Introduction to

ISO 14000 Series

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What is ISO?

International Organization for Standardization

founded in 1947.
Goal of ISO:
To promote the development of Standardization
and related activities in the world with a view to
facilitating the international exchange of goods
and services and to develop the sphere of
intellectual, scientific, technological and economic
activity.
India is a member of it and represented by BIS
(Bureau of Indian Standards)

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Type of Standards
Specification Standards: Contains only
those requirements that may be objectively
audited for certification purposes.
Guidance Standards: Provide guidance
on the development and implementation of
environmental management systems and
principles, and their co-ordination with
other management systems.

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Family of ISO 14000

ISO 14000
Process Oriented
Standards

Product Oriented
Standards

Environmental
Management System

Life Cycle Assessment

Environmental
Performance Evaluation

Environmental Labeling

Environmental Auditing

Environmental Aspects in
Product Standards

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Some of the Standards

ISO 14001:2004

ISO 14041:1998

ISO14004:2004

ISO 14042:2000

ISO 19011:2002

ISO 14043:2002

ISO 14015:2001

ISO 14048:2002

ISO 14020:1998
ISO 14021:1999
ISO 14024:1999
ISO TR

14025:2000

ISO TR 14049:2000
ISO 14050:2002
ISO Guide 64:1997
ISO/TR 14062:2002

ISO 14031:1999

ISO 14063:2006

ISO/TR

ISO 14064

14032:1999

ISO 14040: 1997

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ISO 14001:2004
Environmental Management
Systems - Requirements
with
Guidance for Use

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How to
enter?

What is required
to enter?

PROCESS APPROACH

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PROCESS APPROACH
Management
Review

Environmental
Policy

Continual
Improvement

Planning

Checking and
Corrective action
Implementation
and Operation

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Start
Environmental
Policy

Management
Review
Continual
Improvement

Planning
Checking /Corrective Actions
Environmental Aspects
Monitoring & Measurement
Legal and other Requirements
Evaluation of Compliance
Objectives, Targets &
Nonconformity, corrective
Programmes
action & preventive actions
Control of Records
Implementation
Internal Audit
Resources, role, responsibility & Authority
Competence, Awareness & Training
Communication
Documentation
Control of Documents
Operational control
Emergency preparedness & Response

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Policy
Planning
Implementation &
Operation

Environmental Policy

Environmental Aspects
Legal & Other
Requirements

Documentation
Resources, Roles,
Responsibility and Authority

Control of Documents

1
Stage

Checking

st

Management
Review

Objectives & Targets

and Programs

3rd
Stage
Competence, Training
and Awareness

Operational
Operational Control
Control (and) Contractor Management
Emergency Preparedness
& Response

2nd
Stage

Communication
Monitoring &
Measurement

4th
Stage
Evaluation of Compliance
Nonconformity, Corrective
Action & Preventive Action

Control of Records

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Internal Audit
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Management Review

ISO 14001:2004
EMS

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Definitions
New Definitions:
Earlier standard Provided 13 Definitions now 20 Definitions
Following 7 new Definitions were added
Auditor person with the competence to conduct an audit
corrective action: action to eliminate the cause of a detected
nonconformity
Document information and its supporting media
internal audit: systematic, independent and documented process for
obtaining audit evidence and evaluating it objectively to determine the
extent to which the environmental management system audit criteria set
by the organization are fulfilled
Nonconformity : non-fulfilment of a requirement
Preventive action: Action to eliminate the cause of a potential
nonconformity

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Definitions
Procedure - specified way to carry out an activity or a
process - Note: Procedure can be documented or not
Record document stating results achieved or providing
evidence of activities performed
These are the new Additional Definitions provided by the
Standard

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Clause interpretations
Only the changes ----4.1 General Requirements
determine how it will fulfill these requirements
Required: organization shall define and
document the scope of its environmental
management system.

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Clause interpretations
Only the changes ------4.2 Environmental Policy
The Same except
They must ensure that within the defined scope of its EMS
the policy
The Policy must be consistent with the scope, HOWEVER,
the Scope does not need to be in the Policy nor does the
Policy need to be in the Scope

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Clause interpretations
Only the changes-----4.3.1 Environmental Aspects
All the Activities, Products and Services needs to be
covered by the EMS
Must be documented
Significant Aspects to be considered in Establishing
implementing and maintain EMS earlier only to set
Objectives

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Clause interpretations
Only the changes -----4.3.2 Legal and other requirements
Identify Legal Requirement of the organizations
environmental aspects and other requirements to which
they subscribes
Specified related to environmental Aspects
And determine how these requirements apply to its
environmental aspects
Ensure the environmental legal and other requirements are
considered in developing, implementing and maintaining
the EMS
NO Significant Change

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Clause interpretations
Only the changes-------4.3.3 Objective, targets and programs
Objectives and targets shall be measurable where
practicable and consistent with the policy including
commitments to prevention of pollution, compliance with
legal and other requirements and continual improvement
The Programs sub-clause now included here including
means, time frame and responsibility
Requirement to amend programs for new or modified
activities, products or services is GONE!! but the Aspects
must now take these into account

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Clause interpretations
Only the changes ---4.4.1 Resources, roles, responsibilities
and authority
Very similar except:
Management must ensure the availability of resources (not
provide them)
Resources now include internal infrastructure (similar to
ISO 9000:2000 requirements)

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Clause interpretations
Only the changes----4.4.2 Competence, training and awareness
1. Competence is a higher priority
2. Identify training needs provide training or take action to fill the needs
3. Ensure competence of anyone performing tasks on their behalf that
could cause significant environmental impacts
4. Procedures for making people aware of the importance of conformity
with procedures, policies, etc. must now include anyone working on
their behalf
5. Awareness for the people working for it or on its behalf aware of EMS
systems requirements

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Clause interpretations
Only the changes ---- 4.4.3 Communication
Very similar except:

Document the decision to communicate about significant

aspects If they decide to communicate this they must
establish a method for this external communication

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Clause interpretations
Only the Changes --- 4.4.4 Documentation
Documentation shall include: Provides more Clarity
Policy, Objectives and Targets
Main elements of the system and their interaction and
related references (Core elements is GONE)
Documents and Records required by the Standard
Documents and Records determined by the organization
necessary to ensure effective planning, operation and
control of processes related to significant aspects

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Clause interpretations
Only the changes 4.4.5 Control of documents
Now clearly includes documents required by the system
and the Standard
Records to be controlled by the Records sub-clause and
not by 4.4.5
Relevant documents are available at points of use
Review and update as necessary and re-approve but not
periodically

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Clause interpretations
Only the changes 4.4.5 Control of documents
Ensure changes and current revisions status are identified
but not necessarily by date
Documents of external origin determined to be necessary
for planning and operation are identified and distribution
controlled
Prevent use of obsolete documents and suitably identify
them

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Clause interpretations
Only the changes ---- 4.4.6 Operational control
Very similar except:
Maintenance not specifically mentioned or excluded since
the clause is focused on significant aspects, maintenance is
included but only for the significant aspects just as always

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Clause interpretations
Only the changes ----4.4.7 Emergency preparedness and
response
Procedures to:
Identify potential emergencies and accidents that can
impact the environment
Respond to actual emergencies and accidents and prevent
or mitigate the environmental impacts
Periodically review and revise procedures where necessary
in particular after an incident (Periodic review only applies
to 4.4.7 procedures)
Periodically test where practicable (unchanged)

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Clause interpretations
Only the changes ---- 4.5.1 Monitoring and measurement
Similar except:
Procedures do not have to be documented
BUT

Procedures have to include the documenting of information

to monitor performance, applicable operational control and
conformity with objectives and targets

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Clause interpretations
Only the changes ---- 4.5.2 Evaluation of Compliance
A new sub-clause for an old requirement The basic
requirement does not change much
The procedure does not have to be documented
Now includes other requirements to which they subscribe
Links to the commitment to compliance

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Clause interpretations
Only the changes --- 4.5.3 Nonconformity, corrective and
preventive action
Requirement for identifying the responsibility for handling
and investigating non-conformances is GONE Cover
under 4.4.1

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Clause interpretations
Only the changes --- 4.5.3 Nonconformity, corrective and
preventive action
Procedures for controlling non-conformities and for taking
corrective and preventive action must include:
Identification of actual nonconformities and correction
and mitigation of impacts
To investigate and eliminate the cause of actual
nonconformities and to eliminate potential
nonconformities
Review actions taken and implement and document
changes
Note: Nonconformity is a non-fulfillment of a requirement

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Clause interpretations
Only the changes----4.5.4 Records
Clarifies that they must have records to show conformity of
their EMS to their own requirements and to the Standard
including records of evaluation for legal and other
requirements compliance and implementation of
procedures and results
Procedures must now cover identification, storage,
protection, retrieval, retention and disposal

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Clause interpretations
Only the changes ---- 4.5.5 Internal Audits
Must now have Internal audits at planned intervals
Audit program must be planned established and maintained
but the word schedule has been dropped
Audit procedures must include planning as well as
conducting of audits and reporting of results
Include audit scope, frequency, methods and criteria
Auditor independence is still not required BUT it is now a
requirement that auditor selection must ensure objectivity
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and impartiality

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Clause interpretations
Only the changes ---- 4.6 Management Review
Inputs to MR has been specified a to h sub-clauses
Management Review shall include assessing opportunities
for improvement
Outputs in the form of
Decisions and Actions Related to EMS systems and
Continual improvements

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Clause interpretations
Only the changes ---- 4.6 Management Review
Mgt Review Inputs defined including:
Audit results
External interested party communications
Performance of the EMS
Extent to which objectives and targets have been met
Status of corrective and preventive actions
Follow-up actions from past Mgt. reviews
Changing circumstances
Recommendations for improvement

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Clause interpretations
Only the changes ---- 4.6 Management Review
Mgt Review Outputs shall include (but are not limited to)
Decisions and actions for possible changes to:
The Policy
Objectives and targets
Other elements of the EMS
That are consistent with the commitment to continual
Improvement
The purpose for the review is still the same to ensure its
(EMS) continuing suitability, adequacy and effectiveness

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Summary of changes
1.Activities Products and Services included in clause no 4.3.1
2. 4.3.3 and 4.3.4 Combined A logical Decision
3.4.5.2 Added for Periodic review
4. Numbering of the sub Clauses change in 4.5
5. Inputs and Outputs included in the Management Review
No major Impact on existing EMS systems for an Organization

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QUESTIONS

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