ISO 14001: Standard for EMS

By
Prof. Seema Unnikrishnan

NITIE

Management Systems
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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P2.2

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

Reactive

WAIT

CURE

IDENTIFY
REACT

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P2.2

Proactive Deming Model

Review &
revise as
necessary

PLAN

ACT

Establish Policy
Carry out analysis of
current position
Establish goals &
objectives

DO
CHECK

Audit performance of
management system is it achieving your
goals and objectives

Design & implement

management system
to achieve above

Evaluation &
Auditing
Auditing
guidelines
ISO
14010
14011
14012

Management Product oriented

Systems
support tools
EMS
specification
ISO 14001
EMS guide
ISO 14004

19011
Terms & definitions ISO 14050
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Life cycle
Assessment
ISO 14040
14041
14042
Eco labelling
ISO 14020
14021
14024

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

Operation
4.5 Checking

7. Support

4.6 Management Review

9. Performance Evaluations

8. Operations

10.Improvement

2004 versus 2015

2004 versus 2015

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.

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.

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Customer
Government agencies
Employees
Stake holders

Scope of control and influence

P5.1

Scope of control

Scope of influence

Waste materials
Supplier
companies

Raw
Materials

Power
Supply
companies

Energy

Water
Supply
companies

Water

Noise
Packaging
PRODUCTION
PROCESSES

Use by
PRODUCT customer

Discharges
Contractors & Sub-contractors

End of
life disposal

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
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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P8.2

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 organizations
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 organizations 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 organizations 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
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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P5.1

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
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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P5.3

Legal & Other Requirements

State

Central
Organization

Local
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P6.1

Regulatory Issues
Noise and Nuisance

Producer
responsibility /
packaging

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Air, water and

land pollution

Other

Waste Management

P6.1

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:

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legal and other requirements

significant environmental aspects
technological options
financial, operational and business requirements
views of interested parties

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

EMP
Why do
we need
to do it?

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

Who will do it?

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

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

This

is 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 organizations
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

Nonconformity and 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.
10.1

Nonconformance (NC) & Corrective And

Preventive Action (CAPA)
Procedure for handling & investigating nonconformances
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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