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ISO 14001 Revision:

Status and Transition

Presented by

Gary W. McRae, DQS, Inc. Program Manager-EHS and Energy

Mary C. McKiel, DQS, Inc. International Standards Expert Advisor

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Introductions

Review & Updates

Interview: Audit and Certification

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Mary C. McKiel

Standardization &

Certification procedures,

policies, development and

application: 30+ years

Former Vice Chair of US

TAG to ISO TC 207

Current Vice Chairman

ANSI Board

Gary W. McRae

Environmental Consulting:

20+ years

Environmental Auditing:

With UL since 1997

auditing for ISO14001

Management Systems

B.S. Computer Science;

B.S. Environmental

Engineering

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BASICS

ISO Technical Committee 207 & ISO 14001

The U.S. Technical Advisory Group (TAG)

Thru ANSI

Revision Timeline for ISO 14001

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ISO 14001

ISO 9001

High Level Standard

• Context of the

Organization

• Leadership

• Planning

• Support

• Operation

• Performance

Evaluation

• Improvement

CHANGES: STRUCTURE

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FDIS ISO 14001: 2015 ISO 14001: 2004

Context of organization (Sec.4)

Determining Scope

Environmental Management

system

Leadership (Sec.5)

Policy

Roles, responsibilities, authorities

Planning (Sec.6)

Address risks and opportunities

Significant environmental aspects

Environmental objectives

Support (Sec.7)

Resources, awareness,

competence, communication

Documentation

Operation plan & control (Sec.8)

Performance evaluation (Sec.9)

Improvement (Sec.10)

General requirements (Sec 4

thru 4.5.3)

Policy

Planning

Roles, resources, responsibilities

Environmental aspects

Legal and other requirements

Objectives, targets, programs

Implementation & operation

Competence, training, awareness

Communication

Documentation

NOTE: Changes in the sections

on Terms and Definitions and

Annexes not included here.

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Strategic Environmental Management - within

the organizational context (New Clause 4)

identify benefits for the environment and the

organization.

Top Management Leadership - integration of

the EMS into organizational strategic business

planning. (New clause 5)

Context of contributing to sustainable

development. (Scope, New Clause 6)

CHANGES: FOCUS

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REVIEW

Environmental Performance – shift in

emphasis: improve environmental

performance of the system consistent with

organizational context. (New Clause 9)

Communication - Strategy with equal

emphasis on external and internal. (New

Clause 7.4)

Documentation – Change to ‘documented

information’, instead of ‘documents’ and

‘records’. (New Clause 7.5)

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REVIEW

ISO 14001 webinars: http://ul-dqsusa.com/iso-

140012015/

Written articles:http://ul-dqsusa.com/information-

center/newsletters/.

UL DQS ISO 14001 INFORMATION

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UPDATES

UL DQS Update article

6/3/15

ISO Work Group

meeting in London:

Results

Outlined remaining

issues and highlighted

unresolved comments;

Encouraged early

planning for certification

or re-certification

Before results from

London meeting

Comments resolved

Document moved to

FDIS

U.S. successful

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Initiated under the Joint ISO/IEC

Directives scope for revisions

Progression:

Committee Draft - CD

2012

Draft International Standard - DIS

*Final Draft International Standard - FDIS

2013

2014

2015

Publication Sept. 2015

*Approval stage*

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UPDATE

Risks and opportunities focused on effects of

consequences not uncertainty of consequences

Flexibility for controlling or influencing outside

sources

Incorporation of Annex SL requirements and

aligning with 9001 where appropriate.

US SUCCESS IN LONDON

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UPDATE

Organizations retain authority and autonomy

to determine:

how to fulfill the 14001 requirements,

extent of EMS integration into business

processes

incorporation of issues related to its context

within their EMS

Maintaining practical and sensible

documentation requirements

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INTERVIEW: AUDIT & CERTIFICATION

QUESTIONS and ANSWERS

Gary McRae – UL DQS Lead Auditor ISO 14001

1. Now that the document is at the FDIS stage,

how does that impact the timeline for

auditing, transition, certification, etc?

2. And as a follow up, for how long will

certifications for ISO 14001:2004 be valid?

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2015 2016 2017 2018

September 2015:

Published International

Standard

Begin 3 year transition period, ending in

September 2018

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INTERVIEW

3. We’ve heard a lot about key changes to

ISO14001:2015. In your opinion as an auditor,

what are some of the more significant of these

changes?

4. Could you explain what “Context of the

Organization” means in practical terms so that

I can better understand and be able to explain

the meaning to my organization?

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INTERVIEW

5. What about “Life Cycle Perspective”? What

are the expectations that a Certification

Body, such as UL DQS, would expect to see

related to this requirement?

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INTERVIEW

6. The new Standard talks about “Risks and

Opportunities”. Could you elaborate on

these terms?

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INTERVIEW

7. The restructuring of the Standard to

Annex SL is a key change along with new

terminology for “documented information”. As

a certified organization will I be expected to

change all my management system

documentation to align it with the new

Standard requirements and structure?

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INTERVIEW

8. The terms “Consider” and “Take into

Account” are used in several clauses in the

new Standard. What is the difference?

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INTERVIEW

8. I understand that “Preventive Action” is no

longer in the Standard. What is going on

with this?

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INTERVIEW

11.The revised Standard uses the terms

“Appropriate” and “Applicable”. Can you

talk about what the difference in these

terms means?

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INTERVIEW

11. There are a number of references to

“intended outcomes” in the revision. Can

you help clarify what this means?

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INTERVIEW

Clarification of intent document.

Certification auditors use the the CI document

that is provided by the TAG administrator:

ASQ.

www.asq.org and search for clarification of

intent, ISO 14001. Also see iso.org site for ISO-

TC-207/SC1

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INTERVIEW

13.We have been living with and are very

familiar with our 2004 version of the

Standard. Do you have any advice for those

of us who want to get up to speed with the

new Standard?

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INTERVIEW

13. How is UL DQS approaching the transition

process?

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INTERVIEW

15.If I am currently certified to ISO14001:2004

what is the process to upgrade my

management system to the ISO14001:2015

Standard?

16. What is the difference between a Stage 1

and Stage 2 audit?

17. Can I have a gap assessment performed to

see where our management system is?

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INTERVIEW

18.Do I need to wait to upgrade my existing

ISO14001 registration until I am due for my

normal triennial recertification?

19. How many audit days are required for

upgrading to the new ISO14001:2015

Standard?

20. How should I prepare my organization for

transitioning to the new Standard?

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INTERVIEW

21. In the final analysis, what are some of the

benefits of being certified to the revised

standard? Isn’t the transition going to be a

lot of extra work?

22. Can I use the FDIS as the basis for

preparing for certification, and if so, where

do I get it?

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WRAP UP

THANK YOU GARY!!!

Other Questions?

Next Steps:

US TAG meets in August to determine US vote

Webinar and responses will be available at

http://ul-dqsusa.com/iso-140012015/

UL DQS will continue to provide information on

the standard and on certification activities