The document discusses the revisions to the ISO 14001 standard, focusing on changes, benefits, challenges, and the certification transition process. Key updates include the integration of environmental management within an organization's strategic planning and a stronger emphasis on leadership roles. The anticipated publication of the revised standard is set for September 2015, with a transition period for organizations to adapt by September 2018.

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ISO 14001 Revision:
Changes, Benefits and
Opportunities
Presented by
Gary W. McRae, UL DQS Program Manager-EHS and Energy
Mary C. McKiel, UL DQS International Standards Expert Advisor

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 Introductions
 Presentation
 Q’s & A’s

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Mary C. McKiel
 Over 30 years in
standards: policies,
development and
application
 Former Standards
Executive at U.S. EPA
 Vice Chairman at ANSI
Gary W. McRae
 Environmental
Consulting: 20+ years
 Environmental Auditing:
With UL since 1997
auditing for ISO14001
Management Systems
 B.S. Computer Science;
B.S. Environmental
Engineering

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 Background Review
 Changes to ISO 14001:
Benefits, Challenges, Opportunities
 Certification Transition

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 ISO Technical Committee 207 for 14001
 Revision Process for ISO 14001
 The U.S. Technical Advisory Group for 14001

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 Formed in early 1993, Canadian Standards
Association is Secretariat
 Work conforms to
ISO Directives
 Structure:
main committee,
subcommittees, work groups and task groups

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 Responsible for ISO
14001 development,
review, revision
 Lead by U.K., largest of
the Subcommittees
 Strong U.S
participation

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 Initiated under the Joint ISO/IEC
Directives scope for revisions
 Progression:
Committee Draft - CD
2012
Draft International Standard - DIS
Final Draft International Standard - FDIS
2013
2014
2015
National Body Approval - Adoption June 2015

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Revised ISO 14001:
Anticipated publication by September 2015

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ISO 14001
ISO 9001
ISO 50001
High Level Standard
• Context of the
Organization
• Leadership
• Planning
• Support
• Operation
• Performance
Evaluation
• Improvement
ETC.

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roup
 Mirrors ISO TC 207 Structure
TAG SC1 TC SC1
 Leadership: Experience in ISO 207
 UL DQS participation

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 Scope
 Structure
 Content

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14001:2004
for an environmental
management system to
enable an organization to
develop and implement a
policy and objectives
which take into account
legal requirements and
other requirements to
which the organization
subscribes, and
information about
significant environmental
aspects.
DIS 14001: 2015
of an environmental
management system for
organizations seeking to
establish, implement,
maintain and continually
improve a framework with
the aim to manage its
environmental
responsibilities…
This international standard specifies requirements…

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DIS 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.

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 Environmental performance not just system
performance
 Important integration of environmental
management in an organization’s strategic
planning
 Expanded roles for top management

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 Organization Context –
basis for establishing
the system’s objectives
and goals
 Communications in
terms of strategy and
relationship with
regulatory requirements
 Updated concepts for
documentation

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 Increased emphasis on environment – it’s
not just about the system
ISO 14001: 2004 ISO 14001: DIS
Scope …requirements for an
environmental management
system to enable an
organization to develop and
implement a policy and
objectives which takes into
account legal requirements
and other requirements to
which the organization
subscribes, and information
about significant
environmental aspects. …
…requirements of an
environmental
management system for
organizations seeking to
establish, implement,
maintain and continually
improve a framework with
the aim to manage its
environmental
responsibilities in a
manner that contributes to
the environmental pillar of
sustainability.

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ISO 14001: 2004 ISO 14001: DIS
Environmental
Management
System
Section 4.1 Section 4.4
…establish, document,
implement, maintain and
continually improve an
environmental
management
system…and determine
how it will fulfill these
requirements.
…establish, implement, maintain
and continually improve an
environmental management
system, including the processes
needed and their interactions, … to
enhance its environmental
performance.

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 Role of top management in…
ISO 14001: 2004 ISO 14001: DIS
Environmental
Policy
…shall define the organization’s
environmental policy…
…shall establish,
implement and maintain
…environmental policy
Leadership --------------------------------------- …shall demonstrate
leadership and
commitment with respect
to the environmental
management system…

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 Compliance obligations
ISO 14001: 2004 ISO 14001: DIS
Evaluation of
compliance
Consistent with its
commitment to compliance,
the organization shall
establish, implement and
maintain a procedure for
periodically evaluating
compliance with applicable
legal requirements.
The organization shall plan and
implement a process to
evaluate conformity with its
compliance obligations. The
organization shall: … evaluate
compliance and take action if
needed; maintain knowledge
and understanding of its status
of conforming with compliance
obligations.

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 Risk associated with threats and opportunities
ISO 14001: 2004 ISO 14001: DIS
------------------------- The organization shall determine the risk
associated with threats and opportunities that
needs to be addressed to:
Give assurance that the environmental
management system can achieve its intended
outcome(s);
Prevent, or reduce, undesired effects, including
the potential for external environmental conditions
to affect the organization;
Achieve continual improvement.

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The Plan, Do, Check, Act system approach is
retained but there is significant improvement in
the key area of process vs procedure.

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 Procedure vs. Process
 Process management is key
 ISO 14001 DIS:
significant win for process

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 Definition of process
 Process effectiveness
 Uniquely adaptable to
each organization

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Approach to Improvement
 Definition of procedure
 Example of a Process
 Process-based; Procedure detailed

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 Achievement of environmental objectives
 Unification of policies and objectives
 Integration and
process alignment

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 Transition from procedure to process
 Engaging top management for greatest
effectiveness
 Determining environmental risks associated
with processes

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 Transition as a driver for improved
organizational effectiveness
 Realizing operational process benefits
 Ease of documentation for system records

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 Benefits of the DIS 14001
 Challenges
 Opportunities

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 What is the effective timeline for the
changes?
 How early can clients line up for
certification audits to the revised
standard?

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Timeframe
2015 2016 2017 2018
September 2015:
Published International
Standard
Begin 3 year transition period, ending in
September 2018

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An organization can upgrade in several ways:
 As part of a scheduled Recertification Audit – which is
probably most efficient and least costly
 Through the Continual Assessment process with
additional audit time
 Through a special Transition Audit
 Our auditors will be ready to perform gap assessments as
part of any assessment with additional time

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 UL DQS can audit clients to the FDIS and
issue Assessment letter reports which they
can use to recognize their conformance and
commitment to conform with ISO 14001:2015.
 If an organization conforms to the FDIS UL
DQS will only need to perform verification to
the International Standard when it is issued.

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Standards Update articles
Other Informational Updates
New ISO 14001 Series Webinars

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 Standards Update will
cover the outcome of the
March TAG for ISO 14001
 In late April or early May,
UL DQS will host a
webinar covering
specifics on ISO 14001
auditing plans and
options
 Timelines and information
on transition and auditing

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And now it’s your turn…
Questions, please!