Organisations that wish to implement ISO14001 or retain certification will have to understand the key changes to the standard. The briefing also covered how to demonstrate compliance with the new 'compliance obligations'

1. YOUR HEADING
HERE
10.05.2011
ISO 14001: Revision of the
International EMS standard
ISO14001 – what does this
mean for business?
November 2015
Colleen Theron, Director, CLT
envirolaw
Ian Edwards, Director, Havard
Quality Solutions

2. Breakfast Briefing
Revision of the international EMS standard ISO
14001
– what does this mean for business?
Ian Edwards, Director
5th November 2015
Hilton Hotel
Brighton

3. Introduction
•Who Am I?
•What Do We Do?

4. Agenda
• Annex SL
• ISO 14001:2015
• Approach
• Structure
• Key Changes.

5. Annex SL
• New structure for all standards
• Adopted for ALL new and revised Standards
• Implementation of multiple standards –
simplification both initial implementation and
ongoing maintenance
• Management System Auditors – simplification.

6. Annex SL/ISO Standards Structure
1. Scope
2. Normative References
3. Terms and Definitions
4. Context of the Organisation
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance Evaluation
10. Improvement.

7. ISO 14001:2015
• Environmental Management System
• Date of Release – 15/09/2015
• Companies with Existing Certification – 3 year
timetable
• “New” Companies – Grey Area
• Certification to 2004 standard still allowed for short
period but Certification Bodies pushing towards the new
standard
• ISO 14001:2004 relatively generic, ISO 14001:2015
greater applicability to organisations and their
place in the “community”.

8. Approach
• PDCA
•Plan
• Develop and Design
•Do
• Produce
•Check
• Monitoring and Analysis
•Act
• Improve

9. Process Approach
ActionINPUT OUTPUT
No requirement for processes to be in a written document. Only that the
information is documented

10. PDCA

11. To Whom Does the Standard
Apply?
• Large Businesses
• Small and Medium-Sized Businesses
• Industry/Manufacturing
• Service Sectors
• Government Organisations
In Short
• ALL TYPES OF ORGANISATIONS.

12. Structure of the Standard
• Annexe SL
1. Scope
2. Normative References
3. Terms and Definitions
4. Context of the Organisation
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance Evaluation
10. Improvement.

13. Key Changes – General Comments
• More conceptual than previous (2004) version
• Holistic approach the EMS
• Broader strategic consideration for the organisation’s
environmental context (including interested parties)
• Commitment to sustainable development
• Less emphasis of on Documented Processes more
emphasis on Documented Information
• Greater emphasis on Leadership and Top Management
Involvement
• Influence in the supply chain
• Risk-Based Approach.

14. Key Changes
• Understanding the Context of the organisation
• Determine the scope of the organisations EMS (including the
boundaries)
• Determine external and internal issues that are relevant to the
organisation, its purpose and how they may affect its intended
outcomes
• Understand the needs and expectations of interested parties
• Interested Parties – any individual or group that have an interest
in the services/products of the organisation. Can include:
• Employees
• Customers
• Competitors
• General Public
• Regulatory Bodies
• Investors
• Shareholders

15. Key Changes
• Leadership
• Enhanced Commitment Required
• Greater expectation for Top Management to understand
and address the organisation's environmental issues
• Provide Adequate Resources
• Greater emphasis on Top Management accountability
and planning
• Establish/Implement/Maintain Environment Policy
• Assigning Roles and Responsibilities

16. Key Changes
• Documentation
• Shift in emphasis
• No requirement for documented procedures
• Greater emphasis for documented knowledge
• Don’t throw away your documents! You can still use them!!
• Planning
• Greater emphasis on planning to address:
• Risks
• Opportunities
• Interested Parties requirements
• Environmental Aspects
• More Joined Up Thinking!

17. Key Changes
• Control of Documented Information, as required by
the standard and the organisation
• Greater emphasis on Monitoring, Analysis and
Evaluation
• Performance Indicators
• No longer requirement for Preventive Actions –
Risk-based Approach!

18. Track Performance
• Ensure that environmental objectives are aligned
with Top Management Commitments and the
Environmental Policy
• Selection of Performance Indicators to
monitor/measure/analyse objectives

19. PDCA
4.1
external
4.2 needs
Plan
Chec
k
Act
Do
6.
Planning
5.
Leadership
10.
Improvemen
t
9.
Performance
evaluations
7/8
Support &
operation

20. Challenges
• How to interpret new requirements of the standard
• How to get more business value out of EMS
• Align EMS with business drivers
• Implementation of new standard

21. What Should I do?
• Start planning
• Consider Training Requirements at all Levels
• Internal auditors/ Top Management/ Intermediate
Management
• Embrace Key Changes to the Way Business Operates:
• Interested Parties
• Risk and Opportunities
• Changes to Procurement
• Undertake a Gap Analysis
• Contact Us

22. Contact Details
Ian Edwards
Consultant – Quality and Environmental
Management Systems
Telephone: (07852) 924237
Email: ian@havardqualitysolutions.com

23. Thank You
Ian Edwards
Colleen Theron
07852 924237
ian@havardqualitysolutions.com colleen.theron@clt-
envirolaw.com

24. YOUR HEADING
HERE
10.05.2011
ISO 14001 Revision: what do
the changes mean for business?
A focus on Compliance
Obligations
Colleen Theron, Director,
CLTenvirolaw
November 2015

25. Some of our clients

26. Three key takeaways
1. Understand the difference between old and new
standard in relation to legal aspects
2. Consider how you evaluate your compliance
obligations
3. Make a note of 2 actions to take away with you

27. Key Legal Requirements – ISO14001
• Identify and have access to compliance obligations
• Understand when the needs of expected parties
become its compliance obligations
• Establish systematic processes
• Consider the risk associated with compliance
obligations
• Establish operational controls
• Publicly commit to upholding a legal requirement
• Identify and fulfill relevant compliance obligations

28. Scope and scale of new
requirements
• Extended scope and scale
• On-going compliance required as part of key strategic
requirement of business
• Not constrained to an annual compliance check
• Impact on material supply chains, service and
product design

29. New Definition
• `Compliance Obligations’
• Replaces the phase ‘legal requirements and other
requirements’
• Standards says that the INTENT of new phrase is not
different

30. What are compliance obligations?
• Arise from Mandatory requirements
– Applicable laws, regulations, contractual
requirements
• Other requirements
– Codes of practice
– Trade association agreements
– Industry standards

31. 6. Planning
Existing Standard
• 4.3.2. Legal and other requirements
• The organisation shall establish,
implement and maintain a procedure (s)
• To identify and have access to the
applicable legal requirements and other
requirements to which the organisation
subscribes related to its environmental
aspects and
• To determine how these requirements
apply to its environmental aspects
• The organisation shall ensure that these
applicable legal requirements and other
requirements to which the organisation
subscribes are taken into account in
establishing, implementing and
maintaining its environmental
management system.
New Standard
• 6.1.3 Compliance Obligations
• The organisation shall:
• Determine and have access to the
compliance obligations related to its
environmental aspects
• Determine how these compliance
obligations apply to the organisation
• Take these compliance into account when
establishing the EMS
• The organisation shall maintain
documented information of its compliance
obligations

32. Planning
• Compliance obligations section directly linked to risk
associated with threats and opportunities in 6.1.4
• Risk required to be determined with associated
threats and opportunities
 Give assurance that the EMS can achieve outcomes
 Prevent or reduce undesired effects
 Achieve continual improvement
• Compliance obligations are also linked to
documented information in 7.5

33. Actions
• Actions are required to address risks and compliance
obligations (6.2)
• Actions must be integrated and implemented into
the EMS processes and the effectiveness of the
actions evaluated (non conformities A10.2)

34. 7.5 Documented Information
• Definition (3.7)
– Information required to be controlled and maintained by an
organisation (3.1) and the medium on which it is contained
• Necessary for the effectiveness of the EMS
• Will vary in content and extent depending on organisation
• Must be appropriate
• Must be updated, reviewed and approved for suitability and
adequacy
• Must be available and protected and controlled
• Necessary external documents must also be controlled in the
system
• E.g. Legal Registers, compliance audits, management plans to
address compliance obligations etc.

35. 9. Performance Evaluation
• Compliance obligations need to be monitored and
measured
• The methods for monitoring measurement analysis
and evaluation must be specified to ensure valid
results, including timing of such monitoring,
measurement and evaluation
• The results must be documented

36. 9.1.2 Evaluation of Compliance
Existing Standard
• 4.5.2.Evaluation of compliance
• 4.5.2.1. Consistent with its commitment to
compliance the organisation shall establish,
implement and maintain a procedure (s) for
periodically evaluating compliance with
applicable legal requirements
• The organisation shall keep records of the
results of the periodic evaluations
• 4.5.2.2. The organisation shall evaluate
compliance with other requirements to which
it subscribes
• The organisation may wish to combine this
evaluation with the evaluation of legal
compliance referred to in 4.5.2.1. Or to
establish a separate procedure (s)
• The organisation shall keep records of the
results of the periodic evaluations
New Standard
• 9.1.2 evaluation of Compliance
• The organisation shall establish, implement and
maintain the process(es) needed to evaluate
fulfillment of its compliance obligations
• The organisation shall:
– Determine the frequency that compliance
will be evaluated
– Evaluate compliance and take action if
needed
• Maintain knowledge and understanding of its
status of conforming with compliance
obligations
• The organisation shall retain documented
information as evidence of the compliance
evaluation results (s)

37. Demonstrating Environmental
compliance
• Revised text requires;
 Evaluation of compliance at pre-determined
frequencies
 Take any necessary action to address non compliance
 Maintain knowledge and understanding of its
compliance status

38. 9.2 Internal Audit
• Internal audit
– Does the EMS conforms to the standard?
– the CO’s own requirements
– and is effectively implemented and maintained
• The audits take into account the risks associated with threats
and opportunities as well as the results of previous audits
(includes compliance audits)
• Audit programme and audit results to be retained as
documented information and required to assist with
management review
• Compliance issues are integrated into the entire management
process

39. 9.3 Management Review
• Consider changes in compliance obligations and risks
associated with threats and opportunities
• Trends in fulfillment of compliance obligations
• All to contribute towards continual improvement
(10.2) to enhance environmental performance
• Consider what training they require

40. A new model
Legislation
Emerging
issues and
key contracts
Best Practice
- Tick-box
- Compliance
- Risk-lead
- Strategy
- Reputation
- Opportunity -
lead