Deepening the Dive into ISO 14001:2015

© DQS Group 1 December 17, 2015

Presented by Gary W. McRae, DQS, Inc. Program Manager-EHS and Energy

Mary C. McKiel, DQS, Inc. International Standards Expert Advisor

AGENDA

December 17, 2015 © DQS Group 2

INTRODUCTIONS

December 17, 2015 © DQS Group 3

Standardization &

Certification procedures,

policies, development and

application: 30+ years

Former Vice Chair of US

TAG to ISO TC 207

Current Vice Chairman

ANSI Board

• Environmental Consulting: 20+

years

• Environmental Auditing: With UL/DQS since 1997 auditing for ISO14001 Management Systems

• B.S. Computer Science; B.S. Environmental Engineering

INTRODUCTION

REVIEW

QUESTION:

How long will certifications to ISO 14001:2004 be valid

and when should customers begin the transition?

REVIEW

RESPONSE

September 2015: Published International Standard

September 2015: begin 3 year transition. End in September 2018

REVIEW

RESPONSE

3-year transition

Deadline is September 15, 2018.

Organization cannot hold certification to the 2004

version after September 15, 2018.

Transition required for continued certification

REVIEW

QUESTION

How is UL DQS approaching the transition process?

Does DQS do gap assessments for customers already

certified to the 2004 version and wishing to transition

to the revised standard?

REVIEW

RESPONSE

DQS- one of first Certification Bodies to be

accredited

Expert understanding of new certification

requirements

DQS gap analysis – key service for customers

Identify strengths and weaknesses of management system

Helps expedite certification process

INTERVIEW

FOCUS

Clause 4: Context of the Organization

4.1 - Understanding the organization and its context

4.2 - Understanding the needs and expectations of

interested parties

Clause 5: Leadership

5.1 - Leadership and commitment

5.2 – Environmental Policy

ISO 14001: 2015 ISO 14001: 2004

Context of organization (Sec.4)

Determining Scope

Environmental Management system

Leadership (Sec.5)

Policy

Roles, responsibilities, authorities

Planning (Sec.6)

Address risks and opportunities

Significant environmental aspects

Environmental objectives

Support (Sec.7)

Resources, awareness, competence, communication

Documentation

Operation plan & control (Sec.8)

Performance evaluation (Sec.9)

Improvement (Sec.10)

General requirements (Sec 4

thru 4.5.3)

Policy

Planning

Roles, resources, responsibilities

Environmental aspects

Legal and other requirements

Objectives, targets, programs

Implementation & operation

Competence, training, awareness

Communication

Documentation

NOTE: Changes in the sections on Terms and Definitions and Annexes not included here.

INTERVIEW

QUESTION

How do you as an auditor interpret the requirement in

Section 4.1 below, and what types of records or actions

might indicate that the requirement has been met?

Section 4.1 – “The organization shall determine external

and internal issues that are relevant to its purpose and

that affect its ability to achieve the intended outcomes

of its environmental management system.

Such issues shall include environmental conditions

being affected by or capable of affecting the

organization.”

INTERVIEW

Clause 4 Context of the Organization, Subclauses

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 environmental management system

Key Subjects:

+ Determine external & internal relevant issues;

+ Determine relevant interested parties and their

relevant needs and expectation;

+ Intended Outcome of the EMS;

INTERVIEW

Annex A.4.1 Some examples of external and

internal issues:

a) environmental conditions related to climate, air quality, water

quality, land use, existing contamination, natural resource

availability and biodiversity, that can either affect the

organization’s purpose, or be affected by its environmental

aspects;

b) the external cultural, social, political, legal, regulatory, financial,

technological, economic, natural and competitive circumstances,

whether international, national, regional or local;

c) the internal characteristics or conditions of the organization,

such as its activities, products and services, strategic direction,

culture and capabilities (i.e. people, knowledge,

processes, systems).

14

INTERVIEW

a) environmental conditions related to climate, air quality, water

quality, land use, existing contamination, natural resource

availability and biodiversity, that can either affect the

organization’s purpose, or be affected by its environmental

aspects;

Example:

INTERVIEW

b) the external cultural, social, political, legal, regulatory,

financial, technological, economic, natural and competitive

circumstances, whether international, national, regional or local;

INTERVIEW

c) the internal characteristics or conditions of the organization,

such as its activities, products and services, strategic direction,

culture and capabilities (i.e. people, knowledge,

processes, systems).

INTERVIEW

QUESTION

“What are the minimum requirements related to

‘intended outcomes’ and how can I get across to our

site management that they need to identify

these? That they have this responsibility?”

INTERVIEW

Intended Outcomes

Key areas

• enhancement of environmental performance;

• fulfillment of it’s compliance obligations; and

• achievement of it’s environmental objectives.

Section 4.4 – system and process improvement

Section 5.1 – ensured by leadership commitment

Section 6 – planned

Section 10 – implemented

INTERVIEW

Leadership Role

• Management involvement

• Personal commitment

• Necessary for certification

INTERVIEW

QUESTION

Where the requirement says: “conditions being affected

by or capable of affecting the organization” how far does

that go? In other words, as an auditor how much or what

kinds of information do you think is needed to address

this?

INTERVIEW

Clues From Annex A

• Environmental conditions are those related to:

• Climate

• Air quality

• Water quality

• Land use

• Existing contamination

• Natural resource availability

• Biodiversity

ion ilabtility

INTERVIEW

QUESTION

Section 5.2 of the standard talks about the

environmental policy. Under the new requirements is

there a need to change the wording of our existing

environmental policy?

INTERVIEW

SCOPE OF THE EMS POLICY

ENVIRONMENTAL OBJECTIVES

DO THEY COMPARE?

INTERVIEW

After all is said and done, what are some of the

benefits of being certified to the revised standard?

INTERVIEW

Benefits of Certification

• Greater motivation for

achieving results

• Increased market

• Higher level of credibility

• Increased environmental

improvements and

response to stakeholders

WRAP UP

THANK YOU GARY!!!

Other Questions?

Next Steps:

Webinar and responses will be available at http://ul-

dqsusa.com/iso-140012015/

Next Webinar Topic: Lessons Learned

UL DQS will continue to provide information on the

standard and on certification activities

WRAP UP

ISO 14001 webinars: http://ul-dqsusa.com/iso-

140012015/

Written articles:http://ul-dqsusa.com/information-

center/newsletters/.