 1.

© Operational Excellence Consulting ISO 14001:2015 Environmental Management

Systems © Operational Excellence Consulting. All rights reserved.
 2. © Operational Excellence Consulting LEARNING OBJECTIVES 2 Provide background
knowledge on ISO 14001 Describe the audit approach and learn useful tips for handling an
audit session Gain an overview of the ISO 14001:2015 structure Define the ISO 14001:2015
certification process NOTE: This is a PARTIAL PREVIEW. To download the complete
presentation, please visit: https://www.oeconsulting.com.sg
 3. © Operational Excellence Consulting CONTENTS 3 OVERVIEW OF ISO 14001 ISO
14001:2015 STRUCTURE ISO 14001:2015 CERTIFICATION PROCESS AUDIT APPROACH 01 04
03 02 HANDLING AN AUDIT SESSION 05
 4. © Operational Excellence Consulting ISO STANDARDS CONTRIBUTE DIRECTLY TO THE
U.N. SUSTAINABLE DEVELOPMENT GOALS (SDGS) 4 ISO 14001:2015 Environmental
Management Systems ISO/IEC 27001:2022 Information Security Management Systems ISO
22000:2018 Food Safety Management Systems ISO 26000:2010 Social Responsibility ISO
9001:2015 Quality Management Systems ISO 50001:2018 Energy Management Systems ISO
37001:2016 Anti-Bribery Management Systems ISO 45001:2018 Occupational Health & Safety
Management Systems Some examples of popular ISO standards that are adopted by various
companies and organizations:
 5. © Operational Excellence Consulting WHY AN ISO STANDARD? 5 ISO 14001 provides
systematic way of managing an organization’s environmental aspects ISO brings together
international expertise ISO 14001 provides easy integration with ISO 9001, ISO 45001, TS
16949, AS9100, ISO 22000, etc. ISO standards are recognized around the world
 6. © Operational Excellence Consulting A TIMELINE OF GLOBAL RISKS 2022 6 ©
Operational Excellence Consulting Source: Based on WEF Global Risks Report 2022 Climate
action failure Extreme weather Social cohesion erosion Livelihood crises Debt crises Human
environmental damage Geoeconomic confrontations Cybersecurity failure Biodiversity loss
Asset bubble burst 35.7% 34.6% 23.0% 20.1% 19.0% 16.4% 14.8% 14.6% 13.5% 12.7% Climate
action failure Extreme weather Biodiversity loss Natural resource crises Human environmental
damage Social cohesion erosion Involuntary migration Adverse tech advances Geoeconomic
confrontations Geopolitical resource contestation 42.1% 32.4% 27.0% 23.0% 21.7% 19.1%
15.0% 14.9% 14.1% 13.5% 2 – 5 years Economic Environmental Geopolitical Societal
Technological 5 – 10 years Environmental risks are the main concerns.
 7. © Operational Excellence Consulting ● ISO 14001 is an international standard that sets
out the requirements for an environmental management system (EMS) ● It helps
organizations improve their environmental performance through more efficient use of
resources and reduction of waste, gaining a competitive advantage and the trust of
stakeholders ● Applies to all types and sizes of organizations WHAT IS ISO 14001? ©
Operational Excellence Consulting 7
 8. © Operational Excellence Consulting DEVELOPMENT OF ISO 14001 8 Environmental
Management System BS7750 ISO 14001:1996 (1st issue) ISO 14001:2004 (2nd issue) ISO
14001:2015 (3rd issue) 1992 1996 2004 2015 The ISO 14001:2015 standard was last reviewed
and confirmed in 2021. Therefore this version remains current.
 9. © Operational Excellence Consulting 9 OBJECTIVES OF ISO 14001 Provide organizations
with a framework to protect the environment and respond to changing environmental
conditions in balance with socio- economic needs Specifies requirements that enable an
organization to achieve the intended outcomes it sets for its environmental management
 system Provide top management with information to build success over the long term and
create options for contributing to sustainable development
 10. © Operational Excellence Consulting BENEFITS TO AN ORGANIZATION FOR
IMPLEMENTING ISO 14001 10 Gain competitive advantage through improved efficiencies
and reduced costs Achieve strategic goals by incorporating environmental issues into
business management Encourage better environmental performance of suppliers Improve
company reputation and confidence of stakeholders Demonstrate compliance with statutory
and regulatory requirements Increase leadership involvement and employee engagement
 11. © Operational Excellence Consulting ADVANTAGES OF CERTIFICATION © Operational
Excellence Consulting ● Certification to ISO 14001 is voluntary ● Independent check of
conformity by a third party ● Indicates an effective Environmental Management System ●
National/International recognition ● Provides competitive advantage ● Improves company
image 11 11
 12. © Operational Excellence Consulting ● The purpose of Life Cycle thinking is to prioritize
actions that can reduce environmental impacts ● New (or changing) products and services
need to consider possible environmental impacts, shifting impacts, sustainability options,
alternative approaches, downstream and upstream impacts and final disposal (end-of-life) ●
Note: Does not imply a requirement to do a life cycle assessment LIFE CYCLE PERSPECTIVE 12
PRODUCT LIFE CYCLE Raw Materials & Processing Manufacturing Packaging &
Transportation Performance Use & Maintenance End of Life (Disposal/Recycling/ Re-Use
 13. © Operational Excellence Consulting ● Identifying potential risks or threats, likelihood
and consequences ● Documenting assumptions and criteria ● Identifying activities by risk
classification in order of priority ● Allocating necessary resources to risk management plan ●
Documenting results and develop a Risk Management Action plan RISK-BASED THINKING 13
Risk Evaluation Risk Analysis Risk Identification Risk Assessment Risk Treatment Scope,
Context, Criteria COMMUNICATION & CONSULTATION MONITORING & REVIEW
RECORDING & REPORTING
 14. © Operational Excellence Consulting ISO 14001:2015 IS BASED ON THE ISO HIGH-LEVEL
STRUCTURE FOR MANAGEMENT SYSTEM STANDARDS 14 1. Scope 2. Normative References
3. Terms & Definitions 4. Context of the Organization 5. Leadership 6. Planning 7. Support 8.
Operation 9. Performance Evaluation 10. Improvement
 15. © Operational Excellence Consulting HLS – THE SAME CORE ELEMENTS 15 Environment
ISO 14001 Food Safety ISO 22000 Quality Management ISO 9001 Occupational Health &
Safety ISO 45001 THE SAME CORE ELEMENTS
 16. © Operational Excellence Consulting ISO 14001:2015 IS BASED ON THE PDCA MODEL
16 Source: Adapted from ISO SCOPE OF THE ENVIRONMENTAL MANAGEMENT SYSTEM
IMPLEMENT & OPERATE THE EMS ESTABLISH EMS MAINTAIN & IMPROVE THE EMS
MONITOR & REVIEW THE EMS Plan Do Check Act INTERNAL & EXTERNAL ISSUES NEEDS &
EXPECTATIONS OF INTERESTED PARTIES INTENDED OUTCOMES OF THE ENVIRONMENTAL
MANAGEMENT SYSTEM
 17. © Operational Excellence Consulting ISO 14001:2015 KEY CLAUSE STRUCTURE (4-10)
PLAN DO CHECK ACT 4. Context of the organization 5. Leadership 6. Planning 7. Support 8.
Operation 9. Performance evaluation 10. Improvement 4.1 Understanding the organization
and its context 5.1 Leadership and commitment 6.1 Actions to address risks and
opportunities 7.1 Resources 8.1 Operational planning and control 9.1 Monitoring,
measurement, analysis and evaluation 10.1 General 4.2 Understanding the needs and
 expectations of interested parties 5.2 Environmental policy 6.2 Environmental objectives and
planning to achieve them 7.2 Competence 8.2 Emergency preparedness and response 9.2
Internal audit 10.2 Nonconformity and corrective action 4.3 Determining the scope of the
EMS 5.3 Organizational roles, responsibilities and authorities 7.3 Awareness 9.3 Management
review 10.3 Continual improvement 4.4 Environmental management system 7.4
Communication 7.5 Documented information
 18. © Operational Excellence Consulting THE PDCA CYCLE IS THE ENGINE OF
CONTINUOUS IMPROVEMENT 18 Consolidation through Standardization Improvement P D C
A P D C A Current Standard New Standard Time Continuous Improvement
 19. © Operational Excellence Consulting “ Each and every one of us can make changes in
the way we live our lives and become part of the solution.” AL GORE 19
 20. © Operational Excellence Consulting ● The certification body examines the EMS for
conformity to the ISO 14001:2015 standard ● Certification means the organization has a
documented EMS that is fully implemented and meets ISO 14001:2015 requirements ●
Certification does NOT mean that products are more environmentally friendly BECOMING
ISO 14001:2015 CERTIFIED © Operational Excellence Consulting 20 20
 21. © Operational Excellence Consulting 21 ISO 14001:2015 CERTIFICATION PROCESS 3 5 7
1 4 6 2 Implementation of EMS Selection of a Certification Body Stage 2 Audit Continual
Improvement and Surveillance Audits Conduct Internal Audit and Review Result by Top
Management Stage 1 Audit Confirmation of Registration
 22. © Operational Excellence Consulting ● Systematic, independent and documented
process for obtaining audit evidence and evaluating it objectively to determine the extent to
which audit criteria are fulfilled ● Audit criteria ○ Processes or procedures ○ Standards
WHAT IS AN AUDIT? © Operational Excellence Consulting 22 22
 23. © Operational Excellence Consulting 23 WHAT IS AN ISO AUDIT? An ISO audit is an
audit of your organization’s compliance with one of the standards set forth by the
International Organization for Standardization (ISO). An audit measures your company’s
systems against any ISO standard (e.g. ISO 14001:2015).
 24. © Operational Excellence Consulting AUDIT FINDINGS 24 MAJOR NONCONFORMITY §
A major nonconformity relates to the absence or total breakdown of a required process or a
number of minor nonconformities listed against similar areas § A major nonconformity at the
Registration Audit would defer recommendation for registration until that major has been
closed MINOR NONCONFORMITY OBSERVATION § A minor nonconformity is an observed
lapse in your systems ability to meet the requirements of the standard or your internal
systems, while the overall process remains intact § An observation or opportunity for
improvement relates to a matter about which the Auditor is concerned but which cannot be
clearly stated as a non- conformity § Observations also indicate trends which may result in a
future nonconformity
 25. © Operational Excellence Consulting HOW TO HANDLE AN AUDIT SESSION? 25 Ask
and clarify Admit obvious non-conformities Do not panic Take note of improvement areas
highlighted by the auditor Show internal audit report, when necessary Offer evidence and
explain patiently
 26. © Operational Excellence Consulting ● Polite ● Professional ● Positive / Receptive ●
Sincere ● Commitment ● Formal but not overly serious AUDITEE’S CONDUCT © Operational
Excellence Consulting 26 26
  27. © Operational Excellence Consulting ● Be honest and open ● Recognize they may be
experts ● Realize they may not be subject matter experts ● Understand the purpose of the
meeting and review related records prior to interviews INTERACTING WITH AUDITORS –
DO’S ● Turn mobile phones to silent mode ● Get the right person in to answer the question
● Listen carefully and understand each question before answering – Be sure responses are
complete and accurate 27
 28. © Operational Excellence Consulting ● Assume auditors are familiar with your
organization’s EMS ● Challenge auditors ● Show more competence in ISO 14001
INTERACTING WITH AUDITORS – DON’TS ● Argue internally ● Express unfairness ● Ask for
solution 28
 29. © Operational Excellence Consulting 29 Let us all play our part in protecting the
environment!
 30. © Operational Excellence Consulting Operational Excellence Consulting is a
management training and consulting firm that assists organizations in improving business
performance and effectiveness. Based in Singapore, the firm’s mission is to create business
value for organizations through innovative design and operational excellence management
training and consulting solutions. For more information, please visit
www.oeconsulting.com.sg ABOUT OPERATIONAL EXCELLENCE CONSULTING
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