iso14001: what do the key changes mean for business and how should organisations demonstrate legal...
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YOUR HEADING HERE10.05.2011
ISO 14001: Revision of the International EMS standard ISO14001 – what does this mean for business? November 2015
Colleen Theron, Director, CLT envirolaw
Ian Edwards, Director, Havard Quality Solutions
Breakfast Briefing
Revision of the international EMS standard ISO 14001 – what does this mean for business?
Ian Edwards, Director5th November 2015
Hilton HotelBrighton
Introduction
•Who Am I?•What Do We Do?
Agenda• Annex SL• ISO 14001:2015• Approach• Structure• Key Changes.
Annex SL• New structure for all standards• Adopted for ALL new and revised Standards• Implementation of multiple standards –
simplification both initial implementation and ongoing maintenance
• Management System Auditors – simplification.
Annex SL/ISO Standards Structure
1. Scope2. Normative References3. Terms and Definitions4. Context of the Organisation5. Leadership6. Planning7. Support8. Operation9. Performance Evaluation10. Improvement.
ISO 14001:2015• Environmental Management System• Date of Release – 15/09/2015• Companies with Existing Certification – 3 year
timetable• “New” Companies – Grey Area
• Certification to 2004 standard still allowed for short period but Certification Bodies pushing towards the new standard
• ISO 14001:2004 relatively generic, ISO 14001:2015 greater applicability to organisations and their place in the “community”.
Approach• PDCA
•Plan • Develop and Design
•Do• Produce
•Check• Monitoring and Analysis
•Act• Improve
Process Approach
ActionINPUT OUTPUT
No requirement for processes to be in a written document. Only that the information is documented
PDCA
To Whom Does the Standard Apply?
• Large Businesses• Small and Medium-Sized Businesses• Industry/Manufacturing• Service Sectors• Government OrganisationsIn Short• ALL TYPES OF ORGANISATIONS.
Structure of the Standard
• Annexe SL1. Scope2. Normative References3. Terms and Definitions4. Context of the Organisation5. Leadership6. Planning7. Support8. Operation9. Performance Evaluation10. Improvement.
Key Changes – General Comments
• More conceptual than previous (2004) version• Holistic approach the EMS• Broader strategic consideration for the organisation’s
environmental context (including interested parties)• Commitment to sustainable development• Less emphasis of on Documented Processes more emphasis on
Documented Information• Greater emphasis on Leadership and Top Management
Involvement• Influence in the supply chain• Risk-Based Approach.
Key Changes• Understanding the Context of the organisation
• Determine the scope of the organisations EMS (including the boundaries)• Determine external and internal issues that are relevant to the
organisation, its purpose and how they may affect its intended outcomes• Understand the needs and expectations of interested parties
• Interested Parties – any individual or group that have an interest in the services/products of the organisation. Can include:
• Employees• Customers• Competitors• General Public• Regulatory Bodies• Investors• Shareholders
Key Changes• Leadership
• Enhanced Commitment Required• Greater expectation for Top Management to understand
and address the organisation's environmental issues• Provide Adequate Resources• Greater emphasis on Top Management accountability
and planning• Establish/Implement/Maintain Environment Policy• Assigning Roles and Responsibilities
Key Changes• Documentation
• Shift in emphasis• No requirement for documented procedures• Greater emphasis for documented knowledge• Don’t throw away your documents! You can still use them!!
• Planning• Greater emphasis on planning to address:
• Risks• Opportunities• Interested Parties requirements• Environmental Aspects• More Joined Up Thinking!
Key Changes• Control of Documented Information, as required by
the standard and the organisation• Greater emphasis on Monitoring, Analysis and
Evaluation• Performance Indicators• No longer requirement for Preventive Actions –
Risk-based Approach!
Track Performance• Ensure that environmental objectives are aligned
with Top Management Commitments and the Environmental Policy
• Selection of Performance Indicators to monitor/measure/analyse objectives
PDCA
4.1 external
4.2 needs
Plan
Check
Act
Do6.
Planning5.
Leadership
10. Improvement
9.Performance evaluations
7/8 Support & operation
Challenges• How to interpret new requirements of the standard• How to get more business value out of EMS• Align EMS with business drivers• Implementation of new standard
What Should I do?• Start planning • Consider Training Requirements at all Levels
• Internal auditors/ Top Management/ Intermediate Management
• Embrace Key Changes to the Way Business Operates:• Interested Parties• Risk and Opportunities• Changes to Procurement
• Undertake a Gap Analysis• Contact Us
Contact Details
Ian EdwardsConsultant – Quality and Environmental Management SystemsTelephone: (07852) 924237Email: [email protected]
Thank YouIan Edwards
Colleen Theron07852 924237
YOUR HEADING HERE10.05.2011
ISO 14001 Revision: what do the changes mean for business? A focus on Compliance Obligations
Colleen Theron, Director, CLTenvirolaw
November 2015
Some of our clients
Three key takeaways
1. Understand the difference between old and new standard in relation to legal aspects
2. Consider how you evaluate your compliance obligations
3. Make a note of 2 actions to take away with you
Key Legal Requirements – ISO14001• Identify and have access to compliance obligations• Understand when the needs of expected parties
become its compliance obligations• Establish systematic processes• Consider the risk associated with compliance
obligations• Establish operational controls• Publicly commit to upholding a legal requirement• Identify and fulfill relevant compliance obligations
Scope and scale of new requirements
• Extended scope and scale• On-going compliance required as part of key strategic
requirement of business• Not constrained to an annual compliance check• Impact on material supply chains, service and
product design
New Definition
• `Compliance Obligations’ • Replaces the phase ‘legal requirements and other
requirements’• Standards says that the INTENT of new phrase is not
different
What are compliance obligations?
• Arise from Mandatory requirements– Applicable laws, regulations, contractual
requirements• Other requirements
– Codes of practice – Trade association agreements – Industry standards
6. PlanningExisting Standard• 4.3.2. Legal and other requirements• The organisation shall establish, implement
and maintain a procedure (s)• To identify and have access to the applicable
legal requirements and other requirements to which the organisation subscribes related to its environmental aspects and
• To determine how these requirements apply to its environmental aspects
• The organisation shall ensure that these applicable legal requirements and other requirements to which the organisation subscribes are taken into account in establishing, implementing and maintaining its environmental management system.
New Standard• 6.1.3 Compliance Obligations• The organisation shall:• Determine and have access to the
compliance obligations related to its environmental aspects
• Determine how these compliance obligations apply to the organisation
• Take these compliance into account when establishing the EMS
• The organisation shall maintain documented information of its compliance obligations
Planning • Compliance obligations section directly linked to risk
associated with threats and opportunities in 6.1.4• Risk required to be determined with associated
threats and opportunities Give assurance that the EMS can achieve outcomes Prevent or reduce undesired effects Achieve continual improvement• Compliance obligations are also linked to
documented information in 7.5
Actions • Actions are required to address risks and compliance
obligations (6.2)• Actions must be integrated and implemented into
the EMS processes and the effectiveness of the actions evaluated (non conformities A10.2)
7.5 Documented Information • Definition (3.7)
– Information required to be controlled and maintained by an organisation (3.1) and the medium on which it is contained
• Necessary for the effectiveness of the EMS • Will vary in content and extent depending on organisation• Must be appropriate• Must be updated, reviewed and approved for suitability and adequacy• Must be available and protected and controlled• Necessary external documents must also be controlled in the system• E.g. Legal Registers, compliance audits, management plans to address
compliance obligations etc.
9. Performance Evaluation
• Compliance obligations need to be monitored and measured
• The methods for monitoring measurement analysis and evaluation must be specified to ensure valid results, including timing of such monitoring, measurement and evaluation
• The results must be documented
9.1.2 Evaluation of Compliance
Existing Standard• 4.5.2.Evaluation of compliance• 4.5.2.1. Consistent with its commitment to
compliance the organisation shall establish, implement and maintain a procedure (s) for periodically evaluating compliance with applicable legal requirements
• The organisation shall keep records of the results of the periodic evaluations
• 4.5.2.2. The organisation shall evaluate compliance with other requirements to which it subscribes
• The organisation may wish to combine this evaluation with the evaluation of legal compliance referred to in 4.5.2.1. Or to establish a separate procedure (s)
• The organisation shall keep records of the results of the periodic evaluations
New Standard
• 9.1.2 evaluation of Compliance• The organisation shall establish, implement and
maintain the process(es) needed to evaluate fulfillment of its compliance obligations
• The organisation shall:– Determine the frequency that compliance
will be evaluated– Evaluate compliance and take action if
needed• Maintain knowledge and understanding of its
status of conforming with compliance obligations • The organisation shall retain documented
information as evidence of the compliance evaluation results (s)
Demonstrating Environmental compliance
• Revised text requires; Evaluation of compliance at pre-determined
frequencies Take any necessary action to address non compliance Maintain knowledge and understanding of its
compliance status
9.2 Internal Audit • Internal audit
– Does the EMS conforms to the standard? – the CO’s own requirements – and is effectively implemented and maintained
• The audits take into account the risks associated with threats and opportunities as well as the results of previous audits (includes compliance audits)
• Audit programme and audit results to be retained as documented information and required to assist with management review
• Compliance issues are integrated into the entire management process
9.3 Management Review
• Consider changes in compliance obligations and risks associated with threats and opportunities
• Trends in fulfillment of compliance obligations• All to contribute towards continual improvement
(10.2) to enhance environmental performance • Consider what training they require
A new model
Legislation
Emerging issues and
key contracts
Best Practice
- Tick-box - Compliance - Risk-lead
- Strategy - Reputation - Opportunity - lead
