ISO 14001 Guide: Key Requirements for Environmental Management

ISO 14001:2015
ENVIRONMENTAL
MANAGEMENT SYSTEM
THE INTERPRETATION OF THE
REQUIREMENTS

1 Scope (Summary)
2
This clause relates to the scope or coverage of the standard to help
organizations achieve the intended outcomes of its EMS.

2 Normative Reference (Summary)
3
There are no normative references, for example other additional
requirements in other standards, that have to be considered. The clause is
retained in order to maintain the same numbering scheme as all the other
management system standards.

3 Terms and Definitions (Summary)
4
At first sight, the listing of terms and definitions seems confusing as they
are not in alphabetical order. Instead, the approach stipulated by ISO is
that terms and definitions are in the order that they appear in the standard.
It may be easier to use this listing in conjunction with the alphabetical
listing in Annex C.

4 Context of the Organization (Summary)
5
This is a new clause that establishes the context of the EMS and how the business
strategy supports this. ‘Context of the organization’ is the clause that underpins the
rest of the standard. It gives an organization the opportunity to identify and
understand the factors and parties that can affect, either positively or negatively,
the EMS.
Firstly, the organization will need to determine external and internal issues that are
relevant to its purpose i.e. what are the relevant issues, both inside and out, that
have an impact on or affect its ability to achieve the intended outcome(s) of the
EMS. Importantly, issues should include not only environmental conditions that the
organization affects but also those that it is affected by. An organization will also
need to identify the ‘interested parties’ relevant to their EMS and their needs.
These could include customers, communities, suppliers and non-government
organizations and may change over time.
Finally, the last requirement is to establish, implement, maintain and continually
improve the EMS in accordance with the requirements of the standard.

5 Leadership (Summary)
6
This clause is all about the role of “top management” which is the person or group
of people who directs and controls the organization at the highest level. The
purpose is to demonstrate leadership and commitment by integrating
environmental management into business processes.
Top management must demonstrate a greater involvement in the management
system and need to establish the environmental policy, which can include
commitments specific to an organization’s context beyond those directly required,
such as the ‘protection of the environment’.
There is greater focus on top management to commit to continual improvement of
the EMS. Communication is key and top management have a responsibility to
ensure the EMS is made available, communicated, maintained and understood by
all parties.
Finally, top management need to assign relevant responsibilities and authorities,
highlighting two particular roles concerning EMS conformance to ISO 14001 and
reporting on EMS performance.

6 Planning (Summary)
7
This clause focuses on how an organization plans actions to address both risks
and opportunities which have been identified in Clause 4. It focuses the
organization on the development and use of a planning process, rather than a
procedure to address both a range of factors and the risk associated with such
factors.
Consideration of risks needs to be proportionate to the potential impact they may
have, and opportunities could include substitute raw materials for example. For the
first time, there is an explicit reference to abnormal and emergency situations.
Even more importantly, the reference to a consideration of a life cycle perspective
and the clause notes highlights that significant aspects can give rise to risks that
are both beneficial and adverse. Another key area of this clause is the need to
establish measureable environmental objectives.
Finally this clause covers what is referred to as “planning of changes”. This has to
be done in a systematic manner. Organizations should consider identifying who is
involved, when changes are to take place and the potential consequences of
change.

7 Support (Summary)
8
This clause is all about the execution of the plans and processes that enable an
organization to meet their EMS. Simply expressed, this is a very powerful
requirement covering all EMS resource needs.
Organizations will need to determine the necessary competence of people doing
work that, under its control, affects its environmental performance, its ability to fulfil
its compliance obligations and ensure they receive the appropriate training.
In addition, organizations need to ensure that all people doing work under the
organization’s control are aware of the environmental policy, how their work may
impact this and implications of not conforming with the EMS. Finally, there are the
requirements for ‘documented information’ which relate to the creation, updating
and control of specific data.

8 Operation (Summary)
9
This clause deals with the execution of the plans and processes that enable the
organization to meet their environmental objectives.
There are specific requirements that relate to the control or influence exercised
over outsourced processes and the requirement to consider certain operational
aspects ‘consistent with a life cycle perspective’. This means giving serious
consideration to how actual or potential environmental impacts happening
upstream and downstream of an organization’s site-based operations are
influenced or (where possible) controlled.
Finally, the clause also covers the procurement of products and services, as well
as controls to ensure that environmental requirements relating to design, delivery,
use and end-of-life treatment of an organization’s products and services are
considered at an appropriate stage.

9 Performance Evaluation (Summary)
10
This is all about measuring and evaluating your EMS to ensure that it is effective
and it helps you to continually improve. You will need to consider what should be
measured, the methods employed and when data should be analysed and
reported on. As a general recommendation, organizations should determine what
information they need to evaluate environmental performance and effectiveness.
Internal audits will need to be carried out, and there are certain “audit criteria” that
are defined to ensure that the results of these audits are reported to relevant
management. Finally, management reviews will need to be carried out and
“documented information” must be kept as evidence.

10 Improvement (Summary)
11
This clause requires organizations to determine and identify opportunities for
continual improvement of the EMS. The requirement for continual improvement
has been extended to ensure that the suitability and adequacy of the EMS—as
well as its effectiveness—are considered in the light of enhanced environmental
performance. There are some actions that are required that cover handling of
corrective actions. Firstly organizations need to react to the nonconformities and
take action. Secondly they need to identify whether similar nonconformities exist or
could potentially occur. This clause requires organizations to determine and
identify opportunities for continual improvement of the EMS. There is a
requirement to actively look out for opportunities to improve processes, products or
services; particularly with future customer requirements in mind.

4 Context of the Organization
12
4.1 Understanding the Organization and its Context
The organization shall determine
external and internal issues that are relevant to its purpose and
that affect its ability to achieve the intended outcomes of its
EMS.
Such issues shall include environmental conditions being
affected by or capable of affecting the organization.

Group Activity 1
13
Identify Internal and External
Issues

14
4.2 Understanding the Needs and Expectations of
Interested Parties
The organization shall determine:
a)the interested parties that are relevant to the EMS
b)Needs and expectations (i.e. requirements) of these
interested parties;
c)Needs and expectations become its compliance obligations.

Group Activity 2
15
Identify Interested parties and
their needs and expectations

16
4.3 Determining the Scope of the EMS
The organization shall determine the boundaries and applicability
of the EMS to establish its scope.
When determining this scope, the organization shall consider:
a) the external and internal issues referred to in 4.1;
b) the compliance obligations referred to in 4.2;
c) its organizational unit(s), function(s), and physical
boundaries;
d) its activities, products and services;
e) its authority and ability to exercise control and influence.

4.3 Determining the Scope of the EMS (continued)
17
 Once the scope is defined, all activities, products and
services of the organization within that scope need to be
included in the EMS.
 The scope shall be maintained as documented information
and be available to interested parties.

4.4 Environmental Management System
18
 To achieve the intended outcomes and enhance environmental
performance, the organization shall establish, implement,
maintain and continually improve the EMS.
 including the processes needed and their interactions, in
accordance with the requirements of this International Standard.
 Consider the knowledge gained in 4.1 and 4.2 when establishing
and maintaining the EMS.

5.1 Leadership and Commitment
Top management shall demonstrate leadership and commitment
19
with respect to the EMS by:
a)taking accountability for effectiveness of the EMS;
b)environmental policy and environmental objectives are
established
c)ensuring the integration of the EMS;
d)ensuring that the resources needed are available;
e)communicating the importance of effective environmental
management and conforming to the EMS requirements.
5 Leadership

5.1 Leadership and Commitment (continued)
20
f) ensuring that the EMS achieves its intended outcomes;
g) directing and supporting persons to contribute to
effectiveness;
h) promoting continual improvement;
i) supporting other relevant management roles to demonstrate
their leadership
 NOTE: Reference to “business” in this International
Standard can be interpreted broadly to mean those
activities that are core to the purposes of the
organization’s existence.
5 Leadership

5.2 Environmental Policy
21
Part 1
Top management shall establish, implement and maintain an
environmental policy
Part 2
The environmental policy shall:
• be maintained as documented information;
• be communicated within the organization;
• be available to interested parties.
5 Leadership

Group Activity 3
22
Draft a policy or review your
existing policy against the
ISO14001 requirements

5.3 Organizational Roles, Responsibilities and Authorities
23
 Top management shall ensure that the responsibilities and
authorities for relevant roles are assigned and communicated
within the organization.
 Top management shall assign the responsibility and authority
for:
• ensuring that the EMS conforms to the requirements of this
International Standard;
• reporting on the performance of the EMS including
environmental performance, to top management.
5 Leadership

 6.1 Actions to Address Risks and
Opportunities
• 6.1.1 General
• 6.1.2 Environmental Aspects
24
6 Planning

 6.1 Actions to Address Risks and Opportunities
The organization shall consider:
a) the issues referred to in 4.1;
b) the requirements referred to in 4.2;
c) the scope of its EMS; and determine the risks and opportunities, related to its
environmental aspects (see 6.1.2), compliance obligations (see 6.1.3) and other issues
and requirements, identified in 4.1 and 4.2, that need to be addressed to:
— give assurance that the EMS can achieve its intended outcomes;
— prevent or reduce undesired effects (including the potential for external
environmental conditions to affect the organization);
— achieve continual improvement.
Within the scope of the EMS, the organization shall determine potential
emergency situations, including those that can have an environmental impact.
25
6 Planning

Group Activity 4
26
Identify Risk and Opportunities

• 6.1.2 Environmental Aspects
The organization shall determine the environmental aspects of its activities,
products and services that it can control / it can influence, and their
associated environmental impacts, considering a life cycle perspective.
When determining environmental aspects, the organization shall take into
account:
a) change, planned or new developments, new or modified activities,
products and services;
b) abnormal conditions and foreseeable emergency situations.
Determine those aspects that have or can have a significant environmental
aspects & impact by using established criteria.
Communicate its significant environmental aspects among the various
levels and functions of the organization, as appropriate.
27
6 Planning

• 6.1.2 Environmental Aspects (continue..)
.
The organization shall maintain documented information of its:
 environmental aspects and associated environmental impacts;
 criteria used to determine its significant environmental aspects;
 significant environmental aspects.
NOTE Significant environmental aspects can result in risks and
opportunities associated with either adverse environmental impacts
(threats) or beneficial environmental impacts (opportunities).
28
6 Planning

Group Activity 5
29
Draft / Identify a Aspect and
Impacts or review your existing
Aspects & Impact Register
against the ISO14001
requirements

6.1.3 Compliance Obligations
30
 The organization shall:
a) determine and have access …
b) determine how these compliance obligations apply …
c) take these compliance obligations into account …
d) continually improving its environmental management
system.
 The organization shall maintain documented information of its
compliance obligations.
6 Planning

Group Activity 6
31
Identify applicable compliance
obligations or review your
existing Compliance Obligation
Register against the ISO14001
requirements

6.1.4 Planning Action
32
 The organization shall plan:
• to take actions to address its:
• significant environmental aspects;
• compliance obligations;
• risks and opportunities identified in 6.1.1
6 Planning

6.2 Environmental Objectives and Planning to Achieve Them
33
 6.2.1 Environmental Objectives
 6.2.2 Planning Actions to Achieve Environmental Objectives
 Maintain documented information on the environmental objectives.
6 Planning

7.1 Resources
34
Determine and provide the resources needed for the
establishment,
implementation,
maintenance
continual improvement of the EMS
7 Support

7.2 Competence
35
 The organization shall:
a) determine the necessary competence of person(s) doing work
under its control that affects its environmental performance and
its ability to fulfil its compliance obligations;
b) ensure that these persons are competent on the basis of
appropriate education, training or experience;
c) determine training needs associated with its environmental
aspects and its EMS.
d) where applicable, take actions to acquire the necessary
competence, and evaluate the effectiveness of the actions
taken.
7 Support

7.2 Competence (continued)
36
NOTE: Applicable actions can include, for example, the provision
of training to, the mentoring of, or the reassignment of currently
employed persons; or the hiring or contracting of competent
persons.
The organization shall retain appropriate documented information
as evidence of competence.
7 Support

7.3 Awareness
The organization shall ensure that persons doing work under
the organization’s control are aware of:
37
a) the environmental policy;
b) the significant environmental aspects and related actual or
potential environmental impacts associated with their work;
c) their contribution to the effectiveness of the EMS, including the
benefits of enhanced environmental performance;
d) the implications of not conforming with the EMS requirements,
including not fulfilling the organization’s compliance obligations.
7 Support

Group Activity 7
38
Identify required competency
and awareness for the selected
roles

7.4 Communication
39
 7.4.1 General
 7.4.2 Internal communication
 7.4.3 External communication
 Externally communicate information relevant to the EMS, as
established by the organization’s communication process(s) and
as required by its compliance obligations.
 Respond to relevant communications on its EMS.
 Retain documented information as evidence of its
communications, as appropriate.
7 Support

7.5 Documented Information
40
 7.5.1 General
 7.5.2 Creating and updating
 7.5.3 Control of documented information
7 Support

7 Support
7.5 Documented information
In general, QMS shall include
Documented information required by standard
Documented information for effective QMS

7 Support
Creating and updating
When creating and updating, ensure
Identification and description
Format
Review and approval
•
Documented information has to be controlled to
Be available and suitable for use
Adequately protected

7 Support
Control of documented information
Documented information is controlled by addressing
Distribution, access, retrieval and use
Storage and preservation
Control of changes
Retention and disposition
Control external origin document

8.1 Operational Planning and Control
44
 Establish, implement, control and maintain the processes
needed to meet EMS requirements, and to implement the
actions identified in 6.1 and 6.2, by:
• establishing operating criteria for the process(s);
• implementing control of the process(s), in accordance with
the operating criteria.
 Maintain documented information to the extent necessary to
have confidence that the processes have been carried out as
planned.
8 Operation

8.2 Emergency Preparedness and Response
45
 Establish, implement and maintain the process(es)
needed to prepare for and respond to potential
emergency situations identified in 6.1.1.
 Maintain documented information to the extent
necessary to have confidence that the processes are
carried out as planned.
8 Operation

9.1 Monitoring, Measurement, Analysis and Evaluation
46
 9.1.1 General
• Monitor, measure, analyze and evaluate its environmental
performance.
• Communicate relevant environmental performance
information both internally and externally, as identified in
its communication process(es) and as required by its
compliance obligations.
• Retain appropriate documented information as evidence of
the monitoring, measurement, analysis and evaluation
results.
9 Performance Evaluation

9.1.2 Evaluation of Compliance
47
 Establish, implement and maintain the process(es) needed to
evaluate fulfilment of its compliance obligations.
 Retain documented information as evidence of the compliance
evaluation results.

9.2 Internal Audit
48
 9.2.1 General
• Conduct internal audits at planned intervals to provide
information on whether the EMS is effective or otherwise.
 9.2.2 Internal Audit Program
• Establish, implement and maintain an internal audit program,
including the frequency, methods, responsibilities, planning
requirements and reporting of its internal audits.
• When establishing the internal audit program, the organization
shall take into consideration the environmental importance of the
processes concerned, changes affecting the organization and the
results of previous audits.

9.2 Internal Audit (continued)
49
 Retain documented information as evidence of the
implementation of the audit program and the audit results.

9.3 Management Review
50
 Top management shall review the organization’s EMS at
planned intervals, to ensure its continuing suitability, adequacy
and effectiveness.
 Retain documented information as evidence of the results of
management reviews.

10.1 General
51
 The organization shall determine opportunities for improvement
(see 9.1, 9.2 and 9.3) and implement necessary actions to
achieve the intended outcomes of its EMS.
 10.2 Nonconformity and Corrective Action
• Documenting the nonconformities and the actions that
are taken
10 Improvement

10.3 Continual Improvement
52
 The organization shall continually improve the suitability,
adequacy and effectiveness of the EMS to enhance
environmental performance.
10 Improvement

Thank You
vjmani@creativeeduminds.com
“Take care of our Environment
and It will Protect our future
Generation”

ISO 14001 Guide: Key Requirements for Environmental Management

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