Explaining the requirements for ISO 14001:2015 Clause 5.1
In this article, I’m going to cover ISO 14001 Clause 5.1 Leadership and commitment. I’m going to break this clause down and turn it into something you can all understand. You’ll then be able to apply this to your own organization's system and understand what the requirements will look like for you. No more guessing!
Ok, let’s get started! Clause 5.1 Leadership and commitment is the first clause under section 5 Leadership. There are quite a few different elements to this clause so I will break them down into smaller chunks and explain each part as I go.
Before I do this though, I do want to share with you what it would look like to audit the requirements of this clause. Personally, I do not sit down and go through these requirements one by one and look for evidence by interviewing Top Management. A lot of the requirements in this clause you will come across throughout the duration of the complete audit. There are areas that you will observe, listen to, and collect evidence on, that will all point back to these requirements without you specifically making your way through them one by one. If you are building a system, please also be aware of this. There are other clauses you can conform with, that will automatically meet these requirements so there is no double up. I’ll explain this to you for each section as I go.
Each separate requirement in this clause starts off with the statement of
Top Management shall demonstrate leadership and commitment with respect to the environmental management system by …
And then it lists the various ways in which this leadership and commitment are to be demonstrated. So I don't have to repeat myself over and over again I’m going to now assume that you know that each section that I cover refers to how leadership and commitment are to be demonstrated with respect to the environmental management system by top management. And actually, it is probably a good idea right about now to explain to you who on earth top management is.
The official definition for top management is, "the person or group of people who directs and controls an organization at the highest level. I always say that top management is the decision makers".
Depending on the structure and size of the business, top management could be the owners, shareholders, board of directors, general manager, or even a project manager if the scope of the system is down to a project level only. Great, I’m glad I got that out of the way! We can really get started now.
Point a) states:
taking accountability for the effectiveness of the environmental management system
Yep – that’s right, top management is ultimately accountable for the environmental management system and how effective it is. This means that even though top management can delegate or assign certain responsibilities to others they are still accountable for them. The buck stops with them.
Point b) states:
ensuring that the environmental policy and related environmental objectives are established and are compatible with the strategic direction and the context of the organization.
Environmental Policy requirements are stated in clause 5.2 and Environmental objective requirements are stated in clause 6.2. Make sure that top management has been involved in the establishment of both the policy and the objectives. And most importantly that they align with the strategic plan and context of the business. These are not to sit in a corner separate from the strategic direction of the business. If the requirements are met in clauses 5.2 and 6.2 then it’s a nice tick back here too.
Point c) states:
ensuring the integration of the environmental management system requirements into the organizations business processes.
Oooh, I love this one! An environmental management system isn’t something that is built separately from the business. It shouldn't sit over in a corner by itself gathering dust. The environmental management system needs to be integrated into the day-to-day processes so that this is 'just the way you do business'. You will know how well this is implemented when you’re interviewing employees and they are showing you the processes that they follow to ensure that they and other workers remain safe and healthy at all times.
Point d) states:
ensuring that the resources needed for the environmental management system are available
That’s right – top management can’t use the excuse that we don’t have enough staff to maintain the environmental management system. Believe me, it’s a common excuse given for any gaps that might show up. And look, I get it, it could definitely be the case. However, it is clearly stated that it is up to top management to ensure that resources are available. It’s right here in black and white. Don’t forget that resources are not just people, they can be plants, equipment, hardware, and software too.
Point e) states:
communicating the importance of effective environmental management and of conforming to the environmental management system requirements
It appears as though it is up to top management to communicate to everyone, information about the environmental management system, what it means to the business, and what it means to workers with regards to following the system. What a great opportunity to engage with workers and really get them involved in the system – not only in understanding the requirements but also in providing feedback and improving the system.
Point f) states:
ensuring that the environmental management system achieves its intended results
And this means that top management should be monitoring what they planned to achieve. They might do this by monitoring objectives set, investigating incidents, or reviewing nonconformances and corrective actions.
Point g) states:
directing and supporting persons to contribute to the effectiveness of the environmental management system
I sort of mentioned this a bit earlier when I was referring to communicating the importance of effective environmental management and of conforming to the environmental management system. Any communication and interaction that top management has should be demonstrating in a positive manner – what the environmental management system is all about and getting people involved in the process.
Point h) states:
promoting continual improvement
I like that word – promoting. This is all about actively encouraging the team to keep an eye out for improvements. Building a culture where your workers are not too scared to put their hands up to say that something isn’t working out the best way that it can and putting forward solutions. This attitude and culture really do need to come from the top.
Point i) states:
supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility
This is great! What better way to build a positive culture around the environmental management system than to give other management roles leadership responsibilities to promote the management system? This really shows that the system is to trickle through all of the relevant functions and levels of the business. Giving people at different levels areas of leadership and engagement.
Now that I’ve explained all of these requirements, can you see more clearly how you would determine conformance to this clause by the results of your entire audit or review of your system?
There are so many links and parallels to these requirements and not all of them are easily determined in a straight-out interview with top management.
You need to be able to walk around and ask questions of different workers at different levels to truly see how top management is demonstrating their leadership and commitment to the environmental management system.
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