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ISO 14001:2015 Overview

ISO 14001:2015 Overview. Charlie Parrish charles_parrish@ncsu.edu (919) 515-4266. What is ISO 14001?. ISO 14001 - 2004. 4.1 General. 4.6 Management Review. 4.2 Environmental Policy. Continual Improvement. 4.5 Checking 4.5.1 Monitoring and Measurement

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ISO 14001:2015 Overview

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  1. ISO 14001:2015 Overview Charlie Parrish charles_parrish@ncsu.edu (919) 515-4266

  2. What is ISO 14001?

  3. ISO 14001 - 2004 4.1 General 4.6 Management Review 4.2 Environmental Policy Continual Improvement 4.5 Checking 4.5.1 Monitoring and Measurement 4.5.2 Evaluation of Compliance 4.5.3 Nonconformity, Corrective Action and Preventive Action 4.5.4 Control of Records 4.5.5 Internal Audits 4.3 Planning 4.3.1 Environmental Aspects 4.3.2 Legal/Other Requirements 4.3.3 Objectives, Targets and Programs 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 4.4.5 Control of Documents 4.4.6 Operational Control 4.4.7 Emergency Preparedness/Response Red = Identifying Env. Issues Blue = Managing Env. Issues

  4. ISO 14001 - 2015 10 Improvement 10.1 General 10.2 Nonconformity and corrective action 10.3 Continual improvement 9 Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation 9.1.1 General 9.1.2 Evaluation of compliance 9.2 Internal audit 9.2.1 General 9.2.2Internal audit program 9.3 Management review 4 Context of Organization 4.1 Understanding the organization and its context 4.2 Understanding the needs & expectations of interested parties 4.3 Determining the scope of the EMS 4.4 Environmental management system Continual Improvement 5 Leadership 5.1 Leadership and commitment 5.2 Environmental policy 5.3 Organizational roles, responsibilities and authorities 8 Operation 8.1 Operational planning and control 8.2 Emergency preparedness and response 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 6 Planning 6.1 Actions to address risks and opportunities 6.1.1 General 6.1.2 Environmental aspects 6.1.3 Compliance obligations 6.1.4 Planning action 6.2 Environmental objectives and planning to achieve them 6.2.1 Environmental objectives 6.2.2 Planning actions to achieve environmental objectives

  5. How Does ISO 14001-2004 Work? What are the Environmental Issues? Legal Requirements 4.3.2 Potential Emergencies4.4.7 Significant Aspects 4.3.1 How are they managed? Targets & Objectives 4.3.3 Training Programs 4.4.2 Operational Controls 4.4.6 Emergency Response Plans 4.4.7 How are they checked? EMS Audits 4.5.5 Monitoring & Measurement 4.5.1 Compliance Evaluations 4.5.2 Emergency Drills 4.4.7 How are “issues” fixed and improved? Management Review 4.6 Corrective / Preventive Action 4.5.3

  6. How Does The New ISO14001-2015 Work? What are the Environmental Issues? Planned or Unplanned Changes 6.1.2 Outsourced Processes 8.1 Env Aspects w/ Product Life Cycle (transportation, end of life, disposal) 6.1.2, 8.1 Significant Aspects 6.1.2 Legal Requirements 6.1.3 Risks & Opportunities- General 6.1.1 Potential Emergencies 8.2 & 6.1.2 How are they managed? Targets & Objectives 6.2.1/6.2.2 Operational Controls 8.1 Emergency Response Plans 8.2 Communicate Req’ts to - outsourced processes - contractors - other (re: stages of LC) Competence 7.2 & Awareness 7.3 Planning Action (to Address 6.1) 6.1.4 Env requirements for Procurement Env Req’ts for the Design & Development of product/ service How are they checked on? Compliance Evaluations 9.1.2 Emergency Drills 8.2 Monitoring & Measurement 9.1.1 EMS Audits 9.2 How are “issues” fixed and improved? Corrective / Preventive Action 10.1 Management Review 9.3

  7. The New ISO 14001 Standard • 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 http://www.iso.org/iso/home/store/catalogue_tc/catalogue_detail.htm?csnumber=60857

  8. The New ISO 14001 Standard (1 of 2)

  9. 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

  10. 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)

  11. 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

  12. 8 Big Changes (3 of 3) 7) 10.2 - No Preventive Actions formally required (it’s all corrective action) 8) 7.5 - No mention of the word records (it’s all documented information)

  13. 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

  14. 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 organization’s - direct and indirect environmental consequences - legal requirements - effects on your stakeholders by the EMS * John Nolan (google search)

  15. 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

  16. 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.)

  17. 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

  18. 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 physicalboundaries • Activities, products and services • Control and Influence How many times will we reference 4.1 and 4.2 in this standard ?

  19. 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

  20. 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

  21. 5.2 - The Three Pillars (commitments) of Your Environmental Policy: • Compliance • Protection of the Environment • Continual Improvement - Top Management must establish, implement & maintain define the policy Company Policy Statement

  22. 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

  23. 6.1.1 Actions to address risks and opportunities Determine risks and opportunities associated with: - aspects - legal obligations - consider 4.1 and 4.2 (Ref’s - #3) - Determine potential emergencies (to be used in 8.2)

  24. 6.1.2 Environmental Aspects & Impacts Air Emissions Air Pollution Energy Use Fossil Fuel Depletion Packaging Land Fill Space Metal Chips Minerals Depletion Stormwater Water Pollution Transportation Air Pollution Wastewater Water Pollution

  25. 6.1.2 Significant Aspects 6.1.2 … by using established criteria…

  26. 6.1.2 Env. Aspects – Life Cycle … determine the environmental aspects … considering life cycle perspective…for activities, products and services THAT IT CAN CONTROL OR INFLUENCE …taking into account: - changes (MOC) - emergencies

  27. 6.1.3 – Compliance Obligations • Determine compliance obligations • Have access to them • Determine how they apply • Take them into account

  28. Example Legal Requirements

  29. 6.1.4 – Planning Action Organization Shall Plan: • Significant environmental aspects • Compliance obligations • Risk and opportunities

  30. 6.2.1 & 6.2.2 – Objectives and Planning Actions Objectives—Result to be Achieved: - Consistent with Environmental Policy - Considering Sig Aspects, Legal Req’ts & Risks/Opportunities Planning Actions (Programs): What will be done, Resources, responsible party & Due Date

  31. Example Objective & Plan The term “Target” Not used.

  32. 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 performance4) Implications of NOT conforming to the EMS (including compliance obligations)

  33. Specifying Environmental Training Needs

  34. 7.2 & 7.3 - Competency and Awareness

  35. 7.4, 7.4.2, & 7.4.3 - Communication: Internal and External DH • 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

  36. 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 - Format - review and approval EMS Manual Procedures 7.5.3 Control of Documented Info - available, suitable, protected, - distribution, access, retrieval, use - storage, preservation, change control, retention & disposition - external documents Work Instructions Records

  37. Documented Information - Procedures - The 2015 std has replaced requirements for “procedures” w/ requirements for “processes”

  38. 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”)

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

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

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

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

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

  44. 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.

  45. 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

  46. 8.2 Emergency Preparedness Re: potential emergencies identified in 6.1.1 • Develop emergency preparedness & response plans • Include plans for mitigating “environmental impacts” • Test emergencyplans (fire drills) • Others

  47. Example - List of Potential Emergencies

  48. 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

  49. 9.1.1 – Monitoring, Measurement, Analysis, and Evaluation - General

  50. 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

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