ISO 14001:2015 - Environmental Management Systems Meeting stakeholder expectations White paper Abstract ISO 14001 - the international standard for environmental management is the most widely recognised environmental management system (EMS) standard in the world. By providing a best practice approach, ISO 14001 sets out the requirements for an EMS to help organisations improve their environmental performance, e.g. through more efficient use of resources and the reduction of waste. They can also gain a competitive advantage and the trust of their stakeholders. On 15th September 2015, a new version of the standard was published (ISO 14001:2015). There is now a transition period until 14th September 2018, after which certificates as to ISO 14001:2004 will be replaced by the new ISO 14001:2015. This white paper outlines the key changes, offering an essential insight for those wishing to be certified as ISO 14001. TÜV SÜD
Transcript
ISO 14001:2015 - Environmental Management SystemsMeeting stakeholder expectations
White paper
AbstractISO 14001 - the international standard for environmental management is the most widely recognised environmental management system (EMS) standard in the world.
By providing a best practice approach, ISO 14001 sets out the requirements for an EMS to help organisations improve their environmental performance, e.g. through more efficient use of resources and the reduction of waste. They can also gain a competitive advantage and the trust of their stakeholders.
On 15th September 2015, a new version of the standard was published (ISO 14001:2015). There is now a transition period until 14th September 2018, after which certificates as to ISO 14001:2004 will be replaced by the new ISO 14001:2015. This white paper outlines the key changes, offering an essential insight for those wishing to be certified as ISO 14001.
TÜV SÜD
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Contents
INTRODUCTION 3
RELEVANCE OF ISO 14001 IN TODAY’S CONTEXT 4
OVERVIEW OF ISO 14001 5
MEETING ISO 14001 REQUIREMENTS 8
WORKING WITH TÜV SÜD 9
BENEFITS TO YOUR BUSINESS 9
CONCLUSION 10
Dr. Michael SchlechtProduct Compliance and Area Manager for ISO 14001 and EnvironmentTÜV SÜD Management ServiceDr. Michael Schlecht holds a Diploma Degree in Mechanical Engineering from the Technical University of Dresden. He first started his career as Planning Engineer in the field of power generation. In 1990, after a doctorate and a number of subsequent industry assignments, he joined TÜV Bayern (Environmental Department) in Munich, Germany. There, he was deeply involved in developing the basis for EMS certifications. In 1996, he moved to TÜV Qualitatsmanagement and thereafter, TÜV SÜD Management Service, assuming the role of Environmental Auditor, and later as Product Compliance Manager, ISO 14001. In his current role, he is responsible for the evaluation of new product requirements on ISO 14001 in respect of processes and customers’ benefit. He has consulting functions to the Management Service Board of Management and is involved in the preparation of the product strategy for the division.
About the TÜV SÜD expert
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While organisations have turned to ISO 14001 for more than twenty years to help them develop an EMS framework, the latest standard (ISO 14001:2015) has introduced a host of additional changes. This includes key improvements such as the increased prominence of environmental management within the organisation’s strategic planning processes, greater input from leadership, and a stronger commitment to proactive initiatives that boost environmental performance.
Organisations that have already implemented an EMS have time until 14th September 2018 at the latest to comply with these new requirements. This will exceed simple revisions of existing documentation and is likely to impact various aspects of operations.
What is an EMS?An EMS gives organisations of any size a universal structure to ascertain and manage their environmental issues.
As ISO 14001 adopts the High-Level Structure, common to many other standards such as ISO 9001 and ISO 45001 (in preparation), it is easy to integrate into any existing ISO management system.
ISO 14001 supports an organisation in developing and integrating its environmental management practices to protect the environment by e.g. preventing pollution, minimising waste, and reducing energy and materials consumption. Based on the Plan-Do-Check-Act methodology, it provides a systematic framework for the organisation to establish environmental objectives and processes in accordance with the environmental policy, to implement the processes, to monitor and measure these processes against defined criteria and to take actions to continually improve.
The International Organization for Standardization (ISO) outlines how taking an EMS approach delivers the following environmental values and benefits:■■ Risk-based approach to protect
the environment – Prevent adverse impacts. – Pursue opportunities with
– Address environmental issues during product design.
– Focus on each lifecycle stage. ■■ Enhanced environmental
performance – Raise awareness and
involvement.
The ISO also outlines the following organisational values and benefits:■■ Alignment of EMS
– Environmental management to business strategy.
– Environmental initiatives with business priorities.
– EMS processes with other management system processes.
■■ Fulfillment of compliance obligations
■■ Mitigation of adverse effects on the organisation
– Realise operational efficiencies and financial benefits.
5 WAYS THE REVISED ISO14001 WILL BE EVEN BETTER
Driven by leadership
Greater commitment from those at the top
Better strategic fit
Increased alignment with your strategic direction
Greater protection for
the environmentFocus on proactive initiatives and improving environmental performance
Life cycle thinking
Considering each stage from development to end-of-life
1 2 3
4Effective communication
Driven through a communications strategy
5
Source: ISO sub-committee with responsibility for ISO 14001
Introduction
ISO 14001 is suitable for organisations of all types and sizes, be they private, not-for-profit or governmental.
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In September 2015, the UN published the globally agreed Sustainable Development Goals (SDG). While the goals address governments and countries, their aims in many cases may also influence what an organisation using ISO 14001 chooses to do. Out of the 17 sustainable goals, of worthy mention are those to reduce vulnerabilities to environmental shocks; strengthen capacity for adaptation to climate change, extreme weather, flooding, any other disasters; progressively improve land and soil quality; and reduce hazardous chemicals in the air, water and soil.
ISO 14001 is part of a group of standards which supports sustainability:
■■ ISO 14004 – General guidelines on principles, systems and support techniques.
■■ ISO 14005 – Guidelines for the phased implementation of an environmental management system, including the use of environmental performance evaluation.
■■ ISO 14006 – Guidelines for incorporating ecodesign.
■■ ISO 14008 - Monetary valuation of environmental impacts from specific emissions and use of natural resources (under development).
What the end-users sayAn ISO survey was issued in 2013 via national member bodies, receiving an unprecedented response with close to 5,000 participants in 110 countries worldwide. The survey included questions relating to the perceived value of the ISO 14001 standard, for
both environmental management (Figure 1) and business management (Figure 2), and the extent to which ISO 14001 should address or strengthen attention to future challenges for EMS.
For environmental management, responses from users suggest that organisations have realised significant value from ISO 14001 in
terms of meeting legal requirements, improving environmental performance, and enhancing management commitment and stakeholder engagement.
Responses from users also suggest that ISO 14001 has provided considerable value for business management, most notably for
FIGURE 1: VALUE OF ISO 14001 FOR ENVIRONMENTAL MANAGEMENT
Ability to meet legal requirements
Environmental performance improvement
Management commitment
Employee engagement
Stakeholder satisfaction
Communication with stakeholders
Improvement in supplier environmental performance
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
38% 39% 18% 4%
29% 45% 21% 5%
29% 39% 26% 5%
18% 44% 31% 6%
15% 36% 37% 9%
13% 34% 39% 11%
7% 19% 37% 27% 10%
very high high moderate low No ValueSource: ISO Survey 20131
FIGURE 2: VALUE OF ISO 14001 FOR BUSINESS MANAGEMENT
Meeting stakeholder requirements
Improving public image
Achieving strategic objectives
Integrating with business management system(s)
Providing a competitive advantage
Providing a financial benefit
0% 20% 40% 60% 80% 100%
25% 34% 27% 10%
19% 39% 32% 9%
18% 37% 30% 12%
20% 32% 31% 12%
17% 30% 31% 16%
8% 19% 36% 27%
very high high moderate low No ValueSource: ISO Survey 20131
6%
10%
Relevance of ISO 14001 in today’s context
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By achieving ISO 14001 certification, an organisation demonstrates to stakeholders its commitment among others to prevent pollution, to fulfil its compliance obligations and to strive for continuous improvement of environmental performance.
The main changes in the revised standard include:
Strategic Environmental ManagementA new requirement to understand the organisation’s context has been incorporated to identify and leverage opportunities for the benefit of both the organisation and the environment. Particular focus is on issues or changing circumstances related to the needs and expectations of interested parties (including regulatory requirements) and local, regional or global environmental conditions that can affect, or be affected by, the organisation. Once identified as a priority, actions to mitigate adverse risks or exploit beneficial opportunities are integrated in the operational planning of the EMS.
LeadershipTo ensure the success of the system, a new clause has been added that assigns specific responsibilities for those in leadership roles to promote
environmental management within the organisation.
Protecting the environmentThe expectation on organisations has been expanded to include a commitment to proactive initiatives that protect the environment from harm and degradation, consistent with the context of the organisation. The revised text does not define ‘protect the environment’ but it notes that it can include prevention of pollution, sustainable resource use, climate change mitigation and adaptation, protection of biodiversity and ecosystems, etc.
Environmental performanceThere is a shift in emphasis with regards to continual improvement, from improving the management system to improving environmental
performance. Consistent with the organisation’s policy commitments, it would reduce emissions, effluents and waste to levels set by the organisation, where applicable.
Lifecycle perspective In addition to the current requirement to manage environmental aspects associated with procured goods and services, an organisation will need to extend its control and influence to the environmental impacts associated with product design and development in order to address each stage of the life cycle, i.e. acquisition of raw materials, design, production, transportation/delivery, use, end-of-life treatment and final disposal. This does not imply a requirement to do a life cycle assessment (Please refer also to Appendix 1).
Overview of ISO 14001:2015
meeting stakeholder requirements, improving public image, achieving strategic objectives and integrating with business management systems.
More than half of the participants indicated ‘high’ to ‘very high’ value,
and more than 80% indicated at least a moderate value in these areas.
These results correspond with reported motivations for adopting the standard. Based on user rankings of factors influencing their adoption of the
standard, the strongest environmental drivers for adopting ISO 14001 included commitment to environmental protection/ conservation and reduction of risk of adverse environmental impact.
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Outsourced processes Organisations must effectively control or influence outsourced processes (Please refer to Appendix 2).
CommunicationThe development of a communication strategy with equal emphasis on external and internal communications has been added. This includes a requirement to communicate consistent and reliable information, and to establish mechanisms for persons working under the organisation’s control to make suggestions on improving the environmental management system. The decision to communicate
externally is retained by the organisation, but the decision needs to take into account the information reporting that is required by regulatory agencies, as well as the expectations of other interested parties.
DocumentationReflecting the evolution of computer and cloud-based systems for running management systems, the revision to the standard incorporates the term ‘documented information’, instead of ‘documents’ and ‘records’. To align with ISO 9001, the organisation will retain the flexibility to determine when procedures are needed to ensure effective process control.
ISO common framework for management systemsThe revised standard uses the new High Level Structure (HLS) for Management System Standards (MSS), which is a common framework for ISO management system standards, incorporating identical core text and common terms with core definitions. The new framework is designed to benefit users implementing multiple ISO management system standards and is applicable to any management system standard. This allows compatibility across ISO management system standards while offering subject-specific flexibility.
SUMMARY OF RELEVANT NEW OR MODIFIED STANDARD REQUIREMENTS OF ISO 14001:2015
SUBJECT RELEVANT NEW OR MODIFIED REQUIREMENTS
Context The organisation shall determine external and internal issues (the “context”) that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its environmental management system.
Interested parties The organisation shall determine:■■ The interested parties that are relevant to the EMS. ■■ The relevant needs and expectations (i.e. requirements) of these interested
parties.■■ Which of these needs and expectations become compliance obligations.
As the leading international standard for environmental management systems, ISO 14001 offers organisations the most comprehensive support in the quest to achieve certification.
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Leadership Top management shall demonstrate leadership and commitment with respect to the environmental management.
Scope When determining this scope, the organisation shall consider:■■ The external and internal issues identified in the context.■■ The compliance obligations arising from needs and expectations of
interested parties. ■■ Its organisational unit(s), function(s) and physical boundaries.■■ Its activities, products and services.■■ Its authority and ability to exercise control and influence.
Policy Environmental policy: ■■ Shall include (a) commitment(s) to the protection of the environment,
including prevention of pollution. ■■ Specific to the context of the organisation. ■■ Shall include a commitment to continual improvement of the EMS to
enhance environmental performance.
Planning When planning for the environmental management system, the organisation shall consider the context of the organisation and the needs and expectations of interested parties.
Significant environmental aspects Considering a life cycle perspective for identification; document the criteria to determine the significant environmental aspects and the risks associated with threat and opportunity; determine the associated environmental impacts.
Environmental objectives Considering the risks (associated with threats and opportunities).
Communication Internal communication must ensure that any person doing work under the organisation’s control is enabled to contribute to continual improvement.
Operational planning and control ■■ The organisation shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary.
■■ The organisation shall ensure that outsourced processes are controlled or influenced.
■■ Consistent with a life cycle perspective, the organisation shall establish measures to ensure that environmental requirements are considered in the design process for the development, delivery, use and end-of-life treatment of its products and services, as appropriate.
■■ Consider the need to provide information about potential significant environmental impacts during the delivery of the products or services and during use and end-of-life treatment of the product.
Performance evaluation The organisation shall determine the criteria against which it will evaluate its environmental performance, using appropriate indicators.
Continual improvement The organisation shall continually improve the suitability, adequacy and effectiveness of the environmental management system to enhance environmental performance.
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Meeting ISO 14001 requirements
For those organisations tackling ISO 14001 for the first time, TÜV SÜD offers IRCA certified auditor and lead auditor training courses to better equip your company for the challenges of implementation, certification and continuous improvement. This offer is completely independent from any certification services by TÜV SÜD.
DELTΔ auditsIf your organisation already holds ISO 14001 certification, our DELTΔ audit provides a systematic approach in the transition to the new ISO 14001:2015 standard. Experienced TÜV SÜD auditors analyse your existing EMS to identify possible areas of concern, ensuring a smooth path to re-certification.
Advantages of the DELTΔ audit include:■■ Supporting a systematic approach
in the transition process■■ Avoiding misinterpretations
of the new requirements and strengthening the position of
employees responsible for the transition within the organisation
■■ identification of issues that may potentially lead to non-conformance during the transition audit, from the perspective of an experienced EMS auditor
■■ Faster readiness for certification according to the new standard.
Preparation timeline for recertification and surveillance audits According to IAF ID 9 and/or IAF ID 10 Section 4.2.1, the transition from ISO 9001:2008 / ISO 14001:2004 to the new standards within the scope of a regular surveillance audit or re-certification audit will require additional audit time.
Given this, in the case of:
■■ Re-certification: a 10 % increase in audit time may need to be factored, amounting to at least 0.25 on-site audit days, or
■■ Surveillance: a 20% increase in audit time, amounting to at least 0.50 on-site audit days.
This must be added to the audit time calculated for the transition according to the current IAF MD 5. Deviations from this provision are possible in justified cases. In this case, the reasons must be documented by the certification body.
SIX STEPS TO CERTIFICATION
Complete a profiling form to customise a quote for your organisation detailing the cost, planning and time required.
Conduct a voluntary pre-audit to determine if your organisation already fulfils the requirements for ISO 14001 and identify areas for improvement.
Stage 1 site visit by our auditors to verify the profile submitted during your application and determine your readiness for Stage 2.
Stage 2 - on-site audit by TÜV SÜD auditors with documented audit findings and recommendation for certification (if applicable).
Propose and implement corrective actions, if any.
Receive your audit report and certificate from committee.
Organisations are under growing pressure to introduce initiatives that benefit the environment while improving efficiency and reducing costs.
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As an internationally accredited Certification Body for various management systems, TÜV SÜD’s certificates are accepted and recognised globally.
Having TÜV SÜD as your certification partner not only allows your company to lean on our experience but also lends your brand the distinction of the TÜV SÜD certification mark, a powerful demonstration of your commitment to environmental management.
TÜV SÜD is accredited by DAkkS (Germany) and other European Accreditation Bodies as well as by ANAB (U.S.), NABCB (India) and JAS-ANZ (Australia and New Zealand), all under the International Accreditation Forum Multilateral Agreement (IAF-MLA). This ensures that ISO 14001 certification is conducted with the highest degree of professionalism and conformance to international guidelines and standards.
Our international network of subsidiaries on every continent enables us to serve organisations worldwide and certify their compliance to ISO 14001 on a global scale. TÜV SÜD’s experts hold various international and national accreditations to satisfy local requirements for combined auditing exercises. In addition, our auditors are required to follow a strict code of conduct through Auditor Codex that assures both you and your customers of our complete independence and professionalism.
■■ Improve your marketability and sales – by applying the ISO 14001 certification to your corporate documents. This can also significantly improve your bargaining position when taking part in public and private green procurement tenders.
■■ Reduce cost – by minimising wastage throughout the supply chain, from materials to energy consumption. ISO 14001 certification can also contribute significantly in reducing your regulatory and environmental liability.
■■ Enhance your reputation – with an internationally recognised certificate from TÜV SÜD that promotes your brand image and company morale.
Benefits to Your Business
Working with TÜV SÜD
Conclusion
While accredited certification to ISO 14001 is not a mandatory requirement, organisations can reap many benefits by adopting and implementing the system. With organisations under increasing scrutiny from stakeholders to minimise their environmental impact, ISO 14001 certification demonstrates a strategic commitment to continuous
improvement. With a certified EMS in place, it can reduce the risks of regulatory and environmental liability fines for an organisation. Certification can also bring about reduced costs, improved staff morale and enhanced brand reputation.
Third-party certification, where an
independent certification body audits your practices against the requirements of the standard, gives a strong signal to your buyers, customers, suppliers and other stakeholders that you have implemented the standard properly. It also helps organisations to demonstrate that their system complies with regulatory and contractual requirements.
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Appendix 1
The definition of life cycleThe definition of life cycle is: “Consecutive and interlinked stages of a product (or service) system, from raw material acquisition or generation from natural resources to final disposal. Life cycle stages include acquisition of raw materials, design, production, transportation/delivery, use, end-of-life treatment and final disposal.”
Life cycle assessment is not a requirement of ISO 14001 - as clearly
stated in Annex A6.1.2: “When determining environmental aspects, the organisation considers a life cycle perspective. This does not require a detailed life cycle assessment; thinking carefully about the life cycle stages that can be controlled or influenced by the organisation is sufficient.
However, according to ISO 14001 the life cycle perspective should be considered because: “Some of the organisation’s significant
environmental impacts can occur during the transport, delivery, use, end-of-life treatment or final disposal of its product or service. By providing information, an organisation can potentially prevent or mitigate adverse environmental impacts during these life cycle stages. The organisation considers the extent of control or influence that it can exert over activities, products and services considering a life cycle perspective.”
Appendix 2
The guidance in Annex A (A.8.1) states that an outsourced process is one that fulfils all of the following:
■■ It is within the scope of the environmental management system.
■■ It is integral to the organisation’s functioning.
■■ It is needed for the environmental management system to achieve its intended outcome.
■■ Liability for conforming to requirements is retained by the organisation.
■■ The organisation and the external
provider have a relationship where the process is perceived by interested parties as being carried out by the organisation.
Understanding both the definition and the guidance in Annex A will help the user to identify its outsourced processes appropriately.
With regard to the requirement that the “type and extent of control or influence to be applied to the process(es) shall be defined within the environmental management system”, Annex A (A.8.1) provides
guidance on how to define the extent of control or influence, and describes the limitations that an organisation might have in doing so.
When a process is outsourced, the organisation’s ability to exert control or influence can vary from direct control to limited or no influence. In some cases, an outsourced process performed onsite might be under the direct control of an organisation; in other cases, an organisation’s ability to influence an outsourced process might be limited.
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