Making the Transition to ISO 14001:2015

– ISO EMS Support Tools

Friday 15th September 2017

12:30-13:30 BST (GMT +1)

For more information, view the SC1 website: https://committee.iso.org/home/tc207sc1 © ISO TC 207 SC1
 Speakers

Susan LK Briggs
Consultant, Trainer, Auditor
slkbriggs4@gmail.com

Amarjit Kaur
Consultant, SHEMSI Sdn Bhd
amarjit@shemsi.com

Mike Henigan
Secretary, ISO/TC 207/SC 1
mike.henigan@bsigroup.com

For more information, view the SC1 website: https://committee.iso.org/home/tc207sc1 © ISO TC 207 SC1
 Questions and Answers
Susan, Amarjit and Mike will join us
for a Q&A session at
the end of the presentations.

Send in your questions as

we go through today’s webinar

Recording
This webinar is being recorded and will be made available on the SC1 website
alongside the slides after the webinar

For more information, view the SC1 website: https://committee.iso.org/home/tc207sc1 © ISO TC 207 SC1
 Ensuring a Smooth Transition
to ISO 14001:2015

Susan LK Briggs
Consultant, Trainer, Auditor

Convener of the ISO working group that revised ISO 14001

Task Force Member that wrote ISO MSS HLS, Annex SL
All slides © ISO TC 207 SC1
 Contents
Preparations
Implementing Enhancements
Integration
Conformity Assessment
Timing
Benefits
Resources
 Preparations
Read the standard!
Brief leadership team
 Clause 4, 5, 6 and 9.3 are focus areas for top
management
Conduct a gap assessment
Budget resources
 Time
 Costs, if needed, for training, improvements,
consultant services and certification if pursued
Train staff
 ISO 14001 and your EMS
 Implementing Enhancements
Risk based approach to strategic issues that can
affect EMS intended outcomes
 environmental conditions that can affect or be affected
by the organization
Visible support & involvement by leadership
Preventing pollution and proactive protection of
the environment
Analysis of environmental aspects of product life
cycle stages
Comprehensive communication process
Updated, value-added documentation
 Implementing Enhancements
Expanded operational controls addressing
 Environmental objectives
 Change
 Product life cycle
 Outsourced processes
Analysis and evaluation of environmental
performance
Understanding of compliance status
Improvements focused on environmental
performance
 Integration
Strategic Planning process
 Organizational Context & Interested Parties
 Policy
 Objectives & Action Planning
 Improvement
Risk Management process
 Risks & opportunities
 Compliance obligations
Roles/responsibilities - in job descriptions
and procedures
 Integration
Quality Management System
 Scope
 Documented Information
 Calibration tracking
 Internal Audit
 Management Review
 Nonconformity & Corrective Action
Human Resources
 Competency
 Training
Communication
 Integration
Operational controls
Design process
 Environmental requirements
 Life cycle aspects/impacts
Purchasing/procurement process
 Environmental requirements for
− Supply chain
− External providers
− Outsourced processes
 Conformity Assessment Declaration of conformity
1) Identification number:
2) Issuer’s name:

Options 3) Issuer’s address:

 Self determination & 4) Object of the declaration:

self declaration
The object of the declaration described above is in conformity with the
− ISO/IEC 17050-1 sets requirements of the following documents:
Document number Title Edition/date of issue
out minimum 5)
requirements
 Confirmation of self Additional Information:
6)
declaration by
external party Signed for and on behalf of:

 3rd party certification

(Place of issue)

7)
(Name, function) (Signature) (Date of issue)
 Timing
Start now!
Upgrades can be accomplished within 3 - 9
months, depending on
 Resource availability
 EMS maturity
Be mindful of time needed to coordinate and
collaborate with other business functions
Allow time to correct nonconformities
identified during internal audit, and
certification audit (if pursued)
 Timing
If pursuing 3rd party certification, contact CB
soon!
 Confirm audit dates to ensure auditor availability.
 Transition audits need to be done before July to
ensure current certificates do not expire.
 Benefits
Improved business practices & compliance status.
Minimized environmental impacts throughout the
product life cycle.
Competitive edge leading to new business.
Operational efficiency and cost savings,
particularly in energy consumption and waste
management.
Credibility and confidence for regulatory agencies
customers and other interested parties.
Available incentives vary but range from expedited
permitting; decreased inspection frequency; lower
insurance premiums; government subsidies.
 Resources
National Standards Body
ISO 14001:2015 EMS… a practical guide
for SMEs
ISO TC 207/SC 1 Website
Social Media, Webinars & Training Courses
National Accreditation Body
Certification Body

Don’t forget to Celebrate Your Success!

Developing Countries Perspective
Transition to ISO 14001:2015

Amarjit Kaur
Consultant, SHEMSI Sdn Bhd
Expert on the ISO working group for the revision

All slides © ISO TC 207 SC1

 Contents
ISO 14001:2015 – Background and
Opportunities for Developing Countries

Challenges in transitioning

Meeting the intent of ISO 14001:2015

Guidance
Developing Countries
Background
Rapid progress

Emerging economies

Seeking competitive advantage

Embracing sustainability
 ISO 14001:2015 –
Opportunities for Developing Countries

Context Environmental Life cycle

Future planning for
conditions perspective
environmental
responsibility and A significant number of Manufacturing-supply
business strategies developing countries are chain in developing
located in areas vulnerable countries
Global trends to environmental events
such as floods, typhoons, Understand life cycle
Sustainability earthquakes perspective within supply
UN SDGs chains
Identify and manage
Competitive advantage
 Challenges in transitioning

Risk based thinking

Risk based thinking in establishing, implementing and
maintaining an environmental management system to
achieve its intended outcomes

Risks and opportunities

Determination of risks and opportunities and planning
actions
- Context
- Life cycle perspective
 External Issues

socio-political
Environmental economic
conditions

climate,
air and water
quality, technological
biodiversity,
natural Internal Issues factors
resource
availability

organisational structure,
business strategy, competitive
processes, circumstance
legal capabilities,
culture,
communication
 Life cycle
perspective

Design
End of life treatment

CONTROL? INFLUENCE?

Extraction of
Use Life Cycle Stages raw
materials

Transport/
Production
Delivery
 Challenges in transitioning
Performance

An expectation is that the organisation will enhance

its environmental performance and be able to
demonstrate it.

Enhancement of environmental performance must

be one of the intended outcomes of the EMS and
continual improvement activities must be directed
at enhancing the organisations environmental
performance.
 Challenges in transitioning

Processes

An organisation
– decides and sets up processes needed to achieve the
intended outcome of its EMS
– establishes documented information needed to the
extent necessary to have confidence that the
processes are carried out as planned
– has the authority to decide on what and how much
documentation it needs to ensure effective
implementation of its EMS appropriate to its context
 Challenges in transitioning

Monitoring
– effectiveness of the EMS in meeting its
intended outcomes
– effectiveness of established processes
– achievement of intended outcomes
 Meeting the intent of
ISO 14001:2015
Internal audits
The organization shall conduct internal audits at planned
intervals to provide information on whether the
environmental management system:
a) conforms to:
– the organization’s own requirements for its environmental
management system;
– the requirements of this International Standard;
b) is effectively implemented and maintained.
 Meeting the intent of
ISO 14001:2015
Internal audit challenges:
Auditor competence
Audit process
– by procedure or element
– in isolation
– one person
– not focused on intended outcomes
 Meeting the intent of
ISO 14001:2015
Risk based approach
– How risk is applied to the internal audit process
– How risk based thinking has been applied in
establishing and implementing the EMS to
meet its intended outcome

Auditing ‘risks and opportunities’

Should be implicit throughout the audit and not be
performed as a stand-alone activity
Soundness of the risk and opportunities determination
process (identification and management)
 Meeting the intent of
ISO 14001:2015
Outcome focused auditing
Focus on the intent of each clause in the standard and
the interrelation between all the clauses in determining
the organisation’s ability to meet the intended outcomes
of the EMS

Process based auditing

The audit should look at the effectiveness of the
processes to achieve desired outcomes and this may
entail examining inputs including the resources needed,
any indicators set and the outputs of the processes.
 Meeting the intent of
ISO 14001:2015
Method, Resources including Competence,
Equipment

Input PROCESS Output

PRODUCT
(“Set of interrelated
or interacting activities”) (“Result of a
process”)

MONITORING AND
MEASUREMENT OPPORTUNITIES
Monitoring of process
(Before, during and after the process)
effectiveness -
indicators

What is done when

something goes wrong?
 Meeting the intent of
ISO 14001:2015
Professional judgement
A high degree of professional judgement needed
– The standard is now less prescriptive and offers the
organisation the opportunity to decide the level of
prescription needed
– It may not be possible to obtain objective evidence and
reliance may have to be placed on more subjective
evidence
– The organisation is left to decide on matters such as;
• how the context was derived and used to establish the EMS
• how the product life cycle is considered and applied
• how to integrate the EMS into its business processes and to
ensure it is aligned with the strategic direction of the
organisation
 Guidance
DIS 19011 Guidelines For Auditing
Management Systems

SC1 Information on SC1 Website, Auditing

Practice Group

SC2 Ad hoc group work on identifying

topics that may require auditing guidance
SC1 interpretations and SC1
support material

Mike Henigan
Secretary, ISO/TC 207/SC 1

All slides © ISO TC 207 SC1

 Interpretations of ISO 14001:2015
• Also known as ‘clarifications of intent’
• Provide an understanding of requirements as
intended during drafting
• Desire to ensure consistency of interpretation
• Does not modify requirements

 Initial request is always to your national

member body
 NMB submits to SC1 for review at plenary
 Compilation updated and published on SC1
website
 Help with ISO 14001:2015
The SC1 website has a wide range of information
Interpretations
FAQs
Main changes
Life cycle perspective
Outsourced processes
ISO 14001 recognition (certification)
• Downloadable in PDF
And also:
• ISO Handbook: A practical guide for SMEs
• ISO’s Online Browsing Platform
• IAF/ISO Communiqué on transitions
 Help with ISO 14001:2015
Frequently Asked Questions
(FAQs) – examples

What has happened to all of

the required procedures in ISO 14001:2004?
Why is there no clause on management of
change?
What is meant by “issues” in clause 4.1?
Does ISO 14001 require the organization to
communicate its environmental impacts to
everyone in its value chain?
 Other SC1 standards
supporting ISO 14001

For more information, view the SC1 website: https://committee.iso.org/home/tc207sc1

 Other SC1 standards
supporting ISO 14001
• ISO 14004 EMS – General Guidelines on
Implementation – published 1st March 2015

• ISO 14002-1 Guidelines for applying the ISO

14001 framework to environmental aspects and
environmental conditions by environmental topic
areas – currently under development, due to publish 2020

• ISO 14005 EMS – Guidelines for the phased

implementation of an EMS, including the use of
environmental performance evaluation – currently
being revised, expected to publish 2018/19
 Other SC1 standards
supporting ISO 14001
• ISO 14006 EMS – Guidelines for incorporating
ecodesign – currently being revised, expected to publish
2018/19

• ISO 14007 Environmental management –

Determining environmental costs and benefits –
Guidance – currently under development, due to publish 2019

• ISO 14008 Monetary valuation of environmental

impacts and related environmental aspects –
Principles, requirements and guidelines – currently
under development, due to publish 2019
 Other SC1 standards
supporting ISO 14001
• ISO 14009 – EMS Guidelines for incorporating
redesign of products and components to
improve material circulation – development begins late
2017
Questions?
 Speakers

Susan LK Briggs
Consultant, Trainer, Auditor
slkbriggs4@gmail.com

Amarjit Kaur
Consultant, SHEMSI Sdn Bhd
amarjit@shemsi.com

Mike Henigan
Secretary, ISO/TC 207/SC 1
mike.henigan@bsigroup.com

For more information, view the SC1 website: https://committee.iso.org/home/tc207sc1

 Thanks for joining us
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to the slides & recording via the SC1 website

All slides © ISO TC 207 SC1