The Revision of ISO 14001 Overview of progress to date

1. The Revision of ISO 14001Overview of progress to date Nigel Leehane Managing Director CRA Europe

2. Overview • Background to the revision process • A new structure and core text for management system standards • The ISO “Future Challenges for EMS” study • Other key changes • Revision timeline

3. Background

4. The ISO Process • Every standard is reviewed periodically • If revision is needed, the responsible technical committee forms a working group • The group prepares a series of drafts (5-7), that are circulated increasingly widely • Comments submitted by each member body are considered at the subsequent meeting • Latest draft text released in March 2013

5. Participation in the WG • ISO members nominate up to 3 experts • BSi is the UK member of ISO • Its EMS committee selects the experts (Martin Baxter of IEMA and Nigel Leehane) • The WG members are from various backgrounds, including industry, consultancy, certification, academia and government

6. A New Structure for Management Systems Standards

7. A New Structure and Core Text • ISO has adopted a common structure and core text for all management systems standards (MSSs) • For new standards • For existing standards during revision • 3 new standards follow this new structure • ISO 14001 is the first of the existing MSSs • Deviation only allowed in exceptional circumstances!

8. New Structure • Additional clauses • Renumbering and reordering of clauses • New strategic, high level requirements • Input from senior leadership • Stakeholder involvement • Consideration of the organisation’s “context” • “Implementation” stage divided into “Support” and “Operation” • New “Improvement” clauses after management review

9. ISO High Level Structure for Management Systems 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 XXX management system 4.4 XXX management system 5. Leadership 5.1 Leadership and commitment 5.2 Policy 5.3 Organization roles, responsibilities and authorities 6. Planning 6.1 Actions to address risks and opportunities 6.2 XXX objectives and planning to achieve them 7. Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication 7.5 Documented information 8. Operation 8.1 Operational planning and control 9. Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation 9.2 Internal audit 9.3 Management review 10. Improvement 10.1 Nonconformity and corrective action 10.2 Continual improvement Includes Records

10. Additional 14001 clauses

11. An Example of the Changes –ISO 14001:2004 text 4.4.2 Competence, training and awareness • The organization shall ensure that any person(s) performing tasks for it or on its behalf that have the potential to cause a significant environmental impact(s) identified by the organization is (are) competent on the basis of appropriate education, training or experience, and shall retain associated records. • The organization shall identify training needs associated with its environmental aspects and its environmental management system. It shall provide training or take other action to meet these needs, and shall retain associated records. Note: the text on awareness in this clause is dealt with in a new “Awareness” clause under the High Level Structure

12. Current Draft of New Version 7.2 Competence The organization shall • Determine the necessary competence of person(s) doing work under its control or on its behalf that affects its XXXenvironmental performance, and • Ensure that these persons are competent on the basis of appropriate education, training, skills or experience; • Where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken, and • Retain appropriate documented information as evidence of competence. HLS Core Text in Black Discipline-specific text can be added to strengthen the Core Text or add new requirements. However, the Core Text must not be undermined or contradicted.

13. Example - Communications

14. The ISO Future Challenges Study

15. ISO Future Challenges Study • Strengthening the links at strategic management level between environment and core business activities • Improving environmental performance • Evaluating performance using indicators • Demonstrating compliance • Aligning with the principles of sustainable development and social responsibility • Encouraging life cycle thinking and consideration of the value chain - procurement, design and marketing • Engaging with stakeholders • Developing a communications strategy

16. Strategic and Operational Levels Other Strategic Functions Other Operational Functions

17. Performance Evaluation and Improvement • Use of performance indicators • Required for each objective • Expectation that indicators will be used for monitoring and measurement • Link to ISO 14031 and indicator types • Improving performance • Emphasis on leadership, commitment, responsibilities to deliver • Take action on non-conformances, findings, etc

18. Evaluation of Compliance • Criticism - EMS does not deliver compliance • Fault in the standard (implies periodic evaluation)? • Fault in auditing (certification)? • New requirements for • Establishing frequency of evaluation • “Maintain knowledge and understanding of its compliance status” – aim is to require • Organisation to continually monitor compliance • Certification auditors to check the process and evidence of compliance Legal requirements and “voluntary obligations”

19. Aligning with Sustainable Development Principles • Introduction: • “greater expectations from society for sustainable development, transparency and accountability” • Policy commitment • To the prevention of pollution and to support environmental protection specific to the context of the organization such as sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant environmental issues Based on concepts in ISO 26000 Guidance on social responsibility

20. Value Chain and Life-Cycle • Only started to address this at last meeting, and more work needed • Applies to upstream & downstream processes • Addresses control and influence • Robust on procurement - requirements for: • Establishing criteria for evaluating the supply of goods, services and outsourced processes, taking a lifecycle perspective • Specifying environmental requirements as appropriate • Communicating to suppliers

21. Value Chain and Life-Cycle • Less clarity on downstream • Need to consider design, development or change of products and services • Provide information about potential significant environmental impacts during the use and end of life treatment of the product or during the delivery of the service • No explicit reference to design implications upstream (raw materials procurement) • Marketing not addressed specifically – opportunity to influence customers

22. Other Key Changes

23. No “Procedures”! • HLS defines a management system as being a set of interrelated or interacting elements to establish policies, objectives and processes • Andprocess are a set of interrelated or interacting activities which transforms inputs into outputs • Requires “documented information … necessary for the effectiveness of the management system” and as necessary for operational control • Draft revision does not reinstate “procedures”, but uses terms like “specify the way it will implement and maintain a process” • These can be integrated with other business processes • For operational control, a requirement for documenting a specified way to control situations where its absence could lead to deviation from the policy, objectives and legal and other requirements

24. Alignment with Other Standards • The HLS and core text will increasingly align new and revised MSSs • For example energy management systems • This should encourage/facilitate integration • Greater emphasis on consistency with other standards (non-MSS) such as sustainability guidance, performance indicators, eco-design, etc. • To encourage adoption of principles and useful tools

25. Timescales

26. Revision Timetable • Programme for next meetings is based on allowing time for comments on drafts • January 2015 – Publish ISO 14001:2015 • 18 months(?) allowed for certified organisations to transition to new standard

27. UK Response to ISO • Generally positive • Change environmental “aspects” to “attributes” • Find another term for “voluntary obligations” • Improve 8.2 Value Chain • Too prescriptive • Focuses on supply chain – outsourcing and purchasing • Nothing on design • Environmental performance improvement delivered by the EMS, not by improving the EMS

28. Suggested Value Chain Model Value Chain and Life Cycle Organisations in the Value Chain Our Organisation Upstream – Suppliers, etc, defined as the “Supply Chain” Downstream – Customers, etc Life-cycle of a material/product through the value chain

29. Will the Revision Change Anything? • It will provide the blueprint for change, but • What will be the pace of change – 18 months to recertify? Long enough? • How effective will be the changes to EMSs? • Need to address competence of staff, • To implement the effective changes • To work with them • To audit them (internal auditing) • External (certification) auditors will also need to understand the implications of 14001:2015

30. Conclusion

31. Any questions? Nigel Leehane nleehane@cra.co.uk