Context, Requirements and Scope
ISO14001 Toolkit: Version 3
Implementation guidance
The header page and this section, up to and including Disclaimer, must be removed from the final version of the document. For more details on replacing the logo, yellow highlighted text and certain generic terms, see the Completion Instructions document.
Purpose of this document
This document sets out the organizational context of the EMS. It describes what the organization does, how it does it, what factors influence the way it operates and the reasons for the definition of the scope of the EMS.
Areas of the standard addressed
The following areas of the ISO14001 standard are addressed by this document:
• 4. Context of the organization
o 4.1 Understanding the organization and its context
o 4.2 Understanding the needs and expectations of interested parties
o 4.3 Determining the scope of the EMS
General guidance
This is a key document that will need involvement from top management to put together. In overview, it describes why an effective EMS is needed and what may happen to the organization if one is not in place. The environmental management processes and risk assessments required by later sections of the standard will then define this in more detail.
As part of the implementation you may need to meet with the various interested parties to understand their view of the risk areas, environmental aspects and consequences of noncompliance. You may also need to obtain legal advice if your industry is subject to significant legal or regulatory requirements.
As with most of the documents in the EMS you should ensure that all relevant parties are aware of the contents of this document, particularly as it sets out the need for additional procedures which may involve asking employees to do more work. Understanding the reason for this may reduce resistance to the EMS within the organization
It is worth spending some time getting the scope of the EMS right as the other areas of the standard rely upon this. As with most international standards, it is acceptable to start with a
limited scope definition and then to expand it over time as more familiarity and experience is gained by the organization.
Review frequency
We would recommend that this document is reviewed as part of an annual exercise which should include significant business involvement to ensure that changed requirements are captured and feedback obtained.
Document fields
This document may contain fields which need to be updated with your own information, including a field for Organization Name that is linked to the custom document property “Organization Name”.
To update this field (and any others that may exist in this document):
• Update the custom document property “Organization Name” by clicking File > Info > Properties > Advanced Properties > Custom > Organization Name.
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• Press F9 on the keyboard to update all fields.
• When prompted, choose the option to just update TOC page numbers.
If you wish to permanently convert the fields in this document to text, for instance, so that they are no longer updateable, you will need to click into each occurrence of the field and press Ctrl Shift F9.
If you would like to make all fields in the document visible, go to File > Options > Advanced > Show document content > Field shading and set this to “Always”. This can be useful to check you have updated all fields correctly.
Further detail on the above procedure can be found in the toolkit Completion Instructions. This document also contains guidance on working with the toolkit documents with an Apple Mac, and in Google Docs/Sheets.
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Context, Requirements and Scope
DOCUMENT REF EMS-DOC-04-1
VERSION 1
DATED [Insert date]
DOCUMENT AUTHOR [Insert name]
DOCUMENT OWNER [Insert name/role]
date]
Revision history
Distribution
NAME
Approval
NAME POSITION SIGNATURE
1 Introduction
[Organization Name] is committed to playing its part in the protection of the environment and meeting its legal obligations, and to this end has implemented an Environmental Management System (EMS) that is compliant with ISO14001, the international standard that applies in this area.
The purpose of this document is to describe the background to the way the business operates in its industry, the external and internal factors influencing it and to highlight in general terms the direction of the organization with respect to the environment. This will allow the scope of the EMS to be appropriately defined and high-level objectives to be set.
2 Organizational context
The organizational context of [Organization Name] is set out in the following sections. Given the fast-moving nature of the business and the markets in which it operates, the context will change over time. This document will be reviewed on an annual basis and any significant changes incorporated. The EMS will also be updated to cater for the implications of such changes.
[Organization Name] undertakes a wide range of business activities within its target sectors and is constantly developing new products and services to bring to market.
[Give some brief background to the organization, for example:
• What does the organization do?
• When was it formed?
• What is its structure e.g. group of companies?
• What is its main industrial sector?
• Who are its main customers?
• In which geographical regions does it operate?
• What is its annual turnover?
• How is it organised into business functions or teams?
• Where are its main offices?
• Which products and services create the most revenue and profit?
• Which products and services are the most high profile?
• Are any of the products and services subject to external regulation?
• Do any of the products and services have a health and safety aspect?
• What supply chains does the organization rely on?]
2.1 Relevant external issues
With regard to the external environment in which [Organization Name] operates, there are a number of external issues that create uncertainty and may affect the ability of the EMS to achieve its stated outcomes.
These include:
[List relevant external issues and explain briefly why they may affect the EMS. These are often grouped under the areas defined by the term PESTLE, for example:]
AREA
Economic
Social
Technology
Legal
Environmental
POL3
ECO1
Unrest in countries in which the organization operates
Prevailing economic climate
ECO2 Interest and inflation rates
ECO3 Supplier failure
SOC1 Changing demographics
SOC2 Population growth changes
SOC3 Social attitudes
TEC1 Pace of innovation
TEC2 Supporting technologies and infrastructure
TEC3 Automation and artificial intelligence
LEG1 Potential legislative changes
LEG2 Regulatory changes
LEG3 Contractual changes
ENV1 Climate change
ENV2 Fire, flood, earthquake etc
ENV3 Pollution
Table 1: Relevant external issues
RELEVANCE
Employees running the EMS may be in danger.
Revenue levels will affect the resources available for the EMS.
The cost of running the EMS may change.
Availability of key resources may be affected.
Aging population and increasing income may have an impact on EMS targets.
Increasing urbanization may affect requirements at some of our locations.
Increasing concern regarding pollution may affect the outcomes our EMS must achieve.
The EMS will need to cope with new technologies.
We are reliant on the existing infrastructure working.
Removal of human oversight may affect the EMS.
The targets we must meet may change.
The regulator may change their approach to enforcement.
Stricter requirements may be introduced as part of new contracts.
Increasing effects of climate change must be catered for within the EMS.
Natural events are likely to affect the operation of the EMS.
Pollution by third parties may affect the outcomes of the EMS.
These external issues will be considered in more detail as part of the risk and opportunity assessment process.
2.2 Relevant internal issues
With regard to the business operations of [Organization Name], there are a number of internal issues that create uncertainty and may affect the ability of the EMS to achieve its stated outcomes. These include:
[List relevant internal issues and explain briefly why they may affect the EMS, for example:]
REF ISSUE
INT1 The strategic direction of the organization
INT2 The nature of the organization’s products and services
INT3 Internal environmental conditions
INT4 Uncertainties in employee relations
INT5 Significant organizational changes
INT6 Location moves
INT7 Company financial performance
INT8 Perceptions, values and culture
RELEVANCE
The direction of the business will have environmental implications which will need to be managed by the EMS.
New products and services will result in environmental requirements.
Some of our control systems are due for replacement and may become unreliable.
At some sites there is a history of employee dissatisfaction which could affect the performance of the EMS.
Changes to the organizational structure will have implications for training and roles within the EMS.
The closing down of locations will affect the operation of the EMS.
Good financial results will allow more investment in the EMS.
At some locations there is a perceived lack of focus on environmental management which could affect the success of the EMS.
INT9 Available capabilities and knowledge In some countries in which we operate the required skills are hard to recruit to.
INT10 Available resourcing levels
The EMS will need significant resources in order to achieve its outcomes.
[You could choose to group internal issues using a SWOT analysis – Strengths, Weaknesses, Opportunities and Threats]
These internal issues will be considered in more detail as part of the risk and opportunity assessment process.
Table 2: Relevant internal issues
3 Needs and expectations of interested parties
This section of the document sets out the interested parties that are relevant to the EMS and their requirements. It also summarises the applicable legal and regulatory requirements to which the organization subscribes.
An interested party is defined as “a person or organization that can affect, be affected by, or perceive itself to be affected by a decision or activity”.
The following table shows the interested parties that are relevant to the EMS:
Employees
Contractors
National
Emergency
Trade
Trade
Environmental
Table 3: Needs and expectations of Interested Parties, Legal and Regulatory Bodies
Applicable legal and regulatory requirements arise from the following:
• Environmental Protection Act
• Climate Change Levy
• Water Industry Act
• Hazardous Waste Regulations
• Health and Safety legislation
• National and international standards e.g. ISO14001
• The Paris Agreement
• [Specify laws and regulation relevant to your organization]
For details of how applicable statutory and regulatory requirements are identified, accessed and assessed see the document Compliance Obligations Procedure.
4 Scope of the EMS
The defined scope of [Organization Name]’s EMS takes into account the relevant internal and external issues referred to in this document. It also reflects the needs and expectations of interested parties and the legal and regulatory requirements that are applicable to the organization.
The scope is defined below in terms of the parts of the organization, products and services and related activities.
4.1 Organizational units, functions and physical boundaries
The EMS includes the following parts of the [Organization Name] organization:
[Specify the parts of the organization included in terms of business function, geographical location or other organizational boundary e.g. individual companies within a group structure]
4.2 Activities, products and services
The following activities, products and services are within the scope of the EMS:
[List the activities, products and services at an appropriate level of detail. This is more likely to be in the form of product and service types rather than specifics which are likely to change rapidly over time. The activities, products and services selected must be consistent with the organizational split given in the previous section]
4.3 Exclusions
The following areas are specifically excluded from the scope of the EMS:
[Detail what is excluded and why, in terms of organizational parts, products / services and activities. This must remain consistent with the overall approach and not compromise the ability of the EMS to produce the desired results and meet its objectives.]