ISO 14001

– Environmental Management Systems –

⇓  Introduction to ISO 14001

⇓  What is ISO 14001
⇓  Why Implement ISO 14001
⇓  How to Implement ISO 14001
⇓  Learn More About ISO 14001

Introduction to ISO 14001

The importance of protecting and preserving the environment is becoming increasingly
important for industry. In the wake of multiple environmental disasters in the past few
decades, consumers are interested in how companies are positively or negatively impacting the
environment. Therefore, industries today are looking for ways to go green. Many organizations
are actively looking at methods to reduce energy consumption, recycle materials and reduce
their impact on the environment.  There is also mounting political pressure for companies to
pay for any damage they cause to the environment. A report released by the UN estimated that
costs related to environmental damage could cause a decline in the global economy of at least
7% within the next few decades. In addition, many communities are taking steps to reduce
their impact on the environment. Recycling has become common practice and is now required
in many urban areas. This raises the question “How can organizations measure progress or
success regarding their impact on the environment?”. One valuable tool is ISO 14001:2015,
which is an international standard focused on development and implementation of an effective
Environmental Management System.

What is ISO 14001

ISO 14001 is one of the most significant standards within the ISO 14000 family of standards.
ISO 14001 focuses on development and implementation of an Environmental Management
System (EMS). An ISO 14001 compliant EMS should address all environmental issues relevant
to the organization’s business operations including air pollution, waste management, water
and soil contamination, impact on climate change and efficient use of resources.
Implementation of the standard will allow organizations to:
 Minimize the organization’s negative impact on the environment
 Ensure compliance with any environmental regulatory requirements or laws
 Promote continual improvement of the organization’s environmental impact
The ISO 14001 standard is applicable to organizations of all sizes, large and small.
Development of an EMS allows the organization to take a systemic approach in dealing with
any environmental issue. The ISO 14001 standard is based on the Plan, Do, Check, Act (PDCA)
cycle, otherwise known as the Demming Cycle or Shewerts Circle. ISO 14001:2015 is the latest
revision of the standard. Some of the key changes to the standard include:
 The Environmental Management System must be more prominent and part of the
organization’s strategic direction
 Requirements for proactive plans to protect the environment
 Greater leadership commitment to the EMS and objectives
 Stakeholder-focused communication
 Same structure, terms and definitions as other ISO-based systems, allowing for ease
of integration

Why Implement ISO 14001

Over the past several years, companies and top executives have been legally held responsible
for their role in negatively impacting the environment. Chief executives of companies have been
convicted, fined and even given prison sentences due to preventable accidents or negligence.
Beyond the moral and legal responsibilities to protect the environment, there are solid
business advantages to be gained from addressing environmental issues through the
implementation of an ISO 14001 compliant Environmental Management System.
Improvements in environmental management can result in a positive impact on business
performance and the bottom line. Some of the potential benefits are as follows:
 Increase in brand equity of improved corporate image
 Gain access to a new environmentally conscious customer base
 Promote more efficient use of resources and reduction of waste
 Improve relationships with stockholders, regulatory agencies and consumers

How to Implement ISO 14001

Implementation of ISO 14001 and subsequent certification will require time, resources,
commitment and full support from the management team. There are ten main sections of the
standard. The first three cover the Scope of the document, Normative References, and Terms
and Definitions applicable to the standard. The remaining sections concentrate on the
contents and requirements for developing, implementing and managing an ISO 14001
compliant Environmental Management System. The 14001:2015 standard identifies the PDCA
methodology as the iterative process for organizations to use to achieve continual
improvement.
The success of the Environmental Management System requires commitment from all levels of
the organization. Top management must lead the effort and provide sufficient resources not
only to implement but to fully support the EMS. The ISO 14001:2015 standard provides the
framework for building and implementing a robust EMS. In addition, adherence to the
requirements within the standard will enable the organization to achieve the objectives of their
EMS.
Section 4 – Context of the Organization
The ISO 14001:2015 standard requires evaluation of the internal and external influences
relevant to organization’s purpose that could impact meeting the objectives of the EMS. These
influences include any environmental condition, either affected by the organization or that
could affect the organization. The organization must also:
 Understand and consider the needs and expectations of the interested parties
 Determine which of the needs are, or may become, regulatory requirements
 Determine and document the scope of the EMS and make it available to all interested
parties
Section 5 – Leadership
The ISO 14001 standard directs the leadership of an organization to demonstrate leadership
and commitment to the EMS. Top management of the organization must:
 Take responsibility and accountability for the effectiveness of the EMS
 Establish an Environmental Policy and ensure objectives are aligned with corporate
strategy
 Integrate the EMS into the organization’s regular business practices
 Provide adequate resources for implementation and continued support of the EMS
 Promote a culture of continual improvement regarding protecting the environment
Environmental Policy
The standard requires that leadership establish and maintain an Environmental Policy.
Organizations should provide and document the principles and guidelines for establishing
their EMS. The Environmental Policy should:
 Provide a framework for establishing the objectives of the EMS
 Align with the purpose and context of the organization
 Include a commitment to protecting the environment
In addition, the Environmental Policy must be documented, communicated throughout the
organization, be available for review by interested parties, and be relevant and appropriate to
the function and objectives of the Environmental Management System and the organization.
Organizational Roles Responsibilities and Authority
Top management is responsible for assignment of Roles and Responsibilities regarding the
EMS. This information must be documented and communicated to all levels of the
organization. In addition, the leadership of the organization is required to assign responsibility
and authority to ensure the EMS conforms to ISO 14001 requirements as well as report EMS
system performance to management.
Section 6 – Planning
During the Planning phase of implementing an ISO 14001:2015 compliant EMS, top
management must consider many factors. The context of the organization must be taken into
account along with any interested parties, and the overall scope of the management system.
The organization’s top management must also ensure the EMS is capable of achieving desired
objectives. Furthermore, plans must be developed and in place to prevent any negative impact
to the organization due to external environmental conditions and achieve continual
improvement of the EMS.
Addressing Risks and Opportunities
To meet the ISO 14001:2015 standard, an organization must determine what environmental
aspects of their processes, products and / or services can be controlled. In addition, the
organization must consider the possible impact of their activities on the environment from a
product life cycle perspective. When determining environmental aspects of their activities, the
organization must take the following into account:
 Any planned changes to the organization’s products or services and their
environmental impact
 Nonstandard conditions and probable emergency situations
The organization shall define the criteria used to determine environmental impact of their
activities. They must also communicate any significant aspects of their operations that could
have a negative impact on the environment throughout all levels of the organization. This
information must be documented and maintained as part of the EMS records.
In addition, the organization must assure that they have a thorough understanding of any
legal or regulatory requirements that may apply to their organization or to the EMS. Plans
should be developed to address any possible legal requirements and any identified risks to the
environment or opportunities for continual improvement of the EMS.
Environmental Objectives
The ISO 14001:2015 standard requires organizations to set goals or objectives for the proper
maintenance and continual improvement of the EMS. The Environmental Objectives must
align with the Environmental Policy. The objectives must also be documented, preferably
measurable, consistently monitored, maintained, updated and properly communicated. When
developing the plans for achieving the EMS objectives, the organization must consider the
following:
 What are the objectives
 What resources are required to achieve the objectives
 Who is responsible for carrying out the plan
 When will the objective be completed
 How the results will be measured and monitored
 How can the results be shared and integrated into the culture of the organization
Section 7 – Support
Successful development, implementation and maintenance of a new or revised Environmental
Management System is directly related to the amount of support received from all levels of
management within the organization. The ISO 14001:2015 standard requires top management
to devote sufficient resources for establishing, implementing, maintaining and driving
continual improvement of the Environmental Management System.
Competence
In order for any system, process or business to be successful, the personnel supporting the
EMS must demonstrate competency to fulfill their duties. The standard stipulates that
organizations define the education, experience or formal training requirements for all
individuals performing work that affects environmental performance. The organization should
provide any required training for individuals to ensure they are competent in their roles
regarding the EMS and its performance. It is also best practice for the qualifications of
individuals occupying key positions in the organization affecting the execution or performance
of the EMS be documented and available for review by any third-party auditors.
Awareness
Persons performing work shall be made aware of all policies, objectives and their contribution
to the success of the Environmental Management System. In addition, the workers shall be
provided information regarding:
 The significant environmental aspects of their work and any possible environmental
impact that could result from their activities
 Possible implications of not adhering to the EMS policies
 Their expected contribution to the success of the EMS system
Communication
Proper internal and external lines of communication are essential for the success of an
Environmental Management System. Internally the organization must ensure adequate
communication of any relevant EMS information to all levels of the organization.  External
communication must be established to ensure compliance with regulatory or certification
requirements.
Documentation
The EMS must document information required by ISO 14001 and any information specified by
the organization that could affect the success of the EMS.  All information required by the
standard must be documented. All relevant documents shall:
 Follow a standard format determined by the organization
 Have adequate protection of the content and control revisions
 Document changes or updates to documents and ensure changes are identified and
traceable
 Be available for use where and when required, and the content protected
In addition, the document control system must allow for proper access, distribution, storage,
retention and eventual disposition of documents.
Section – 8 Operation
Operational Planning and Control
This section covers information pertaining to the implementation, maintenance and control of
key processes within the EMS.  Proper criteria must be determined for each of the processes.
Controls must be developed within the EMS to assure that environmental factors are
addressed during:
 The design and development phases of the NPI process
 Each stage in the product’s lifecycle
 The selection and procurement of external products, parts or services
 Communication with any external provider or contractor
In addition, properly documented information is required for education and training to assure
the processes are carried out per the EMS plan. All documentation regarding the operation of
the EMS should be controlled and available for review by internal or external auditors.
Emergency Preparedness and Response
In the environmentally conscious business environment of today, organizations must be
prepared to handle any situation that may arise.  Emergency preparedness is the key to
containing and controlling the extent of environmental impact due to accidents, equipment
failures and other possible causes of potentially hazardous events. ISO 14001:2015 requires
the development and implementation of effective emergency preparedness and response
processes. The organization shall:
 Develop plans to prevent or mitigate impact to the environment due to emergency
situations
 Be prepared to adequately respond to any environmental emergencies
 Provide relevant information and emergency response training
 Periodic testing and exercises to demonstrate response capability
 A method for evaluating performance of the processes
Furthermore, the organization must maintain and retain documented information regarding
the processes and emergency response plans.
Section – 9 Performance
Performance evaluation falls within the “Check” portion of the PDCA process. The ISO 14001
standard requires that organizations establish procedures for monitoring and measuring the
performance of the EMS. The organization should determine the criteria by which the
performance of the EMS system shall be evaluated. An internal auditing process must also be
developed and implemented. Internal audits are to be performed at designated intervals to
ensure the EMS is meeting internal, legal / regulatory and ISO requirements. Records of the
audit results shall be retained and available for review. The audit findings may serve as
evidence of the Environmental Management System’s effectiveness. Organizational leadership
meetings should be held at regular intervals to review the performance of the EMS. The subject
matter of the review meetings may include, but is not limited to, the following:
 Status of actions from previous reviews
 Internal or external issues impacting the EMS
 Any possible risks and opportunities relating to the EMS
 The performance of the EMS in meeting planned objectives
Management should report any relevant information resulting from the reviews to workers and
other interested parties. The organization shall also retain documented records of the results
of the management reviews.
Section 10 – Continual Improvement
Organizations compliant to the standard must actively look for opportunities to continually
improve the EMS and allow for achievement of the EMS intended goals and objectives.
Continual improvement is defined as improvement that occurs over a period with intervals of
interruption. This differs from continuous improvement that occurs without periods of
interruption.
The standard requires organizations to establish processes for reporting and investigating
incidents or EMS nonconformities, and developing effective corrective actions. Organizations
should ensure that the root cause of any nonconformity is identified and addressed
through Root Cause Analysis (RCA). The root cause is the true underlying or fundamental
cause of nonconformity. If the root cause is not determined, the issue may re-occur within the
same process or elsewhere in the organization. Multiple tools are available for performing RCA.
Some of the most commonly used tools are:
 Eight Disciplines of Problem Solving (8D)
 5 Why
 Failure Mode and Effects Analysis (FMEA)
 Is / Is Not Analysis
 Ishikawa or Fishbone Diagram
Upon determining the root cause, appropriate corrective actions must be developed to address
the non-conformity and prevent future occurrences. In addition, an action plan should be
developed for implementation of the corrective actions and document their effectiveness. It is
also good methodology to document the activities using a continual improvement plan and
review record. The purpose of this record is to document the results of continual improvement
actions and their effectiveness.
Protection of our environment is vital for the future of our civilization. We must consider any
probable negative impacts to the environment throughout the product’s lifecycle. As previously
stated, the ISO 14001 standard incorporates the PDCA cycle approach towards building,
operating and continually improving your EMS. Within the PDCA cycle, the Plan phase deals
with the beginning stages of an organization becoming ISO 14001-compliant. The Do phase is
the implementation and operation of the ISO 14001 standard within an organization. The
Check phase deals with checking and correcting errors within the system along with periodic
reviews of EMS performance by top management. The Act phase ensures that the cycle never
ends as an organization continually finds ways to improve their EMS.