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ISO 14001:2015

Awareness Training

Issue 1.1: Jul 2016


QMS-LA

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ISO 14001 - 2004 2

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
ISO 9001:2015 Lead Auditor Course 4.4.6 Operational Control
4.4.7 Emergency Preparedness/Response

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ISO 14001 - 2015 3

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
ISO 9001:2015 LeadControl
Auditorof documented
Course
information

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 Monitoring & Compliance Emergency


EMS Audits
checked? Measurement Evaluations Drills
4.5.5
4.5.1 4.5.2 4.4.7

How are issues fixed and Corrective / Management


improved? Preventive Review
Action 4.5.3 4.6

ISO 9001:2015 Lead Auditor Course

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How Does The New ISO14001-2015 Work? 5

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
Reqts to
Env Reqts 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
ISO 9001:2015 Lead Auditor Course Action 10.1 9.3

The New ISO 14001 Standard 6


http://www.iso.org/iso/home/store/catalogue
_tc/catalogue_detail.htm?csnumber=60857

The revised ISO 14001 was


published on Sept 2015.

Some changes are:


From 5 pages to 11 pages
Elements (clauses) from 18 to 32
Structure same as ISO 9001 & other
Management System Standards (MSS)
incorporating High Level Structure format
> Context, Leadership, Planning, Support,
Operation, Performance, Improvement

ISO 9001:2015 Lead Auditor Course

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The New ISO 14001 Standard (1 of 2) 7

ISO 9001:2015 Lead Auditor Course

The New ISO 14001 Standard (2 of 2) 8

http://asq.org/quality-press/display-item/?item=T986E
http://www.iso.org/iso/home/standards_development.htm
ISO 9001:2015 Lead Auditor Course

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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)
ISO 9001:2015 Lead Auditor Course
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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
ISO 9001:2015 Lead Auditor Course
10

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8 Big Changes (3 of 3)

7) 10.2 - No Preventive Actions formally required (its all


corrective action)

8) 7.5 - No mention of the word records (its all


documented information)

ISO 9001:2015 Lead Auditor Course


11

4.1 Understanding the organization 12

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 13

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 organizations


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

* John Nolan
ISO 9001:2015 Lead Auditor Course (google search)

4.1 Understanding the organization 14

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,
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4.1 What does it look like ? (4 of 4) 15

Document the context in the EMS manual or document


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

ISO 9001:2015 Lead Auditor Course

4.2 Understanding the needs and 16

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

ISO 9001:2015 Lead Auditor Course

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17

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 ?
ISO 9001:2015 Lead Auditor Course

4.4 Environmental Management System 18

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


ISO 9001:2015 Lead Auditor Course

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5.1 Leadership and Commitment 19

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
ISO 9001:2015 Lead Auditor Course

5.2 - The Three Pillars (commitments) 20

of Your Environmental Policy:

Compliance Company Policy


Statement
Protection of the Environment
Continual Improvement

ISO 9001:2015 Lead Auditor Course

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5.3 / 7.1 - Organizational Roles,
21

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

ISO 9001:2015 Lead Auditor Course

6.1.1 Actions to address risks and 22

opportunities

Determine risks and opportunities associated


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

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6.1.2 Environmental Aspects & Impacts 23

Air Emissions Energy Use


Air Pollution Fossil Fuel Depletion

Packaging Metal Chips


Land Fill Space Minerals Depletion

Stormwater
Water Pollution
Transportation
Air Pollution Wastewater
ISO 9001:2015 Lead Auditor Course Water Pollution

6.1.2 Significant Aspects 24

6.1.2

by using
established criteria

ISO 9001:2015 Lead Auditor Course

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6.1.2 Env. Aspects Life Cycle 25

determine the environmental aspects


considering life cycle perspectivefor activities,
products and services THAT IT CAN CONTROL OR
INFLUENCE taking into account:
- changes (MOC)
- emergencies

ISO 9001:2015 Lead Auditor Course

6.1.3 Compliance Obligations 26

Determine compliance obligations


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

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27

6.1.4 Planning Action


Organization Shall Plan:
Significant environmental aspects
Compliance obligations
Risk and opportunities

ISO 9001:2015 Lead Auditor Course

6.2.1 & 6.2.2 28

Objectives and
Planning Actions

ObjectivesResult to be Achieved:
- Consistent with Environmental Policy
- Considering Sig Aspects, Legal Reqts &
Risks/Opportunities

Planning Actions (Programs): What will be done,


Resources, responsible party & Due Date

ISO 9001:2015 Lead Auditor Course

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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


ISO 9001:2015 Lead Auditor Course

7.2 & 7.3 Competency and 30

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
ISO 9001:2015 Lead Auditor Course compliance obligations)

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Specifying Environmental Training 31

Needs

ISO 9001:2015 Lead Auditor Course

7.2 & 7.3 - Competency and 32

Awareness

ISO 9001:2015 Lead Auditor Course

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7.4, 7.4.2, & 7.4.3 - Communication: 33

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
ISO 9001:2015 Lead Auditor Course

7.5 - Documentation Information 34

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,
- distribution,
Work access, retrieval, use
- storage, preservation, change control, retention &
Instructions
disposition
Records
- external documents
ISO 9001:2015 Lead Auditor Course

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Documented Information - Procedures 35

- The 2015 std has replaced requirements for


procedures w/ requirements for processes

ISO 9001:2015 Lead Auditor Course

Documented Information - Records 36

- 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) 37

ISO 9001:2015 Lead Auditor Course

ISO 14001: 2015 - Docs and Records (2 of 5) 38

ISO 9001:2015 Lead Auditor Course

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ISO 14001: 2015 - Docs and Records (3 of 5) 39

ISO 9001:2015 Lead Auditor Course

40
ISO 14001: 2015 - Docs and Records (4 of 5)

ISO 9001:2015 Lead Auditor Course

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41
ISO 14001: 2015 - Docs and Records (5 of 5)

ISO 9001:2015 Lead Auditor Course

8.1 - Operational Planning & Control 42

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.

ISO 9001:2015 Lead Auditor Course

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8.1 - Operational Planning & Control 43

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

ISO 9001:2015 Lead Auditor Course

8.2 Emergency Preparedness 44

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

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Example - List of Potential 45

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

ISO 9001:2015 Lead Auditor Course

9.1.1 Monitoring, Measurement, 46

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
ISO 9001:2015 Lead Auditor Course

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9.1.1 Monitoring, Measurement, Analysis, 47

and Evaluation - General

ISO 9001:2015 Lead Auditor Course

9.1.2 Evaluation of Compliance 48

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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9.2.1 & 9.2.2 Internal Audit (1 of 2) 49

To Determine if EMS
meets:
ISO 14001
EMS Procedures &
Programs

ISO 9001:2015 Lead Auditor Course

9.2.1 & 9.2.2 Internal Audit (2 of 2) 50

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


ISO 9001:2015 Lead Auditor Course

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9.3 Management Review 51

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

Reqd Docs/Records:
- Management Review Schedule
- Documented Minutes

ISO 9001:2015 Lead Auditor Course

52

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)

ISO 9001:2015 Lead Auditor Course

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53

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
ISO 9001:2015 Lead Auditor Course

54

ISO 9001:2015 Lead Auditor Course

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Thea Dunmires 6 Potential Pitfalls to ISO 55

1) There is legal liability that could be uncovered by ISO


14001.
2) 14001 designates Top Management as responsible.
This could connect TM to potential legal issues.
3) Treat audit findings and related confidentially especially
with external auditors, registrars, etc.
4) Correct identified problems or there maybe potential
willful violations.
5) Written procedures can over-complicate EMS and create
additional legal obligations.
6) Realize that records can implicate. Get a handle on all
records floating around.

ISO 9001:2015 Lead Auditor Course


www.enlar.com

Hows Does OHSAS 18001 Work

What are the JHAs and Legal Potential


OHS Issues Risks Requirements Emergencies
4.3.1 4.3.2 4.4.7

How are they Objectives & Training Operational Emergency


managed ? Programmes Programs Controls Response
4.3.3 4.4.2 4.4.6 Plans 4.4.7

How are they OHS MS Incident Monitoring & Compliance Emergency


checked on ? Audits Investigation Measurement Evaluations Drills
4.5.5 4.5.3.1 4.5.1 4.5.2 4.4.7

How are issues Corrective / Management


fixed and improved Preventive Review
Action 4.5.3.2 4.6

ISO 9001:2015 Lead Auditor Course


56

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Hows Does ISO 45001 Work

ISO 9001:2015 Lead Auditor Course


57

Identifying Environmental Aspects * ISO 14001:2004 - 58

Legal & Other Requirements Level 2


Setting Objectives, Targets, Programs Procedures
*
Environmental Training
Environmental Communication
Document Control
Operational Controls
Contractor Management
Emergency Response Planning
Monitoring & Measuring
Compliance Evaluation
Required
Corrective & Preventive Action
Environmental Records Recommended
Internal EMS Audit
Red Add to 9001
EMS Management Review
Procedure
ISO 9001:2015 Lead Auditor Course

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7.5 - Documentation - Typical ISO 59

14001 Document System

EMS Intent & Direction


Manual

Procedures What you do & who does it

Work How you do it


Instructions

Records Evidence of what you do


ISO 9001:2015 Lead Auditor Course

Thank you for


participating!
info@nucleus-india.com
www.nucleus-india.com
+ 91 9600001996

Issue 1.1: Jul 2016


QMS-LA

Nucleus Consultants I www.nucleus-india.com I info@nucleus-india.com

info@nucleus-india.com Nucleus Consultants Page 30

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