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ISO 14001 Revision: Status and Transition

Presented byGary W. McRae, DQS, Inc. Program Manager-EHS and EnergyMary C. McKiel, DQS, Inc. International Standards Expert Advisor

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AGENDA

Introductions

Review & Updates

Interview: Audit and Certification

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INTRODUCTIONS

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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REVIEWFDIS 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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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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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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UPDATE

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 ANSWERSGary 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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Interview: ISO14001:2015 Timelines

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Interview: Timeline

2015 2016 2017 2018

September 2015:Published International Standard

Begin 3 year transition period, ending in September 2018

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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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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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6. The new Standard talks about “Risks and Opportunities”. Could you elaborate on these terms?

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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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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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8. I understand that “Preventive Action” is no longer in the Standard. What is going on with this?

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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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11. There are a number of references to “intended outcomes” in the revision. Can you help clarify what this means?

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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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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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13. How is UL DQS approaching the transition process?

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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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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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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