ISO 14001:2015 Changes and challenges Dick Hortensius NEN Management Systems

Transcription

1 ISO 14001:2015 Changes and challenges Dick Hortensius NEN Management Systems 31 March & 1 April 2016

2 Overview of presentation Background of the revision: The High Level Structure for ISO MSS and the plug-in model for integration The major changes in ISO 14001:2015 Related to the introduction of the HLS Related to the recommendations of the Future Challenges study group

3 ISO 9001:2008 Quality management ISO 14001:2004 Environmental management BSI PAS 55 Asset management OHSAS OHS management ISO Information security ISO Food safety ISO energy management BS Business Continuity ISO Records management ISO Supply chain security

4 New approach: two advisory groups SAG MSS: strategic advisory group, users of MSS, future of management system standards JTCG: practical coordination, representatives of ISO/TC/PC/SC, alignment of management system standards

5 Shortcomings of ISO MS(S) according to the SAG MSS Architecture of the standards: Lack of a common model/framework Too many separate standards, no incentives to integrate Implementation Little integrated application of MSS Insufficient links to business risks Relationship with corporate governance Not embedded in the governance of organizations No integral risk management

6 Flowermodel Van NEN quality Environment OH&S Generic core with basic requirements for a managementsystem Other Safety

7 ISO ISO ISO Generic standards Plug-in model for ISO MSS Sector standards TC ISO Examples: Automotive Medical devices Oil and Gas industry Quality management Environmental management OH&S management Examples: Risk management Social Responsibility Compliance management HLS Core elements and requirements ISO Specific guidelines Examples: Auditing Documentation Generic guidelines

8 Core of the plug in model MSS CORE ELEMENTS The core of the plug-in model requires for MSS: Same structure (HLS)) Identical terms and definitions JTCG Common basic requirements Orador: Local e Data:

9 Draft ISO Guide 83 Annex SL text High level structure and identical text for MSS and common core MS terms and definitions 4. Context of the organization 5. Leadership 6. Planning 7. Support 8. Operation 9. Performance evaluation 10. Improvement Resources Competence The organization and its context Monitoring, Awareness (issues/risks) measurement, Operational analysis Communication Leadership Needs planning and and expectations evaluation and commitment of control Policy Internal Documented audit information interested parties Organizational Scope Management of MS roles, review responsibilities Nonconformity Actions to address and and authorities risks corrective action and opportunities Continual improvement Objectives and plans to achieve them

10 Core elements Plug-in model High Level Structure HLS Clauses Context of the organization Leadership Planning Resources Operation Evaluation of performance Improvement Management processes Leadership Stakeholder management Risk management Compliance management Process management Improvement management (human) resources and support

11 Management processes High level structure and identical text for MSS and common core MS terms and definitions Seven generic management processes: 1. Leadership 2. Stakeholder management 3. Risk management 4. Compliance management 5. Process management 6. Improvement management 7. (Human) resources management

12 Connecting HLS clauses and generic management processes (vertical linkages) Themes HLS Leadership Risk management Compliance management Management Stakeholder management of Change Process management Improvement management Support, (human) resources Context of the organisation 4 Context of the organization 4.1 Internal and external issues 4.2 stakeholders, needs and expectations 4.2 Stakeholders Changes In the needs context and expectations 4.4 Management system Leadership 5 Leadership Responsibilities, authorities for MoC 5.1 Integration system in business processes 5.2 Policy 5.3 Structure, roles, responsibities Planning 6.1 Risks and opportunities 6.1 addressing requirements in planning Planning of changes 6.2 objectives/ planning 6.2 Objectives Support 7.1 resources resources, competencies, 7.4 Communication communication documentation 7.1/7.2 resources, competencies 7.1 Resources 7 Support Operation 8 Risk control 8.1 Process control Control of changes 8.1 Operational control Evaluation of performance 9.3 Management Review 9.1 monitoring of control 9.1 monitoring of compliance 9.3 Monitoring, Management auditing Review 9.1 Monitoring, measuring 9.1, 9.2, 9.3 Evaluatie prestaties Improvement Orador: 10.2 improvement 10.1 correction, corrective action 10.1 correction, corrective action 10.1 correction, corrective acion 10.1, 10.2 Corrective actions and improvement Local e Data:

13 From context analysis to operational control What is happening what are the trends? What are the risks (threats/opportunities)? 4 Understanding the context 4.1 Issues (factors) Strategic assessment 4.2 stakeholders Analysis, prioritization 6.1 Risk management 8 Operational control 9 Monitoring 6.1 compliance management Orador: Local e Data: Who are we effecting? Who are affecting us? Who do we need to consider? What are the requirements, needs and expectations? What are our compliance obligations?

14 Input review Two management levels in the HLS Strategic level doing the right things strategic analysis 9.3 management review 4.1/4.2 context analysis PDCA 4.3/4.4 system External/internal issues and developments Stakeholders, needs and expectations 5.3 structure 5.2 policy 5.1 leader ship Supporting elements 6.1 addressing risks and opportunites Operational Risk assessment 7 support 10 Corrective action and improvement PDCA 6.2 objectives and planning Operational level doing the things right 9 Evaluation of performance/ internal audit 8 Operation Operational controls

15 The contribution of SHEQ to corporate governance Leadership Doing the right things Mission and strategy 9.3 management review HLS 4.1/4.2 context analyse PDCA 4.3/4.4 systeem Stakeholder management Link strategy and operation 5.2 beleid 5.3 structuur 5.1 leider schap Compliance management Doing the things right Operational excellence 10 Corrigerende acties en verbetering 6.1 aanpakken van risico s en kansen PDCA 6.2 doelstellingen en planning Risk management Humans & resources 9 Evaluatie van prestaties/ interne audit 8 Uitvoering 7 support Process management

16 Importance HLS/plug-in model Companies: ISO management systems become part of the corporate governance Integration and expansion of systems becomes easier Assists in dealing with current and future societal challenges Stakeholders: Interests (issues and requirements) are taken into account in managing the organization

17 Importance HLS/plug-in model For certification: Makes combined audits and modular approach to certificates easier Better focus on assessing new modules? Easier (ex)change of CB s? For governmental supervision/inspection: Risk management and compliance management are an integral part of (certified) management systems

18 ISO 9001 kwaliteitsmanagement ISO ISO Information security HACCP/ISO Food safety ISO ISO milieumanagement 9001 Guide 83 HLS OHSAS ISO ISO ISO energy management PAS 55/ISO Asset management OHSAS arbomanagement ISO Business Continuity ISO Records management ISO Supply chain security

19 Orador: Local e Data:

20 Revision ISO Two challenges How to apply the high level structure to the new edition of ISO 14001? How to cope with the reccomendations of the Future challenges study group?

21 Future challenges study group Established in 2008; convenership: NEN Identification and assessment of new trends and developments in the application of EMS since the publication of ISO in 1996 en 2004 Issues amongst others: Relationship with CSR/sustainability and strategic management Compliance with legislation and regulatory requirements Improvement of environmental performance Value chain management (life cycle) External communication

22 Revision ISO Two types of changes Related to application of HLS Structure of the standard Systems approach and documentation requirements Context analysis and explicit risk-based thinking Leadership Related to the FC recommendations Life cycle approach Communication Monitoring with KPI Evaluation of compliance - compliance status Continual improvement of environmental performance

23 New structure of 14001:2015 (I) ISO 14001:2015 ISO 14001: Scope 1 Scope 2 Normative references 2 Normative references 3 Terms and definitions 3 Terms and definitions 4 Context of the organization 4.1 Understanding the organization and its context 4.2 Understanding the needs and expectations of interested parties 4.3 Determining the scope of the EMS 4.4 The environmental management system 4.1 General requirements 5 Leadership 5.1 Leadership and commitment 5.2 Environmental policy 5.3 Organizational roles, responsibilities and authorities 6 Planning 6.1 Actions to address risk and opportunities (6.1.1 general/6.1.2 environmental aspects/6.1.3 compliance obligations/6.1.4 planning actions) 6.2 Environmental objectives and planning to achieve them (6.2.1 environmental objectives/6.2.2 planning actions to achieve environmental objectives) Orador: 4.2 Environmental policy Resource, roles, responsibility and authority 4.3 Planning Environmental aspects Legal and other requirements Objectives, targets and programmes Local e Data:

24 New structure of 14001:2015 (II) ISO 14001:2015 ISO 14001: Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication (7.4.1 General/7.4.2 Internal communication/ External communication 7.5 Documented information (7.5.1 General/7.5.2 Creating and updating/7.5.3 Control of documented information) 8 Operation 8.1 Operational planning and control (including the life cycle perspective) 8.2 Emergency preparedness 9 Evaluation of performance 9.1 Monitoring, measuring, analysis and evaluation (9.1.1 general/9.1.2 evaluation of compliance) 9.2 Internal audit (9.2.1 general/9.2.2 Internal audit programme) 9.3 Management review 10 Improvement 10.1 General Orador: 10.2 Nonconformity and corrective action 10.3 Continual improvement Local e Data: (4.4 Implementation and operation) Competence, training and awareness Communication Documentation Control of records 4.4 Implementaton and operation Operational control Emergency preparedness 4.5 Control Monitoring and measuring Evaluation of compliance Internal audit 4.6 Management review Nonconformity, corrective action and preventive action

25 Orador: Local e Data:

26 Systems approach of ISO edition: 15 procedures 14 system procedures (documentation not required) X operational procedures (4.4.6) (documented when necessary) Documents and registrations 2015 edition: No procedures required More use of direct requirements : The organization shall determine, identify, conduct, establish. Sometimes establish, implement and maintain a process Documented information (maintain, retain)

27 Documented information 3 types of documents The policy shall be maintained as documented information (a document) The organization shall maintain documented information to the extent necessary to have confidence that the process is carried out as planned (can be a procedure) The organization shall retain appropriate documented information as evidence of monitoring, measurement, analysis and evaluation (a record)

28 Documented information to be determined by the organization In many cases documentation is not (explicitly) required: The organization shall determine external and internal issues.. Top management shall ensure that responsibilities and authorities for relevant roles are assigned and communicated The organization shall plan how to evaluate the effectiveness of these actions...

29 Procedures processes

30 New processes

31 Context analysis (4.1) 4.1 Understanding the organization and its context Determine internal and external issues that: are relevant to the purpose of the organization and Affect the ability to achieve the intended outcomes of the EMS This includes environmental conditions that are affected by the organization and vice versa Intended outcomes of the EMS (see scope): Improvement of environmental performance Fulfilment of compliance obligations Achievement of environmental objectives

32 Context analysis (4.1) A.4.1 Examples of issues: Environmental conditions related to climate, air quality, water quality, land use, natural resource availability and biodiversity external cultural, social, political, regulatory, financial, technological, economic, natural and competitive circumstances internal characteristics or conditions of the organization, such as its activities, products and services, strategic direction, culture and capabilities (people, knowledge, systems)

33 Context analysis (4.2) 4.2 Understanding the needs and expectations of interested parties The organization shall determine: Interested parties relevant to the EMS The relevants needs and expectations (the requirements ) of these interested parties Which of these needs and expectations become compliance obligations of the organization General understanding in 4.2; detailed analysis in 6.1

34 Context analysis (4.2) Examples of interested parties (3.1.6) customers, communities, suppliers, regulators, non-governmental organizations, investors and employees

35 From context analysis to operational control in ISO 14001:2015 What is happening? What are the trends and developments? What are the risks and opportunities)? Linkages with environment aspects, processes, products and services (6.1) 4 Context analysis Issues/factors (4.1) Stakeholders (4.2) Analysis, prioritization Risk management 6-10 Operational control 8.1 Emergency preparedness 8.2 Compliance management 6-10 Linkages with environment aspects, processes, products and services (6.1) Orador: Local e Data: Who are we effecting? Who are affecting us? Who do we need to consider? What are the requirements, needs and expectations? What are our compliance obligations?

36 Planning 6.1 actions to address risks and opportunities general determination of risks and opportunities related to significant environmental aspects, compliance obligations and other issues (4.1/4.2) that need to be addressed to achieve the intended outcomes of the EMS, to prevent negative effects and to achieve continual improvement Significant environmental aspects Identification and evaluation of environmental aspects significant environmental aspects can result in risks and opportunities Compliance obligations Identification of compliance obligations and determination of how these apply to the organizations (activities, products, services, assets, environmental aspects) compliance obligations can result in risks and opportunities Planning action Planning of actions to address risks and opportunities, significant environmental aspects, compliance obligations, how to integrate these actions in the EMS and how to evaluate the effectiveness of these actions

37 ISO 14001:2004 ISO 14001:2015 Context analysis (4) criteria Environmental aspects (4.3.1) Significant environmental aspects Legal and other requirements (4.3.2) criteria Environmental Aspects (6.1.2) Significant environmental aspects Compliance obligations (6.1.3) criteria Objectives/ targets (4.3.3) criteria Risks and opportunities (6.1.1) Policy Planning actions (6.1.4) Operational control (4.4.6) Objectives (6.2) Operational control (8.1)

38 Risks and opportunities in ISO Context: issues, (changing) circumstances, stakeholders, requirements, needs, expectations 4.1/4.2 Environmental aspects Signicifant environmental Risks: aspects x % reduction of Environmental Energy pollution savings energy in use Non-compliances operation of Enhance share of Loss of processes clients Own policy is not achieved, energy loss from of image Opportunities: renewable Improving the environment, resources sustainable products CO 2 emissions Increasing market share Energy use Cost savings Compliance Climate change obligations Decarbonization of Regulatory energy economy scan; resulting in Installation of smart Clients require required measures meters information on Carbon footprint carbonfootprint New technologies Monitoring energy information Prorail requires Enhance CO awareness use 2 Requirements of the performance of employees Monitoring CO certificate 2 CO 2 performance Governmental Risks and opportunities emissions certificate requirements Orador: Planning of actions Establishing 6.2 Local e Data: objectives Operational control 8.1 Resources/competencies 7.1/7.2 Monitoring 9.3

39 Leadership (I) 5.1 Leadership and commitment Top management shall demonstrate leadership and commitment with respect to the environmental management system by: taking accountability for the effectiveness of the environmental management system; ensuring that the environmental policy and environmental objectives are established and are compatible with the strategic direction of the organization; ensuring the integration of the environmental management system requirements into the organization s business processes; ensuring that the resources needed for the environmental management system are available;

40 Leadership (II) communicating the importance of effective environmental management and of conforming to the environmental management system requirements; ensuring that the environmental management system achieves its intended outcomes; directing and supporting persons to contribute to the effectiveness of the environmental management system; promoting continual improvement; supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.

41 Life cycle perspective (I) Life cycle (3.3.3): consecutive and interlinked stages of a product (or service) system, from raw material acquisition or generation from natural resources to final disposal Scope (1): This International Standard..is applicable to the environmental aspects that the organization determines it can either control or influence considering a life cycle pespective

42 Life cycle perspective (II) Environmental aspects (6.1.2): The organization shall determine the environmental aspects of its activities, products and services that it control and those that it can influence... considering a life cycle perspective.

43 Life cycle perspective (III) Operational planning and control (8.1) 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 life cycle stage; b) determine its environmental requirement(s) for the procurement of products and services, as appropriate; c) communicate its relevant environmental requirement(s) to external providers, including contractors; 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.

44 Compliance status (I) Compliance obligation (preferred term): Legal and other requirements (admitted term) legal requirements that an organization has to cmply with and other requirements that an organization has to or chooses to comply with (source: ISO 19600) Understanding the needs and expectations of interested parties (4.2): The organization shall determine. which of these needs and expectations become its compliance obligations.

45 Compliance status (II) Compliance obligations (6.1.3) The organization shall: Determine and have access to the compliance obligations related to its environmental aspects Determine how these compliance obligations apply to the organization Maintain documented information of its compliance obligations

46 Compliance status (III) Evaluation of compliance (9.1.2) The organization shall: Evaluate the fulfilment of its compliance obligations Determine the frequency that compliance will be evaluated Take action if needed Maintain knowledge and understanding of its compliance status

47 Compliance status (IV) Commitment to fulfil its compliance obligations (5.2) Identification of needs and expectations of interested parties and determine compliance obligations (4.2) changes? Management review (9.3) Determine compliance requirements (6.1.3) Risks and opportunities related to compliance requirements (6.1.1) Compliance status Planning actions (6.1.4) Orador: Actions and measures (6.2, 7, 8.1, 8.2) Local e Data: Complianceevaluation (9.1.2) Source: SCCM

48 Communication (I) 7.4 Communication General The organization shall establish, implement and maintain the process(es) needed for internal and external communications relevant to the environmental management system, including: a) on what it will communicate; b) when to communicate; c) with whom to communicate; d) how to communicate. When establishing its communication process(es), the organization shall: take into account its compliance obligations; ensure that environmental information communicated is consistent with information generated within the environmental management system, and is reliable.

49 Communication (II) External communication (7.4.3) The organization shall externally communicate information relevant to the environmental management system, as established by the organization's communication process(es) and as required by its compliance obligations.

50 Monitoring using KPI (I) Planning actions to achieve environmental objectives (6.2.2) The organization shall establish how the results will be evaluated, including indicators for monitoring progress toward achievement of its measurable environmental objectives

51 Monitoring using KPI (II) Monitoring, measurement, analysis and evaluation (9.1) The organization shall determine The criteria against which the organization will evaluate its environmental performance, and appropriate indicators

52 Improvement of environmental performance (I) Environmental performance (3.4.11) Performance (i.e measurable result) related to the management of environmental aspects Scope (1) Intended outcomes of the EMS include Policy (5.2) Enhancement of environmental performance Includes a commitment to continual improvement of the EMS to enhance environmental performance

53 Improvement of environmental performance (II) Management review (9.3) Input: opportunities for continual improvement Output: decisions related to continual improvement opportunities Continual improvement (10.3) The organization shall continually improve of the EMS with a view to enhance environmental performance

54 ISO 14001:2015 Most important changes(i) New structure (HLS based) Context analysis: internal and external issues, stakeholders, needs and expectations, determination of compliance obligations Commitment, involvement and responsibilities of top management is more explicit. Value chain management (life cycle perspective) is more explicit throughout the standard

55 ISO 14001:2015 Most important changes(ii) Inclusion of the concept risks and opportunities Application of (key performance) indicators to monitor achievement of environmental objectives. More emphasis on external communication and the quality of environmental information Changes in requirements related to documentation The mechanism of (continual) improvement is more explicitly related to improvement of environmental performance

56 ISO 9001:2015 and 14001:2015 Certification Transition Timeline September 2015 Published International Standard September 2015 start of 3 years transition period to September 2018 Orador: Local e Data:

57 More information KAM-MAIL Orador: Local e Data:

58 Dick Hortensius NEN Management Systems