ISO 14001:2015 Overview

What is ISO
14001?

2
 ISO 14001 - 2004
4.1 General

4.6 Management
Review
4.2 Environmental
Continual Policy
4.5 Checking Improvement
4.5.1 Monitoring and Measurement
4.3 Planning
4.5.2 Evaluation of Compliance
4.3.1 Environmental Aspects
4.5.3 Nonconformity, Corrective
4.3.2 Legal/Other Requirements
Action and Preventive Action
4.3.3 Objectives, Targets and
4.5.4 Control of Records
Programs
4.5.5 Internal Audits
4.4 Implementation & Operation
4.4.1 Resources, Roles, Responsibility & Authority
4.4.2 Competence, Training & Awareness
4.4.3 Communication
4.4.4 Documentation
Red = Identifying Env. Issues 4.4.5 Control of Documents
Blue = Managing Env. Issues 4.4.6 Operational Control
4.4.7 Emergency Preparedness/Response 3
 ISO 14001 - 2015
10 Improvement
10.1 General
10.2 Nonconformity and corrective action
10.3 Continual improvement

9 Performance evaluation 4 Context of Organization

9.1 Monitoring, measurement, analysis 4.1 Understanding the organization and its context
and evaluation 4.2 Understanding the needs & expectations of
9.1.1 General interested parties
9.1.2 Evaluation of compliance 4.3 Determining the scope of the EMS
9.2 Internal audit Continual 4.4 Environmental management system
9.2.1 General
9.2.2 Internal audit program
Improvement
9.3 Management review
5 Leadership
8 Operation 5.1 Leadership and commitment
8.1 Operational planning and control 5.2 Environmental policy
8.2 Emergency preparedness and 5.3 Organizational roles,
response responsibilities and authorities

7 Support
7.1 Resources 6 Planning
7.2 Competence 6.1 Actions to address risks and opportunities
7.3 Awareness 6.1.1 General
7.4 Communication 6.1.2 Environmental aspects
7.4.1 General 6.1.3 Compliance obligations
7.4.2 Internal communication 6.1.4 Planning action
7.4.3 External communication 6.2 Environmental objectives and planning to achieve them
7.5 Documented information 6.2.1 Environmental objectives
7.5.1 General 6.2.2 Planning actions to achieve environmental
7.5.2 Creating and updating objectives
7.5.3 Control of documented
information 4
 How Does ISO 14001-2004 Work?

What are the Significant Legal Potential

Environmental Aspects Requirements Emergencies
Issues? 4.3.1 4.3.2 4.4.7

How are they Targets & Training Operational Emergency

managed? Objectives Programs Controls Response
4.3.3 4.4.2 4.4.6 Plans 4.4.7

How are they Monitoring & Compliance Emergency

EMS Audits
checked? Measurement Evaluations Drills
4.5.5
4.5.1 4.5.2 4.4.7

How are issues fixed and Corrective / Management

improved? Preventive Review
Action 4.5.3 4.6

5
 How Does The New ISO14001-2015 Work?
What are the Environmental Issues?
Env Aspects w/
Planned or Product Life
Outsourced Risks &
Unplanned Cycle Significant Legal Potential
Processes Opportunities
Changes (transportation, Aspects Requirements Emergencies
8.1 - General
6.1.2 end of life, 6.1.2 6.1.3 8.2 & 6.1.2
6.1.1
disposal)
6.1.2, 8.1

How are they managed?

Communicate
Reqts to
- outsourced Env Reqts for Competence
Planning
Env
the Design & Operational Action Targets & Emergency
processes requirements 7.2 &
Development Controls (to Address Objectives Response
- contractors for Awareness
of product/ 8.1 6.1) 6.2.1/6.2.2 Plans 8.2
- other (re: Procurement 7.3
service 6.1.4
stages of LC)

How are they checked on?

Monitoring & Compliance
Emergency Drills
EMS Audits Measurement Evaluations
8.2
9.2 9.1.1 9.1.2

How are issues fixed and improved?

Corrective / Management
Preventive Review
Action 10.1 9.3
6
http://www.iso.org/iso/home/store/catalogue The New ISO 14001 Standard
_tc/catalogue_detail.htm?csnumber=60857

The revised ISO 14001 was

published on Sept 2015.

Some changes are:

From 5 pages to 11 pages
Elements (clauses) from 18 to 32
Structure same as ISO 9001 & other
Management System Standards (MSS)
incorporating High Level Structure
format
> Context, Leadership, Planning,
Support, Operation, Performance,
Improvement 7
The New ISO 14001 Standard (1 of 2)

8
 The New ISO 14001 Standard (2 of 2)

http://asq.org/quality-press/display-item/?item=T986E
http://www.iso.org/iso/home/standards_development.htm
9
 8 Big Changes (1 of 3)
1) 4.1- Understanding the Organization and its context - by
determining A) External circumstances political,
regulatory, international, national, etc. B) Internal
characteristics (i.e., strategic direction, culture, capabilities)
C) Environmental conditions that could affect the
organization (climate, natural resource availability, etc.)

2) 4.2 - Understanding the Needs of Interested Parties.

Who are the interested parties relevant to the EMS, What are
their needs and expectations

3) 5.1 - Leadership and Commitment. Top Management

must demonstrate its commitment to the EMS for a list of
items, none of which are required to be documented or
recorded (but it may help)
10
 8 Big Changes (2 of 3)

4) 6.1.1 - Actions to address Risks and Opportunities

Must be determined on issues surrounding context as
per 4.1 and interested parties as per 4.2, as well as for
aspects and legal requirements

5) 6.1.2 - Environmental Aspects of Products

Considering life-cycle perspective. (i.e., environmental
issues associate with design, use, end of life and disposal

6) 8.1 - Operational Controls - for product design and

development for life cycle stages AND provide information
about potential significant impacts on product delivery, use,
end-of-life and disposal AND Environmental requirements
for purchasing
11
 8 Big Changes (3 of 3)

7) 10.2 - No Preventive Actions formally required (its all

corrective action)

8) 7.5 - No mention of the word records (its all

documented information)

12
 4.1 Understanding the organization
and its context (1 of 4)
Determine the internal and external issues relevant to
the EMS.
Include environmental conditions being affected or
capable of affecting the organization

THIS IS
- A HIGH LEVEL UNDERSTANDING
- INCLUDE IMPORTANT ENVIRONMENTAL TOPICs
- INCLUDE CHANGING CIRCUMSTANCES

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 4.1 Understanding the organization
and its context (2 of 4)
Understanding Aspects & Impacts is extremely one
dimensional when compared to Understanding the Context
if the organization*.

Understanding includes the organizations

- direct and indirect environmental consequences
- legal requirements
- effects on your stakeholders by the EMS

* John Nolan (google search)

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 4.1 Understanding the organization
and its context (3 of 4)
Examples include:
Env. Conditions Climate, Air & Water Quality, Land
Use, existing contamination, natural resource
availability, biodiversity, etc.

External cultural, social, political, legal, regulatory,

financial, technological, economic, natural and
competitive circumstances, whether international,
national, regional, or local

Internal characteristics or conditions of the organization

such as activities, products and services, strategic
direction, culture and capabilities (i.e. people,
knowledge, processes and systems
15
 4.1 What does it look like ? (4 of 4)

Document the context in the EMS manual or document

meeting minutes where these issues are discussed (i.e.
Management Review, etc.)

16
4.2 Understanding the needs and
expectations of interested parties

This appears to be a duplicate requirement for listing

compliance obligations (i.e. interested parties =
regulatory agencies)
Interested parties could be sponsors of voluntary
requirements (contractual, trade associations, etc.)
Corporate Management
Community Members
Others

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 4.3 Determining the Scope of the EMS

Similar to the 2004 standard (4.1 General

Requirements)
Consider
External and internal issues (as per 4.1)
Compliance obligations (as per 4.2)
Organizational units, functions and physical
boundaries
Activities, products and services
Control and Influence

How many times will we reference 4.1 and 4.2 in this

standard ?
18
4.4 Environmental Management System
A general, overall requirement stating the org. must :

- establish, implement maintain and continually improve

an EMS that meets ISO 14001
- consider the knowledge gained in
4.1 - Understanding the organization and its
context
4.2 Understanding the needs and expectations of
interested parties

References 4.1 and 4.2 - #2

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 5.1 Leadership and Commitment
Top Management shall demonstrate leadership
and commitment by

- taking accountability for the effectiveness of the

EMS
- ensuring policy and objectives are established
- integrating EMS with business plan
- ensuring resources
- communicating the importance of EMS
- ensuring the EMS meets "intended outcomes"
- directing and supporting persons in the EMS
- promoting continuous improvement
- supporting other management roles 20
 5.2 - The Three Pillars (commitments)
of Your Environmental Policy:

Compliance Company Policy

Statement
Protection of the Environment
Continual Improvement

21
 5.3 / 7.1 - Organizational Roles,
Responsibilities, and Authorities / Resources

Roles, responsibilities, and authorities must be

Assigned, documented, communicated
Determine and provide resources needed (7.1)
Top Management must assign responsibilities
for reporting on the performance of the EMS

22
 6.1.1 Actions to address risks and
opportunities

Determine risks and opportunities associated

with:
- aspects
- legal obligations
- consider 4.1 and 4.2 (Refs - #3)
- Determine potential emergencies (to be used in
8.2)

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 6.1.2 Environmental Aspects & Impacts
Air Emissions Energy Use
Air Pollution Fossil Fuel Depletion

Packaging Metal Chips

Land Fill Space Minerals Depletion

Stormwater
Water Pollution
Transportation
Air Pollution Wastewater
Water Pollution 24
6.1.2 Significant Aspects
6.1.2

by using
established criteria

25
6.1.2 Env. Aspects Life Cycle
determine the environmental aspects
considering life cycle perspectivefor activities,
products and services THAT IT CAN CONTROL OR
INFLUENCE taking into account:
- changes (MOC)
- emergencies

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 6.1.3 Compliance Obligations

Determine compliance obligations

Have access to them
Determine how they apply
Take them into account

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 Example Legal Requirements

Legal Reqt Code Aspect

Hazardous Waste 40 CFR 261 Haz Waste
Management Disposal
Air Quality Permit 15A NCAC Air Emissions
2Q.0100
Storm Water 15A NCAC Stormwater
Exclusion 2H.0126 Run-off
Municipal Thomasville Wastewater
Wastewater Code Discharges
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 6.1.4 Planning Action
Organization Shall Plan:

Significant environmental aspects

Compliance obligations
Risk and opportunities

29
 6.2.1 & 6.2.2
Objectives and
Planning Actions

ObjectivesResult to be
Achieved:
- Consistent with Environmental Policy
- Considering Sig Aspects, Legal Reqts &
Risks/Opportunities

Planning Actions (Programs): What will be

done, Resources, responsible party & Due
Date
30
 Example Objective & Plan

Revision
Project Plan Title: Noise Minimization 2/20/2003
Date:
Significant (S) / Legal
Activity/ Product or Service Aspect Impact(s):
(L) / Emergency (E)

Maint. Work Area Noise (from Compressor) Environmental Noise S/L

Objective: Decrease noise to below 80 dBA

Responsibility Date
Target(s) Date Due
Employee Title Completed
1 Build wall around work area. Roy Maintenance Jun-03

2 Purchase low noise compressors. Roy Maintenance Aug-03

Responsibility Date
Task # Other Tasks - Description Date Due
Employee Title Completed

1-1 Qet Quote on Wall

1-2 Select Vendor, Get apporved and Award Bid

1-3 Build Wall

1-4 The term Target Not used.

2-1 Qet Quote on Compressors
2-2 Select Vendor, Get apporved and Award Bid
2-3 Install Compressors

2-4 Investigate replacing all other "High Noise" Compressors

7.2 & 7.3 Competency and Awareness

7.2: Determine
1) the necessary competence
2) ensure competence
3) training needs
4) take action to acquire competency

7.3: Ensure persons are aware of

1) the environmental policy
2) Significant Aspects of their work
3) Benefits of improved personal performance
4) Implications of NOT conforming to the EMS
(including compliance obligations)
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Specifying Environmental Training Needs

33
7.2 & 7.3 - Competency and
Awareness

34
DH 7.4, 7.4.2, & 7.4.3 - Communication:
Internal and External
Develop procedure for
Internal & External communication
Document External Communications such as
Regulatory agencies
Community Complaints
Sustainability Issues w/ Customers
Others
Decide if AND how to communicate externally
about significant aspects
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7.5 - Documentation Information
7.5.1 General
- What ever is required by ISO 14001
- What ever is needed for EMS effectiveness
7.5.2 Creating and Updating
- Ensure identification
EMS
- Format
Manual
- review and approval
Procedures
7.5.3 Control of Documented Info
- available, suitable, protected,
Work
- distribution,
Instructions
access, retrieval, use
- storage, preservation, change control,
Records
retention & disposition
- external documents 36
 Documented Information - Procedures
- The 2015 std has replaced requirements for
procedures w/ requirements for processes

37
 Documented Information - Records
- The term Records is not used in 2015 standard
- However, the org. must still present evidence to
show they have
Determined .
Identified
Developed Plans (more of a procedure)

38
ISO 14001:2015 - Docs and Records (1 of 5)

39
ISO 14001: 2015 - Docs and Records (2 of 5)

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ISO 14001: 2015 - Docs and Records (3 of 5)

41
ISO 14001: 2015 - Docs and Records (4 of 5)

42
ISO 14001: 2015 - Docs and Records (5 of 5)

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 8.1 - Operational Planning & Control
Establish processes needed
to meet the EMS, 6.1 and
6.2 by:
1) establishing criteria for
processes, and
2) implementing control of
processes to meet criteria.
i.e.,
Haz Waste Storage
Boiler Operation
Paint Booth Maintenance
Storm Water Sampling
Air Permit
Etc. 44
 8.1 - Operational Planning & Control
New Pieces of the puzzle for 8.1:
- Control planned changes, consequences of
unintended changes and mitigate the environmental
impacts (MOC also is in 6.1.2)
- ensure outsourced processes are controlled or
influenced (as stated in the EMS)
- Address Life Cycle (LC) perspective by
establishing env. controls in the design and
development process for each LC stage
Env. Requirements for procurement
Communicating env. requirements to contractors
Consider providing info on env. impacts of the
different life cycle stages of product

45
 8.2 Emergency Preparedness
Re: potential emergencies
identified in 6.1.1

Develop emergency
preparedness & response
plans

Include plans for

mitigating environmental
impacts

Test emergency plans

(fire drills)

Others 46
 Example - List of Potential
Emergencies
Potential Emergency
# Emergencies or Potential Impact Response Plan
Accidents to be Used

1 Floods Water Pollution from vehicles and machines EWI-001

2 Hurricanes Loss of Human Life EWI-001

3 Tornadoes Loss of Human Life EWI-001

4 Fire Air Pollution, Loss of Human Life EWI-002

Chemical Spills-
5 small
Employee Exposure (irritants mostly) EWI-003
Chemical Spills-
6 large
Employee exposure, Water Pollution EW-003
Waste Water Tote
7 Spills
Soil / Ground Water Contamination. EWI-004

47
 9.1.1 Monitoring, Measurement,
Analysis, and Evaluation - General
Determine
- Performance metrics and comparison
criteria
- monitoring methods, when, where, etc.
- evaluation of metrics (trends)
- effectiveness of the EMS
Conduct Calibrations or Verifications
Communicate performance data as per
communication process

48
9.1.1 Monitoring, Measurement, Analysis,
and Evaluation - General

49
 9.1.2 Evaluation of Compliance
------ The 2nd Audit Program ------

Conduct an EoC against compliance

obligations (6.1.3; used to be Legal &
Other Environmental Requirements)
Develop a process for EoCs wrt frequency
Conduct the EoC and Take Action if
needed
Maintain knowledge and understanding of
its compliance status
50
Example Compliance Evaluation Report

51
9.2.1 & 9.2.2 Internal Audit (1 of 2)
To Determine if EMS
meets:
ISO 14001
EMS Procedures &
Programs

52
9.2.1 & 9.2.2 Internal Audit (2 of 2)
Establish an audit program for
- frequency, methods, responsibilities
& reporting
- Define audit criteria and scope
- select auditors for objectivity and
impartiality
- Ensure audit results are reported to
Management

NO REAL CHANGES FROM 2004

53
 9.3 Management Review
Involve Top Management
Determine if EMS is
Continuingly Suitable
Adequate
Effective
BOTTOM LINE: Determine if EMS needs
to be CHANGED
Follow required Inputs and Outputs
Reqd Docs/Records:
- Management Review Schedule
- Documented Minutes 54
 10.2 Nonconformity and corrective
action
Control and correct the NC
Mitigate environmental impacts (immediacy)
Determine causes & action needed so that it
does not
recur (actual nonconformities)
occur (potential nonconformities)

55
 10.1 Improvement - General
Determine opportunities for improvement (see
also 6.1.1; 9.3
Implement necessary actions to achieve
intended EMS outcomes

10.3 Continual Improvement

Continually improve the suitability, adequacy and
effectiveness of the EMS to enhance
environmental performance

56
57
 Auditing Tips

Good Auditors Take Time To develop

Audit Experience more important than
training class
Develop Your Audit Program For Your
Needs (Use Specific Questions)
Dont Waste Resources on Duplicating
other inspections or audits
Audit Management for ISO Audit Non-
Management for their requirements
Reward Auditors for their Efforts
58
Thea Dunmires 6 Potential Pitfalls to ISO
1) There is legal liability that could be uncovered
by ISO 14001.
2) 14001 designates Top Management as
responsible. This could connect TM to potential
legal issues.
3) Treat audit findings and related confidentially
especially with external auditors, registrars, etc.
4) Correct identified problems or there maybe
potential willful violations.
5) Written procedures can over-complicate EMS
and create additional legal obligations.
6) Realize that records can implicate. Get a
handle on all records floating around.www.enlar.com
59
 ISO.org Revision Fact Sheet

http://www.iso.org/iso/home/standards/management-
standards/iso14000/iso14001_revision.htm
60
 Similarities 18001 with 14001

61
 Hows Does OHSAS 18001 Work

What are the JHAs and Legal Potential

OHS Issues Risks Requirements Emergencies
4.3.1 4.3.2 4.4.7

How are they Objectives & Training Operational Emergency

managed ? Programmes Programs Controls Response
4.3.3 4.4.2 4.4.6 Plans 4.4.7

How are they OHS MS Incident Monitoring & Compliance Emergency

checked on ? Audits Investigation Measurement Evaluations Drills
4.5.5 4.5.3.1 4.5.1 4.5.2 4.4.7

How are issues Corrective / Management

fixed and improved Preventive Review
Action 4.5.3.2 4.6

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 Hows Does ISO/CD 45001 Work

63
Identifying Environmental Aspects * ISO 14001:2004 -
Legal & Other Requirements Level 2
Setting Objectives, Targets, Programs Procedures
*
Environmental Training
Environmental Communication
Document Control
Operational Controls
Contractor Management
Emergency Response Planning
Monitoring & Measuring
Compliance Evaluation
Required
Corrective & Preventive Action
Environmental Records Recommended
Internal EMS Audit
Red Add to 9000
EMS Management Review Procedure
64
7.5 - Documentation - Typical ISO
14001 Document System

EMS Intent & Direction

Manual

Procedures What you do & who does it

Work How you do it

Instructions

Records Evidence of what you do

65
14001: 2004 - Docs & Records (1 of 2)

66
14001: 2004 - Docs & Records (2 of 2)

67
 Op Controls (part 2) . Communicate relevant
requirements to those external providers
including contractors

Grounds keeping No pesticides allowed

Air Conditioning/ Service technicians must show

Chiller servicing proper certification to handle
Freon
On-site Contractors must follow our
Construction facilitys liquid waste disposal
procedures
Shipping (trucking, All Shippers must check in with
transportation, bulk the Shipping/Receiving Dept. for
delivery, labeling) instruction on our bulk chemical
unloading procedures 68
 Other Legal Requirements
Legal Reqt Code Aspect
Corporate Company Web Could be
Environ. Policy Site several
Customer Customer Letter Could be
Manadate for ISO several
Pallet Nemotode Geographical Shipping
Treatment Request Letter
Customer Customer Letter Raw
Prohibition of Material
Toxics Usage
69