A PRACTICAL FIELD GUIDE ERIK VY, MYHRBERG wn BRANDON [,, MYHRBERGAmerican Society for Quality, Quality Press, Milwaukee 53203 © 2018 by ASQ. Published 2017. All rights reserved. 23 22 21201918 54321 Library of Congress Cataloging-in-Publication Data Names: Myhrberg, Erik V., author. | Myhrberg, Brandon L., author. Title: A practical field guide for ISO 14001:2015 : leadership guidance, revision and update information, implementation support, documented information, internal auditing technique, risks and opportunities / Dr. Erik V. Myhrberg with Brandon L. Myhrberg. Description: Milwaukee, Wisconsin : ASQ Quality Press, [2017] Identifiers: LCCN 2017034376 | ISBN 9780873899635 Subjects: LCSH: ISO 14001 Standard. | Factory and trade waste—Standards. | Environmental protection—Standards. | Business enterprises—Environmental aspects— Standards. | Operations research—Standards. 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Plankinton Ave. Milwaukee, W 53203-2914 E-mail: ouhors@osq org ASQ _ The Global Voice of Quality’TABLE OF CONTENTS Introduction How to Use This Field Guide Annex SL Clause 4: Context of the Organization U ing th eat Li 4.2 Understanding the needs and expectations of interested parties 4.3 Determining the scope of the environmental management system 4.4 Environmental management system late ISO 14001:2004 in ISO 14001:2015 Clause 5: Leadership 5.1 Leadership and commitment 5.2 Envi [pai 5.3 Organizational roles, responsibilities and authorities Updates to ISO 14001:2004 in ISO 14001:2015 Clause 6: Planning 6.1 Actions to address risks and rtuniti 6.1.1 General 6.1.2 Environmental aspects 6.1.3 Compliance obligations 6.1.4 Planning action 2 Environmental objecti in ni jieve th 1 Envi al objectiv 6.2.2 Planning actions to achieve environmental objectives Updates to ISO 14001:2004 in ISO 14001:2015 Clause 7: Support Z.1 Resources7.2 Competence 7.3 Awareness 7.4 Communication 7.4.3 External communication 7.5 Documented information 25.1 General 7.5.2 Creating and updating 7.5.3 Control of documented information Updates to ISO 14001:2004 in ISO 14001:2015 Clause 8: Operation }.1 Operational planning and co 8.2 Emergency oe and response 9.1.1 Genera 9.1.2 Evaluation of compliance 9.2 Internal audit 9.2.1 General 9221 Lauiair pan 9.3 Management review Updates to ISO 14001:2004 in ISO 14001:2015 Clause 10: Improvement 10.1 General 0.2 N fei i . . 10.3 Continual improvement Updates to ISO _14001:2004 in ISO 14001:2015ISO 14001:2015: Environmental Management System—Documented Information Requirements ISO 14001:2004 to ISO 14001:2015—Correlation Matrix ‘Sources of InformationINTRODUCTION revised after more than a decade of use. The ISO 14001:2015 standard has adopted Annex SL of the ISO Directives and will have the same clause structure as the ISO 9001:2015 standard. More than 25 years have passed (and over 160 projects) since we first became aware of, and started using, the ISO 14001 standard. So much has changed and evolved during this time. These changes include the advent of the ISO 14001 and ISO 27001 management standards, the addition and deletion of standards within the ISO 9000 series, and the creation of a host of industrial and sector-specific standards and “reports” based on ISO 14001, such as AS9100D for aerospace and ISO 13485 for medical devices. Even with all this progress, the fundamental use of the ISO 14000 series has not changed. Companies, teams, and individuals are still trying to meet customer expectations; worldwide competition still drives the need for innovation; internal process pressures still demand continual improvement in order to remain functional. This field guide has been created to foster an inner reliance between senior management, middle management, functional teams, and the individual. Users of the field guide will find within it practical tools, tips, and techniques useful for not only implementing an environmental management system (EMS) but also maintaining one. Per the standard, one of the key purposes of an environmental management system is to act as a preventive tool. Consequently, this International Standard does not have a separate clause or sub-clause on preventive action. The concept of preventive action is expressed through the use of risk-based thinking in formulating environmental management system requirements. T he ISO 14001:2004 environmental management standard has beenThe risk-based thinking applied in this International Standard has enabled some reduction in prescriptive requirements and their replacement by performance-based requirements. There is greater flexibility than in ISO 14001:2004 in the requirements for processes, documented information, and organizational responsibilities. The revised ISO 14001:2015 standard is both useful to the organization and here to stay. May this logistical field guide serve you and your organization well! Erik V. Myhrbergimage not availableINHERENT CHARACTERISTICS (OR WHAT THE FIELD GUIDE PROVIDES) * Standard—A heads-up of what a sub-clause of ISO 14001:2015 requires in easy-to-understand language, with references to information in ISO 9000:2015 and guidance in ISO 9004:2016(CD) to enhance the user’s understanding of what ISO 14001:2015 requires and what possible added steps the user can take to improve performance. + Documentation—A list of the documented information required by the sub-clause, with some ideas to consider in satisfying those requirements that will take the system beyond the requirements toward continual improvement. Internal audit questions—What every internal audit team needs to ask at a minimum when assessing the EMS for conformance with the sub-clause. * Management—A brief description of what management must do and/or is responsible for in order to achieve conformance to the sub-clause, along with some guidance on additional steps management can take to enhance the system. Flowcharts—A depiction of the steps that need to be undertaken during an implementation/transition effort to effectively and efficiently satisfy the requirements of the sub-clause of ISO 14001:2015, along with a box providing guidance on use of the flowchart. * Correlation—A matrix that shows where the requirements in each sub-clause within a section of ISO 14001:2004 appear in ISO 14001:2015. + These cross-evaluations are provided to assist those users whose organizations are transitioning from ISO 14001:2004 and appear at theimage not availableimage not availableimage not available7. Support 8. Operation 9. Performance evaluation 10. Improvement The introduction, scope, and normative references will have content that are specific to each discipline and each standard can have its own bibliography. All management system standards have these same 10 high-level clauses.image not availableimage not availableimage not available1SO 14001:2015—Section 4.1 Understanding the organization and its context ‘Changes trom 180 14001:2004: + This is a new requirement on the context ofthe organization. «The Notes provide examples of external ana intemal sues, + Your organization may sireacy monitor and review these issues, + Auditors wil look for evidence of issue monitoring and reviews.image not availableimage not availableimage not availabled) Activities, products, and services? e) Authority and ability to exercise control and influence?image not availableimage not availableimage not availableISO 14001:2015—Section 4.4 Environmental management system and its processes + Inputs required and outputs expected + Sequence and interaction. + Crteria and methods, including measurements ‘and related performance indicators needed 10 ‘ensure eflactwe cperation and contol + Resources needed, and ensure their availabilty | Assignment ofthe responsbiibes and authoritins + Risks and opportunites per requirements of 6.1, ‘and plan and mpiement the appropriate actons to address them + Methods for monitoring, measuring, a8 ‘appropriate, and evaluation of processes and, it ‘needed, the changes to processes to ensure that they achieve intended results ++ Opportunities for improvement of the processes, ‘and the system ‘Changes from ISO 14001-2004: + This clause replaces old clause 4.1 on general process-based requirements. + Must determine and address process-related risks and opportunities, + New focus on performance indicators for effective operation and control. + Discussion of outsourcing in old clause 4.1 was moved to clause 8.1.image not availableimage not availableimage not availableThe Standard: 5.0 Leadership 5.1 Leadership and commitment Top management must stress the importance of effective environmental management and of conforming to the requirements of the environmental management system. It must make sure that the environmental management system is achieving the results intended and must lead people to contribute to the effective operation of the system. Top management must drive continual improvement and innovation, and develop leadership in its managers. Documented Information: Required: None Cross-Reference 2004: New requirement Internal Audit Questions: Management: Internal auditors may ask: Changes: + Does top management demonstrate leadership and + This clause commitment to the EMS by: a) Taking accountability for the effectiveness of the EMS? b) Ensuring that the environmental policy and environmental objectives are established for the EMS and are compatible with the strategic direction and context of organization? c) Ensuring integration of EMS requirements into the organization’s business processes? d) Ensuring that the resources needed for the EMS are available? updates old clause 5.1 on management commitment. + Determining legal requirements included from old clause 7.2.1. + Primary clauses for customer requirements are new 4.2 and 7.4.3.image not availableimage not availableimage not available+ Must make policy available to interested parties, as appropriate.image not availableimage not availableimage not availableISO 14001:2015—Section 5.3 Organizational roles, responsibilities and authorities Ensure responsibilities and authorities for relevant roles are ‘assigned, communicated, and understood. ‘Assign responsiblity, ‘and authority 0: ‘Changes from 180 14001:2004: + This clause replaces old cause 4.4.1 on responsibilty and authorty. “+ Adds that responsibilities must be assigned and understood. + Identities some specitic responsibilties to be assigned. + Introduces use of term “innovation” to the standard. + Lack of management representative for assignments + Old dues can be spread among top management. + Innovation ie defined as the process resulting in anew or substantially changed object, ‘whieh can be a management syatem. a process, a product a service, or technology.image not availableimage not availableimage not availablec) Scope of its EMS?image not availableimage not availableimage not availableThe Standard: 6.0 Planning 6.1 Actions to address risks and opportunities 6.1.3 Compliance obligations Once the organization has identified the risks and opportunities it faces, it must then determine how it wishes to address these. There is a statement regarding proportionality to the effect that actions taken to address risks and opportunities should be in line with the potential impact of the risk or opportunity on the conformity of products and/or services, as well as on customer satisfaction. Documented Information: Required: 6.1.3—Compliance obligations Cross-Reference 2004: 4.3.2 Legal and other requirements Internal Audit Questions: Management: Internal auditors may ask: Changes: + Has the organization: + Integrate and implement the actions into its environmental management system processes (see 4.4). + Evaluate the effectiveness of these actions. a) Determined its compliance obligations related to its environmental aspects? b) Determined how these compliance obligations apply to the organization? c) Taken these compliance obligations into account when establishing, implementing, maintaining, and continually improving its EMS? * Does the organization maintain documented information of its compliance obligations?image not availableimage not availableimage not available1SO 14001:2015—Section 6.1 Actions to address risks and opportunities ‘Options to address risks and opportunitios, Annex A risk-based approach: ‘Annex A provides a claitcstion of the draft standead's new structure, terminology, ‘and concepts. Annex A.4 states that the draft standard requires the organization to understand is context and determine the risks and opportunities that need to be addressed (596 clause 6.1), (One of tne key purposes of an environmental management system le to wet as ravantive tool, Consequertiy the draft standsrd does not have & separate clause or ‘sub-clause tiled ‘Preventive Acton.” The conoept of preventive ection is expressed through a risk-based acproach to formulating environmental management system ‘The risk-based approach of the revised standard has faciitaled some reduction in prescriptive requirements and their replacement by perlormance-based requirements, ‘Additions to IS 14001:2004; ‘Al processes of a system do not represent the same level of risk in terms ofthe ‘organization's ability to meet its objectives. The consequences o! process, product, ‘service, or syetem noncontormities are not the same forall organizations. For some ‘organizations, the consequences of oalivenng noncontorming products and services ‘can result in minor inconvenience to the customer; for others, the consequences can bbe far-reaching and even fatalimage not availableimage not availableimage not availableThe Standard: 6.0 Planning 6.2 Environmental objectives and planning to achieve them 6.2.2 Planning actions to achieve environmental objectives The environmental objectives must be consistent with the organization’s environmental policy and be relevant to the conformity of products and services, and the enhancement of customer satisfaction. Environmental objectives must be measurable, take into account applicable customer and statutory and regulatory requirements, and be monitored in order to determine whether they are being met. The objective must also be communicated across the organization and be updated as and when the need arises. Documented Information: Required: None Cross-Reference 2004: 4.3.3 Objectives, targets and programs Internal Audit Questions: Management: Internal auditors may ask: Changes: + When planning how to achieve its environmental + New requirement. objectives, does the organization determine: + Expands to set a) What will be done? environmental objectives for b) What resources will be required? relevant processes. ©) Who will be responsible? + Relevant to d) When it will be completed? products, services, e) How the results will be evaluated, including indicators and customer for monitoring progress toward achievement of its satisfaction.image not availableimage not availableimage not availableISO 14001:2015 adds that the organization must identify and have access to the compliance obligations related to its environmental aspects, and determine how these compliance obligations apply to the organization. Note: The wording in sub-clauses 6.1.1, 6.1.2, and 6.1.3 is very similar to the wording in ISO 14001:2004, with almost no Annex SL text, except for some general references in 6.1.1. 6.1.4 Planning Action The ISO 14001:2015 standard adds that the organization must plan for actions to address risk associated with threats and opportunities, significant environmental aspects (6.1.2), and compliance obligations (6.1.3). The interpretive guidance in Annex A states that it is up to the organization to decide if it wishes to implement different risk evaluation processes at different organizational levels, or to combine all the risk evaluation requirements into a single process. 6.2 Environmental Objectives and Planning to Achieve Them 6.2.1 Environmental Objectives The additions to the core Annex SL text for this sub-clause are about taking into account the organization’s significant environmental aspects and its compliance obligations when establishing the environmental objectives. The organization is also to consider the risk associated with threats and opportunities when setting its environmental objectives. When developing these objectives, the organization must consider its technological options and financial, operational, and business requirements. 6.2.2 Planning Actions to Achieve Environmental Objectives The ISO 14001:2015 standard adds that when deciding how results will be evaluated, the organization must include indicators for monitoring progress toward achievement of measurable environmental objectives. The standardimage not availableimage not availableimage not availableexternal providers.image not availableimage not availableimage not availableISO 14001:2015—Section 7.2 ‘Competence ‘Acquire competence (where applicable) Retain evidence of ‘competence Note ‘Applicable actions can include, for example, training, mentoring, Feassignment of currently employed persons, or hiring or contracting ‘of competont persons. Changes trom I80 14001:2004: + This clause replaces most of old ciause 6.2.0n Human Resources. + Old clause 6.2.2. is now in new clause 7.3 on Awareness. + Use of “under ts contol" includes contract, agency, and outsourcing. + See new clause 8.1 on competence of external providers, + The clause adds a Note with examples of applicable actions. + "Competence’ Is defined in he terms section as the ably 10 apply knowledge and skills to achiave intanded resuts. Demonstrated ‘competence is sometimes referred to as “quaifcation.”image not availableimage not availableimage not availableThe Standard: 7.0 Support 7.5 Documented information 7.5.1 General This clause requires that an organization’s environmental management system include both documented information identified as required in the standard and documented information identified by the organization as necessary for the effective operation of its environmental management system. Documented Information: Required: 7.5.1a,b—Required by standard Cross-Reference 2004: 4.4.4 Documentation Internal Audit Questions: Management: Internal auditors may ask: + Does the organization’s EMS include: a) Documented information required by 1SO 14001:2015? b) Documented information determined by the organization as being necessary for the effectiveness of the EMS? Changes: + Replaces old clauses 4.2.1.c and 4.2.1.d on documentation requirements. * Changes from “procedures” and “records” to “documented information.” + The Note on “extent” is from Note 2 in old clause 4.2.1.image not availableimage not availableimage not available1SO 14001:2015—Section 7.5 Documented information 7.5.2 Creating and updating documentation : ‘Changes trom ISO 14001:2008: + Gathered requirements from old clause 42.3 (a,b, ¢, and e). + New clause adds examples: description, format, and media.image not availableimage not availableimage not availableThe organization must also respond to relevant communications on its environmental management system and retain documented information as evidence of its communications. 7.4.2 Internal Communication ISO 14001:2015 adds that the organization must communicate among its various levels and functions any changes to the environmental management system. The standard also states that the organization must ensure its communication process enables any person doing work under its control to contribute to continual improvement. 7.4.3 External Communication ISO 14001:2015 adds that the organization must externally communicate information relevant to the environmental management system as determined by its communication process and as required by its compliance obligations. 7.5 Documented Information 7.5.1 General 7.5.2 Creating and Updating 7.5.3 Control of Documented Information For the most part organizations with a solid document control process in place will satisfy the new standard. Remember, the shift in thinking is away from “document control” and now toward “documented information” (i.e., video instructions, sound commands, color codes, etc.). There are no additions to the Annex SL text for these three sub-clauses on documented information.image not availableimage not availableimage not availableISO 14001:2015—Section 8.1 Operational planning and control ‘requrems clause 67 Includes: Product andor senoe request, ‘tens ar processas and product scoeptance. resources, craaling ard keeping required doourertaion, ssullable ouput fr pieing, contol ‘efpinning and review changes ant ‘contol af sutackrced praceesee Note “Keeping’ implies both the maintaining ard the retaining of documented information, (Changes trom ISO 14001-2008: + Clause 8.1 replaces clause 7.1 of the 9000:2004 standard, Product Realization. “The clause provides for acdonal contol and planning of products and sarvices by reauiting determination of process criteria and the resources to achieve ‘ne intended results trom operational procesces. Clause 8.1 requires that there {9 controlled methods for adopting changes to the developed processes and Produetiservice requirements +The clause algo requires that the required documentation be datermined and kept 10 provide adequate confidence thatthe planned activites and results from the ‘contraled processes wil be achiaved, as well as how any existing documentation vil be mocstiedimage not availableimage not availableimage not availableThe requirement in the first paragraph of ISO 14001:2004 to identify emergency situations has been relocated to clause 8.2 of ISO 14001:2015.image not availableimage not availableimage not availableb) Conforms to the requirements of ISO 14001:2015? + Has the organization established, implemented, and maintained an internal audit program including the frequency, methods, responsibilities, planning requirements, and reporting of its internal audits? + When establishing the internal audit program, has the organization considered the environmental importance of the processes concerned? system conforms to requirements. + Consider time-based tools like schedules as well as process tools like matrices.image not availableimage not availableimage not availableISO 14001:2015—Section 9.3 Management review i ‘Changes trom ISO 14001:2008: + This clause (9.3) replaces and clarifies old clause 4.6 and is now part of Performance Evaluation (Section 8). + The organization determines the frequency and scope of management reviews. + Each review does not have to be all-encompassing. + Top management shall be engaged in the process. + Management review planning (time and scope) and activities (review inputs) ‘shall be aligned withthe “strategie drection”of the organization, + There is no requirement for a management review documented procedure. + Auditors will need to s8e evidence of planning and execution of review activites,image not availableimage not availableimage not availableISO 14001:2015—Section 10.1 General ‘Changes trom ISO 14001:2004 + Clause 10.1 clas the requirements for improvement rom old clauses 5.6, 8.3, and portions 085), + The phrase “opportunites for improvement” is mentioned in clause 9:3 (Management Review) ‘and inthis clause. This phrase, or its intent, s also added for emphasis at clauses 4.4 (Ervronmertal Mensgamert Sytem) nd 8.3 (Orgerizaone Fes, Reeponebiies ert + The requirements to "meet customer requirements” and “enhance customer satisfaction’ are ‘expressed in the old standard but not in old clause 8.5 (Improvement). These requirements. ‘are specifically called out in this clause, + This clause also calls out spectic requirements to address predictive requirements, such as the need to ‘address future needs and expectations” and in ‘preventing or reducing undesired cettectsimage not availableimage not availableimage not availableUPDATES TO ISO 14001:2004 IN ISO 14001:2015 (Source: L. Whittington) 10. Improvement 10.1 General This is a new clause. Organizations should ensure that they have mechanisms in place to review the results of all evaluations carried out within the EMS, to identify opportunities for improvement, and to then take action to implement them. Opportunities for improvement may include corrective action (see 10.2) and continual improvement (see 10.3) but also breakthrough and innovation opportunities. In other words, organizations should not only seek to improve the EMS in incremental steps but should also try to jump to distinctly higher levels of environmental performance. 10.2 Nonconformity and Corrective Action The common Annex SL text for this clause has been expanded by ISO 14001:2015 to react to a nonconformity with “immediate” action to control and correct it, as well as to mitigate adverse environmental impacts. It also adds that corrective actions must be appropriate to the “significance” of the effects of the nonconformity, including the environmental impact. 10.3 Continual Improvement This clause should be seen as another example of improvement as required in clause 10.1, General. Note that clause 10.3 requires the organization to improve its EMS, but its environmental performance can be enhanced by just applying the EMSimage not availableimage not availableimage not availableISO 14001:2004 to ISO 14001:2015—Correlation Matrix ISO 14001:2015 Correlation ISO 14001:2004 Matrix Clause title Clause | Clause | Clause title number | number Introduction 0 0 Introduction Scope 1 1 Scope Normative references 2 2 Normative references Terms and definitions 3 3 Terms and definitions Context of the organization 4 (title only) 4 Environmental management system requirements (title only) Understanding the 41 organization and its context Understanding the needs and | 4.2 expectations of interested parties Determining the scope ofthe | 4.3 41 General requirements environmental management system Environmental management 44 41 General requirements systemimage not availableresponse Performance evaluation (title 9 4.5 Checking (title only) only) Monitoring, measurement, o4 analysis and evaluation (title va only) 451 Monitoring and ~ measurement General 914 Evaluation of compliance 912 4.5.2 Evaluation of compliance Internal audit (title only) 9.2 General 924 4.5.5 Internal audit Internal audit programme 9.2.2 Management review 9.3 46 Management review Improvement (title only) 10 General 10.1 ISO 14001:2004 Nonconformity and corrective | 10.2 Nonconformity, corrective action 45.3 action and preventive action Continual improvement 10.3 Guidance on the use of this Annex | Annex | Guidance on the use of international standard A A this international standard Correspondence between Annex Annex | Correspondence ISO 14001:2015 and B B betweenISO 14001:2004 and ISO 9001:2000 Bibliography Bibliography Alphabetical index of terms Indexa You have either reached 2 page thts unevalale fer vowing or reached your ievina tit for his book.a You have either reached 2 page thts unevalale fer vowing or reached your ievina tit for his book.a You have either reached 2 page thts unevalale fer vowing or reached your ievina tit for his book.