Madlen King BSc MSc MIEMA EMS Lead Assessor Lloyd’s Register Quality Assurance Ltd

1. Madlen King BSc MSc MIEMAEMS Lead AssessorLloyd’s Register Quality Assurance Ltd BS EN ISO 14001:2004

2. The Presentation BS EN ISO 14001:2004 - The Main Changes The Assessment Transition Process at LRQA Typical Weaknesses Identified at Certification Assessment • Aspects • Legal • Records • Management Review

3. Drivers for Change Compatibility with other management systems • ISO 9001:2000, OHSAS 18001:1999 Clarification of the requirements • Minimise conflicting interpretations • Making it clear that the system should work for the organisation

4. Environmental Management System Requirements [4.1] • The organisation shall establish, document, implement, maintain and continually improve an environmental management system, in accordance with the requirements of this International Standard and determine how it will meet these requirements • Define and document the scope of the EMS.

5. IAF Guidance [1] • G.5.3.1. Scope of Certification/registration • The guidance precludes an organization omitting elements of its operation which should be properly included in its EMS from the scope of its certification/registration.

6. IAF Guidance [2] • Management of the activities covered by the EMS must: • be able to demonstrate responsibility for all environmental aspects and associated impacts; • have authority to determine how environmental policy is implemented and maintained; • have authority to allocate appropriate financial and human resources • The boundaries to the responsibilities for inputs and outputs to and from the organization should be defined.

7. IAF Guidance [3] • Interfaces with services or activities that are not completely within the scope of the EMS (e.g. a common site effluent treatment plant), should nevertheless be addressed within the EMS subject to certification/registration (e.g. they should be included in the identification and evaluation etc. of environmental aspects).

8. Policy [4.2] • Is communicated to all persons working for or on behalf of the organisation.

9. Environmental Aspects [4.3.1] • The organisation shall establish, implement and maintain a procedureto identify the environmental aspects of its activities, products and services within the defined scope of the EMS that it can control and those that it can influence, taking into account planned or new developments, or new or modified activities, products and services.

10. Legal and Other Requirements [4.3.2] • Establish implement and maintain a procedure to identify and haveaccess to the applicable legal and other requirements to which it subscribes related to its environmental aspects • Determine how the legal and other requirements apply to its environmental aspects • Ensure that the requirements are taken into account in establishing, implementing and maintaining its EMS

11. Competence, Training and Awareness [4.4.2] [1] • Persons performing tasks for or on behalf of the organisation that cancause significant environmental impacts as identified by the organisation shall be competent on the basis of education, training, and/or experience • Identify training needs associated with its environmental aspects and provide training or take other action to meet these needs. • Retain associated records

12. Competence, Training and Awareness [4.4.2] [2] • Establish procedures to make persons working for or on its behalfaware of: • importance of conformance with policy, procedures and requirements of the EMS • significant aspects actual or potential of their work activities and the environmental benefits of improved personal performance • roles and responsibility in achieving conformance with the requirements of the EMS and potential consequence of departure from specific operating procedures

13. Evaluation of Compliance [4.5.2] [1] • Evaluation of Legal Compliance (4.5.2.1) • Establish and maintain procedures for periodically evaluating compliance with applicable legal requirements • Keep records of the results of these periodic evaluations

14. Evaluation of Compliance [4.5.2] [2] • Evaluation of compliance with other requirements (4.5.2.2) • Evaluate compliance with other requirements • The organization may wish to combine this evaluation with the evaluation of legal compliance in 4.5.2.1 or to establish a separate procedure. • Keep records of the results of these periodic evaluations.

15. Nonconformity, corrective and preventive action [4.5.3] • The procedure shall define requirements for • Identifying and correcting nonconformitiesand taking action to mitigate their environmental impacts • Investigating nonconformities,determining their cause and taking actions to avoid their recurrence • Evaluating the need for action to prevent nonconformities and implementing appropriate actions designed to avoid their occurrence • Recording the results of corrective and preventive action taken, and • Reviewing the effectiveness of corrective and preventive action taken

16. Management Review [4.6] [1] • Top management shall review the EMS at planned intervals to ensure continued suitability, adequacy and effectiveness • Assess opportunities for improvement • Assess the possible need for changes to the EMS including policy and objectives and targets • Records to be retained

17. Management Review [4.6] [2] Inputs • Results of audits and of evaluations of compliance • Communications from external interested parties • Environmental performance • Extent to which objectives and targets have been met • Status of corrective and preventive actions • Follow-up actions from previous reviews • Changing circumstances, including developments in legal and other requirements • Recommendations for improvement • Outputs • Decisions and actions related to identified changes

18. Conclusion • The changes are NOT major • The additional text provides a clearer picture as to what is required. It does not necessarily detail any major additional requirements • Certification bodies must clarify that certified management systems meet the new standard • At LRQA we do not envisage any major additions to what we currently assess • At LRQA we do not foresee any examples of where a major non-conformance to ISO 14001:2004 would exist, without a major non-conformance to ISO 14001:1996 being present.

19. Transition Process • Certificates to either ISO 14001:1996 or ISO 14001:2004 may be issued up to and including 14th May 2005 • From 15th May 2005 all certification assessments must be against ISO 14001:2004 • Existing certified clients must complete the transition to ISO 14001:2004 by 15th May 2006 at which time certificates to ISO 14001:1996 shall be withdrawn

20. Transition Process at LRQA • A transition checklist has been prepared for our assessors • This checklist is being forwarded to our clients prior to our visits, to assist clients prepare for the next visit • The transition checklist is currently being completed with all existing clients at their next visit. Where weaknesses are identified against ISO 14001:2004 these are raised as usual (major/minor nonconformities) • On address of all major nonconformities to ISO 14001:2004, certification is recommended. This must be achieved by 15th May 2006 at which time certificates to ISO 14001:1996 shall be withdrawn

21. Typical Weaknesses Identified at Certification • Failure to identify and manage key aspects e.g. design, contractors (on and off-site), projects • Failure to identify, demonstrate, periodically evaluate legal compliance issues e.g. duty of care, oil storage regulations • Failure to maintain records to demonstrate that clause requirements are implemented e.g. external communications, communication of information to contractors and suppliers, testing of emergency preparedness procedures • Failure to complete a management review

22. Thank-youAny Questions? BS EN ISO 14001:2004