system, with the objective of
improving its overall environmental performance.

An environmental management system following these five

principles provides order and consistency in addressing

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
environmental concerns. Organizations need environmental
management systems in order to anticipate and meet
environmental performance expectations and ensure compliance
with requirements, both nationally and internationally.

STRUCTURE OF ISO 14000 SERIES

ISO 14000 series has seven components which are given below.

Environmental Management Systems (EMS) (ISO 14001)

Environmental Auditing (EA) (ISO 14010,11/1,12)

Environmental Performance Evaluation (EPE) (ISO 14030)

Environmental Labeling (EL) (ISO 14020,21,22,23,24)

Life-Cycle Assessment (LCA) (ISO 14041,41,42,43)

Environmental Aspects in Product Standards (EAPS) (ISO 14060)

Terms and definitions (ISO 14050)

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING

1.3 EMS as per ISO 14001

BASIC INTRODUCTION

ISO 14001 sets out the criteria for an Environmental Management

System (EMS). It does not state requirements for environmental
performance, but maps out a framework that a company or
organization can follow to set up an effective EMS. It can be used
by any organization that wants to improve resource efficiency,
reduce waste, and drive down costs.

ISO 14001 is voluntary, with its main aim to assist companies in

continually improving their environmental performance, while
complying with any applicable legislation. Organizations are
responsible for setting their own targets and performance
measures, with the standard serving to assist them in meeting
objectives and goals and in the subsequent monitoring and
measurement of these. The standard can be applied to a variety of
levels in the business, from organizational level, right down to the
product and service level. Rather than focusing on exact measures
and goals of environmental performance, the standard highlights
what an organization needs to do to meet these goals. ISO 14001
is known as a generic management system standard, meaning that
it is relevant to any organization seeking to improve and manage
resources more effectively.

EMS AS PER ISO 14001: 2004

ISO 14001 requires organizations to identify the environmental

aspects of their activities, products or services and to evaluate the
resulting impacts on the environment, so that objectives and
targets can be set for controlling significant impacts and for
improving environmental performance. ISO 14001 specifies the
EMS requirements that an organization must meet in order to

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
achieve certification by a third party – the certification body. (The
Standard was specifically designed to be an auditable standard
leading to independent certification.)

The requirements of ISO 14001 include:

 Development of an environmental policy

 Identification of environmental aspects and evaluation of
associated environmental impact
 Establishment of relevant legal and regulatory requirements
 Development and maintenance of environmental objectives
and targets
 Implementation of a documented system, including elements
of training, operational controls and dealing with emergencies
 Monitoring and measurement of operational activities
 Environmental internal auditing
 Management reviews of the system to ensure its continuing
effectiveness and suitability

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
STRUCTURE OF ISO 14001: 2004

The six main clauses of ISO 14001 are titled as follows:

1 Scope
2 Normative references
3 Terms and definitions
4 Environmental management standard requirement
4.1 General Requirements
4.2 Environmental Policy
4.3 Planning
4.4 Implementation and Operation
4.5 Checking and Corrective Actions
4.6 Management Review

1.4 Benefits and barriers of EMS

First, an effective EMS makes good sense, whether your

organization is in the public or private sector. By helping to
identify the causes of environmental problems and then eliminate
them, an EMS can help you save money.

Second, an EMS can be an investment in longterm viability of your

organization. An EMS can help you to be more effective in
achieving environmental goals. And, by helping businesses to
keep existing customers and attract new ones, an EMS adds value.

Of course, there is some work involved in planning, implementing

and maintaining an EMS. But many organizations have found
that the development of an EMS can be a vehicle for positive
change. Many organizations have seen that the benefits of an
EMS far outweigh the potential costs. And while these EMS
concepts certainly apply to the private sector, a number of public
sector organizations (including municipalities) have found that
they can benefit from an EMS.

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
Some of the key benefits of implementing ISO 14001 in an
organization are

 Improved environmental performance

 Reduced liability
 Competitive advantage
 Improved compliance
 Reduced costs
 Fewer accidents
 Employee involvement
 Improved efficiency
 Enhanced management confidence
 Improved public image
 Enhanced customer trust
 More favorable credit terms
 Meet customer requirements

Barriers of EMS as per ISO 14001

1. One of the major and common barriers to EMS implementation

in any organization is the lack of top management commitment
2. Employees are unable to perceive the benefit of EMS and relate
these to their own benefits
3. Lack of awareness about EMS
4. No emphasis/focus on training the employees to be able to meet
the Environmental Policy Objectives
5. The organization structure is not clearly defines and key
personnel are not made aware of EMS requirements.
6. Changing priorities for the company e.g, lower profits may result
in shifting of priorities and hence EMS may not be implemented.
7. Documentation may prove a deterrent. Companies may feel that
EMS leads to generation of too much paperwork and hence may
not implement the system.

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
8. The system may remain on paper and be implemented only for
audit purposes.
9. Cost of Certification is prohibitive, especially SMEs, find it
difficult to bear the cost of getting auditors.
10. Recurring cost of certification.

Potential cost of implementing EMS

Internal
• Staff (manager) time
• Other employee time (Note: Internal labor costs
represent the bulk of the EMS resources expended by
most organizations)

External
• Potential consulting assistance
• Outside training of personnel

1.5 Concept of continual improvement and

pollution prevention

EMS models as per ISO 14001 standard, are built on the “Plan,
Do, Check, Act” model introduced by Shewart and Deming. This
model endorses the concept of continual improvement. Continual
Improvement is enhancing your EMS to better your overall
environmental performance. The concept of continual
improvement assumes that no organization is perfect. While an
EMS should help your organization to improve compliance and
other measures of performance, this does not mean that problems
will never occur. However, an effective EMS should help you find
and fix these problems and prevent their recurrence or learns from
its mistakes and prevents similar problems from recurring.

The core requirement of a continual improvement process (CIP) is

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
different from the one known from quality management systems.
CIP in ISO 14001 has three dimensions:

1. Expansion: More and more business areas get covered by

the implemented EMS.
2. Enrichment: More and more activities, products,
processes, emissions, resources, etc. get managed by the
implemented EMS.
3. Upgrading: An improvement of the structural and
organizational framework of the EMS, as well as an
accumulation of know-how in dealing with business-
environmental issues.

Overall, the CIP concept expects the organization to gradually

move away from merely operational environmental measures
towards a strategic approach on how to deal with environmental
challenges.

1.6 Environmental policy

An environmental policy is the overall intentions and direction of

an organization related to its environmental performance as
formally expressed by top management.

This policy should serve as the foundation for your EMS and
provide a unifying vision of environmental concern by the entire
organization. Everyone in the organization should understand the
policy and what is expected of them in order to achieve the
organization’s objectives and targets.

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
An organization’s policy must include
this 3 key commitments:

• Continuous improvement
• Pollution prevention
• Compliance with relevant
laws and regulations

Requirements of environmental policy:

Following point have to be ensured while the top level management

define the organization's environmental policy within the defined
scope of its EMS. That is, the defined policy

a) is appropriate to the nature, scale and environmental impacts of

its activities, products and services,

b) includes a commitment to continual improvement and

prevention of pollution,

c) includes a commitment to comply with applicable legal

requirements and with other requirements to which the
organization subscribes which relate to its environmental aspects,
d) provides the framework for setting and reviewing environmental
objectives and targets,
e) is documented, implemented and maintained,
f) is communicated to all persons working for or on behalf of the
organization, and
g) is available to the public.

1.7 Initial environmental review

An organization with no existing environmental management

system should, initially, establish its current position with regard
to the environment by means of a review. The aim of this review
should be to consider all environmental aspects of the organization

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
as a basis for establishing the environmental management system.

The review should cover four key areas:

 Identification of environmental aspects, including those

associated with normal operating conditions, abnormal
conditions including start-up and shut-down, and
emergency situations and accidents;
 Identification of applicable legal requirements and other
requirements to which the organization subscribes;
 Examination of existing environmental management
practices and procedures, including those associated with
procurement and contracting activities;
 Evaluation of previous emergency situations and accidents.

Tools and methods for undertaking a review might include

checklists, conducting interviews, direct inspection and
measurement, results of previous audits or other reviews,
depending on the nature of the activities.

1.8 Environmental aspect and impact analysis

Aspects are defined as how an organization’s activities products

and/or services interact with
the environment.

An impact is how an aspect

changes the environment.

The Standard requires that the

organization shall establish and
maintain procedures to identify
the environmental aspects of its
activities, products or services
that it can control and those

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
over which can be expected to have an influence, in order to
determine those which have or can have significant impacts on the
environment. This planning also includes new developments,
activities, products or services.

To plan for and control its significant environmental impacts, an

organization must first know what these impacts are. But knowing
what the impacts are is only part of the challenge, you also should
know where these impacts come from. The identification and
management of environmental aspects can

(1) have positive impacts on the bottom line and

(2) provide significant environmental improvements.

The relationship between aspects and impacts is one of cause and

effect. The term “aspects” is neutral, so keep in mind that your
environmental aspects could be either positive such as making a
product out of recycled materials or negative such as discharge
of toxic materials to a stream. Your organization is not expected to
manage issues outside its sphere of influence. Once you have
identified the environmental aspects of your products, activities,
and services, you should determine which aspects could have
significant impacts on the environment. Potential impacts of what
you do on-site and off-site such as servicing equipment at
customer sites. Similarly, the environmental aspects of the
products, vendors, and contractors you use should also be
considered. These environmental aspects should be considered
when you set your environmental objectives and define your
operational controls. Identifying significant environmental aspects
is one of the most critical elements of the EMS and can be one of
the most challenging. Careful planning and conduct of this activity
will pay dividends in later steps.

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
Things to Consider in Evaluating Environmental Aspects:

Air Emissions, Water Effluents, Solid and Hazardous Wastes, Land

Use, Contamination of Land Raw Material, Resource Use, Local
Issues Normal and Abnormal Conditions such as noise, odor,
dust, traffic, appearance, etc.

1.9 Legal and other requirements

In order to comply with laws and regulations that apply to your

organization, you must first know what the rules are and how they
affect what you do. As discussed earlier, compliance with legal
requirements is one of the “three pillars” upon which your
environmental policy should be based. The potential costs of non-
compliance (possible damage to the environment, revenue loss and
impact on public image, for example) can be very high. Thus, an
effective EMS should includes processes to:

• identify and communicate applicable legal and other

requirements, and;

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
• ensure that these requirements are factored into the
organization’s management efforts.

New or revised legal requirements might require modification of

your environmental objectives or other EMS elements. By
anticipating new requirements and making changes to your
operations, you might avoid some future compliance obligations
and their costs.

EMS should include a procedure for identifying, having access to

and analyzing applicable legal and other requirements. “Other
requirements” might include industry codes of practice or similar
requirements to which your organization might subscribe. Once
applicable requirements have been identified and analyzed for
potential impacts, communicate these requirements to employees,
on-site contractors and others, as needed.

As with many EMS elements, this is not a “one time” activity.

Since legal and other requirements change over time, your process
should ensure that you are working with up-to-date information

ENVIRONMENTAL LAWS APPLICABLE TO INDIA

General

1986 – The Environment (Protection) Act

1986 – The Environment (Protection) Rules
1989 – The objective of Hazardous Waste (Management and Handling)
1989 – The Manufacture, Use, Import, Export, and Storage of hazardous
Micro-organisms/ Genetically Engineered Organisms or Cells Rules
1991 – The Public Liability Insurance Act and Rules and Amendment, 1992
1995 – The National Environmental Tribunal Act
1997 – The National Environment Appellate Authority Act
1998 – The Biomedical waste (Management and Handling) Rules
1999 – The Environment (Siting for Industrial Projects) Rules, 1999
2000 – The Municipal Solid Wastes (Management and Handling) Rules, 2000
2000 – The Ozone Depleting Substances (Regulation and Control) Rules

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
2001 – The Batteries (Management and Handling) Rules, 2001
2002 – The Noise Pollution (Regulation and Control) (Amendment) Rules
2002 – The Biological Diversity Act

Forest and wild life

1927 – The Indian Forest Act and Amendment, 1984

1972 – The Wildlife Protection Act, Rules 1973 and Amendment 1991
1980 – The Forest (Conservation) Act and Rules, 1981

Water

1882 – The Easement Act

1897 – The Indian Fisheries Act
1956 – The River Boards Act
1970 – The Merchant Shipping Act
1974 – The Water (Prevention and Control of Pollution) Act
1977 – The Water (Prevention and Control of Pollution) Cess Act
1978 – The Water (Prevention and Control of Pollution) Cess Rules
1991 – The Coastal Regulation Zone Notification

Air

1948 – The Factories Act and Amendment in 1987

1981– The Air (Prevention and Control of Pollution) Act
1982– The Air (Prevention and Control of Pollution) Rules
1982 – The Atomic Energy Act
1987 – The Air (Prevention and Control of Pollution) Amendment Act
1988 – The Motor Vehicles Act

1.10 Objectives and targets

Objectives and targets help an organization translate purpose into

action. These environmental goals should be factored into your
strategic plans. This can facilitate the integration of environmental
management with your organization’s other management
processes. You determine what objectives and targets are
appropriate for your organization. These goals can be applied
organization-wide or to individual units, departments or functions

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
depending on where the implementing actions will be needed.

In setting objectives, keep in mind your environmental policy,

including its three “pillars.” You should also consider your
significant environmental aspects, applicable legal and other
requirements, the views of interested parties, your technological
options, and financial, operational, and other organizational
considerations.

The organization shall establish, implement and maintain

documented environmental objectives and targets, at relevant
functions and levels within the organization.

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING

1.11 Environmental management programs

To achieve your objectives and targets, you need an action plan

also known as an environmental management program. Your
environmental management program should be linked directly to
your objectives and targets that is, the program should describe
how the organization will translate its goals and policy
commitments into concrete actions so that environmental
objectives and targets are achieved.

The organization shall establish,

implement and maintain a
programme(s) for achieving its
objectives and targets.
Programme(s) shall include

1. Designation of responsibility
for achieving objectives and
targets at relevant functions
and levels of
the organization, and
2. The means and time-frame
by which they are to be
achieved.

1.12 Structure and responsibility

For an EMS to be effective, roles and responsibilities must be

clearly defined and communicated. The commitment of all
employees is needed for an EMS to live up to its full potential. Top
management plays a key role by providing resources needed to
implement the EMS. Resources include human resources and
specialized skills, organizational infrastructure, technology and
financial resources. This is one of the most important jobs of top

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
management.

An effective management system needs an advocate. Thus, top

management should appoint a management representative. This
representative

(1) Ensures that the EMS is established and implemented;

(2) Reports on its performance over time; and
(3) Works with others to modify the EMS as needed.

The management representative can be the

same person who serves as the project
champion, but this is not mandatory. A
business owner, plant or shop manager, or
any number of other people might serve as an
effective EMS management representative.

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING

1.13 Training awareness and competence

The key point in this element is to ensure that persons performing

tasks that have or can have significant impact on the environment
and/or relate to the legal and other requirements are competent to
do those tasks. Competence is ensured through appropriate
education, training, and/or experience. The organization needs to
identify training needs as they relate to the EMS, the significant
aspects, and the legal and other requirements and make sure this
training is provided (records of such are to be maintained). A
procedure is needed that makes sure such persons are:

 aware of the need to conform with all EMS procedures &

requirements and what they specifically need to do so;

 the significant aspects and the legal and other

requirements associated with their respective
responsibilities and why improved performance is
beneficial; and

 the consequences of not following these procedures and

requirements.

In addition to job-specific knowledge, it expected that all personnel

within the EMS (including contractors) have general awareness on
items such as the policy and emergency response.

1.14 Communication

Procedures are required for both internal and external

communications. Note that ISO 14001 only requires procedures,
and allows the organization to decide for itself the degree of
openness and disclosure of information. Whatever the decision is
in terms of disclosure, the decision process must be recorded.
There is a specific requirement that the organization consider

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
external communications about its significant environmental
aspects and record its decision. For internal communications, the
procedure needs to describe how it is done among the levels of the
organization. For external communications, it has to describe how
external communications are received, documented, and a
response provided.

Communications will help you:

 motivate the workforce;

 explain the environmental policy both internally
and externally and how it relates to the overall
business vision / strategy;
 ensure understanding of roles and expectations;
 demonstrate management commitment;
 monitor performance; and,
 identify potential system improvements.

1.15 Documentation and document control

This requirement ensures that the organization has documented

the system in either electronic or paper form such that it
addresses the elements of the standard, describes how the
organization conforms to each element, and provides direction to
related documentation. Not all ISO 14001-required procedures
need to be documented, as long as the system requirements can
be verified. However, documentation must be provided such that

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
enough is available to ensure the effective planning, operation, and
control of processes related to the significant aspects, and to
demonstrate conformance to ISO 14001. Such documentation at a
minimum includes policy, objectives and targets, a definition of the
scope of the EMS, and other main elements.

EMS documentation is related to but is not the same as EMS

records. EMS documentation describes what your system consists
of i.e., what you do, while EMS records demonstrate that you are
doing what you said you would do.

The organization shall establish and maintain information, in

paper or electronic form, to:

1. Describe the main elements of the environmental management

system and their interaction (should include environmental
policy, objectives and targets, and scope of EMS)
2. Include documentation and records required by ISO 14001
3. Documentation determined by the organization itself
4. Provide direction (or reference) to related documentation.

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ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
DOCUMENT CONTROL

The organization is required to control documents, such as system

procedures and work instructions, to ensure that current versions
are distributed and obsolete versions are removed from the
system. There is a requirement for a document control procedure
that ensures documents are approved prior to use, are reviewed
and updated as necessary, changes to versions are identified, that
the current versions are available at points of use, that they are
legible, identifiable, and that obsolete ones are so noted to avoid
unintended use. It is acceptable to use documents of internal
origin in the EMS, but those must be identified as being essential
to the EMS and their distribution controlled.

Documents required by the environmental management system

and by this International Standard shall be controlled. Records are
a special type of document and shall also be controlled

The organization shall establish, implement and maintain a

procedure(s) to

1. Approve documents

2. Review, update and re-approve document

3. Changes and the current revision status of documents

4. Availability of relevant versions of document for use remain

legible and readily identifiable

5. Identify necessary document of external origin necessary for

planning and operation and ensure controlled distribution.

6. Obsolete documents identification and prevent its use

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 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING

1.16 Operational control

To ensure that your

environmental policy
is followed and that
your objectives are
achieved, certain
operations
and activities must be
controlled. Where an
operation or activity is
complex and/ or the
potential
environmental impacts are significant, these controls should take
the form of documented procedures. Procedures can help your
organization to ensure regulatory compliance and consistent
environmental performance. Procedures can also play a key role in
employee training. Documented procedures should cover those
situations where the absence of procedures could lead
to deviations from the environmental policy or your objectives and
targets. Determining which operations should be covered by
documented procedures and how those operations should be
controlled is a critical aspect of developing an effective EMS.

The ISO 14001-Clause 4.4.6 requires, critical functions related to

the policy, significant aspects, the legal and other requirements,
and objectives and targets are identified and procedures and work
instructions are required to ensure proper execution of activities.
Requirements for communicating applicable system requirements
to contractors also need to be addressed in these procedures. The
required procedures need to provide instruction such that the
organization conforms to the policy, objectives and targets, the
legal and other requirements, and addresses any impacts from

Page | 25
ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
significant aspects. Which procedures are needed can be
determined by review of the significant aspects, objects and
targets, the legal and other requirements, and policy and then
deciding what must be proceduralized and documented to ensure
that deviations from planned arrangements do not occur. In regard
to the contractors, the organization will need to establish
procedures related to the significant aspects the legal and other
requirements, of the goods and services it uses, and
communicating the relevant elements of those procedures to the
suppliers and contractors.

Start by looking at the environmental aspects and potentially

significant impacts which you identified earlier. Identify the
processes from which these significant impacts arise, and consider
what types of controls might be needed to prevent or manage
these impacts. If you have flowcharts of these processes, identify
the points in each process where some type of control may be
appropriate. Prepare draft procedures and review them with
the people who will need to implement them so as to ensure
accuracy and to be realistic.

Some of your identified environmental aspects may be related to

the chemicals, raw materials, or other goods and services you
obtain from vendors/suppliers. Likewise, the activities of your
contractors can affect your environmental performance.
Communicate your expectations including any relevant procedures
to these business partners. If your organization uses a “work
team” concept, ask the work teams to draft procedures for their
areas or to modify existing procedures for EMS purposes.

Page | 26
 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING

1.17 Monitoring and measurement

In order to properly manage

the system, measurements
must be taken of its
performance to provide data
for action. Procedures are
required describing how the
organization will monitor and
measure key parameters of
operations.

Monitoring and measurement

help evaluate environmental
performance, analyze the root
causes of problems, assess
compliance with legal
requirements. It identify areas
requiring corrective action and
improve performance and
increase efficiency. Monitoring
key characteristics i.e. significant environmental aspect that have
a substantial impact on the outcome of a process have to be done
at regular interval.

These parameters relate to the operations that can have significant

impacts, to monitor performance towards the objectives and
targets, and to monitor conformance to the legal and other
requirements and other EMS requirements. The key is to figure
out what those factors are and how to measure them, which
operations and activities can have environmental impacts, what
are the key characteristics of these operations and activities, how
can these characteristics be measured.

Page | 27
 ALVA’S INSTITUTE OF ENGINEERING & TECHNOLOGY
Shobhavana Campus, Mijar, Moodabidri, Mangalore Taluk, D.K – 574225
Phone: 08258-262725, Fax: 08258-262726
DEPARTMENT OF CIVIL ENGINEERING
Accuracy of measuring instrument should be ensured. Equipment
related to environmental measurements, such as temperature and
pH meters and pressure gauges, must be calibrated according to
procedures, and records maintained.

1.18 Management review

This element requires that periodically, top management will

review the EMS to ensure it is operating as planned, and is
suitable, adequate, and effective. The organization needs to ensure
that in the review: results of internal audits (EMS and compliance);
external communications; environmental performance; status on
objectives and targets; status of corrective and preventive actions;
follow up on actions from prior management reviews; and
changing conditions or situations; and recommendations for
improvement are all discussed. Results and records of
management review include: agendas, attendance records,
minutes, and documented agreed upon action items.

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