Management

System Concept
ISO 14001 : 2015
QHSE Management

Unsafe Facilities,
Equipment, Design, Injury, Ill-health,
Unsafe Act Property Damage
Activities
Unsafe Workplace Other losses
Processes
(OHSAS 18001) (Safety Problem)
Products
Services
Energy, Water,
Material Use,
Emission, Discharge, Protect of Environment
Wastes, (Environment Problem)
Spillage, Noise
(ISO 14001)

Engg., Defects,
Admn., Requirements, Rejects,
Controls Processing Complaints
(ISO 9001) (Quality Problem)
Glimpse of ISO 14001:2015

Standar untuk Sistem Manajemen Lingkungan

Menggantikan versi 1996 / 2004

Berlaku untuk semua jenis industri, besar dan kecil

Konsep hampir sama seperti ISO 9001

Sesuai dengan Context Organization

Membantu perusahaan untuk memenuhi peraturan dan melindungi lingkungan

Life Cycle Perspective

Meliputi demonstrasi dari “continual improvement” & Risk Based Thinking

Evaluasi kinerja process

Control External Provider

Pemenuhan terhadap peraturan

PDCA (Plan – Do – Check – Act)

Act Plan

Check Do
Risk Based Approach

Health & Safety/

Review Customer Requirements

Check and Corrective Continual

Action Improvement Risk Assessment

No
Improve
Tolerable
Controls

Yes
Maintain
controls
Risk Based Approach

What needs to be managed

SIGNIFICANT RELEVANT
LEGAL AND OTHER
OH&S
(CUSTOMER)
ISSUES REQUIREMENTS

CONTROL, MAINTAIN
& IMPROVE

How to manage in a cost-effective way

PDCA & Risk
Take evidence- Identify issues and plan
based decisions how to minimize risk and
and act as
appropriate Act Plan maximise opportunities

Risk-based
thinking
Monitor the issue.
Measure and
monitor
implementation of Check Do Implement
plans
plans and their
results
High Level Structure (HLS)
Requirement
Annex SL is the structure for all new and revised ISO Standards.

Annex SL (previously ISO Guide 83) defines the framework for a generic management system.

All new ISO management systems standards (MSS) will adhere to this framework and all current
MSS will migrate at their next revision.

Whilst the structure and terminology has changed, there is no requirement to use these terms or
to follow the numbering or structure within your management system.

The introduction of Annex SL, which establishes a consistent structure featuring 10 clauses as
well as common terminology and definitions applicable to all ISO Management System
Standards [MSS],
Process Approach
Process: “set of interrelated or interacting activities that use inputs to deliver an intended
result”
Controls

Inputs Process Outputs

Resources
Intended
results
Waste management process
Training
Waste management
procedure Signage

Compliance Defined roles and

obligations responsibilities

CONTROLS Waste to a permitted

Hazardous facility via registered
waste waste carrier
Waste
INPUTS OUTPUTS
management Records including:
Non Waste Transfer Notes
Consignment notes
hazardous
RESOURCES Carriers registration
waste Check records
Waste monitoring and
Competent EFFECTIVENESS
measurement data
personnel

Positive feedback from regulatory
body ☺
Tools and
Compliance
equipment
Internal / External audit results

Right waste, right place

No build-up of waste on site

Contribution to Policy and plans
Bins, skips etc.
Management
System
Requirement
ISO 14001 : 2015
Management System Standards
Common attributes of management systems include:

• Policies and planning

• Goals and objectives

• Leadership responsibilities and authorities

• Process approach and managing risk

• Performance evaluation

• Monitoring and improvement

High level structure (HLS) enables integration of

management systems
0.3.1 Process Approach
PDCA Cycle
ISO Directive: Annex SL, appendix 3
The ten standard clauses
Introduction
• Scope
• Normative references
• Terms and condition
• Context of the organization
• Leadership
• Planning
• Support
• Operation
• Performance evaluation
• Improvement
 Management system standards

New - Clause 4 onwards follows the HLS

PLAN DO CHECK ACT

4. CONTEXT OF 5. LEADERSHIP 9.
THE AND WORKER 10.
6. PLANNING 7. SUPPORT 8. OPERATION PERFORMANCE
IMPROVEMENT
ORGANIZATION PARTICIPATION EVALUATION
Structure of ISO 14001 versus PDCA
Internal and Context of the organization (4) Needs and
external issues Scope of the Environmental management system (4.3 / 4.4)expectations
(4.1) of
interested
Planning parties (4.2)
(6)

Plan

Improvement Support
(10) Act Leadership Do and operation
(5) (7,8)

Check

Performance
evaluation
(9)

Intended outcomes of
the Environmental MS
Clause 4 - Context of the
Organization
PLAN

4. CONTEXT OF THE
ORGANIZATION

4.1 Understanding the organization

and its context
This section is aimed at providing a key insight into
the organization - why the organization is here.
4.2 Understanding the needs and
expectations of workers and other
interested parties

4.3 Determining the scope of the

Environmental management system

4.4 Environmental management

system
Context of the organization –
Clause 4
External Internal
issues issues Monitor

determine:
Interested
parties and Review
their
requirements

understand:

Purpose Strategic
direction
Interested parties
Consumers
Customers

Suppliers Users/
Providers
Beneficiaries
Staff
Partners
Stakeholder
identification
Audit Local interest groups

Governance Media
Influencers

Steering groups Boards

Trades union
Regulatory Pressure groups
Exercise

1. Using P.E.S.T.L.E. or S.W.O.T to identify a list of the external & internal

issues, relevant to an Environmental Management Systems

Political • Strength

Economic • Weakness

Socio-cultural • Opportunity

Technological
• Threat

Legal

Environmental & Ethical

2. Create list of people / groups other than workers that may be relevant
interested parties in an organizations EnvironmentalMS
Example - PESTEL

Political Economic Social Technology Legal Environment

New tax rules. Economic growth Changing Process Labour laws. Changes in
Government rates. population automation. Regulatory weather and
funding. Unemployment demographics. Rate of requirements. climate.
Pending rates. Changing social innovation. Waste
elections. attitudes. New materials. management.

Used to assess these external factors in relation to the organization’s business environment.
Example - SWOT
Internal External
Strengths: Opportunities:
Capabilities. Development in technology and innovation.
Resources including assets and people. New or better target markets.
Competitive advantage. New partnership and contracts.
Data, knowledge and experience advantages. Business or new product development.
Financial reserves. Industry, market and lifestyle trends.
Processes or IT systems driving value. Global influences and import/export.
Market research abilities. Seasonal business trends.
Economies of scale and production volumes.
Weaknesses: Risks:
Lack of capabilities. New legislative regulations.
Unfocused competitive strength. Political, environmental and economical effect.
Deadline, pressure and time limits. Development in the IT and communications industry.
Cash drain or cash limitations. Loss of resources or partners.
Supply chain continuity and delivery issues. Changes in market demands.
Inefficient management structure or lack of Shift in competitive atmosphere.
succession planning. Unavoidable circumstances like natural calamities.
Business reputation, reach or awareness level issues.
Clause 5 - Leadership
PLAN

4. CONTEXT OF THE
5. LEADERSHIP
ORGANIZATION

4.1 Understanding the organization

5.1 Leadership and commitment
and its context

4.2 Understanding the needs and 5.2 Environmental policy

expectations of workers and other
interested parties

5.3 Organizational roles,

4.3 Determining the scope of the responsibilities, accountabilities
Environmental management system and authorities

4.4 Environmental management

system
Clause 6 - Planning
PLAN

4. CONTEXT OF THE
5. LEADERSHIP 6. PLANNING
ORGANIZATION

4.1 Understanding the organization 6.1 Actions to address risks and

5.1 Leadership and commitment
and its context opportunities

4.2 Understanding the needs and 6.2 Environmental objectives

5.2 Environmental policy
expectations of workers and other and planning to achieve them
interested parties

5.3 Organizational roles,

4.3 Determining the scope of the responsibilities, accountabilities
Environmental management system and authorities

4.4 Environmental management

system
Risk & Opportunities
Source of risk

Organizational risks Operational risks

and opportunities and opportunities internal

Achievement of
purpose and Compliance
strategic obligations
direction

Enhance
Competitive
Environmental
advantage
performance

external
Clause 6 - Planning
Determine
external Plan actions
issues 4.1 to address
Determine risks risks and
opportunities
Determine and opportunities
internal 6.1.2
6.1.1
issues 4.1

Determine
interested Decisions and Implement
parties 4.2 actions about and integrate
improvement actions into
9.3.2 / the EMS
10.1 6.1.2 / 8.1

Evaluate the
effectiveness
of actions
6.1.2
9.1.1 / 9.3.1.d
Exercise

1. In the context of an Environmental management system what

sources of risks would a fairly typical organization be required to
manage / control?

At an organizational level.

At a process level.

2. Create whole risk register using source of risk

Life cycle perspective – paper
2. Processing
materials

7. End of life 3. Making paper

1. Extraction of
materials
6. Usage 4. Packaging

5. Transport
Life cycle of Marks & Spencer Mens
Cotton Briefs
2. Spinning and
8. End of life – thread production
Disposal or (India)
recycling?!

1. Cotton growing
3. Knitting, dyeing

and harvesting
7. Consumer use and finishing
(Egypt)

(India)
6. M&S stores
4. Cutting, sewing,
and customer
packaging (Egypt)
purchase
5. Warehousing
and distribution
(UK)
Clause 7 - Support
7.1 Resources No significant changes.
DO
7.2 Competences Required to define “competencies” and
induction is specifically mentioned.

7. SUPPORT
7.3 Awareness Required to make aware information and
outcome of investigations for relevant
incidents & made aware of Environmental
7.1 Resources
hazards and risks that are relevant to them.
7.4 Communication Requirements are more prescriptive. The
7.2 Competence organization now has to define the objectives
to be achieved by informing and
7.3 Awareness communication, and shall evaluate whether
those objectives have been met.
7.4 Information and
communication
7.5 Documented Currently addressed by 4.4.4, 4.4.5 4.5.4 .
7.5 Documented
Information
information
  People
Resources  Materials
7.1  Infrastructure
 Knowledge
Documented
Information Competence
7.5 7.2
 Polices  Education
 Procedures  Training
 Records 7. Support  Experience

Communication Awareness
7.4 7.3  Controlled
 Internally & Externally Conditions
 What - When  Contribution
 Who - How  Effectiveness
Clause 8 - Operation
8.1 Operational planning and control Currently
DO addressed largely
by 4.4.6
Operational
7. SUPPORT
Control
8. OPERATION

Enhancements:
8.1 Operational planning and a) Establishing criteria for the processes.
7.1 Resources
control
b) Implementing control of the processes in
8.2 Emergency preparedness
accordance with the criteria.
7.2 Competence and response
c) Keeping documentation to have “confidence”
the processes are carried out as planned.
7.3 Awareness

7.4 Information and

communication

7.5 Documented
information
Additional Clause 8.1 requirements

8.1.3 Management of change New clause to ensure that

changes are “proactively” managed.

8.1.4 Outsourcing New clause to ensure that outsourcing

processes are controlled or influenced.

.
Clause 9 – Performance Evaluation

9.1 Monitoring, measurement, analysis and performance

CHECK evaluation.
Currently addressed by 4.5.1 monitoring and measurement.
9. PERFORMANCE More prescriptive in terms of what must be monitored, that
EVALUATION methods have to ensure valid results, when it should be
performed, how it should be analysed, evaluated and
9.1 Monitoring, measurement,
analysis and evaluation communicated.

9.2 Internal audit
9.3 Management review
9.1.2 Evaluation of compliance with legal requirements and
other requirements.
More prescriptive in terms of determination of
frequency and methods by which compliance will be
evaluated, how action will be taken, and how
knowledge” of the status of compliance is
maintained.
Clause 9.2 and 9.3 requirements

9.2 Internal audit.

Currently addressed by 4.5.5 Internal audit
Enhanced to include “significant changes impacting the
organization”, “performance evaluation and improvement results”,
“opportunities” and the selection of “competent” auditors,
consultation about the development of the programme.

9.3 Management review.

Currently addressed by 4.6 Management review.
Minor changes to input and output … see next slide.
Clause 10 - Improvement
10.2 Incident, Nonconformity & Currently addressed by corrective
action 4.5.3.1 & 4.5.3.2
ACT Some enhancements:
“Establish, implement and maintain process(es) for continual
Improvement.”
“React in a timely manner.”
10. IMPROVEMENT
“Need to take direct action to control and correct it” and “deal
with the consequences.”
10.1 General “Communicate with relevant interested parties” in relation to
documented information captured from incidents and corrective
10.2 Incident, nonconformity and action.
corrective action
NB: No preventive action clause – risk management!
10.3 Continual improvement

10.3 Continual improvement New clause, however Continual

improvement was evident throughout
ISO 14001.
Some interesting enhancements:
“promote a positive Environmental
culture.”
“workers shall as appropriate,
participate in the implementation of
CI objectives.”
Requirement

•Determine external and internal issues (4.1)

•Determine relevant interested parties and their requirements (4.2)

•Consider the issues and requirements and determine the risks and opportunities that need
to be addressed (6.1.1)

•Plan actions to address these risks and opportunities and integrate and implement the
actions into the EMS processes (6.1.4) (8.1)
•Plan how to evaluate the effectiveness of these actions (6.1.4)

•Evaluate performance (9.1.1)

•Review information, including trends and indicators on the effectiveness of actions taken to
address risks and opportunities (9.1.1) (9.3)
Summary of change

NEW to all ISO Standards:

ANNEX SL NEW - CHANGED –
One common structure for specific to ISO 14001 areas of focus
ease of management system
standard integration Leadership /Management
representative

Context of the organization Scope

Common
structure Documented information Communications

Common Common Performance indicators

terminology definitions
Life cycle perspective
Interested parties
Annex Control of outsourcing
SL Process thinking

Risks and opportunities Planning of changes