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Environmental & Safety

Management Systems

Kimberly Torbett & Barbara Bijelić

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• An internal HSMS audit finding with regard to inadequate records of inspections of overhead cranes was written. The issue was not adequately addressed and within a year, OSHA came in, issuing citations and fines.

Health and safety minute

Agenda

• What is ISO 14001:2015?

• What is the schedule for conformance?

• Overview of ISO 14001:2015 standard changes

• Focus on key changes

• Preparing for change

• What is ISO 45001?

• What is the revision timeline?

• What changes can we expect?

• Questions2/25/2015 4

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• What is ISO 14001:2015

What is ISO 14001?

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1. Developed by the International Organization for

Standardization (ISO) that covers Environmental

Management.

2. First issued in 1996, with a minor revision in 2004. A

major revision ISO 14001:2015 was published

September 15,2015.

3. Separate from ISO 9001 (Quality) and OHSAS 18001

(Health and Safety).

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What does EMS mean?

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1. A company, facility, or municipality (organization) must develop an

Environmental Management System (EMS) to address the ISO 14001

Standard.

2. The organization must demonstrate that their EMS has all of the

elements in place that are identified in the ISO 14001 Standard.

3. Once the EMS is developed, the organization can do one of the

following:

a. either self certify to the ISO 14001 standard

b. go through the third party certification process which consists of a

three year cycle beginning with a certification audit followed by two

consecutive surveillance audits.

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• ISO 14001:2015• Schedule for conformance

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ISO 14001:2015 Revision

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Timeline

Date Activity Result

September 15, 2015 ISO 14001:2015 published.Holders of current certificates have three years to transition their EMS to the new standard, according to the International Organization for Standardization (ISO).

2015-2018 Modify EMS to meet new standard. EMS meets new standard no later than 2018.

September 15, 2018Certification and surveillance audits will conform to ISO 14001:2015.

Certificates issued to ISO 14001:2015.

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• Overview of ISO 14001:2015 standard changes

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Plan-Do-Check-Act (PDCA) changes to ISO

14001

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2004 2015

The Evolution of ISO 14001

Management System

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Key Changes

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1. Terminology has been changed – there are 19 new definitions and many

definitions have been modified as well.

2. High Level Structure: The standard has been renumbered which is now

required for all ISO management systems. This makes it easier to integrate

management systems – Environmental, Quality, Energy, Safety, etc.

3. Context of the Organization: The organization must understand the high-level

important issues that can affect (positive or negative) the way it manages

environmental responsibilities.

4. Scope: The Scope of the EMS must be expanded to include outsourced

processes or functions. (They must determine if they have work done off site that is

covered under the EMS – example – send a part off-site to have it coated which

then comes back to the site to be assembled into a piece of equipment – the site

has to decide if the coating process is covered under the EMS.)

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Key Changes

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5. Leadership and Strategic Planning: There is a greater focus on two-way involvement

by leadership within the organization’s strategic planning process. Essentially – sites

will have to include environmental in their annual planning process and be able to show

how they include it.

6. Risks and Opportunities need to be determined and addressed.

7. Life Cycle perspective is now required in the organization’s review of environmental

aspects. (Aspect – how the company affects the environment both positively and

negatively – air, water, waste, noise, odor, visual, natural resources).

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Key Changes

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8. Environmental performance is a clearer core

requirement. Reporting to top management must include

improvements in environmental performance and not just

improvements in the EMS. Previously – top management

had to receive updates on improvements to the EMS during

the required ‘Management Review’ – Now they ‘must’

receive updates on their environmental performance as

well.

9. Documentation requirements have changed. The term

“documented information” includes both records and

documents.

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• ISO 14001:2015• Focus on key changes

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Focus on the Key Changes to ISO 14001

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1. Terminology

2. High Level Structure

3. Context of the Organization

4. Scope

5. Leadership and Strategic Planning

6. Risks and Opportunities

7. Life Cycle Perspective

8. Environmental Performance

9. Documentation Requirements

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Context includes external and internal issues that are relevant to the organizations purpose and affect its ability to achieve the desired outcome of its EMS.

• Issues shall include environmental conditions being affected by or capable of affecting the organization.

• Determine key internal and external issues that impact its EMS at a strategic level

• Understand environmental conditions that are affected by the organization, or that can affect the organization (+ or -).

• This context is then used to provide a framework for evaluating risk associated with threats and opportunities.

Context of the Organization

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Context of the OrganizationExamples of external and internal issues that could affect the organization’s abilityto achieve the intended outcome(s) of its EMS include:

1. Environmental conditions that can affect the organization’s operations (external issue) or that can be affected by its environmental aspects (internal issue).

2. External cultural, social, political, legal, regulatory, financial, technological, or economic issues at the local, regional, national or international level.

3. Internal characteristics of the organization, such as activities, products and services, strategic direction and culture.

4. Reduced availability of high quality raw materials, whether due to scarcity or political considerations (external issues), could result in greater use of chemicals (internal issue) to process lower-quality raw materials to obtain needed parameters.

5. How do greenhouse gas emissions from the facility affect climate change (internal issue)? How might changes in climate affect the organization (external issue)? Will facilities need to be relocated? How will operations and logistics be affected?

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Scope has been completely revised

ISO 14001:2004 scope specifies these requirements

ISO 14001:2015 scope specifies these requirements

Develop a policy and objectives that take into account legal and other requirements as well as significant aspects.

Manage environmental responsibilities in a systematic manner that contributes to the environmental pillar of sustainability.

Intended outcomes of the EMS, which provide value for the environment, organization, and interested parties include:

• enhancement of environmental performance;

• fulfillment of compliance obligations; and

• achievement of environmental objectives.

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ScopeDetermine the scope of the EMS, considering:

• external and internal issues identified during the determination of the context of the organization;

• compliance obligations (formerly legal and other requirements);

• organizational unit(s), function(s), and physical boundaries;

• activities, products, and services; and

• authority and ability to exercise control and influence over activities, products and services considering a life cycle perspective.

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Leadership and Strategic Planning

There is a greater focus on two-way involvement by leadership within the organization’s strategic planning process. LEADERSHIP

STRATEGIC PLANNING PROCESS

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Top Management is now defined:

A “person or group of people who directs and controls an organization at the highest level” and has the power to delegate authority and provide resources within the organization.

Leadership and commitment is new and more clearly specifies nine (9) key actions that top management is personally involved with, to demonstrate leadership and commitment to the EMS.

Leadership and Strategic Planning

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Top management can delegate responsibility, but must take accountability for ensuring the actions are performed, that the EMS is effective, and that the EMS is integrated into the organization’s business processes.

Top management must also ensure that the environmental policy and objectives are established, and compatible with the strategic direction and context of the organization.

The environmental policy shall be maintained as documented information, communicated within the organization, and be available to interested parties.

Leadership and Strategic Planning

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The new standard requires top management to

assign the responsibility and authority for

(1) ensuring the EMS conforms to the

requirements of the standard, and

(2) reporting on the performance of the EMS,

including environmental performance, to top

management.

The responsibilities may now be assigned to one

person (such as an environmental management

representative [EMR]), several persons, or a

member of top management.

Leadership and Strategic Planning

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No requirement for formal risk management or documented risk management process.

Determination method can be qualitative or quantitative.

Identified risks and opportunities are inputs for planning actions and establishing environmental objectives.

Risks and Opportunities

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Can be related to:• Environmental aspects• Adverse environmental impacts• Beneficial environmental impacts• Other effects on the organization

Can be determined as part of significance evaluation or separately

Compliance obligations• Failing to comply (can damage reputation or result in legal action)• Perform beyond compliance obligations (can enhance reputation)

Risks and Opportunities

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Other issues or other needs and expectations of interested parties

Can affect ability to achieve intended outcomes of EMS

Examples:• Spillage due to literacy or language barriers by workers who cannot understand procedures

• Increased flooding due to climate change that could affect site location

• Lack of resources to maintain EMS due to economic constraints

• Introduction of new technology financed by government grants which could improve air quality

• Water scarcity during drought that could affect ability to operate emission control equipment

For emergency situations consider• Nature of onsite hazards

• Most likely type and scale of emergency situation

• Potential for emergencies at nearby facility (plant, road, RR)

Risks and Opportunities

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Life Cycle PerspectiveLife Cycle perspective is now required in the organization’s review of environmental aspects.

• Does not require detailed life cycle assessment

• Take into consideration during aspect determination/review

• Stages that can be controlled or influenced by organization is sufficient

• Typical stages of product or service

• Raw material acquisition

• Design

• Production

• Transportation/delivery

• Use

• End of life treatment

• Final disposal

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Environmental performance is a clearer core requirement. Reporting to top management must include improvements in environmental performance and not just improvements in the EMS. Demonstration of compliance with relevant legal requirements is required at all times.

Environmental Performance

The revised standard requires the organization to monitor, measure, analyze and evaluate its environmental performance and evaluate the effectiveness of the EMS.

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The organization must now communicate information relevant to its environmental performance both internally and externally, as determined by its communication process and as required by compliance obligations.

The organization shall establish, implement and maintain processes needed to evaluate fulfillment of its compliance obligations. The revised standard requires the organization to:• determine the frequency that compliance will be

evaluated, • evaluate compliance and take action if needed, and• maintain knowledge and understanding of its

compliance status.

Documented information shall be retained as evidence of compliance evaluation results.

Environmental Performance

Plan

ImproveMeasure

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Management review inputs are similar to those in the current standard.

In addition to reviewing status of actions from previous management reviews, and the extent to which environmental objectives have been achieved, management review must also include:• review of changes in external and internal issues relevant to the EMS; needs and

expectations of interested parties, including compliance obligations; significant environmental aspects; and risks and opportunities

• information on environmental performance, including trends in: nonconformities and corrective actions; monitoring and measurement results; fulfillment of compliance obligations; and audit results.

• review of the adequacy of resources required for maintaining an effective EMS; relevant communications from interested parties, including complaints; and opportunities for continual improvement.

Environmental Performance

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Outputs of the management review include:• conclusions on continuing suitability, adequacy and effectiveness of the EMS;• decisions related to continual improvement opportunities;• decisions related to need for changes to the EMS, including resources;• actions if needed when environmental objectives have not been achieved;• opportunities to improve integration of the EMS with other business processes, if

needed; and• implications for the strategic direction of the organization.

Environmental Performance

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• ISO 14001:2015• Preparing for change

ISO 14001:2015 Preparing for Change

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1. The final standard was published September 15, 2015.

2. Currently-certified organizations will have 3 years to meet

the new requirements.

3. Companies need to review their EMS and determine how

to incorporate revised or new EMS requirements.

4. Reviewing the 14001:2015 standard against current

EMS procedures to identify gaps, possibly during regularly

scheduled EMS team and management meetings.

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5. Engage top management to review the new specific responsibilities for those with

leadership roles.

6. Identify training needs for internal auditors and personnel involved in transitioning the

EMS.

7. Provide training to internal auditors and personnel involved in transitioning the EMS.

ISO 14001:2015 Preparing for Change

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Companies that are preparing for certification can

currently be certified to the ISO 14001:2004 or ISO

14001:2015 standards. Companies developing a

new system should work toward certification to the

ISO 14001:2015 standard.

ISO 14001:2015 Preparing for Change

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• What is ISO 45001?

What is ISO 45001?

1. ISO 45001 is a standard that is under

development by the International

Organization for Standardization (ISO) that

covers Health and Safety Management.

2. ISO 45001 is slated to replace OHSAS

18001 when the final standard is

published.

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• ISO 45001• Revision Timeline

ISO 45001Revision

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Timeline

Date Activity Result

October 2016

(planned)ISO 45001:2016 scheduled to be published.

Holders of current certificates will likely have three years to transition their SMS to the new standard, according to the International Organization for Standardization (ISO).

2016-2019 Modify SMS to meet new standard. SMS meets new standard no later than 2019.

2019Certification and surveillance audits will conform to ISO 45001:2016.

Certificates issued to ISO 45001:2016.

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• ISO 45001• Expected changes

Expected Changes

1. High Level Structure: The standard will be

renumbered which is now required for all ISO

management systems. This makes it easier to

integrate management systems – Environmental,

Quality, Energy, Safety, etc.

2. Context of the Organization: The organization

will have to look beyond their own health and

safety concerns and consider outside influences

and expectations.

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3. Leadership: Health and safety will have

to be incorporated into the overall

management system of the organization.

H&S performance will have to be

considered in the strategic planning

process.

4. HIRAC: The focus will shift to identifying

and controlling risks, rather than hazards.

Expected Changes

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5. Operational Control: The manner in which suppliers and contractors manage their risks

will have to be taken into account.

6. Terminology will be changed – there will be a number of new definitions and several

definitions will likely be modified as well.

7. Documentation requirements will change. The term “documented information”

includes both records and documents.

Expected Changes

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PDCA Changes in ISO 45001

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Questions

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Kimberly TorbettManagement Systems LeadBrown and Caldwell | Milwaukee, WIT 414.203.2915 | C 414.915.8740

Barbara BijelićPrincipal EngineerBrown and Caldwell | Milwaukee, WIT 414.203.2908 | C 414.736.4415