details of iso 14001:2015 environmental management systems-...

Susan LK Briggs

July 9, 2015

Details of ISO 14001:2015

Environmental Management Systems-

Requirements & Guidance for Use

www.smithersregistrar.comCONFIDENTIAL 2

Copyright Susan LK Briggs

• Background on ISO 14001 Revision

• Highlight of key changes in ISO FDIS* 14001

• Top Management Role

• Value and Benefits

• Next Steps

*FDIS – Final Draft International Standard

Details of ISO 14001:2015Environmental Management Systems-

Requirements & Guidance for UseDetails of ISO 14001:2015

Environmental Management Systems-Requirements & Guidance for Use




Todays’ Agenda



ISO 14001 Revision

Goal:

Incorporate new approaches in the field of Environmental Management, and

meet stakeholder expectations that have evolved since 1996

...so that ISO 14001 remains relevant over the next 20 years.






ISO 14001 Revision Mandate

• Base the revision on ISO Annex SL common management system structure requirements

• Consider the ‘Future Challenges of EMS’ report recommendations

• Maintain and improve the basic principles and existing requirements






ISO Annex SL

• Standardize MSS to facilitate the integration of multiple MSSs into an organization’s management system.

• Any new or revised MSS is required to use Annex SL

• identical structure, identical text, common terms, and core definitions

• Technical Committees add discipline specific requirements

ISO 9001, 45001 (Occupational Health & Safety) and 50001 (Energy) will all follow Annex SL






Implications of Annex SL

• Emphasis on alignment and integration with business strategy

• Importance of interested parties

• Risk-based approach

• Outsourced processes are ‘in scope’

• New terminology: • Risks & opportunities• Documented information • Requirements






Future Challenges of EMS• Focus: Evaluate potential implications of stakeholder

expectations and new approaches in the field of EMS

Themes: EMS and…• Sustainability and social responsibility

• Environmental performance improvement

• Compliance with legal and other requirements

• Strategic business management

• Uptake in small organizations

• Environmental impacts in the value/supply chain

• Engaging stakeholders

• External communication (including product information)






Implications of Future ChallengesClarify, enhance or add new requirements for:• Protecting the environment

• Enhancing environmental performance

• Conforming to compliance obligations

• Integrating EMS in organization's strategic planning

• Mitigating adverse effects of environmental conditions on the organization

• Controlling or influencing the environmental impacts of products/services using a lifecycle perspective

• Communicating environmental information

Provide a systematic approach that contributes to the‘environmental pillar’ of sustainability






Discussion• What is your organization’s experience?

• Are your stakeholder expectations changing?

• Are you implementing multiple MS in an integrated way?

• Is your EMS strategically aligned?

• How integrated is the Environmental function within Risk Management function?

• Does your EMS cover the full lifecycle of your activities, products, and services?






HIGHLIGHTS OF

KEY CHANGES






Then & Now…Metrics

Metric

• Definition

• Pages

• Definitions

• Requirements

• Guidance

• ‘Shalls’

• Implied ‘shalls’

• Procedures

• Processes

• Doct’d procedure

• Documents

• Records

2004

• 20

• 23

• 2

• 5.5

• 8

• 60

• 149

• 14

• 0

• 1

• 15

• 14

2015

• 33

• 35

• 5

• 16.5

• 13.5

• 77

• 257

• 0

• 5

• 0

• 15

• 13






1. Scope2. Normative references3. Terms and definitions4. Context of the organization• Understanding the organization and its context

• Understanding needs and expectations of interested parties

• Determining the scope of the environmentalMS

• Environmental management system

5. Leadership• Leadership & commitment

• Environmental Policy

• Organizational roles, responsibilities and authorities

6. Planning• Actions to address risk s & opportunities

• General

• Significant environmental aspects

• Compliance obligations

• Risk & opportunities

• Planning to take action

• Environmental objectives and planning to achieve them

• Environmental objectives

• Planning actions to achieve environmental objectives

7. Support• Resources

• Competence

• Awareness

• Communication

• General

• Internal communication

• External communication

• Documented information

• General

• Creating and updating

• Control of documented information

8. Operation• Operational planning and control

• Emergency preparedness & response

9. Performance evaluation• Monitoring, measurement,

analysis & evaluation

• General

• Evaluation of compliance

• Internal audit

• Management review

Key:Black font– New MS requirementsBlue font – ISO 14001, discipline-specific requirementUnderlined – substantive new requirements

10. Improvement•

Nonconformity and corrective action•

Continual Improvement

Annex A – Informative Guidance

Annex B - Correspondence between ISO/DIS 14001 & ISO 14001:2004

Index – Alphabetical index of terms

Bibliography

General

•

14001 Clause Structure






4.1 Context of the Organization• Strategic understanding of issues important to the

organization and its EMS

• External factors, including its competitive position

• Internal factors, including its business strategy

• Environmental conditions affecting or affected by the organization.

• Knowledge gained guides EMS planning

Issues - Problems or Changing Circumstances related to:

• environmental conditions, i.e., climate, air/water quality, land use, resource availability & biodiversity

• external context, i.e., regulation, technology, economic, competition • internal context, i.e., governance, strategy, resource capability






4.2 Interested Parties

• Determine relevant interested parties

• Internal and external

• Determine their relevant needs and expectations

• aka, interested party ‘requirements’

• Determine which of these needs and expectations become the organization’s‘requirements’

• aka, organization's 'compliance obligations'

Relevant interested party requirements are not necessarily organizational requirements






Compliance ObligationsNew terminology referring to an organization’s obligations

The organization determines those it has to comply with AND those it voluntarily chooses to comply with

• Mandatory requirements include laws/regulations, permits, court orders, etc., issued by government entities

• Voluntary requirements include agreements with community groups, corporate requirements, industry standards, voluntary reporting schemes, contractual arrangements

• Once adopted, the organization is obliged to comply

Replaces ‘legal requirements and other applicable requirements to which the organization subscribes’

Conceptual level analysis in Clause 4 versus detailed analysis in Clause 6






4.3 Scope of EMS

Determine boundaries & applicability of EMS:

• External and internal issues


• Organizational units, functions & physical locations

• Activities, products and services

• Authority & ability to exercise control and influence

Document scope and make available to the public

Activities, products and services with significant environmental aspects are included in the EMS






4.4 EMS

Establish, implement, maintain and continually improve EMS processes

The organization retains authority, accountability & autonomy to determine

• how it will satisfy ISO 14001 requirements

• level of detail and extent it will:

– integrate EMS requirements into its business processes

– incorporate issues associated with its context and interested party requirements within its EMS

Aim is to enhance environmental performance






Intended Outcomes of an EMS




• Enhancement of Environmental Performance

• Fulfillment of Compliance Obligations

• Achievement of Environmental Objectives

…Plus any additional ones an organization sets for itself

Relevant to requirements related to: Relevant Issues and associated risks and opportunities,

including environmental aspects, compliance obligations EMS processes Leadership Continual Improvement



6.1 ‘Risk-based Thinking’ Overview

6.1.1: Establish process(es) and documentation

Address the key issues (from 4.1/4.2) that pose adverse risk or present a beneficial opportunity in a prioritized way to:

• Assure EMS can achieve its intended outcome

• Prevent or reduce undesired effects

• Achieve continual improvement

Formal Risk Assessment Not Required






6.1 ‘Risk-based Thinking’ Overview

6.1.2 – Significant Environmental Aspects

6.1.3 – Compliance Obligations

6.1.1 – ‘Other’ risks/opportunities

6.1.4: Plan actions to mitigate ‘risks’ and leverage opportunities, e.g.,

• Environmental Objectives • Operational Control

• Monitoring/measuring • Others, as appropriate

• Emergency Preparedness & Response






Examples of Issues with Potential

Risks/Opportunities

• Environmental aspects

• Local/regional environmental conditions


• Changing regulations

• Environmental performance

• Interested party concerns

• Financial/economic situation

• New product development

• Changes in operations

• Technologies, e.g., environmental, IT

• Competition

Take action if strategically important & support the EMS intended outcomes






6.1.2 Significant Environmental AspectsPotential to result in risk associated with either adverse environmental impacts (‘threats’) or beneficial environmental impacts (‘opportunities’)

Specific documentation:

• Criteria for significance

• Aspects/impacts

• Significant aspects

Internal Communication

No significant change… significance determination is ‘risk-based thinking’

Every business has activities, products

& services

Aspects can cause

environmental impacts

Activities have environmental

aspects






Lifecycle Perspective

Explicit in determining environmental aspects and operational controls

Considers the environmental impacts that can be controlled and influenced during each stage of the product lifecycle:• Raw material acquisition• Manufacture• Packaging/Transport/Delivery• Use• End-of-life treatment & final disposal

Lifecycle perspective does not require a lifecycle assessment






6.1.3 Compliance obligations• Detailed level analysis of obligations identified in 4.2

• Documentation required

• Potential to result in either adverse effects (‘threats’) or beneficial effects (‘opportunities’) on the organization

Requirements

• Identify applicable compliance obligations• Have access to them

• Determine how they apply to organization• Incorporate into EMS

No substantive change in technical requirements






6.2 Objectives & Planning to achieve themEliminated specific requirement for ‘targets’

Requirements

Objectives shall be:• Consistent with policy

commitments• Measureable

• Monitored• Communicated• Updated

Plan actions • what, who, when

• how to evaluate results • Integrate into business

processes

Added new requirements:

• Communication

• Resource needs

• Monitoring & evaluating results, using indicators

• Integrating actions into business processes






7.2 Competence & 7.3 AwarenessCompetence requirements apply to those:

• whose work has potential to cause environmental impact

• are assigned EMS responsibility

• affects environmental performance

Determine Training Needs

Persons working under org control shall be aware of:

• policy commitments

• significant environmental aspects & impacts

• contribution to EMS & benefits of improved performance

• implications of not conforming to EMS requirementsAcquire competence through:

• Training• Mentoring• Reassignment• Hiring/contracting






7.4 CommunicationsEstablish a communication process

• Covering what, when, with whom and how it will communicate, internally and externally

Information needs to be consistent and reliable

Enable input/feedback for continual improvement

Communicate externally • as per compliance obligations and its communication

process

Respond to inquiries by interested parties

Retain records, as appropriate






What to communicate • Scope

• Importance of effective environmental management & conforming to EMS reqmts

• Environmental policy

• Responsibilities/authorities for EMS roles

• EMS performance to top mgmt.; internally and externally, as per compliance obligations & commprocess

• Significant env aspects


• Responses to relevant communication from int & extinterested parties

• EMS, including changes

• Env requirements & envimpacts to external providers &/or users

• Emerg prep & response info

• Audit results to top mgmt






7.5 Documented InformationAddresses:

• documentation, control of documents and controls of records

Intent is not significantly different from 2004 version

• includes specific requirements for either documents, records, or both, as applicable

Eliminated requirement for EMS description

Organizations not required to use term‘documented information’






Process, Procedure, Documented Information

• Process: set of interrelated /

interacting activities that

transforms inputs into outputs

• Procedure: specified way to

carry out an activity or process

• Documented information: information

required to be controlled and maintained by

an organization and the medium on which it is

contained

ProcessInput Output

Process:Step 1

Step 2

Step 3

Process:Step 1

Step 2

Step 3

Documented

Procedure

Plan a process

Implement and maintain a procedure

Retain documented information on the

xxx procedure

Process vs Procedure• Clarify misconceptions

• Align with 9001 terminology

• Recognize alternative methods

Methods for effectiveness

• design - "poka yoke“

• engineered controls• competent personnel• perform process in a specified way

• monitor/measure the results• use of documentation• others, as appropriate

• Attempt to reduce documentation requirements






ISO 14001 Documented InformationDOCUMENTS

• scope of the EMS

• environmental policy• risks & opportunities• process(es) to satisfy clause 6.1*

• environmental aspects and impacts• criteria for significant

environmental aspects• significant environmental aspects

• compliance obligations• environmental objectives• operational control – related*

• emergency preparedness & response*

RECORDS

• Competence (educ, training & exp)

• internal & external communications, as appropriate

• operational control – related*• emergency preparedness & response*

• monitoring, measurement, analysis and evaluation results

• compliance evaluation results• audit programme implementation

• audit results• management review results• nonconformities and actions taken

• corrective action results

Plus any documents or records the organization deems necessary, including that of external origin






What is no longer documentedDOCUMENTS

• General requirement to document

the EMS

• Targets

• Roles/responsibilities and

authorities

• Description of main EMS elements

RECORDS

• Decision to externally

communicate

• Calibration/verification

• Preventive actions






8.1 Operational ControlApplies to processes needed to:

• Significant environmental aspects


•Other risks & opportunities


• Meet EMS requirements• Implement planned actions (6.0)• Outsourced processes

Establish operating criteria

Control planned changes & mitigate adverse effects of unintended changes






8.1 Operational ControlControl the stages of product lifecycle by

• Establishing environmental requirements for

• product design & development, addressing each stage of product or service lifecycle

• procured products/services

• Communicating environmental requirements to external providers (i.e., suppliers, contractors)

• Providing information on env impacts assocwith transport/delivery, use, end-of-life treatment, final disposal of products/services






Outsourced Processes




An outsourced process differs from procured products/services…it must fulfill all of the following:

• within the scope of the EMS

• is integral to org functioning

• needed for EMS to achieve its intended outcomes

• liability for conforming to requirements is retained by org

• relationship is such that the process is perceived by interested parties as being carried out by the org

Outsource process is within scope but not the external provider’s organization



Outsourced Processes




Specify type/extent of control or influence in EMS

• Extent of control needed within its own business processes

Consider:• Knowledge, competence & resources – both of org

and external provider

• Importance and effect to achieve intended outcome

• Extent which control is shared

• Capability of control through its procurement process

• Improvement opportunities



8.2 Emergency Preparedness & Response

Focus is on preparedness & response

• Identification of emergency situations in clause 6

Reduce the consequences of emergency situations, using a ‘graded approach’

Requirements• Plan actions to prevent/mitigate

adverse env impacts• Respond• Prevent/mitigate consequences• Test • Review and revise process• Provide info/training

Process requirement

Documentation

required






9.1 Monitoring Measurement Analysis Evaluation

• Monitor/measure - what, methods, frequency & criteria for evaluation

• Analysis/evaluation - methods and frequency

• Use & maintain calibrated/verified equipment

Monitor/Measure• Operations with significant

environmental impact• Compliance obligations• Operational controls• Progress on objectives,

using indicators

• Evaluate envperformance & EMS effectiveness

• Document results

• Communicate results






9.1.2 Evaluation of Compliance

Evaluate conformity with compliance obligations

• Determine frequency

• Evaluate compliance & take actions if needed

• Maintain knowledge of its compliance status

Establish process & retain records of resultsApplies equally to mandatory and voluntary compliance obligations









9.2 Internal AuditConduct internal audits to verify conformance to ISO 14001 and to its own EMS requirements

Establish audit programme

Audit requirements:• Criteria and scope

• Objectivity & impartiality

• Report to management

Document implementation

& results

Audit Programme

• Frequency

• Methods• Responsibilities• Planning requirements

• Reporting

Consider:

• Environmental importance• Changes affecting org• Results of previous audits

Unlike other MS, 14001 limits scope to 1st party audits, not 2nd & 3rd party audits



10.2 Nonconformity and Corrective Action

Graded approach to Corrective Actions

• Appropriate to magnitude of effects or environmental impacts

Documented information

• Nature of nonconformities

• Actions taken

• Results of actions

Requirements

• React to nonconformity

• Take action to control & correct

• Deal with consequences; mitigate adverse impact

• Evaluate need for action to eliminate cause

• Review nonconformity• Determine cause• Determine like-fault

• Implement any corrective action• Review effectiveness • Make changes to EMS

Preventive action covered in clause 6.1 & 8.2






TOP

MANAGEMENT

ROLE IN EMS






Top Management Role

Key implications:

• Ownership & commitment

• Accountability for EMS effectiveness & results

• Understanding organizational context & using a risk-based approach to establish EMS priorities

• Emphasis on alignment with business strategy & integration with business processes

Role as ‘Leaders’ to inspire others






5.1 Leadership and Commitment

Visible support, involvement & commitment of top management are critical success factors

Can Delegate:

• Compatibility with the context & its strategic direction

• EMS integration into the business processes

• Resource availability

• Achievement of intended outcome(s)

Responsible to:

• Communicate

• Direct/support others to contribute to EMS effectiveness

• Promote continual improvement

• Support others in demonstrating their leadership

• Be accountable






5.2 Environmental Policy

Commitments

• Protection of the environment

• Conformity to compliance obligations

• Continual improvementOther Commitments:

• Sustainable resource use• Climate change mitigation

and adaptation• Protection of biodiversity

& ecosystems• others, as appropriate

Protection of Environment includes • prevention of pollution and • other specific commitment(s)

that are relevant to its context






5.3 Roles, Responsibilities, Authorities

& 7.1 ResourcesTop management assigns and communicates EMS roles

No more ‘Management Representative’ role per se, but responsibilities are retained

– Can be one individual or several

– Member(s) of management team

– Access to top management, authority & resources

Resources to establish, implement, maintain and continually improve EMS

– Human, Infrastructure, Technology, Financial






• Status of actions from previous reviews

• Changing Circumstances/issues:

• Context of organization


• Significant aspects

• Risks & opportunities

• Extent objectives achieved

• Environmental performance information:

• Nonconformities/corrective actions

• Monitoring & measurement results

• Compliance status

• Audit results

• Adequacy of resources

• Communications from interested parties

• Improvement opportunities

• Conclusions on EMS suitability,

adequacy & effectiveness

• Continual improvement decisions

• Changes to EMS, including

resources, if needed

• Actions if objectives not met

• Integration improvements

• Implications for strategic direction

• Documented results

9.3 Management Review

OUTPUTS

INP

UTS






10.1 & 10.3 Continual Improvement

Determine opportunities for improvement and implement actions to achieve intended outcomes

Improve the suitability, adequacy and effectiveness of the environmental management system

Focus - improving environmental performance

• Reducing adverse environmental impacts or

• Increasing beneficial impacts.






Discussion

What are the implications for your organization?

• Organization’s Context as it relates to EMS?

• Leadership requirements?

• Environmental Protection beyond P2?

• Risks & Opportunities?

• Lifecycle perspective of activities, products & services?

• Compliance obligations?

• External Communications?

• Documentation requirements?

• Supply Chain requirements?

• Improving environmental performance ?






VALUE &

BENEFITS

NEXT STEPS






Environmental Value & Benefits

Risk-based approach to protect the environment

• Prevent adverse impacts

• Pursue opportunities with beneficial impact & competitive advantage

Optimize the product footprint at lifecycle stages:

• Design, raw materials, manufacture, transport, packaging, consumer use and final disposal

Enhance environmental performance

Raise environmental awareness & involvement






Organizational Value & Benefits

• Alignment of EMS..

• Environmental initiatives with business priorities

• To reinforce importance of environmental management to strategy

• EMS processes with other management system processes

• Integration of environmental requirements within business processes






Organizational Value & Benefits

• Satisfy compliance obligations

• Mitigate adverse effects environmental conditions have on the organization

• Realize operational efficiencies

• Reap financial benefits

• Assure stakeholders of robust environmental practices

Fulfill the environmental pillar of sustainable development






Next StepsStandards Writers:• DIS ballot approved by 92% member bodies• FDIS ballot Jul – Aug 2015• Publication Sep 2015• Transition period – 3 years

Organizations:• Learn more about the new requirements• Read the standard• Identify and close gaps• Take steps toward sustainable development




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Akron, OH 44303

www.smithersregistrar.com

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