TÜV SÜD

White paper

Navigating ISO 14001:2015Why the new ISO 14001 revision matters to everyone

AbstractThis white paper takes a concise, yet detailed look at the upcoming ISO 14001:2015 revision. The revision of ISO 14001 - Environmental Management Systems is targeted for release in late 2015, and is expected to include a number of important changes from the existing version of the standard. These changes are likely to require organizations currently certified to the existing requirements to undertake specific actions to maintain certification. While these changes are still in draft, organizations currently holding ISO 14001 certification should consider planning now for the transition to the new version of the standard.

2 Navigating ISO 14001:2015 | TÜV SÜD

Contents

INTRODUCTION 3

THE ORIGINS OF ISO 14001 4

THE EVOLUTION OF ISO 14001 4

THE 2015 REVISION 5

NEW ISO 14001:2015 STRUCTURE 6

UNDERSTANDING THE CHANGES 7

HOW CAN YOU PREPARE FOR THE NEW STANDARDS 9

HOW CAN TÜV SÜD HELP YOU? 10

James W. MelloniEHS Technical Product Manager, TÜV SÜD AmericaJames W. Melloni is TÜV SÜD’s EHS Technical Product Manager. A former senior consultant engineer with Arthur D. Little, Melloni has worked with the U.S. Department of Energy on environmental management systems, and was instrumental in the development and application of quality assurance standards for environmental programs. He is also a member of the U.S. Technical Advisory Group to ISO Technical Committee 207 (TAG 207) working on the ongoing development of the ISO 14000 series of environmental management standards.

About the TÜV SÜD expert

3TÜV SÜD | Navigating ISO 14001:2015

This makes ISO 14001 the most widely certified management system, surpassed only by management systems certified to the requirements of ISO 9001- Quality Management.

Introduction

Almost 20 years after its first publication in 1996, ISO 14001 — Environmental Management Systems, is now the leading international standard detailing the requirements for the implementation and maintenance of environmental management systems. According to the International Organization for Standardization (ISO), nearly 300,000 ISO 14001 certifications were issued worldwide in 2012 alone. This makes ISO 14001 the second most widely certified management system, surpassed only by management systems

certified to the requirements of ISO 9001—Quality Management.

ISO has recently released a draft international standard (DIS) version of ISO 14001 for public review and comment. When published in late 2015, the final revised standard will replace ISO 14001:2004 as the primary international standard for environmental management systems. Organizations currently certified to the 2004 edition of the standard will be granted a transition period to bring their existing environmental management systems into compliance with the

requirements of the newly revised standard.

This white paper offers further details on the ISO 14001 revision, and provides recommendations regarding certification to the revised standard.

Navigating ISO 14001:2015 | TÜV SÜD4

Since its introduction in 1996, ISO 14001 has undergone numerous revisions. Below is a quick summary of its evolution:

The evolution of ISO 14001

First published in 1996, ISO 14001 is largely based on BS 7750, Specification for environmental management systems, which was published in 1992 by the British Standards Institute (BSI) and widely considered to be the first standard addressing the requirements for environmental management systems.

ISO 14001 establishes the criteria that an organization must meet to achieve certification of its environmental management system. Rather than stating specific requirements for

environmental performance, the standard provides a framework that organizations can follow to establish and maintain an effective environmental management system. By achieving ISO 14001 certification, an organization demonstrates to all of its stakeholders its commitment to measure its environmental impact and to strive for continuous improvement.

ISO 14001 is part of the ISO 14000 family of standards. Other standards in the ISO 14000 series include:

ISO 14004:2004 — Environmental management systems — General guidelines on principles, systems and support techniques

ISO 14006:2011 — Environmental management systems — Guidelines for incorporating ecodesign

ISO 14064-1:2006 — Greenhouse gases — Part 1: Specification with guidance at the organization level for quantification and reporting of greenhouse gas emissions and removals.

The origins of ISO 14001

BS 7750 (1992)The British Standards Instittute (BSI) publishes BS 7750, the world’s first environmental management system standard, which serves as the template for ISO 14001.

ISO 14001:2004ISO 14001:2004 strengthens documentation requirements and establishes requirements for periodic evaluations to assess compliance with the standard’s requirements and to investigate nonconformities.

ISO 14001:1996The International Organization for Standardization (ISO) releases the ISO 14000 series of environmental management system standards. ISO 14001 specifies the general requirements for environmental management systems. Other standards in the series address environmental performance evaluation, environmental auditing, environmental labeling, and life-cycle assessments.

5TÜV SÜD | Navigating ISO 14001:2015

As of this writing, the final revised edition of standard is expected to be published in the fourth quarter of 2015.

comment in October 2013. The DIS of the ISO 14001 revision was made available to national standard bodies in July 2014 for the purposes of translating the draft into local languages. The public comment period on the text of the DIS began in late August and will continue until the end of November 2014.

Beginning in February 2015, comments received during the public comment period will be reviewed and incorporated as appropriate into the draft standard. As of this writing, the final revised edition of standard is expected to be published in the fourth quarter of 2015. However, the length and depth of deliberations regarding the proposed changes could alter that schedule.

In recent years, there has been a proliferation of new management systems standards, addressing organizational performance aspects such as energy, occupational health and safety, information security and food safety. Although these standards share a number of common elements, they often take different approaches or employ terms and definitions with different meanings. These divergent approaches to standardization have made it difficult for organizations to integrate their efforts to implement and maintain multiple management systems.

As a result, ISO/TC 207/ SC1/WG-5, the ISO working group responsible for the ISO 14001 revision, has adopted a common framework and set of requirements for management systems standards in this revision. The “High Level Structure for Management Systems Standards,” also referred to as Annex SL of the Consolidated ISO Supplement of the ISO/IEC Directives, utilizes a generic standards framework and terminology while also allowing the

addition of performance-specific requirements. By adopting the framework detailed in Annex SL, the ISO 14001 revision will have the same “look and feel” as other newly revised management system standards, making it easier for organizations to concurrently operate multiple management systems.

The other key focus of the current revision effort is to address the findings of the ISO Study Group report, “Future Challenges for EMS.” That report analyzed issues in 11 different areas in the field of environmental management. The report also evaluated obstacles and opportunities facing small organizations seeking to adopt ISO 14001 principles, as well as methods for controlling environmental impact throughout an organization’s supply chain.

A draft of the initial revision of ISO 14001, Committee Draft 1 (CD1), was circulated for comment in March 2013, with a draft of the second revision (CD2) circulated for public

The 2015 revision

July 2014Draft International

Standard distributedfor review and comment

February 2015Final Draft International

Standard developed

Fourth Quarter 2015Publication of 2015 version

1996Introduction of thefirst version by ISO

March 2013Initial draft distributed

for review and comment

2004Strengthened

documentation requirementsand requirements for periodic

evaluations

October 2013Second draft circulated

for public comment

THE EVOLUTION OF THE ISO 14001 STANDARD

Navigating ISO 14001:2015 | TÜV SÜD6

As noted above, ISO 14001:2015 is expected to adopt the generic standards framework and terminology set out in Annex SL. This change will give ISO 14001 the same “look and feel” as other management standards, while also allowing for the addition of specific performance requirements.

New ISO 14001:2015 structure

STRUCTURE COMPARISON OF ISO/DIS ISO 14001:2015 AND ISO 14001:2004

ISO/DIS 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. Environmental management system requirements

5. Leadership Annex A: Guidance on the use of this international standard

6. Planning Annex B: Correspondence of ISO 140001:2004 and ISO 9001:2000

7. Support

8. Operation

9. Performance Evaluation

10. Improvement

7TÜV SÜD | Navigating ISO 14001:2015

Although similar in many regards to the requirements in ISO 14001:2004, the revised draft standard currently presents a stronger focus in a number of key areas, including the following:

A strategic approach to environmental management - Under Clause 4 of the draft revision (“Context of the organization”), organizations will now be expected to indentify and address all internal and external aspects and factors that may be relevant to an effective environment management system. These factors can include, but are not limited to:

. Environmental conditions, such as climate, air and water quality, land use, natural resource availability and biodiversity.. The external culture, including social, political, legal, economic, and competitive contexts, whether local, regional, or international.. Internal organization characteristics, including the organization well as its products, services and activities.

An increased emphasis on the role of leadership - A new clause in the draft revision (Clause 5, “Leadership”) assigns specific responsibilities to those in senior leadership roles within an organization. Specific responsibilities include:

. Ensuring that the organization’s environmental policy is compatible with its strategic direction.. Integrating the organization’s management system requirements into its business practices.. Ensuring the availability of the resources necessary to implement

Understanding the changes

the environmental management system.. Directing others to contribute to the success of the environmental management system.. Accountability for the effectiveness of the environmental management system.. Communicating the importance of effective environmental management internally and externally.

The ultimate goal of the direct involvement of senior leadership is to create a culture that encourages everyone to work toward fulfilling the objectives of the organization’s environmental management system.

Higher expectations for protecting the environment - The section of the draft revision dealing with environmental policy (Clause 5.2, “Environmental policy”) has been expanded to mandate an organization’s commitment to proactive initiatives that protect the environment from harm and degradation. These initiatives can address specific issues such as water and air quality and recycling, as well as broader initiatives including climate change mitigation, preservation of ecosystems and biodiversity, and eco-restoration.

A focus on improved environmental performance - A new clause in the draft revision (Clause 6.2.1, “Environmental objectives”) shifts the focus on continuous improvement from the management system itself to the organization’s actual environmental performance. It requires an organization to establish specific environmental objectives consistent

with its capabilities and commitments. Such performance objectives could include reduced emissions or lower waste production levels. However, in all cases, the objectives must be measurable, monitored, communicated and updated as appropriate.

Adopting a lifecycle approach - Clause 6.2.1 of the draft revision strengthens current requirements regarding supply chain oversight by adding additional considerations regarding product use and end-of-life considerations (“considering a life cycle perspective”). However, the draft revision does not currently require organizations to conduct a lifecycle assessment as part of its environmental management system implementation.

Stronger communications - The draft revision formalizes and considerably strengthens requirements for both internal and external communications (Clause 7.4, “Communication”). An organization’s communication plan must include specific information on:

. What it will communicate. When it will communicate. With whom it will communicate. How it will communicate

The draft revision requires organizations to respond to all relevant internal communications regarding its environmental management system from employees, and to maintain documentation as evidence of its communications. It also requires organizations to determine what information should be communicated to external groups, such as regulatory agencies, community groups and other interested third parties, and to ensure

Navigating ISO 14001:2015 | TÜV SÜD8

that such information is complete, truthful and reliable.

More flexible documentation - Finally, the draft revision uses the term “documented information” to replace the terms “documentation” and “record” used in prior editions of the standard. Documented information (see Clause 7.5, “Documented information”) can include paper as well as electronic documents maintained on computers and remote servers. Importantly, documented information does not need to be presented in the form of a manual, and may be integrated with other information management systems implemented by the organization.

New terminology - As part of the effort to conform with the framework

and terminology set out in Annex SL for all management systems standards, the DIS version of ISO 14001 also uses new and modified terminology as follows:

. In place of the term “identify,” the revised standard uses the term “determine,” which implies a discovery process that results in knowledge. The change is intended to harmonize the revised standard with standardized management system terminology, and does not modify the intent of the previous edition of the standard.. The term “intended outcome” signifies what the organization intends to achieve by implementing its environmental management system, which includes enhancement of

environmental performance, conformity with compliance obligations and fulfilment of environmental objectives. These are the minimum core outcomes, and organizations can set additional intended outcomes for their environmental management system.. The phrase “compliance obligations” replaces the phrase “legal requirements and other requirements to which the organization subscribes” used in prior editions of the standard. This change does not modify the intent of the previous edition of the standard. . The use of the word ‘any’ implies selection and choice.

9TÜV SÜD | Navigating ISO 14001:2015

Early planning can also help organizations anticipate in advance potential challenges to achieving certification to the revised standard, thereby avoiding unexpected surprises.

preparation process, when gaps between the existing and anticipated requirements can be easily identified. Early planning can also help organizations anticipate in advance potential challenges to achieving certification to the revised standard, thereby avoiding unexpected surprises.

How can you prepare for the new standard?

Following the official publication of ISO 14001:2015, it is anticipated that there will be a transition period of up to three years for organizations who hold certification to the current version of the standard. The precise length of the transition period will be detailed at the release of the final version of the revised standard. However, the transition period for individual organizations may be impacted by their specific certification renewal schedule, since the time allowed for recertification to the current standard is likely to be limited.

Even assuming a three-year transition period, many organizations will be required to undertake a significant amount of work to bring their existing environmental

management systems into compliance with the new requirements in ISO 14001:2015. In most cases, this effort will exceed simple revisions of existing plan documentation, and is likely to impact every aspect of an organization’s operation. Of course, the work to revise an existing environmental management system will need to be completed at the same time as other regular work assignments and priorities, placing additional demands on employees.

Given these demands, it may be prudent to begin preliminary transition planning based on the requirements detailed in the DIS version of the standard as soon as feasible. Such planning can be integrated into the annual audit

Negotiating the technical and social complexities of ISO 14001 certification for a wide range of industries is extremely complex and requires industry expertise. TÜV SÜD is a global leader in management system solutions and a leading

registrar for ISO 14001, ISO 9001 and other management systems standards. Having issued more than 54,000 management systems certifications to date, we have the expertise to provide comprehensive auditing and certification services

to organizations of all types and in all industries. We can also assist your organization in your ISO 14001 transition planning, providing you with a smooth path to recertification.

How can TÜV SÜD help you?

2014

© T

ÜV S

ÜD A

G | V

-M/M

S/33

.0/e

n/US

Choose certainty. Add value.TÜV SÜD is a premium quality, safety and sustainability solutions provider that specializes in testing, inspection, auditing, certification, training and knowledge services. Represented in over 800 locations worldwide, we hold accreditations in Europe, the Americas, the Middle East and Asia. By delivering objective service solutions to our customers, we add tangible value to businesses, consumers and the environment.

TÜV SÜD America10 Centennial DrivePeabody, MA 01960(800) TUV-0123www.tuv-sud-america.com

Navigating ISO 14001:2015 www.tuv-sud-america.com

info@tuv-sud-america.com