ISO 14001:2015 Pre-course reading

Transcription

1 ISO 14001:2015 Pre-course reading History of ISO ISO is, in fact, a series of international standards on environmental management. It provides a framework for the development of an environmental management system and the supporting audit programme. The ISO series emerged primarily as a result of the Uruguay round of the GATT (General Agreement on Tariffs and Trade) negotiations and the Rio Summit on the Environment held in The Rio Summit generated a commitment to the protection of the environment across the world. Past levels of environment management system are the following: 1973: Europe Community principles I. Action plan was issued (for applying of protective cautions of environment) 1992: BS 7750 standard 1992: Rio Declaration 1993: ISO/TC 207 environment management technique committee was established to develop by ISO family standards 1994: TS 9719 standard (Environment management system general features) 1996: ISO standard April 2005: ISO 14001:2004 current version EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

2 In 1992, BSI Group published the world's first environmental management systems standard, BS Prior to this, environmental management had been part of larger systems such as Responsible Care. BS 7750 supplied the template for the development of the ISO series in 1996, by the International Organization for Standardization, which has representation from committees all over the world. After the rapid acceptance of ISO 9000 and the increase of environmental standards around the world, the International Standards Organization (ISO) assessed the need for international environmental management standards. They formed the Strategic Advisory Group on the Environment (SAGE) in 1991, to consider whether such standards could serve to: Promote a common approach to environmental management similar to quality management Enhance organizations' ability to attain and measure improvements in environmental performance; and Facilitate trade and remove trade barriers In 1992, SAGE's recommendations created a new committee, TC 207, for international environmental management standards. This committee and its sub-committees included representatives from industry, standards organizations, government and environmental organizations from many countries. What developed was a series of ISO standards designed to cover: 1. Environmental management systems 2. Environmental auditing 3. Environmental performance evaluation 4. Environmental labelling 5. Life-cycle assessment 6. Environmental aspects in product standards EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

3 ISO was first published as a standard in 1996 and it specifies the actual requirements for an environmental management system. It applies to those environmental aspects over which an organization has control and where it can be expected to have an influence. ISO is often seen as the cornerstone standard of the ISO series. It specifies a framework of control for an Environmental Management System (EMS) and is the only ISO standard against which it is currently possible to be certified by an external certification body. However, it does not in itself state specific environmental performance criteria. 'ISO' is not an acronym, as this would need to change when translated into different languages. It is the chosen abbreviation for the International Organization for Standardization. ISO technical committee ISO/TC 207, Environmental management, is responsible for developing and maintaining the ISO family of standards. The committee s current portfolio consists of 21 published International Standards and other types of normative document, with another nine new or revised documents in preparation. EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

4 Related Standards ISO is one of a family of standards in the ISO portfolio of Environmental Management System standards: ISO 14004, which complements ISO by providing additional guidance and useful explanations ISO provides guidance on how an organization can evaluate its environmental performance ISO series of standards addresses a range of different approaches to environmental labels and declarations The ISO standards give guidelines on the principles and conduct of LCA studies ISO parts 1, 2 and 3 are international greenhouse gas (GHG) accounting and verification standards ISO 14063, on environmental communication guidelines and examples, helps companies to make the important link to external stakeholders ISO Guide 64 provides guidance for addressing environmental aspects in product standards EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

5 Intended result(s) of the Standard In clause 1 the Scope of this particular Management System Standard (MSS) is addressed, and this includes the intended outcomes of the application of this Standard: Enhancement of environmental performance Fulfilment of compliance obligations Achievement of environmental objectives Key terms and definitions Top Management Person or group of people who directs and controls an organization at the highest level Environment Surroundings in which an organization operates, including air, water, land, natural resources, flora, fauna, humans and their interrelationships Environmental Performance Performance related to the management of environmental aspects Environmental Management System Part of the management system used to manage environmental aspects, fulfil compliance obligations, and address risks and opportunities Life Cycle Consecutive and interlinked stages of a product (or service) system, from raw material acquisition or generation from natural resources to final disposal Potential benefits of implementation Real cost savings, energy, water, waste, purchasing, transport Better risk management identifying environmental risk and legal compliance obligations Valuable engagement process staff/stakeholders (interested parties) Effective demonstration of commitment and responsibility to clients, regulators, public Compatibility with other management systems integration and alignment opportunities EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

6 ISO 14001:2015 Key concepts Key concept (1): Risk-based thinking Risk (in ISO 14000:2015) is defined as the effect of uncertainty. An effect is a deviation from the expected positive or negative. In this Standard opportunities can derive from either. Hence, this Standard refers to both risks and opportunities. One of the purposes of an EMS is to act as a preventive tool. Consequently, this Standard unlike its predecessor does not have a separate clause titled Preventive action. This concept is expressed through a risk-based planning approach to formulate the EMS requirements. The concept of risk-based thinking is explicit in this Standard; being incorporated throughout its requirements. It does not advocate a risk management approach though, as detailed in ISO for example. Key concepts (2): Process A process is defined as a: set of interrelated or interacting activities which transforms inputs into outputs. Identifying the processes that drive an organization s activities, products and services helps to understand the coherent System, and thus the risks incurred and the appropriate controls. The below process contains a set of activities that are interrelated (showing links from/to), interacting (showing inputs/outputs), and the transformation of process inputs into process outputs. EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

7 XYZ Process a b c (Interacting inputs/outputs) d (Activity) e (Interrelated - links) Set of activities k g f h i (1 7) m 7 j n o p DETERMINED OUTPUTS (n p) OTHER PROCESSES EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

8 Identifying the inputs and outputs of processes that drive an organization s activities, products and services helps to understand the ecology of their interactions, and thus the risk incurred and the appropriate controls needed. The requirements of ISO 14001:2015 are focused on, and expressed as a series of processes. There is no mention of the requirement for a procedure in ISO 14001:2015. With what? Resources With who? Personnel Inputs: What? From whom? Where? PROCESS Set of interrelated or interacting activities Outputs: What? To whom? Where? How done? Methods/Controls Documentation What results? Performance indicators Key concepts (3): Plan-Do-Check-Act (PDCA) PDCA can be applied to all processes and the EMS as a whole. The clauses of ISO also broadly follow the PDCA cycle. This cycle can be briefly described as: Plan establish objectives, processes, resources Do implement the above (what was planned) Check monitor, measure processes and resulting product/services against plans and requirements Act take actions based on the Check stage for improvement of process performance The overleaf helps to illustrate the process linkages between clauses 4 to 10 of the Standard. EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

9 Figure 1 Relationship between PDCA and the framework and this International Standard F Internal and external issues Context of the organization Scope of the environmental management system P Needs and expectations of interested parties Planning A Improvement Leadership Support and Operation D Performance evaluation C Intended outcomes Permission to reproduce extracts from ISO /FDIS 14001:2015 is granted by BSI. British Standards can be obtained in PDF or hard copy formats from the BSI online shop: or by contacting BSI Customer Services for hardcopies only: Tel: +44 (0) , cservices@bsigroup.com. EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

10 Key concepts (4): Environmental Management Principles ISO Environmental Management vocabulary contains the details of concepts and their definitions as used in the ISO series of International Standards related to environmental management. They are however not requirements, in themselves, but form the foundation of the requirements in ISO 14001: Best Available Techniques (BAT) - Consists in finding the appropriate balance between environmental performance and technical and economical availability. 2. Critical Load - A quantitative estimate of an exposure to one or more pollutants below which significant harmful effects on specified sensitive elements of the environment do not occur according to present knowledge. 3. Precautionary Principle - If an action or policy has a suspected risk of causing harm to the public or to the environment, in the absence of scientific consensus that the action or policy is not harmful, the burden of proof that it is not harmful falls on those taking an action. 4. Polluter Pays Principle - Enacted to make the party responsible for producing pollution responsible for paying for the damage done to the natural environment. 5. Pollution - The introduction of contaminants into the natural environment that cause adverse change. 6. Sustainable Development - A process for meeting human development goals while sustaining the ability of natural systems to continue to provide the natural resources and ecosystem services upon which the economy and society depend. Key concepts (5): High Level Structure (HLS) The HLS High Level Structure has been mandated by the ISO TECHNICAL MANAGEMENT BOARD (TMB). Accordingly, ISO has adopted this. The aim of the HLS is to enhance the consistency and alignment of ISO Management System Standards (MSS) by providing a unifying and agreed upon High Level Structure, identical core text and common terms and definitions. The HLS forms the nucleus of future and revised ISO Management Systems. The primary intention is for organizations to have one Management System (ISO supports this approach). EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

11 Key concepts (6): Aspects and impacts The purpose of ISO 14001:2015 is also to respond to changing environmental conditions i.e. what goes on globally can affect the organization too. Incorporating environmental models effectively into the risk management approach relies on a good understanding of the environmentally related terminology that acts as a bridge from the observable changes to the environment, and the methods of management. An environmental aspect is defined as an element of an organization's activities or products or services that interacts or can interact with the environment. An environmental aspect can cause environmental impact(s). A significant environmental aspect is one that has or can have a significant environmental impact. Significant environmental aspects are determined by the organization applying one or more criteria. An environmental impact is defined as change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization s environmental aspects. There are two key generic characteristics in ISO clause ACTIVITIES PRODUCTS SERVICES Which ASPECTS of these.lead to. Which IMPACTS on this? EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

12 Key concepts (7): Life cycle Definition of life cycle: Consecutive and interlinked stages of a product system, from raw material acquisition, or generation from natural resources, to final disposal. Considering a product or service from a life cycle perspective is to look at the environmental aspects associated with materials and processes at every stage of its life, from extraction of the natural resources through design, production, delivery, and use all the way to eventual recycling or disposal by the end user. This is also referred to as cradle to grave. Such an examination does not have to be in depth in order to inform an EMS. Although detailed life cycle analysis can reveal potential opportunities for new designs, materials and processes, even when done merely at a high level, it increases understanding of environmental aspects in the supply chain. It also clarifies areas where an organization can directly control matters, where it can exert influence and thus the practical limits (scope) of controls and policies. This is particularly useful in relation to clause 4.3 of ISO 14001:2015 as there is a requirement to establish the management system scope in relation to the environmental aspects and impacts identified by the organization. As some significant aspects can reside upstream and downstream of an organization, a life cycle perspective helps to understand what the extent of the management system boundary should be. The term is also used later in the standard (clauses 6.1.2, 8.1) where the requirement is that the life cycle perspective has to be taken into consideration, for example when planning and using operational controls. Purchasing policies may help in selecting more environmentally benign resources upstream, and better information about product or service delivery may help end users make more informed decisions about disposal downstream. Both are areas where an organization can exert influence, and both may turn out to be sources of significant environmental aspects when evaluating activities products and services. EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

13 Atmospheric Emissions Control Servicing Influence Extraction of raw materials Purchasing Manufacturing Distribution Use Disposal Recycling Liquid effluent Solid waste Structure of ISO 14001:2015 Please see the following pages for the structure of ISO 14001:2015. The red boxes form the HLS Requirements, and the grey boxes are the additional discipline-specific requirements (in this case environmental-specific) text applied. EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

14 4 Context of organization 5 Leadership 6 Planning 7 Support 8 Operation 9 Performance evaluation 10 Improvement 4.1 Understanding context 5.1 Leadership and commitment 6.1 Actions to address risks and opportunities 7.1 Resources 7.2 Competence 8.1 Operational planning and control 9.1 Monitoring, measurement, analysis and evaluation 10.1 General 4.2 Interested parties 4.3 Scope 5.2 Policy 5.3 Roles, responsibilities and authorities 6.2 Environmental objectives and planning to achieve them SEE NEXT PAGE 7.3 Awareness 7.4 Communication SEE FOLLOWING PAGE 8.2 Emergency preparedness and response General Evaluation of compliance 9.2 Internal audit 10.2 Nonconformity and corrective action 10.3 Continual improvement 4.4 EMS 7.5 Documented information 9.3 Management review EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

15 6 Planning 6.1 Actions to address risks and opportunities 6.2 Environmental objectives and planning to achieve them General Environmental objectives Environmental aspects Compliance obligations Planning actions to achieve environmental objectives Planning Action EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

16 7 Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication General Internal Communication External Communication 7.5 Documented information EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

17 Summary of the content and requirements of ISO 14001:2015 Clause 4: (Context of the organization) Firstly (in 4.1) the organization will need to determine what are the relevant issues, both inside and out, that have an impact on what the organization does, that would affect its ability to achieve the intended outcomes (and what its intended outcomes are!) of its management system. Clause 4.2 requires an organization to determine those interested parties that are relevant to its EMS (by considering possibly their effects on its purpose, intended outcomes and strategic direction for example). Clause 4.2 also requires an organization to determine the requirements of those interested parties. Clause 4.3 now requires the determined issues and requirements (in 4.1 and 4.2), and its activities products and services, to be considered when determining the boundaries and applicability of its EMS (Scope). Clause 5: (Leadership) The emphasis of clause 5 is on leadership, and not just management and commitment! Clause 5.1 requires top management to demonstrate leadership and commitment. Promoting continual improvement is also mandated; as is the creation, implementation, communication and maintenance of its environmental policy. Top management will also need to ensure that responsibilities and authorities for relevant roles are assigned, communicated and understood throughout the organization. Clause 6: (Planning) This is where the issues and requirements in 4.1, 4.2 above are considered, and risks/opportunities are determined in relation to its scope 4.3. Significant environmental aspects are determined, considering a life cycle perspective, and by using established criteria. Compliance obligations also need to be determined and how they apply to the organization. Planning actions will be necessary to address these, and how to integrate/evaluate them. In 6.2, environmental objectives will need establishing at relevant functions, levels and processes, with planning on how to achieve them. Planning of change (when determining environmental aspects) is also required in to ensure a systematic approach. Clause 7: (Support) This clause deals with the determination and provision of resources needed for the EMS. It also requires necessary competence (7.2) to be determined, provided, and effectiveness evaluated. Awareness and communication (7.3, 7.4) are also necessary, relating to the EMS; as is documented information (7.5) required by the Standard, and the organization (including requirements relating to creation, updating, and its control). EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18

18 Clause 8: (Operation) ISO 14001:2015 Pre-course reading Clause 8.1 (Operational planning and control) requires the implementation of the actions determined in 6 (to address risks and opportunities and the integration/evaluation of the actions into its processes). Controlling planned change is also important; as is the review of any consequences of unintended changes and its mitigation. Finally, outsourced processes need to be controlled. Consistent with a life cycle perspective the organization must determine, develop and specify environmental requirements for the procurement of goods and services, as appropriate, establish controls to ensure that environmental requirements are considered in the design and development process for the product and service, considering each stage of its life cycle. Clause 8.2 emergency preparedness and response requires an organization to establish, implement and maintain processes needed to prepare for and respond to potential emergency situations that are identified in planning. Clause 9: (Performance evaluation) In this clause the organization needs to determine what needs to be monitored and measured, the methods for monitoring, measuring, analysis and evaluation and when this is to happen/analyzed/ evaluated. There is also a requirement to determine appropriate indicators. Monitoring determining the status of a system, a process or an activity. Measurement process to determine a value. In clause (Evaluation of compliance) the organization needs to implement and maintain a process to evaluate conformity with its compliance obligations this will include the needs of interested parties that were adopted as compliance obligations. Internal audits are required (9.2.1) at planned intervals to provide conformance information relating to the organization s EMS, and ISO It must also assess the effective implementation and maintenance of the EMS. An audit programme (audit schedule over a time period) is required in 9.2.2, scheduled on the basis of considering: importance of the processes, changes affecting the organization, and the results of previous audits. Management review (9.3) is a top management activity which needs planning and implementing. The purpose is to establish the management system s continuing suitability, adequacy, effectiveness and alignment with the strategic direction of the organization. There are prescriptive input requirements into the review (although not at every review). The output concludes with decisions and actions, opportunities and the need for change (including resources needed). Clause 10: (Improvement) This clause relates to the determination, selection and implementation of opportunities for improvement. Nonconformity and corrective action requirements are dealt with in 10.2, and finally continual improvement of the EMS (suitability, adequacy and effectiveness) is a requirement in Please note/ improvement relates to an activity to enhance performance (recurring or singular), whereas continual improvement is a recurring activity to enhance performance. Please refer to ISO 14001:2015 for further reading before attending your scheduled course. EMS04101ENUK v2.1(ad06) Dec 2017 The British Standards Institution of 18