ISO 14001:2015

Changes and challenges

www.apcergroup.com Dick Hortensius | NEN Management Systems
31 March & 1 April 2016
Overview of presentation
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Background of the revision:

The High Level Structure for ISO MSS and the
plug-in model for integration
The major changes in ISO 14001:2015
Related to the introduction of the HLS
Related to the recommendations of the Future
Challenges study group
 ISO 14001:2004
Environmental management
BSI PAS 55
ISO 9001:2008 Asset management
Quality management
OHSAS 18001
OHS management

ISO 27001
BS 25999
Information
Business
security
Continuity
ISO 30301
Records
ISO 22000 management
Food safety
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ISO 28000
ISO 50001 Supply chain
energy management security
New approach:
two advisory groups
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SAG MSS: strategic advisory group,

users of MSS, future of
management system standards

JTCG: practical coordination,

representatives of ISO/TC/PC/SC,
alignment of management system
standards
Shortcomings of ISO MS(S)
according to the SAG MSS
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Architecture of the standards:

Lack of a common model/framework
Too many separate standards, no incentives to integrate
Implementation
Little integrated application of MSS
Insufficient links to business risks
Relationship with corporate governance
Not embedded in the governance of organizations
No integral risk management
Flowermodel quality
Van NEN
Environment OH&S
Generic
core with
basic requirements
for a
management-
system

Other Safety

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Plug-in model
for ISO MSS
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Sector standards

TC 16949

ISO 29001
Examples:
Automotive
Medical devices
Oil and Gas industry
Generic standards

Specific guidelines
Quality management

Environmental
HLS ISO 19011
management Core elements
and
OH&S management requirements

Examples:
Examples: Auditing
ISO 31000
ISO 26000

ISO 19600

Risk management Documentation

Social Responsibility
Compliance management
Generic guidelines
Core of the plug in model
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MSS CORE
ELEMENTS

The core of the plug-in model requires for MSS:

Same structure (HLS))
Identical terms and definitions JTCG
Common basic requirements

Orador:

Local e Data:
Draft ISO Guide 83 Annex SL text
High level structure and identical text for MSS
and common core MS terms and definitions www.apcergroup.com

4. Context of the organization Resources

5. Leadership Competence
The organization and its context
6. Planning Monitoring,
Awareness measurement,
(issues/risks)
analysis
Communication
Leadership and commitment
7. Support andand
Needsplanning
Operational evaluation
and
expectations of

Policy
control Documented
Internal audit information
interested parties
8. Operation Organizational
Management roles,
review
Scope
of MS
Nonconformity and
9. Performance evaluation responsibilities
Actions to addressauthorities
and risks
corrective action
10. Improvement and opportunities
Continual improvement
Objectives and plans to
achieve them
Core elements Plug-in model
High Level Structure
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HLS Clauses Management processes

Context of the organization Leadership
Leadership Stakeholder management
Planning Risk management
Resources Compliance management
Operation Process management
Evaluation of performance Improvement management
Improvement (human) resources and support
Management processes
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High level structure and identical text for MSS and common
core MS terms and definitions
Seven generic management processes:
1. Leadership
2. Stakeholder management
3. Risk management
4. Compliance management
5. Process management
6. Improvement management
7. (Human) resources management
Connecting HLS clauses and generic
management processes (vertical linkages)
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Risk Improvement Support,

Themes Leadership
Compliance Management
Stakeholder Process
(human)
management management of Change
management management management
HLS resources
4.2 4.2
Context of the 4 Context
4.1 Internal and stakeholders, Stakeholders
Changes 4.4
of the Management
organisation organization external issues needs and needs
In the and
context
system
expectations expectations

Responsibilities, 5.1 Integration 5.3

5
Leadership Leadership authorities for system in 5.2 Policy Structure, roles,
MoC business responsibities
processes
6.1 addressing Planning of 6.2 objectives/ 6.2
Planning 6.1 Risks and
requirements in changes planning Objectives
opportunities
planning
resources, 7.1/7.2
7.4
competencies, 7
Support 7.1 resources communication
Communication
resources, 7.1 Resources
Support
competencies
documentation

8.1
Control of
Operation 8 8.1 Operational
changes
Risk control Process control control

9.3 9.1
Evaluation of Management 9.1 monitoring 9.1 monitoring
9.3
Monitoring, Monitoring,
9.1, 9.2, 9.3
Management Evaluatie
performance Review of control of compliance auditing
Review measuring prestaties

10.1, 10.2
10.2 10.1 correction, 10.1 correction, 10.1 correction, Corrective
Improvement improvement corrective action corrective action corrective acion actions and
improvement
Orador:

Local e Data:
From context analysis to operational
control
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What is happening What are the risks (threats/opportunities)?

what are the trends?

Analysis, prioritization
4.1 Issues (factors) 6.1 Risk management

Strategic 8 Operational control

4 Understanding 9 Monitoring
the context assessment

4.2 stakeholders 6.1 compliance management

Who are we effecting?

What are the requirements, needs and
Who are affecting us?
expectations?
Orador: Who do we need to consider?
What are our compliance obligations?
Local e Data:
Two management levels in the HLS
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External/internal issues and

developments
strategic analysis
Stakeholders, needs and
4.1/4.2
context
expectations
analysis

Strategic level 9.3

manage- 4.3/4.4
doing the right things ment
review
PDCA
system

5.3
structure Input review 5.2 policy
5.1 leader
ship

Supporting
elements
6.1
addressing
Operational
risks and
opportunites Risk assessment
7
10 Corrective
support action and
6.2 objectives
and planning
improvement
PDCA

Operational level 9 Evaluation of

performance/ 8 Operation Operational
internal audit
doing the things right controls
The contribution of SHEQ to
corporate governance
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Leadership HLS Stakeholder

4.1/4.2
management
context
analyse
Doing the right things 9.3

Mission and strategy manage-

ment
review
PDCA
4.3/4.4
systeem

5.2 beleid 5.1 leider

Compliance
Link strategy 5.3 structuur schap
management
and
operation
6.1
Risk
aanpakken
van risicos en
kansen management
Doing the things right 10 6.2

Operational excellence Corrigerende

acties en
verbetering
PDCA
doelstellingen en
planning

Humans & Process

9 Evaluatie van 8 Uitvoering
resources prestaties/
interne audit
7 support
management
Importance HLS/plug-in model
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Companies:
ISO management systems become part of the corporate
governance
Integration and expansion of systems becomes easier
Assists in dealing with current and future societal challenges

Stakeholders:
Interests (issues and requirements) are taken into account in
managing the organization
Importance HLS/plug-in model
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For certification:
Makes combined audits and modular approach to
certificates easier
Better focus on assessing new modules?
Easier (ex)change of CBs?

For governmental supervision/inspection:

Risk management and compliance management are an
integral part of (certified) management systems
 ISO 14001
ISO 9001
milieumanagement
PAS 55/ISO 55001
ISO 9001 Asset management
kwaliteitsmanagement
ISO 14001 OHSAS OHSAS 18001
18001 arbomanagement

Guide 83
ISO 27001 HLS ISO 22301
Information
Business
security
Continuity
ISO 50001 ISO 22000
ISO 30301
Records
HACCP/ISO 22000 management
Food safety
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ISO 28000
ISO 50001 Supply chain
energy management security
 www.apcergroup.com

Orador:

Local e Data:
Revision ISO 14001
Two challenges
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How to apply the high level structure to

the new edition of ISO 14001?

How to cope with the reccomendations of the

Future challenges study group?
Future challenges study group
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Established in 2008; convenership: NEN

Identification and assessment of new trends and
developments in the application of EMS since the publication
of ISO 14001 in 1996 en 2004
Issues amongst others:
Relationship with CSR/sustainability and strategic
management
Compliance with legislation and regulatory requirements
Improvement of environmental performance
Value chain management (life cycle)
External communication
Revision ISO 14001
Two types of changes
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Related to application of HLS

Structure of the standard
Systems approach and documentation requirements
Context analysis and explicit risk-based thinking
Leadership
Related to the FC recommendations
Life cycle approach
Communication
Monitoring with KPI
Evaluation of compliance - compliance status
Continual improvement of environmental performance
New structure of 14001:2015 (I)
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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

4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested
parties
4.3 Determining the scope of the EMS
4.4 The environmental management system 4.1 General requirements
5 Leadership
5.1 Leadership and commitment
5.2 Environmental policy 4.2 Environmental policy
5.3 Organizational roles, responsibilities and authorities 4.4.1 Resource, roles, responsibility and authority
6 Planning 4.3 Planning
6.1 Actions to address risk and opportunities 4.3.1 Environmental aspects
(6.1.1 general/6.1.2 environmental aspects/6.1.3 4.3.2 Legal and other requirements
compliance obligations/6.1.4 planning actions)
6.2 Environmental objectives and planning to achieve them 4.3.3 Objectives, targets and programmes
(6.2.1 environmental objectives/6.2.2 planning actions to
achieve environmental objectives)
Orador:

Local e Data:
New structure of 14001:2015 (II)
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ISO 14001:2015 ISO 14001:2004

7 Support (4.4 Implementation and operation)
7.1 Resources
7.2 Competence 4.4.2 Competence, training and awareness
7.3 Awareness
7.4 Communication 4.4.3 Communication
(7.4.1 General/7.4.2 Internal communication/ 7.4.3
External communication
7.5 Documented information 4.5.4 Documentation
(7.5.1 General/7.5.2 Creating and updating/7.5.3 Control of 4.5.4 Control of records
documented information)

8 Operation 4.4 Implementaton and operation

8.1 Operational planning and control 4.4.6 Operational control
(including the life cycle perspective)
8.2 Emergency preparedness 4.4.7 Emergency preparedness

9 Evaluation of performance 4.5 Control

9.1 Monitoring, measuring, analysis and evaluation 4.5.1 Monitoring and measuring
(9.1.1 general/9.1.2 evaluation of compliance) 4.5.2 Evaluation of compliance
9.2 Internal audit 4.5.5 Internal audit
(9.2.1 general/9.2.2 Internal audit programme) 4.6 Management review
9.3 Management review
10 Improvement
10.1 General 4.5.3 Nonconformity, corrective action and preventive
Orador:
10.2 Nonconformity and corrective action action
10.3 Continual improvement
Local e Data:
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Orador:

Local e Data:
Systems approach of ISO 14001
2004 edition:
15 procedures
14 system procedures
(documentation not required)
X operational procedures
(4.4.6) (documented when
necessary)
Documents and registrations
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2015 edition:
No procedures required
More use of direct
requirements:
The organization shall
determine, identify, conduct,
establish.
Sometimes establish,
implement and maintain a
process
Documented information
(maintain, retain)
Documented information
3 types of documents
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The policy shall be maintained as documented

information (a document)

The organization shall maintain documented

information to the extent necessary to have
confidence that the process is carried out as planned
(can be a procedure)

The organization shall retain appropriate documented

information as evidence of monitoring, measurement,
analysis and evaluation (a record)
Documented information
to be determined by the organization
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In many cases documentation is not (explicitly) required:

The organization shall determine external and internal
issues..

Top management shall ensure that responsibilities and

authorities for relevant roles are assigned and
communicated

The organization shall plan how to evaluate the

effectiveness of these actions ...
Procedures processes
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New processes
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Context analysis (4.1)
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4.1 Understanding the organization and its context

Determine internal and external issues that:
are relevant to the purpose of the organization and
Affect the ability to achieve the intended outcomes of the
EMS
This includes environmental conditions that are affected by the
organization and vice versa
Intended outcomes of the EMS (see scope):
Improvement of environmental performance
Fulfilment of compliance obligations
Achievement of environmental objectives
Context analysis (4.1)
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A.4.1
Examples of issues:
Environmental conditions related to climate, air quality, water
quality, land use, natural resource availability and biodiversity
external cultural, social, political, regulatory, financial,
technological, economic, natural and competitive
circumstances
internal characteristics or conditions of the organization, such
as its activities, products and services, strategic direction,
culture and capabilities (people, knowledge, systems)
Context analysis (4.2)
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4.2 Understanding the needs and expectations of interested

parties
The organization shall determine:
Interested parties relevant to the EMS
The relevants needs and expectations (the
requirements) of these interested parties
Which of these needs and expectations become
compliance obligations of the organization

General understanding in 4.2; detailed analysis in 6.1

Context analysis (4.2)
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Examples of interested parties (3.1.6)

customers,
communities,
suppliers,
regulators,
non-governmental organizations,
investors and
employees
From context analysis to operational
control in ISO 14001:2015
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What are the risks and opportunities)?

What is happening?
What are the trends
Linkages with environment aspects, processes,
and developments? products and services (6.1)

Issues/factors (4.1) Risk management 6-10

Analysis, prioritization
4 Context analysis Operational control 8.1
Emergency preparedness 8.2

Stakeholders (4.2) Compliance management 6-10

Linkages with environment aspects, processes,

products and services (6.1)

Who are we effecting?

Orador: Who are affecting us? What are the requirements, needs and
Who do we need to consider? expectations?
Local e Data:
What are our compliance obligations?
Planning
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6.1 actions to address risks and opportunities

6.1.1 general
determination of risks and opportunities related to significant environmental
aspects, compliance obligations and other issues (4.1/4.2) that need to be
addressed to achieve the intended outcomes of the EMS , to prevent negative
effects and to achieve continual improvement
6.1.2 Significant environmental aspects
Identification and evaluation of environmental aspects
significant environmental aspects can result in risks and opportunities
6.1.3 Compliance obligations
Identification of compliance obligations and determination of how these apply to
the organizations (activities, products, services, assets, environmental aspects)
compliance obligations can result in risks and opportunities
6.1.4 Planning action
Planning of actions to address risks and opportunities, significant environmental
aspects, compliance obligations, how to integrate these actions in the EMS and
how to evaluate the effectiveness of these actions
 ISO 14001:2004 ISO 14001:2015

Context analysis (4)

Environmental Legal and other

Environmental Compliance
aspects (4.3.1) requirements (4.3.2)
Aspects (6.1.2) obligations (6.1.3)
criteria
criteria
Significant
Significant
environmental aspects
environmental aspects

Risks and
Objectives/ criteria opportunities Policy
criteria (6.1.1)
targets (4.3.3)

Planning
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Operational control (4.4.6) Objectives (6.2) Operational control (8.1)

Risks and opportunities in
ISO 14001
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Context: issues, (changing) circumstances, stakeholders, requirements, needs, 4.1/4.2

expectations

Environmental aspects

6.1.2 Compliance
Climate change 6.1.3
obligations
Decarbonization of
Regulatory energy economy
Signicifant environmental
scan; smart
Installation of Clients require
Risks: aspects
x % reduction ofresulting in information on
Energypollution
Environmental savings in userequired measures meters
energy New technologies
operation
Non-compliances of Carbon footprint Monitoring energy carbonfootprint
Enhance share of requires
Prorail EnhanceCO
awareness
Loss of processes
clients information use 2
energy from of employees
Own policy is not achieved,loss Requirements
renewable
of image of the Monitoring CO2 performance certificate
Opportunities:
CO2 performance emissions Governmental
Risks and opportunities
resources
Improving the environment, sustainable requirements 6.1.1
products CO emissions certificate
2
share
Increasing market Energy use
Cost savings

6.1.4 Planning of
actions
Orador:

Establishing 6.2
Local e Data: Operational control
objectives 8.1 Resources/competencies 7.1/7.2 Monitoring 9.3
Leadership (I)
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5.1 Leadership and commitment

Top management shall demonstrate leadership and commitment
with respect to the environmental management system by:
taking accountability for the effectiveness of the environmental
management system;
ensuring that the environmental policy and environmental
objectives are established and are compatible with the strategic
direction of the organization;
ensuring the integration of the environmental management system
requirements into the organizations business processes;
ensuring that the resources needed for the environmental
management system are available;
Leadership (II)
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communicating the importance of effective environmental

management and of conforming to the environmental management
system requirements;
ensuring that the environmental management system achieves its
intended outcomes;
directing and supporting persons to contribute to the effectiveness
of the environmental management system;
promoting continual improvement;
supporting other relevant management roles to demonstrate their
leadership as it applies to their areas of responsibility.
Life cycle perspective (I)
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Life cycle (3.3.3):

consecutive and interlinked stages of a product (or service)
system, from raw material acquisition or generation from
natural resources to final disposal
Scope (1):
This International Standard..is applicable to the
environmental aspects that the organization determines it can
either control or influence considering a life cycle pespective
Life cycle perspective (II)
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Environmental aspects (6.1.2):

The organization shall determine the environmental aspects of
its activities, products and services that it control and those
that it can influence ........ considering a life cycle perspective.
Life cycle perspective (III)
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Operational planning and control (8.1)

Consistent with a life cycle perspective, the organization shall:
a) establish controls, as appropriate, to ensure that its environmental
requirement(s) is (are) addressed in the design and development
process for the product or service, considering each life cycle stage;
b) determine its environmental requirement(s) for the procurement of
products and services, as appropriate;
c) communicate its relevant environmental requirement(s) to external
providers, including contractors;
d) consider the need to provide information about potential
significant environmental impacts associated with the
transportation or delivery, use, end-of-life treatment and final
disposal of its products and services.
Compliance status (I)
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3.2.9 Compliance obligation (preferred term):

Legal and other requirements (admitted term)
legal requirements that an organization has to cmply with and
other requirements that an organization has to or chooses to
comply with
(source: ISO 19600)
Understanding the needs and expectations of interested
parties (4.2):
The organization shall determine. which of these needs and
expectations become its compliance obligations.
Compliance status (II)
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Compliance obligations (6.1.3)

The organization shall:
Determine and have access to the compliance obligations
related to its environmental aspects
Determine how these compliance obligations apply to the
organization
Maintain documented information of its compliance
obligations
Compliance status (III)
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Evaluation of compliance (9.1.2)

The organization shall:
Evaluate the fulfilment of its compliance obligations
Determine the frequency that compliance will be
evaluated
Take action if needed
Maintain knowledge and understanding of its compliance
status
Compliance status (IV)
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Commitment to fulfil its compliance obligations (5.2)

Identification of needs and

changes?
expectations of interested parties
and determine compliance obligations Management review (9.3)
(4.2)

Determine compliance
requirements (6.1.3)

Risks and opportunities related to Compliance status

compliance requirements (6.1.1)

Planning actions (6.1.4)

Orador:
Actions and measures (6.2, Compliance-
Local e Data:7, 8.1, 8.2) evaluation (9.1.2) Source: SCCM
Communication (I)
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7.4 Communication
7.4.1 General
The organization shall establish, implement and maintain the process(es)
needed for internal and external communications relevant to the
environmental management system, including:
a) on what it will communicate;
b) when to communicate;
c) with whom to communicate;
d) how to communicate.
When establishing its communication process(es), the organization shall:
take into account its compliance obligations;
ensure that environmental information communicated is consistent with
information generated within the environmental management system,
and is reliable.
Communication (II)
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External communication (7.4.3)

The organization shall externally communicate information
relevant to the environmental management system, as
established by the organization's communication process(es) and
as required by its compliance obligations.
Monitoring using KPI (I)
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Planning actions to achieve environmental objectives (6.2.2)

The organization shall establish
how the results will be evaluated, including indicators
for monitoring progress toward achievement of its
measurable environmental objectives
Monitoring using KPI (II)
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Monitoring, measurement, analysis and evaluation (9.1)

The organization shall determine
The criteria against which the organization will evaluate its
environmental performance, and appropriate indicators
Improvement of environmental
performance (I)
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Environmental performance (3.4.11)

Performance (i.e measurable result) related to the
management of environmental aspects
Scope (1)
Intended outcomes of the EMS include
Enhancement of environmental performance
Policy (5.2)
Includes a commitment to continual improvement of the
EMS to enhance environmental performance
Improvement of environmental
performance (II)
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Management review (9.3)

Input: opportunities for continual improvement
Output: decisions related to continual improvement
opportunities
Continual improvement (10.3)
The organization shall continually improve of the EMS with a
view to enhance environmental performance
ISO 14001:2015
Most important changes(I)
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New structure (HLS based)

Context analysis: internal and external issues, stakeholders, needs
and expectations, determination of compliance obligations
Commitment, involvement and responsibilities of top management
is more explicit.
Value chain management (life cycle perspective) is more explicit
throughout the standard
ISO 14001:2015
Most important changes(II)
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Inclusion of the concept risks and opportunities

Application of (key performance) indicators to monitor
achievement of environmental objectives.
More emphasis on external communication and the quality of
environmental information
Changes in requirements related to documentation
The mechanism of (continual) improvement is more explicitly
related to improvement of environmental performance
ISO 9001:2015 and 14001:2015
Certification Transition Timeline
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2015 2016 2017 2018

September 2015
Published International
Standard

September 2015 start of 3 years transition period to

September 2018

Orador:

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More information
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KAM-MAIL

Orador:
www.nen.nl/denieuweiso
Local e Data:
 Dick Hortensius
www.apcergroup.com

NEN Management Systems

Dick.Hortensius@nen.nl