Comparison of ISO 14001:1996 with ISO/DIS 14001

Generic ISO 14001 EMS Templates User Manual Appendix 1

Comparison of ISO 14001:1996 with ISO 14001:2004

Original Clause New Clause number number and title in and title (if changed) Description of major modification or revision ISO 14001:1996 in ISO 14001:2004 Introduction Paragraph 5: Compatibility between 9001:2000 and ISO 14001:2004 has been an important consideration . The second edition is focused on clarification of the first edition, and has taken due consideration of the provisions of ISO 9001 to enhance the compatibility of the two standards for the benefit of the user community.

Notes under Figure 1 : It has stated that this Standard is based on Plan-Do- Check Act (PDCA) model, the meanings of each approach of PDCA are defined.

Added the last paragraph : The level of detail and complexity of the EMS, the extent of documentation and the resources devoted to it depend on a number of factors, such as the scope of the system, the size of an organization and the nature of its activities, products and services. This may be the case in particular for small and medium-sized enterprises. 1: Scope Information in letters (a-e) is now regrouped into 3 main items (a-c) 2: Normative reference No change 3: Definitions 3: Terms and Definitions have increased from 13 to 20 and the new definitions definitions include : 3.1 auditor, 3.3 corrective action, 3.4 document, 3.15 nonconformity, 3.17 preventive action 3.19 procedure 3.20 records 3.7: Environmental Environmental impact linked directly to aspects Impact 3.9: Environmental Objective and Target definition no longer have to be Objective ”quantified where possible”, however it has defined in 3.12 Environmental 4.3.3 Target 3.11: Environmental Must be “formally expressed by top management” Policy 3.19: Procedure Note : Procedure “can be documented or not” 3.14 Internal audit Note : In many cases, particularly in small organization, independence can be demonstrated by the freedom from responsibility for the activity being audited. In 1996 edition, 3.6 is EMS audit,

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Original Clause New Clause number number and title in and title (if changed) Description of major modification or revision ISO 14001:1996 in ISO 14001:2004 4.1: General The organization shall define and document the scope requirements of its environmental management system 4.2 : Policy 4.2: Environmental Increased emphasis on scope definition. policy Enhanced requirement (f) to communicate policy to all persons working for or on behalf of the organization, not just employees. 4.3.1: Environmental Increased emphasis on scope definition. aspects Must now identify environmental aspects taking into account planned or new developments, or new or modified activities, products and services. 4.3.2 : Legal and other Requires an organization to determine how legal and requirements other requirements apply to environmental aspects, see new clause 4.3.2 4.3.3 : Objectives and 4.3.3: Objectives, Clause expanded to include requirements on targets targets and Environmental Management Programmes (4.3.4) 4.3.4 : Environmental programme(s) The final paragraph of the original 4.3.4 on management management programme(s) regarding “new developments” has been programme(s) removed to 4.3.1. 4.4.1 : Structure and 4.4.1: Resources, Resources include organizational infrastructure has responsibility roles, responsibility and been specifically included. authority 4.4.2 : Training, 4.4.2: Competence, Revise wording: persons working for it or on its behalf awareness and training and awareness instead of employees or members. competence Training may include “other actions” to meet training needs. 4.4.3 : Communication If the organization decides to communicate its significant environmental aspects then a method must be established. 4.4.4 : EMS 4.4.4: Documentation Now specify the EMS documentation shall include documentation policy, objectives and targets, description of scope, documents and records required by the Standard and that the organization determines necessary. 4.4.5 : Document 4.4.5: Control of Specific reference made to Records (4.5.4) control documents Identical to ISO 9001:2000 clause 4.2.3 document control requirements Control of necessary external documents 4.4.6 : Operational No change, only minor rewording. control 4.4.7 : Emergency No change, only minor rewording. preparedness and response 4.5.1 : Monitoring and 4.5.1: Monitoring and Original clause 4.5.1 has been divided into two clauses measurement measurement to place greater emphasize on evaluation of 4.5.2: Evaluation of compliance, including legal compliance and compliance compliance with other requirements. No material change. 4.5.2 : 4.5.3: Nonconformity, Increased emphasis on root cause analysis and Nonconformance and corrective and preventive action. corrective and preventive action preventive action 4.5.3 : Records 4.5.4: Control of Simplified the wordings and a general requirement to

Original Clause New Clause number number and title in and title (if changed) Description of major modification or revision ISO 14001:1996 in ISO 14001:2004 Records keep records to demonstrate conformity and the results achieved. 4.5.4 : EMS audit 4.5.5:Internal audit The selection of auditors must ensure objectivity and impartiality. 4.6 : Management Mirrors ISO 9001:2000 clause 5.6 Management Review review by specifying 8 inputs.

Comparison of ISO/DIS 14001 (Date: 9 July 2003) with ISO 14001:2004 Important Note : The changes from ISO/DIS 14001 to ISO 14001:2004 standard are mainly on wordings and re-phrase the sentences, there was no significant change on the requirements and no significant revision necessary to the current EMS documentation which based on the ISO/DIS 14001. The following table shows the changes and comparisons between the two standards. For easy reading, changes in ISO 14001:2004 from ISO/DIS 14001 are highlighted in RED and those change of ISO/DIS 14001 from ISO 14001:1996 are referenced in BLUE.

Clause & Title Clause & Title Description of ISO/DIS 14001 vs ISO 14001:2004 Document (ISO/DIS14001) Changes ISO 14001:1996 vs ISO/DIS changes (ISO 14001:2004) requirements 14001 requirements

Introduction, Introduction, Revised text has NA NA Nil Section 1: Scope Section 1: been included in (As not part of the (As not part of the Introduction Section 2 : Scope EMS requirements) the EMS and Scope of the Normative requirements) Section 2 : standard. These references do not significantly Normative alter the text in references ISO /DIS 14001 and do not form part of the requirements of the Standard. Section 3: Terms Section 3: Definitions have 3.3 corrective Update the and definitions increased from 17 action – action definitions in Terms and to 20 and the new to eliminate the the EMS definitions definitions include cause of a manual : detected Update nonconformity 3.3 corrective procedures action, 3.15 for the terms 3.15 Nonconformity and Nonconformity – non-fulfilment definitions. 3.8 EMS audit of a 3.17 preventive requirement action 3.17 preventive EMS audit action – action changed to to eliminate the Internal Audit cause of a potential nonconformity 3.14 internal audit 4.1 General 4.1 General It clearly defines The organization The organization No change, requirements requirements the requirement of shall define the shall define and as the EMS document the scope of its document the scope has scope. environmental scope of its been management system. environmental documented management in the EMS system. manual already, apart from activities, the scope defines the

locations and areas. 4.2 Environmental 4.2 Re-phase the (c) includes a (c) includes a No policy wording on item commitment to commitment to necessary Environmental (c) describing the comply with comply with change. policy commitment to applicable applicable legal Re-phase the comply with legal environmental legal requirements wording. and other requirements and and with other requirements, no other environmental requirements to significant requirements to which the alternation to the which the organization policy organization subscribes requirements. subscribes. which relate to its environmental aspects. 4.3 Planning 4.3 Planning NA NA NA No change 4.3.1 4.3.1 Environmental Refine wordings The organization The organization No change Environmental aspects only: shall establish and shall establish, aspects maintain (a) implement and 1) Add the word procedure(s) maintain (a) “implement” in procedure(s) the first sentence. The organization 2) Changes of shall ensure that the The organization wordings in significant shall ensure that the last environmental the significant sentence aspects are environmental considered in aspects are developing, taken into implementing and account in maintaining its EMS. establishing, implementing and maintaining its EMS. 4.3.2 4.3.2 1) Change of title The organization The organization Revise the wording, back shall establish and shall establish, section title Legal and other Legal and other to the clause maintain (a) implement and 4.3.2 in the environmental requirements requirements title in ISO procedure(s) maintain (a) EMS Manual. 14001:1996. procedure(s) 2) Add the word a) to identify - to identify and No “implement” and have have access to i) necessary access to the 3) Re-phrase the applicable legal change. applicable sentences requirements legal Update and wordings related to the requirements section 4.3.2 only organization’s and other of EMS environmental requirement Manual to aspects, and ii) s to which address the other the changes of environmental organization wording. requirements to subscribes

which the related to its organization environment subscribes. al aspects, and

The organization shall ensure that The organization environmental legal shall ensure that and other these applicable environmental legal requirements to requirements which the and other organization requirements to subscribes are which the considered in organization developing, subscribes are implementing and taken into maintaining its EMS. account in establishing, implementing and maintaining its EMS. 4.3.3: Objectives, 4.3.3: 1) Add the word The organization The organization No targets and “implement” shall establish and shall establish, necessary Objectives, targets programme(s) maintain documented implement and change. and programme(s) 2) Re-phrase the environmental maintain sentences Update objectives and documented and wordings section 4.3.3 targets…… environmental only of EMS objectives and Manual to targets…… address the The objectives and The objectives changes of targets shall be …… and targets shall wording. including the be ……including commitments to the commitments prevention of to prevention of pollution, compliance pollution, to with legal and other compliance with environmental applicable legal requirements and requirements continual and with other improvement. requirements to which the organization subscribes, and to continual improvement. When establishing and reviewing its objectives and When targets an establishing and organization shall reviewing its consider the legal objectives and and other targets, an environmental

requirements…… organization shall take into account the legal requirements and other The organization requirements to shall establish and which the maintain (a) organization programme(s) for subscribes…… achieving its objectives and targets. It shall The organization include… shall establish, implement and maintain (a) programme(s) for achieving its objectives and targets. Programme(s) shall include… 4.4 Implementation 4.4 NA NA NA No change and operation Implementation and operation 4.4.1: Resources, 4.4.1: Re-phrase the Management shall Management No roles, responsibility sentences and ensure the availability shall ensure the necessary Resources, and authority wordings only for of resources availability of change. roles, responsibility the first and last essential for the resources Update paragraphs. implementation and essential to section 4.4.1 and authority control of the EMS. establish, of EMS Resources implement, Manual to include….,.. internal maintain and address the infrastructure,…… improve the changes of EMS. Resources wording. include….,.. b) reporting on the organizational performance of the infrastructure, EMS to top …… management for review and as the basis for b) reporting to improvement. top management on the performance of the EMS for review, including recommendatio ns for improvement. 4.4.2: 4.4.2: 1) Clearly define The organization The organization No Competence, that it shall shall ensure that any shall ensure that necessary

Clause & Title Clause & Title Description of ISO/DIS 14001 vs ISO 14001:2004 Document (ISO/DIS14001) Changes ISO 14001:1996 vs ISO/DIS changes (ISO 14001:2004) requirements 14001 requirements training and Competence, retain person(s) performing any person(s) change. awareness training and associated tasks on its behalf performing tasks Update awareness records in the …… competent on for it or on its section 4.4.2 first two the basis of behalf …… of EMS paragraphs. appropriate competent on the Manual and education, training or basis of 2) Add the word Training experience. appropriate “implement” Procedure to education, address the 3) Simplify item training or changes of c) wordings The organization experience, and wording. shall identify training shall retain needs……It shall associated provide training or records. take other action to The organization meet these needs. shall identify training needs……It shall The organization provide training shall establish and or take other maintain action to meet procedures…… these needs, and shall retain associated b) the significant records. environmental impacts, actual The organization and potential, of shall establish, their work and implement and the maintain a environmental procedure(s)…… benefits of b) the significant improved environmenta personal l impacts and performance; related actual or potential c) their roles and impacts responsibilities in associated achieving with their conformity with work, and the the environmenta environmental l benefits of policy and improved procedures and personal with the performance; requirements of the EMS, c) their roles and including responsibilitie emergency s in achieving preparedness conformity and response with the requirements; requirements of the EMS, and;

4.4.3: 4.4.3: 1) Add the word the organization shall the organization No change Communication Communication “implement” establish and shall establish, maintain a implement and 2) Minor change procedure(s) for maintain a in wording procedure(s) only a) internal for…… communication between the a) internal various levels…. communicati on among the various levels…. …If the decision is to communicate, the …If the decision organization shall is to establish (a) communicate, method(s) for this the organization external shall establish communication. and implement a method(s) for this external communication. 4.4.4: 4.4.4: 1) The EMS The EMS The EMS No change. Documentation Documentation documentatio documentation shall documentation The EMS n shall include include shall include scope has one more a) a) been item: documented description of b) b) description in the EMS the scope of of the scope c) documents and manual. EMS, as items of the EMS from original records required (a-d) to (a-e) by this c) International now d) Documents Standard 2) Minor change including in wordings d) documents and records required only records determined by this by the organization… International Standard, and e) documents including records determined by the organization…

4.4.5: Control of 4.4.5: Control of Add the word The organization The organization No change. documents documents “implement” shall establish and shall establish, maintain (a) implement and procedure(s) to maintain (a) procedure(s) to 4.4.6 : Operational 4.4.6 : Operational 1) Add the word The organization The organization No change

Clause & Title Clause & Title Description of ISO/DIS 14001 vs ISO 14001:2004 Document (ISO/DIS14001) Changes ISO 14001:1996 vs ISO/DIS changes (ISO 14001:2004) requirements 14001 requirements control control “implement” shall identify those shall identify and operations that are plan those 2) Minor change associated with the operations that in wordings identified significant are associated and re-phase environmental with the identified sentences aspects….The significant only organization shall environmental plan these aspects…. operations…..carrie carried out under d out under specified specified conditions by conditions by a) establishing a) establis and maintaining hing, documented implementi procedures to ng and …… maintaining documente c) establishing and d maintaining procedures procedures to …… related to c) establishing, implementi ng and maintaining procedures related to 4.4.7 : Emergency 4.4.7 : 1) Add the word The organization The organization No change preparedness and Emergency “implement” shall establish and shall establish, response maintain (a) implement and preparedness and 2) Add “adverse” procedure(s) to… maintain (a) response in front of procedure(s) environmental to…. impacts in The organization second The organization shall respond to paragraph shall respond to actual emergency actual situations and emergency accidents and situations and prevent or mitigate accidents and associated prevent or environmental mitigate impacts. associated adverse environmental impacts. 4.5 Checking and 4.5 Checking Change of title. NA NA Revised the corrective action section title 4.5 in the EMS Manual. 4.5.1: Monitoring 4.5.1: 1) Add the word The organization The organization No and measurement Monitoring and “implement” shall establish and shall establish, necessary measurement maintain (a) implement and change.

2) Minor change in procedure(s) to maintain (a) Update wordings monitor and procedure(s) to section 4.5.1 measure…… monitor and of EMS measure….. Manual to address the The organization The organization changes of shall ensure that shall calibrate and wording. calibrated or maintain monitoring verified and measurement monitoring and equipment and shall measurement retain associated equipment is records. used and maintained and shall retain associated records.

4.5.2: Evaluation of 4.5.2: Evaluation of 1) Split into two The organization 4.5.2.1 Update compliance compliance subsections shall establish and Consistent with section 4.5.2 4.5.2.1 and maintain (a) its commitment of EMS 4.5.2.2 to procedure(s) for to compliance, Manual clearly define periodically the organization Monitoring the evaluating shall establish, Procedure to requirements compliance with implement and address the of evaluation applicable maintain a changes of of legal environmental legal procedure(s) for wording. compliance requirements and periodically and other environmental evaluating compliance requirements to compliance with with other which the applicable legal requirements. organization requirements. subscribes to meet 2) Add that the the organization’s organization commitment to The shall keep compliance. organization records of the shall keep results of the records of the periodic results of the evaluation. periodic evaluation.

4.5.2.2 The organization shall evaluate compliance with other requirements to which it subscribes. The organization may wish to combine this

evaluation with the evaluation of legal compliance referred to in 4.5.2.1 or to establish a separate procedure(s). The organization shall keep records of the results of the periodic evaluation.

4.5.3: 4.5.3: 1) Change of title The organization The organization Revise the Nonconformity, Nonconformity, wording. shall establish and shall establish, section title corrective and corrective action maintain a implement and 4.5.3 in the 2) Mainly preventive actions and preventive procedure(s) for maintain a EMS Manual. rewording and action controlling non- procedure(s) for more detailed conformities and for dealing with as to enhance taking corrective and actual and Update the compatibility preventive actions. potential contents to with ISO The procedures shall nonconformity(ie address the 9001:2000. include: s) and for taking changes in corrective action wording. and preventive action. The a) identification of procedure(s) actual shall define nonconformity(ies) requirements and correct and for: mitigate their environmental impacts. a) identifying and b) investigation and correcting elimination of the nonconformity(ie cause(s) of (an) s) and taking actual action(s) to nonconformity(ies) in mitigate their order to prevent environmental recurrence, impacts. c) determination of b) investigating action to eliminate nonconformity(ie the causes of s), determining potential non- their cause(s) conformities to and taking prevent their actions in order occurrence. to avoid their recurrence,

c) evaluating the need for action(s) to Any action taken to prevent identify, correct, nonconformity(i mitigate, prevent or es) and eliminate the implementing causes or effects of appropriate actual and potential actions non-conformity(ies) designed to shall be appropriate avoid their to the magnitude of occurrence, problems and the d) recording the environmental results of impacts encountered. corrective action(s) and preventive The organization action(s) taken, shall review the and actions taken and implement and e) Reviewing document changes the resulting from effectiveness of corrective and corrective preventive action. action(s) and preventive action(s) taken.

Actions taken shall be appropriate to the magnitude of the problems and the environmental impacts encountered.

The organization shall ensure that any necessary changes are made to EMS documentation.

4.5.4: 4.5.4: 1) Change of title The organization The organization Revise the Records Control of Records wording. shall establish and shall establish section title maintain records as and maintain 4.5.4 in the

2) Simplify this necessary to records as EMS Manual. clause demonstrate necessary to requirements conformity to the demonstrate requirements of its conformity to the No other EMS and of this requirements of necessary International its EMS and of change. Standard, including this International evaluation of Standard, and compliance with the results environmental legal achieved. requirements and other environmental requirements to which the organization subscribes and the implementation of procedures and results achieved. The organization The organization shall establish, and shall establish, maintain (a) implement and procedure(s) for the maintain (a) identification….. procedure(s) for the identification… 4.5.5: Internal 4.5.5: 1) Re-phase The organization The organization No audit Internal audit sentence and shall ensure that shall ensure that necessary minor internal EMS audits internal audits change. changes in are conducted at of the EMS are Update wordings only planned interval to: conducted at section 4.5.5 planned interval 2) Add the word of EMS to: “implement” Manual to An audit address the programme shall be changes of planned, established Audit wording. and maintained…… programme(s) shall be planned, established, An audit procedure implemented shall be established and and maintained that maintained…… addresses the following: Audit - the responsibilities procedure(s) and requirements for shall be planning and established, conducting audits, implemented and for reporting and maintained results; that addresses - the responsibilities

and requirements for planning and conducting audits, reporting results and retaining associated records; 4.6 : Management 4.6 : Mainly rewording. The results of Records of Update review management review management Section 4.6 Management review More emphasize shall be review shall be of EMS on include documented. retained. Manual to evaluation of address the compliance with The input to Input to changes of legal and other management review management wording. requirements as shall include, among reviews shall input to other information: include management - Results of EMS a) Results of reviews. audits internal audits and - Changing evaluation circumstances of compliance with legal requirement s and with other requirement s to which the organization subscribes. g) Changing circumstanc es, including developme nts in legal and other requirement s related to its environmen tal aspects.

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