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ISO 9001:2015 ISO 14001:2015 Clause 6 Planning

ISO 9001:2015 Quality
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ENVIRONMENTAL RISKS AND OPPORTUNITIES
Management System
ISO 14001:2015 Clause 6 Planning ensures the organization has the building IATF 16949:2016 Produ
Seven principles of Quality blocks in place to determine that the EMS can achieve its intended outcome(s) September 11, 2017
management as per ISO through inclusion of specific requirements around risk identification and IATF 16949:2016 GAP A
9001:2015 analysis. This builds on and extends much existing practice related to TOOLS August 29, 2017
ISO 14001:2004’s requirements about the identification and evaluation of IATF 16949:2016 Autom
Process Approach aspects and impacts. However, even here, the extent of the required working Quality Management Sy
practice changes depends on the nature and extent of existing evaluation August 3, 2017
Annex SL
techniques. The new ISO 14001 standard are grouped around ve key areas:
leadership, strategic context, interested party analysis and communication, risks
Risk based Thinking
and opportunities and life cycle perspective. These changes are designed to ISO 27001:2013
increase corporate resilience and competitive advantage. Risk management is
QUALITY RISK MANAGEMENT
vital to every organisation in every sector. It is intrinsic to compliance,
ISO 27001:2013 ISMS
ISO 9001:2015 Addressing reputation, growth and pro tability and its proper handling within the health,
Change safety and environmental arena can be a major contributor to overall
ISMS: Context of the or
success.Now, organisations not only need to think about the impact they have
ISO 9001:2015 Strategic direction on the environment and people, but also consider the impact that a changing ISMS: Leadership
environment, for example climate change and resource scarcity, will have on
ISO 9001:2015 Clause 4 Context them. In addition, organisations will need to consider other internal and Information Security Ri
of the Organization external issues that can help or hinder them having successful management Management
systems. These could be related to the organisation’s own internal systems and
ISO 9001:2015 Clause 5 Establishing Informatio
processes, for example nance or procurement, or external factors such as
Leadership objectives
government policy and incentives. While on the one hand it can be considered
more onerous, this broader approach will help organisations better pinpoint the
ISO 9001:2015 CLAUSE 6 Information security po
success (or otherwise) of their management systems and their impact on the
PLANNING
business as a whole.
ISMS: Information secu
ISO 9001:2015 CLAUSE 7 ISO 14001:2015 identi es three possible sources that present risks and project management
SUPPORT opportunities to the business 1) environmental aspects, 2) compliance
obligations and 3) issues and requirements from the context review. One of ISMS: Mobile devices Po
ISO 9001:2015 Organizational
these is the new requirement that the organization determine the risks and
Knowledge ISMS Teleworking
opportunities that need to be addressed to give assurance that the
environmental management system can achieve its intended outcomes so as to
ISO 9001:2015 Documented ISMS Human Resource
prevent, or reduce, undesired e ects, including the potential for environmental
Information
external conditions to a ect the organization; and achieve continual

ISO 9001:2015 CLAUSE 8 improvement.These are all laid out with the aim of ensuring the EMS can meet
its intended expectations, reducing the risk of any external conditions a ecting Six Sigma
OPERATION
the EMS, and ensuring continual improvement is seen and that any emergency
ISO 9001:2015 CLAUSE 9 situations are assessed and action taken to address them.
What is Six Sigma?
PERFORMANCE EVALUATION
Risks may turn into problems. We can reduce or avoid future problems by
Statistics in Quality
reducing their consequences or their probabilities. This can be done by
ISO 9001:2015 INTERNAL AUDIT
changing the way we work to replace a high risk activity with a low risk
Common used Distribu
ISO 9001:2015 CLAUSE 10 activity and remove the risk if possible. Also we can add remove the risk by
Quality
IMPROVEMENT adding risk avoidance activities to the way we work. It is de ned by two
parameters Business Process Mana
ISO 9001:2015 GAP Analysis tools The consequences(C). What will happen if the risk becomes a problem?
The probability( p). What is the probability that the risk will become a
ISO 9001:2015 Internal auditor problem? Kaoru Ishikawa’s Basic
training Presentation The risk(R) is R = C*p Tools
Opportunities may turn into bene ts. We can increase future bene ts by
increasing their probabilities. This can be done by changing the way we The seven new manage
planning tools
ISO 14001:2015 EMS work i.e replace a low opportunity activity with a high opportunity activity
and adding opportunity enabling activities to the way we work. It is de ned
Voice of the customer
by two parameters
ISO 14001:2015 Environment The value(V). What will happen if the opportunity becomes a reality?
Management System VOC Data collecting too
The probability(p). What is the probability that the opportunity will be
realized?
Preparatory Environmental Project charter
The opportunity(O) is O = V*p
Review
Both risk and opportunity is de ned by probability. Experience and data Quality Function Deplo
are important for two reasons. They can be used to estimate values and
ISO 14001:2015 life cycle
probabilities. They serve as an anchor for assessment – e.g. “How bad can it Using Benchmarking to
perspective
get?”. Remember the “opportunity” element and give it due importance. Process Improvement
Every risk presents an opportunity to improve and, in e ect, if you can
ISO 14001:2015 Compliance
mitigate a risk before it turns into an incident, then you will guarantee Team Management in
obligations and evaluation of
continual improvement for the EMS. improvement Projects
Compliance
Examples of possible risks could be the threat of increasing energy prices
due to carbon taxation, making a company uncompetitive – or an Team Managements Sk
ISO 14001:2015 Clause 3 Terms
and de nition organisation being noncompliant with legislation which could lead to a loss
Team Management Too
of custom due to negative publicity. A risk to the success of the
ISO 14001:2015 Clause 4 Context management system could be presented from an organisation’s own
Process Analysis Tools
of the organization nancial processes that do not allow easy investment in emerging
technologies. Measurement Systems
ISO 14001:2015 Clause 5 Examples of an opportunity might be an organisation capitalizing on energy
Leadership e ciency measures which cut production costs, leading to an increase in Measurement System A
competitiveness – or positive publicity surrounding environmental
ISO 14001:2015 Clause 6 Statistical Process Cont
initiatives which results in new customers. Stakeholder perceptions,
Planning control chart
nancial impact or potential prosecution are all vital and the best systems
truly get to the heart of what the business is and what it needs.
ISO 14001:2015 Clause 7 Support Failure Mode and E ec
The standard now requires that documented information shall be kept of
the risks and opportunities and the processes required to ensure that the
ISO 14001:2015 Clause 7.4 Lean Enterprise
process meets expectations; therefore, it may be good practice to create a
Communication
formal Risk Register within the EMS where identi cation, discussion,
5S or Visual Manageme
ISO 14001:2015 Clause 7.5 actions, outcome, and monitoring can all be listed and results clearly
Documented information evaluated. Total Productive Mainte
Ensure there is both leadership commitment and employee involvement.
ISO 14001:2015 clause 8 Both parties may well have unique views of what constitutes environmental Error Proo ng
Operation risk within the business, so ensure both are sought and considered and
that the communication channel up and down exists. The Kanban System
ISO 14001:2015 Clause 9 Consider establishing a “risk and opportunity” forum or monthly meeting.
Performance evaluation Given that businesses change swiftly, it is important that focus is kept on The Kaizen Event
the environmental risk and the resulting action required to mitigate that
ISO 14001:2015 Clause 10 One Piece Flow
risk. Document the outcome as suggested above.
Improvement Ensure your monitoring, measuring, analysis, and evaluation are accurate
Process Capability
and frequent. This process forms the basis for assigning values to the
ISO 14001:2015 GAP ANALYSIS
e ectiveness of your risk and opportunity process and can provide you
TOOLS Regression Analysis
with the foundation for improving future performance.
Hypothesis Testing
“Risks and opportunities” is de ned in ISO 14001:2015 as potential adverse
ISO 9001:2008 e ects (threats) and potential bene cial e ects (opportunities). The rationale
Analysis of Variance – A
behind this de nition is to have organizations primarily focus their attention on
the results related to risk determinations, including both positive and negative Multivariate Tools
Implementing ISO 9001 e ects, rather than simply the uncertainty related to the occurrence of
events. The key thing to remember about these new requirements is that not Nonparametric Tests
ISO 9001 Requirements
every risk (that is, threat) and opportunity an organization faces is required to be
included in this risk determination. First, there must be a nexus, or connection, Design of Experiments
ISO 9001-clause 1,2,3
to the environmental management system. For example, hazardous waste
disposal risks would have a nexus to the EMS; credit card fraud risks would not. Design for Six Sigma
ISO 9001-Clause 4.1
According to ISO 14001, the organization needs to consider the relationship a
ISO 9001-Clause 4.2 particular risk has to:
ISO 14001:2004
ISO 9001-Clause 5.1,5.2,5.3 the organization’s important environmental issues that is its “context”.
the organization’s EMS requirements, including its compliance obligations ISO 14001:2004 EMS
ISO 9001-Clause 5.4 the de ned scope of the organization’s environmental management
system. Preparatory Environme
ISO 9001-Clause 5.5
Review

ISO 9001-Clause 5.6

ISO 14001 Terms and D

ISO 9001-Clause 6
ISO 14001-Clause 4.1

ISO 9001-Clause 7.1

ISO 14001-Clause 4.2

ISO 9001-Clause 7.2

ISO 14001-Clause 4.3.1

ISO 9001-Clause 7.3

ISO 14001-Clause 4.3.2

ISO 9001-Clause 7.4

ISO 14001-Clause 4.3.3

ISO 9001-Clause 7.5

ISO 14001-Clause 4.4.1

ISO 9001-Clause 7.6

ISO 14001-Clause 4.4.2

ISO 9001-Clause 8.1

ISO 14001-Clause 4.4.3

ISO 9001-Clause 8.2

ISO 14001-Clause 4.4.4

ISO 9001-Clause 8.3

ISO 14001-Clause 4.4.5

ISO 9001-Clause 8.4 & Clause 8.5

ISO 14001-Clause 4.4.6

Documentation Requirements of
ISO 14001-Clause 4.4.7
ISO 9001:2008

ISO 14001-Clause 4.5.1

ISO 9000:2005 ISO 14001-Clause 4.5.3

ISO 14001-Clause 4.5.4

Fundamentals of quality
management systems as per ISO ISO 14001-Clause 4.5.5
9000
ISO 14001-Clause 4.6
Terms relating to Quality in QMS

Terms relating to management in

Pretesh Biswas
QMS
This determination of risk (threats and opportunities) is intended to be
Terms relating to Organization in subjective. It is to be based on the opinions, interpretations, and judgment of
QMS those within the organization. It does not have to be an objective determination.
It does not have to be based on numbers, calculations, or spreadsheets—
Terms relating to process and
although it can be if an organization so chooses. The determination of which
products in QMS
risks and opportunities will be addressed in the EMS is the organization’s
decision. It is not required to be based on what any particular interested party
Terms relating to Characteristics
or management system auditor thinks the decision should be.
in QMS

Terms relating to Conformity in

QMS

Terms relating to Documentation

in QMS

Terms related to Examination in

QMS Search

Terms related to Audit in QMS

Terms related to quality
management for measurement
processes in QMS

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Planning process

The “Planning” clause has two sub clauses i.e.

Clause 6.1 Actions to address risks and opportunities

6.1.1 General
6.1.2. Environmental aspects
6.1.3 Compliance obligations
6.1.4 Planning action
Clause 6.2 Environment Objectives and Planning to Achieve Them
6.2.1 Environmental objectives
6.2.2 Planning actions to achieve environmental objectives

6.1 Actions to address risks and opportunities

6.1.1 General
The organization should establish, implement and maintain the processes
needed to meet the requirements of Clause 6.1 (Actions to address risks
and opportunities). When planning for the environmental management
system, the organization shall consider issues referred to in Understanding
the organization and it context (4.1), the requirements referred to in
Understanding the needs and expectations of interested parties(4.2)
and the scope of its environmental management system; The organization
should also determine the risks and opportunities, related to its
environmental aspects, compliance obligations and other issues and
requirements,issues referred to in Understanding the organization and it
context (4.1), the requirements referred to in Understanding the needs
and expectations of interested parties(4.2) so as to assure that the
environmental management system can achieve its intended outcomes; It
can prevent or reduce undesired e ects, including the potential for
external environmental conditions to a ect the organization and achieve
continual improvement. Within the scope of the environmental
management system, the organization shall determine
potential emergency situations, including those that can have an
environmental impact. The organization should maintain documented
information of its risks and opportunities that need to be
addressed. Documented information is also to be maintained to the extent
necessary to have con dence that the process has been carried out as
planned.

As per Annex A (Guidance on use of ISO 14001:2015 standard) of ISO

14001:2015 standard it further explains:
The overall intent of the processes established in 6.1.1 is to ensure that the
organization is able to achieve the intended outcomes of its environmental
management system, to prevent or reduce undesired e ects, and to achieve
continual improvement. The organization can ensure this by determining
its risks and opportunities that need to be addressed and planning action to
address them These risks and opportunities can be related to environmental
aspects, compliance obligations, other issues or other needs and expectations
of interested parties. Environmental aspects can create risks and opportunities
associated with adverse environmental impacts, bene cial environmental
impacts, and other e ects on the organization. The risks and opportunities
related to environmental aspects can be determined as part of the
signi cance evaluation or determined separately. Compliance obligations can
create risks and opportunities, such as failing to comply (which can damage the
organization’s reputation or result in legal action) or performing beyond its
compliance obligations (which can enhance the organization’s reputation).The
organization can also have risks and opportunities related to other issues,
including environmental conditions or needs and expectations of interested
parties, which can a ect the organization’s ability to achieve the intended
outcomes of its environmental management system, e.g.
a) environmental spillage due to literacy or language barriers among workers
who cannot understand local work procedures;
b) increased ooding due to climate change that could a ect the organizations
premises;
c) lack of available resources to maintain an e ective environmental
management system due to economic constraints;
d) introducing new technology nanced by governmental grants, which could
improve air quality:
e) water scarcity during periods of drought that could a ect the organization’s
ability to operate its emission control equipment.
Emergency situations are unplanned or unexpected events that need the urgent
application of speci c competencies, resources or processes to prevent or
mitigate their actual or potential consequences. Emergency situations can result
in adverse environmental impacts or other e ects on the organization. when
determining potential emergency situations (e.g. re, chemical spill, severe
weather), the organization should consider:

the nature of onsite hazards (e.g. ammable liquids, storage tanks,

compressed gasses);
the most likely type and scale of an emergency situation;
the potential for emergency situations at at nearby facility (e.g. plant, road,
railway line).

Although risks and opportunities need to be determined and addressed, there is

no requirement for formal risk management or a documented risk management
process. it is up to the organization to select the method it will use to
determine, its. risks and opportunities. The method may involve a simple
qualitative process or a full quantitative assessment depending on the context
in which the organization operates. The risks and opportunities identi ed are
inputs for planning actions and for establishing the environmental objectives.

Explanation:

To conform to the ISO 14001 standard, an organization simply needs to be able

to show that it considered the nexus factors listed above when it made its EMS
risk determinations. Just as the determination of the organization’s context, its
aspects, and its compliance obligations are inputs into its determination of risks
and opportunities, the determination of risks and opportunities is an input into
other EMS processes. The requirements in clause 6.1.1 are expressly linked to
the additional planning requirements in clause 6.1.4. The planning requirements
are then linked to operational control requirements in clause 8.1. Taken
together, these clauses require the organization to plan and then take action to
address the risks and opportunities that have been identi ed. In other words,
clause 6.1.1 requires a risk determination; clause 6.1.4 requires the
development of risk action plans; and clause 8.1 requires that these risk action
plans be implemented. ISO 14001:2015 also requires that organizations check
whether the management system processes they have established to address
risk are e ective. Clause 6.1.4 requires the organization to plan how it will
evaluate the e ectiveness of the actions taken to address risk. Clause 8.1
requires the organization to establish operating criteria for its risk control
processes. Clause 9.1.1 requires the organization to monitor, measure, analyze,
and evaluate its environmental performance. In summary, the plan-do-check-act
(PDCA) focus on addressing signi cant aspects that was embedded in ISO
14001:2004 now applies to environmental risks and opportunities as
well. Assessing risk and opportunity within an EMS is of crucial importance, with
prevention being better than cure in environmental terms, where there is often
no way of repairing the damage an incident does after occurrence. Having a
team that is focused on risk and prevention can go a long way towards
mitigating environmental risk, but only supported by the correct processes
within the EMS. Ensure compliance terms are always met and a great portion of
risk will be reduced. Ensure that all risk assessments are recorded, actioned,
measured, and improvement action taken. Make risk and opportunity a staple of
the mindset of the team. A team that is focused on risk and opportunity is a
team that can preside over continual improvement, and that result will be of
bene t to your organization and the EMS.

It’s tempting to want to capitalize on or mitigate all possible opportunities and

risks identi ed, but by doing so the most important will lack the attention they
require – a risk assessment process is therefore required. Under ISO 14001:
2015, organisations are free to choose the process used to assess the risks and
opportunities that need to be addressed. The standard just requires that there
is an approach in place to address risks and opportunities in order to ensure a
successful EMS, and that the intended outcomes of the EMS are achieved – with
unintended e ects either avoided or reduced.

6.1.2. Environmental aspects

Within the de ned scope of the environmental management system, the
organization should determine the environmental aspects and their
associated environmental impact of its activities, products and services
that it can control and also those that it can in uence. While determining
environmental aspects and their associated environmental impact the
organization must take into consideration a life cycle perspective.
When determining environmental aspects, the organization should take
into account:
a) change, including planned or new developments. and new or modi ed
activities, products and services;
b) abnormal conditions and reasonably foreseeable emergency situations.
The organization should determine those aspects that have or can have a
signi cant environmental impact, i.e. signi cant environmental aspects.
by using established criteria.The organization shall communicate its
signi cant environmental aspects among the various level and functions
of the organization. as appropriate. The organization should maintain
documented information of its environmental aspects and associated
environmental impacts. The organization also should maintain
documented information of the criteria used to determine its signi cant
environmental aspects and signi cant environmental aspects. Signi cant
environmental aspects can result in risks and opportunities associated
with either adverse environmental impacts (threats) or bene cial
environmental impacts (opportunities).

As per Annex A (Guidance on use of ISO 14001:2015 standard) of ISO

14001:2015 standard it further explains:

An organization determines its environmental aspects and associated

environmental impacts, and determines those that are signi cant and,
therefore, need to be addressed by its environmental management
system. Changes to the environment, either adverse or bene cial, that result
wholly or partially from environmental aspects are called environmental
impacts. The environmental impact can occur at local, regional and global scales,
and also can be direct, indirect or cumulative by nature. The
relationship between environmental aspects and environmental impacts is one
of cause and e ect. When determining environmental aspects, the organization
considers a life cycle perspective. This does not require a detailed life cycle
assessment: thinking carefully about the life cycle stages that can be controlled
or in uenced by the organization is su cient. Typical stages of a product (or
service) life cycle include raw material acquisition, design. production,
transportation/delivery, use, end-of- life treatment and nal disposal. The life
cycle stages that are applicable will vary depending on the activity, product or
service.
An organization needs to determine the environmental aspects within the scope
of its environmental management system. it takes into account the inputs and
outputs (both intended and unintended) that are associated with its current and
relevant past activities, products and services; planned or new developments;
and new or modi ed activities, products and services. The method used
should consider normal and abnormal operating conditions, shutdown and
start-up conditions. as well as the reasonably foreseeable emergency situations
identi ed in 6.1.1. Attention should be paid to prior occurrences of emergency
situations. An organization does not have to consider each product, component
or raw material individually to determine and evaluate their environmental
aspects; it may group or categorize activities, product and services when they
have common characteristics. When determining its environmental aspects, the
organization can consider:

emissions to air
releases to water
releases to land
use of raw materials and natural resources
use of energy
energy emitted e.g. heat, radiation, vibration (noise), light),
generation of waste and/or by-products;
use of space.
In addition to the environmental aspects that it can control directly, an
organization determines whether there are environmental aspects that it can
in uence. These can be related to products and services used by the
organization which are provided by others, as well as products and services
used by the organization which are provided by others, including those
associated with outsourced processes. With respect to the an organization
provides to others, it can have limited in uence on the use and end-of-life
treatment of the products and services. in all circumstances,However, it is the
organization that determines the extent of control it is able to exercise, the
environmental aspects it can in uence, and the extent to which it chooses to
exercise such in uence. Consideration should be given to environmental
aspects. related to the organization’s activities, products and services, such as:

design and development of its facilities, processes, products and services,

acquisition oi‘ raw materials, including extraction
operational or manufacturing processes, including warehousing
operation and maintenance of facilities, organizational assets and
infrastructure
environmental performance and practices of external providers,
product transportation and service delivery, including packaging,
storage, use and end-of-life treatment of products;
waste management, including reuse, refurbishing, recycling and disposal.

There is no single method for determining signi cant environmental aspects,

however, the method and criteria used should provide consistent results. The
organization sets the criteria for determining its signi cant environmental
aspects. Environmental criteria are the primary and minimum criteria for
assessing environmental aspects. Criteria can relate to the environmental aspect
(e.g. type, size, frequency etc) or the environmental impact (e.g. scale, severity,
duration, exposure). Other criteria may also be used. An environmental aspect
might not be signi cant when only considering environmental criteria. It can,
however, reach or exceed the threshold for determining signi cance when other
criteria are considered. These other criteria can include organizational issues,
such as legal requirements or interested party concerns. These other criteria are
not intended to be used to downgrade an aspect that is signi cant based on its
environmental impact. A signi cant environmental aspect can result in one or
more signi cant environmental impacts, and can therefore result in risks and
opportunities that need to be addressed to ensure the organization can achieve
the intended outcomes of its environmental management system.

Explanation:

Identi cation and evaluation of signi cant environmental aspects, especially in

the planning phase, is the most fundamental part of ISO 14001. To understand
the environmental aspects and impacts is one of the key success factors of
implementing an ISO 14001 EMS. In the language of ISO 14001, “an
environmental aspect is an element of an organization’s activities, products, or
services that has or may have an impact on the environment.”An environmental
aspect is the way your activity, service, or product impacts the
environment.Activity can be de ned as “A Task or Operation general occurring
within the Organization. Environment impact can be de ned as “Any change to
the environment, whether adverse or bene cial, wholly or partially resulting
from an organization’s activities, products,or services.”An environmental
impact is a change to the environment. Environmental impacts are caused by
environmental aspects. In the following steps you will nd a basic, systematic
approach to identifying, evaluating and managing environmental aspects.

1. De nition of the EMS scope

Before you start dealing with environmental aspects and impacts, you
should rst de ne the scope of the EMS. You can choose to apply ISO
14001 to the entire organization, or only to a speci c unit, location, or
product. Once you have made this decision you have de ned the EMS
scope. Henceforth, all activities, services, and products that fall within your
 de ned scope have to be taken into consideration when you identify
environmental aspects and impacts.

2. Identi cation of environmental aspects

First, let’s explain the terms activity, service, and product. An activity is a
part of the core business (e.g., production process steps). Service means an
auxiliary service that supports core activities (e.g., boilers, heating &
cooling, maintenance). A product is the goods you o er for market. An
environmental aspect of the product could be, e.g., excessive packaging of
the product, or level of recyclability of the product at the end of its
lifecycle.As ISO 14001 states, “The organization shall establish a procedure
to identify environmental aspects and determine those aspects that have
or can have a signi cant impact to the environment.” You should also keep
a register of the environmental aspects, which is kept up to date and takes
into account planned new or modi ed activities, products, or
services. Aspects can be divided into direct and indirect. Direct
environmental aspects are associated with activities, products, and services
of the organization itself, over which it has direct management control (e.g.,
how you manage waste on your site). However, for non-industrial
organizations the focus will often be on indirect environmental aspects of
their activities (e.g., how your subcontractor manages waste on your site,
chain controlled aspects, customer controlled aspects). In order to identify
your environmental aspects you need to study how your organization’s
activities, products, and services a ect the environment. The identi cation
of environmental aspects often considers, e.g., emissions to air, releases to
water and land, use of raw material, waste and natural resources, impacts
on biodiversity, etc. When identifying environmental aspects, all parts of the
company’s operations in the de ned scope have to be considered, not just
the obvious core manufacturing or service activities. For example, most
facilities have a maintenance department, o ces, a canteen, heating and
cooling systems, vehicle parking, and contractor and supplier activities –
each of which may have an impact on the environment. Various techniques
can be used to compile a comprehensive listing of environmental aspects
and impacts at a facility – e.g., Value chain method, Process ow method,
materials identi cation, method of compliance with legal requirements, etc.
Good practice is to involve a cross-functional team from key areas of the
operation. For each type of activity, product, or service, you need to list
your unique environmental aspect – this will result in an overall list or
matrix of aspects and impacts.

3. Evaluation of signi cant environmental aspects

The purpose of the evaluation of environmental aspects is focusing on

what matters the most (e.g., 20-80 rule). You do not need to manage all
environmental aspects – only the ones that are, according to your own
criteria, declared signi cant. Signi cant environmental aspects are the main
focus of your organization’s environmental management
system. Depending on type, nature, and complexity of an organization,
there are many techniques available for conducting an evaluation to
determine the signi cance of environmental aspects. In assessing the
signi cance you should consider potential to cause environmental
harm,importance to the stakeholders of the organization,requirements of
relevant environmental legislation, size and frequency of the aspect. Each
organization must establish its own criteria for signi cance based on a
systematic review of its environmental aspects and their actual and
potential impacts.

4. Managing signi cant environmental aspects

Every signi cant aspect should be brought under control by establishing

one or more of the following controls: responsible person, training plan, or
procedure, checklist and/or maintenance schedule. Level of control should
be appropriate to the nature and risk of the signi cant aspect. Each of the
above is a part of the everyday work routine. An EMS can often be more
 complicated than needed. The key to any e ective EMS is getting the
environmental aspects right at the very beginning. Identifying the
environmental aspects properly will not only save you time, but also enable
you to achieve great bene ts with your EMS once it is implemented.

Example of Relation between Activity,aspects and Impact

ACTIVITY ASPECTS IMPACTS

Air Emissions Degrade Air Quality

Use of Oil, Consumption of Natural
Absorbents Resources
Changing Oil
Recycling of Oil Increase Land ll Space
Spills Degrade Water Quality

Dust Generations
Degradation of Air Quality
Air Emissions
Degradation of Air Quality
Operation of Equipments Use of Raw
Use of Natural resources.
materials

Central Air Conditioning Energy Consumption Use of Natural Resources

Land lling Disposal Contamination of land

Storm Water Management Water Flow Erosion

Excavation Soil disturbance Erosion

Aesthetics and Community

Generation of Solid Waste Land Usage
environment

Toilet ushing and Hand

Water Usages Use of natural resources
Washing

aring air emissions Air degradation

Processing of composting Water quality Water degradation

Erosion,
Farming Tillage sediment Loading

To plan for and control its signi cant environmental impacts, an organization
must rst know what these impacts are. But knowing what the impacts are is
only part of the challenge, you also should know where these impacts come
from. The identi cation and management of environmental aspects can (1)
have positive impacts on the bottom line and (2) provide signi cant
environmental improvements. The relationship between aspects and impacts is
one of cause and e ect. The term “aspects” is neutral, so keep in mind that your
environmental aspects could be either positive such as making a product out of
recycled materials or negative such as discharge of toxic materials to a
stream.Your organization is not expected to manage issues outside its sphere
of in uence. For example, while your organization probably has control over
how much electricity it uses, it likely does not control the way in which the
electricity is generated. Once you have identi ed the environmental aspects
of your products, activities, and services, you should determine which aspects
could have signi cant impacts on the environment. These environmental
aspects should be considered when you set your environmental objectives and
de ne your operational controls.
 Multi step process for evaluation
of Aspect

In identifying aspects and impacts, you should look at activities including

activities controlled by applicable laws and regulations. But because many of
your aspects/impacts may be addressed by legal requirements, your compliance
program might yield some valuable information. Permits, audit reports, and
other such documents can serve as useful inputs. Beyond regulations, look at
issues such as land, energy, and other natural resource use.Once you have
identi ed environmental aspects and related signi cant impacts, use this
information in setting your objectives and targets. This does not mean that you
need to address all of your impacts at once. There may be good reasons such as
cost, availability of technology, and scienti c uncertainty for addressing some
impacts now and deferring action on others. Keep in mind that managing
environmental aspects could have positive business impacts. Remember to look
at services as well as products. While the need to examine your on-site
operations might be obvious, you should also consider the potential impacts of
what you do o -site such as servicing equipment at customer sites. Similarly,
the environmental aspects of the products, vendors, and contractors you use
may be less obvious, but should still be considered. Identifying signi cant
environmental aspects is one of the most critical elements of the EMS and can
be one of the most challenging. Decisions you make in this task can a ect many
other system elements such as, setting objectives and targets, establishing
operational controls, and de ning monitoring needs. Careful planning and
conduct of this activity will pay dividends in later steps.

To understand your environmental aspects, it helps to understand the

processes by which you generate products and services. A ow chart of your
major processes might help you understand the inputs and outputs of your
processes and how materials are used. You may also want to consider the views
of interested parties — some organizations have found external parties to be a
good resource to help you identify your organization’s environmental
aspects. There are many readily-available sources of information to help you
perform your assessment. For starters, look at your permits, various regulations
that apply to your operations, audit reports, and monitoring records. Trade
associations, regulatory agencies, your customers and suppliers also might
provide useful information to support your assessment.

Things to Consider in Evaluating Environmental Aspects:

Air Emissions
Water E uents
Solid and Hazardous Wastes
Land Use
Contamination of Land Raw Material
Resource Use
 Local Issues Normal and Abnormal Conditions such as noise, odor, dust,
tra c, appearance, etc.

6.1.3 Compliance obligations

Compliance obligation is a separate article, For more on Compliance
obligations click here

6.1.4 Planning action

The organization should plan to take actions to address its signi cant
environmental aspects, compliance obligations and its identi ed risks and
opportunities. The organization must integrate and implement the actions
into its environmental management system processes, or other business
processes. The organization evaluate the e ectiveness of these
actions.While planning these actions, the organization shall consider its
technological options and its nancials, operational and business
requirements.

As per Annex A (Guidance on use of ISO 14001:2015 standard) of ISO

14001:2015 standard it further explains:

“The organization plans, at a high level, the actions that have to be taken within
the environmental management system to address its signi cant environmental
aspects, its compliance obligations, and its identi ed risks and opportunities
identi ed that are a priority for the organization to achieve the intended
outcomes of its environmental management system. The actions planned may
include establishing environmental objectives (see 6.2) or maybe
incorporated into other environmental management system processes, either
individually or in combination. Some actions may be addressed through other
management systems, such as those related to occupational health and safety
or business continuity, or through other business processes related to risk,
nancial or human resource management. When considering its technological
options, an organization should consider the use of best-available techniques,
where economically viable, cost-e ective and judged appropriate. This is not
intended to imply that organizations are obliged to use environmental cost-
accounting methodologies.”

HOW TO IDENTIFY AND EVALUATE RISKS AND OPPORTUNITIES

Approach to evaluate risk and opportunities:

Option 1:Single path Approach
This process begins by by identifying the context of the organization, taking into
account environmental conditions and issues (4.1), and needs and expectation
of interested parties (4.2) according to the scope of the Environmental
Management System (4.3). After this step, the criterias are applied to assess
risks and opportunities associated with environmental aspects by considering
likelihood and severity of impacts, environmental conditions and issues and
requirements of interested parties. The results of the risks and opportunities
assessments are signi cant environmental aspects that can be addressed by the
organization through actions such as setting an objective and environmental
improvement program, operational control, emergency plan or other plans as
appropriate.

Option 2: Duel Aspect Approach

After applying the same process of addressing the context of the organization,
option 2 uses the criteria to assess “organizational” aspects (aspects of
environment interacting with organization) and environmental aspects (aspects
of organization interacting with environment). From both these processes, a list
of signi cant organizational aspects and signi cant environmental aspects will
be created. From the identi ed signi cant “organizational” aspects and
environmental aspects the next process is to assess risks and opportunities that
need to be addressed that are relevant to the EMS. These risks and
opportunities are then followed up by the organization through actions such as
setting an objective and environmental improvement program, operational
control, emergency plan or other plans as appropriate as in option 1.
Option 3: Parallel process Approach

Option 3 utilizes information of business risks and opportunities identi ed

through an enterprise risk management system/process. Depending on the
organization this process may or may not exist. Business risks and opportunities
relevant to EMS are then compiled with signi cant environmental aspects
generated from the process similar to option 1 to determine actions that need
to be planned by the organization in the EMS such as setting an objective and
environmental improvement program, operational control, emergency plan or
other plans as appropriate.

Example :A family owned company, manufacturing wooden outbuildings for

domestic and commercial use. The organization’s purpose is to provide to both
retail and bespoke sectional buildings to individuals and organizations. (same
example as taken previously from Clause 4.1 Understanding the Organization
and its context )

1. Risk /Opportunities for internal Issues

# Issues (Internal) Potential H/M/L Potential H/M/L

uncertainties (Risk) uncertainties (Opportunities)
 (Risk) (Opportunities )

Transport and site Habitat damage

1 M Resource savings L
erection costs/ service on site

Family
Culture within the Increased personal
di erences
Organization commitment to long
2 adversely a ect L M
/governance and term environmental
environmental
succession issues projects
projects

Opportunities to move
Opportunity not Decreased use of
from product to service
taken up natural
3 e.g. leasing and M M
(positive risks not resources/extended
maintenance of
realized) product life for user
buildings

Relationship with supply

Unsustainable Bigger market/ more
4 chain (timber traceability H L
timber used sales opportunities
etc.)

Potential sustainable Opportunity not

Greater cooperation/
material replacement taken up
5 M improved relationships M
programme (products/ (positive risks not
in supply chain
packaging) realized)

Material consumption High waste Cost savings/new

(recycled, durable, disposal product
6 M M
reusable, recyclable, costs/lack of development/market
biodegradable) market growth di erentiation

Failure to realize Increased savings/less

7 Energy management H H
savings use of nite resources

Wastage of raw Ine cient Materials cost recovery

material/waste planning process due to sales of wood
8 H H
disposal/developing leads to high by products (sawdust,
market for by-products waste levels o cuts etc.)

2. Risk /Opportunities for External Issues

Potential H/M/L Potential uncertainties H/M/L

# Issues (External)
uncertainties (Risk) (Risk) (Opportunities ) (Opportunities)

Political,
economic, social, Change of Change of government
9 technological, government disrupts L accelerates economic M
legal and economic recovery recovery
regulatory

Chain of custody
Chain of custody
Supply chain initiatives reduces
10 M initiative promotes M
resilience number of potential
stronger partnerships
new suppliers

Market sensitivity Chain of custody not Traceability work

to habitat loss e ective; rare provides more evidence
11 H H
and biodiversity hardwoods of well managed timber
issues discovered in stores habitats

Overall economic
Accelerating market
12 performance in Slow market growth M M
growth
the country

Cost of servicing loans

Increased interest
stays low and increases
Economic plans rates slow capital
13 H opportunities to put M
for future investment in energy
money into
saving plans
environmental projects

Market willing to pay

Customer Market buys on price
14 M higher price for L
expectation only
premium/ethical product

Standardization Competitor get

Seen as industry sector
and certi cation certi cate but do less
15 H leaders by being early H
within the (loss of
adopter
industry di erentiation)
16Impacts of Uncertainty of supply M Market opportunity due H
climate volatility levels/maintenance to resilience and easy
of raw material costs repair of product

3. Risk /Opportunities for Compliance obligations

Potential
Compliance Potential H/M/L H/M/L
# uncertainties
obligations uncertainties (Risk) (Risk) (Opportunities)
(Opportunities )

Less solvent used,

Air emission
17 Non compliance, ne M cheaper alternatives L
legislation
sourced

18Waste legislation Non compliance, ne M

19Water legislation Non compliance, ne H

Forest Standards Potential to work with

Council seen group to come of up
20Pressure groups H M
as’greenwash’by with better
pressure groups solution/product

Greater level of
understanding about
High number of
Neighbours/Local company operations
21 complaints on noise and M M
community and more local
odour
support for future
qrowth plans on site

Improved contractor
Contractor related
partnerships and
environmental incidents
22Contractors M shared environmental M
lose customers/incur
initiatives help
increased costs
increase sales

Competitor get Seen as industry

Suppliers (1st,
23 certi cate but do less H sector leaders by M
2nd and 3rd tier)
(loss of di erentiation) being early adopter

4. Risk /Opportunities for Signi cant Aspect

Potential
Potential uncertainties H/M/L H/M/L
# Signi cant Aspect uncertainties
(Risk) (Risk) (Opportunities)
(Opportunities )

Remove harmful
Not sure where drainage
24Spillage (Potential) M substance through L
goes
process redesign

Complaint from Not know at time of

25Sawing/milling M
neighbour review

Water usage Large water Not know at time of

26 H
(Cooling) footprint/High cost review

Chain of custody not Marketing and

established /contribution di erentiation
27Timber sourcing H H
to biodiversity and opportunity against
habitat loss competitors

Are we monitoring
28Electricity use H Reduced utility cost L
energy use

Are we monitoring
29Gas use M Reduced utility cost L
energy use

Leak causes
30Diesel storage contaminated L
land/water course

More e cient
Are we maximizing route logistical
31Transport M M
planing planning/better use
of sta time

6.2 Environmental objectives and planning to achieve them

6.2.1 Environmental objectives
The organization should establish environmental objectives at relevant
functions and levels, taking into account the organization’s signi cant
environmental aspects and associated compliance obligations and
considering its risks and opportunities. The environmental objectives
should be consistent with the environmental policy, measurable (if
practicable) and monitored. The environmental objectives should
be communicated and updated as appropriate. The organization should
maintain documented information on the environmental objectives.

6.2.2 Planning actions to achieve environmental objectives

When planning how to achieve its environmental objectives, the
organization should determine what will be done, what resources will be
required, who will be responsible, when it will be completed and how the
results will be evaluated, including indicators for monitoring progress
toward achievement of its measurable environmental objectives. The
organization should consider how actions to achieve its environmental
objectives can be integrated into the organization’s business processes.

As per Annex A (Guidance on use of ISO 14001:2015 standard) of ISO

14001:2015 standard it further explains:

Top management may establish environmental objectives at the strategic level,

the tactical level or the operational level. The strategic level includes the highest
levels of the organization and the environmental objectives can be applicable to
the whole organization. The tactical and operational levels can include
environmental objectives for speci c units or functions within the organization
and should be compatible with its strategic direction. Environmental objectives
should be communicated to persons working under
the organization’s control who have the ability to in uence the achievement of
environmental objectives. The requirement to “take into account signi cant
environmental aspects” does not mean that an environmental objective has to
be established for each signi cant environmental aspect, however, these have a
high priority when establishing environmental objectives. “Consistent with the
environmental policy” means that the environmental objectives are
broadly aligned and harmonized with the commitments made by top
management in the environmental policy, including the commitment to
continual improvement.
Indicators are selected to evaluate the achievement of measurable
environmental objectives. “Measurable” means it is possible to use either
quantitative or qualitative methods in relation to a speci ed scale to determine
if the environmental objective has been achieved. By specifying “if practicable”, it
is acknowledged that there can be situations when it is not feasible to measure
an environmental objective, however, it is important that the organization is
able to determine whether or not an environmental objective has been
achieved.

Explanation:

The Standard requires that the organization shall establish and

maintain documented environmental objectives at each relevant functions and
levels within the organization.Objectives help you translate purpose into action
— they should be factored into your strategic plan and can facilitate the
integration of environmental management with other business
management processes. Objectives should be the longer-term goals derived
naturally from the environmental policy. It should be understood that each
identi ed signi cant aspect will have an associated objective or objectives in
some cases. Quanti cation can take place through measurement in order to
meet such goals.You determine what objectives and targets are appropriate for
your organization. These goals can be organization-wide or applied to individual
units or activities. Of course, all objectives should be realistic. Objectives should
be related to signi cant environmental impacts and can be couched in fairly
broad terms i.e. to reduce energy use. Each objective should have a measurable
target to demonstrate that the objective is being attained. Targets are more
speci c, more easily measurable detailed performance requirements which
evolve from the objectives and allow an organization to verify whether the
stated objectives will be achieved. Early warning mechanisms for targets not
being met should be in place. The process of regular reviews and audits should
address this adequately.In setting objectives consider your environmental
policy, signi cant environmental aspects, from its compliance obligations
including applicable legal and other requirements, the views of interested
parties, your technological options, and nancial, operational, and other
business requirements. There are no “standard” environmental objectives that
t all organizations. Your objectives should re ect what your organization does
and what it wants to achieve.

Objectives should be set by the people in the functional area involved — they
will be best positioned to establish, plan for, and achieve these goals. Involving
people in the area will help to build commitment. Objectives should be
consistent with your overall business mission and plan and the key
commitments established in your policy (pollution prevention, continual
improvement, and compliance).Be exible in your objectives. De ne a desired
result and let the people responsible determine how to achieve the result. Keep
your objectives simple initially, gain some early successes, and then build on
them. Communicate objectives (as well as your progress in achieving them)
across the organization. Consider a regular report on progress at sta
meetings.To obtain the views of interested parties, consider holding an open
house or establishing a focus group with people in the community. These
activities can have other payo s as well. Make sure your objectives and targets
are realistic. Determine how you will measure progress towards achieving them.
Keep in mind that your suppliers service or materials) can help you in meeting
your objectives and targets (e.g., by providing more environmentally friendly
products).

Setting of Objectives

Some objectives will be dictated by the requirements of its compliance

obligations and therefore are set from outside of the organization. That apart if
an organization has identi ed that solid waste to land ll is a signi cant impact,
what should be the target to aim for to reduce this amount of waste? First and
foremost, quanti cation of what is actually sent to land ll needs to be obtained.
As stated above this could probably be obtained from weighbridge
tickets, waste transfer notes and other records. If, from these records, it is
discovered that in the previous year 100 tonnes were sent to land ll, how does
the organization derive a meaningful gure for reduction? Is 1%, 10% or 50%
reduction a reasonable gure? Upon examination of these options, an
improvement of 1% is meaningless as far as environmental signi cance is
concerned. It will probably be di cult to measure this ‘amount’ with con dence.
There is also the fact that the costs of the controls for this small reduction may
outweigh any nancial considerations – always an issue in any organization. The
improvement of 50% would appear at rst glance to be commendable and
worthy of environmental attention, however, on closer examination it is
probably somewhat unrealistic. Thus 10% appears to be a starting point and an
achievable target – with measurable associated cost savings. If, as the system
matures, this proves to be too di cult, then it could be adjusted to 8% or 9% as
appropriate. Obviously, only running a production line at 50% capacity, due to
poor customer demand, will reduce waste by a roughly corresponding
amount. Unless this is taken into consideration in the calculations, errors in
the gures will occur.

Some Examples of Objectives

Reduce electricity use by 10% Target date March 2016

Reduce natural gas use by 10% Target date March 2015
Eliminate use of CFC’s by March 2015
Reduce use of high-VOC paints by 25% in 2015
Reduce chrome wastes in plating area by 50% in 2015
Zero permit limit violations by March 2015
Train 100% of employees to improve employee awareness of
environmental issues by end of year

ISO 14001: 2015 – Risks and Opportunities from IEMA on Vimeo.

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