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1 CEM-07.1 Course Revision 2012-00
Unpacking potential challenges to EMS auditors when auditing some of the innovations of the third, or 2015 revision of the ISO 14001 environmental management
system standard – SAATCA Conference: 2015, Pretoria
Johan G Nel
Centre for Environmental Management
North-West University Potchefstroom Campus
Private Bag X6001 POTCHEFSTROOM
2520
Tel: +27 (0) 18 299-4279 Fax: +27 (0) 18 299-4266
E-Mail: [email protected] Web Address: www.nwu.ac.za/cem
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The new structure New items EMS scope Life cycle thinking
Strategic environmental management The context Needs and expectations of interested
parties Risks and opportunities
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Conformance vs. a performance based management system Effectiveness Intended outcomes of the EMS Indicators
Planning action – multiple instrument options Manage change Leadership commitment Protecting the environment EMS auditor competence
Transition arrangements
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If we have the time
The status of notes
New terminologies
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5 CEM-07.1 Course Revision 2012-00
ISO 14001: 2015 The new structure
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A new model and structure
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The ISO 14001: 2014 Structure
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Discussion and Questions
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9 CEM-07.1 Course Revision 2012-00
ISO 14001: 2015 New items
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015 ISO 14001: 2015
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11 CEM-07.1 Course Revision 2012-00
Auditing impacts
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New terminologies and concepts
How do you as auditor respond to the following? See A2 There is no requirement in this International Standard for
its structure and terminology to be applied to the documentation of an organization's environmental management system.
There is no requirement for the terms used by an organization to be replaced by the terms used in this International Standard to specify environmental management system requirements.
Organizations can chose to use terms which suit their operations, for example using "records", "documentation", "protocols" rather than "documented information"
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Discussion and Questions
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14 CEM-07.1 Course Revision 2012-00
The scope of the EMS
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The EMS scope
New very specific requirements to be
read with
The life cycle perspective
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The EMS scope 4.3 Determining the scope of the
environmental management system The organization shall determine the boundaries
and applicability of the environmental management system to establish its scope.
When determining this scope, the organization shall consider: the external and internal issues referred to in 4.1; the compliance obligations referred to in 4.2; its organizational unit(s), function(s), and physical
boundaries; its activities, products and services; its authority and ability to exercise control and influence.
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The EMS scope
3.3 Management systems
Note 3 to entry: The scope of a management system may include the whole of the organization, specific and identified functions of the organization, specific and identified sections of the organization, or one or more functions across a group of organizations.
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The EMS scope
A4.3 Determining the scope of the environmental management system
An organization has the freedom and flexibility to
define its boundaries.
It may choose to implement this International Standard with respect to the entire organization, or to (a) specific part(s) of the organization, as long as the top management of that part of the organization has authority for establishing an environmental management system.
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The EMS scope
4.3 Determining the scope of the environmental management system
Once the scope is defined, all activities, products
and services of the organization within that scope need to be included in the environmental management system.
The scope shall be maintained as documented information and be available to interested parties.
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The EMS scope A4.3 Continued
In setting the scope, the credibility of the
environmental management system will depend upon the choice of organizational boundaries.
The organization considers the degree of control or influence that it can exert over activities, products and services considering a life cycle perspective.
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The EMS scope A4.3 Continued
Scoping should not be used to exclude activities, products, services, or facilities that have or can have significant environmental aspects, or to evade its compliance obligations.
The scope should be factual and representative of the organization’s operations included within its environmental management system boundaries so that it does not mislead interested parties.
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The EMS scope
3.2 Top management
Note 2 to entry: If the scope of the management system (3.3) covers only part of an organization, then top management refers to those who direct and control that part of the organization.
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23 CEM-07.1 Course Revision 2012-00
Life cycle thinking
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015 Life cycle thinking
Definition 3.3
consecutive and interlinked stages of a product (or service) system, from raw material acquisition or generation from natural resources to final disposal
Note 1 to entry: The life cycle stages
include acquisition of raw materials, design, production, transportation/ delivery, use, end-of-life treatment and final disposal.
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015 Life cycle thinking
0.2 Aim of the EMS
controlling or influencing the way the organization’s products and services are designed, manufactured, distributed, consumed and disposed by using a life cycle perspective that can prevent environmental impacts from being unintentionally shifted elsewhere within the life cycle;
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015 Life cycle thinking
1. Scope
This International Standard is applicable to any organization, regardless of size, type and nature, and applies to the environmental aspects of its activities, products and services that the organization determines it can either control or influence considering a life cycle perspective.
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6.1.2 Environmental aspects
Within the defined scope of the environmental management system, the organization shall determine the environmental aspects of its activities, products and services that it can control and those that it can influence, and their associated environmental impacts, considering a life cycle perspective.
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8.1 Operational planning and control
Consistent with a life cycle perspective, the organization shall:
a) establish controls as appropriate, to
ensure that its environmental requirement(s) is (are) addressed in the design and development process for the product or service, considering each stage of its life cycle;
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8.1 Operational planning and control
Consistent with a life cycle perspective, the organization shall:
d) consider the need to provide
information about potential significant environmental impacts associated with the transportation or delivery, use, end-of-life treatment and final disposal of its products and services.
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Challenges to EMS auditors
The more explicit EMS scope requirements can challenge auditors
Auditors need to verify the life cycle perspective
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Discussion and Questions
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32 CEM-07.1 Course Revision 2012-00
Strategic environmental management
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Strategic environmental management
Increased prominence of environmental management within the organisation's strategic planning processes
A new requirement (clause 4 and 6.1) is introduced 4.1 Understand the organisation and its
context 4.2 Understand the needs and
expectations of interested parties 6.1 Actions to address risks and
opportunities © CEM
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34 CEM-07.1 Course Revision 2012-00
Understand the organisation and its context
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Clause 4.1 understand the organisation and its context
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Note: Environmental conditions affect the organisation
Note: Issues affect the EMS and achievement of intended outcomes
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Clause 4.1 Understand the organisation and its context
Determine the External issues and Internal issues
That are relevant to its purpose That affects its ability to achieve the intended
outcomes of the EMS Environmental conditions
Being affected by the organisation (environmental impacts) or
Capable of affecting the organisation
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Clause 4.1 Understand the organisation and its context
Internal issues can include activities, products services, strategic direction, culture capabilities
people, knowledge, processes,
Operational Management system processes and interactions (see 4.4)
systems
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Clause 4.1 Understand the organisation and its context
Internal issues can include
Organisational units functions and physical boundaries
Authority and ability to exercise control or influence
That pose risks and opportunities
That can affect the organisation and the outcomes of the EMS`
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Clause 4.1 Understand the organisation and its context
External issues can include Cultural, social, and political, Legal and regulatory, Financial and economic Technological, Natural and Competitive context,
That pose risks and opportunities That can affect the organisation and the
outcomes of the EMS` © CEM
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Clause 4.1 understand the organisation and its context
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Clause 4.1 Understand the organisation and its context
Environmental conditions such as climate, air and water quality, land use, existing contamination, natural resource availability, biodiversity, etc.
That pose risks and opportunities That can affect
the organisation and the outcomes of the EMS and the those conditions that can be affected by the
organisation` - the environmental impacts
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Clause 4.1 Understand the organisation and its context
Issues are important
Topics for the organisation
Problems for debate and discussion
Changing circumstances that
Affect the organisation's ability to achieve the intended outcomes of the EMS
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Clause 4.1 Understand the organisation and its context
Note these issues and conditions Affect or can effect the
Achievement of the intended outcomes of the EMS and/or
Organisation While the organisation can also affect the
environmental conditions Pose
Risks and opportunities that Need to be managed in terms of Clauses 6.1.1
and 6.1.4
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Annexure A4.1 Understand the organisation and its context
Get a high level conceptual understanding Of all the issues that can affect
Positively (opportunities) Negatively (threats) The ability to achieve the intended outcomes of the
EMS, or The organisation
These issues, translate as risks and
opportunities that need to be managed
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Annexure A4.1 Understand the organisation and its context
Note
The high level conceptual understanding entails
A high level or strategic level analysis by
The top management of the organisation
Note the definition of an 'organisation' in
the 2015 version of the standard © CEM
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Clause 4.1 Understand the organisation and its context
Note this is a new requirement that requires additional work to the 2004 standard
The purpose is to align and integrate the EMS with the business Processes Strategies
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Clause 4.1 Understand the organisation and its context
Recommendation
High level brainstorming SWOT session with the leadership team
Record the outputs Internal issues External issues Environmental conditions Interested party needs (See Module 3.2) Emergency conditions
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48 Revision 2013-00
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Discussion and Questions
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49 CEM-07.1 Course Revision 2012-00
Understand the needs and expectations of interested parties
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50 Revision 2013-00
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Clause 4.1 understand needs and expectations
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Once adopted, they become discretionary compliance obligations
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Clause 4.2 Needs and expectations of interested parties
Determine the Interested parties relevant to the EMS Relevant needs and expectations Which of the needs and expectations are
adopted to become compliance obligations
And are managed as external issues, i.e. threats and opportunities
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Annexure A4.2 Understand the needs and expectations of interested parties Gain a general, high level understanding of
Known, expressed and relevant needs of Internal and External interested parties
As determined and voluntarily adopted by the organisation As compliance obligations
A more detailed analysis of compliance obligations is done in in terms of Clause 6.1.3
Documented evidence can be generated in terms of Clause 6.1.3
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Annexure A4.2 Understand the needs and expectations of interested parties The high level knowledge gained in clause 4.2
needs to be used as an input to clauses
4.3 Determining the scope of the EMS
4.4 The life cycle of the EMS
6.1 Risks and opportunities While a more detailed analysis is done in
terms of clause 6.1.3
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Clause 4.2 Needs and expectations of interested parties
Note, the 2015 text has a more explicit duty to
Determine the interested parties
Determine the needs and expectations –
when compared to the 2004 text
Decide which needs and expectations are to be adopted to become compliance obligations
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55 Revision 2013-00
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Discussion and Questions
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56 CEM-07.1 Course Revision 2012-00
Actions to address risk and opportunity
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Let us consider these concepts
3.18 Risk = the effect of uncertainty
The effect is the deviation from the expected, i.e. the unknown or uncertainty
The unknown needs to be Discovered and Assessed i.e. the uncertainty must be made certain © CEM
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Let us consider these concepts
The unknown can
Harm the organisation (threats, hazards or perils)
Benefit the organisation – opportunities
Often the way the organisation sees an issue determines if it is a: Threat or opportunity
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Let us consider these concepts
Example the organisation generates polluted process water As a threat this process water can be
seen to Pollute ground water – negative
environmental impact Pollute surface water and impact on down
stream users resulting in civil claims – negative environmental impact
Potential for prosecution and – negative effect on the organisation Criminal liability Reputational loss etc.
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Let us consider these concepts As an opportunity when treating this
polluted water to technical operational specifications will have the following positive effects on the organisation Financial savings Prevention of civil and criminal charges Maintain reputation Positive environmental impacts Reduce the abstraction and use of raw water Prevention of pollution
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Let us consider these concepts Remember
Harm, or loss is posed by Hazards, threats or, perils
Opportunities are often undiscovered prospects,
or value that can be discovered and unlocked
Threats and opportunities effect or can effect the organisation
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Let us consider these concepts
Remember These threats and opportunities are
unknown
The uncertainties associated with the unknown need to be Discovered as hazards, threats or perils and Assessed for the effect on the organisation So that they can be identified, understood and
managed
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Let us consider these concepts
Remember
Activities, products and services however cause
Environmental impacts that need to be
Discovered as aspects and
Assessed
So that they can be managed
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Let us consider these concepts
Remember
Activities, products and services
Inherently have aspects that can interact with the environment and cause or can cause
Change or environmental impacts
These changes can be
» Negative or » Beneficial to the environment (positive?)
© CEM
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Let us consider these concepts
Remember
So if activities, products and services can, or do cause change to the environment – what causes
Threats and opportunities to the
organisation?
© CEM
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Let us consider these concepts
Remember The 2015 standard is clear on what can
cause threats and opportunities that manifest as risks The issues identified in terms of 4.1 Internal issues External issues Environmental conditions
Requirements of interested parties Environmental aspects Compliance obligations Potential emergency situations
© CEM
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Let us consider these concepts
Remember What is the purpose of the risk and
opportunity process? The purpose is to ensure
That the organisation achieves the intended
outcomes of the EMS
Prevent or reduce undesired effects and
Achieve continual improvement
© CEM
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Let us consider these concepts
It is clear from the preceding analysis that the 2015 version of the ISO 14001 standard requires two very different
Analyses
Assessment for significance and
Arrangements to manage these
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Let us consider these concepts The one is to identify, assess and manage
Threats and opportunities that pose or can pose risks to the organisation Refer to them as effects on the organisation These can be identified and assessed at a strategic or
tactical level
The second is to identify, assess and manage
Environmental impacts associated with the aspects
Just like the 2004 version of the standard More detailed and at the operational level
© CEM
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70 Revision 2013-00
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Discussion and Questions
© CEM
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71 CEM-07.1 Course Revision 2012-00
Migrating from a conformance based to performance based standard with
performance indicators
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Elements supporting this migration
Direct requirements to improve environmental performance
Performance indicators Intended outcomes of the EMS EMS effectiveness review Monitoring measurement analysis and
evaluation
Perhaps the most challenging new duty for EMS auditors
© CEM
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Performance
0.2 Aim of an environmental management system enhancing environmental
performance;
1. Scope This International Standard specifies the
requirements of an environmental management system that an organization can use to enhance its environmental performance.
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Performance
1. Scope
the intended outcomes of an environmental management system include:
enhancement of environmental performance;
fulfilment of compliance obligations;
achievement of environmental objectives.
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Performance
4.4 Environmental management system
The organization shall establish, implement, maintain and continually improve an environmental management system, including the processes needed and their interactions, in accordance with the requirements of this International Standard, to achieve its intended outcomes, including enhancing its environmental performance.
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Performance
5.2 Environmental policy
i) includes a commitment to continual improvement of the environmental management system to enhance environmental performance.
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Performance
5.3 Organizational roles, responsibilities and authorities
b) reporting on the performance of the
environmental management system, including environmental performance, to top management.
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Performance
7.2 Competence
The organization shall:
determine the necessary competence of
person(s) doing work under its control that affects its environmental performance, and its ability to achieve its compliance obligations;
© CEM
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Performance
7.3 Awareness
The organization shall ensure that persons doing work under the organization’s control are aware of:
their contribution to the effectiveness of the
environmental management system, including the benefits of enhanced environmental performance;
© CEM
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Performance
9.1.1 General The organization shall monitor, measure,
analyse and evaluate its environmental performance.
9.1.1 The organization shall determine: the methods for monitoring,
measurement, analysis and evaluation, as applicable, to ensure valid results;
the criteria against which the organization will evaluate its environmental performance, and appropriate indicators;
© CEM
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Performance
9.1.1. The organization shall evaluate its
environmental performance and the effectiveness of the environmental management system.
The organization shall communicate relevant environmental performance information both internally and externally, as determined by its communication process and as required by its compliance obligations.
© CEM
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Performance
9.3 Management review
The management review shall include
consideration of:
information on the organization’s environmental performance
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Performance
10 Improvement
10.1 General
The organization shall determine and select
opportunities for improvement and implement necessary actions to enhance environmental performance.
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Alert
There is no doubt that the ISO 14001:
2015 EMS standard has matured From being a conformance based
standard to A performance based standard
The question is – How will you the EMS
auditor make this transition too!
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Discussion and Questions
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86 CEM-07.1 Course Revision 2012-00
Auditing the verification of the effectiveness of the EMS
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Effectiveness
Definition – Effectiveness 3.4.6
extent to which planned activities are realized
and planned results achieved
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Effectiveness
5.1 Leadership and commitment
Top management shall demonstrate leadership
and commitment with respect to the environmental management system by:
a) taking accountability for the effectiveness of the environmental management system;
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6.1.4 Planning action The organization shall plan:
a) to take actions to address its:
significant environmental aspects; compliance obligations; risks and opportunities identified in 6.1.1;
b) how to:
evaluate the effectiveness of these actions (see 9.1).
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Effectiveness
7.2 Competence
The organization shall:
where applicable, take actions to acquire the
necessary competence, and evaluate the effectiveness of the actions taken.
Training actions must be evaluated for effectiveness!
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Effectiveness
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
The organization shall monitor, measure, analyse and evaluate its environmental performance.
The organization shall evaluate its environmental performance and the effectiveness of the environmental management system.
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Effectiveness
9.3 Management review Top management shall review the outputs
of the management review shall include: conclusions on the continuing suitability,
adequacy and effectiveness of the environmental management system;
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Effectiveness
10.2 Nonconformity and corrective
action d) review the effectiveness of any corrective
action taken;
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Effectiveness
10.3 Continual improvement
The organization shall continually improve the
suitability, adequacy and effectiveness of the environmental management system to enhance environmental performance.
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Effectiveness
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
The organization shall monitor, measure, analyse and evaluate its environmental performance.
The organization shall evaluate its environmental performance and the effectiveness of the environmental management system.
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Auditors and effectiveness
Verifying the effectiveness of the EMS is
the function of the organisation
The duty of the auditor is the confirm that it was done according to the requirements of the 2015 standard!
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98 CEM-07.1 Course Revision 2012-00
Auditing the achievement of the intended outcomes of the EMS
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1 Scope
Consistent with the organization's environmental policy, the intended outcomes of an environmental management system include:
enhancement of environmental performance;
fulfilment of compliance obligations;
achievement of environmental objectives.
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4.4. Environmental management system
The organization shall establish, implement, maintain and continually improve an environmental management system, including the processes needed and their interactions, in accordance with the requirements of this International Standard, to achieve its intended outcomes, including enhancing its environmental performance.
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A.3 Clarification of concepts The term ‘intended outcome’ means what
the organization intends to achieve by implementing its environmental management system, which includes enhancement of environmental performance, achievement of compliance obligations and fulfilment of environmental objectives.
These are the minimal, core outcomes, and organizations can set additional intended outcomes for their environmental management system,
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Auditors and intended outcomes
Achievement of the intended outcomes
of the EMS is the function of the organisation
The duty of the auditor is the confirm that the intended outcomes have been achieved according to the requirements of the 2015 standard!
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Discussion and Questions
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104 CEM-07.1 Course Revision 2012-00
Environmental performance indicators
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Definition - Indicator
Definition 3.4.7 - Indicator
measurable representation of the
condition or status of operations, management or conditions
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Indicator
Definition – Environmental performance 3.4.11 performance (3.4.10) related to the
management of environmental aspects (3.2.2) Note 1 to entry: For an environmental
management system (3.1.2), results can be measured against the organization’s (3.1.4) environmental policy (3.1.3), environmental objectives (3.2.6) or other criteria, using indicators (3.4.7).
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Indicator
6.2.2 Planning actions to achieve environmental objectives
When planning how to achieve its
environmental objectives, the organization shall determine:
e) how the results will be evaluated,
including indicators for monitoring progress toward achievement of its measurable environmental objectives (see 9.1.1).
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Indicator
9.1.1 General The organization shall monitor, measure,
analyse and evaluate its environmental performance.
The organization shall determine:
c) the criteria against which the organization will evaluate its environmental performance, and appropriate indicators;
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Indicator
For additional information on environmental indicators, see ISO 14031.
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110 CEM-07.1 Course Revision 2012-00
Planning action – Multiple instruments
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Multiple instruments 6.1.4 The organization shall plan:
to take actions to address its:
significant environmental aspects;
compliance obligations;
risks and opportunities identified in
6.1.1
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Multiple instruments 6.1.4 The organization shall plan:
how to: integrate and implement the actions into its
environmental management system processes (see 6.2 – Objectives and Planning action, or Clause 7 – Support, or, Clause 8 – Operations, and 9.1 – Monitoring or measurement, or other business processes; evaluate the effectiveness of these actions
(see 9.1)
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The Action Planning Toolbox
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115 CEM-07.1 Course Revision 2012-00
The requirement to manage change
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Management of change (A.1)
Management of change is an important
part to
Maintain an EMS
Achieve the intended outcomes of the EMS on an ongoing basis
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Management of change (A.1)
Management of change is addressed in
various requirements of the standard Maintaining the EMS (4.4) Environmental aspects (6.1.2) Internal communication (7.4.2) Operational control (8.1) Internal audit programme (9.2.2) Management review (9.3)
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Management of change (A.1)
Management of change should address
Planned and
Unplanned changes to ensure that the
Unintended outcomes of changes do not Compromise the intended outcomes of the
EMS
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Management of change (A.1)
Examples of change include Planned changes to
Products Processes Operations Equipment Facilities
Changes in Staff External providers (contractors)
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Management of change (A.1)
Examples of change include
New information related to
Environmental aspects
Environmental impacts
Related technologies
Change in compliance obligations
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121 Revision 2013-00
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Discussion and Questions
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122 CEM-07.1 Course Revision 2012-00
Auditing the new requirements related leadership commitment
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A new model and structure
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Leadership and commitment
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Discussion and Questions
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126 CEM-07.1 Course Revision 2012-00
Protecting the environment vs. prevention of pollution
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127 Revision 2013-00
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Protecting the environment 5.2 Environmental policy includes (a) commitment(s) to the
protection of the environment, including prevention of pollution and other specific commitment(s) relevant to the context of the organization;
NOTE Other specific commitment(s) to protect the environment can include sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity and ecosystems.
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128 Revision 2013-00
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Protecting the environment A 5.2 Environmental policy The commitment to protect the
environment is intended to not only prevent adverse environmental impacts through prevention of pollution, but to protect the natural environment from harm and degradation arising from the organization's activities, products and services.
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129 Revision 2013-00
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Protecting the environment A 5.2 Environmental policy
These commitments may address
water quality, recycling, or air quality and may also include far broader
opportunities related to
climate change mitigation and adaptation, protection of biodiversity and ecosystems, and restoration.
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130 Revision 2013-00
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Discussion and Questions
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131 CEM-07.1 Course Revision 2012-00
New EMS auditor competence requirements – ISO 17021- 2 (2012)?
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132 Revision 2013-00
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New EMS auditor competence requirements?
ISO 14001:2015 introduces some important new concepts that may need to be reflected in both the generic and aspect-specific competence requirements specified in ISO 17021-2, such as: Links between environmental
management and the strategic directions of an organization
Context analysis (issues, stakeholders) Life cycle perspective in environmental
management
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133 Revision 2013-00
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New EMS auditor competence requirements?
Environmental communication External environmental conditions
impacting upon the organization
Other more generic topics to be considered may include: Specific competences to audit leadership
commitment How to audit less documented
(environmental) management systems?
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134 Revision 2013-00
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Revision of ISO 17021-2 (2012)
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135 Revision 2013-00
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Discussion and Questions
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136 CEM-07.1 Course Revision 2012-00
Transition arrangements
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137 Revision 2013-00
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Transition Transition lapses 3
years after publication date
Publication is scheduled for 16 September, 2015
Auditors need to prepare and equip themselves
Evolving norm is minimum of 2 day transition course with and examination
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138 Revision 2013-00
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139 Revision 2013-00
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Thank You!
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140 CEM-07.1 Course Revision 2012-00
The status of notes (should the time permits)
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141 Revision 2013-00
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Additional clarifications Information marked as "NOTE" within the
requirement section is to assist the with the understanding or Use of the document These notes are informative
Notes to entry" used in Clause 3 (definitions) provide additional information that supplements the
terminological data and can contain provisions relating to the use of the term
Normative
Discuss © CEM
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142 Revision 2013-00
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Additional clarifications
Notes to entry" used in Clause 3
(definitions) provide
additional information
that supplements the terminological data
and can contain Provisions relating to the use of the term
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143 CEM-07.1 Course Revision 2012-00
Terminologies: Shall, should, may or can
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144 Revision 2013-00
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Additional clarifications
The following verbal forms are used:
“shall” indicates a requirement;
“should” indicates a recommendation;
“may” indicates a permission;
“can” indicates a possibility or a capability.
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145 CEM-07.1 Course Revision 2012-00
Terminologies: Consider vs. take into account
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146 Revision 2013-00
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Clarifications
The word ‘consider’ means
it is necessary to think about the topic but it can be excluded; and
‘take into account’ means it is necessary to think about the topic but
it cannot be excluded
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147 CEM-07.1 Course Revision 2012-00
Terminologies: Appropriate vs. applicable
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148 Revision 2013-00
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Clarifications
The word ‘consider’ means
it is necessary to think about the topic but it can be excluded; and
‘take into account’ means it is necessary to think about the topic but
it cannot be excluded
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149 CEM-07.1 Course Revision 2012-00
Terminologies: Ensure
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150 Revision 2013-00
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Clarifications
The word ‘ensure’ means the responsibility can be delegated, but not the accountability
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151 CEM-07.1 Course Revision 2012-00
Terminologies: Documented information
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152 Revision 2013-00
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Clarifications
‘Documented information’ replaces the nouns ‘documentation’ and ‘record’
To distinguish between documents and
records
‘retain documented information as evidence of....’ to mean records,
and ‘maintain documented information’ to mean documentation other than records.
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153 Revision 2013-00
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Documentation
Reflecting the evolution of computer and cloud based systems for running management systems, the revision incorporates the term ‘documented information’, instead of ‘documents’ and ‘records’.
To align with ISO 9001, the organization will retain the flexibility to determine when ‘procedures’ are needed to ensure effective process control.
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154 CEM-07.1 Course Revision 2012-00
Terminologies: Intended outcomes of the EMS
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155 Revision 2013-00
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Clarifications
The term ‘intended outcome’ is what the organization intends to achieve
by implementing its environmental management system,
The minimum outcomes include enhancement of environmental performance, Fulfilment of compliance obligations and Achievement of environmental objectives.
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156 CEM-07.1 Course Revision 2012-00
Terminologies: Compliance obligations
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157 Revision 2013-00
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Clarifications
The phrase ‘compliance obligations’ replaces the phrase
‘legal requirements and other requirements to which the
organization subscribes’ and The adopted interested party
requirements
The intent of this new phrase does not differ from that of the previous edition
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158 CEM-07.1 Course Revision 2012-00
Terminologies: Environmental impact vs. effect
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159 Revision 2013-00
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Clarifications
The phrase ‘compliance obligations’ replaces the phrase
‘legal requirements and other
requirements to which the organization subscribes’ used in previous editions of this International Standard.
The intent of this new phrase does not differ from that of the previous edition
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160 CEM-07.1 Course Revision 2012-00
Terminologies: Procured services vs. outsourced
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161 Revision 2013-00
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Explain the difference between Procured services Outsourced services
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162 CEM-07.1 Course Revision 2012-00
Terminologies: Environmental aspect vs. a risk (Threat or opportunity)
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163 Revision 2013-00
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Clarification
The term risk should have been threats and opportunities Threats can cause harm or loss to the
organisation Opportunities offer value to the
organisation The receptor is the ability or inability of
the organisation to achieve the intended outcomes of the EMS
Threats and opportunities cause effects on the organisation
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164 Revision 2013-00
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Clarification
Environmental impacts are caused by the environmental aspects of Activities Products and services
The environment is the receptor of impacts, i.e. Change
Negative environmental impacts Positive environmental impacts
Explain positive environmental impacts vs. opportunities
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165 Revision 2013-00
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Clarification
How will you as auditor differentiate
between
Environmental aspects vs. threats and opportunities
Environmental impacts vs. effects
Discuss © CEM
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166 CEM-07.1 Course Revision 2012-00
Terminologies: Environmental conditions
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167 Revision 2013-00
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Clarification
Environmental condition state or characteristic of the environment
(3.8) as determined at a certain point of time These are issues that can affect the
organisation Need to be managed as threats and
opportunities
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168 CEM-07.1 Course Revision 2012-00
Terminologies: Prevention of pollution vs. protection of the environment
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169 Revision 2013-00
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Prevention of pollution Use of processes (3.26), practices, techniques,
materials, products, services or energy to avoid, reduce or control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, in order to reduce adverse environmental impacts (3.10)
Note 1 to entry: Prevention of pollution can include source reduction or elimination; process, product or service changes; efficient use of resources; material and energy substitution; reuse; recovery; recycling, reclamation; or treatment.
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170 Revision 2013-00
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Protection of the environment
NOTE Other specific commitment(s) to
protect the environment can include sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity and ecosystems.
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171 CEM-07.1 Course Revision 2012-00
Terminologies: Life cycle perspective
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172 Revision 2013-00
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Clarification
Consecutive and interlinked stages of a product system, from raw material acquisition or generation from natural resources to end-of-life treatment
Note 1 to entry: The life cycle stages
include extraction of raw materials, design, production, transportation/delivery, use and end-of-life treatment.
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Terminologies: Effectiveness
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Effectiveness extent to which planned activities are
realized and planned results achieved
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175 CEM-07.1 Course Revision 2012-00
Terminologies: Monitoring vs. measurement
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Monitoring determining the status of a system, a
process (3.26) or an activity Note 1 to entry: To determine the status,
there may be a need to check, supervise or critically observe.
Measurement Process (3.26) to determine a value
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Terminologies: The new objectives
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Clarification - Objectives
Targets are not required Objective result to be achieved Note 1 to entry: An objective can be
strategic, tactical, or operational. Note 2 to entry: Objectives can relate
to different disciplines (such as financial, health and safety, and environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product, service and process (3.26)).
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Targets are not required Objective Note 3 to entry: An objective can be
expressed in other ways, e.g. as an intended outcome, a purpose, an operational criterion, as an environmental objective (3.17), or by the use of other words with similar
meaning (e.g. aim, goal, or target).
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Clarification - Objectives
Objectives are linked to indicators indicator (3.33) measurable representation of the
condition or status of operations, management or conditions
Planning actions to achieve environmental objectives how the results will be evaluated,
including indicators for monitoring progress toward achievement of measurable environmental objectives (see 9.1.1). © CEM
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Clarification - Objectives
A6.2 Indicators are selected to measure the
achievement of measurable objectives. “Measurable” means possible to decide
with respect to a specified scale, using either quantitative or qualitative methods, if the objective has been met.
By including the caveat ‘if practicable’, it is acknowledged that there may be situations when it may not be feasible to measure an objective © CEM
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Thank You!
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