ISO 14001: Standard for EMS

By
Prof. Seema Unnikrishnan

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 Management Systems P2.2

What is MS?
– The movement of information within an organisation
to facilitate decision making and the efficient use of
resources.
– Management Systems within an organisation:
• Financial, Communication / Information, Personnel,
Quality, Health and Safety, Environmental
MS is the means, not the goal

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 Why Standard for EMS?

Need to demonstrate environmental

performance
Yardstick to evaluate
EMS Standard analogous to QMS
Standard
– Continuous improvement
– Prescriptive
– Basic framework

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 ISO 14001 Proactive Approach P2.2

Reactive Proactive Deming Model

Establish Policy
Carry out analysis of
Review & current position
revise as Establish goals &
WAIT necessary PLAN objectives

CURE IDENTIFY ACT DO

REACT CHECK
Design & implement
management system
to achieve above
Audit performance of
management system -
is it achieving your
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 Evaluation & Management Product oriented
Auditing Systems support tools

Auditing EMS Life cycle

guidelines Assessment
specification
ISO ISO 14040
ISO 14001 14041
14010
14011 14042
14012 EMS guide Eco labelling
ISO 14004 ISO 14020
19011 14021
14024
Terms & definitions ISO 14050

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The following table illustrates

clause structure of ISO 14001:2004 and ISO 14001:2015.

ISO 14001:2004 ISO 14001:2015

0. Introduction 0. Introduction
1. Scope 1. Scope
2. Normative References 2. Normative References
3. Terms and Definitions 3. Terms and Definitions
4.1 General Requirements 4. Context of the Organization
4.2 Environmental Policy 5. Leadership
4.3 Planning 6. Planning
4.4 Implementation and 7. Support
Operation
4.5 Checking 8. Operations
4.6 Management Review 9. Performance Evaluations

10.Improvement
 PLAN DO CHECK ACT
8. Operation 9. Performance
4. Context of the 5. Leadership 6. Planning 7. Support evaluation 10. Improvement
organization

4.1 Understanding 5.1 Leadership and 6.1 Actions to 7.1 Resources 8.1 Operational 9.1 Monitoring, 10.1 General
the organization commitment address risk planning and measurement,
and its context associated with control analysis and
threats and evaluation
opportunities

4.2 Understanding 5.2 Environmental 6.2 Environmental 7.2 Competence 8.2 Emergency 9.2 Internal audit 10.2 Nonconformity
the needs and policy objectives and preparedness and and corrective
expectations of planning to achieve response action
interested parties them
4.3 Determining the 5.3 Organizational 9.3 Management
scope of the EMS roles, 7.3 Awareness review 10.3 Continual
responsibilities and improvement
authorities
4.4 Environmental
management
system
7.4 Communication

7.5 Documented information

 2004 versus 2015
4.3.1. Environmental aspects 6.1.2. Identification of environmental
hazards

6.1.4 Determining significant

environmental aspects and
organizational risks and
opportunities

4.3.2. Legal and other requirements 6.1.3 Determination of compliance

obligations

4.3.3. Objectives, targets and 6.2. Environmental objectives and

programme(s) planning to achieve them

6.2.1 Environmental objectives

6.2.2. Planning to achieve objectives

 2004 versus 2015

4.4. Implementation and operation (title 7. Support (title only)

only)
8. Operation (title only)

5. Leadership (title only)

4.4.1. Resources, roles, responsibility and 7.1. Resources

authority
5.3. Organizational roles, responsibilities
and authorities
4.4.2. Competence, training and awareness 7.2. Competence

7.3. Awareness

4.4.3. Communication 7.4. Communication (title only)

7.4.1. General

7.4.2. Internal communication

7.4.3. External communication and

reporting

4.4.4. Documentation 7.5. Documented information (title only)

7.5.1. General

4.4.5. Control of documentation 7.5.2. Creating and updating

7.5.3. Control of documented information

4.4.6. Operational control 8.1. Operational planning and control

8.2. Value chain control

4.4.7. Emergency preparedness and 8.3. Emergency preparedness and

response response

4.5. Checking (title only) 9. Performance evaluation (title only)

4.5.1. Monitoring and measurement 9.1. Monitoring, measurement, analysis

and evaluation (title only)

9.1.1. General

4.5.2. Evaluation of compliance 9.1.2. Evaluation of compliance

4.5.3. Nonconformity, corrective action and 10.1. Nonconformity and corrective action
preventive action

4.5.4. Control of records 7.5.3. Control of documented information

4.5.5. Internal audit 9.2. Internal audit

4.6. Management review 9.3. Management review

10. Improvement (title only)

 4.1 Understanding the organization
and its context.
This is a new requirement: one of several
that might suggest a greater union
between the EMS or IMS and wider
business planning activities.
Requires organizations to ascertain,
monitor and review both internal and
external issues that are relevant to its
purpose and strategic direction, and have
the ability to impact the management
system and its intended results.
4.2 Understanding the needs and
expectations of interested parties.

Requires the organization to

determine which interested
parties are relevant to the EMS,
what are their relevant needs
and expectations, and which of
those become compliance (i.e.
legal or regulatory) obligations.
4.3 Determining the scope of the EMS.

 Determine the boundaries and

applicability of the EMS e.g. the
geographical and organizational
boundaries to which the EMS system will
apply.
 This scope must include any activities,
products and services that can have
significant environmental aspects.
A scope statement must be documented
and made available to interested parties.
 Interested Party

Individual or group concerned with or affected by

the environmental performance of an
organization.
– Customer
– Government agencies
– Employees
– Stake holders

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 Scope of control and influence
P5.1

Scope of control Scope of influence

Waste materials
Supplier Raw Noise
companies Materials
Packaging

Power PRODUCTION End of

Energy Use by
Supply PRODUCT customer life -
companies PROCESSES disposal

Water
Supply Water
companies
Discharges

Contractors & Sub-contractors

4.4 Environmental management
system
.

 States requirement for the organization to

establish, implement, maintain and
continue to improve an EMS.
 This largely replaces the requirement
expressed in clause 4.1 of the previous
standard, but adds a requirement for the
organization to consider knowledge of its
context when establishing and maintaining
the EMS.
 Environmental Management
Programme(s)
Programme(s) to achieve all objectives & targets
shall include:
– Responsibility
– Means & timeframe
Means
– Methodology, resources, expertise, equipment, plant
, machinery
Review mechanism

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 Environmental Management
Programme(s)
Shall apply to, if appropriate, new developments
and new products, services, activities.
Guidance:
– Treat EMP as Action Plans to achieve objectives and
targets

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 EMP P8.2

Management Programme
– Needs to be clear and well-planned
– Contains the means by which the objectives and
targets are to be achieved
– Identify resources required
– Allocate responsibilities for tasks
– Set time-frames required

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5.1 Leadership and commitment

5.1 Greater emphasis is placed on the role of top

management. Requires top management to demonstrate
leadership and commitment, and be accountable for the
effectiveness of the EMS. This suggests that a more hands-on
approach is expected.
5.2 Environmental policy.
 This replaces a broadly similar requirement in clause 4.2
of the 2004 standard. A requirement is introduced that
the policy is appropriate to the context of the
organization.
5.3 Organizational roles, responsibilities and authorities.
 The requirement for a specific management
representative is no longer specified.
 4.2 [now 5.2]Environmental policy

Top management shall define the organization’s

environmental policy and ensure that it:
a) is appropriate to the nature, scale and environmental
impacts of its activities, products and services within
the defined scope of the environmental management
system;
b) includes a commitment to continual improvement and
prevention of pollution;
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c) includes a commitment to comply with applicable
environmental legislation, regulations and other
requirements to which the organization subscribes;
d) provides the framework for setting and reviewing
environmental objectives and targets;
e) is documented, implemented and maintained and
communicated to all persons within the organization;
f) is available to the public.

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6. Planning

6.1 Actions
to address risk associated with threats and
opportunities.
 This incorporates the planning requirements from clause 4.3
of the 2004 standard e.g. aspects, impacts, legal and
regulatory requirements. Greater emphasis is placed on
taking a risk-based approach, considering the context of the
organization and the requirements of relevant interested
parties.
6.2 Environmental objectives and planning to achieve them.
 This is broadly similar to the requirements of clause 4.3.3
Objectives, targets and programme(s) in the 2004 standard.
Additional details are added for progress towards achieving
objectives to be monitored and indicated.
 4.3 [ now 6] Planning
4.3.1 Environmental aspects
The organization shall establish and maintain (a)
procedure(s) to:
identify the environmental aspects of its activities,
products and services within the defined scope of the
environmental management system (taking into account
planned or new developments or new or modified
activities, products and services) that it can control and
those over which it can be expected to have an
influence; and
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 Environmental Impacts

Any change to environment, adverse or

beneficial, due to organization’s activities,
products or services.
Effect due to aspect
– Air / water / soil pollution
– Resource depletion, Climatic changes
– Deforestation, ozone layer depletion

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 Environmental Aspects

Elements of organization’s activities, products or

services which can interact with the
environment.
Whatever one takes & releases
– Resource / energy consumption
– Emissions, wastewater, solid waste

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 Environmental Aspects P5.1

ISO14001 requirements
– Procedure to identify environmental aspects
– Consider all aspects under control and influence
(direct and indirect)
– Determine those which have or can have a
significant impact
– Consider significant aspects when setting objectives
– Keep the information up-to-date (ongoing process)

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 Significant Aspects

No absolute requirements
Organization to decide significance
Process highly organization specific
Auditors of certifying agency to check only the
consistency in approach

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 Significance of Aspects P5.3

What makes an aspect significant?

– Actual and potential regulatory control
– Environmental Policy
– Business exposure - cost, public image, client
concern, cause work to stop
– Scale and severity of environmental impact (e.g.
local, regional or global in scope)
– Views of stakeholders and interested parties

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 Legal & Other Requirements P6.1

Central State
Organization

Local

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 Regulatory Issues P6.1

Noise and Nuisance Air, water and

land pollution

Producer Other
responsibility /
packaging

Waste Management
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 P7.2
6.2 Objectives and planning to achieve them

Establish and maintain documented

environmental objectives and targets, at each
relevant function and level within the
organization
Consistent with environmental policy, including
commitment to pollution prevention

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 Objectives & Targets

Consider:
– legal and other requirements
– significant environmental aspects
– technological options
– financial, operational and business requirements
– views of interested parties

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 Relationship
Policy: We will minimize waste generation.
Objective: We will reduce land-fill waste by 15%
by end of 200?.
Targets: We will
– reduce plant waste by 10 %...
– recycle plant waste by 8 %...

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 Achieving objectives and targets P8.2

What do
EMP we need to
do?
Why do
we need
to do it? When do we
need to do it?

Who will do it?

How will it be
Where will it be done?
done?

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 7. SUPPORT
7.1 Resources
Define roles, responsibilities
& authorities
Document & Communicate
Provide resources
Appoint MR

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 7.2Competence

Competence
Education, training, and/or experience
Training need analysis

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 7.3 Awareness

Make personnel aware of

– Importance of conforming with environmental policy
– Environmental impacts of work activity
– Consequence of departing from specified operating
procedures
Establish training procedures

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7. Support

7.4 Communication.
 This clause is considerably reworded and expanded from
the equivalent clause 4.4.3 in the 2004 standard.
 It adds requirements for the organization to respond to
relevant communications on its EMS, and to retain
documented evidence of its communications.
 Interestingly, there is also a new requirement to ensure
that the information communicated is consistent with
that generated within the EMS, and is reliable.
 So, there should only be one version of the truth – and if
an environmental communication proves to be
‘unreliable’ that would presumably constitute a
nonconformity.
 Communications

– Internal: between levels & functions

– External
• Procedure for receiving, documenting and responding to
the requests from interested parties
– Decide on communication on significant
environmental aspects and record decision.

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7.5 Documented information

 In a controversial change that will no doubt

confuse many, “Documents”,
“Documentation” and “Records” are
combined to become “Documented
information”.
 Requirements are expanded to mention
issues such as confidentiality, access, and
(data) integrity. This suggests an adoption
of information security considerations in
recognition of the increasing use of
electronic documents/data.
8. Operations

8.1 Operational planning and control.

 This clause is considerably reworded and expanded
from the equivalent clause 4.4.6 in the 2004
standard. It adds requirements for the organization
to control or influence outsourced work, and for the
type and degree of control applied to be defined
within the EMS.
 Reference is made to taking a life-cycle perspective
when determining, establishing and communicating
environmental requirements to external providers.
 Operational Control

Identify operations & activities associated with

significant aspects
Documented procedure needed where absence
could lead to deviations from policy, objectives &
targets
Stipulate operating criteria

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 Operational Control

Communication of procedures and requirements

to suppliers and contractors
– Guidance
• Analogous to process control
• Difficult to maintain the controls
• Monitor operating criteria

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8.2 Emergency preparedness and
response

 Thisis broadly similar to the requirements

of clause 4.4.7 in the 2004 standard, but
adds the requirement for the organization
to take action to prevent the occurrence of
environmental emergency situations and
accidents. A similar (but not quite so
specific) requirement was included in the
preventive action clause of the 2004
standard.
 Emergency Preparedness &
Response
Procedure(s) to identify potential
& respond to accidents & emergencies
Focus on prevention & mitigation of
ENVIRONMENTAL IMPACTS
Process for review and modification
Train personnel, awareness on role
Periodically test procedures, where needed
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 Emergency Preparedness

Aim to prevent environmental damage due to

accident & emergencies
Identify potential accidents & chalk out response
to them
Update emergency preparedness & response
procedures

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9. Performance Evaluation

9.1 Monitoring, measurement, analysis and evaluation.

 There is a new requirement for the organization to
evaluate its environmental performance and provide
input to the management review.
 There is a requirement to communicate information
relevant to environmental performance both internally
and externally, but only as determined by the
organization’s communication process and as required by
its compliance obligations. So, that may not be a great
deal for many organizations.
9.2 Internal audit.
 This expands on the requirements of clause 4.5.5 in the
2004 standard with is a new requirement that the audit
programme or schedule must take into account the risk
associated with threats and opportunities.
 Monitoring and Measurement

Key characteristics of operations and activities

Compliance with environmental legislation and
regulations
Track performance and conformance with
objectives and targets
Calibration

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 Monitoring & Measurement

Procedure(s) to
– monitor& measure key characteristics of processes
& activities (documented)
– record information to track performance
– calibrate monitoring equipment
– evaluate regulatory compliance (documented)

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9.3 Management review.

 Expanded requirements for management review

inputs – to consider changes in significant
environmental aspects and risk associated with
threats and opportunities, and the adequacy of
resources required for maintaining an effective EMS.
 Requirements for outputs are expanded –
specifically mentioning any resource needs and
implications for the strategic direction of the
organization.
 Management Review

Top management reviews

– Suitability
– Adequacy &
– Effectiveness of EMS
Review frequency defined
Comprehensive
Documented review (record)

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 Management Review
Assess the need for changes in
– Policy
– Objectives &
– Other elements of EMS
in-line with
– Audit results
– Changing circumstances &
– Commitment to continual improvement

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10. Improvement

10.1 Nonconformityand corrective action.

 Specific reference to preventive action is removed.
 The clause now includes an additional requirement to
record the nature of nonconformities.
 On discovering a nonconformity, an explicit
requirement is introduced for the organization to
determine whether other similar nonconformities
actually exist, or could potentially happen within the
scope of the EMS.
10.2 Continual improvement.
 There is a new requirement to continually improve the
EMS to enhance environmental performance.
Nonconformance (NC) & Corrective And
Preventive Action (CAPA)
Procedure for handling & investigating non-
conformances
Mitigate any (environmental) impacts
Complete CAPA
Modify procedures, as applicable

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 NC & CAPA
Response to non-conformances:
– Identify root cause
– Determine CAPA
– Implement actions & verity effectiveness

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