ISO 14000 is a family of standards related to environmental management that exists to help organizations (a) minimize how their
operations (processes etc.) negatively affect the environment (i.e. cause
adverse changes to air, water, or land); (b) comply with applicable laws,
regulations, and other environmentally oriented requirements, and (c)
continually improve in the above.
ISO 14000 is similar to ISO
9000quality management
in that both pertain to the process of how a product is produced, rather than
to the product itself. As with ISO 9000, certification is performed by
third-party organizations rather than being awarded by ISO directly. The ISO
19011 audit standard applies when
auditing for both 9000 and 14000 compliance at once.
The requirements of ISO 14001 are an
integral part of the European
Union‘s Eco-Management and
Audit Scheme (EMAS). EMAS‘s structure and
material requirements are more demanding, foremost concerning performance
improvement, legal compliance and reporting duties.
Environmental management systems
The concept of an environmental
management system evolved in the early nineties and its origin can be traced
back to 1972, when the United Nations organized a Conference on the Human
Environment in Stockholm and the United Nations Environment Programme (UNEP)
was launched (Corbett & Kirsch, 2001). These early initiatives led to the
establishment of the World Commission on Environment and Development (WCED) and
the adoption of the Montreal Protocol and Basel Convention.
In 1992, the first Earth
Summit was held in Rio-de-Janeiro, and
served to generate a global commitment to the environment. In the same year, BSI
Group published the world's first
environmental management systems standard, BS 7750. This supplied the template for the development of the ISO
14000 series in 1996, by the International
Organization for Standardization,
which has representation from committees all over the world (ISO) (Clements
1996, Brorson& Larsson, 1999). As of 2010, ISO 14001 is now used by at
least 223 149 organizations in 159 countries and economies.
Development
of the ISO 14000 series
The ISO 14000 family includes most
notably the ISO 14001 standard, which represents the core set of standards used
by organizations for designing and implementing an effective environmental
management system. Other standards included in this series are ISO 14004, which
gives additional guidelines for a good environmental management system, and
more specialized standards dealing with specific aspects of environmental
management. The major objective of the ISO 14000 series of norms is "to
promote more effective and efficient environmental management in organizations
and to provide useful and usable tools - ones that are cost effective,
system-based, flexible and reflect the best organizations and the best
organizational practices available for gathering, interpreting and
communicating environmentally relevant information".
Unlike previous environmental
regulations, which began with command and control approaches, later replaced
with ones based on market mechanisms, ISO 14000 was based on a voluntary
approach to environmental regulation (Szymanski &Tiwari 2004). The series
includes the ISO 14001 standard, which provides guidelines for the
establishment or improvement of an EMS. The standard shares many common traits
with its predecessor ISO 9000, the international standard of quality management
(Jackson 1997), which served as a model for its internal structure (National
Academy Press 1999) and both can be implemented side by side. As with ISO 9000,
ISO 14000 acts both as an internal management tool and as a way of
demonstrating a company’s environmental commitment to its customers and clients
(Boiral 2007).
Prior to the development of the ISO
14000 series, organizations voluntarily constructed their own EMS systems, but
this made comparisons of environmental effects between companies difficult and
therefore the universal ISO 14000 series was developed. An EMS is defined by
ISO as: “part of the overall management system, that includes organizational
structure, planning activities, responsibilities, practices, procedures,
processes and resources for developing, implementing, achieving and maintaining
the environmental policy’ (ISO 1996 cited in Federal Facilities Council Report
1999).
ISO
14001 standard
ISO 14001 sets out the criteria for
an environmental management system. It does not state requirements for
environmental performance, but maps out a framework that a company or
organization can follow to set up an effective environmental management system.
It can be used by any organization that wants to improve resource efficiency,
reduce waste and drive down costs. Using ISO 14001 can provide assurance to
company management and employees as well as external stakeholders that
environmental impact is being measured and improv. ISO 14001 can also be integrated with other management
functions and assists companies in meeting their environmental and economic
goals.
ISO 14001, as with other ISO 14000
standards, is voluntary (IISD 2010), with its main aim to assist companies in
continually improving their environmental performance, whilst complying with
any applicable legislation. Organizations are responsible for setting their own
targets and performance measures, with the standard serving to assist them in
meeting objectives and goals and the subsequent monitoring and measurement of
these (IISD 2010).
The standard can be applied to a
variety of levels in the business, from organizational level, right down to the
product and service level (RMIT university). Rather than focusing on exact
measures and goals of environmental performance, the standard highlights what
an organization needs to do to meet these goals (IISD 2010).
ISO 14001 is known as a generic management system standard, meaning that it is
relevant to any organization seeking to improve and manage resources more
effectively. This includes:
- single site to large multi-national companies
- high risk companies to low risk service organizations
- manufacturing, process and the service industries;
including local governments
- all industry sectors including public and private
sectors
- original equipment manufacturers and their suppliers.
All standards are periodically
reviewed by ISO to ensure they still meet market requirements. The current
version of ISO 14001 – ISO 14001:2004 is under review as of April 2012.
Basic
principles and methodology
Plan
– establish objectives and processes required
Prior to implementing ISO 14001, an
initial review or gap analysis of the organization’s processes and products is
recommended, to assist in identifying all elements of the current operation and
if possible future operations, that may interact with the environment, termed
environmental aspects (Martin 1998). Environmental aspects can include both
direct, such as those used during manufacturing and indirect, such as raw
materials (Martin 1998). This review assists the organization in establishing
their environmental objectives, goals and targets, which should ideally be
measurable; helps with the development of control and management procedures and
processes and serves to highlight any relevant legal requirements, which can
then be built into the policy (Standards Australia/Standards New Zealand 2004).
Do
– implement the processes
During this stage the organization
identifies the resources required and works out those members of the
organization responsible for the EMS’ implementation and control (Martin 1998). This includes
establishing procedures and processes, although only one documented procedure
is specified related to operational control. Other procedures are required to
foster better management control over elements such as documentation control,
emergency preparedness and response, and the education of employees, to ensure
they can competently implement the necessary processes and record results
(Standards Australia/Standards New Zealand 2004). Communication and
participation across all levels of the organization, especially top management
is a vital part of the implementation phase, with the effectiveness of the EMS
being dependant on active involvement from all employees (Federal Facilities
Council Report 1999).
Check
– measure and monitor the processes and report results
During the check stage, performance
is monitored and periodically measured to ensure that the organization’s
environmental targets and objectives are being met (Martin 1998). In addition,
internal audits are conducted at planned intervals to ascertain whether the EMS
meets the user's expectations and whether the processes and procedures are
being adequately maintained and monitored (Standards Australia/Standards New
Zealand 2004).
Act
– take action to improve performance of EMS based on results
After the checking stage, a
management review is conducted to ensure that the objectives of the EMS are
being met, the extent to which they are being met, that communications are
being appropriately managed and to evaluate changing circumstances, such as
legal requirements, in order to make recommendations for further improvement of
the system (Standards Australia/Standards New Zealand 2004). These
recommendations are incorporated through continual improvement, plans are
renewed or new plans are made, and the EMS moves forward.
Continual
Improvement Process
The core requirement of a continual
improvement process (CIP) is different from the one known from quality
management systems. CIP in ISO 14001 has three dimensions (Gastl, 2009):
- Expansion: More and more business areas get covered by
the implemented EMS.
- Enrichment: More and more activities, products,
processes, emissions, resources etc. get managed by the implemented EMS.
- Upgrading: An improvement of the structural and
organizational framework of the EMS, as well as an accumulation of
know-how in dealing with business related environmental issues.
Overall, the CIP-concept expects the
organization to gradually move away from merely operational environmental
measures towards a strategic approach on how to deal with environmental
challenges.
Benefits
ISO 14001 was developed primarily to
assist companies with a framework for better management control that can result
in reducing their environmental impacts. In addition to improvements in
performance, organizations can reap a number of economic benefits including
higher conformance with legislative and regulatory requirements (Sheldon 1997)
by adopting the ISO standard. By minimizing the risk of regulatory and
environmental liability fines and improving an organization’s efficiency
(Delmas 2001), benefits can include a reduction in waste and consumption of
resources, and operating costs. Secondly, as an internationally recognized
standard, businesses operating in multiple locations across the globe can
leverage their conformance to ISO 14001, eliminating the need for multiple
registrations or certifications (Hutchens 2010). Thirdly there has been a push
in the last decade by consumers, for companies to adopt better internal
controls, making the incorporation of ISO 14001 a smart approach for the long
term viability of businesses. This can provide them with a competitive
advantage against companies that do not adopt the standard (Potoki&Prakash,
2005). This in turn can have a positive impact on a company’s asset value (Van
der Deldt, 1997). It can lead to improved public perceptions of the business,
placing them in a better position to operate in the international marketplace
(Potoki&Prakash 1997; Sheldon 1997). The use of ISO 14001 can demonstrate
an innovative and forward thinking approach to customers and prospective
employees. It can increase a business’s access to new customers and business
partners. In some markets it can potentially reduce public liability insurance
costs. It can serve to reduce trade barriers between registered businesses (Van
der Deldt, 1997). There is growing interest in including certification to ISO
14001 in tenders for public-private partnerships for infrastructure renewal.
Evidence of value in terms of environmental quality and benefit to the taxpayer
has been shown in highway projects in Canada.
Conformity
Assessment
ISO 14001 can be used in whole or in
part to help an organization, for profit or not-for-profit, better manage its
relationship with the environment. If all the elements of ISO 14001 are
incorporated into the management process, the organization may opt to prove that
it has achieved full alignment or conformity with the international standard,
ISO 14001, by using one of four recognized options. These are:[6]
- make a self-determination and self-declaration, or
- seek confirmation of its conformance by parties having
an interest in the organization, such as customers, or
- seek confirmation of its self-declaration by a party
external to the organization, or
- seek certification/registration of its environmental
management system by an external organization.
ISO does not control conformity
assessment; its mandate is to develop and maintain standards. ISO has a neutral
policy on conformity assessment. One option is not better than the next. Each
option serves different market needs. The adopting organization decides which
option is best for them, in conjunction with their market needs.
Option 1 is sometimes incorrectly
referred to as 'self-certify" or "self-certification". This is
not an acceptable reference under ISO terms and definitions, for it can lead to
confusion in the market.[7] The user is responsible for making their own determination.
Option 2 is often referred to as a customer or 2nd party audit, which is an
acceptable market term. Option 3 is an independent third-party process by an
organization that is based on an engagement activity and delivered by specially
trained practitioners. This option was based on an accounting procedure branded
as the EnviroReady Report, which was created to help small and medium-sized
organizations. Its development was originally based on the Canadian Handbook
for Accountants; it is now based on an international accounting standard. The
fourth option, certification, is another independent third-party process, which
has been widely implemented by all types of organizations. Certification is
also known in some countries as registration. Service providers of
certification or registration are accredited by national accreditation services
such as UKAS in the UK
.
ISO
14001 and EMAS
In 2010, the latest EMAS Regulation
(EMAS III) entered into force; the scheme is now globally applicable, includes key
performance indicators and a range of further improvements. Currently, more
than 4,500 organisations and approximately 7,800 sites are EMAS registered.
Complementarities
and Differences
ISO 14001‘s environmental
management system requirements are an integral part
of EMAS. However, proponents of EMAS like to think of it as the most credible
and robust environmental management instrument on the market[citation needed], adding several
elements on top of the requirements of the international standard. Additional
requirements include:
- stricter requirements on the measurement and evaluation
of environmental performance against objectives and targets.
- government supervision of the environmental verifiers
to ensure compliance with environmental
legislation
- strong employee involvement; EMAS organisations
acknowledge that active employee involvement is a driving force and a
prerequisite for continuous and successful environmental improvements.
Most EMAS organisations introduce employee participation schemes at all
levels of the organisation to anchor the environmental management and
audit system in the organisation successfully.
- environmental core indicators
creating multi-annual comparability within and between organisations
- mandatory provision of information to the general
public through the validated environmental statement which is based on a
comprehensive environmental
impact assessment
- registration by a public authority after verification
and validation by an independent and accredited/licensed environmental
verifier.
Changing
from ISO 14001 to EMAS
Organizations applying ISO 14001
only have to take a few steps to become registered under EMAS: The two main
differences involve an environmental review to identify significant
environmental aspects as well as publishing an environmental statement. Apart
from that, minor changes need to be made to a number of other elements during
the process of becoming EMAS registered.
ISO
14001 Use in Supply Chains
There are many reasons why ISO 14001
should be potentially attractive to supply chain managers including the use of
the voluntary standard to guide the development of integrated systems, its
requirement for supply chain members in industries such as automotive and
aerospace, the potential of pollution prevention leading to reduced costs of
production and higher profits, its alignment with the growing importance of
corporate social responsibility, and an ISO registered system may provide firms
with a unique environmental resource, capabilities and benefits that lead to
competitive advantage.
Emerging areas of research are
starting to address the use of this standard to show that ISO 14001
registration can be leveraged across the supply chain for competitive
advantage.[8] By looking at ISO 14001 registered firms, information from
the study compared different amounts of integration and sustainability in the
supply chain. Several research propositions and an empirical framework posit
the impacts of ISO 14001 on supply chain design.
The propositions include:
- ISO registration leading to more proactive
environmental management including process and performance measurement
related to sustainability across a supply chain;
- That ISO registered plants with formal environmental
management systems will have higher levels of communication required
between OEMs and Tier I suppliers;
- ISO registered plants with direct relationships to
other registered plants in their supply chain will have higher levels of
waste reduction and cost efficiency than nonregistered plants;
- ISO registered plants with direct relationships to
other registered plants in the supply chain will have sustainable
practices and projects with better ROI than nonregistered firms;
- ISO registered plants with direct relationships to
other registered plants will have higher levels of customer relationship
management and will be positively associated with greater expansion
opportunities and image than nonregistered plants;
- ISO registered plants with direct relationships to
other registered plants will have fewer issues with employee health and
reduced numbers of safety incidents than nonregistered plants;
- ISO registered plants with a direct relationship to
other registered plants will have a strong positive relationship between
formal communication, training, monitoring/control systems and firm
performance; and
- ISO registered plants with a direct relationship to
other registered plants will have higher levels of involvement and
communication, which will be positively related to more internal and
external integration with supply chain members.
List
of ISO 14000 series standards
- ISO 14001
Environmental management systems—Requirements with guidance for use
- ISO 14004
Environmental management systems—General guidelines on principles, systems
and support techniques
- ISO 14015
Environmental assessment of sites and organizations
- ISO 14020
series (14020 to 14025) Environmental labels and declarations
- ISO 14030
discusses post production environmental assessment
- ISO 14031
Environmental performance evaluation—Guidelines
- ISO 14040
series (14040 to 14049), Life Cycle
Assessment, LCA, discusses pre-production
planning and environment goal setting.
- ISO 14050
terms and definitions.
- ISO 14062
discusses making improvements to environmental impact goals.
- ISO 14063
Environmental communication—Guidelines and examples
- ISO 14064
Measuring, quantifying, and reducing Greenhouse Gas
emissions.
- ISO 19011 which specifies one auditprotocol
for both 14000 and 9000 series standards together.
Further
reading
- Boiral, O. (2007). "Corporate Greening Through ISO
14001: A Rational Myth?".Organization Science18: 127. doi:10.1287/orsc.1060.0224.
- Brorson, T & Larsson, G 1999, Environmental
Management: How to Implement an Environmental Management System within a
Company or Other Organization, EMS AB, Stockholm.
- Burden, L. 2010, How to up the EMS ante, <http://www.environmentalmanagementsystem.com.au/iso-14001-environmental-management-systems.html>
- Clements, R.B 1996, Complete Guide to ISO 14000,
Prentice Hall, Upper Saddle River.
- Corbett, Charles J.; Kirsch, David A. (2009).
"International Diffusion of Iso 14000 Certification". Production
and Operations Management10 (3): 327. doi:10.1111/j.1937-5956.2001.tb00378.x.
- Delmas, Magali (2009). "Erratum to
"Stakeholders and Competitive Advantage: The Case of ISO
14001"". Production and Operations Management13
(4): 398. doi:10.1111/j.1937-5956.2004.tb00226.x.
- Delmas, Magali; Montiel, Ivan (2009). "Greening
the Supply Chain: When is Customer Pressure Effective?".Journal of
Economics & Management Strategy18: 171. doi:10.1111/j.1530-9134.2009.00211.x.
- Federal Facilities Council Report 1999, Environmental
Management Systems and ISO 14001, National Academy Press, Washington DC.
- Gastl, R 2009, CIP in Environmental Management, English
management summary of: Gastl, R 2009,
KontinuierlicheVerbesserungimUmweltmanagement - die KVP-Forderung der ISO
14001 in Theorie und Unternehmenspraxis, 2nd Edition, vdf, Zurich-Switzerland,
envirocip.com
- Hutchens, S, Using ISO 9001 or ISO 14001 to Gain a
Competitive Advantage, Intertek white paper, viewed 10 September 2010, intertek.com
- Jackson, Suzan L. (1997). "Monitoring and
measurement systems for implementing ISO 14001". Environmental
Quality Management6 (3): 33. doi:10.1002/tqem.3310060306.
- International Institute for Sustainable Development
(IISD) 2010, ISO 14001, viewed 26 August 2010, iisd.org
- ISO 2007, The ISO survey of ISO 9000 and ISO 14000
Certifications: 16th cycle, ISO, Geneva.
- The ISO Survey of Management System Standard
Certifications 2011: viewed 7 Jan 2013 http://www.iso.org/iso/home/news_index/news_archive/news.htm?refid=Ref1686
- Martin, R 1998, ISO 14001 Guidance Manual, National
Centre for environmental decision-making research: Technical report,
viewed 23 August 2010, usistf.org
- Potoski, Matthew; Prakash, Aseem (2005). "Green
Clubs and Voluntary Governance: ISO 14001 and Firms' Regulatory Compliance".
American Journal of Political Science49 (2): 235. doi:10.1111/j.0092-5853.2005.00120.x.
- RMIT University, Encyclopedia: ISO 14000 series, viewed
29 August 2010, rglobal.rmit.edu.au
- Sheldon C. 1997, ISO 14001 and Beyond: Environmental
Management Systems in the Real World, Prentice Hall, New York.
- Standards Australia/Standards New Zealand 2004,
Environmental management systems – Requirements with guidance for use.
- Szymanski *, Michal; Tiwari, Piyush (2004). "ISO
14001 and the Reduction of Toxic Emissions". The Journal of Policy
Reform7: 31. doi:10.1080/1384128042000219717.
- Van Der Veldt, Danja (1997). "Case studies of ISO
14001: A new business guide for global environmental protection". Environmental
Quality Management7: 1. doi:10.1002/tqem.3310070102.
