what’s new in iso 14001? · implemetning the new iso standards kelly weger, ra, leed ap, cea...

IMPLEMETNING THE NEW ISO STANDARDS

Kelly Weger, RA, LEED AP, CEAPurdue Manufacturing Extension Partnership

Kristen Belcredi, P.E.Keramida, Inc.

Purdue Manufacturing Extension Partnership(800) 877-5182

www.mep.purdue.edu

WHAT’S NEW IN ISO 14001?

ISO 14001:2015

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EN142 ISO 14001 Internal Auditor Training, V1 Copyright 2018 Purdue University

About Purdue MEP

Who we are: Purdue Manufacturing Extension Partnership (MEP) Division of Purdue Technical Assistance Program.

Our staff consists of experts from a wide variety of business and manufacturing sectors.

What we do: We work exclusively with Indiana businesses, primarily manufacturers,

to maximize performance through streamlined processes, increased profitability, and increased competitiveness.

We offer public workshops, on-site training, and consulting services.

Through these services Purdue MEP clients report new sales, product and market growth, cost reductions, and job growth.

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What Is ISO 14001?

Is a standard that specifies requirements for an

environmental management system (EMS) that an

organization can use to enhance its environmental

performance by identifying, managing, monitoring,

and controlling their environmental risks.

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Key Points About ISO 14001

Says WHAT you must do, but NOT HOW.

Is a standard to which your company can be certified.

Can be used by any supplier of goods or services, regardless of size and field.

Photos from https://www.mcmaster.com/#

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Essence of ISO 14001

Say what you do and how you do it. AND do what you say you are going to do.

Measure whether you are doing what you say you do.

Act on the new information to improve your organization.

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Environmental Management System

What is an environmental management system (EMS)?

ISO 14001:2015 sets out the basic requirements of an

environmental management system.

Your organization

Your EMS

A set of processes and practices that enable an organization to reduce its environmental impacts and increase its operating efficiency.

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Benefits of ISO 14001

Meet legal obligations.

Improve resource efficiency and reduce waste.

Improve company reputation and image.

Improve overall environmental impact.

Encourage better environmental performance of suppliers.

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ISO 14001 Certification

What does it mean to be ISO 14001 certified?

An independent body has determined that the EMS meets ISO 14001 requirements.

ISO is not involved in the certification process.

Certification is performed by external certification bodies.

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ISO 14001 History

201520041996

First published

First revision (clarify)

Second revision (major)

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Regulations vs. Systems

Regulations are required by regulatory (governmental) bodies. These regulatory bodies can be federal, state, or

local.

Regulations are contained within a system.

Regulatory requirements require compliance auditing. A compliance audit determines whether an

organization complies with regulatory guidelines.

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Environmental Management

SystemPROCESS

Conformance to ISO14001 Standard

Compliance vs. Conformance

Legal & Regulatory Inputs

PROCESSFederal, State & Local Regulatory Compliance

Compliance

Conformance

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Audits: Conformance vs. Compliance

Conformance audits Identifies opportunities for

improvement as well as nonconformances to the relevant standard

Uses a process approach

Determine whether process is achieving planned results

Evaluates how relevant legal and regulatory requirements are integratedinto the EMS

Compliance audits Verifying that each

requirement is met

Typical checklist is used as audit tool

Auditing using questions with “yes” or “no” answers

Can be used to verify all “shall” statements of a standard are being met

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ISO 14001: Support Materials ISO14004:2016 Environmental

management systems –General guidelines on

implementation

ISO14005:2010 Guidelines for the

phased implementation of an environmental

management system, including the use of

environmental performance evaluation

ISO14006:2011 Environmental

management systems – Guidelines for

incorporating eco-design

ISO14008:2018(?) Monetary valuation of environmental impacts

from specific emissions and use of

natural resources

ISO14031:2013 Environmental management -Environmental performance evaluation –Guidelines

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Why Did ISO 14001 Change?

Adapt to a changing world and marketplace

Integrate with other management systems

Need to factor in both external and internal elements that influence environmental impact

Refer to the 2010 “Future Challenges for EMS” study

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Major Differences: 2004 2015

Common high-level structure that brings a common framework to all ISO management systems.

.

ISO 14001:2004

1. Scope

2. Normative Reference

3. Terms & definitions

4.1 General requirements

4.2 Environmental policy

4.3 Planning

4.4 Implementation & operation

4.5 Checking

4.6 Management review

ISO 14001:2015

1. Scope

2. Normative Reference

3. Terms & definitions

4. Context of the organization

5. Leadership

6. Planning

7. Support

8. Operation

9. Performance evaluation

10. Improvement

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Common High Level Structure

Benefits: All ISO standards have the same structure

Standardized core definitions

More efficient for addressing multiple management system requirements

Provides the option of integrating management systems

4 Context of organization

5 Leadership 6 Planning 7 Support 8 Operation9 Performance

Evaluation10 Improvement

4.1 Understanding context

4.2 Interested parties

4.3 Scope

4.4 EMS

5.1 Leadership and commitment

6.1 Risks and

opportunities

6.2 Planning

7.1 Resources

9.1 Monitoring, measurement, analysis and evaluation

10.1 General

10.3 Continual

improvement

7.3 Awareness

7.4 Communication

7.5 Documented information

7.2 Competence 9.2

Internal audit

9.3 Management

review

8.1 Operational planning

and control

5.2 Environmental

policy

5.3 Organizational

roles, responsibilities and authorities

10.2 Nonconformity and corrective

action

8.2 Emergency

preparedness and response

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ISO 14001:2015 to ISO 14001:2004 correlation matrix, page 1

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20



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Major Differences: 2004 2015

Strategic environmental management

Leadership emphasis

Protecting the environment

Lifecycle perspective

Outsourced processes

Communication & documentation

Source: https://committee.iso.org/files/live/sites/tc207sc1/files/Main%20changes%20in%20ISO%2014001_2015.pdf

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Terminology Changes

Was: Documents and Records Now: Documented Information

Was: Environmental Objectives, Targets, and Programs Now: Environmental Objectives and Planning to Achieve

Them

Was: Legal and Other Requirements Now: Compliance Obligations

Was: Communication Now: Internal Communication and External Communication

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New Terms/Requirements

Context of the Organization

Interested Parties

Leadership

Risk-based Thinking Actions to Address Risks and Opportunities

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What Is No Longer Required?

Exclusions

Environmental Manual

Documented Procedures

Specific Records

Management Representative

Preventive Actions

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Concept 1: Risk-Based Thinking

Risk-based thinking: Is a coordinated set of activities and methods

that organizations use to manage and control the many risks that affect their ability to achieve objectives.

Ensures risk is considered from the beginning.

Makes proactive action part of strategic planning.

Risk is considered and included throughoutISO14001:2015.

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Do Check ActPlan

Concept 2: PDCA

ISO used the PDCA model to organize ISO 14001:2015. PDCA is a four-step model for carrying out change.

Plan

Do

Check

Act


5 Leadership

6 Planning

8 Operation

9 Performance and

Evaluation

10 Improvement

7 Support

The standard structure at a high level.

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Concept 3: Process Approach

• A process is a set of interrelated or interacting activities that use inputs to deliver an intended result. • A process has a start and an end defined by two limits.

• With a chain of activities between these two limits.

INPUT: Customer’s

need

OUTPUT: Customer’s need is met

Input OutputStep 1__________

Step 2__________

Step 3__________

Step “n”__________

Source: http://www.iso.org/iso/iso9001_2015_process_approach.pdf

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Process Approach

ISO 14001:2015 requires a process approach.

Definition of process approach: The systematic management of processes and their interactions to achieve intended result.

The process approach includes establishing the organization’s process to operate as an integrated and complete system.

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PDCA, Process Approach, Risk

Plan Set objectives and build processes necessary to deliver results

Do Implement what was planned

Check Monitor and measure processes and results against the objectives

Act Take action to improve results

PDCA Process approach

Risk is considered throughout

Source: https://www.accredia.it/UploadDocs/5957_Process_Approach_ISO_9001_2015_Presentation.pdf

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Risk in the 2015 Standard

Clause 4 Determine risk that can affect ability to meet objectives.

Clause 5 Top management is required to demonstrate leadership and committhat risk and opportunities are determined and addressed.

Clause 6 Take action to identify risks and opportunities and how to address them.

Clause 8 Plan, implement, and control processes to address actions identified in Clause 6.

Clause 9 Monitor, measure, analyse, and evaluate risks and opportunities.

Clause 10 Improve by responding to changes in risk.

Note: Risk is implicit in the standard whenever “suitable” or “appropriate” is mentioned.

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Sample Tool: Risk MatrixRisk & opportunities matrix

This is an example of a tool that could be used to capture risks &

opportunities (related to Clause 6.1.2).

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Risk Identification Tools

Strengths-weaknesses-opportunities-threats analysis (SWOT)

Process failure mode effects analysis (PFMEA)

Advanced product quality planning (APQP)

SWOT Analysis

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Risk Evaluation

Mitigate or reduce risk

Accept riskShare or

transfer risk

Avoid risk

Impact

Probab

ility

High

Hig

h

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Leadership Requirements

Leadership/top management: The person or group of people who directs and controls the

organization at the highest level.

Similar to 2008 standard, but 2015 standard requires: Greater involvement in the EMS by leadership

Leadership must:

Remain accountable for the effectiveness of the EMS.

Model and demonstrate commitment to the EMS.

5 Leadership


5.3Organizational roles, responsibilities and

authorities

5.2 Policy

Clause 5

Top management may no longer delegate the development,

design, maintenance, monitoring, reviewing and evaluating as

well as modifying the EMS.

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5 Leadership



authorities

5.2 Policy

Clause 5.2: Environmental Policy

The organization shall establish, implement, and

maintain an environmental policy that:

Is appropriate to the context of the organization

Provides a framework or setting environmental

objectives

Includes a commitment to

Protection of the environment

Fulfilment of compliance obligations

Continuous improvement

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Clause 5.3: Organizational Roles/Responsibilities

Top management shall ensure that the responsibilities

and authorities for relevant roles are assigned and

communicated within the organization.

5 Leadership


5.2Policy


authorities

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Common High Level Structure

Benefits: All ISO standards have the same structure

Standardized core definitions

More efficient for addressing multiple management system requirements

Provides the option of integrating management systems


5 Leadership 6 Planning 7 Support 8 Operation9 Performance

Evaluation10 Improvement

4.1 Understanding context

4.2 Interested parties

4.3 Scope

4.4 EMS


6.1 Risks and

opportunities

6.2 Planning

7.1 Resources

9.1 Monitoring, measurement, analysis and evaluation

10.1 General

10.3 Continual

improvement

7.3 Awareness

7.4 Communication

7.5 Documented information

7.2 Competence 9.2

Internal audit

9.3 Management

review

8.1 Operational planning

and control

5.2 Environmental

policy

5.3 Organizational

roles, responsibilities and authorities

10.2 Nonconformity and corrective

action

8.2 Emergency

preparedness and response

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ISO 45001 – Occupational Health & Safety Management Systems Written guideline for structuring a H&S Management System

in your organization

Identify Control

Train Engage

Find Problems

Fix Problems

Standardized Methods for:

H&S Hazards and Risks

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ISO 45001 – Occupational Health & Safety Management Systems

Published March 12, 2018 (www.iso.org )

“Replaces” OHSAS 18001

Certification to ISO standards

Globally recognized

Common customer expectation in business sector

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DRIVERS4

• Very similar to the drivers for implementing an ISO 14001 – EMS

• If you are responsible for EMS, you will likely be impacted by development and implementation of an ISO 45001‐ H&S MS.

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Customer – driven ISO 14001 as an indicator Published 1997

Ford – All 140 locations certified 1999

Big Auto - Supplier Push – 2001 – 2003

Trickle-down effect will be quicker Some are already OHSAS 18001 certified

“Been there, done that”

Estimate 2019 - 2021

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# of potential sites will be larger than for your EMS Warehouses, Service Hubs, etc.

Self-Certification will be an option

Safety record – for prioritization

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Other Drivers

Current ISO Registrations (14001)

Safety Record

OSHA negotiations

Sustainability and CSR Programs

Employee attraction and engagement

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INTEGRATION WITH ISO 14001 EMS

4

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ISO 45001 – Occupational Health & Safety Management SystemsContent

Plan – Do – Check – Act Format

Clauses align with Quality and Environmental ISO Formats

Plan

• Top Risks

• Compliance

• Objectives

Do

• Controls

• Train

• Communicate

• Documents

Check

• Audits

• Management Review

Act

• Corrective Action

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Unique to 45001

Expect to focus on these when developing and implementing

5.4 - Consultation and participation of workers

6.1.2 and 8.1.2 – “Hierarchy of Controls”

8.1.3 – Management of Change

8.1.4 - Procurement

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Use what you have in your EMS

to build 45001 processes:

E or H&S Inspections / Audits

Process Groupings in Aspects/Impacts

Equipment or Process Commissioning

Management of Change

Programs for Achieving Objectives

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Also use to build 45001 processes:

Job Safety Analysis

Risk Assessments

Incident Investigation

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TIMING

4

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OHSAS 18001 Certified ?

Will be withdrawn

3 years to transition – March 2021

Availability of certified auditors and registrars

Combine with your other certification audits?

ISO 14001 and ISO 45001 – Integration

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ISO 50001 – Energy Management

23,000 certifications – 15% increase in 2017

Other Relevant ISO Standards

1,000,000

362,000

23,000 ‐

200,000

400,000

600,000

800,000

1,000,000

1,200,000

9001 14001 50001

Certifications in 2017

Certifications in 2017

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Climate Risk and Resilience

“GHG Series” – 14064 through 14092

Measurement AND Mitigation

14090 – Adaptation of Climate Change

14091 – Vulnerability, impacts, and risk assessment

ISO 28000 – Security Management of Supply Chain

40% increase in 2017

Other Relevant ISO Standards

THANK YOU

Kelly Weger, RA, LEED AP, CEAPurdue Manufacturing Extension Partnership

Kristen Belcredi, P.E.Keramida, Inc.