ISO 14001:2015

Sarmad Hussain EN-35

Bilal Hameed
Syed Aziz Rizvi
What is ISO
14001?

2
 ISO 14001 - 2004
4.1 General

4.6 Management
Review
4.2 Environmental
Continual Policy
4.5 Checking Improvement
4.5.1 Monitoring and Measurement
4.3 Planning
4.5.2 Evaluation of Compliance
4.3.1 Environmental Aspects
4.5.3 Nonconformity, Corrective
4.3.2 Legal/Other Requirements
Action and Preventive Action
4.3.3 Objectives, Targets and
4.5.4 Control of Records
Programs
4.5.5 Internal Audits
4.4 Implementation & Operation
4.4.1 Resources, Roles, Responsibility & Authority
4.4.2 Competence, Training & Awareness
4.4.3 Communication
4.4.4 Documentation
Red = Identifying Env. Issues 4.4.5 Control of Documents
Blue = Managing Env. Issues 4.4.6 Operational Control
3
4.4.7 Emergency Preparedness/Response
 ISO 14001 - 2015
10 Improvement
10.1 General
10.2 Nonconformity and corrective action
10.3 Continual improvement

9 Performance evaluation 4 Context of Organization

9.1 Monitoring, measurement, analysis 4.1 Understanding the organization and its context
and evaluation 4.2 Understanding the needs & expectations of
9.1.1 General interested parties
9.1.2 Evaluation of compliance 4.3 Determining the scope of the EMS
9.2 Internal audit Continual 4.4 Environmental management system
9.2.1 General
9.2.2 Internal audit program
Improvement
9.3 Management review
5 Leadership
8 Operation 5.1 Leadership and commitment
8.1 Operational planning and control 5.2 Environmental policy
8.2 Emergency preparedness and 5.3 Organizational roles,
response responsibilities and authorities

7 Support
7.1 Resources 6 Planning
7.2 Competence 6.1 Actions to address risks and opportunities
7.3 Awareness 6.1.1 General
7.4 Communication 6.1.2 Environmental aspects
7.4.1 General 6.1.3 Compliance obligations
7.4.2 Internal communication 6.1.4 Planning action
7.4.3 External communication 6.2 Environmental objectives and planning to achieve them
7.5 Documented information 6.2.1 Environmental objectives
7.5.1 General 6.2.2 Planning actions to achieve environmental
7.5.2 Creating and updating objectives
7.5.3 Control of documented
information 4
 How Does ISO 14001-2004 Work?

What are the Significant Legal Potential

Environmental Aspects Requirements Emergencies
Issues? 4.3.1 4.3.2 4.4.7

How are they Targets & Training Operational Emergency

managed? Objectives Programs Controls Response
4.3.3 4.4.2 4.4.6 Plans 4.4.7

How are they EMS Audits

Monitoring & Compliance Emergency
checked? Measurement Evaluations Drills
4.5.5
4.5.1 4.5.2 4.4.7

How are “issues” fixed Corrective / Management

and improved? Preventive Review
Action 4.5.3 4.6

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 How Does The New ISO14001-2015 Work?
What are the Environmental Issues?

Env Aspects w/
Planned or Product Life
Outsourced Risks &
Unplanned Cycle Significant Legal Potential
Processes Opportunities
Changes (transportation, Aspects Requirements Emergencies
8.1 - General
6.1.2 end of life, 6.1.2 6.1.3 8.2 & 6.1.2
6.1.1
disposal)
6.1.2, 8.1

How are they managed?

Communicate
Req’ts to Env Req’ts for Planning
- outsourced Env Competence
the Design & Operational Action Targets & Emergency
processes requirements 7.2 &
Development Controls (to Address Objectives Response
- contractors for Awareness
of product/ 8.1 6.1) 6.2.1/6.2.2 Plans 8.2
- other (re: Procurement 7.3
service 6.1.4
stages of LC)

How are they checked on?

Monitoring & Compliance
Emergency Drills
EMS Audits Measurement Evaluations
8.2
9.2 9.1.1 9.1.2

How are “issues” fixed and improved?

Corrective / Management
Preventive Review
Action 10.1 9.3
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 The New ISO 14001 Standard (2 of 2)

http://www.iso.org/iso/home/standards_development.htm
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 8 Big Changes (1 of 3)
1) 4.1- Understanding the Organization and its context - by
determining – A) External circumstances – political,
regulatory, international, national, etc. B) Internal
characteristics (i.e., strategic direction, culture, capabilities)
C) Environmental conditions – that could affect the
organization (climate, natural resource availability, etc.)

2) 4.2 - Understanding the Needs of Interested Parties.

Who are the interested parties relevant to the EMS, What
are their needs and expectations

3) 5.1 - Leadership and Commitment. Top Management

must demonstrate its commitment to the EMS for a list of
items, none of which are required to be documented or
recorded (but it may help)
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 8 Big Changes (2 of 3)

4) 6.1.1 - Actions to address Risks and Opportunities –

Must be “determined” on issues surrounding “context” as
per 4.1 and “interested parties” as per 4.2, as well as for
aspects and legal requirements

5) 6.1.2 - Environmental Aspects of Products –

Considering life-cycle perspective. (i.e., environmental
issues associate with design, use, end of life and disposal

6) 8.1 - Operational Controls - for product design and

development for life cycle stages AND provide information
about potential significant impacts on product delivery, use,
end-of-life and disposal AND Environmental requirements
for purchasing
9
 8 Big Changes (3 of 3)

7) 10.2 - No Preventive Actions formally required (it’s all

corrective action)

8) 7.5 - No mention of the word records (it’s all

documented information)

10
 4.1 Understanding the organization
and its context (1 of 4)
• Determine the internal and external issues relevant to
the EMS.
• Include environmental conditions being affected or
capable of affecting the organization

THIS IS
- A HIGH LEVEL UNDERSTANDING
- INCLUDE IMPORTANT ENVIRONMENTAL TOPICs
- INCLUDE CHANGING CIRCUMSTANCES

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 4.1 Understanding the organization
and its context (2 of 4)
Understanding Aspects & Impacts is “extremely one
dimensional” when compared to Understanding the Context
if the organization*.

Understanding … includes the organization’s

- direct and indirect environmental consequences
- legal requirements
- effects on your stakeholders by the EMS

* John Nolan (google search)

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 4.1 Understanding the organization
and its context (3 of 4)
Examples include:
Env. Conditions – Climate, Air & Water Quality, Land
Use, existing contamination, natural resource
availability, biodiversity, etc.

External cultural, social, political, legal, regulatory,

financial, technological, economic, natural and
competitive circumstances, whether international,
national, regional, or local

Internal characteristics or conditions of the organization

such as activities, products and services, strategic
direction, culture and capabilities (i.e. people,
knowledge, processes and systems 13
 4.1 What does it look like ? (4 of 4)

Document the context in the EMS manual – or document

meeting minutes where these issues are discussed (i.e.
Management Review, etc.)

14
4.2 Understanding the needs and
expectations of interested parties

• This appears to be a duplicate requirement for listing

compliance obligations (i.e. interested parties =
regulatory agencies)
• Interested parties could be sponsors of voluntary
requirements (contractual, trade associations, etc.)
• Corporate Management
• Community Members
• Others

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 4.3 Determining the Scope of the EMS

• Similar to the 2004 standard (4.1 General

Requirements)
• Consider
• External and internal issues (as per 4.1)
• Compliance obligations (as per 4.2)
• Organizational units, functions and physical
boundaries
• Activities, products and services
• Control and Influence

How many times will we reference 4.1 and 4.2 in this

standard ?
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4.4 Environmental Management System
A general, overall requirement stating the org. must :

•- establish, implement maintain and continually improve an

EMS that meets ISO 14001
•- consider the knowledge gained in
• 4.1 - Understanding the organization and its
context
• 4.2 – Understanding the needs and expectations of
interested parties

References 4.1 and 4.2 - #2

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BILAL HAMEED

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 5.1 Leadership and Commitment
Top Management shall demonstrate leadership
and commitment by

- taking accountability for the effectiveness of the

EMS
- ensuring policy and objectives are established
- integrating EMS with business plan
- ensuring resources
- communicating the importance of EMS
- ensuring the EMS meets "intended outcomes"
- directing and supporting persons in the EMS
- promoting continuous improvement
- supporting other management roles 19
 5.2 - The Three Pillars (commitments)
of Your Environmental Policy:

Company Policy
 Compliance Statement
 Protection of the Environment
 Continual Improvement

20
 5.3 / 7.1 - Organizational Roles,
Responsibilities, and Authorities / Resources

• Roles, responsibilities, and authorities must be

• Assigned, documented, communicated
• Determine and provide resources needed (7.1)
• Top Management must assign responsibilities
for reporting on the performance of the EMS

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 6.1.1 Actions to address risks and
opportunities

Determine risks and opportunities associated

with:
- aspects
- legal obligations
- consider 4.1 and 4.2 (Ref’s - #3)
- Determine potential emergencies (to be used in
8.2)

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 6.1.2 Environmental Aspects & Impacts
Air Emissions Energy Use
Air Pollution Fossil Fuel Depletion

Packaging Metal Chips

Land Fill Space Minerals Depletion

Stormwater
Water Pollution
Transportation
Air Pollution Wastewater
Water Pollution 23
6.1.2 Significant Aspects
6.1.2

… by using
established criteria…

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6.1.2 Env. Aspects – Life Cycle
… determine the environmental aspects …
considering life cycle perspective…for activities,
products and services THAT IT CAN CONTROL OR
INFLUENCE …taking into account:
- changes (MOC)
- emergencies

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 6.1.3 – Compliance Obligations

• Determine compliance obligations

• Have access to them
• Determine how they apply
• Take them into account

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 Example Legal Requirements

Legal Req’t Code Aspect

Hazardous Waste 40 CFR 261 Haz Waste
Management Disposal
Air Quality Permit 15A NCAC Air Emissions
2Q.0100
Storm Water 15A NCAC Stormwater
Exclusion 2H.0126 Run-off
Municipal Thomasville Wastewater
Wastewater Code Discharges
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 6.1.4 – Planning Action
Organization Shall Plan:

• Significant environmental aspects

• Compliance obligations
• Risk and opportunities

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 6.2.1 & 6.2.2 –
Objectives and
Planning Actions

Objectives—Result to be
Achieved:
- Consistent with Environmental Policy
- Considering Sig Aspects, Legal Req’ts &
Risks/Opportunities

Planning Actions (Programs): What will be

done, Resources, responsible party & Due
Date
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 Example Objective & Plan

Revision
Project Plan Title: Noise Minimization 2/20/2003
Date:
Significant (S) / Legal
Activity/ Product or Service Aspect Impact(s):
(L) / Emergency (E)

Maint. Work Area Noise (from Compressor) Environmental Noise S/L

Objective: Decrease noise to below 80 dBA

Responsibility Date
Target(s) Date Due
Employee Title Completed
1 Build wall around work area. Roy Maintenance Jun-03

2 Purchase low noise compressors. Roy Maintenance Aug-03

Responsibility Date
Task # Other Tasks - Description Date Due
Employee Title Completed

1-1 Qet Quote on Wall

1-2 Select Vendor, Get apporved and Award Bid

1-3 Build Wall

1-4 The term “Target” Not used.

2-1 Qet Quote on Compressors
2-2 Select Vendor, Get apporved and Award Bid
2-3 Install Compressors

2-4 Investigate replacing all other "High Noise" Compressors

7.2 & 7.3 Competency and Awareness

7.2: Determine
1) the necessary competence
2) ensure competence
3) training needs
4) take action to acquire competency

7.3: Ensure persons are aware of

1) the environmental policy
2) Significant Aspects of their work
3) Benefits of improved personal performance
4) Implications of NOT conforming to the EMS
(including compliance obligations)
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Specifying Environmental Training Needs

32
7.2 & 7.3 - Competency and Awareness

33
DH 7.4, 7.4.2, & 7.4.3 - Communication:
Internal and External
•Develop procedure for
•Internal & External communication
•Document External Communications such as
• Regulatory agencies
• Community Complaints
• Sustainability Issues w/ Customers
• Others
•Decide if AND how to communicate externally
about significant aspects
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7.5 - Documentation Information
7.5.1 General
- What ever is required by ISO 14001
- What ever is needed for EMS
effectiveness
7.5.2 Creating and Updating
- Ensure identification
EMS
- Format
Manual
- review and approval
Procedures
7.5.3 Control of Documented Info
- available, suitable, protected,
Work
- distribution,
Instructions
access, retrieval, use
- storage, preservation, change control,
Records
retention & disposition
- external documents 35
 Documented Information - Procedures
- The 2015 std has replaced requirements for
“procedures” w/ requirements for “processes”

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 Documented Information - Records
- The term “Records” is not used in 2015 standard
- However, the org. must still present “evidence” to
show they have
• Determined ….
• Identified
• Developed Plans (more of a “procedure”)

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ISO 14001:2015 - Docs and Records (1 of 5)

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ISO 14001: 2015 - Docs and Records (2 of 5)

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ISO 14001: 2015 - Docs and Records (3 of 5)

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ISO 14001: 2015 - Docs and Records (4 of 5)

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ISO 14001: 2015 - Docs and Records (5 of 5)

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 8.1 - Operational Planning & Control
Establish processes needed
to meet the EMS, 6.1 and
6.2 by:
1) establishing criteria for
processes, and
2) implementing control of
processes to meet criteria.
i.e.,
• Haz Waste Storage
• Boiler Operation
• Paint Booth Maintenance
• Storm Water Sampling
• Air Permit
• Etc. 43
Syed Aziz Rizvi

44
 8.1 - Operational Planning & Control
New Pieces of the puzzle for 8.1:
- Control planned changes, consequences of
unintended changes and mitigate the
environmental impacts (MOC also is in 6.1.2)
- ensure outsourced processes are controlled or
influenced (as stated in the EMS)
- Address Life Cycle (LC) perspective by
• establishing env. controls in the design and
development process for each LC stage
• Env. Requirements for procurement
• Communicating env. requirements to
contractors
• Consider providing info on env. impacts of the
different life cycle stages of product
45
 8.2 Emergency Preparedness
Re: potential emergencies
identified in 6.1.1

•Develop emergency
preparedness & response
plans

• Include plans for

mitigating “environmental
impacts”

• Test emergency plans

(fire drills)

•Others 46
 Example - List of Potential
Emergencies
Potential Emergency
# Emergencies or Potential Impact Response Plan
Accidents to be Used

1 Floods Water Pollution from vehicles and machines EWI-001

2 Hurricanes Loss of Human Life EWI-001

3 Tornadoes Loss of Human Life EWI-001

4 Fire Air Pollution, Loss of Human Life EWI-002

Chemical Spills-
5 small
Employee Exposure (irritants mostly) EWI-003
Chemical Spills-
6 large
Employee exposure, Water Pollution EW-003
Waste Water Tote
7 Spills
Soil / Ground Water Contamination. EWI-004

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 9.1.1 – Monitoring, Measurement,
Analysis, and Evaluation - General
Determine
- Performance metrics and comparison
criteria
- monitoring methods, when, where, etc.
- evaluation of metrics (trends)
- effectiveness of the EMS
Conduct Calibrations or Verifications
Communicate performance data as per
communication process

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9.1.1 – Monitoring, Measurement, Analysis,
and Evaluation - General

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 9.1.2 – Evaluation of Compliance
------ The 2nd Audit Program ------

• Conduct an EoC against compliance

obligations (6.1.3; used to be Legal &
Other Environmental Requirements)
• Develop a process for EoCs wrt frequency
• Conduct the EoC and Take Action if
needed
• Maintain knowledge and understanding of
its compliance status
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Example Compliance Evaluation Report

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9.2.1 & 9.2.2 – Internal Audit (1 of 2)
To Determine if EMS
meets:
• ISO 14001
• EMS Procedures &
Programs

52
9.2.1 & 9.2.2 – Internal Audit (2 of 2)
Establish an audit program for
- frequency, methods, responsibilities
& reporting
- Define audit criteria and scope
- select auditors for objectivity and
impartiality
- Ensure audit results are reported to
Management

NO REAL CHANGES FROM 2004

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 9.3 – Management Review
• Involve Top Management
• Determine if EMS is
• Continuingly Suitable
• Adequate
• Effective
• BOTTOM LINE: Determine if EMS needs
to be CHANGED
• Follow required Inputs and Outputs
• Req’d Docs/Records:
- Management Review Schedule
- Documented Minutes 54
 10.2 – Nonconformity and corrective
action
• Control and correct the NC
• Mitigate environmental impacts (immediacy)
• Determine causes & action needed so that it
does not
• recur (actual nonconformities)
• occur (potential nonconformities)

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 10.1 – Improvement - General
• Determine opportunities for improvement (see
also 6.1.1; 9.3
• Implement necessary actions to achieve
“intended EMS outcomes”

10.3 – Continual Improvement

• Continually improve the suitability, adequacy and
effectiveness of the EMS to enhance
environmental performance

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