cd iso 14001 ebook

Bringing sustainability and safety to the world’s most complex environments

REVISION OF ISO 14001Key Changes Proposed in the March 2013 Draft

This report was prepared by: Nigel Leehane and reviewed by: Bryan Hughes

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Revision of ISO 14001

Key Changes Proposed in the March 2013 Draft

TABLE OF CONTENTS

LIST OF APPENDICES

1.0 Introduction

1.1 Background

1.2 Wherecanyoufindoutmore?

2.0 Greater Expectations for Top Management’s Leadership and Commitment

3.0 How to Address Strategic Environmental Issues, the Interests of Stakeholders and the Direction of the Business

4.0 What commitments to make to sustainable development and social responsibility?

5.0 Extendingenvironmentalinfluenceintothevaluechain,with implications for procurement

6.0 Environmental Design as a Tool for Improvement

7.0 Demonstrating Environmental Compliance Status

8.0 Using performance indicators to track improvement

9.0 Timeline and Milestones for the Revision Process

9.1 Opportunities for Responding to Consultation

9.2 TimescaleforConformingtoaRevisedStandard

10.0 How can CRA help with the transition to ISO 14001:2015?

Appendix A Future Challenges Recommendations

Appendix B Relationships between the Clauses of ISO 14001:2004 and the March 2013 Revision Draft

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1.0 INTRODUCTION

1.1 Background

ISO14001:2004isbeingrevised.TheInternationalOrganisationforStandardisation(ISO)workinggroupresponsibleforrevisingthetextmetinearlyFebruaryandhasproduceda“CommitteeDraft”whichisbeingcirculatedforcommenttoitsmemberbodies.

Whenpublished,ISO14001:2015willhaveanewstructureand“commontext”,followingISOrulesforallmanagementsystemsstandards.ItwillalsoaddresstherecommendationsfromtheISO“FutureChallenges”study(AppendixA),fortheadoptionofvariousnewapproachesandmethodsinthefieldofEMS,andtomeettheneedsofstakeholdersinthefuture.

Thisisafundamentalrevisionofthestandard,withfargreaterimplicationsfororganisationsthanthepreviousrevisionin2004.Thisreport,whichidentifiessevenmajorchangesproposedinthecurrentdraft,aimstohelpyouappreciatethekeythemesoftherevision,andwhatauditorsmayexpectfromyouonce ISO14001:2015isreleased:

1. Greaterexpectationfortopmanagementtounderstandtheorganisation’senvironmentalissues,supporttheEMSandchampionimprovedperformance;

2. Broader strategic consideration of the organisation’senvironmentalcontext,includingtheinterests of stakeholders and the direction of the business;

3. Makingspecificcommitmentstosustainabledevelopmentandsocialresponsibility;

4. Extendingenvironmentalinfluenceintothesupplychain,withimplicationsforprocurement;

5. Embracingopportunitiesforusingenvironmentaldesignasatoolforimprovement;

6. Beingabletodemonstrateanunderstandingoftheorganisation’senvironmentalcompliancestatusatalltimes;and

7. Usingperformanceindicatorstotrackimprovement.

Someofthesenewrequirementsareaddressedbychanges to the structure of the standard, which will include new clauses on:

• Understandingtheorganisationanditscontext;

• Understandingtheneedsandexpectationsofinterestedparties;

• Externalcommunicationandreporting;

• Valuechainplanningandcontrol;and

• Continualimprovement.

Many of the other clauses have been strengthened and theorderofmanyinthestandardhaschanged.Forexample,“awareness”isnolongerpartofcompetenceand training, but is a separate sub-clause. Non-conformancenowsitsbetweenmanagementreviewandcontinualimprovement,anewsub-clausewhichprovidesgreateremphasisonimprovementat the end of the standard. Tables showing the relationshipsbetweentheclausestructureofthe2004edition and the proposed new structure are provided in Appendix B.

Theanticipatedtimescalesandkeymilestonesintherevision process, including opportunities to respond to consultations,aresetoutinSection9.0.

1.2 Wherecanyoufindoutmore?

CRAwillbepublishingbriefingsthroughouttherevisionprocess.Ifyouwouldliketoreceivethem,thenpleasesubscribetoourquarterlynewsletterviaourwebsite.ExistingsubscriberswillautomaticallyreceivethenewslettersandanyotherISO14001briefings.

Nigel Leehane is one of the UK’s technical experts appointedtotheISOworkinggrouprevising14001.Pleasecontacthimon01159656700or nleehane@cra.co.ukifyouwouldliketoknowmoreaboutthechangestoISO14001andtheimplicationsfor your organisation.

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2.0 GREATER EXPECTATIONS FOR TOP MANAGEMENT’S LEADERSHIP AND COMMITMENT

ISO14001:2015willincludenewclausesonleadershipandthecommitmentoftheorganisation,whichexpandsignificantlyontherequirementsofthecurrentversionof the standard.

Thecurrentversionofthestandardrequirestopmanagement(thosewho“controlordirectorganisationsatthehighestlevel)”todefinetheenvironmentalpolicy,appointamanagementrepresentativeresponsiblefortheEMSandreportingbacktothem,andundertakethemanagementreview.Thishasallowedtopmanagementtobecomedivorcedfrommeaningfulenvironmentalmanagement,insteadrelyingonitsdeliverybyanenvironmentalmanagementfunction.

Therevisedstandardwillrequiremuchmoreoftopmanagement,including:

• Understandingtheorganisation’scontext(interms of its environmental risks, opportunities andstakeholderexpectations);

• Ensuringthattheenvironmentalpolicyandobjectives are compatible with the strategic directionoftheorganisation;

• Consideringenvironmentalperformanceinstrategicplanning;

• EnsuringtheintegrationoftheEMSintotheorganisation’sbusinessprocesses;

• Ensuringadequateresourcesareavailable;

• Communicatingtheimportanceofeffectiveenvironmentalmanagement;

• Ensuringthattheenvironmentalmanagementsystem achieves its intended outcomes and promotescontinualimprovement;and

• Directingandsupportingstafftocontributetothe effectiveness of the EMS, and supporting those responsible for environmental management.

Thesearefarmoreonerousresponsibilitiesfortopmanagement,aimedatencouragingthemtobemoreinvolvedinenvironmentalmanagementandsupportingenvironmentalmanagementefforts.Theserobustcriteriaprovideeffectiveammunitiontoauditorstoallowthemtotesttheinvolvementandsupportfromtopmanagement,whichisneededtofosterorganisational behaviour change.

Additionally,thenewrequirementsshouldleadtogreaterintegrationofenvironmentalmanagementintobusinessprocesses,andensureenvironmentalissues are considered at a strategic level, including in thecontextoflongertermplanning.Thesemeasuresshould encourage organisations to derive greater businessbenefitsfromimprovedenvironmentalperformanceandcruciallyhelptoremovebarrierstoenvironmentalimprovementbyharmonisingbusinessandenvironmentalgoals.

Howwillyourorganisation’stopmanagementrespondtothesechallenges?Considerwhattheywillneedtodotodemonstratetoanauditorthattheyarefulfillingthese obligations. What evidence will auditors need to verifythatenvironmentalperformanceisconsideredinstrategicplanningorthattheEMSisbeingintegratedintotheorganisation’sbusinessprocesses?

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3.0 HOW TO ADDRESS STRATEGIC ENVIRONMENTAL ISSUES, THE INTERESTS OF STAKEHOLDERS AND THE DIRECTION OF THE BUSINESS

STRATEGIC LEVEL

ISO14001:2015willincludenewopeningclausesconcerning the context of the organisation and understanding the needs and expectations of stakeholders.Thisisanimportantdevelopment,aimedat ensuring the organisation considers high-level, strategic drivers when establishing the scope of its EMS,makingitscorecommitments,anddevelopingitsenvironmentalpolicy.

Thereisaclearshiftinemphasisfromthe2004edition,inwhichtheonlyexplicitrequirementtoidentifyenvironmentalissuesisinthecontextofidentifyingandassessingenvironmentalaspects,afterthepolicyhas been established. In the Annex, it is suggested thataninitialreview,includingoftheenvironmentalaspects, should be undertaken before developing the policy, but there is no suggestion that this should be at a strategic, rather than operational, level.

Therevisededitiondoesboth,withrequirementsforhigh level consideration of risk and also operational environmentalaspectsevaluation.Thisisanimportantdistinction, separating strategic and operational environmentalissues,andensuringthatappropriateattention is now also given at the strategic level. This shouldbeundertakenwhenplanningthesystemandalsoperiodically,inthesamewaythatoperationalenvironmentalaspectsareconsidered.

Consider context and stakeholders

Review and improve

Determine system scope & definepolicy

Implement system

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3.0 HOW TO ADDRESS STRATEGIC ENVIRONMENTAL ISSUES, THE INTERESTS OF STAKEHOLDERS AND THE DIRECTION OF THE BUSINESS

OPERATIONAL LEVEL

The new clause for understanding the organisation anditscontextrequiresthedeterminationofinternalandexternalissues“relevanttoitspurpose”andwhichmayinfluencetheeffectivenessoftheEMS.Italsospecificallyreferstotheimplicationsofexternalenvironmentalconditions,whichisasubtlenudgetowardsaddressingclimatechangeadaptation.Theuseoftheterm“purpose”oftheorganisationisimportant,inthatitdirectlyrelatesenvironmentalmanagementtotheraisond’etreoftheorganisation,implicitlyrequiringstrategicconsiderationofanything“environmental“thatmayhaveabearingonbroaderorganisationalgoals.ThisfulfilstheFutureChallengesrecommendationthatenvironmentalmanagementbeintegrated with business strategy.

The new clause for understanding the needs and expectations of interested parties, or stakeholders, simplyrequirestheidentificationofrelevantpartiesandtheirrequirements,inrelationtotheenvironmental

managementsystem.Stakeholderneedsandexpectationsclearlycanvaryinsignificancefromone organisation to another and, rightly, the standard does not prescribe how or when these needs and expectations should be evaluated.

The output of both of these evaluations, of context and stakeholders, should provide an input into the determinationofthescopeoftheEMS.Additionally,theenvironmentalpolicyshouldalsoreflectthe“directionoftheorganisation”,oritsbroaderstrategicpolicy.

Thesenewrequirementswillposesomeinterestingchallengesfororganisations,potentiallyrequiringagreaterdegreeofconsiderationofenvironmentalmattersatstrategiclevel.Itwillbeinterestingtoseehow far external auditors will go to obtain evidence thattheserequirementsarebeingfulfilled.

Assess environmental

aspects

Review and improve

Implement operational

controls

Monitor performance

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4.0 WHAT COMMITMENTS TO MAKE TO SUSTAINABLE DEVELOPMENT AND SOCIAL RESPONSIBILITY?

TheFutureChallengesstudyrecommendedthatconsiderationbegivenintherevisionofISO14001tothecontentofISO26000–GuidanceonSocialResponsibility,whichconsiderstheenvironmentasthe“planet”elementofthe“People,PlanetandProfit”model.FutureChallengessuggeststhat14001shouldaddresstheenvironmentalprinciplesinISO26000andalso consider aligning its language.

Thefourenvironmentalthemesconsideredin ISO26000are:

• Preventionofpollution(wasteandemissions);

• Sustainableresourceuse(materials,energyandwaterconsumption);

• Climatechangeandmitigations(GHG);and

• Protectionoftheenvironmentandrestorationofnaturalhabitats(ecosystems,biodiversity,land and natural resources, urban and rural development).

Prevention of pollution is already a key principle of 14001,towhichacommitmentmustbemadeintheenvironmentalpolicy.Thisisretainedintherevisedtext,butwiththeadditionalrequirementto“supportenvironmentalprotectionspecifictothecontextoftheorganisation”,anddecideifothercommitmentsshouldbemade.Theuseoftheterm“context”referstothenewclauses4.1and4.2,whichrequirethe consideration of the organisation’s internal and external issues and stakeholder needs and expectations.

Thisisnotadetailedoperationalaspectsassessment,but a high level, strategic review, intended to identify broaderrisksandopportunities.Theoutcomewilldependverymuchonthenatureoftheorganisation’sactivities, products and services, the value chain and geographicfactors,amongothers.TherevisedtextincorporatesthethreeISO26000topics,withsomemodifications:

• Sustainableresourceuse;

• Climatechangemitigationand adaptation;and

• Protectionofbiodiversityandecosystems.

It also includes the catch-all “or other relevant environmentalissues”,which,fororganisationsinvolvedinagriculture,forexample,couldbewaterscarcity.

Althoughthereisnomandatoryrequirementtoaddress these sustainability principles in the policy, organisationsshoulddetermineiftheywouldbenefitfromdoingso,takingaccountofthebroaderbusinessimplications.Oneoftherequirementsoftopmanagementistoensurethattheenvironmentalpolicyiscompatiblewiththestrategicdirectionoftheorganisation,andsotheyshouldbesufficientlywellinformedtodecideifcommitmentisneededtoanyspecificsustainabilityprinciples.

Shouldspecificcommitmentsbemade,thenthesystemneedstoprovidethetoolstofulfilthem.Therevised text provides substantially greater drivers for this, including:

• Settingobjectivesconsistentwiththepolicy;

• Moredetailedrequirementsforexternalreporting(compatiblewiththeGlobalReportingInitiative,etc.);

• Adoptingalifecycleperspective;

• Requiringtheuseofkeyperformanceindicatorsformeasuringprogresstowardsobjectives;and

• Valuechainplanning,controlandmonitoring.

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5.0 EXTENDING ENVIRONMENTAL INFLUENCE INTO THE VALUE CHAIN, WITH IMPLICATIONS FOR PROCUREMENT

ThecurrenteditionofISO14001recognisestheneedtoaddresstheimpactsof“activities,productsandservices”,buttheemphasisisverymuchoncontrollingtheorganisation’sownactivities.TheISOFutureChallenges report suggests that the need to think morebroadlyoutsidetheorganisationalcontrolboxisimpliedinthecurrentstandard,ratherthanbeingexplicit,anditrecommendsthattherevisedstandardshould:

• Addresslifecyclethinkingandthevaluechainperspectivemoreclearlyintheidentificationand evaluation of environmental aspects related toproductsandservices;and

• Includeclearrequirements/guidancerelatedtostrategic environmental considerations, design and development, purchasing, marketing and sales activities.

Theworkinggrouphasmadesomeprogressincorporating these concepts, including a generic requirementfororganisationstoconsiderhowtheycancontrolorinfluenceupstreamanddownstreamprocessesinthevaluechain.Therearespecificrequirementstoaddressenvironmentalissuesinprocurementandoutsourcing,for:

• Evaluatingthesupplyofgoods,servicesandoutsourced processes, taking a lifecycle perspective;

• Specifyingenvironmentalrequirementsasappropriate for the procurement of goods and servicesoroutsourcedprocesses;

• Communicatingrequirementstosuppliers,includingcontractors;and

• Monitoringkeycharacteristicsofthevaluechain.

There is no expectation that organisations would need tocarryoutdetailedlife-cycleassessments.

Therevisedtextmakesitclearthattheconsiderationofvalue-chainissuesshouldberelatedtosignificantaspects, and this should be the starting point fororganisationstodetermineiftheydohaveopportunitiesforcontrolorinfluenceinthevaluechain.Therevisedtextprovidesdefinitionsofthevaluechain,supplychainandlifecycle(seetheValueChain/Lifecyclemodelbelow),whicharehelpfulinconsidering where and how organisations can exert controlorinfluence.

Generally,organisationshavemoreopportunitytocontrol,andagreatersphereofinfluenceoverthecharacteristicsandresultantenvironmentalaspectsofmaterials,productsandservicesthattheyprocureandultimatelysupply,thantheydoovertheactivitiesofotherorganisationsformingthevaluechain.Theopportunitytoinfluenceotherorganisationsshouldnotbeignored,butthetoolsandapproachesmaybeverydifferent(softercommunicationsandengagement),fromthoseusedforspecifyingmaterials.

How will external auditors test the processes applied totheplanningandcontrolofthevaluechain?Theapproachusedforassessingthesignificanceofvaluechain aspects will be a starting point, but also the auditors will be interested in how the organisation determinesthosesignificantaspectsitcanorshouldcontrolorinfluence.Asaminimum,thiscouldincludetheprocessbywhichprocurementdecisionsaretaken, and whether they involve the consideration of theenvironmentalcharacteristicsofthepurchasedmaterialsorservices.Moreadvancedapproacheswouldaddresstheopportunitiestoinfluencesuppliers,notonlytoimprovetheenvironmentalcharacteristicsofthematerialsandservices,butalsotoadoptbetterenvironmentalmanagementpracticesthroughouttheorganisation.However,itmustberecognisedthatorganisationsmayhavelimitedopportunitiesforinfluencingthebehavioursofsuppliers.SMEsmayfeelthattheyhavenoinfluence,butevensotheydohavetheopportunitytodecidewhattheybuyandfromwho.

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5.0 EXTENDING ENVIRONMENTAL INFLUENCE INTO THE VALUE CHAIN, WITH IMPLICATIONS FOR PROCUREMENT

VALUE CHAIN AND LIFE CYCLE

Organisations in Value Chain

Our Organisation

Life-cycleofamaterial/productthrough the value chain

Upstream - Suppliers, etc, definedasthe“Supply Chain”

Downstream - Customers, etc

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6.0 ENVIRONMENTAL DESIGN AS A TOOL FOR IMPROVEMENT

The latest draft includes short but potentially powerful statementsrelatingtothedesign,developmentandchange of products and services, and the need to communicateinformationrelatingtopotentialimpactsassociated with the use and end-of-life of products, and the delivery of services. This is in contrast to ISO14001:2004,wherethefirstreferencetodesignisinthesingleAnnex,soaddressingenvironmentindesigncurrentlyisnotarequirementofthestandard.

Therevisedtextintroducesrequirementsfor:

• Identifyingtheenvironmentalaspectsofitsactivities, products and services … that it cancontrolandthosethatitcaninfluenceconsideringalifecycleperspective;and

• Consideringtheresultoftheevaluationofsignificantenvironmentalaspectsasinputin the process of the design, development or change of its products and services.

The Annex also explains that the organisation shouldconsiderhowitwillintegrateenvironmentalmanagementsystemrequirementsintoitsvariousbusinessfunctions,suchasdesign&development.Italsomakesreferencetoproduct,processandfacilitydesignanddevelopment.

So,althoughtherewillbenorequirementfororganisations to undertake detailed life-cycle analysis of all inputs and outputs, there will be an expectation toidentifyandassessthesignificanceofkeyaspectsin the value chain, and to consider how these can bemanagedtoreduceimpacts.Itwillbeuptotheorganisationtodecideandjustifyitsapproach,butclearly it should be expected that external auditors will be looking for evidence that:

• Keyvaluechainaspectshavebeenidentifiedandevaluated;

• Decisionshavebeenmadeinrelationtomanaging them, where feasible, to reduce value chainimpacts;

• Mechanismsexistwithintheorganisationtoensure that design functions consider these key valuechainaspects;

• Considerationisgiventominimisingdirectenvironmental impacts through considering process and facility design.

Many organisations already recognise the business benefitsofreducingoperatingcoststhroughprocessand facility design, but the expectation of the revised text clearly is to extend these drivers into the value chain,potentiallytothebenefitoftheorganisation,theirpartners,suppliers,customersandend-usersinthe value chain.

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7.0 DEMONSTRATING ENVIRONMENTAL COMPLIANCE STATUS

TheFutureChallengesstudyrecognisedthat,whileitisdifficultfororganisationstomaintaincompletecomplianceatalltimeswithenvironmentallegislation,they need to know when they are not, so that they can plantorestorecomplianceassoonaspossible.Thisisnotintendedasadilutionoftherequirementtocomplywithlegislation;itisapragmaticacknowledgementof what can be achieved, as a part of value added, throughtheeffectiveapplicationofanEMS.ThisalsoharmonisestheISO14001stancewiththatofmanyjurisdictionswherethecommitmenttocomplianceisseen as a pledge, rather than a guarantee of perpetual compliance.

Therevisedtextretainstherequirementtoidentifyapplicablelegislationandunderstandthecompliancerequirements.However,ratherthansimplyimposingarequirementof“periodicallyevaluatingcompliancewithapplicablelegalrequirements”,therevisedtextstipulatesthattheorganisationmust:

• Evaluatecomplianceatpre-determinedfrequencies;

• Takeanynecessaryaction(i.e.toaddress non-compliance,actualorpotential);and

• Maintainknowledgeandunderstandingofitscompliance status.

TheAnnexprovidesmoreinformation,explainingthattheevaluationofcomplianceshouldnotonlyinvolveperiodiccomplianceaudits,butalsocomprises:

• Siteinspectionsandobservations;

• Reviewofrecords;and

• Comparingtheresultsofmonitoringagainstregulatoryrequirements.

So,complianceevaluationisalsopartofeverydayinspectionandmonitoringactivities.Itisimportantthattheresultsofthesechecksarereviewedbycompetentindividuals, capable of identifying actual or potential non-compliancesandinstigatingactiontoremedythem.Thiswillbenothingnewtomanyorganisationsthatalreadyhavecomprehensivecompliancemonitoringandevaluationmechanismsinplace;however,thenewrequirementsshouldencourageexternal auditors to review that these processes are effectiveinmaintainingknowledgeandunderstandingofcompliancestatus.

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8.0 USING PERFORMANCE INDICATORS TO TRACK IMPROVEMENT

TheFutureChallengesstudyreportstatesthattheobjectiveofISO14001shouldbetheimprovementofenvironmentalperformanceitself,andarguesthatthecurrenttext,whichimpliesthatthisimprovementisachievedonlybyimprovingtheEMS,isconfusingtotheusersofthestandard.Thereportrecommends:

• Clarificationoftherequirementsforimprovingenvironmental performance, and

• Strengtheningperformanceevaluation,potentially through the use of indicators.

Thefirstofthoserecommendationshasnotyetbeenaddressed, with adherents of the traditional stance successfully arguing for the retention in clause 10.2 Continualimprovementof:

“The organization shall continually improve the suitability, adequacy and effectiveness of the environmental management system to enhance its environmental performance”

ItistobehopedthattheaspirationsofFutureChallengesfortheemphasistobeonenvironmentalperformanceimprovementcanbeincorporatedbeforethefinaldraftiscompleted.

Thesecondrecommendationhasbeenaddressed,withaspecificrequirementtoestablishoneormoreindicatorsforeachobjectivesetbytheorganisation.Secondly,thereisagenericexpectationthatindicatorswillbeusedformonitoringandmeasuringperformanceagainstspecifiedcriteria(forexampledischargeconsentlimitsorenergyintensitytargets).TheAnnexreferstoISO14031Environmentalmanagement—Environmentalperformanceevaluation,anditsapproachtosub-dividingenvironmentalperformanceindicators(EPIs)into:

• Managementperformanceindicators(MPIs);

• Operationalperformanceindicators(OPIs);andpotentially

• Environmentalconditionindicators(ECIs).

The selection of indicators is at the discretion of the organisation, and can be aligned with any regulatory requirements,expectationsofstakeholdersand,asspecifiedintherevisedtext,itsobjectives.

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9.0 TIMELINE AND MILESTONES FOR THE REVISION PROCESS

9.1 OpportunitiesforRespondingto Consultation

Thecurrentdraft(a“committeedraft”,inISOterminology)iscirculatedbyISOtoitsmembersbodies(BSIintheUK).MembersoftheBSIenvironmentalmanagementsystemscommitteecancirculate it within the organisations they represent. CommentsfromtheUKarecollatedbyBSIandsubmittedtotheISOsecretariat,whichinturncollatescommentsfromallitsmemberbodiesgloballyandpresents these to the working group to consider.

Thenextmeetingoftheworkinggroupisplannedforthe end of June 2013, with the likely output being a morerefinedcommitteedraft,whichwillbecirculatedtothesameaudience,inAugust/September.Thistime,inadditiontoprovidingcommentsonthetext,members(i.e.BSI)areaskedtovoteforthedrafttoprogress to the next stage.

InNovember,theworkinggroupwillreconvene,hopefullytopreparea“DraftInternationalStandard”,whichwillbecirculatedforpubliccomment,probablyinearly2014,withathree-monthconsultationperiod.Again,membersvoteonproceedingtothefinalstage,a“FinalDraftInternationalStandard”.

Again,assumingallgoestoplan,theworkinggroupwillreconveneinearlysummer2014toaddressthelatestroundofcommentsandpreparethefinaldraft.Oncethisiscompleted,itiscirculatedtomemberbodiestovotetoacceptitforpublication(memberscansubmitminoreditorialcommentsatthisstage).Assumingthevoteispositive,thesecretariatarrangesforthestandardtobefinalisedandtranslatedintovariouslanguages,forpublicationinJanuary2015.

9.2 TimescaleforConformingtoaRevised Standard

Typically,ISOallows18monthsfororganisationstomeettherequirementsofarevisedmanagementsystemsstandard.Alongerperiodmaybegrantedin this case, owing to the substantial scale of the proposed changes, but that cannot be guaranteed. AssumingthatthepublicationtargetdateofJanuary2015isachieved,organisationsshouldbepreparedtocomplywiththenewrequirementsbymid-2016.

ISO 14001 Revision Timescales

Working Group Dates Feb2013 Jun 2013 Nov 2013 Jun2014

Output CommitteeDraft1 CommitteeDraft2 Draft International

Standard

FinalDraft

International

Standard

Consultees ISOMembersand

theircommittees

ISOMembersand

theircommittees

ISOMembersand

the public

ISOMembers

Probable Consultation

Period

Mar-Apr 2013 Aug-Sept2013 Early2014 LateSummer2014

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10.0 HOW CAN CRA HELP WITH THE TRANSITION TO ISO 14001:2015?

CRAisinauniquepositiontoprovidesupporttoorganisationswiththetransitionfromISO14001:2004toISO14001:2015.ParticipatingintheISOworkinggroupcarryingouttherevisionmeansthatwehaveinsights into the potential direction of future drafts leadingupto2015.Wecanalsoappreciatetheintentions and reasoning behind the changes to the standard. CRA can help organisations, such as yours, developaplantoreviewandmodifytheirsystemstomeettherequirementsofISO14001:2015.

Gap Analysis

The starting point is to undertake a gap analysis of existingsystemsbeingusedbytheclient,notonlytheEMS,butotherrelatedbusinessprocesses,withwhichISO14001:2015willexpectagreaterdegreeofintegration.Owingtotheincreasedemphasisonhigherlevelbusinessmanagement,thisshouldalsoincludeprocessesforstrategydevelopment.

The gap analysis would focus on all the areas of change set out in the earlier sections of this report. Itwouldalsoexplorehowthenewstructure(basedontheISOhighlevelstructureforallmanagementsystems)canbeaccommodated.Itisnotarequirementtoadoptthenewclausenumberingsystem,providedthenewrequirementsareincorporatedintotheorganisation’ssystem.Wecanprovideguidanceonhowtheserequirementscanbeinterwovenwithanexistingmanagementsystemsstructure.

The output of the gap analysis would include:

• RecommendationsforaddressingthenewrequirementsofISO14001:2015;

• GuidanceonintegratingtheseandexistingEMS arrangements further into other business processes;

• Anappropriateandachievabletimelineforsystemredevelopment;and

• Recommendationsfordevelopingandempowering a system review team.

Additional Services

CRAcanprovidesupportinallaspectsofsystemredevelopment,butatanearlystageclientsmaywishto consider:

• Briefingstoseniormanagementontheimplicationsoftherevisedstandard;and

• TrainingEMSstaffincarryingoutdetailedreviewandsystemmodificationtasks.

For Further Information

Nigel Leehane is one of the UK’s technical experts appointedtotheISOworkinggrouprevising14001.Pleasecontacthimon01159656700or nleehane@cra.co.ukifyouwouldliketoknowmoreaboutthechangestoISO14001andtheimplicationsfor your organisation.


APPENDICES

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APPENDIX A

FutureChallengesRecommendations

TheISOFutureStudiesreportmadethefollowingrecommendationsfortherevisionofISO14001:

EMSaspartofsustainabilityandsocialresponsibility

• Considerinclusionofpracticaltoolstoaddresssustainability in ISO 14004

EMSand(improvementof)environmentalperformance

• Clarificationoftherequirementsof(improving)environmental performance in ISO 14001

• Strengthenperformanceevaluationaspartof4.5.1inISO14001(e.g.useofindicators)

EMSandcompliancewithlegalandotherexternalrequirements

• Clearlydescribeandcommunicatetheapproach/mechanismofachievinglegalcomplianceinISO14001(e.g.intheAnnex)

• Addresstheconceptof‘demonstrationofthecommitment to legal compliance’

• Considertoincludetheconceptofdemonstrating knowledge and understanding of the organisation’s compliance status

EMSandoverall(strategic)businessmanagement

• Payattentiontostrategicconsiderationsofenvironmentalmanagement,thebenefitsandopportunities of it for organisations, not only in introduction,butalsointherequirements

• Strengthen(onastrategiclevel)therelationshipbetween environmental management and the core business of organisations, i.e. its products and services and the interaction with stakeholders(includingclientsandsuppliers)

• UsetheJTCGidenticaltexton‘contextof the organisation’ to strengthen link between environmental management and the organisation’s overall strategic considerations

• Considertheimplicationsofnew(strategic)business management models for application of ISO 14001

EMSandconformityassessment

• DraftclearandunambiguousrequirementsinISO 14001

• ProvidewherenecessaryclearerguidanceinAnnexA(accordingtoitscurrentaim:topreventmisinterpretationoftherequirements)

EMSandtheuptakeinsmallorganizations

• MaintaintheapplicabilityofISO14001toSME,e.g.bydrafting/maintainingsimpleandunderstandablerequirements

• ConsidertheguidancegiveninCENGuide17 “Guidance for writing standards taking into account micro, small and medium-sized enterprises(SMEs)needs”

EMSandenvironmentalimpactsinthevalue/supplychain

• Addresslifecyclethinkingandthevaluechainperspectivemoreclearlyintheidentification&evaluation of environmental aspects related to products and services

• Includeclearrequirements/guidancerelatedto strategic environmental considerations, design & development, purchasing, market & sales activities in alignment with organisational priorities

EMSandengagingstakeholders

• Buildinguponthe(draft)JTCGidenticaltext introduce a more systematic approach foridentificationof,consultationandcommunication with stakeholders on environmental issues

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APPENDIX A

FutureChallengesRecommendations

EMSandparallelorsubsystems(GHG,energy)

• Communicatethebroadapplicabilityof ISO 14001 as well as the advantages of consideringenvironmentalaspects/issuesnotseparately but in an integrated way and broader perspective

• ConsiderdevelopingbriefingnotesonapplicationofISO14001forspecificaspects/sectors as alternative to development of new aspect/sectorspecificstandards(e.g.GHG)

EMSandexternalcommunication(includingproductinformation)

• ThefuturerevisionofISO14001shouldaddressarequirementtoestablishanexternal communication strategy, including communication objectives, identifying relevant interested parties, description of what and when to communicate

• ProvideguidanceintheAnnexoninformationrelated to environmental aspects of products and services to external interested parties

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APPENDIX B

RelationshipsbetweentheClausesofISO14001:2004andtheMarch2013RevisionDraft

CORRESPONDENCE BETWEEN ISO 14001:2004 AND ISO 14001:201X

ISO 14001:201X ISO 14001:2004

Contextoftheorganization(titleonly) 4

Understandingtheorganizationanditscontext

4.1

Understanding the needs and expectations of interested parties

4.2

Determiningthescopeoftheenvironmentalmanagementsystem

4.3 4.1 Generalrequirements

Environmentalmanagementsystem 4.4 4.1 Generalrequirements

Leadership(titleonly) 5

Leadershipandcommitment 5.1 4.4.1 Resources, roles, responsibility and authority

Policy 5.2 4.2 Environmentalpolicy

Organizationroles,responsibilitiesandauthorities

5.3 4.4.1 Resources, roles, responsibility and authority

Planning(titleonly) 6 4.3 Planning(titleonly)

Actions to address risks and opportunities(titleonly)

6.1

General 6.1.1

Environmentalaspects 6.1.2 4.3.1 Environmentalaspects

Legalrequirementsandvoluntaryobligations

6.1.3 4.3.2 Legalandotherrequirements

Environmentalobjectivesandplanningtoachievethem(titleonly)

6.2 4.3.3 Objectives,targetsandprogramme(s)

Environmentalobjectives 6.2.1 4.3.3 Objectives,targetsandprogramme(s)

Environmentalimprovementprogrammes 6.2.2 4.3.3 Objectives,targetsandprogramme(s)

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ISO 14001:201X ISO 14001:2004

Support(titleonly) 7 4.4 Implementationandoperation(titleonly)

Resources 7.1 4.4.1 Resources, roles, responsibility and authority

Competence 7.2 4.4.2 Competence,trainingandawareness

Awareness 7.3 4.4.2 Competence,trainingandawareness

Communication(titleonly) 7.4 4.4.3 Communication

General 7.4.1 4.4.3 Communication

Internalcommunication 7.4.2 4.4.3 Communication

Externalcommunicationandreporting 7.4.3 4.4.3 Communication

Documentedinformation(titleonly) 7.5 4.4.4 Documentation

General 7.5.1 4.4.4 Documentation

Creating and updating 7.5.24.4.5 Controlofdocumentation

4.5.4 Control of records

Controlofdocumentedinformation 7.5.3 4.4.5 Controlofdocumentation

Operation(titleonly) 8 4.4 Implementationandoperation(titleonly)

Operational planning and control 8.1 4.4.6 Operational control

Valuechainplanningandcontrol 8.2 4.4.6 Operational control

Emergencypreparednessandresponse 8.3 4.4.7 Emergencypreparednessandresponse

Performanceevaluation(titleonly) 9 4.5 Checking(titleonly)

Monitoring,measurement,analysisandevaluation(titleonly)

9.1 4.5.1 Monitoringandmeasurement

General 9.1.1 4.5.1 Monitoringandmeasurement

Evaluationofcompliance 9.1.2 4.5.2 Evaluationofcompliance

Internal audit 9.2 4.5.5 Internal audit

Managementreview 9.3 4.6 Managementreview

Improvement(titleonly) 10

Nonconformityandcorrectiveaction 10.1 4.5.3 Nonconformity,correctiveactionandpreventive action

Continualimprovement 10.2 4.1 Generalrequirements

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APPENDIX B

CORRESPONDENCE BETWEEN ISO 14001:2004 AND ISO 14001:201X

ISO 14001:2014 ISO 14001:201X

4 Contextoftheorganization(titleonly)

4.1 Understandingtheorganizationanditscontext

4.2 Understanding the needs and expectations of interested parties

Environmentalmanagementsystemrequirements(titleonly)

4

Generalrequirements 4.1

4.3 Determiningthescopeoftheenvironmentalmanagementsystem

4.4 Environmentalmanagementsystem

10.2 Continualimprovement

Environmentalpolicy 4.2 5.2 Policy

Planning(titleonly) 4.3

6 Planning(titleonly)

6.1 Actions to address risks and opportunities(titleonly)

6.1.1 General

Environmentalaspects 4.3.1 6.1.2 Environmentalaspects

Legalandotherrequirements 4.3.2 6.1.3 Legalrequirementsandvoluntaryobligations

Objectives,targetsandprogramme(s) 4.3.3

6.2 Environmentalobjectivesandplanningtoachievethem(titleonly)

6.2.1 Environmentalobjectives

6.2.2 Environmentalimprovementprogrammes

Implementationandoperation(titleonly) 4.47 Support(titleonly)

8 Operation(titleonly)

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ISO 14001:2004 ISO 14001:201X

Resources, roles, responsibility and authority

4.4.1

7.1 Resources

5.3 Organizationroles,responsibilitiesandauthorities

5.1 Leadershipandcommitment

Competence,trainingandawareness 4.4.27.2 Competence

7.3 Awareness

Communication 4.4.3

7.4 Communication(titleonly)

7.4.1 General

7.4.2 Internalcommunication

7.4.3 Externalcommunicationandreporting

Documentation 4.4.47.5 Documentedinformation(titleonly)

7.5.1 General

Controlofdocumentation 4.4.57.5.2 Creating and updating

7.5.3 Controlofdocumentedinformation

Operational control 4.4.68.1 Operational planning and control

8.2 Valuechainplanningandcontrol

Emergencypreparednessandresponse 4.4.7 8.3 Emergencypreparednessandresponse

Checking(titleonly) 4.5 9 Performanceevaluation(titleonly)

Monitoringandmeasurement 4.5.1

9.1 Monitoring,measurement,analysisandevaluation(titleonly)

9.1.1 General

Evaluationofcompliance 4.5.2 9.1.2 Evaluationofcompliance

Nonconformity,correctiveactionandpreventive action

4.5.3 10.1 Nonconformityandcorrectiveaction

Control of records 4.5.4 7.5.3 Controlofdocumentedinformation

Internal audit 4.5.5 9.2 Internal audit

Managementreview 4.6 9.3 Managementreview


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