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ISO 14001:2015 Changes and challenges

Dick Hortensius | NEN Management Systems

31 March & 1 April 2016

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Overview of presentation

Background of the revision:

• The High Level Structure for ISO MSS and the plug-in model for integration

The major changes in ISO 14001:2015

• Related to the introduction of the HLS

• Related to the recommendations of the Future Challenges study group

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ISO 9001:2008

Quality management

ISO 14001:2004 Environmental management

OHSAS 18001

OHS management

ISO 50001

energy management

ISO 30301

Records

management ISO 22000

Food safety

ISO 27001 Information

security

BS 25999 Business

Continuity

BSI PAS 55 Asset management

ISO 28000 Supply chain

security

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New approach: two advisory groups

SAG MSS: strategic advisory group, users of MSS, future of management system standards

JTCG: practical coordination, representatives of ISO/TC/PC/SC, alignment of management system standards

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Shortcomings of ISO MS(S) according to the SAG MSS

Architecture of the standards:

• Lack of a common model/framework

• Too many separate standards, no incentives to integrate

Implementation

Little integrated application of MSS

Insufficient links to ‘business risks’

Relationship with corporate governance

Not embedded in the governance of organizations

No integral risk management

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Generic

core with

basic requirements

for a

management-

system

Environment

quality

OH&S

Other Safety

Flowermodel Van NEN

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HLS Core elements

and requirements

Quality management

Environmental management

OH&S management

Ge

ne

ric

stan

dar

ds

Sector standards

TC 1

69

49

ISO 2

90

01

Examples: • Automotive • Medical devices • Oil and Gas industry

Generic guidelines

ISO

19

60

0

ISO

31

00

0

ISO

26

00

0 Examples:

• Risk management • Social Responsibility • Compliance management

Examples: • Auditing • Documentation

Spe

cific guid

elin

es

ISO 19011

Plug-in model for ISO MSS

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MSS CORE ELEMENTS

The core of the ‘plug-in’ model requires for MSS:

• Same structure (HLS))

• Identical terms and definitions

• Common basic requirements

Core of the ‘plug in model’

JTCG

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Draft ISO Guide 83 Annex SL text

High level structure and identical text for MSS and common core MS terms and definitions

4. Context of the organization

5. Leadership

6. Planning

7. Support

8. Operation

9. Performance evaluation

10. Improvement

• Resources • Competence • Awareness • Communication • Documented information

• Monitoring, measurement, analysis and evaluation

• Internal audit • Management review

• The organization and its context (issues/risks)

• Needs and expectations of interested parties

• Scope of MS

• Leadership and commitment • Policy • Organizational roles,

responsibilities and authorities • Actions to address risks and opportunities

• Objectives and plans to achieve them

• Nonconformity and corrective action

• Continual improvement

• Operational planning and control

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Core elements Plug-in model High Level Structure

HLS Clauses

Context of the organization

Leadership

Planning

Resources

Operation

Evaluation of performance

Improvement

Management processes

Leadership

Stakeholder management

Risk management

Compliance management

Process management

Improvement management

(human) resources and support

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High level structure and identical text for MSS and common core MS terms and definitions

Management processes

Seven generic management processes:

1. Leadership

2. Stakeholder management

3. Risk management

4. Compliance management

5. Process management

6. Improvement management

7. (Human) resources management

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Connecting HLS clauses and generic management processes (vertical linkages)

Context of the organisation

Leadership

Support

Operation

Evaluation of performance

Planning

Improvement

4 Context of the

organization

Leadership

7.1 resources

9.3 Management

Review

5 Leadership

10.2 improvement

Stakeholder management

4.2 Stakeholders

needs and expectations

7.4 Communication

9.3 Management

Review

Risk management

4.1 Internal and external issues

6.1 Risks and opportunities

8 Risk control

9.1 monitoring of control

10.1 correction, corrective action

Compliance management

4.2 stakeholders,

needs and expectations

6.1 addressing requirements in

planning

8.1 Process control

9.1 monitoring of compliance

10.1 correction, corrective action

Process management

8.1 Operational

control

6.2 objectives/ planning

7.1/7.2 resources,

competencies

9.1 Monitoring, measuring

5.1 Integration system in business

processes

10.1 correction, corrective acion

Improvement

management

5.2 Policy

6.2 Objectives

7.1 Resources

9.1, 9.2, 9.3 Evaluatie prestaties

10.1, 10.2 Corrective

actions and improvement

Support, (human)

resources

4.4 Management

system

5.3 Structure, roles,

responsibities

7 Support

Themes HLS

Management of Change

Changes In the context

Monitoring, auditing

Control of changes

Planning of changes

resources, competencies, communication documentation

Responsibilities, authorities for

MoC

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4 Understanding the context

What is happening what are the trends?

Who are we effecting? Who are affecting us? Who do we need to consider?

4.1 Issues (factors)

4.2 stakeholders

6.1 Risk management

6.1 compliance management A

nalysis, p

rioritizatio

n

What are the requirements, needs and expectations? What are our compliance obligations?

From context analysis to operational control

Strategic assessment

What are the risks (threats/opportunities)?

8 Operational control 9 Monitoring

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Two management levels in the HLS

4.1/4.2 context analysis

4.3/4.4 system

5.1 leader ship

5.2 policy

9.3 manage-

ment review

6.1 addressing risks and

opportunites

6.2 objectives and planning

8 Operation 9 Evaluation of performance/ internal audit

10 Corrective action and

improvement

Strategic level “doing the right things”

Operational level “doing the things right”

5.3 structure

7 support

Supporting elements

Operational

Risk assessment

External/internal issues and

developments

Stakeholders, needs and

expectations

strategic analysis

PDCA

PDCA

Operational

controls

Inp

ut re

vie

w

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6.1 aanpakken

van risico’s en kansen

6.2 doelstellingen en

planning

8 Uitvoering 7 support

9 Evaluatie van prestaties/

interne audit

10 Corrigerende

acties en verbetering

‘Doing the right things’ Mission and strategy

‘Doing the things right’ Operational excellence

PDCA

PDCA

Link strategy and

operation

HLS Leadership

Risk management

Compliance management

Humans & resources

Process management

Stakeholder management

The contribution of SHEQ to corporate governance

4.1/4.2 context analyse

4.3/4.4 systeem

5.1 leider schap

5.2 beleid 5.3 structuur

9.3 manage-

ment review

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Companies:

• ISO management systems become part of the corporate governance

• Integration and expansion of systems becomes easier

• Assists in dealing with current and future societal challenges

Stakeholders:

• Interests (issues and requirements) are taken into account in managing the organization

Importance HLS/plug-in model

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For certification:

• Makes combined audits and modular approach to certificates easier

• Better focus on assessing new modules?

• Easier (ex)change of CB’s?

For governmental supervision/inspection:

• Risk management and compliance management are an integral part of (certified) management systems

Importance HLS/plug-in model

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ISO 9001

kwaliteitsmanagement

ISO 14001

milieumanagement

OHSAS 18001

arbomanagement

ISO 50001

energy management

ISO 30301

Records

management HACCP/ISO 22000

Food safety

ISO 27001 Information

security

ISO 22301 Business

Continuity

PAS 55/ISO 55001 Asset management

ISO 28000 Supply chain

security

Guide 83

HLS

ISO 14001

ISO 9001

OHSAS

18001

ISO 50001 ISO 22000

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Revision ISO 14001 Two challenges

How to apply the ‘high level structure’ to the new edition of ISO 14001?

How to cope with the reccomendations of the ‘Future challenges’ study group?

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Established in 2008; convenership: NEN

Identification and assessment of new trends and developments in the application of EMS since the publication of ISO 14001 in 1996 en 2004

Issues amongst others:

• Relationship with CSR/sustainability and strategic management

• Compliance with legislation and regulatory requirements

• Improvement of environmental performance

• Value chain management (life cycle)

• External communication

“Future challenges” study group

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Related to application of HLS

• Structure of the standard

• Systems approach and documentation requirements

• Context analysis and explicit risk-based thinking

• Leadership

Related to the FC recommendations

• Life cycle approach

• Communication

• Monitoring with KPI

• Evaluation of compliance - compliance status

• Continual improvement of environmental performance

Revision ISO 14001 Two types of changes

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New structure of 14001:2015 (I)

ISO 14001:2015 ISO 14001:2004

1 Scope 1 Scope

2 Normative references 2 Normative references

3 Terms and definitions 3 Terms and definitions

4 Context of the organization 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 EMS 4.4 The environmental management system

4.1 General requirements

5 Leadership 5.1 Leadership and commitment 5.2 Environmental policy 5.3 Organizational roles, responsibilities and authorities

4.2 Environmental policy 4.4.1 Resource, roles, responsibility and authority

6 Planning 6.1 Actions to address risk and opportunities (6.1.1 general/6.1.2 environmental aspects/6.1.3 compliance obligations/6.1.4 planning actions) 6.2 Environmental objectives and planning to achieve them (6.2.1 environmental objectives/6.2.2 planning actions to

achieve environmental objectives)

4.3 Planning 4.3.1 Environmental aspects 4.3.2 Legal and other requirements 4.3.3 Objectives, targets and programmes

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New structure of 14001:2015 (II)

ISO 14001:2015 ISO 14001:2004

7 Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication (7.4.1 General/7.4.2 Internal communication/ 7.4.3 External communication 7.5 Documented information (7.5.1 General/7.5.2 Creating and updating/7.5.3 Control of documented information)

(4.4 Implementation and operation) 4.4.2 Competence, training and awareness 4.4.3 Communication 4.5.4 Documentation 4.5.4 Control of records

8 Operation 8.1 Operational planning and control (including the life cycle perspective) 8.2 Emergency preparedness

4.4 Implementaton and operation 4.4.6 Operational control 4.4.7 Emergency preparedness

9 Evaluation of performance 9.1 Monitoring, measuring, analysis and evaluation (9.1.1 general/9.1.2 evaluation of compliance) 9.2 Internal audit

(9.2.1 general/9.2.2 Internal audit programme) 9.3 Management review

4.5 Control 4.5.1 Monitoring and measuring 4.5.2 Evaluation of compliance 4.5.5 Internal audit 4.6 Management review

10 Improvement 10.1 General 10.2 Nonconformity and corrective action 10.3 Continual improvement

4.5.3 Nonconformity, corrective action and preventive action

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Systems approach of ISO 14001

2004 edition:

15 procedures

• 14 ‘system procedures’ (documentation not required)

• X ‘operational procedures’ (4.4.6) (documented when necessary)

Documents and registrations

2015 edition:

No procedures required

• More use of ‘direct requirements’: The organization shall determine, identify, conduct, establish….

• Sometimes ‘establish, implement and maintain a process’

Documented information (maintain, retain)

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“The policy shall be maintained as documented information” (a document)

“The organization shall maintain documented information to the extent necessary to have confidence that the process is carried out as planned” (can be a procedure)

“The organization shall retain appropriate documented information as evidence of monitoring, measurement,

analysis and evaluation” (a record)

Documented information 3 types of documents

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In many cases documentation is not (explicitly) required:

“The organization shall determine external and internal issues..…”

“Top management shall ensure that responsibilities and authorities for relevant roles are assigned and communicated …”

“The organization shall plan how to evaluate the effectiveness of these actions ...”

Documented information to be determined by the organization

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Procedures processes

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New processes

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Context analysis (4.1)

4.1 Understanding the organization and its context

Determine internal and external issues that:

are relevant to the purpose of the organization and

Affect the ability to achieve the intended outcomes of the EMS

This includes environmental conditions that are affected by the organization and vice versa

Intended outcomes of the EMS (see scope):

Improvement of environmental performance

Fulfilment of compliance obligations

Achievement of environmental objectives

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A.4.1

Examples of issues:

• Environmental conditions related to climate, air quality, water quality, land use, natural resource availability and biodiversity

• external cultural, social, political, regulatory, financial, technological, economic, natural and competitive circumstances

• internal characteristics or conditions of the organization, such as its activities, products and services, strategic direction, culture and capabilities (people, knowledge, systems)

Context analysis (4.1)

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4.2 Understanding the needs and expectations of interested parties

The organization shall determine:

• Interested parties relevant to the EMS

• The relevants needs and expectations (the “requirements”) of these interested parties

• Which of these needs and expectations become compliance obligations of the organization

General understanding in 4.2; detailed analysis in 6.1

Context analysis (4.2)

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Examples of interested parties (3.1.6)

• customers,

• communities,

• suppliers,

• regulators,

• non-governmental organizations,

• investors and

• employees

Context analysis (4.2)

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4 Context analysis

What is happening?

What are the trends

and developments?

Who are we effecting?

Who are affecting us?

Who do we need to consider?

Issues/factors (4.1)

Stakeholders (4.2)

Risk management 6-10

Compliance management 6-10

What are the requirements, needs and

expectations?

What are our compliance obligations?

What are the risks and opportunities)?

Operational control 8.1

Emergency preparedness 8.2

From context analysis to operational control in ISO 14001:2015

Linkages with environment aspects, processes,

products and services (6.1)

Linkages with environment aspects, processes,

products and services (6.1)

An

aly

sis

, prio

ritizatio

n

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6.1 actions to address risks and opportunities

6.1.1 general determination of risks and opportunities related to significant environmental aspects, compliance obligations and other issues (4.1/4.2) that need to be addressed to achieve the intended outcomes of the EMS , to prevent negative effects and to achieve continual improvement

6.1.2 Significant environmental aspects Identification and evaluation of environmental aspects significant environmental aspects can result in risks and opportunities

6.1.3 Compliance obligations Identification of compliance obligations and determination of how these apply to the organizations (activities, products, services, assets, environmental aspects) compliance obligations can result in risks and opportunities

6.1.4 Planning action

Planning of actions to address risks and opportunities, significant environmental aspects, compliance obligations, how to integrate these actions in the EMS and how to evaluate the effectiveness of these actions

Planning

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Environmental aspects (4.3.1)

Significant environmental aspects

Legal and other requirements (4.3.2)

Objectives/ targets (4.3.3)

criteria

criteria

Operational control (4.4.6)

ISO 14001:2004 ISO 14001:2015

Environmental Aspects (6.1.2)

Significant environmental aspects

Compliance obligations (6.1.3)

Planning actions (6.1.4)

criteria

Operational control (8.1)

criteria

Risks and opportunities

(6.1.1)

Context analysis (4)

Policy

Objectives (6.2)

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Context: issues, (changing) circumstances, stakeholders, requirements, needs,

expectations

Environmental aspects

Signicifant environmental

aspects

6.1.2

Risks and opportunities in ISO 14001

4.1/4.2

Compliance

obligations 6.1.3

Risks and opportunities 6.1.1

• Regulatory energy scan; resulting in required measures

• Carbon footprint information

• Requirements of the CO2 performance certificate • CO2 emissions

• Energy use

• Climate change • Decarbonization of

economy • Clients require

information on carbonfootprint

• Prorail requires CO2 performance certificate

• Governmental requirements

Risks: • Environmental pollution • Non-compliances • Loss of clients • Own policy is not achieved, loss of image Opportunities: • Improving the environment, sustainable

products • Increasing market share • Cost savings

• x % reduction of energy use

• Enhance share of energy from renewable resources

• New technologies • Enhance awareness

of employees

• Energy savings in operation of processes

Planning of

actions

Establishing

objectives Operational control

6.1.4

6.2

8.1 Resources/competencies 7.1/7.2 Monitoring 9.3

• Installation of smart meters

• Monitoring energy use

• Monitoring CO2 emissions

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Leadership (I)

5.1 Leadership and commitment

Top management shall demonstrate leadership and commitment with respect to the environmental management system by:

taking accountability for the effectiveness of the environmental

management system;

ensuring that the environmental policy and environmental

objectives are established and are compatible with the strategic

direction of the organization;

ensuring the integration of the environmental management system

requirements into the organization’s business processes;

ensuring that the resources needed for the environmental

management system are available;

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communicating the importance of effective environmental

management and of conforming to the environmental management

system requirements;

ensuring that the environmental management system achieves its

intended outcomes;

directing and supporting persons to contribute to the effectiveness

of the environmental management system;

promoting continual improvement;

supporting other relevant management roles to demonstrate their

leadership as it applies to their areas of responsibility.

Leadership (II)

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Life cycle (3.3.3):

consecutive and interlinked stages of a product (or service) system, from raw material acquisition or generation from natural resources to final disposal

Scope (1):

This International Standard…..is applicable to the environmental aspects that the organization determines it can either control or influence considering a life cycle pespective

Life cycle perspective (I)

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Environmental aspects (6.1.2):

The organization shall determine the environmental aspects of its activities, products and services that it control and those that it can influence ........ considering a life cycle perspective.

Life cycle perspective (II)

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Operational planning and control (8.1)

Consistent with a life cycle perspective, the organization shall:

a) establish controls, as appropriate, to ensure that its environmental requirement(s) is (are) addressed in the design and development process for the product or service, considering each life cycle stage;

b) determine its environmental requirement(s) for the procurement of products and services, as appropriate;

c) communicate its relevant environmental requirement(s) to external providers, including contractors;

d) consider the need to provide information about potential significant environmental impacts associated with the transportation or delivery, use, end-of-life treatment and final disposal of its products and services.

Life cycle perspective (III)

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3.2.9 Compliance obligation (preferred term):

Legal and other requirements (admitted term)

legal requirements that an organization has to cmply with and other requirements that an organization has to or chooses to comply with (source: ISO 19600)

Understanding the needs and expectations of interested parties (4.2):

The organization shall determine…. which of these needs and expectations become its compliance obligations.

Compliance status (I)

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Compliance obligations (6.1.3)

The organization shall:

Determine and have access to the compliance obligations related to its environmental aspects

Determine how these compliance obligations apply to the organization

Maintain documented information of its compliance obligations

Compliance status (II)

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Evaluation of compliance (9.1.2)

The organization shall:

Evaluate the fulfilment of its compliance obligations

Determine the frequency that compliance will be evaluated

Take action if needed

Maintain knowledge and understanding of its compliance status

Compliance status (III)

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Commitment to fulfil its compliance obligations (5.2)

Determine compliance requirements (6.1.3)

Identification of needs and expectations of interested parties

and determine compliance obligations (4.2)

Planning actions (6.1.4)

Risks and opportunities related to compliance requirements (6.1.1)

Compliance-evaluation (9.1.2)

Actions and measures (6.2, 7, 8.1, 8.2)

Management review (9.3)

Compliance status

changes?

Source: SCCM

Compliance status (IV)

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Communication (I)

7.4 Communication 7.4.1 General

The organization shall establish, implement and maintain the process(es) needed for internal and external communications relevant to the environmental management system, including:

a) on what it will communicate;

b) when to communicate;

c) with whom to communicate;

d) how to communicate.

When establishing its communication process(es), the organization shall:

take into account its compliance obligations;

ensure that environmental information communicated is consistent with information generated within the environmental management system, and is reliable.

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External communication (7.4.3)

The organization shall externally communicate information relevant to the environmental management system, as established by the organization's communication process(es) and as required by its compliance obligations.

Communication (II)

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Planning actions to achieve environmental objectives (6.2.2)

The organization shall establish ……

• how the results will be evaluated, including indicators for monitoring progress toward achievement of its measurable environmental objectives

Monitoring using KPI (I)

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Monitoring, measurement, analysis and evaluation (9.1)

The organization shall determine…

• The criteria against which the organization will evaluate its environmental performance, and appropriate indicators

Monitoring using KPI (II)

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Environmental performance (3.4.11)

Performance (i.e measurable result) related to the management of environmental aspects

Scope (1)

Intended outcomes of the EMS include…

Enhancement of environmental performance

Policy (5.2)

Includes a commitment to continual improvement of the EMS to enhance environmental performance

Improvement of environmental performance (I)

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Management review (9.3)

Input: opportunities for continual improvement

Output: decisions related to continual improvement opportunities

Continual improvement (10.3)

The organization shall continually improve… of the EMS with a view to enhance environmental performance

Improvement of environmental performance (II)

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New structure (HLS based)

Context analysis: internal and external issues, stakeholders, needs

and expectations, determination of compliance obligations

Commitment, involvement and responsibilities of top management

is more explicit.

Value chain management (life cycle perspective) is more explicit

throughout the standard

ISO 14001:2015 Most important changes(I)

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ISO 14001:2015 Most important changes(II)

Inclusion of the concept ‘risks and opportunities’

Application of (key performance) indicators to monitor

achievement of environmental objectives.

More emphasis on external communication and the ‘quality’ of

environmental information

Changes in requirements related to documentation

The mechanism of (continual) improvement is more explicitly

related to improvement of environmental performance

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ISO 9001:2015 and 14001:2015 Certification Transition Timeline

September 2015 start of 3 years transition period to September 2018

2018 2017 2016 2015

September 2015

Published International Standard

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More information

www.nen.nl/denieuweiso

KAM-MAIL

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Dick Hortensius NEN Management Systems

Dick.Hortensius@nen.nl