1. ISO 14001:2015 – Status after release
TTT EMS
ISO 14001:2015 – Status after release
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2. ISO 14001:2015
Relevant changes
Selected standard requirements – content, interpretations
Auditing as to ISO 14001:2015
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3. ISO 14001:2015
ISO 14001_ pdf
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4. Relevant changes of ISO 14001:2015
According to ISO the following points to be highlighted:
EM as strategic issue
EM as matter of leadership by top management
Protecting the environment as committment
Environmental performance as most relevant outcome of EMS
Environmental aspects and control of EMS processes under lifecycle perspective
Inclusion of outsourced processes in the scope of EMS
Focus on communication as basic precondition and tool for successful EM
Adaptation of the requirements for EMS documentation to the changed conditions of operational management and IT options
HLS as integrative framework for all MS standards
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5. Strategic environmental management
There is an increased prominence of environmental management within the organization’s strategic planning processes. A new requirement to understand the organization’s context has been incorporated to identify and leverage opportunities for the benefit of both the organization and the environment. Particular focus is on issues or changing circumstances related to the needs and expectations of interested parties (including regulatory requirements) and local, regional or global environmental conditions that can affect, or be affected by, the organization. Once identified as a priority, actions to mitigate adverse risk or exploit beneficial opportunities are integrated in the operational planning of the environmental management system.
©ISO 2015
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6. Strategic environmental management
Standard requirements
Hints of annex A
4.1 Understanding the organization and its context
The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcomes of its environmental management system. Such issues shall include environmental conditions being affected by or capable of affecting the organization.
A 4.1 Examples of internal and external issues include:
a) environmental conditions related to climate, air quality, water quality, land use, existing
contamination, natural resource availability and biodiversity, that can either affect the
organization’s purpose, or be affected by its environmental aspects;
b) the external cultural, social, political, legal, regulatory, financial, technological, economic, natural and competitive circumstances
c) the internal characteristics or conditions of the organization, such as its activities, products and
services, strategic direction, culture and capabilities (i.e. people, knowledge, processes, systems).
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7. Strategic environmental management
4.2 Understanding the needs and expectations of interested parties
The organization shall determine:
the interested parties that are relevant to the environmental management system;
the relevant needs and expectations (i.e. requirements) of these interested parties;
which of these needs and expectations become its compliance obligations.
A.4.2 An organization is expected to gain a general (i.e. high-level, not detailed) understanding of the expressed needs and expectations of those internal and external interested parties that have been
determined by the organization to be relevant.
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8. Strategic environmental management
6.1 Actions to address risks and opportunities
6.1.1 General
When planning …the organization shall
….determine the risks and opportunities, related to its environmental aspects (see 6.1.2), compliance obligations (see 6.1.3) and other issues and requirements, identified in 4.1 and 4.2
A The organization can also have risks and opportunities related to other issues, including environmental conditions or needs and expectations of interested parties, …e.g.
a) environmental spillage due to literacy or language barriers among workers who cannot understand local work procedures;
b) increased flooding due to climate change that could affect the organizations premises;
c) lack of available resources to maintain an effective EMS due to economic constraints;
d) introducing new technology financed by governmental grants, which could improve air quality;
e) water scarcity during periods of drought that could affect the organization’s ability to operate its emission control equipment.
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9. Strategic environmental management
A (cont.)
no requirement for formal
risk management or a documented risk management process.
The method may involve a simple qualitative
process or a full quantitative assessment depending on the context in which the organization operates.
The risks and opportunities identified (see to 6.1.3) are inputs for planning actions (see 6.1.4) and for establishing the environmental objectives (see 6.2).
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10. Strategic environmental management - in the audit report
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11. Strategic environmental management - in the audit report
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12. Minimum level of reporting (examples, with reference to IAO!)
Method used for defining the context and of interested parties defined by the organisation: (4.1, 4.2)
 Fulfilled
Kind of description of context:
See preamble of the EMManual
Context (ex.):
Numerous regulatory requirements
Used method for identification:
Brainstorming on top management level
Relevant interested parties and their requirements:
Corporate group (legal compliance), community (reduction of dust immissions), neighbours (noise reduction at night, employees (clean working conditions)
Comment/evaluation of effectiveness:
„Systematic approach shows full understanding of the requirements“
Environmental management as part of the strategic planning processes: (5.1)
Example for strategic planning:
See general investment program : released CAPEX for NOx-reducing burners (1.200 T€) due to tougher regulation
„Improvement of environmental performance to reduce identified compliance risks and taking the opportunity for better reputation is an integral part of the top management´s strategy until 2020“
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13. Minimum level of reporting
Identification of risks and opportunities: (6.1)
 Partly fulfilled (MiN)
Example for risks:
Instabile energy supply, water shortages,
Example for opportunities:
Implementation of water recycling system (stabilisation of production, reducing impacts to the neighbours)
Comment/evaluation of effectiveness:
„Process not fully effective yet - See annex 1 (Action list)“
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14. Leadership Leadership
To ensure the success of the system, a new clause has been added that assigns specific responsibilities for those in leadership roles to promote environmental management within the organization.
©ISO 2015
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15. Leadership Standard requirements Hints of annex A
5.1 Leadership and commitment
Top management shall…: a.o.
taking accountability for the effectiveness
ensuring that policy and objectives are established and are compatible with …the context ;
ensuring the integration … into the organization’s business processes;
ensuring that the resources are available;
communicating the importance of effective EM
ensuring that the EMS achieves its intended outcomes;
directing and supporting persons;
promoting continual improvement;
supporting other relevant management roles
A 5.1 To demonstrate leadership and commitment, there are specific responsibilities related to the EMS in which top management should be personally involved or which
top management should direct. Top management may delegate responsibility for these actions to
others, but it retains accountability for ensuring the actions are performed.
See also next slide
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16. MS-ZUM-PCM/Dr. M. Schlecht
Leadership
MS-ZUM-PCM/Dr. M. Schlecht

17. Leadership – in the audit report
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18. Minimum level of reporting
Leadership and commitment / Definition and assignment of Organizational roles, responsibilities and authorities: (5.1,5.3)
 Fulfilled
Example for leadership etc.:
CEO`s announcement about update of the environmental policy from
Example for organizational roles etc.:
Appointment letters for EM representative, member of the environmental team etc.
Comment/evaluation of effectiveness:
„The CEO has initiated personally a complete remolding of the EMS as to the new revision together with a restructure of the EMS organisation in the group.“
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19. Protecting the environment
The expectation on organizations has been expanded to commit to proactive initiatives to protect the environment from harm and degradation, consistent with the context of the organization. The revised text does not define ‘protect the environment’ but it notes that it can include prevention of pollution, sustainable resource use, climate change mitigation and adaptation, protection of biodiversity and ecosystems, etc.
©ISO 2015
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20. Protecting the environment
Standard requirements
Hints of annex A
5.2 Environmental policy
Top management shall establish…an environmental policy that, within the
defined scope of its EMS: …
includes a commitment to the protection of the environment, including prevention of pollution and other specific commitment(s) relevant to the context of the organization; 
NOTE Other specific commitment(s) to protect the environment can include sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity and ecosystems.
A .5.2 The specific commitment(s) …can address, for example, water quality, recycling, or air quality, …and restoration.
While all the commitments are important, some interested parties are especially concerned with the organization’s commitment to fulfil its compliance obligations, particularly applicable legal requirements!
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21. Protecting the environment – in the audit report
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22. Minimum level of reporting
Commitment to and implementation of proactive initiatives to protect the environment from harm and degradation: (5.2)
 Not fulfilled (NC)
Example for such a commitment:
none
Comment/evaluation of effectiveness:
„The relationship between the context (as new requirement) and the policy has obviously not systematically taken into account - see annex 1“
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23. Environmental performance (continual improvement)
There is a shift in emphasis with regard to continual improvement, from improving the management system to improving environmental performance. Consistent with the organization’s policy commitments the organization would, as applicable, reduce emissions, effluents and waste to levels set by the organization.
©ISO 2015
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24. Environmental performance (continual improvement)
Definition „environmental performance“
performance (3.4.10) related to the management of environmental aspects (3.2.2)
Note 1 to entry: For an environmental management system (3.1.2), results can be measured against the organization’s (3.1.4) environmental policy (3.1.3), environmental objectives (3.2.6) or other criteria, using indicators (3.4.7).
Standard requirements
Hints of annex A
6.1.1 When planning …, the organization shall …consider …and determine …issues and requirements…. that need to be
addressed to…achieve continual improvement.
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25. Environmental performance (continual improvement)
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
…shall monitor, measure, analyse and evaluate its environmental performance.
…shall determine…the criteria against which the organization will evaluate its environmental performance, and appropriate indicators;
…shall evaluate its environmental performance and the effectiveness of the EMS
… shall communicate relevant environmental performance information both internally and externally…
A.9.1 For additional information on environmental performance evaluation, see ISO
10.3 Continual improvement
…shall continually improve the suitability, adequacy and effectiveness of the EMS to enhance environmental performance.
A.10.3 The rate, extent and timescale of actions that support continual improvement are determined by the organization. Environmental performance can be enhanced by applying the EMS as a whole or improving one or more of its elements.
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26. Environmental performance – in the audit report
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27. Minimum level of reporting
Evaluation of the environmental performance: (9.1.1)
 Fulfilled
Example for current measuring program (or similar):
schedule of emission measurements of chimney no.3 for 2016/2017 from (OP ABC 9-1-1)
Example for criteria for performance evaluation:
particles emitted: < 50 mg/m³
no. of environmental incidents: <2/a
energy consumption: < 850 kWh/ pcs
Comment/evaluation of effectiveness:
„The organization monitored and measured its performance adequately, evaluated the results at least 1/a and communicated it in the defined manner.“
Higher environmental performance due to continual improvement of the EMS: (10.3)
Example for KPIs with positive trend:
Particles emitted: g/Nm³, 2014 – 57 g/Nm³, 2015 – 52 g/Nm³
Example for reaching environmental targets:
Waste to landfill: target 2015 – 0 (absolutely) through new recycling technology for grinding sludge, status 01/2016 (as to waste manifest): target reached
„All environmental programs have been implemented systematically and are monitored continously. The targets for the surveillance period have been mainly reached (3 of 5), for the other the delay is technically justified and acceptable.“
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28. Lifecycle perspective
In addition to the current requirement to manage environmental aspects associated with procured goods and service, organizations will need to extend its control and influence to the environmental impacts associated with product design and development to address each stage of the life cycle, i.e. acquisition of raw materials, design, production, transportation/delivery, use, end-of-life treatment and final disposal. This does not imply a requirement to do a life cycle assessment.
©ISO 2015
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29. Lifecycle perspective
Standard requirements
Hints of annex A
6.1.2 Environmental aspects
Within the defined scope the organization shall determine the environmental aspects of its activities, products and services that it can control and those that it can influence, and their associated environmental impacts, considering a life cycle perspective.
A In all circumstances, … , it is the organization that determines the extent of control it is able to exercise, the environmental aspects it can influence, and the extent to which it chooses to exercise such influence.
Environmental aspects to which consideration should be given e.g.:
design and development of its facilities, processes, products and services;
acquisition of raw materials, including extraction;
operational or manufacturing processes, including warehousing;
operation and maintenance of facilities, organizational assets and infrastructure;
environmental performance and practices of external providers;
product transportation and service delivery, including packaging;
storage, use and end-of-life treatment of products;
waste management, including reuse, refurbishing, recycling and disposal.
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30. Lifecycle perspective
8.1 Operational planning and control
Consistent with a life cycle perspective, the organization shall:
… 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;
… determine its environmental requirement(s) for the procurement of products and services
…communicate its relevant environmental requirement(s) to external providers, including contractors;
… 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.
A.8.1 Some of the organization’s significant environmental impacts can occur during the transportation, delivery, use, end-of-life treatment or final disposal of its product or service. By providing information, an organization can potentially prevent or mitigate adverse environmental impacts during these life cycle stages..
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31. Lifecycle perspective – in the audit report
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32. Minimum level of reporting
Implementation of life cycle thinking for the identification of significant environmental aspects and in operational control: (6.1.2, 8.1)
 Fulfilled
Considered phases of life cycle:
Procurement of raw materials and energy – design -manufacturing – product use - transport
Example for design process:
Product specification PS YXU from : weight reduction by 25% through replacement of steel by aluminum in the body frame
Example for procurement process:
Contract specification for the supply of paints (contract no:….supplier :…) : lead-free, content of solvent < 10g/hl, compliant to REACH and GHS/CLP
Example for supplier evaluation:
See OP SUE 8-1: grouping of supplies according to environmental risks (A,B,C), requesting certification ISO for group A; visiting 10% of suppliers each year
Example for information of contractors and clients:
Announcement letter from : communication of own certification ISO 14001, requesting evidence of environmentally conscious management until…
Comment/evaluation of effectiveness:
„An adequate consideration of a life cycle perspective could be recognized regarding the determination of environmental aspects as well as regarding the operational planning and control“
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33. Outsourced processes Outsourced processes
Organizations need to control or influence outsourced processes.
©ISO 2015
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34. Outsourced processes Definition 3.3.4 „outsource“
make an arrangement where an external organization (3.1.4) performs part of an organization’s function or process (3.3.5)
Note 1 to entry: An external organization is outside the scope of the management system (3.1.1), although the outsourced function or process is within the scope.
Standard requirements
Hints of annex A
4.3 Determining the scope of the environmental management system
… shall determine the boundaries and applicability of the EMS to establish its scope.
When determining this scope, the organization shall consider: …
its authority and ability to exercise control and influence.
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35. Outsourced processes 8.1 Operational planning and control
…shall ensure that outsourced processes are controlled or influenced.
The type and extent of control or influence to be applied to the process(es) shall be defined within the EMS.
A.8.1 An outsourced process is one that fulfils all of the following:
it is within the scope of the EMS;
it is integral to the organization’s functioning;
it is needed for the environmental management system to achieve its intended outcome;
liability for conforming to requirements is retained by the organization;
the organization and the external provider have a relationship where the process is perceived by
interested parties as being carried out by the organization.
The organization’s ability to exert control or influence can vary from direct control to limited or no influence.
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36. Outsourced processes – in the audit report
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37. Minimum level of reporting
Control of outsourced processes (if applicable): (8.1)
 Fulfilled
Example for controls for outsourced processes (if applicable):
Contract with company WEF Ltd. (no from (paint removal from stillages): ongoing certification as to ISO required (to be reported 1/a); authority for spot checks covered; inclusion into internal audits at least once/3 years
Comment/evaluation of effectiveness:
„The company has implemented an adequate control for its outsourced process „paint removal“ covering the determination of the related environmental aspects and risks as well as clear specifications for the activities including monitoring and evaluation.“
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38. Communication Communication
The development of a communications strategy with equal emphasis on external and internal communications has been added. This includes a requirement on communicating consistent and reliable information, and establishing mechanisms for persons working under the organization's control to make suggestions on improving the environmental management system. The decision to communicate externally is retained (vorbehalten) by the organization but the decision needs to take into account information reporting required by regulatory agencies and the expectations of other interested parties.
©ISO 2015
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39. Communication Standard requirements Hints of annex A 7.4 Communication
7.4.1 General
…shall establish, implement and maintain the process(es) needed for internal and
external communications relevant to the EMS, including a) on what it will communicate; b) when to communicate; c) with whom to communicate;
d) how to communicate.
… shall:
- take into account its compliance obligations;
- ensure that environmental information communicated is consistent with information generated within the EMS, and is reliable.
…shall respond to relevant communications on its EMS
A.7.4 For additional information on communication, see ISO
In the case of complaints, it is important that a prompt and clear answer is provided by the organization.
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40. Communication 7.4.2 Internal communication
internally communicate information relevant to the EMS among the various levels and functions of the organization
ensure its communication process(es) enable(s) persons doing work under the organization’s control to contribute to continual improvement.
7.4.3 External communication
…externally communicate information relevant to the EMS, as established by the organization’s communication process(es) and as required by its compliance obligations.
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41. Communication – in the audit report
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42. Documentation Documentation
Reflecting the evolution of computer and cloud based systems for running management systems, the revision incorporates the term ‘documented information’, instead of ‘documents’ and ‘records’. To align with ISO 9001, the organization will retain the flexibility to determine when ‘procedures’ are needed to ensure effective process control.
©ISO 2015
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43. Documentation Standard requirements Hints of annex A
7.5 Documented information
7.5.1 General
The organization’s EMS include:
documented information required by this International Standard;
documented information determined by the organization as being necessary for the effectiveness of the EMS.
NOTE The extent of documented information …can differ from one organization to another due to:
- the size of organization and its type of activities, processes, products and services;
- the need to demonstrate fulfillment of its compliance obligations;
- the complexity of processes and their interactions;
- the competence of persons doing work under the organization’s control.
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44. Documentation What shall be documented, as appropriate? Clause
Required documented information
4.3
The scope
5.2
The environmental policy
6.1.1
The risks and opportunities
The processes needed to manage risk and opportunities as necessary
6.1.2
The environmental aspects and associated impacts
Criteria used for determination of significant environmental aspects
The significant environmental aspects
6.1.3
The binding obligations
6.2.1
The environmental objectives
8.1
The processes implemented for operational control (via records where applicable)
8.2
The processes of emergency preparedness and response (via records where applicable)
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45. Documentation 7.2 Evidence of competence (as appropriate) 7.4.1
Evidence of communication as appropriate)
9.1.1
Evidence of the monitoring, measurement, analysis and evaluation results
9.1.2
Evidence of the compliance evaluation result(s)
9.2
Evidence of the implementation of the (internal) audit programme and the audit results
9.3
Evidence of the results of management reviews
10.2
Evidence of
the nature of the nonconformities and any subsequent actions taken;
the results of any corrective action
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46. Documentation – in the audit report stage 1
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47. Documentation – in transition stage 1 document
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48. Documentation – in the audit report (general)
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49. HLS ISO common framework for management systems
It uses ISO new High Level Structure (HLS) for Management System Standards (MSS) which is a new common framework for ISO management system standards, which incorporate identical core text, and common terms with core definitions. The new framework is designed to benefit users implementing multiple ISO management system standards and be applicable to any management system standard. This allows compatibility across ISO management system standards while offering subject-specific flexibility.
©ISO 2015
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50. Compliance with the binding obligations – in the audit report
NOTE A.5.2: While all the commitments are important, some interested parties are especially
concerned with the organization’s commitment to fulfill its compliance obligations,
particularly applicable legal requirements.
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51. Minimum level of reporting
Ability for meeting EMS requirements of applicable statutory/regulatory requirements: (9.1.2)
 Fulfilled
Date and result of compliance evaluation:
, done by …: compliance generally stated, some minor issues identified, related corrective actions determined
Comment/evaluation of effectiveness:
„The process to evaluate the fulfillment of its binding obligations is effective (frequency, methodology, competence). The methods used included e.g. facility tours, project reviews, review of sample analysis and comparison to regulatory limits as well as a review of legally required documented information (e.g. hazardous waste manifests and regulatory submittals)“
Samples of verified applicable legal requirements:
Legal issued verified by auditor (no. 1):
VOC emissions: measuring report (company… report-no….from…) - measured value: - legal limit:
Legal issued verified by auditor (no. 2):
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52. ISO 14004
ISO revision - News
The standard has reached FDIS stage and the FDIS vote will be launched on 3 December 2015 for a two month balloting period
ISO FDIS has a new title “Environmental management systems – General guidelines on implementation”. The reason for the change is to simplify the title and to better reflect the content of the standard
Publication is planned for 1 March 2016
What are the emerging changes?
ISO 14001:2015 and ISO 14004 constitute a consistent pair of standards with ISO 14004 providing generic environmental management system (EMS) guidance beyond that applicable to ISO  The emerging changes in ISO FDIS  reflect the scope of the revision specifically related to how an organization may choose to maintain and improve an EMS and  implement environmental management requirements into an organization's overall business management system. It also reflect the changes that was agreed in ISO 14001:2015.
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53. Auditing as to ISO 14001:2015
See audit check list ISO 14001: crt_f_11.22e_ docx
(New) aspect of the EMS
Best practice in auditing
Please tick if you agree
Strategic Environmental Management
Context (4.1)
Interested parties (4.2)
Risks and chances (6.1.1)
Strategic planning (5.1)
 Always to be audited directly as singular EMS aspect
Evaluation of effectiveness could be derived from audit results of other standard aspects, as appropriate
A solely oral explanation by the client is not adequate, a suitable „record“ as evidence for a systematic approach shall be required anyway (e.g. protocol of management review ), exception for smaller companies
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54. Auditing as to ISO 14001:2015 (New) aspect of the EMS
Best practice in auditing
Leadership (5.1)
 One member of top management (e.g. in corporate group`s HQ the CEO, on site level the managing director) always to be audited/interviewed, under consideration of allocation of duties
It´s appropirate to interview „only“ the designated EMS representative and/or a management person of lower hierarchy level, considering documented the delegation of duties
in single cases could be audited solely based on documented information (e.g. management review, other business meetings, signed appointment letters
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55. Auditing as to ISO 14001:2015 (New) aspect of the EMS
Best practice in auditing
Protecting the environment (5.2, 6.2)
It is acceptable if the client has added this point only „generically“ to his environmental policy
The auditor shall insist on more precise commitment in the policy with direct reference to the context
The existence of environmental objectives and programmes (e.g. Reduction of energy consumption, reduction of air emssions) alone is sufficient
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56. Auditing as to ISO 14001:2015 (New) aspect of the EMS
Best practice in auditing
Environmental performance (continual performance) (9.1.1, 10.3)
 Evidence accepted only based on appropiate KPIs and related trends
It is acceptable if the client (after the initial phase of the EMS introduction) claims no further potential of performance improvement
It is acceptable if the client claims repeatedly that due to financial restrictions established environmental programms could not be implemented
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57. Auditing as to ISO 14001:2015 (New) aspect of the EMS
Best practice in auditing
Life cycle perspective (6.1.2, 8.1)
re 8.1 (operational control): The current audit methodology as to ISO 14001:2004 already covers widely the new requirements (see (old) report)
re 8.1 (design): higher emphasis to be directed towards the handling of environmental requirements in design and development areas (e.g. not only looking into existence and continual verification in the product/service specifications, but also ….?
re 8.1 (procurement): higher emphasis e.g. on a more specific (risk-based?) supplier evaluation; more environmental specific communication, more precise EM specific contract clauses
re 8.1 each applicable life cycle phase to be addressed even if no or only limited influence or opportunity of control is given
re (aspects): The determination of aspects/impacts shall be base on a (documented) systematic analysis of the relevant phases of life cycle with estimation of which can be controlled or influenced
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58. Auditing as to ISO 14001:2015 (New) aspect of the EMS
Best practice in auditing
Outsourced processes (8.1)
If outsourced processes do exist then to be audited separately
Generally this aspect can be audited under „procurement“
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