ISO 14001 Requirements Simplified

ISO 14001 Index of Requirements
ISO 14001 Documentation Requirements
ISO 14001 Required Documented Procedures
ISO 14001 Required Records
ISO 14001 Typical EMS Documentation
ISO 14001 and OHSAS 18001: Integrated EHS

ISO 14001 Index of Requirements

4.1 GENERAL REQUIREMENTS

  • Implement, document, maintain, and continually improve an ISO 14001-based environmental management system.
  • Define and document the scope of the environmental management system.

4.2 ENVIRONMENTAL POLICY

  • Formulate, document, and implement an environmental policy appropriate to the environmental impacts of your organization's activities, products, and services.
  • Include in the environmental policy:
    • A framework for setting environmental objectives and targets,
    • A commitment to continual improvement,
    • A commitment to prevention of pollution, and
    • A commitment to comply with environmental laws and regulations.
  • Communicate environmental policy to all employees.
  • Make the environmental policy available to the public.

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4.3 PLANNING

4.3.1 Environmental aspects

  • Document and implement a process to:
    • Identify and document environmental aspects of your organization's activities, products, and services,
    • Select and document significant environmental aspects using a defined and objective methodology for evaluating importance of environmental impacts, and
    • Update environmental aspects when changes are made to your organization's activities, products, and services.
  • Select those environmental aspects that can be controlled, or over which your organization can be expected to have influence.

4.3.2 Legal and other requirements

  • Document and implement a process to:
    • Identify and have access to any applicable legislative, regulatory and other requirements, and
    • Link these requirements to specific environmental aspects.

4.3.3 Objectives, targets and programs

  • Establish and maintain documented and measurable environmental objectives and targets at all relevant functions within your organization.
  • Establish and maintain documented and measurable environmental objectives and targets for all significant environmental aspects.
  • When setting environmental objectives and targets ensure that:
    • All applicable legislative, regulatory and other requirements are considered,
    • Views of persons or groups concerned with or affected by your organization's environmental performance are considered, and
    • The environmental policy, prevention of pollution, and continual improvement are considered.
  • Establish, document, and maintain programs to achieve each environmental objective and target.
  • Within each program:
    • Assign responsibility for achieving environmental objectives and targets at each relevant function and level of the organization,
    • Specify the means and method by with which to achieve environmental objectives and targets, and
    • Define the time frame for achieving environmental objectives and targets.
  • Review and update programs to account for new developments and new or modified activities, products or services.

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4.4 IMPLEMENTATION AND OPERATION

4.4.1 Resources, roles, responsibility and authority

  • Provide adequate resources to implement, maintain, and continually improve the environmental management system.
  • Define, document and communicate authorities, roles, and responsibilities for operating the environmental management system.
  • Appoint a management representative responsible for:
    • Ensuring conformance with ISO 14001:2004,
    • Reporting on the performance of the environmental management system, and
    • Making recommendations for its improvement.

4.4.2 Competence, training and awareness

  • Qualify personnel that can potentially cause a significant environmental impact on the basis of appropriate education, training, and/or experience.
    • Keep records of education, training, and experience.
  • Identify training needs associated with environmental aspects.
    • Provide appropriate training and keep training records.
  • Document and implement a process to make all employees aware of:
    • Environmental policy, procedures/processes, and environmental management system requirements,
    • Environmental aspects and actual or potential impacts of each individual's work,
    • Environmental management system roles and responsibilities, and
    • Consequences of departing from procedures/processes.

4.4.3 Communication

  • Document and implement a process for internal communication regarding environmental issues.
  • Document and implement a process for receiving, documenting and responding to communication from external interested parties.
  • Decide whether to communicate regarding significant aspects outside of the organization.
    • Document decision.
      • If yes, define how.

4.4.4 Documentation

  • Describe the environmental management system with:
    • Environmental policy,
    • Environmental objectives and targets,
    • Scope of the system,
    • Main components of the system and how they interact
    • Documents and records required by ISO 14001:2004, and
    • Documents and records deemed necessary by the organization to implement and maintain the system.

4.4.5 Control of documents

  • Document and implement a process to:
    • Review and approve documents prior to use,
    • Review and approve changes or revisions prior to use,
    • Identify changes and revision status,
    • Make the latest revisions accessible at the points of use,
    • Identify documents and keep them legible,
    • Identify important external documents and control their internal distribution, and
    • Remove obsolete documents from points of use and identify historical copies of obsolete documents to prevent unintended use.

4.4.6 Operational control

  • Identify processes and activities associated with significant environmental aspects.
  • Plan, document, and implement processes to control activities associated with significant environmental aspects.
    • Define operational criteria and instructions to ensure conformance with the environmental policy, objectives, and targets.
    • Communicate environmental processes, operating criteria, and requirements to suppliers of products and services associated with significant environmental aspects.

4.4.7 Emergency preparedness and response

  • Document and implement a process to:
    • Identify potential emergencies and accidents that can cause an environmental impact,
    • Develop and document emergency preparedness and response plans/instructions for each potential emergency or accident
      • Test emergency preparedness and response plans/instructions periodically (where possible and practical), and
    • Review and revise emergency preparedness and response plans/instructions, as needed, especially after a test or actual emergency.

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4.5 CHECKING

4.5.1 Monitoring and measurement

  • Document and implement a process to monitor and measure key characteristics of processes and activities that are associated with significant environmental aspects.
    • Document (keep records of) monitoring and measuring activities.
  • Calibrate or verify monitoring and measuring equipment, and maintain calibration/verification records.
  • Maintain monitoring and measuring equipment, and maintain maintenance records.

4.5.2 Evaluation of compliance

  • Document and implement a process to periodically evaluate compliance with applicable environmental laws and regulations and with other requirements to which the organization subscribes
    • Keep records of the periodic compliance evaluation.

4.5.3 Nonconformance, corrective action and preventive action

  • Document and implement a process to:
    • Identify and investigate actual and potential nonconformances and when appropriate take action to mitigate environmental impacts.
    • Initiate and implement corrective actions to prevent recurrence of nonconformances.
    • Initiate and implement preventive actions to prevent occurrence of potential nonconformances.
    • Keep records of corrective and preventive actions.
    • Review effectiveness of corrective and preventive actions.
  • Change environmental management system documents when necessary.

4.5.4 Control of records

  • Maintain records necessary to demonstrate conformance with the organization's environmental management system requirements.
  • Maintain records necessary to demonstrate conformance with ISO 14001:2004 requirements.
  • Document and implement a process to identify, store, protect, retrieve, retain, and dispose of records.
  • Keep records legible, identifiable, and traceable.

4.5.5 Internal audit

  • Document and implement a process to internally audit the environmental management system at planned intervals.
    • Ensure objectivity and impartiality of the internal auditors.
    • Define responsibilities and requirements for:
      • Planning and conducting the audits,
      • Reporting audit results, and
      • Retaining associated records.
    • Consider environmental importance of the organization's processes and activities and the results of previous audits when planning internal audits.
    • Assess compliance with ISO 14001:2004.
    • Assess effectiveness of the environmental management system implementation and maintenance.
    • Report results of internal audits to management.

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4.6 MANAGEMENT REVIEW

  • Periodically conduct management reviews of the environmental management system to ensure its continuing suitability, adequacy, and effectiveness.
    • Assess opportunities for improvement.
    • Assess the need to change the environmental management system, including:
      • Changes to the environmental policy,
      • Changes to environmental objectives, and
      • Changes to environmental targets and programs/
    • Minimum management review inputs:
      • Internal audit results,
      • Evaluation of compliance with legal and other requirements,
      • Communication from external parties, including complaints,
      • Environmental performance,
      • Status of objectives, targets, and programs,
      • Status of corrective and preventive actions,
      • Follow-up to action items from previous management reviews,
      • Planed changes that could affect environmental aspects,
      • Changes to legal and other requirements, and
      • Recommendations for improvement.
    • Document any decisions and actions (outputs) regarding changes and improvements to the environmental management system.
  • Keep records of the management review and its results.

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ISO 14001 Documentation Requirements

ISO 14001 requires that at a minimum your environmental management system (EMS) be documented by:

  • 11 Documented Procedures (Pinnacle refers to these as Support Processes or SPs),
  • an EMS Scope statement,
  • an Environmental Policy,
  • at least 14 Record types, and
  • a description of the main EMS elements, including their interaction and related documents.

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ISO 14001 Required Documented Procedures

  1. Identification of Environmental Aspect and their Significance
  2. Identification of Legal and Other Requirements
  3. EMS Awareness (aka: Training)
  4. Internal and External Communication
  5. Document Control
  6. Identification of Potential Emergencies and Emergency Preparedness and Response
  7. Monitoring and Measurement of Significant Aspects
  8. Evaluation of Compliance with Legal and Other Requirements
  9. Corrective and Preventive Action
  10. Record Control
  11. Internal Audits

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ISO 14001 Required Records

Clause

Required Record

4.3.1

Evidence that environmental aspects and associated impacts have been identified and kept up to date

4.3.3

Environmental objectives and targets

4.3.3

Programs for achieving objectives and targets, including defined responsibilities and time frames

4.4.1

Defined EMS roles, responsibilities, and authorities

4.4.2

Employee qualification based on education, training and/or experience

4.4.2

Training records

4.4.3 a

Documentation of any communication received from external interested parties

4.4.3

Decision regarding whether to communicate externally about significant environmental aspects

4.5.1

Environmental performance monitoring information

4.5.1

Results of calibration and verification of measuring equipment

4.5.2

Periodic evaluation of compliance with legal and other requirements

4.5.3

Results of corrective and preventive action

4.5.5

Internal audit planning, results, and follow-up actions

4.6

Records of the management review

4.3.1

Evidence that environmental aspects and associated impacts have been identified and kept up to date

4.3.3

Environmental objectives and targets

4.3.3

Programs for achieving objectives and targets, including defined responsibilities and time frames

4.4.1

Defined EMS roles, responsibilities, and authorities

4.4.2

Employee qualification based on education, training and/or experience

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ISO 14001 Typical EMS Documentation

The following table shows the typical documentation needed to address each clause and requirement of ISO 14001:

Clause

Description of Requirement

Document Type

Pinnacle Lean EMS® Document Model

4.1

Scope of the EMS (also see 4.4.4)

EMS Map/EMS Manual

EM-4440 Lean EMS® Map

MP-4000 EMS Policies

4.2

Environmental Policy (also see 4.4.4)

MP

MP-4000 EMS Policies

4.3.1

System for the identification of environmental aspects. The process must produce a list of environmental aspects with significant environmental impacts. The list must show evidence revision and updates over time. (also see 4.3.3)

SP

Form/Record that lists significant aspects with evidence of periodic revision

SP-4300 EMS Aspects, Objectives, Targets, & Programs

WI-4300-01 Identification of EMS Aspects

WI-4300-02 Significance of EMS Aspects

F-4300-01 EMS Aspect Evaluation

4.3.2

System for identifying and having access to legal and other requirements.  System must include the determination of how requirements apply to the environmental aspects identified in 4.3.1. (directly linked to 4.5.2)

SP

Log/list of applicable legal and other requirements that includes the location of each requirement.

SP-4320 Legal & Regulatory Compliance

WI-4320-01 Preliminary Research Survey

F-4451-01 External Documents & Requirements Log

4.3.3

In relation to significant environmental aspects and applicable legal and other requirements, establish measurable environmental objectives and targets at each functional level. (also see 4.5.1)

Objectives & targets defined for or within every CP that has potential or actual environmental impact

SP-4300 EMS Aspects, Objectives, Targets, & Programs

F-4300-02 Objective & Target Management Sheet

F-4510-01 Objectives Matrix

4.3.3

Establish program(s) for achieving environmental objectives and targets, including responsibility and time frame for achievement of objectives and targets (a.k.a.: Program Planning & Management).

Optional SP or Work Instruction

Program Plan Records

SP-4300 EMS Aspects, Objectives, Targets, & Programs

F-4300-02 Objective & Target Management Sheet

F-4510-01 Objectives Matrix

4.4.1

Definition and documentation of environmental roles, responsibilities, and authorities at all levels.

In every CP/SP &/or R & A Matrix

MP-4000 EMS Policies

F-4410-01 Organizational Chart (customer defined)

4.4.1

Management Representative with defined EMS responsibilities and authority

Org. Chart, Job Description, &/or R & A Matrix

MP-4000 EMS Policies

F-4410-01 Organizational Chart (customer defined)

4.4.2

Define education, training, and/or experience requirements for everyone that can have significant environmental impact.

Competency records (education, training, experience) for personnel performing tasks that can cause environmental impacts

Assessment and identification of training needs.

Provision of training and validation of training effectiveness.

Optional SP

Training Matrix & Job Description

Qualification Requirements per Function.

Training Records

SP-4420 Training

WI-4420-01 Training Curriculum

F-4420-01 Training Matrix

F-4420-02 Training Assessment Schedule

F-4420-03 Training Needs Assessment

4.4.2
a & d

Employee/staff awareness training system

SP

Training Records

SP-4420 Training

WI-4420-01 Training Curriculum

F-4420-01 Training Matrix

F-4420-02 Training Assessment Schedule

F-4420-03 Training Needs Assessment

4.4.3

Internal & external communication system

Decision regarding external communication about environmental aspects.  If decision is to communicate, then define method.

Communication SP &/or MP

Records of Decision (e.g. during Management Review)

SP-4431 Internal Communication

SP-4432 External Communication

F-4432-01 External Communication Log

4.4.4

Description of the elements of the EMS, their interaction, and link to related documentation, including EMS policy, objectives and targets (also see 4.4.5)

EMS Map/Manual, SPs, CPs, MPs, & Objectives Matrix

EM-4440 Lean EMS® Map

F-4440-01 Management System Structure (Master List)

4.4.5

Document control system

SP

SP-4450 Internal Document Control

F-4450-01 Document Change Notice

F-4440-01 Management System Structure (Master List)

SP-4451 External Document Control

F-4451-01 External Documents & Requirements Log

4.4.6

Documented operational processes with operating criteria

NOTE:  The requirements of this sub-clause are intended to address the need to proceduralize all operations and activities that are associated with environmental aspects and legal or regulatory requirements.  This is commonly referred to as "Product Realization" and/or "Process Control."

CPs & Work Instruction (if needed)

Operational controls are typically integrated into existing documented product & service realization processes. In this case no additional documents are needed.  If these processes are not currently documented, Pinnacle can help "process map" them.

Examples of additional processes that may need to be created are Recycling, Waste Handling, Water Treatment, Natural Resource Utilization Reduction Programs, etc.

4.4.7

System for identifying potential emergencies or accidents that can cause environmental impact.  The system must include the development and testing of emergency preparedness and response plans & procedures.

SP

WIs for emergency responses

Records of tests

SP-4470 Emergency Preparedness & Response

WI-4470-01 Emergency Response Programs (for identification of potential accidents/emergencies & for developing response programs)

WI-4470-02 thru WI-4470-XX Emergency Response Programs (customer defined)

F-4470-01 Potential Accidents & Emergencies

4.5.1

System for monitoring & measurement of operations and activities (processes) relating to environmental impacts.

Equipment use to measure and monitor must be calibrated or verified and appropriate records maintained.

Integrated into every CP with an MP stating this

Calibration or verification records

SP-4510 Monitoring Significant EMS Aspects

EF-4510-01 Objectives Matrix

4.5.2

System for periodic evaluation of compliance with environmental laws and requirements (directly linked to 4.3.2)

Included in SP for 4.3.2 &/or MP

Records of Compliance Evaluations

SP-4320 Legal & Regulatory Compliance

F-4320-01 Environmental Compliance Checklist

4.5.3

System for dealing with non-conformances and Corrective & Preventive Action.

SP

SP-4530 Corrective/Preventive Action & Continual Improvement

F-4530-01 Corrective/Preventive Action Request

4.5.4

Record control system

SP

SP-4540 Records Management

F-4440-01 Management System Structure (Master List)

4.5.5

EMS internal audit system

SP

SP-4550 Internal Audit

F-4550-01 Internal Audit Schedule

F-4550-02 Internal Audit Checklist

F-4550-03 Internal Audit Report

4.6

Management Review records

NOTE:  Although a SP is not required, it is highly recommended that an organization develop a SP to address Management Review.

Mgmt Review Record & optional Mgmt. Review SP (recommended)

SP-4600 Management Review

F-4600-01 Management Review Record

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ISO 14001 and OHSAS 18001: Integrated EHS

The essential difference between ISO 14001 and OHSAS 18001 is that ISO 14001 focuses on managing your organization's impact on the external environment, while OHSAS 18001 focuses on managing your organization's internal environment to ensure a safe and healthy workplace. Structurally, the two standards are essentially identical. The requirements are essentially identical. Consequently, the processes and documentation need to implement and certify to OHSAS 18001 are essentially the same. Only the intent and focus are different. As with the EMS, Pinnacle advocates a practical process-based model for an integrated environmental, health, and safety management system (EHS).

The following table provides a direct clause-by-cause comparison of ISO 14001 and OHSAS 18001:

OHSAS 18001:1999 Clause

ISO 14001:2004 Clause

Pinnacle Lean EHS® Document Model

4.1 General Requirements

4.1 General Requirements

EM-4440 Lean EHS® Map

MP-4000 EHS Policies

4.2 OH&S Policy

4.2 Environmental Policy

MP-4000 EHS Policies

4.3 Planning

4.3 Planning

Title Only

4.3.1 Planning for Hazard Identification, Risk Assessment, & Risk Control

4.3.1 Environmental Aspects

SP-4300 EHS Aspects, Objectives, Targets, & Programs

WI-4300-01 Identification of EHS Aspects

WI-4300-02 Significance of EHS Aspects

F-4300-01 EHS Aspect Evaluation

4.3.2 Legal and Other Requirements

4.3.2 Legal and Other Requirements

SP-4320 Legal & Regulatory Compliance

WI-4320-01 Preliminary Research Survey

F-4451-01 External Documents & Requirements Log

4.3.3 Objectives

4.3.3 Objectives, Targets and Program(s)

SP-4300 EHS Aspects, Objectives, Targets, & Programs

F-4300-02 Objective & Target Management Sheet

F-4510-01 Objectives Matrix

4.4 Implementation and Operation

4.4 Implementation and Operation

Title Only

4.4.1 Structure and Responsibility

4.4.1 Resources, Roles, Responsibility and Authority

MP-4000 EHS Policies

F-4410-01 Organizational Chart (customer defined)

4.4.2 Competence, Training and Awareness

4.4.2 Competence, Training and Awareness

SP-4420 Training

WI-4420-01 Training Curriculum

F-4420-01 Training Matrix

F-4420-02 Training Assessment Schedule

F-4420-03 Training Needs Assessment

4.4.3 Consultation and Communication

4.4.3 Communication

SP-4431 Internal Communication

SP-4432 External Communication

F-4432-01 External Communication Log

4.4.4 Documentation

4.4.4 Documentation

EM-4440 Lean EHS® Map

F-4440-01 Management System Structure (Master List)


4.4.5 Document and Data Control

4.4.5 Control of Documents

SP-4450 Internal Document Control

F-4450-01 Document Change Notice

F-4440-01 Management System Structure (Master List)

SP-4451 External Document Control

F-4451-01 External Documents & Requirements Log

4.4.6 Operational Control

4.4.6 Operational Control

Operational controls are typically integrated into existing documented product & service realization processes. In this case no additional documents are needed.  If these processes are not currently documented, Pinnacle can help "process map" them.

Examples of additional processes that may need to be created are Recycling, Waste Handling, Water Treatment, Natural Resource Utilization Reduction Programs, etc.

4.4.7 Emergency Preparedness and Response

4.4.7 Emergency Preparedness and Response

SP-4470 Emergency Preparedness & Response

WI-4470-01 Emergency Response Programs (for identification of potential accidents/emergencies & for developing response programs)

WI-4470-02 thru WI-4470-XX Emergency Response Programs (customer defined)

F-4470-01 Potential Accidents & Emergencies

4.5 Checking and Corrective Action

4.5 Checking

Title Only

4.5.1 Performance Measurement and Monitoring

4.5.1 Monitoring and Measurement

SP-4510 Monitoring Significant EHS Aspects

EF-4510-01 Objectives Matrix

NA

4.5.2 Evaluation of Compliance

SP-4320 Legal & Regulatory Compliance

F-4320-01 Environmental Compliance Checklist

4.5.2 Accidents, Incidents, Non-conformances, and Corrective & Preventive Action

4.5.3 Nonconformity, Corrective and Preventive Action

SP-4530 Corrective/Preventive Action & Continual Improvement

F-4530-01 Corrective/Preventive Action Request

4.5.3 Records and Record Management

4.5.4 Control of Records

SP-4540 Records Management

F-4440-01 Management System Structure (Master List)

4.5.4 Audit

4.5.5 Internal Audit

SP-4550 Internal Audit

F-4550-01 Internal Audit Schedule

F-4550-02 Internal Audit Checklist

F-4550-03 Internal Audit Report

4.6 Management Review

4.6 Management Review

SP-4600 Management Review

F-4600-01 Management Review Record

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