iso 14001:2015 change and impact - priregistrar.org 14001-2015... · the version of the standard...

ISO/TC 207/SC 1

ISO 14001:2015

Change and Impact

The version of the standard used to develop this presentation is ISO 14001:2015, published in September 2015. Also used is ISO Annex SL which outlines the High Level Structure

What is Changing?

• Main Structure Reorganized – ISO Annex SL

• 10 clauses (system requirements in 4-10)

• Important Conceptual Changes

• Many new requirements added

• Changes in many existing requirements

• New terms and definitions

MAIN STRUCTURE

A new structure mandated for all ISO management systems standards, as

specified in ISO Annex SL

ISO 14001:2015

9001:2015

Etc. etc.

0. Introduction

1. Scope

2. Normative References

3. Terms and Definitions

All ISO 14001 requirements re-numbered to fit in new sections. No requirement to

use this structure for the EMS.

ISO 14001:2015

9001:2015

Etc., etc.

4. Context of the organization

5. Leadership

6. Planning

7. Support

8. Operation

9. Performance evaluation

10. Improvement

ISO Annex SL – The High Level Structure

“Shall” statements and “Identical Core Text”There are 45 “shall” statements (generating 84 requirements)

within clauses 4-10 in ISO Annex SL, Appendix 2. As a result, there must be at least 45 “shall” statements with 84 requirements in all management system standards, including ISO 14001:2015.

The “Identical Core Text” comprises all the common requirements for ISO management systems standards. The discipline specific requirements (EMS, QMS) are included in the most relevant clauses of the new structure.

The primary purpose of this new structure is to facilitate integration between different management systems and achieve a common set of terms and definitions.

MAJOR CONCEPTUAL CHANGES

Important new threads and concepts in ISO 14001

• Context of the organization (4.1)

• Consideration of interested parties (4.2)

• Leadership and commitment (5.1)

• Risks and opportunities (6.1)

• Intended environmental outcomes

• Life cycle perspective (8.1)

• Environmental performance

• Outsourced processes (8.1)

• Beneficial impacts (6.1.2)

Important new threads and concepts in ISO 14001

Annex A.3 on page 19 provides guidance on the use of important new terminology in the standard.

To ensure an understanding of the intent of system requirements, review the use of the following:

“Appropriate” vs “applicable”

“Consider” vs “take into account”

“ensure”

“interested party”

“compliance obligations”

“documented information” (maintained or retained)

“intended outcome”

Examples of requirements that have been removed or significantly

revised

Environmental management representative (old section 4.3.1)

– Responsibilities and authorities now assigned as appropriate by top

management in sections 5.3

Preventive action (old section 4.5.3)

– Eliminated stand alone requirement – now in clause 6.1.4 under Planning and clause 10.1

– Nonconformance and corrective action in section 10.2

External communication (old section 4.4.3)

– Eliminated the requirement to document a decision about whether to

externally communicate the organization’s significant environmental

aspects.

Training (old section 4.4.2) – Found in Competence/Awareness

ISO 14001:2015

ISO 14001:2015 Annex A (Informative)

Guidance on the use of this International Standard

1. Completely revised Annex A to follow outline of the Standard

2. Provides additional information regarding specific requirements in Sections 4-10

ISO 14001:2015 Annex B (informative)

1. Technical correspondence to previous edition (ISO 14001:2004).

2. Organizations may choose to revise their documented numbering systems or provide a road map based on Annex B1, but it is not a requirement to do so.

GENERAL/CLAUSE CHANGES

3 Terms and Definitions

• For the purposes of this document, the following terms and definitions apply…

• 33 terms are defined to help understand their intent as they are used in the standard.

Required definitions for any use of these terms in the EMS

Changes

Many terms re-defined and new terms added. Consistent with ISO 9001:2015


Terms 3.1.1 Management System*

3.1.2 Environmental Management System*

3.1.3 Environmental Policy*

3.1.4 Organization*

3.1.5 Top Management*

Changes

* New or revised


Terms 3.1.6 Interested Party*

3.2.1 Environment

3.2.2 Environmental Aspect

3.2.3 Environmental Condition*

3.2.4 Environmental Impact

Changes

* New or revised


Terms 3.2.5 Objective*

3.2.6 Environmental Objective

3.2.7 Prevention of Pollution

3.2.8 Requirement

3.2.9 Compliance Obligations

Changes

* New or revised


Terms 3.2.10 Risk*

3.2.11 Risks and Opportunities*

3.3.1 Competence*

3.3.2 Documented Information*

3.3.3 Life Cycle*

Changes

* New or revised


Changes

* New or revised

Terms 3.3.4 Outsource*

3.3.5 Process*

3.4.1 Audit*

3.4.2 Conformity*

3.4.3 Nonconformity


Changes

* New or revised

Terms 3.4.4 Corrective Action

3.4.5 Continual Improvement

3.4.6 Effectiveness*

3.4.7 Indicator*

3.4.8 Monitoring*


Changes

* New or revised

Terms 3.4.9 Measurement*

3.4.10 Performance*

3.4.11 Environmental Performance

4 Context of the organization4.1 Understanding the organization and its

context

• The Organization shall…

• Determine external and internal issues relevant to its purpose that can affect the intended outcome of its EMS

• Those issues include environmental conditions capable of affecting or being affected by the organization.

Changes

Clause 4.1

New!

See Annex A.4.1

4.1. “Determine issues that can affect the EMS “

4.2 Understanding the needs and expectations of interested parties

• The organization shall determine

• a) the interested parties that are relevant to the environmental management system

• b) their relevant needs and expectations

• c) which of these needs and expectations become compliance obligations.

Changes

Clause 4.2

New!

See Annex A.4.2

See 3.5 Definition of interested parties.

4.2 Identification of obligations from interested parties

4.3 Determining the scope of the Environmental management system

• The organization shall determine the boundaries and applicability of the EMS to establish its scope.

• It shall consider:• External and internal issues (4.1) • Compliance obligations (4.2)• Organizational units, functions and

boundaries• Activities, products and services• Authority and ability to exercise control

and influence

Changes

Clause 4.3

New!

See Annex A.4.3

4.3 “Determine and document scope”

4.3 Determining the scope of the Environmental management system

• Activities, products and services that can have significant environmental aspects (see 6.1.2) shall be included within the scope of the environmental management system.

• Scope shall be maintained as documented information and be available to interested parties.

Changes

Clause 4.3

New!

4.3 “Determine and document scope”

4.4 Environmental Management System

• The organization shall establish, implement, maintain and continually improve an EMS, including the processes needed and their interactions, in accordance with the requirements of this International Standard, to achieve its intended outcomes and enhance its environmental performance.

• The organization shall consider the knowledge of its context when establishing and maintaining the EMS.

Changes

Clause 4.4

New!

See Annex A.4.4

4.4. “Determine EMS, using “processes needed and interactions”.

5.1 Leadership and Commitment

• Top management shall demonstrate leadership and commitment with respect to the EMS by:

• Taking accountability for effectiveness of the EMS;• Ensure the environmental policy and environmental

objectives and are compatible with the strategic direction and the context of the organization;

• Ensure integration of the EMS requirements into the organization’s business processes;

• Ensure availability of resources for the EMS• Communicate the importance of effective

environmental management and EMS conformance• Ensuring that the EMS achieves its intended

outcome(s);

Changes

Clause 5.1

Expanded requirements

5.1. Demonstrate commitment “top management”

5.1 Leadership and Commitment

• Directing and support persons to contribute to the effectiveness of the EMS

• Promoting continual improvement

• Supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.

Changes

Clause 5.1

Expanded requirements

5.1. Demonstrate commitment “top management”

5.2 Environmental Policy

• Top management shall establish, implement and maintain an environmental policy that, within the defined scope of its EMS:A. is appropriate to

1. the purpose of the organization;2. the organization's context, including the nature,

scale and environmental impacts of its activities products and services;

B. provides a framework for setting environmental objectives;

C. includes (a) commitment(s) to the protection of the environment, including prevention of pollution and others specific to the context of the organization

Changes

Clause 5.2

Some new language

5.2 “Establish and communicate policy, also available to interested parties”

5.2 Environmental Policy

D. commitment to fulfil compliance obligations;

C. commitment to continual improvement of the EMS to enhance environmental performance.

• The environmental policy shall:– be maintained as documented

information;

– be communicated within the organization;

– be available to interested parties.

Changes

Clause 5

Some new language

5.2 “Establish and communicate policy, also available to interested parties”

5.3 Organizational roles, responsibilities and authorities

• Top management shall ensure that the responsibilities and authorities for relevant roles are assigned and communicated within the organization

• It shall assign the responsibility and authority for:A. ensuring that the EMS conforms to the

requirements of this International Standard;

B. reporting on the performance of the EMS, including environmental performance, to top management

Changes

Clause 5.3

No management representative

5.3 “Define roles and responsabilities to ensure the EMS“

6.1 Actions to address risks and opportunities

6.1.1 General• The organization shall establish, implement

and maintain the process(es) to meet the requirements in 6.1.1 through 6.1.4.

• When planning for the environmental management system, the organization shall consider the issues referred to in 4.1, the requirements referred to in 4.2, and the scope of the EMS,

• To determine the risks and opportunities related to its environmental aspects, compliance obligations, and other issues and requirements from 4.1 and 4.2,…

Changes

Clause 6.1

New!

See Annex A.6.1.1

6.1 “When conducting activities consider risksand nessecary actions”


6.1.1 General• …that need to be addressed to:• Give assurance that the EMS can achieve its intended

outcomes;• Prevent or reduce undesired effects, including the

potential for external conditions to affect the organization

• Achieve continual improvement• Determine potential emergency situations, including

those that can have environmental impacts. • The organization shall maintain documented

information about risks and opportunities and processes needed to the extent necessary to have confidence that the process has been carried out as planned.

Changes

Clause 6.1.1

New planning requirements

6.1 When planning actions consider the risks and opportunites


6.1.2 Significant Environmental Aspects

• Within the defined scope of the EMS, the organization shall:

• determine the environmental aspects of its activities, products and services that it can control and those that it can influence, and their associated impacts, considering a life cycle perspective;

Changes

Clause 6.1.2

New - Life cycle perspective

See Annex 6.1.2




• taking into account:

A. change, including planned or new developments and new or modified activities, products and services;

B. identified abnormal and potential emergency situations.

Changes

Clause 6.1.2

New – Life cycle perspective




• It shall determine those aspects that have or can have a significant impact on the environment (significant environmental aspects) using established criteria.

• It shall communicate its significant environmental aspects among the various levels and functions of the organization.

Changes

Clause 6.1.2




6.1.2 Significant Environmental Aspects• The organization shall maintain documented

information of its:– environmental aspects and associated

environmental impacts; – criteria used to determine its significant

environmental aspects;– significant environmental aspects.

NOTE: Significant environmental aspects can result in risk associated with either adverse environmental impacts (threats) or beneficial environmental impacts (opportunities).

Changes

Clause 6.1.2




6.1.3 Compliance obligations• The organization shall:

A. determine and have access to the compliance obligations related to its environmental aspects;

B. determine how these compliance obligations apply to the organization;

C. Take compliance obligations into account when establishing, implementing, maintaining and continually improving the EMS.

• It shall maintain documented information of its compliance obligations.

Changes

Clause 6.1.3

New term, same requirements



6.1.4 Planning to take action• The organization shall plan:

A. to take actions to address its significant environmental aspects (see 6.1.2), compliance obligations (see 6.1.3), risks and opportunities identified in 6.1.1

B. how to:• integrate and implement the actions into its

EMS or other business processes• evaluate the effectiveness of these actions.• Consider technological, financial, operational,

and business requirements in the planned actions.

Changes

Clause 6.1.4 New planning requirements

See Annex A.6.1.4


6.2 Environmental Objectives and planning to achieve them

6.2.1 Environmental Objectives

• Establish environmental objectives at relevant functions and levels:

• taking into account the organization’s significant environmental aspects and its compliance obligations;

• considering the risks and opportunities.

Changes

Clause 6.2.1

New language

6.2: “Establish objectives and planning, including the significant environmental aspects


6.2.1 Environmental Objectives• The environmental objectives shall:

A. be consistent with the environmental policy;

B. be measurable (if practicable);C. be monitored;D. be communicated;E. be updated as appropriate.

• The organization shall maintain documented information on the environmental objectives.

Changes

Clause 6.2.1

New language



6.2.2 Planning actions to achieve environmental objectives

• When planning how to achieve its environmental objectives, the organization shall determine:

– What will be done;

– What resources will be required;

– Who will be responsible;

– When it will be completed;

– How the results will be evaluated, including indicators for monitoring progress toward achievement of measurable environmental objectives (see 9.1.1).

• The organization shall consider how the actions to achieve environmental objectives can be integrated in to the organization’s business process.

Changes

Clause 6.2.2

New language


7.1 Resources

• The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the EMS.

Changes

Clause 7.1

See 5.1

7.2 Competence

• The organization shall:– determine the necessary competence of person(s)

doing work under its control that affects its environmental performance and compliance obligations;

– ensure that these persons are competent on the basis of appropriate education, training, or experience;

– determine training needs for environmental aspects and the EMS

– where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken.

• Retain appropriate documented information as evidence of competence.

Changes

Clause 7.2

Goes beyond just training

7.2.Emphasize competence

7.3 Awareness

• Persons doing work under the organization’s control shall be aware of:– the environmental policy;– the significant environmental aspects and

related actual or potential impacts associated with their work;

– their contribution to the effectiveness of the EMS, including the benefits of enhanced environmental performance;

– the implications of not conforming with the environmental management system requirements including compliance obligations.

Changes

Clause 7.3

Implies training and communication

7.3. Emphasize Awareness

7.4 Communication

7.4.1 General

• Plan and implement a process for internal and external communications relevant to the EMS, including:– on what it will communicate;

– when to communicate;

– with whom to communicate;

– how to communicate.

Changes

Clause 7.4.1

Expanded language

See Annex A.7.4

Planning intenal and External Comunication”

7.4 Communication

7.4.1 General• When planning its communications process,

the organization shall:– take into account its compliance obligations;– ensure that environmental information

communicated is consistent with information generated within the EMS, and is reliable.

• The organization shall respond to relevant communications on its EMS.

• The organization shall retain documented information as evidence of its communications, as appropriate

Changes

Clause 7.4.1

New – “and is reliable”


7.4 Communication

7.4.2 Internal CommunicationA. Internally communicate among the

various levels and functions of the organization, including changes to the EMS, as appropriate;

B. Ensure its communication process enables any person doing work under the organization's control to contribute to continual improvement

Changes

Clause 7.4.2

New language


7.4 Communication

7.4.3 External Communication

• The organization shall externally communicate information relevant to the EMS, as established by its communication process and as required by its compliance obligations

Changes

Clause 7.4.3

New language


7.5 Documented Information

7.5.1 General

• The organization’s environmental management system shall include:

A. documented information required by this International Standard;

B. documented information determined by the organization as being necessary for the effectiveness of the EMS.

Changes

Clause 7.5

New language See 3.3.2

See Annex A.7.5

7.5 “Documented informationshall be controlled.


7.5.2 Creating and Updating

• When creating and updating documented information the organization shall ensure appropriate:– identification and description (e.g. a title, date,

author, or reference number);

– format (e.g. language, software version, graphics) and media (e.g. paper, electronic);

– review and approval for suitability and adequacy


7.5.3 Control of Documented Information• Documented information shall be controlled to

ensure:A. it is available and suitable for use, where and

when it is needed;B. it is adequately protected (e.g. from loss of

confidentiality, improper use, or loss of integrity).

• Address control of documented information, as applicable:– distribution, access, retrieval and use;– storage and preservation, including preservation of

legibility;– control of changes (e.g. version control);– retention and disposition.

Changes

Clause 7.5.3

See 3.3.2

7.5 “Documented informationshall be controlled


7.5.3 Control of Documented Information• Documented information of external origin

determined by the organization to be necessary for the planning and operation of the environmental management system shall be identified, as appropriate, and controlled.

NOTE: Access can imply a decision regarding the permission to review the documented information only, or the permission and authority to view and change the documented information.

Changes

Clause 7.5.3

See 3.3.2

7.5 “Documented informationshall be controlled

8.1 Operational Planning and Control

• Establish, implement, maintain and control the processes needed to meet EMS requirements, and to implement the actions determined in 6.1 and 6.2, by:– establishing criteria for the

processes;

– implementing control of the processes, in accordance with the criteria

ChangesClause 8.1

New requirements based on Clause 6, not just significant aspects.

See Annex A.8.1

8.1. “Operational planning and control, including changes and outsourced processes”


• Control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary.

• Ensure that outsourced processes are controlled or influenced. The type and extent of control or influence to be applied to these processes shall be defined within the EMS.

Changes

Clause 8.1


8.1. “Operational planning and control, including changes and outsourced processes”


• Consistent with a life cycle perspective:

A. establish controls to ensure that environmental requirements are addressed in the design/development process for the product or service, considering each stage of the life cycle

B. determine environmental requirements for the procurement of products and services, as appropriate;

Changes

Clause 8.1


8.1. “life cycle perspective”


C. communicate relevant environmental requirement(s) to external providers, including contractors;D. consider the need to provide information about potential significant environmental impacts during transportation or delivery, use, end-of-life treatment and final disposal of the product and services.

• The organization shall maintain documented information to the extent necessary to have confidence that the processes have been carried out as planned

Changes

Clause 8.1


8.1. “Operational planning and control for suppliers/contractors

8.2 Emergency Preparedness and Response

• Establish, implement and maintain the processes needed to prepare for and respond to potential emergency situations identified in 6.1.1.

• The organization shall:A. Prepare to respond by planning actions to prevent or

mitigate adverse environmental impacts from emergency situations;

B. Respond to actual emergency situations;C. Take action to prevent or mitigate the consequences of

emergency situations, appropriate to the magnitude of emergency and the potential environmental impact;

8.2 Emergency Preparedness and Response

D. Periodically test the planned response actions, where practicable;.

E. Periodically review and revise the processes and planned response actions, in particular after the occurrence of emergency situations or tests;

F. Provide relevant information and training related to emergency preparedness and response, as appropriate, to relevant interested parties, including persons working under its control.

• Maintain documented information to the extent necessary to have confidence that the processes are carried out as planned.

Changes

Clause 8.2

See 6.1.1 for planning

8.2. Processes to respond to emergency situations

9.1 Monitoring, Measurement, Analysis and Evaluation

9.1.1 General

• Determine what needs to be monitored and measured, related to:A. its operations that can have a

significant environmental impact;

B. its compliance obligations;

C. operational controls;

D. progress towards the organization’s environmental objectives, using indicators;

Changes

Clause 9.1.1

New language and requirements

See Annex A.9.1.1

9.1.1 “Determine and implement monitoring and measurement, analysis and evaluation data”


9.1.1 General• Determine:

– The methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results,

– The criteria against which the organization will evaluate its environmental performance, using appropriate indicators,

– When the monitoring and measuring shall be performed,

– When the results from monitoring and measurement shall be analyzed and evaluated.

Changes

Clause 9.1.1




9.1.1 General• Ensure that calibrated or verified monitoring and

measurement equipment is used and maintained as appropriate.

• Evaluate its environmental performance and provide input to the management review (see 9.3) for the evaluation of the effectiveness of the EMS.

• Retain appropriate documented information as evidence of the monitoring, measurement, analysis and evaluation results.

• Communicate information relevant to its environmental performance both internally and externally, as determined by its communication process and as required by its compliance obligations.

Changes

Clause 9.1.1




9.1.2 Evaluation of Compliance• Establish, implement and maintain

processes needed to evaluate fulfilment of compliance obligations

• Determine the frequency that compliance will be evaluated

• Evaluate compliance and take action if needed

• Maintain knowledge and understanding of compliance status

• Retain documented information as evidence of compliance evaluation results

Changes

Clause 9.1.2

See 3.2.9

9.1 Evaluate compliance obligations –process, frequency, status and results.

9.2 Internal Audit

9.2.1 General

• Conduct internal audits at planned intervals to provide information on whether the EMS :

A. conforms to:• The organization’s own requirements for

its environmental management system;

• The requirements of this International Standard;

B. is effectively implemented and maintained.

Changes

Clause 9.2

New language

9.2.1 Establishes need for internal audits

9.2 Internal Audit

9.2.2 Internal Audit Program• Establish, implement and maintain

an audit programme(s), including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration:– the environmental importance of the

processes concerned– changes affecting the organization, and

the results of previous audits;

Changes

Clause 9.2.2

New language, same criteria

9.2.2 How to conduct internal audits

9.2 Internal Audit

9.2.2 Internal Audit ProgramA. define the audit criteria and scope for each

audit;B. select auditors and conduct audits to

ensure objectivity and the impartiality of the audit process;

C. ensure that the results of the audits are reported to relevant management.

• The organization shall retain documented information as evidence of the implementation of the audit programme and the audit results.

Changes

Clause 9.2.2

New language, same criteria

9.2.2 How to conduct internal audits

9.3 Management Review

• Top management shall review the organization's environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness.

• The management review shall include consideration of:

A. actions from previous management reviews;

B. Changes to:– External and internal issues relevant to the EMS

– Needs and expectations of interested parties

– Significant environmental aspects

– Risks and opportunities

C. Progress on environmental objectives

Changes

Clause 9.3

New language

9.3 Top management shall – review the management system.


D. Information on environmental performance including trends in;

– Nonconformities and corrective actions– Monitoring and measurement results– Fulfilment of compliance obligations– Audit results

E. Adequacy of resourcesF. Communications from interested parties including complaintsG. opportunities for continual improvement;

• The outputs of the management review shall include:– conclusions on the continuing suitability, adequacy and

effectiveness of the EMS;– decisions related to continual improvement opportunities;

Changes

Clause 9.3

New language



– decisions about any need for changes to the EMS, including resource needs;

– actions if needed, when environmental objectives have not been met;

– any implications for the strategic direction of the organization;

– opportunities to improve integration of the EMS with other business processes;

– any implications for the strategic direction of the organization

• The organization shall retain documented information as evidence of the results of management reviews.

Changes

Clause 9.3

New language


10.1 General

• Determine opportunities for improvement based on monitoring, measurement, analysis and evaluation (9.1.1), evaluation of compliance (9.1.2), internal audits (9.2), and management review (9.3). Implement necessary actions to achieve the intended outcomes of the EMS.

Changes

Clause 10.1

New – could include preventive actions

10.1 “implement actions to achieve intended outcomes...”

10.2 Nonconformity and Corrective Action

• When a nonconformity occurs, the organization shall:A. react to the nonconformity and, as applicable:

• Take action to control and correct it;• Deal with consequences and mitigate adverse

environmental impacts;

B. evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur or occur elsewhere, by:

• Reviewing the nonconformity• Determining the causes of the nonconformity• Determining if similar nonconformities exist, or

could potentially occur

C. implement any action needed;

Changes

Clause 10.2

Implies preventive action

10.1 Nonconformities – react and take action

10.2 Nonconformity and Corrective Action

D. review the effectiveness of any corrective action;

E. make changes to the EMS, if necessary

• Corrective actions shall be appropriate to the significance of the effects of the nonconformities encountered, including the environmental impact(s).

• The organization shall retain documented information as evidence of:– the nature of the nonconformities and any

subsequent actions taken;– the results of any corrective action.

Changes

Clause 10.2

Implies preventive action

10.1 Nonconformities – react and take action

10.3 Continual Improvement

• The organization shall continually improve the suitability, adequacy and effectiveness of the EMS to enhance environmental performance.

Changes

Clause 10.3

New language

See Annex A.10.3

10.3 “Enhance environmental Performance”

Questions

For any further questions, please contact your PRI Registrar Sales Representative

EJ Kegerries: 724-772-4094

Brett Pollock: 724-772-7467

Scott Burkholder: 724-772-8667

mailto:[email protected]?subject=ISO 14001:2015 Upgrade Question



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