EMS 2015 Course Slides PDF

Environmental
Management Systems
INTRODUCTION
ISO 14001:2015
© Auditor Training Online 2016

Sections included:
 High Level Structure
 Aim and Success Factors
 Plan, Do, Check, Act Approach
 Terms And Definitions
Estimated completion time:

60 minutes
High Level Structure

 ISO 14001:2015 is now based on the ISO High Level Structure (HLS).
 This provides identical structure, text and common terms and definitions for
management systems of the future.
 This ensures streamlined integration with other ISO Management Systems is

a simpler process.
 The HLS uses core text which will be in every management system
standard.
 Contextualized text is then used depending on what the management

system is – whether it be Quality, Safety or Environment.

Examples from the new Annex SL
High Level Structure:
 Clause 1 – Scope
 Clause 2 – Normative References
 Clause 3 – Terms and definitions
 Clause 4 – Context of the Organization
 Clause 5 – Leadership
 Clause 6 – Planning
 Clause 7 – Support
 Clause 8 – Operation
 Clause 9 – Performance Evaluation
 Clause 10 – Improvement
© Auditor Training Online 2016 REFERENCE www.iso.org

Examples of identical definitions
 Organization
 Interested Party
 Policy
 Objective
 Competence
 Conformity
Examples of Identical text
 Top Management shall ensure that the responsibilities and authorities for
relevant roles are assigned and communicated within the organisation.
© Auditor Training Online 2016 REFERENCE www.iso.org

The 10 core clauses of the HLS
1. SCOPE – This is referring to the scope of the ISO standard, not the scope of
the management system. For an environmental management system this
is about the prevention of pollution.
2. NORMATIVE REFERENCES – This section is included to keep the numbering
in alignment with other ISO standards. There are no normative references
for ISO 14001:2015.
3. TERMS AND DEFINITIONS – Includes generic management system terms
and definitions, along with some discipline-specific terms.
4. CONTEXT OF THE ORGANIZATION – The requirement to determine the
issues that influence your organisation, whether they are internal or
external. External context may include areas such as legal,
technological, or cultural and may be international, national or local.
Internal may include areas such as values, culture and knowledge. May
include environmental conditions capable of affecting or being affected.

5. LEADERSHIP – Top management are required to demonstrate leadership.
This may be through the establishment of policies, provision of resources
and the promotion of the environmental management system across the
organization.
6. PLANNING – Objectives and plans are required to be developed using a
risk-based approach. Changes also need to be planned and the
potential consequences are to be identified whether positive or negative.
7. SUPPORT – Resources are required to be provided to support the
environmental management system. This includes the provision of
competent people and appropriate infrastructure and environment,
including monitoring and measuring equipment.

8. OPERATION – There is a strong emphasis on organisations determining the
processes required for their operations, along with acceptance criteria
and contingency plans for occurrences of non-conformances. Change
management and control of external providers (contractors, outsourced
processes and procurement) requirements are also included in this
section.
9. PERFORMANCE EVALUATION – Requires the monitoring of Environmental
impacts or improvements. Compliance obligations, Internal Audits and
Management Review are also included in this section.
10. IMPROVEMENT – Requirements for appropriate actions to address non-
conformances and eliminate the cause to prevent recurrence.

Aim and Success Factors

Systematic framework to protect the
environment and respond to changes
 Developing and implementing an  Protecting the environment
environmental policy and objectives
 Mitigating the potential adverse
 Identifying aspects that can result in impact of environmental conditions
significant environmental impacts
 Assisting in conforming to
 Establishing systematic processes compliance obligations
and operational controls
LEADS TO
 Enhancing environmental
 Increasing awareness of its performance
relationship with the environment
 Controlling or influencing the way
 Evaluation of environmental products/services are designed,
performance manufactured, distributed,
consumed and disposed of
 Achieving financial and operational

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Definition
LIFE CYCLE
 Consecutive and interlinked stages of a product system, from raw material
acquisition or generation from natural resources to end-of-life treatment.
 Includes activities, products and services and may include procured
goods and services, as well as end-of-life treatment of products and
delivery of services. For example, design, manufacture, transport,
packaging and end-use or disposal.
The aim of an EMS specifically

includes the consideration of using a
life cycle perspective that can
prevent environmental burdens from
being inadvertently shifted elsewhere
within the cycle.

Adoption of ISO 14001, and even certification, however, will not guarantee
optimal environmental outcomes.
Many organizations can carry out similar activities however may have very
different obligations regarding compliance, commitments and performance
goals and yet all still conform to ISO 14001.

Plan, Do, Check, Act Approach

The methodology known as Plan-Do-Check-Act (PDCA) can be applied to
all processes of the environmental management system processes. The
PDCA model demonstrates a process used by organizations to achieve
continual improvement.
ISO 14001 describes PDCA as follows:
Cycle Description
Establish objectives and processes necessary to deliver results in

Plan
accordance with the organization’s policies
Do Implement the processes as planned
Monitor and measure processes against the policy, including its

Check commitments, objectives and operational controls, and report
the results
Act Take actions to continually improve

The success of an EMS depends on commitment from all levels and function
of the organization, led by top management (Leadership). The PDCA
concept integrates into the ISO 14001 framework.

The methodology known as Plan-Do-Check-Act (PDCA) can be applied to
all processes of the environmental management system processes.
The clauses of ISO 14001:2015 broadly follow the PDCA cycle. The figure
below demonstrates how a single process within an environmental
management system can be managed using the PDCA cycle.

Terms and Definitions

As part of this course you are expected to be familiar with the definitions
which are used in ISO 14001:2015.
These will be common across all management systems that have moved to
the High Level Structure.
Some common terms and definitions have been highlighted on the following
pages.
It will also be helpful for you to understand the terms and definitions so that
when we refer to certain words and phrases you understand their meaning
and particular significance.
Take some time to review Clause 3 of this International Standard and the
associated terms and definitions provided.

Terms and Definitions
 AUDIT - Systematic and independent process for obtaining objective
evidence and evaluating it objectively to determine the extent to which
the audit criteria are fulfilled.
 Guidance:
This is an organised check by someone other than the people doing the
activity, to determine that what is actually happening is what has been
expected to happen.
If an audit covers more than

An audit can be an internal
one management system type
audit or an external audit and it
e.g. quality and environment or
can be a combined audit or a
quality and safety then this is
joint audit.
called a combined audit

 MANAGEMENT SYSTEM - Set of interrelated or interacting elements of an
organization to establish policies and objectives and processes to achieve
those objectives.
Note:
 A management system can address a single discipline or several disciplines
(e.g. Quality, environment, occupational health and safety)
 CONTINUAL IMPROVEMENT - Recurring activity to enhance performance.

Note:
 Enhancing performance relates to the use of the environmental management
system in order to enhance environmental performance consistent with the
organizations environmental policy.

 ENVIRONMENTAL ASPECT - Element of an organizations activities or
products or services that interacts or can interact with the environment
 ENVIRONMENTAL IMPACT - Change to the environment, whether adverse

or beneficial, wholly or partially resulting from an organizations
environmental aspects.
Note:
 An environmental aspect can cause an environmental impact. A significant
environmental aspect is one that has or can have a significant environmental
impact.
 Significant environmental aspects are determined by the organization
applying one or more criteria.

 PREVENTION OF POLLUTION - Use of processes, practices, techniques,
materials, products, services or energy to avoid, reduce or control
(separately or in combination) the creation, emission or discharge of any
type of pollutant or waste, in order to reduce adverse environmental
impacts.
Note:
 Prevention of pollution can include source reduction or elimination, process,
product or service changes, efficient use of resources, material and energy
substitution, reuse, recovery, recycling, reclamation and treatment.

 TOP MANAGEMENT - Person or group of people who directs and controls
an organization at the highest level
Guidance:
 It is intended to mean, as appropriate, any of the following, e.g. Chief
Executive Office, Managing Director, Chairperson, Board of Directors,
Executive Directors, Managing Partner(s), Single owner, Partner(s) or Senior
Executives/Management.
 INTERESTED PARTY - Person or organization that can affect, be affected

by, or perceive itself to be affected by a decision or activity
Example:
 Customers, owners, people in an organization, suppliers, community, partners
or society that may include competitors or opposing pressure groups.

 DOCUMENTED INFORMATION - Information required to be controlled
and maintained by an organization and the medium on which it is
contained
Guidance:
 Documented information can be in any format and media and from any
source.
 Documented information can refer to the environmental management
system, including related processes. Information created in order for the
organization to operate (documentation), evidence of results achieved
(records).
 Where documented information is required throughout ISO 14001:2015, you
will see this symbol
See Documented
Information

 SHALL - Whenever this word occurs in the standard, it is used to indicate a
requirement that must be fulfilled.
 SHOULD/MAY - These words are used to suggest a course of action. They

are never used to indicate a requirement that must be fulfilled.
 CAN - This word is used to indicate that there is a possibility of, or it is

possible to, or you are able to. It is never used to indicate a requirement
that must be fulfilled.
 EMS – ENVIRONMENTAL MANAGEMENT SYSTEM - An environmental

management system is commonly referred to as an EMS.

Practice Quiz and Assessment
Introduction

Assessment Process
 Practice Quiz
 6 Questions (random question pool)

 100% correct is required to progress to the Assessment module
 Your Results include Answers to enable review if 100% is not achieved
 Unlimited attempts to ensure sufficient preparation for the assessment
 Assessment

 100% correct is required to progress to the next Course Presentation
module
 Assessment is locked after 3 failed attempts (please contact support if this occurs)

Commence Practice Quiz
Upon completion of this slide, select ‘Next Module’ and you will be able to
move to the Practice Quiz and then your final Assessment for this Module.
After completing the practice quiz you will be well prepared to take the
Assessment.

30 minutes
Environmental
Management Systems
Context of the Organization
ISO 14001:2015

Sections included:
 Organizational Context
 Organizations Scope
 Risk Based Thinking
 Significant Environmental Aspects
 Compliance Obligations

60 minutes
Organizational Context

Clause 4.1 Understanding the organization and its context
This clause states that the organization shall determine external and internal
issues that are relevant to its purpose and that affect its ability to achieve the
intended outcome(s) of its environmental management system. Those issues
include environmental conditions capable of affecting or being affected by
the organization.
Clause 4.2 Understanding the needs and expectations of interested parties
This clause states that the Organization shall determine:
 The interested parties that are relevant to the environmental

management system
 The relevant needs and expectations (i.e. Requirements) of these
interested parties
 Which of these needs and expectations become compliance
obligations
Together clauses 4.1 and 4.2 require the organization to determine the issues
and requirements that can impact on the planning of the environmental
management system.
Intent:
 An understanding of the issues that have or can have an affect (either

positively or negatively), on the way the organization manages its
responsibilities in relation to the Environmental management system.
 Issues may include characteristics or changing circumstances that can
affect the environmental management system, products or services
and environmental impacts.
 These issues may be from external and/or internal influences.

External issues, may be:
 The cultural, social, political, legal, financial, technological, economic,

natural surroundings and market competition, whether international,
national, regional or local.
 Introduction of new competitors, new technologies, new laws and the
emergence of new occupations.
 Key drivers and trends relevant to the industry or sector having impact
on the objectives of the organization.
 Relationships with and perceptions and values of its external interested
parties.
 Changes in relation to any of the above.

Internal issues, may be:
 Governance, organizational structure, culture, roles and

accountabilities.
 Policies and objectives, and the strategies that are in place to achieve
them.
 The capabilities of the organization, understood in terms of resources
and knowledge (people, processes, systems and technologies).
 Information systems, information flows and decision-making processes
(both formal and informal).
 Relationships with, and perceptions and values of, its internal interested
parties.
 Standards, guidelines and models adopted by the organization.
 The organizations culture.

Aims of these clauses are:
 Assist an organization in determining its risks.

 Developing or enhancing its policies.
 To support effective setting and reviewing of objectives.
 Determining its approach to maintaining compliance with its interested
parties and applicable legal and other requirements.
 To continually monitor and review changes in internal and external
context and apply these to the established environmental
management system.

Organizations Scope

Clause 4.3 : Determining the scope of
the environmental management system
ISO 14001 is intended to be generic and applicable to all organizations,
regardless of type, size, activities, products or services.
Therefore this is the scope of the organizations own environmental

management system applicable to their specific activities, products and/or
services.
When determining the scope an organization is to consider the:
 External and internal issues (context)

 Compliance obligations
 Organizational units, functions and physical boundaries
 Activities, products and services undertaken or provided
 What it can control and influence

The scope of an organizations environmental management system may look
like any of the following examples.
Manufacture, design and supply of architectural membrane structures
excluding installations.
Bulk earthworks, civil construction, plant hire, heavy haulage and workshop
activities
Sales, compliance, build, delivery, installation, support, service and
maintenance of communication services as per customer requirements
The scope is to be maintained as documented information and be available

to interested parties.
See Documented
Information

Risked-Base Thinking

Risk is the effect of uncertainty on an expected result
 Risk based thinking is something we all do automatically and often sub-
consciously.
 The concept of risk has always been implicit in ISO 14001 within the
process of identifying the significant aspects and actual and potential
impacts. This revision makes risk more explicit and builds it into the
whole management system.
 Risk-based thinking makes operational control part of the routine.
 Risk is often thought of only in the negative sense. Risk-based thinking
can also help to identify opportunities. This can be considered to be
the positive side of risk.
 Organizations can choose to develop a more extensive risk-based
approach than is required by ISO 14001, and ISO 31000 provides
guidelines on formal risk management which can be appropriate in
certain organizational contexts.

How to apply risk-based thinking to an environmental management system:
 Identify what the risks and opportunities are in your organization. Not all
processes will represent the same level of risk. For some organizations,
the consequences of an environmental incident associated with their
activities, products and services may be minor while for others, the
consequences can be far-reaching and long term.
 Analyze and prioritize the risks and opportunities identified –
What is acceptable? What is unacceptable?
 Plan actions to address the risks –
How can I avoid or eliminate the risk? How can I mitigate the risk?
 Implement the plan – take action
 Check the effectiveness of the actions – does it work?
 Learn from experience - improvement

Significant Environmental Aspects

 ENVIRONMENTAL ASPECT - Element of an organizations activities or
products or services that interacts or can interact with the environment
 ENVIRONMENTAL IMPACT - Change to the environment, whether adverse

or beneficial, wholly or partially resulting from an organizations
environmental aspects.
Note that:
 An environmental aspect can cause an environmental impact. A significant
environmental aspect is one that has or can have a significant environmental
impact.
 Significant environmental aspects are determined by the organization applying
one or more criteria.

Clause 6.1.2 Environmental aspects
Requirements:
 Identify the environmental and associated environmental impacts of its

activities, products and services within the defined scope of the EMS
that it can control and influence, considering a life cycle perspective
 Take into account change, planned or new developments, or new or
modified activities, products and services
 Identify abnormal and potential emergency situations
 Determine those aspects that have or can have significant impact on
the environment
 Communicate its significant environmental aspects among the various
levels and functions of the organization
 Maintain documented information of criteria used to determine
significant aspects, the environmental aspects and associated impacts
See Documented
determined, as well as those identified as significant. Information
The word significant! This is important and will be explained further within this
© Auditor Training Online 2016 course.
Guidance:
 An effective environmental management system begins with

understanding how an organization can interact with the environment.
 The elements of an organizations activities, products and services that
can interact with the environment are called environmental aspects.
 Examples of environmental aspects may include a discharge, an
emission, consumption or reuse of a material, or generation of noise.
Note the word CAN – some aspects will be as a result of normal activities and
some will be from abnormal events such as leaks, spills, breakages etc.

Guidance:
 Changes to the environment, either adverse or beneficial, that result

wholly or partially from environmental aspects are called environmental
impacts.
 Examples of adverse impacts include pollution of air, and depletion of
natural resources.
 Examples of beneficial impacts include improved water or soil quality,
noxious weed removal, providing education, cleaning up a
contaminated site, processing other organizations waste.
 The relationship between environmental aspects and associated
impacts is one of cause and effect.

Four Key Areas
When determining an organizations environmental aspects and impacts
consider current and past activities, products and services as well as:
4 Key Areas:
1. Legislative and regulatory requirements

2. Identification of significant aspects
3. Examination of existing practices
4. Feedback from previous incidents
In many instances organizations will undertake an environmental impact

study, either themselves or through the use of a consulting organization.

Consider
consider current and past activities, products and services as well as:
Consider:
 Emissions to air – smoke fumes, gas

 Releases to water – runoff into streams, rivers and the ocean
 Releases to land – spills, dumping rubbish
 Use of raw materials and natural resources – timber, coal, oil
 Use of energy – electricity, gas
 Energy emitted - heat, radiation, vibration, noise
 Waste and by-products – rubbish, offcuts, demolition
 Physical attributes - size, shape, colour, appearance

Life Cycle
consider the life cycle perspective of its activities, products and services
Life Cycle considers all 5 stages
 Extraction of raw materials,

 Manufacturing,
 Transport,
 Use, and
 End of life.

Extraction of raw materials
 All products are made from materials found in or on the earth
 Raw materials, such as trees and ore, are harvested directly, then transported
and processed
 This uses large amounts of energy
 Recycling generally uses less energy than extracting and processing raw
materials
Making new products from materials that have already been used (recycled
materials) can save energy and reduce greenhouse gas emissions
 Manufacturing products requires a great deal of energy, which results in

greenhouse gas emissions
 When a product is made with less material, or which recycled content, less
energy is needed to extract, transport, and process
The most effective way to reduce waste is to not create it in the first place. To
reduce waste, buy durable goods, and reuse, repair, share, or donate your
© Auditor Training Online 2016 products.
Transport
 Finished products need to be transported to their place of use, often via a
distribution centre or warehouse
 Each stage of the life cycle of a product requires some form of

transportation
 Transportation by plane, truck, or rail all require the use of fossil fuels for
energy
Consider buying locally and sustainably produced products, which may

reduce greenhouse gas emissions associated with transport.

Use
 Using a product normally requires energy, so purchase equipment that is
energy efficient
 Some machines, appliances, and electronics continually use power when

plugged into an outlet, even when they are turned off
Some consumable products are formulated to reduce energy use, such as

detergents that are formulated to work well in cold water.
This reduced the demand for energy needed to heat water.

End of Life
 End-of-life management is what happens to our stuff after it has been used
 How we manage our goods at the end of their current life can make a big
difference in our environmental footprint
Reuse – using a product more than once

Recycle – convert waste into reusable material
Compost – convert organic waste into fertiliser for plants
Energy recovery – reuse of energy from one system into another
Landfill – Disposal of waste by burying it

Examples
Activity / Product / Service Aspects Actual and Potential Impacts
PRODUCT: PRINTER TONER CARTRIDGE
Refillable toner cartridge Use of raw materials Conservation of resources
Generation of solid waste Land use

End of life - disposal
Recovery and reuse of components Conservation of natural resources
SERVICE: TRANSPORTATION AND DISTRIBUTION OF GOODS AND PRODUCTS
Consumption of fuel Depletion of non-renewable fossil fuels

Pollution of air – ozone production –
Fleet operation Emission of oxides of nitrogen smog
Global warming and climate change
Discomfort or inconvenience to local
Generation of noise
residents
Routine fleet maintenance Emission of oxides of nitrogen Achievement of air quality objectives
(including oil changes) Generation of waste oil Pollution of soil

Guidance
 Since an organization may have many environmental aspects and
associated impacts, it should establish criteria and a method to determine
those that it considers significant.
 There is no single method for determining significant environmental

aspects.
 The method used should provide consistent results and include the
establishment and application of evaluation criteria, such as those related
to environmental matters, legal issues and the concerns of internal and
external interested parties.
The method used to determine those impacts which are significant is

normally through a risk assessment.

Impact
Methods of assessing impacts identified may be through a simple risk matrix
table such as below:
IMPACT
Minor Moderate Major
Controlled and Unexpected on site

Likelihood Descriptor Offsite release
expected release
CONTINUOUS At least weekly HIGH EXTREME EXTREME
Might occur –
POSSIBLE MEDIUM MEDIUM EXTREME
Annually
Exceptional
RARE LOW MEDIUM HIGH
circumstances
Ratings are determined by the organization and will suit their own industry
type.

Using this risk matrix an impact identified as having the consequence of
being unexpected on site release (moderate) that is occurring every 3
months (possible) gives a risk level of medium.
Whereas an impact identified as having the impact to cause off site release
(major) that is occurring only in exceptional circumstances (rare) gives a risk
level of high.
IMPACT
Minor Moderate Major
Controlled and Unexpected on site

Likelihood Descriptor Offsite release
expected release
CONTINUOUS At least weekly HIGH EXTREME EXTREME
Might occur –
POSSIBLE MEDIUM MEDIUM EXTREME
Annually
Exceptional
RARE LOW MEDIUM HIGH
circumstances
Compliance Obligations

Compliance obligations
Legal requirements that an organization has to comply with other
requirements that an organization has to or chooses to comply with
Clause 6.1.3 Compliance obligations

Requirements:
 Identify and have access to the compliance obligations related to its

environmental aspects
 Determine how these requirements apply to the organization
 Maintain documented information of its compliance obligations
See Documented
Information

Clause 6.1.3 - Compliance Obligations
Guidance:
 Organizations are responsible for knowing what relevant environmental

legislation affects the activities, products and services of the business
(local, state, federal and international law)
 Relevant legislation can be obtained from different organizations such as

an employer or employee association or Environmental consultants.
 Other resources that may be available to keep a business up to date

could be newspapers, trade or environmental-related magazine
subscriptions, bookmarking internet sites for regular review, subscribing to a
legal service or newsletters from unions or employer associations.

Other requirements:
Depending on its circumstances and needs, an organization may subscribe
voluntarily to requirements, other than legal requirements, that still apply to
the environmental aspects of its activities, products and services. Such
“other” requirements may include:
 Agreements with public authorities

 Agreements with customers
 Non-regulatory guidelines
 Voluntary principles or codes of practice
 Agreements with community groups or organizations
 Public commitments of the organization
 Corporate or company requirements
 ISO 14001 (non-legal requirement)

Context of the Organization

Assessment Process
 Practice Quiz

 Assessment

module

Assessment.

30 minutes
Environmental
Management Systems
Leadership and Planning
ISO 14001:2015

Sections included:
 Leadership And Commitment
 Environmental Policy
 Organizational Roles, Responsibilities and Authorities
 Environmental Objectives and Planning
 Competence, Awareness, Communication and Knowledge

60 minutes
Leadership and Commitment

Definition
 Top Management - Person or group of people who directs and controls an
organization at the highest level
 In a small organization this may be the owners or partners.
 In a large organization this may be the General Manager, Chief Executive
Officer or the Board of Directors.
 Top management has the power to delegate authority and provide resources
within the organization.

Clause 5.1 Leadership and commitment, requires Top Management to demonstrate
leadership and commitment with respect to the environmental management system.
DEMONSTRATION OF LEADERSHIP AND COMMITMENT
Accountability of the effectiveness of Ensuring the environmental policy and

the EMS objectives are set and are aligned with
the strategic direction of the
organization
Communicating the effectiveness and Integration of the EMS into business
of conforming to the EMS processes
Directing and supporting persons to Provision of resources

contribute to the effectiveness of the
EMS
Promotion of continual improvement Ensuring the EMS achieves its intended
outcomes
Supporting other relevant management roles to demonstrate their leadership as it

applies to their areas of responsibility
Top Management needs to determine and establish the methods and
processes to promote communication at all functions and levels within the
organization.
This could be achieved through:
 Meetings (committees, staff, operational, management)
 Small group talks e.g. Toolbox talks, prestart meetings, team meetings
 Memos and emails
 Newsletters, paper and/or electronic

Environmental Policy

Clause 5.2 - Environmental Policy
An environmental policy needs to be established, reviewed and maintained
by top management. This policy needs to:
 Be appropriate to the purpose and context of the organization
 Provide a framework for setting environmental objectives
 Include a commitment to:
 The protection of the environment, including prevention of pollution
 Conform to compliance obligations
 Continual improvement of the EMS
 Be maintained as documented information
 Be communicated within the organization, including persons doing work
under the organization’s control
 Be available to relevant interested parties
See Documented
The environmental policy is a very important high level document and should be the Information
link into the organization and to its environmental objectives. The policy does not have
to include the actual environmental objectives.
Review Reference Materials
At the beginning of this course you

were advised to download a
number of reference materials.
To assist with your understanding of

the following content, now review
the reference documentation
named:
Mod 2 - Archibuild IMS

Manual 8 May 2013

This is an example of an Integrated
Management System Policy
(Quality, Safety and Environment)
which includes all of the
requirements for the Quality Policy.
Notice how in the policy on the

right the specific quality
management requirements have
been highlighted.

Guidance
Top Management’s commitment to an environmental management system
through the Environmental policy should be visible, current and
communicated.
Communication of the Environmental policy could be by:
 Displaying the policy on notice boards

 Employee induction, training and awareness sessions
 Internet or Intranet
The Environmental policy should be appropriately reviewed to ensure it

remains relevant to the purpose of the organization. This review could be
through management reviews, internal audits and/or the document
control/review process.

Organizational Roles,
Responsibilities and Authorities

Clause 5.3 - Organizational Roles,
Responsibilities and Authorities
Once again, it is Top Management who is responsible for ensuring that
everyone knows what they are expected to do (responsibilities) and what
they are allowed to do (authorities).
The ways in which you may see these responsibilities in an environmental

management system could be one of or all of the below:
 Job Descriptions
 Organization chart
 Documented information
 Responsibility and authority matrix
These should be communicated to all personnel and understood by all those
involved.
ISO 14001 however does not prescribe any of these methods – it is up to the
organization to decide how it wants to do this.
Top Management has the responsibility of:
 Assigning the responsibility and authority for ensuring that the

environmental management system conforms to the requirements of
ISO 14001:2015.
 Reporting on the performance of the environmental management
system, including environmental performance.
This person may also carry out other duties however should have the
authority to ensure the environmental management system is working
effectively.
These responsibilities are to be communicated and understood within the

organization.

Environmental Objectives and
Planning

Clause 6.2.1 - Environmental Objectives
Objectives are to be established at relevant functions, levels within the
organization, taking into account the identified significant environmental
aspects.
 Relevant functions and levels could be in the areas of:

 Human resources
 Production
 Sales
 Delivery
 After sales support
 Any other activities that fall within the scope of the environmental
management system

Objectives established are required to be consistent with the environmental
policy established. Objectives need to be measurable with the intent of
improving the environmental impact.
Examples of measurable environmental objectives could be:
 Reduce energy usage by 10% by the end of this calendar year

 Reduce paper usage by 15% by the end of this calendar year
 Reduce fuel usage by 5% by the end of this calendar year
It is important that all staff at all levels are aware of how they contribute to
the achievement of the environmental objectives set.
Environmental objectives need to be monitored, communicated and

updated as appropriate.
The clause states that the organization shall retain documented information See Documented
Information
on the environmental objectives.

Clause 6.2.2 - Planning Actions to
Achieve Environmental Objectives
When planning how to achieve its environmental objectives, the following
shall be determined:
 What will be done – actions, processes, strategies

 What resources will be required – training, competency, equipment,
tools
 Who will be responsible – at all relevant functions and levels
 When it will be completed – set a timeframe
 How the results will be evaluated – how can we measure the
achievement or results?
 Integration of actions into the organization’s business processes

Competence, Awareness,
Communication and Knowledge

Resources - Clause 7 Support
Clause 7 Support
The intent of this clause is to ensure:
 That there are resources provided to establish, implement, maintain and

improve the environmental management system.
What are resources?
 People
 Finance (note: Finance as a resource is not specifically mentioned in ISO
14001)
 Infrastructure – facilities, equipment
 Environment – for the operation of processes
Resources can be provided directly by the organization itself or they can be
acquired through suppliers or contractors (outsourced).

Clause 7.2 Competence
Competence - Ability to apply knowledge and skills to achieve intended
results.
This clause can be broken down into 3 different areas.
1. Determine the necessary competence of person(s) doing work under its

control that affects its environmental performance. And ensure that
these persons are competent on the basis of appropriate education,
training, or experience.
The necessary required competence for people is to be determined and

whilst ISO 14001 does not prescribe how to do this, common methods to
document this information are in the format of:
 Job and/or position descriptions
 Duty statements
 Skills Matrix
 Individual procedures

2. Where applicable, take actions to acquire the necessary
competence, and evaluate the effectiveness of the actions
taken.
By comparing the actual current level of competence of personnel
against what is required, a competence gap analysis can be completed.
If competence gaps exist they can be met through additional training,
either on the job, in-house or external. Or the task could be assigned to a
different person through staff recruitment or outsourcing.

3. Retain appropriate documented information as evidence of
competence
Documented information is to be maintained that provide evidence of a

workers (employee or outsourced) competence. This information may be
in the form of:
 Certified education (certificate, degree)
 Licenses or qualifications
 Sign-off forms confirming personnel can now use certain equipment, carry out
specific processes
 Induction forms
 Task tests and/or observations
 Verification of competence records
 Log books
See Documented
Information

Clause 7.3 - Awareness
Additionally personnel should be aware of the relevance and importance of
their activities and how they contribute to the achievement of the
environmental objectives and the effectiveness of the environmental
management system.
Awareness training could be conducted through informal communications,

group meetings or inductions.
Workers shall be aware of:
 The environmental policy

 Relevant environmental objectives
 Their contribution to the effectiveness of the environmental
management system, including the benefits of improved environmental
performance
 The implications of not conforming with the environmental
management system requirements

Clause 7.4 - Communication
The organization needs to determine and establish the methods and
processes to promote communication internally and externally relevant to
the environmental management system, including what, when, who and
how.
This could be achieved through:
 Meetings (client, staff, operational, management)

 Small group talks e.g. Toolbox talks, prestart meetings, team meetings
 Memos and emails
 Newsletters, paper and/or electronic
 Community forums

When planning communication processes with relevant interested parties
consideration shall be taken for:
 Identified compliance obligations

 Consistent environmental information is communicated with regards to
the environmental management system
 Responding to relevant communications regarding the organization’s
environmental management system
There is a requirement to retain documented information as evidence of its
communications (at an appropriate level). This may be demonstrated
through (as appropriate):
 Reports
 Meeting Minutes
 Attendance lists See Documented
Information
 Emails

Internal Communication External Communication
 Various levels and functions of  Communicate relevant

the organization environmental management
system information
 Changes to the environmental
management system  Determined by communication
processes established
 Enable contribution to continual
improvement for any person  Considering requirements under
conducting work compliance obligations

Leadership & Planning

Assessment Process
 Practice Quiz

 Assessment

module

Assessment.

30 minutes
Environmental
Management Systems
Documented Information
ISO 14001:2015

Sections included:
 Documented Information
 Creating, Updating and Control

30 minutes

Definition
 DOCUMENTED INFORMATION - Information required to be controlled and
maintained by an organization and the medium on which it is contained.
Documented information can be in any form and media and from any
source.
Documented information can refer to:
 The environmental management system, including related processes
 Information created in order for the organization to operate (documentation)
 Evidence of results achieved (records)
Replaces the nouns ‘documentation’ and ‘record’ used in prior editions of
this International Standard.
To distinguish the intent of the generic term ‘documented information, the
Standard now uses the phrase ‘retain documented information as
evidence of…’ to mean records, and ‘maintain documented information’
to mean documentation other than records (documented procedure).

 INFORMATION - Meaningful data (facts about an object)
 AS EVIDENCE OF … - This phrase is not a requirement to meet legal

evidentiary requirements. Its intent is only to indicate objective evidence
needs to be retained.

Clause 7.5 - Documented Information
Clause 7.5.1 describes what documented information is required by the
standard.
It is described in general terms of:
a) Documented information required by this International Standard (ISO

14001).
b) Documented information determined by the organization as being
necessary for the effectiveness of the environmental management
system.

What documented information is required by ISO 14001?
 As you read through each clause of the standard it will be stated where
documented information is required by the Standard.
 The clauses that do state this requirement have been listed on the
following slide for your easy reference.
 Note that some of these clauses may include a requirement for more
than one type of documented information.

DOCUMENTED INFORMATION
- Determining the scope of the

4.3
8.1 - Operational planning and control
EMS
8.2- Emergency preparedness and
5.2 - Environmental Policy
response
9.1.1 - General (Monitoring,
6.1- Actions to address risk associated
measurement, analysis and
with threats and opportunities
evaluation)
- Significant environmental
6.1.2
9.1.2 - Evaluation of compliance
aspects
6.1.3 - Compliance obligations 9.2.2 - (Internal audit)
6.2.1 - Environmental objectives 9.3 - Management review
10.1- Nonconformity and corrective

7.2 - Competence
action
7.4.1 - General (Communication)

What documented information is to be determined by the organization as
being necessary for the effectiveness of the environmental management
system?
The extent of documented information for an environmental management

system can differ from one organization to another due to:
 The size of organization and its type of activities, processes, products

and services
 The complexity of processes and their interactions
 The competence of persons

Documentation should indicate, to the extent necessary, who does what,
where, when, why and how. It should not be a wish list of what you would
like to happen, it should state what really happens.
How much detail is required?
 The level of detail will depend on the methods used, the skills required,
the training provided and the level of supervision. Excessive detail does
not necessarily give you more control of the activity.
 Training can reduce the need for detailed documentation, providing
that everybody has the information they need to do their job correctly.
 Existing documentation might be necessary and adequate and may be
simply referenced in the environmental system.

Creating, Updating and Control

Creating, updating and control
When creating and updating documented information, the organization shall ensure the following:
REQUIREMENT GUIDANCE
Determine what identification and currency controls will be

Identification and
used. For example, title, date, author, reference number,
description
revision number or date, labelling, file naming structure.
Determine what format will be used for documented

information. It can be in any form or source. For example,
Format
electronic, software, photo, process flow, paper or a
combination of these.
Establish who is to approve what documented information
and describe the process for recording the approvals. For
Review and approval for
example, signed copy, email, form.
suitability and
Determine how often documents are to be reviewed and
adequacy
updated if necessary. For example, annually and as
changes occur.
REQUIREMENT GUIDANCE
It is available and Define the distribution or accessibility of documents based
suitable for use, where on your system whether it be electronic and/or hardcopy.
and when it is needed.
Distribution, access,
retrieval and use
It is adequately Access and permissions. Protection from loss of
protected confidentiality, damage, improper use or loss of integrity.
Storage and How will information be stored? For example, alphabetical

preservation, including in filing cabinets or on dedicated computer servers.
preservation of legibility
Control of changes Determine how changes to documents will be recognised?

(e.g. Version control) For example, italic or different colour text.
Establish what revision controls will be used. For example,
version numbers, dates.
Retention and How long types of documented information need to be
disposition kept? The time that you need to keep them may vary from
one to another. There may be legislative requirements to
keep certain records.
How will information be disposed of after their retention
period? For example, deleted, shredded, binned.

Assessment Process
 Practice Quiz

 Assessment

module

Assessment.

30 minutes
Environmental
Management Systems
Operation
ISO 14001:2015

Sections included:
 Operational Planning and Control
 Emergency Preparedness and Response

30 minutes
Operational Planning and Control

Definition
 UNDER THE ORGANIZATION’S CONTROL - Is work that takes place within
the scope of the environmental management system
 OUTSOURCED PROCESS - An arrangement where an external

organization performs part of an organization’s function or process.
The external organization is outside the scope of the management system,

however the outsourced function or process is within the scope.
The function or process is integral to the organization’s functioning and is
needed for the management system to achieve its intended outcome

Clause 8.1 - Operational Planning and
Control
Requirements:
 The organization needs to establish, implement, control and maintain
the processes associated with the identified risks, significant
environmental aspects, and its objectives, as well as be consistent with
its environmental policy, including,
 Control planned changes
 Maintain documented information to the extent necessary to have
confidence that the processes have been carried out as planned.
 Outsourced processes are controlled or influenced
 Implement a life cycle approach
 Communicate relevant environmental requirements to external
providers and contractors See Documented
Information

Identifying needs for operational
controls.
Guidance
The types and degree of operational control will depend on:
 The nature of the operations conducted

 Significant environmental aspects identified
 Risks identified
 Compliance obligations
Methods of operational control may include:
 Designing a process to prevent errors and consistent outputs

 Use of technology to control processes and prevent adverse results
 Use of competent personnel
 Developing a process and supporting documented information
 Monitoring or measurement of the process to check results are
consistent
When identifying needs for operational controls, an organization should
consider all of its operations with a life cycle perspective, including those
related to management and operational functions.
These functions may include:
 Procurement of products and services

 Extraction of raw materials
 Design process
 Manufacturing
 Delivery/Transport
 Use and operation
 End-of-life treatment

Consider how contractors or suppliers might affect its ability to manage:
 Environmental impacts
 Achieve objectives and targets
 Comply with applicable legal and other requirements
Establish operational controls that are needed:
 Documented procedures
 Contracts or supplier agreements
 And communicate these to contractors and suppliers

Establishing operational controls
Guidance
Operational controls can take various forms:
 Procedures
 Work instructions
 Physical controls
 Use of trained personnel
 Or a combination of the above
A common approach to establishing operational controls can include:
 Choosing a suitable method of control
 Selecting acceptable operating criteria
 Establishing procedures, as needed, that define how identified operations are to
be planned, carried out and controlled
 Documenting these procedures, in the form of instructions, signs, forms, videos
etc.

Reference: ISO 14004:2004
Prevention of Pollution - Hierarchy of Control
An organization should consider using a hierarchy of approaches for
prevention of pollution. Such a hierarchy should give preference to
preventing pollution at its source and can be structured as follows:
 Source reduction or elimination (including design and development,

material substitution, process, product or technology changes and
efficient use and conservation of energy and material resources)
 Internal reuse or recycling (reuse or recycling of materials within the
process or facility)
 External reuse or recycling (transfer of materials offsite for reuse or
recycling)
 Recovery and treatment (recovery from waste streams on or offsite,
treatment of emissions, and releases on wastes on or offsite)
 Control mechanisms, such as incineration or controlled disposal. This
method should only be used only after other options have been
considered

Review Reference Materials
At the beginning of this course you were advised to

download a number of reference materials.
To assist with your understanding of the following

content, now review the reference documentation
named:
Archibuild IMS
Manual 8 May 2013
Page 10 will provide an example of a documented

procedure including operational controls.

Emergency Preparedness and
Response

Clause 8.2 - Emergency Preparedness
and Response
 Requirements:
 Establish and implement a procedure specifying the response to

potential emergency situations and potential accidents that can have
an impact(s) on the environment.
 Respond to actual emergency situations and accidents and take
action to reduce the consequences or prevent the occurrence
 Mitigate associated adverse environmental impacts
 Emergency procedures shall be periodically reviewed and revised
where necessary and in particular after the occurrence of accidents or
emergency situations.
 Emergency procedures shall be tested periodically.
 Maintain documented information to the extent necessary to have See Documented
Information
confidence that the process is carried out as planned.

Guidance
 The potential range of emergencies that could occur at the workplace
needs to be identified.
 The process of identifying and assessing potential emergencies should be

part of the environmental aspects and impacts process.
 These could include accidental emissions to the atmosphere, accidental

discharges to water and land, specific environment and ecosystem effects
from accidental releases.
 The impact of such emergencies on your workplace and adjacent

premises should be considered.
 Testing of emergency procedures should be conducted.
 It may not be practicable to test some procedures, in which case training

and efficacy should be tested by other means.
Efficacy – the ability to produce a desired or intended result

Guidance
 In establishing its procedures, an organization should consider:
 The nature of on-site hazards (eg. Flammable liquid, storage tanks, gases etc.).
 The most likely type and scale of an emergency situation.
 The potential for an emergency situation or accident at a nearby facility (eg.

Plant, road, railway line).
 The most appropriate method for responding to an emergency situation.
 The actions required to minimise environmental damage.

Guidance
 Responsibilities and training of emergency response personnel.
 Evacuation routes and assembly points.
 A list of key personnel including contact details (eg. Fire department, spillage
clean-up services).
 Periodically review and revise if necessary after an accident or emergency

situation, including a test.
 Information on hazardous materials (Safety Data Sheets).

Operation

Assessment Process
 Practice Quiz

 Assessment

module

Assessment.

30 minutes
Environmental
Management Systems
Performance Evaluation
ISO 14001:2015

Sections included:
 Monitoring, Measurement, Analysis and Evaluation
 Evaluation of Compliance
 Internal Audit
 Management Review

60 minutes
Monitoring, Measurement,
Analysis and Evaluation

Definition
 MONITORING - Determining the status of a system, a process or an activity
Implies observation and supervision activities (using monitoring

equipment) over a period of time.
The use of monitoring equipment could deliver non-quantitative results
(e.g.. A survey questionnaire).
 MEASUREMENT - Process to determine a value
Considers the determination of a quantity, magnitude or dimension by

using measuring equipment.
The use of measuring equipment (measuring tape) will deliver a value of a
quantity.

Clause 9.1 - Monitoring, Measurement,
Analysis and Evaluation
What needs to be monitored and measured in an Organization’s
environmental management system?
MONITOR AND MEASURE CLAUSE
Operations that can have a significant environmental

6.1.2
impact
Operational controls 8.1
Compliance obligations 6.1.3
Environmental objectives 6.2.1
You will notice that what is to be measured has already been established in
previous clause requirements. So, this is simply monitoring and measuring
what was set out to be achieved.
Requirements:
 Methods for monitoring, measurement, analysis and evaluation to ensure

valid results
 The criteria and indicators against which the organization will evaluate its
environmental performance
 At what point (when) the monitoring and measuring shall be performed
 When the results from monitoring and measurement shall be analyzed and
evaluated
 Documented information is to be retained as evidence of the monitoring,

measurement, analysis and evaluation results
See Documented
Information

Guidance:
 Procedures may be determined for the evaluation of the EMS to show
how factors that can cause environmental impact are being dealt with.
 General system monitoring includes progress towards objectives and
targets and other system performance parameters that may be in
place.
 This monitoring should show the effectiveness of operational controls
and demonstrate continual improvement.
Monitoring can include inspection of:
 Potentially hazardous processes to ensure that controls have been

effective.
 Plant and equipment.
 Work areas to ensure that specific environmental controls are followed.
 Work sites to ensure that controls are effective and to demonstrate the
commitment of management to the EMS.
Monitoring and measurement equipment used is to be maintained,
calibrated and verified.
Guidance:
Monitoring/testing equipment for specific hazards may only be needed
where the risk was assessed as warranting this. Such testing can include the
following:
 Vapors from flammable liquids

 Noise
 Water quality
 Air quality
Note - ISO 9001 details the control of monitoring and measuring equipment to a higher
level. If you have an integrated management system it is recommended to follow the
ISO 9001 requirements.
Evaluation of Compliance

Clause 9.1.2 - Evaluation of Compliance
Requirements:
 The organization shall plan and implement a process to evaluate

conformity with its compliance obligations (legal requirements and other
requirements to which it subscribes)
 The frequency of evaluation is to be determined
 Take action where identified
 Maintain currency with knowledge and understanding of its compliance

obligations
 Retain documented information as evidence of the compliance

evaluation results
See Documented
Information

Guidance:
A variety of methods can be used to assess compliance, such as:
 Internal audits
 Document and/or records review
 Facility inspections
 Interviews
 Project or work reviews
 Routine sample analysis or test results
 Facility tour or observation
The frequency and methodology for evaluation should be established.

Internal Audit

Clause 9.2 - Internal Audit
The purpose of internal auditing is to answer these questions:
 Is the environmental management system effectively managed and

implemented?
 Are there any opportunities for improvement?
 Does the environmental management system follow the arrangements

planned and is the system meeting all the applicable requirements?
 ISO 14001
 Environmental management system
 Other requirements such as contracts, legislation, regulations
Audit – systematic and independent process for obtaining objective

evidence and evaluating it objectively to determine the extent to which the
audit criteria are fulfilled.

The internal audit process should include:
 An overall audit programme for the internal audits to be conducted

over the next stated period, e.g. a year, as well as individual audit
plans, the scopes of the individual audits, and the assignment of
auditors
 The programme is to take into consideration the environmental
objectives, the importance of the processes and areas to be audited,
interested parties feedback, changes impacting on the organization
and previous audit results
 The audit criteria and scope shall be defined
Audit programme – set of one or more audits planned for a specific time
frame and directed towards a specific purpose.
Audit programmes should use a risk-based methodology with some

processes and activities requiring more frequent audits than others.
The audit criteria and scope shall be
defined
Audit Criteria
 What are we auditing against?

 What are we determining compliance against?
This may be International Standards, legislation, internal procedures or
Supplier Contracts.
Audit Scope – extent and boundaries of an audit.
 What areas are we auditing?

This may be specific activities and processes, departments, locations or
projects.

Who should conduct internal audits?
There is a requirement in this clause that auditors shall be selected to ensure
objectivity and the impartiality of the audit process.
This can be achieved by:
 Personnel auditing another work area or department from where they

normally participate or have a role
 Management conducting audits who are not part of the daily
operations of an area
 A “partner” business sharing internal auditors for cross auditing
businesses (suitable for small businesses of 1 or 2 people)
 An external independent auditor

Documented information is to be retained as evidence of the
implementation of the audit programme and their results
A report or summary of audits conducted needs to be produced, including

any findings and required actions.
If the previous audit recommended or required action, necessary correction

and corrective actions are to be conducted without undue delay.
See Documented
Information

Management Review

Clause 9.3 - Management Review
Top Management should be reviewing the environmental management
system at planned intervals to ensure its continuing suitability, adequacy and
effectiveness. The frequency will depend on the size, type and operations
of the organization.
In many organizations reviews of how well certain aspects and activities are
performing will already be occurring.
Often some of the requirements of this clause are reviewed over several
forums which allows for quicker response times to any areas required.
However it may be beneficial to conduct quarterly, six-monthly or annual
reviews to consolidate results of key performance indicators, trends, results of
improvement opportunities and customer feedback.

The review is to include the following areas contributing to the effectiveness
of the management system.
INPUT
Status of actions from previous Changes in external and internal
reviews issues
Compliance obligations (changes
Significant environmental aspects
and conformity)
The extent to which objectives have Nonconformities and corrective
been met actions
Audit results
Monitoring and measurement results
Risk associated with threats and Communication from external

opportunities interested parties
Continual improvement Resources required
The output of the management review is to include the following outputs.
OUTPUT
Conclusions on the continuing Decisions made relating to continual
suitability of the EMS improvement
Changes to the EMS Changes to resource requirements
Actions where needed when Organization’s strategic direction

objectives have not been met implications

The method of carrying out the review should be suitable to the
organizations operations and size and could consist of:
 Formal face-to-face meetings with an agenda, minutes and formally

identified action points (outputs).
 Teleconferences for external attendees.
 Partial reviews at various levels reporting back to top management who
review the reports.
Documented information is required to be retained as evidence of the results

of management reviews.
See Documented
Information

Performance Evaluation

Assessment Process
 Practice Quiz

 Assessment

module

Assessment.

30 minutes
Environmental
Management Systems
Improvement
ISO 14001:2015

Sections included:
 Nonconformity and Corrective Action
 Continual Improvement

60 minutes
Nonconformity and Corrective
Action

Definition
 Nonconformity - Non-fulfillment of a requirement
 Corrective action - Action to eliminate the cause of a nonconformity and

to prevent recurrence
Note that:
 Note 1 - There can be more than one cause for a nonconformity
 Note 2 - Corrective action is taken to prevent recurrence whereas preventive
action is taken to prevent occurrence

Clause 10.1 -
Requirements:
 Dealing with actual and potential nonconformity(ies)
 Identifying and correcting nonconformity(ies) and taking action(s) to

mitigate environmental impacts
 Evaluate the need for action(s) to prevent nonconformity(ies) and

implementing appropriate actions to avoid their occurrence
 Retain documented information as evidence of the nature of

nonconformities and any subsequent actions, including the results of these
actions
See Documented
Information

Guidance:
There are two main reasons for effectively managing environmental
nonconformities. These are to:
 Ensure that the impacts on the environment are minimised
 Learn from nonconformities to prevent a recurrence of the same or similar
issue
Nonconformities provide a learning opportunity through a number of related
activities:
 Incident/nonconformity notification
 Incident/nonconformity investigation and reporting
 Data analysis

The information gained in these activities can be used to make decisions
about how to effectively prevent nonconformities or incidents from recurring.
Incidents are the outcome of the interaction of multiple factors which

include:
 The actions or inactions of people
 Features of any equipment used
 The environment in which work occurs
 Systems that keep environmental controls in place

 All environmental nonconformities or incidents should be investigated as
soon as possible after they occur.
 The investigation of all nonconformities or incidents is aimed at identifying

essential and contributing factors so that appropriate control measures
can be put in place to prevent recurrence.
 Investigation is about understanding the factors that contributed to the

incident rather than finding fault.
 The essential and contributory factors should be examined with any

existing environmental controls.
 Identify where the operational control has failed.
 If control measures are absent, ineffective or inappropriate, decide the

corrective action needed.

Environmental Nonconformities
Environmental nonconformities are varied and may include:
 A non-compliance issued from a government body against legislation
 A non-conformance issued from an external source such as a client or other
external stakeholder
 A particular event, such as a spill, or a fire.
 Identified though monitoring and / or measuring activities , such as noise levels
above acceptable limits, water quality outside of specification.
 Activities occurring outside of prescribed (legal) times, e.g. starting building
work too early, operating aircraft later than a curfew permits.
 Issues identified during inspections or audit activities, e.g. not in compliance
with an internal requirement such as a procedure
 General observations with regards to “things” not being as they should be, for
example a broken silt fence, gates left open, cigarette butts on the ground,
damage to trees, wildlife injuries or kills.

When nonconformities are identified they should be recorded and
contained – to prevent them getting worse.
 Action should then be taken to correct the issue, e.g.
 Put out the fire
 Clean up the spill
 Stop the noise
 Shut the gate
 Mend the fence

Corrective action then needs to be determined and taken to prevent the
issue from occurring again. This may include:
 Checking other locations for similar issues
 Conducting more training
 Fixing equipment
 Increasing surveillance
It is important that correcting the issue as well as undertaking corrective

action should be appropriate to the level of risk. So big issues will most
probably require big fixes where as little issues normally require little fixes.

Continual Improvement

Clause 10.3 - Continual Improvement
Continual improvement is a recurring activity of the environmental
management system through the use of the:
 Environmental objectives
 Audit results
 Monitoring. Measurement, analysis and evaluation
 Corrective action
 Management review
Organizations need to be able demonstrate that over time environmental

performance has improved.

Continual Improvement examples
 Environmental objectives
 An organizations environmental objectives whether at a corporate level

or at a service delivery level should be changing and improving over
time.
 A business may have an objective to recycle 20% of its waste product.
The following year they could improve the objective to 25%.
 Audit results
 An organization may analyse how well they do at audits, e.g. number of

nonconformities, grade of non-conformance, how long they take to
correct any deficiencies.
 If the organization is improving, data should get better over time.
 Monitoring, measurement, analysis and evaluation

Organizations can monitor and measure many activities within their business, if this
data is analysed and evaluated it should show whether or not they are improving.
Measures could include:
 Noise levels.
 Water quality.
 Amount of waste.
 Power use.
 Fuel use.
 Number of complaints.
 Complaint response times.
 Recurring events e.g. frequency of spills.

 Corrective action
 How effective is any corrective taken?

 Has the issue happened again (recurred) if so, how often.
 Do issues only recur at some locations and not others.
 Management review
 This is where top management review the effectiveness of the entire

environmental management system (it may be in staged format).
 When all the impacts, objectives and measures are viewed together - is
the organization actually getting better with regard to its environmental
performance?
 Is it better this year than it was last year – and if it is how is it better?

Improvement

Assessment Process
 Practice Quiz

 Assessment

module

Assessment.

30 minutes

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Environmental

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 Aim and Success Factors

 Plan, Do, Check, Act Approach

 Terms And Definitions

Estimated completion time:

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 This ensures streamlined integration with other ISO Management Systems is

 Contextualized text is then used depending on what the management

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© Auditor Training Online 2016 REFERENCE www.iso.org

Examples of Identical text

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 Achieving financial and operational

The aim of an EMS specifically

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ISO 14001 describes PDCA as follows:

Establish objectives and processes necessary to deliver results in

Do Implement the processes as planned

Monitor and measure processes against the policy, including its

Act Take actions to continually improve

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If an audit covers more than

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 CONTINUAL IMPROVEMENT - Recurring activity to enhance performance.

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 ENVIRONMENTAL IMPACT - Change to the environment, whether adverse

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 INTERESTED PARTY - Person or organization that can affect, be affected

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 SHOULD/MAY - These words are used to suggest a course of action. They

 CAN - This word is used to indicate that there is a possibility of, or it is

 EMS – ENVIRONMENTAL MANAGEMENT SYSTEM - An environmental

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 6 Questions (random question pool)

 3 Questions (random question pool)

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Estimated completion time:

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 Risk Based Thinking

 Significant Environmental Aspects

Estimated completion time:

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Clause 4.2 Understanding the needs and expectations of interested parties

This clause states that the Organization shall determine:

 The interested parties that are relevant to the environmental

 An understanding of the issues that have or can have an affect (either

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 The cultural, social, political, legal, financial, technological, economic,

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