© 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
© 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
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
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
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/.