ISO 14001 Revision: Status and Transition

ULDQSManagementSystemsSolutions©
ISO 14001 Revision:
Status and Transition
Presented by
Gary W. McRae, DQS, Inc. Program Manager-EHS and Energy
Mary C. McKiel, DQS, Inc. International Standards Expert Advisor

 Introductions
 Review & Updates
 Interview: Audit and Certification

Mary C. McKiel
 Standardization &
Certification procedures,
policies, development and
application: 30+ years
 Former Vice Chair of US
TAG to ISO TC 207
 Current Vice Chairman
ANSI Board
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

BASICS
 ISO Technical Committee 207 & ISO 14001
 The U.S. Technical Advisory Group (TAG)
Thru ANSI
 Revision Timeline for ISO 14001

ISO 14001
ISO 9001
High Level Standard
• Context of the
Organization
• Leadership
• Planning
• Support
• Operation
• Performance
Evaluation
• Improvement
CHANGES: STRUCTURE

FDIS 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.

 Strategic Environmental Management - within
the organizational context (New Clause 4)
identify benefits for the environment and the
organization.
 Top Management Leadership - integration of
the EMS into organizational strategic business
planning. (New clause 5)
 Context of contributing to sustainable
development. (Scope, New Clause 6)
CHANGES: FOCUS

REVIEW
 Environmental Performance – shift in
emphasis: improve environmental
performance of the system consistent with
organizational context. (New Clause 9)
 Communication - Strategy with equal
emphasis on external and internal. (New
Clause 7.4)
 Documentation – Change to ‘documented
information’, instead of ‘documents’ and
‘records’. (New Clause 7.5)

REVIEW
 ISO 14001 webinars: http://ul-dqsusa.com/iso-
140012015/
 Written articles:http://ul-dqsusa.com/information-
center/newsletters/.
UL DQS ISO 14001 INFORMATION

UPDATES
 UL DQS Update article
6/3/15
 ISO Work Group
meeting in London:
Results
 Outlined remaining
issues and highlighted
unresolved comments;
 Encouraged early
planning for certification
or re-certification
 Before results from
London meeting
 Comments resolved
 Document moved to
FDIS
 U.S. successful

 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
Publication Sept. 2015
*Approval stage*

UPDATE
 Risks and opportunities focused on effects of
consequences not uncertainty of consequences
 Flexibility for controlling or influencing outside
sources
 Incorporation of Annex SL requirements and
aligning with 9001 where appropriate.
US SUCCESS IN LONDON

UPDATE
 Organizations retain authority and autonomy
to determine:
 how to fulfill the 14001 requirements,
 extent of EMS integration into business
processes
 incorporation of issues related to its context
within their EMS
 Maintaining practical and sensible
documentation requirements

INTERVIEW: AUDIT & CERTIFICATION
QUESTIONS and ANSWERS
Gary McRae – UL DQS Lead Auditor ISO 14001
1. Now that the document is at the FDIS stage,
how does that impact the timeline for
auditing, transition, certification, etc?
2. And as a follow up, for how long will
certifications for ISO 14001:2004 be valid?

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

INTERVIEW
3. We’ve heard a lot about key changes to
ISO14001:2015. In your opinion as an auditor,
what are some of the more significant of these
changes?
4. Could you explain what “Context of the
Organization” means in practical terms so that
I can better understand and be able to explain
the meaning to my organization?

INTERVIEW
5. What about “Life Cycle Perspective”? What
are the expectations that a Certification
Body, such as UL DQS, would expect to see
related to this requirement?

INTERVIEW
6. The new Standard talks about “Risks and
Opportunities”. Could you elaborate on
these terms?

INTERVIEW
7. The restructuring of the Standard to
Annex SL is a key change along with new
terminology for “documented information”. As
a certified organization will I be expected to
change all my management system
documentation to align it with the new
Standard requirements and structure?

INTERVIEW
8. The terms “Consider” and “Take into
Account” are used in several clauses in the
new Standard. What is the difference?

INTERVIEW
8. I understand that “Preventive Action” is no
longer in the Standard. What is going on
with this?

INTERVIEW
11.The revised Standard uses the terms
“Appropriate” and “Applicable”. Can you
talk about what the difference in these
terms means?

INTERVIEW
11. There are a number of references to
“intended outcomes” in the revision. Can
you help clarify what this means?

INTERVIEW
 Clarification of intent document.
 Certification auditors use the the CI document
that is provided by the TAG administrator:
ASQ.
 www.asq.org and search for clarification of
intent, ISO 14001. Also see iso.org site for ISO-
TC-207/SC1

INTERVIEW
13.We have been living with and are very
familiar with our 2004 version of the
Standard. Do you have any advice for those
of us who want to get up to speed with the
new Standard?

INTERVIEW
13. How is UL DQS approaching the transition
process?

INTERVIEW
15.If I am currently certified to ISO14001:2004
what is the process to upgrade my
management system to the ISO14001:2015
Standard?
16. What is the difference between a Stage 1
and Stage 2 audit?
17. Can I have a gap assessment performed to
see where our management system is?

INTERVIEW
18.Do I need to wait to upgrade my existing
ISO14001 registration until I am due for my
normal triennial recertification?
19. How many audit days are required for
upgrading to the new ISO14001:2015
Standard?
20. How should I prepare my organization for
transitioning to the new Standard?

INTERVIEW
21. In the final analysis, what are some of the
benefits of being certified to the revised
standard? Isn’t the transition going to be a
lot of extra work?
22. Can I use the FDIS as the basis for
preparing for certification, and if so, where
do I get it?

WRAP UP
THANK YOU GARY!!!
Other Questions?
Next Steps:
 US TAG meets in August to determine US vote
 Webinar and responses will be available at
http://ul-dqsusa.com/iso-140012015/
 UL DQS will continue to provide information on
the standard and on certification activities

ISO 14001 Revision: Status and Transition

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