ISO-FDIS 14001_2015-08-19 (1).pdf

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ISO/FDIS 14001:2015

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August 19, 2015

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Why Revise ISO 14001?

Incorporate the lessons learned since the 2004 release

Better alignment with other standards

– High Level Structure (HLS)

Maintain relevancy with improvements

– Evidence of environmental performance is now required

Reflects the global movement towards ‘sustainability’ – Sustainability is currently a global concept

– ISO standards now support sustainability

– (DNV GL Precept- ‘Sustainability in Everything we do’)

– Environmental Stewardship is one of the three pillars of sustainability

4

New ISO Perspective:

To ensure that quality management is seen as much more than certification . . . and

that it really helps organizations to achieve long-term success

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The new (HLS) structure

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Change of mind-set

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High Level Structure – in brief

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ISO decided in 2012 that all Management System standards shall use a common

framework containing:

Unified High Level Structure

Common Text and Terminology

Individual management systems standard will add additional

“discipline-specific” requirements as required

Main advantages:

Enhanced compatibility of standards

Easier to implement new standards

Easier to integrate standards into one management system

Increase value for users

Increased effectiveness in standard development for the technical committees

The common framework is defined in Appendix 3 of ISO/IECDirectives, Part 1 Annex SL (see pages 131-140 in document)

http://isotc.iso.org/livelink/livelink?func=ll&objId=4230452&objAction=browse&sort=subtype




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ISO 14001:2015 Design Specification / Purpose & Benefits of HLS

1. Provide a core set of requirements

2. Focus on effective process

management to produce desired

outcomes (through leadership

commitment & involvement)

3. Reflect changes in increasingly

complex, demanding and dynamicenvironments (through identification of

the context of the organization, its

stakeholders & risk analysis) &

Facilitate sustainable business

development

ORGANIZATIONS PEOPLE FACILITIESPRODUCTS

ISO 9001, ISO 14001 (and ISO 45001)are currently being revised

and will adapt the HLS

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HLS - 10 Clause structure

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1. Scope

2. Normative

Reference

3. Terms &Definitions

4. Context of the

Organization

5. Leadership

Specific to the discipline

Specific to the discipline

Common as per Annex SL + Specific to the discipline

4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of interested parties

4.3 Determining the scope of the XXX management system

4.4 XXX Management system

5.1 Leadership and commitment

5.2 Policy

5.3 Roles, Responsibility & Authority.

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HLS – 10 Clause structure

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6. Planning

7. Support

8. Operation

9. Performance

Evaluation

10.Improvement

6.1 Actions to address risks and opportunities

6.2 XXX objectives and planning to achieve them

7.1 Resources 7.5 Documented information

7.2 Competence 7.5.1 General

7.3 Awareness 7.5.2 Creating and updating

7.4 Communication 7.5.3 Control of documented information

8.1 Operational Planning and Control

9.1 Monitoring, measurement, analysis and evaluation

9.2 Internal audit

9.3 Management review

10.1 Nonconformity and corrective action

10.2 Continual Improvement

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Terms and Expressions

ISO 14001:2004

Legal and other requirements

Products

Documentation, procedures, records

Preventive action Management representative

None

None

None

None

Process approach

PDCA cycle

ISO/FDIS 14001:2015

Compliance obligations

Products & services

Documented information

None None

Life cycle

Risk

Leadership

Knowledge

Process approach

PDCA cycle

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The word ‘retain documented information as evidence of ....’ tomean records, and

‘maintain documented information’ to mean documentationother than records (procedures, instructions, etc.)

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Life cycle

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Life cycle

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ISO 14001:2015 FDIS PDCA

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Key changes induced by HLS (valid for both ISO 14001 and ISO 9001)

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Key changes induced by HLS (valid for both ISO 14001 and ISO 9001)

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Other changes related to the HLS

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Other ISO 14001 specific key changes

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ISO 14001 specific key changes (Cont.)

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ISO 14001 specific key changes (Cont.)

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Changing our mind-set

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Risk-Based Thinking

As the title denotes, it is a way of “thinking”.

So, we should not expect (or ask for) “documented” or “formal” risk assessment.

“Risk-based thinking” means considering risk qualitatively (and, depending on the

organization’s context, quantitatively).

Some organizations may choose to develop a more extensive risk-based approach

than is required by this International Standard (ISO 31000 can be used).

We should have more of discussion-based auditing rather than questioning.

We will evaluate how organizations determine and take actions to tackle risks.

Remember risks comprises threats and opportunities.

We have to consider: – Prioritization of actions based on the context of the organization and views of

interested parties,

– The level of “prevention” based on the evaluation of risks,

– To what extent are top management (leaders) involved in this process.

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Context of the Organisation

New concept

Issues relevant to the organization's context may include, but are not limited to: External issues, like:

– Social and cultural, legal, regulatory,

– Financial, technological, economic, natural and competitive environment,

– Key drivers and trends which can have an impact on the objectives,

–Relationships with, and perceptions, values and expectations of interestedparties.

Internal issues, like:

– Governance, structure, roles, standards, etc./

– Policies, objectives and strategies,

– Information and systems, processes

– Internal parties,

– Capacities and abilities.

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Context of the Organisation

And …

Environmental conditions that can either affect the organization’s purpose, or be

affected by its environmental aspects; related but not limited to:

– Climate

– Air quality

– Water quality

– Land use

– Existing contamination

– Natural resource availability

– Biodiversity

– Other global environmental issues (GHG, climate change, ozone, etc.)

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Interested Parties

Government & regulators

Banks/Insurance

NGOs & pressure groups

The Media

Opinion Leaders

Scientific community

Certification Bodies

Neighbors

Suppliers

Business Partners

Host Communities

Competitors & peers

Contractors

Employees

Investors

Customers

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Interested Parties (Stakeholders): Growing Importance

A organization should not take for granted its relationships with employees,

customers, investors, suppliers, business partners etc.

The better its relationship with stakeholders, the more likely they will:

Want to work for the company

Buy its products

Want to be its business partner / supplier

Invest in the company

Lend it money

Have it as part of their community, etc.

Stakeholders can grant a company its ‘social license to operate’ (or they can

take it away)

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Interested Parties

The concept of “interested parties” was a child of the first version of ISO 14001

and its importance remains and increases.

Of course, we can not expect organizations to formally gather information from all

their interested parties and feed it in their EMS. Prioritization will depend on the

critical 3 dimensions:

– Significant aspects,

– Risk and opportunities,

– “Life cycle” concept.

Some areas where the new standard requires interested parties to be taken into

consideration are:

– In defining the scope of the EMS,

– Performance measurements,

– Management reviews,

– Communications.

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Terms and Expressions

ISO 14001:2004

Legal and other requirements

Products

Documentation, procedures, records

Preventive action Management representative

None

None

None

None

Process approach

PDCA cycle

ISO/FDIS 14001:2015

Compliance obligations

Products & services


None None

Life cycle

Risk

Leadership

Knowledge

Process approach

PDCA cycle

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Summary of changes to ISO 14001:2015

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New clauses

• 4.2 Understanding the needs and expectations of interested• 5.1 Leadership and commitment• 6.1.1 Actions to address risks and opportunities•

6.1.4 Risk associated with threats and opportunities• 6.1.5 Planning to take action• 10.2 Continual improvement

Clause summaries are presented in the following slides

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4.2 Understanding the needs and expectations of interestedparties

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4.2 Understanding the needs and expectations of interestedparties

• The organisation must determine its relevant stakeholders andtheir requirements, or expectations.

• This could be addressed by a form a of “risk register” • Another option is identification by process

• Linking existing processes with environmentalaspects/impacts and legal and other requirements.

•

Output should bedocumented

.

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• Top management’s involvement is transparent

• To ensure an efficient EMS and that it delivers results

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6.1.1 Actions to address risks and opportunities

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6.1.1 Actions to address risks and opportunities

• The outputs from its organizational context and the needs andexpectations of interested parties must be considered in theplanning of its EMS and any changes.

• For some organizations this could be quite a complex andmultidisciplinary process; but for small companies this couldbe fairly easy to do and link directly to objectives and targets.

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6.1.4 Risk associated with threats and opportunities

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6.1.4 Risk associated with threats and opportunities

• There should be some a process by which risk associated withthreats and opportunities is determined.

• This could be a simple qualitative process or a full quantitative

assessment depending on the organization (e.g. size,technological sector, maturity of the EMS).

• The results of the assessment should be used as the input toplanning to take action.

•

Risks associated with threats and opportunities may be relatedto significant environmental aspects, compliance obligations orissues created by external environmental conditions/internalcircumstances.

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10.2 Continual improvement

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10.2 Continual improvement

• This was always implicit ISO 14001 (and other managementsystem standards),

•It is now explicit with a focus on improving environmentalperformance

• Not just improvements in the management system

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New clauses

• 4.2 Understanding the needs and expectations of interested• 5.1 Leadership and commitment• 6.1.1 Actions to address risks and opportunities•

6.1.4 Risk associated with threats and opportunities• 6.1.5 Planning to take action• 10.2 Continual improvement

Clause summaries are presented in the following slides

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&source=images&cd=&cad=rja&uact=8&ved=0CAcQjRw&url=http://www.gettyimages.com/detail/illustration/illustration-of-bulb-sign-in-a-blue-circle-royalty-free-illustration/142029698&ei=pnxmVYfOH8TisAWw5IGABA&bvm=bv.93990622,d.aWw&psig=AFQjCNEQg0QuARZk0WQmvX989LIi0xywGQ&ust=1432866313721739

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Remember

An organization has the freedom and flexibility to define its boundaries.

However, scoping should not be used to exclude activities, products, services, or

facilities that have or can have significant environmental aspects, or to evade its

compliance obligations.

The words ‘appropriate’ and ‘applicable’ are not interchangeable. ‘Appropriate’

means suitable (for, to) and implies some degree of freedom, while ‘applicable’

means relevant or possible to apply and implies that if it can be done, it should be

done.

The word ‘consider ’ means it is necessary to think about but can be rejected;

and ‘take into account ’ means it is necessary to think about but cannot be

rejected.

The word ‘ensure’ means the responsibility can be delegated, but not the

accountability to make sure that it is performed. The word ‘retain documented information as evidence of ....’ to mean

records, and ‘maintain documented information’ to mean documentation

other than records (procedures, instructions, etc.)

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(ISO/FDIS 14001 Appendix A)

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&source=images&cd=&cad=rja&uact=8&ved=0CAcQjRw&url=http://www.gettyimages.com/detail/illustration/illustration-of-bulb-sign-in-a-blue-circle-royalty-free-illustration/142029698&ei=pnxmVYfOH8TisAWw5IGABA&bvm=bv.93990622,d.aWw&psig=AFQjCNEQg0QuARZk0WQmvX989LIi0xywGQ&ust=1432866313721739

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&source=images&cd=&cad=rja&uact=8&ved=0CAcQjRw&url=http://www.123rf.com/stock-photo/accent_sign_new.html&ei=hX1mVbOJGcyZsAXAr4CYCw&bvm=bv.93990622,d.aWw&psig=AFQjCNE2WWWJOFDAy4N0bJ8KuMeDab5u3w&ust=1432866508809964

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The Vital Changes

Understanding the context of the organization (4.1)

Focus on interested parties (4.2) “Risk -based thinking”

“Life-cycle” perspective (6.1.2 and 8.1)

Risks and opportunities replaces preventive action requirements (4.1 and 6.1)

More emphasis on Processes and Process approach

Leadership, rather than management (5)

No requirement for a “management representative”

More detailed requirements for Environmental objectives (6.2)

No explicit requirement for procedures or records. All are now under

Documented Information (7.5)

Correction is now clearly specified (10.1 a)

Strategic direction

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http://www.google.com/url?sa=i&rct=j&q=&esrc=s&source=images&cd=&cad=rja&uact=8&ved=0CAcQjRw&url=http://www.123rf.com/stock-photo/accent_sign_new.html&ei=hX1mVbOJGcyZsAXAr4CYCw&bvm=bv.93990622,d.aWw&psig=AFQjCNE2WWWJOFDAy4N0bJ8KuMeDab5u3w&ust=1432866508809964

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Transition Requirements

Transition requirements – Publication of the standard is expected in September 2015.

– After publication there will be a three year transition period for certified

organizations, which also is an indication that the changes are considered

substantial.

– It is recommended for organizations to start planning for the transition as earlyas possible. The final draft standard can be purchased from ISO and relevant

national bodies.

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