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approved companies
February 2017
Page 1 of 31
© NSI 2017
14001:2015 Guidance document for approved companies
Contents
Introduction................................................................................................................................................................ 3
Basic principles of 14001:2015 ............................................................................................................................ 4
Risk based thinking ................................................................................................................................................. 5
Understanding context .......................................................................................................................................... 5
Increase in leaders’ involvement ........................................................................................................................ 7
Understanding needs & expectations of interested parties .................................................................... 8
Integrated process approach............................................................................................................................... 9
Documentation requirements .......................................................................................................................... 11
What do I do now? ............................................................................................................................................... 13
Step by Step ............................................................................................................................................................ 14
The clauses .............................................................................................................................................................. 15
14001:2015 version............................................................................................................................................... 15
Appendix A: 14001: 2015 list of records required .................................................................................... 19
Appendix B: 14001: 2015 documented information required ............................................................. 21
Appendix C: Useful examples ........................................................................................................................... 25
Introduction
As an approved company you are already used to working to written procedures and
processes. The revised 14001 doesn’t change this but places emphasis on risk management
and there are less prescriptive requirements for documented procedures.
You may decide that you will keep your current Environmental Management system and
simply amend it where necessary. Some of you may take this as an opportunity for a complete
revamp. Either course of action is entirely reasonable and this guidance document is simply
going to walk you through what the essential elements are you need to address in order to
become 14001:2015 compliant.
The new standard does encourage you to integrate your environmental processes into your
other business processes where possible and you will need to bear this in mind which ever
course of action you take.
First you need to understand what has changed and what this means to you.
(Plan)
Planning
(Do)
(Act)
Improvement Leadership Support and
Operation
(Check)
Performance
evaluation
Plan – Do – Check – Act continues to be the main principle of 14001:2015 with amended
elements feeding into this. Some are new and some are enhanced ways of dealing with a
process approach.
There is less demand for documented procedures but more expectations that companies will
determine their own documentation requirements.
Identify risks
Consider them
Control them
Many organizations will manage risk as part and parcel of their general management. Some
may decide to apply a specific risk model that is applied to each risk they identify. Documented
information needs to be in place to demonstrate organizations have understood and managed
this risk in line with their business, their processes and the environment.
Examples of documented information regarding risk may include a business plan, a risk
register, an aspects and impacts register and reports on environmental performance.
Understanding context
Approved companies will need to understand and identify all the influences affecting their
business with respect to the environment. They must ensure their strategy and direction takes
this into consideration. This could be captured in a business plan.
Examples include:
Internal issues:
corporate culture, governance, structure, technologies, information systems, decision-
making process.
External issues:
cultural, social, political, legal, regulatory, financial, technological, economic,
competitive, environmental, international, national or regional influences.
Environmental conditions:
meteorological, geological, hydrological and ecological information, such as historical
information related to the organization’s location, reports from previous reviews,
environmental permit or licence applications, reports on emergency situations and
incidents with environmental consequences
Process of monitoring:
How do you monitor your business with respect to environmental aspects and Impacts?
What checks and supervision are in place?
Impact of changes:
How do you manage changes in the business and their impacts
All organizations will already consider the ‘context’. The standard is calling for organizations
to recognize this in a wider sense, so the processes you develop, change and work to have
considered all the above.
How will you evidence this?
Through clear processes and documented information that will demonstrate you have
considered the business in this context. There is no requirement for a specific document; it
may be captured in a business plan or strategy document.
All
No longer specifies
areas/departments Greater leadership
a management
will have commitment
representative
responsibility
Things to consider:
Strategic direction: does the business know where it’s headed, what consideration has
been made with respect to the environmental context.
Have the business’s environmental aspects and impacts, compliance obligations
(including legal) been identified and reviewed.
Create an environmental policy and objectives that outline your intentions; the
environmental policy should relate to the scope and goals and objectives.
Review and define what your strengths and weaknesses are.
Consider the environmental impact on delivery of products and services (the life cycle).
Based on this assign EMS responsibilities and authority.
Determine final accountability.
A key concept
Environmental focus and
improvement
Customers/public
Groups or
No longer specifies a Shareholders/Board
individuals who
management members
can make an
representative Contractors/Suppliers
impact
Regulatory bodies
Needs and
What impact can
Monitor their expectations from
they have on the
involvement both parties to be
business?
understood
Review meetings
How do you do
Review Reports
this? How often?
Feedback
Organizations will have a number of influences and each will have a varying impact on them.
For example, a supplier/manufacturer can significantly affect the ability to provide an
environmentally friendly product or service. In this case a clear product/supplier approval
process needs to be established at the beginning to ensure environmental risks, opportunities
and the product life cycle are considered.
Organizations will also need to consider their environmental impact related to the location
where they provide their product or service. In this case they may carry out an environmental
risk assessment before carrying out any work; this could be part of their existing risk
assessments.
Note: Refer to 14001:2015 Guidance document for approved companies – Annex A for more
detail.
Example processes:
Finance Determine the
Sales processes the
business needs
Recruitment/Training
Human Resources
Management/Leadership
Planning Operations For example:
Environmental
Suppliers/Subcontractors performance indicators Environmental
Commissioning needed to manage and Targets/Budgets
control each process Aspects/Impacts/
Legal compliance
Compliance
Obligations
Documentation requirements
The standard now expects an organization to determine what their own documentation
requirements are. This is based on being able to effectively plan, operate and control the
business and its processes.
It must include an overall aim to continually improve its environmental performance and its
environmental management system.
Documentation should be used for:
Producing documents to
Staff must understand: confirm:
1) Their role Environmental compliance
2) Direction of the business (ideally integrated into the
existing management system)
Large company =
More formal
Dependent on the size of the business, the structure and ethos of documentation will vary. It’s
essential each organization determines their own needs as well as ‘interested parties’ (referred
to earlier) documentation needs.
Examples:
Some staff will expect to be given a formal written job description which may be
supported by key performance indicators that are measured periodically, others may
require periodical training that is assessed on a regular basis, and others may only require
the issue of verbal instructions with informal reviews.
Some clients and customers may only require a copy of the organization’s environmental
policy; other clients may require further information such as an aspect and impacts
register, a copy of the 14001:2015 Certificate or even evidence of competency for the
relevant staff involved.
Documents can also be used as a way of demonstrating how things should be done, manage
expectations and lead by example.
Documented information is any type of medium: paper/magnetic/electronic/photographic.
Note: A list of expected records is in Appendix A.
What do I do now?
Review your documented procedures and amend them to clearly reflect what documentation
your business creates with the products and services it sells. This will include processes,
documents, evidence and records.
Note: The revised standard does not call for specific documented procedures but does insist
on evidence to demonstrate things are still in place such as internal audits and management
review.
Step by Step
Step 1:
Define strategy
Define context
Define interested parties
Define risk & opportunities
Aspects and Impacts
Life cycle of product and
service (from source to final
disposal)
Step 6:
Update EMS
Complete the checklist supplied
Communicate changes to the
staff and relevant interested
parties i.e. subcontractors
The clauses
The clauses of the new standard are detailed below.
Additionally, a step by step guide on how to interpret each clause is given in the separate
Annex A to this document.
14001:2015 version
Clause Title Meaning
4. Context of the organization Title only.
4.1 Understanding the organization and its This is about knowing what affects the organization both internally
context and externally (environmental conditions, internal/external issues).
4.2 Understanding the needs and Ensure you identify & capture what other parties need from you in
expectations of interested parties order to meet your environmental compliance obligations and deliver
a service or a product.
4.3 Determining the scope of the Scope must set out what the company does and delivers. It should
environmental management system include products and services. It must now be done with
consideration to the context. What does this mean? Understanding
the market you operate in, compliance obligations, and the
environmental aspects and impacts.
The scope of the EMS needs to be made available to interested
parties.
4.4 Environmental management system Organizations need to establish and continually improve the
environmental management system including the processes needed
and their interactions in accordance with the standard. For example:
process maps/overview of how things are done with inputs and
outputs.
5.1 Leadership and commitment Demonstration of leadership including involvement and commitment
by top management is required; including accountability for the EMS
and ensuring it is integral to the business.
5.3 Organizational roles, responsibilities and Top management need to ensure that all roles are well understood
authorities and communicated.
6.1.2 Environmental aspects The identification of environmental aspects and impacts in all
situations and now with the consideration of the life cycle perspective.
6.1.3 Compliance obligations Compliance obligations now include legal and other requirements
that are related to the management system.
Legal requirements are typically applicable laws and regulations.
Other requirements are determined by the organization based on the
needs and expectations of interested parties, these are non-legal and
voluntary obligations.
6.1.4 Planning action The organization needs to consider and plan how to manage
significant environmental aspects, compliance obligations, risks and
opportunities.
As part of this process the organization needs to consider how to
integrate these actions into the business processes and also evaluate
how effective they are.
6.2.2 Planning actions to achieve The planning now has to include details on what resources will be
environmental objectives required, who will be responsible and how the results will be achieved.
7 Support
7.1 Resources Determine and provide the resources needed for the establishment,
implementation, maintenance and continual improvement of the
environmental management system.
7.3 Awareness Persons working for the organization need to be aware of the Policy
and relevant EMS requirements
7.4 Communication
7.4.1 General Communication is now more prescriptive and needs to consider what,
when, to whom and how communication will be made.
And it must be consistent with information generated by the EMS and
reliable.
7.4.3 External communication The organization needs to consider what information relevant to the
EMS needs to be communicated taking into account its compliance
obligations.
7.5.1 General (under Documented Documents and records have now been combined under this
information) heading. You do not have to change the terminology used within your
organization if you prefer not to.
(See Documentation Requirements)
7.5.2 Creating and updating You need to ensure that the documentation is identified and that
appropriate format and media are used.
7.5.3 Control of documented information That you have suitable controls in place to ensure information is
adequately protected and controlled.
8 Operation
8.1 Operational planning and control Processes must be planned, implemented and controlled in
accordance with the criteria and actions identified in clause 6.1 & 6.2.
There is also a need to control planned changes including a review of
any unintended changes, the control of outsourced processes, the
control of the procurement process.
Consideration for the need to provide information on products and
services in transportation, delivery, use, end of life and final disposal
is also required.
8.2 Emergency preparedness and response The organization to take action to prevent the occurrence of
emergency situations. Also the need to ensure that the response to
an emergency situation is proportionate (i.e. the response should not
exacerbate the impact).
9 Performance evaluation
9.1.1 General (under Monitoring and Decide what you are measuring and how it is done. You must
measurement, analysis and evaluation) evaluate the results and analyse these for the EMS.
9.1.2 Evaluation of compliance Decide how frequently you need to evaluate compliance, and what
action you will take if it is needed, to ensure compliance.
9.2 Internal audit Ensure you have established and maintained an audit programme
and that you have defined the audit criteria and the results are
reported to relevant management.
9.3 Management review You need to ensure changes associated with internal and external
issues are considered (i.e. related to context, including the needs of
interested parties) as well as risks and opportunities, trends in in non-
conformities and corrective action, monitoring and measurement
results, conformity with compliance obligations and audit results.
10 Improvement
10.1 General (under Improvement) Seek out improvement opportunities to improve the EMS.
10.2 Nonconformity and corrective action Determine if similar nonconformities exist, or could potentially occur.
Ensure retention of documents recording nonconformities and
actions taken.
10.3 Continual improvement The need to continually improve the EMS and to enhance
environmental performance.
Accounts
Contracts
Complaints
Insurances/claims
Finance Invoices
Credit notes
Statements
Payroll records
Sales Schematics/Drawings
Contract review
Data sheet
Quotes/Proposals/Tenders
Incident reports
Accident reports
Commissioning paperwork
Welfare visits
Asbestos register
Legionella report
Job description
Training records/Certificates
Appraisals
Non-conformance reports
Non-conformance register
Legal register
4.1 Understanding the This is about List of the external and internal issues,
organization and its knowing what environmental conditions, aspects and impacts
context affects the register.
organization both Minutes of meetings including management.
internally and
externally
(environmental
conditions,
internal/external
issues).
4.2 Understanding the Ensure you identify, Relevant standards, codes of practice, tender
needs and capture what other documents, emails / minutes of meetings with
expectations of parties need from interested parties.
interested parties you in order to meet
your Environmental
compliance
obligations and
deliver a service or a
product.
4.4 Environmental The processes that Process maps covering core and support
management system explain how the processes e.g. sales/install/finance/HR/
company operates. Emergency preparedness and response.
6.1.1 Planning, General Define what you Risk and opportunities that need to be
want the business to addressed.
achieve. Processes needed in addressing risks and
opportunities, environmental aspects,
7.3 Awareness Ensure persons Notice board, minutes of meetings, tool box
working under the talks.
organization’s Subcontractor information packs.
control are aware of
Approved supplier documentation.
the environmental
policy, significant
environmental
aspects and impacts,
contribution to the
February 2017 Page 22 of 31
© NSI 2017
14001:2015 Guidance document for approved companies
8.1 Operational planning Keep information on Site surveys, quotation documents, risk
and control processes to ensure assessments, method statements, processes,
they are being schematics, contract review, contracts,
carried out including Environmental surveys, COSHH sheets
risks and
Commissioning paperwork, maintenance
opportunities.
dockets, and waste documentation
And other information related to the
operational control processes needed to meet
environmental management system
requirements.
8.2 Emergency Retain evidence of Fire drill, COSHH sheets, site plans
preparedness and reviews and tests of Records of testing emergency processes where
response planned response possible (i.e. emergency spill kit exercise and
actions. report)
Records of a table top exercise where it is not
possible to actually carry out a full test.
10 Improvement
1. External issues
Possible external issues could include
Categories Description
Political National & local government - congestion charge.
Economic Availability and cost of utilities including fuel, gas and water, infrastructure and
transportation.
Supply chain Supplier and product availability, including level of technology and customer
requirements.
Market demand Current and future market trends for products and services including those
that are energy and resource efficient.
Legislative The legal framework within which the organization operates including
statutory, regulatory and other forms of legal requirements.
Natural Climatic and other conditions, physical conditions, biodiversity, rare and
endangered species, ecosystems, resources and availability.
External sources of information that can contribute to the organization’s knowledge of external
issues can include: Customers, suppliers, and partners, sector organizations (SIA, BAFE, NSI)
government bodies (Police, Fire Brigade), consultants, local news media, and the local
community
3. Internal Issues
Possible internal issues could include
Categories Description
Organizational structure Family business, public or private company, management and leadership style,
and control culture within the business, relationships, roles and responsibilities and
authorities.
Policies, objectives and The purpose and direction of the business, other objectives and strategies and
strategies: resources that are need to achieve them.
Capacity and capability and In terms of resources and competence within the organization.
knowledge within the
organization
Management systems & The existing management systems that are presently in place including those
standards based on standards and codes of practice.
Communication Methods and processes used for communication within the business.
Shareholders / owner of Expect the organization to manage its opportunities and risks that could affect
the business the investment.
Industry membership & Need the organization’s cooperation to demonstrate & achieve environmental
non-governmental goals.
organizations (NSI/BAFE)
Emergency Preparedness Being able to demonstrate to clients Improves the image of the company as
that resources are in place to deal an environmentally friendly company.
with emergency situations (i.e.
Leaking hydraulics).
Non Compliance to legal Washing of vehicles at the Results in fines, costs for corrective
obligations companies’ premises without the action and potentially losing business.
relevant controls and permits in
place to ensure compliance
obligations are met.
7. Environmental objectives
Environmental objectives need to be established at relevant levels taking into account the
companies significant environmental aspects, compliance obligations and consider its risks
and opportunities.
They also need to be consistent with the environmental policy, realistic, measurable (where
practical), monitored, communicated within the business and updated as appropriate.
February 2017 Page 27 of 31
© NSI 2017
14001:2015 Guidance document for approved companies
Document Use of electricity Depletion of Risks – Loss of business to Introduce the use of
printing Use of paper natural resources more competitive Tablets/PDAs
paperless technology
Two sided Reduction in the Conservation of Opportunities – reduced Set default printing
printing/ use of natural natural resources Costs to double sided
copying resources
Transportation
Fleet Fuel use Depletion of Risks – higher Fuel costs Establish objectives
operation non-renewable to reduce fuel use
fuels
Opportunities
– Use alternative
fuels/vehicles
- Reduce fuel Costs
- Clean up costs
Discharge of oily Pollution of the Opportunities
waste ground