DIS 14001_2015.pdf

© ISO 2014 – All rights reserved

Document type: International Standard Document subtype: Document stage: (40) Enquiry Document language: E C:\Users\KC\Desktop\101997 S_283_TC207\SC1\WG5\ISO-TC207-SC1-WG5_N0166_N_166_Pre-DIS_ISO_14001_from_Panama_.docx STD Version 2.5a

Date: 2014-09-01

Post-Panama draft for ISO/DIS 14001.2

ISO/TC 207/SC 1/WG 5

Secretariat: BSI/DIN

Environmental management systems — Requirements with guidance for use

Systèmes de management environnemental — Exigences et lignes directrices pour son utilisation

Warning

TO WG 5 MEMBERS: Please note that this is a first outcome of 7th and 8th meeting of WG 5 in Padua and Panama for information only. This document makes no claim to be complete by now.

In Panama an editing group was installed that will start the final work on the document.

This document is not an ISO International Standard. It is distributed for review and comment. It is subject to change without notice and may not be referred to as an International Standard.

Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are aware and to provide supporting documentation.

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ii © ISO 2014 – All rights reserved

Copyright notice 1

This ISO document is a Draft International Standard and is copyright-protected by ISO. Except as permitted 2 under the applicable laws of the user's country, neither this ISO draft nor any extract from it may be 3 reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, 4 photocopying, recording or otherwise, without prior written permission being secured. 5

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Violators may be prosecuted. 15

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© ISO 2014 – All rights reserved iii

Contents Page 16

Foreword ............................................................................................................................................................. v 17

Introduction ........................................................................................................................................................ vi 18

1 Scope ...................................................................................................................................................... 1 19

2 Normative references ............................................................................................................................ 2 20

3 Terms and definitions ........................................................................................................................... 2 21

4 Context of the organization .................................................................................................................. 7 22 4.1 Understanding the organization and its context ................................................................................ 7 23 4.2 Understanding the needs and expectations of interested parties ................................................... 7 24 4.3 Determining the scope of the environmental management system ................................................ 8 25 4.4 Environmental management system ................................................................................................... 8 26

5 Leadership ............................................................................................................................................. 8 27 5.1 Leadership and commitment ............................................................................................................... 8 28 5.2 Environmental policy ............................................................................................................................ 9 29 5.3 Organizational roles, responsibilities and authorities .................................................................... 10 30

6 Planning ............................................................................................................................................... 10 31 6.1 Actions to address risks and opportunities ..................................................................................... 10 32 6.1.1 General ................................................................................................................................................. 10 33 When planning for the environmental management system in 6.1 (i.e. 6.1.2-6.1.4), the organization shall 34

consider the issues referred to in 4.1 and the requirements referred to in 4.2. .................................... 10 35 6.1.2 Significant environmental aspects .................................................................................................... 10 36 6.1.3 Compliance obligations ...................................................................................................................... 11 37 6.1.4 Risk associated with threats and opportunities .............................................................................. 11 38 6.1.5 Planning to take action ....................................................................................................................... 12 39 6.2 Environmental objectives and planning to achieve them ............................................................... 12 40 6.2.1 Environmental objectives ................................................................................................................... 12 41 6.2.2 Planning actions to achieve environmental objectives ................................................................... 13 42

7 Support ................................................................................................................................................. 14 43 7.1 Resources ............................................................................................................................................ 14 44 7.2 Competence ......................................................................................................................................... 14 45 7.3 Awareness ............................................................................................................................................ 14 46 7.4 Communication ................................................................................................................................... 14 47 7.4.1 General ................................................................................................................................................. 14 48 7.4.2 Internal communication ...................................................................................................................... 15 49 7.4.3 External communication .................................................................................................................... 15 50 7.5 Documented information .................................................................................................................... 15 51 7.5.1 General ................................................................................................................................................. 15 52 7.5.2 Creating and updating ........................................................................................................................ 16 53 7.5.3 Control of documented information .................................................................................................. 16 54

8 Operation .............................................................................................................................................. 16 55 8.1 Operational planning and control ...................................................................................................... 16 56 8.2 Emergency preparedness and response .......................................................................................... 17 57

9 Performance evaluation ...................................................................................................................... 18 58 9.1 Monitoring, measurement, analysis and evaluation ........................................................................ 18 59 9.1.1 General ................................................................................................................................................. 18 60 9.1.2 Evaluation of compliance ................................................................................................................... 19 61 9.2 Internal audit ........................................................................................................................................ 19 62 9.3 Management review ............................................................................................................................ 19 63

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10 Improvement ....................................................................................................................................... 21 64 10.1 Nonconformity and corrective action ............................................................................................... 21 65 10.2 Continual improvement ...................................................................................................................... 21 66

Annex A (informative) Guidance on the use of this International Standard .............................................. 22 67 A.1 General ................................................................................................................................................. 22 68 A.2 A.1 Scope ............................................................................................................................................. 22 69 A.3 A.3 Terms and definitions .................................................................................................................. 22 70 A.4 Context of the organization ............................................................................................................... 23 71 A.4.1 Understanding the context of the organization ............................................................................... 23 72 A.4.2 Understanding the needs and expectations of interested parties [Changes shown are vs. 73

Padova interim draft] ............................................................................................................................. 24 74 A.4.3 Scope of the environmental management system [Changes shown are vs. Padova interim 75

draft] ...................................................................................................................................................... 25 76 A.4.4 Environmental management system [Changes shown are vs. Padova interim draft] ...................... 25 77 A.5 Leadership ........................................................................................................................................... 26 78 A.5.1 Leadership and commitment ............................................................................................................. 26 79 A.5.2 Environmental policy ......................................................................................................................... 26 80 A.5.3 Organizational roles, responsibilities and authorities .................................................................... 27 81 A.6 Planning ............................................................................................................................................... 28 82 A.6.1 Actions to address risks and opportunities .................................................................................... 28 83 A.6.2 Environmental objectives and planning to achieve them .............................................................. 31 84 A.7 Support ................................................................................................................................................ 32 85 A.7.1 Resources ............................................................................................................................................ 32 86 A.7.2 Competence [- add clarification re:recommendation 51/2014] ...................................................... 33 87 A.7.3 Awareness ........................................................................................................................................... 33 88 A.7.4 Communication ................................................................................................................................... 33 89 A.7.5 Documented information ................................................................................................................... 34 90 A.8 Operation ............................................................................................................................................. 34 91 A.8.1 Operational planning and control ..................................................................................................... 34 92 A.8.2 Emergency preparedness and response ......................................................................................... 37 93 A.9 Performance evaluation ..................................................................................................................... 37 94 A.9.1 Monitoring, measurement, analysis and evaluation ....................................................................... 37 95 A.9.2 Internal audit ....................................................................................................................................... 38 96 A.9.3 Management review ............................................................................................................................ 40 97 A.10 Improvement ....................................................................................................................................... 40 98 A.10.1 Nonconformity and corrective action ............................................................................................... 40 99 A.10.2 Continual improvement ...................................................................................................................... 41 100

Annex B (informative) Correspondence between ISO 14001:201X and ISO 14001:2004 .......................... 42 101

Bibliography ..................................................................................................................................................... 47 102 103

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Foreword 104

ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies 105 (ISO member bodies). The work of preparing International Standards is normally carried out through ISO 106 technical committees. Each member body interested in a subject for which a technical committee has been 107 established has the right to be represented on that committee. International organizations, governmental and 108 non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the 109 International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. 110

International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. 111

The main task of technical committees is to prepare International Standards. Draft International Standards 112 adopted by the technical committees are circulated to the member bodies for voting. Publication as an 113 International Standard requires approval by at least 75 % of the member bodies casting a vote. 114

Attention is drawn to the possibility that some of the elements of this document may be the subject of patent 115 rights. ISO shall not be held responsible for identifying any or all such patent rights. 116

ISO 14001 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee 117 SC 1, Environmental management systems. 118

This second/third/... edition cancels and replaces the first/second/... edition (), [clause(s) / subclause(s) / 119 table(s) / figure(s) / annex(es)] of which [has / have] been technically revised. 120

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Introduction 121

0.1 Background 122

Achieving a balance between environmental, social and economic sub-systems within the global system is 123 considered essential in order to meet the needs of the present without compromising the ability of future 124 generations to meet their needs. This concept of the ‘three pillars’ of sustainability is the goal of sustainable 125 development. 126 127 Societal expectations for sustainable development, transparency and accountability has have evolved within 128 the context of increasingly stringent legislation, and growing pressures on the environment from pollution, the 129 inefficient use of resources, over-consumption of resourcesmanagement of waste, climate change, and 130 degradation of eco-systems and biodiversity. 131 132 This has led organizations to adopt a more formalsystematic approach to environmental management. They 133 by implementing environmental management systems with the aim to control the environmental aspects of 134 their activities, products and services to prevent adverse impacts, assist in assuring compliance and improve 135 environmental performance. In doing so, organizations thereby engage in sustainable development in a 136 manner that contributes to the ‘environmental pillar’ of sustainability. 137 138 0.2 Aim of an Environmental Management System 139

The overall aimpurpose of this International Standard is to provide organizations with a systematic framework 140 to protect the environment and respond to changing environmental conditions in balance with socio-economic 141 needs. It does so by specifying requirements for an environmental management system that enables an 142 organization to achieve environmental performance improvement by: 143

developing and implementing an environmental policy and objectives; 144

identifying aspects of its activities, products and services that can result in significant environmental 145 impacts; 146

establishing systematic processes which consider its context, and take into account its significant 147 environmental aspects, risk associated with threats and opportunities and its compliance obligations; 148

increasing awareness of its relationship with the environment; 149

establishing operational controls to manage its significant environmental aspects and compliance 150 obligations; and 151

evaluating environmental performance and taking actions, as necessary, to improve. 152

The outcomes of aA formal, systematic approach to environmental management can provide top management 153 with information to build success over the long term and create options for contributing to sustainable 154 development by: 155

protecting the environment by preventing or reducing its adverse impacts on the environment; 156

reducing organisational risks from external environmental conditions OR mitigating the potential 157

impact of environmental conditions on their [operations OR activities, products and services], 158

assist in assuring/satisfying/conforming to compliance obligations 159

improving environmental performance 160

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controlling or influencing the way its products and services are designed, manufactured, distributed, 161 consumed and disposed by using a life cycle perspective that can prevent environmental burdens 162 from being inadvertently shifted elsewhere within the cycle; 163

achieving financial and operational benefits that can result from implementing environmentally sound 164 alternatives that strengthen the organization’s market position; and 165

communicating environmental information to relevant interested parties. 166

0.3 Success factors 167

The success of the an environmental management system system depends on commitment from all levels 168 and functions of the organization, led by top management. Environmental management encompasses They 169 can leverage a range of issues with associated opportunities and to reduce or eliminate environmental 170 liabilitiesimpacts, including particularly those with strategic and competitive implications. The organization’s 171 planned arrangements toTop management can effectively address these issues opportunities can beby 172 integrating environmental management integrated into its business processes, strategy and decision making, 173 by aligning them with other business priorities, and incorporating environmental governance into its overall 174 management system. Demonstration of successful implementation of this International Standard can be used 175 to assure relevant interested parties , including customers, suppliers, and regulators, that an appropriate 176 environmental management system is in place. 177

Adoption of this International Standard, however, will not in itself guarantee optimal environmental outcomes. 178 Two organizations can carry out similar operations but may have different compliance obligations, 179 environmental policy commitments, environmental technologies in use and environmental performance goals, 180 yet both can conform to the requirements of this International Standard. 181

The level of detail and complexity, the extent of documentation and the resources needed for an 182 environmental management system will depend on a number of factors, such as the organization’s context, its 183 size and location, its compliance obligations, the scope of the system, and the nature of its activities, products 184 and services, including its environmental aspects and potential impacts. 185

0.4 Plan, Do, Check and Act Approach 186

The basis for the approach underlying an environmental management system is founded on the Shewhart 187 concept of Plan, Do, Check and Act (PDCA) made popular by Deming. and is shown in Figure 1. 188

The PDCA model is demonstrates an iterative process used by organizations to achieve continual 189 improvement. It can be applied to the a management system and to each of its individual elements. It can be 190 briefly described as follows. 191

Plan: establish objectives and processes necessary to deliver results in accordance with the 192 organization’s environmental policy. 193

Do: implement the processes as planned. 194

Check: monitor and measure processes against the environmental policy, including its commitments, 195 objectives, compliance obligations, and operational controls, and report the results. 196

Act: take actions to continually improve. 197

This third edition of the International Standard incorporates the PDCA concept into a new framework, referred 198 to as the high level structure (HLS), as shown in Figure 1. 199

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200

Figure 1 – Environmental management system model for this International Standard 201

0.5 Contents of this edition 202

The third edition of this International Standard includes revisions to meet environmental challenges facing 203 organizations and provide value to both new and existing users. It also incorporates includes revisions to 204 conform to ISO’s high level structure (HLS), identical core text, and common terms and core 205

definitionsrequirements for management system standards.1 These requirements include a high level 206 structure, identical core text, and common terms with core definitions designed to benefit the users community 207 implementing multiple ISO management system standards. 208

The body of this International Standard, clause 1 through 10, contains the requirements used to assess 209 conformity. Annex A provides informative explanations to prevent misinterpretation of ISO 14001:201X 210 requirements. For existing users, Annex B identifies broad technical correspondence between the previous 211 edition of this International Standard (ISO 14001:2004) and this edition. Annex C provides further insight on 212 how this International Standard and PDCA relate. Implementation guidance on this International Standard is 213 included in ISO 14004:201X. References to other ISO/TC 207 Environmental Management International 214 Standards that can be used to support organizations implementing ISO 14001 are provided in the 215 Bibliography for information onlyAnnex XXX, including ISO/TC 207 guidance documents on environmental 216 management. 217

1 See the ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, Fourth edition, 2013, Annex SL, Appendices 2 and 3.

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This International Standard is intended to apply to all types and sizes of organizations with diverse 218 geographical, cultural and social conditions. It does not establish absolute requirements for environmental 219 performance beyond the required commitments in the environmental policy, including the commitments to: 220

comply with compliance obligations, 221

protect the environment, including preventing pollution and others as applicable, for example, 222 sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity 223 and ecosystems, or consider other principles such as environmental responsibility, precautionary 224 approach and polluter pays, and 225

to continual improvement. 226

However, adoption of this International Standard will not in itself guarantee optimal environmental outcomes. 227 Two organizations can carry out similar operations but may have different compliance obligations, 228 environmental policy commitments, cost-effective technologies implemented, and environmental performance 229 goals, yet both can conform to the ISO 14001:201X requirements. 230

The level of detail and complexity, the extent of documentation and the resources devoted to an 231 environmental management system will depend on a number of factors, such as the organization’s purpose 232 and size, its relevant interested parties, the scope of the system, and the nature of its activities, products and 233 services, including their significant environmental aspects and potential impacts. 234

DRAFT INTERNATIONAL STANDARD ISO/DIS 14001

© ISO 2014 – All rights reserved 1

Environmental management systems — Requirements with 235

guidance for use 236

1 Scope 237

This International Standard specifies the requirements of an environmental management system for 238 organizations seeking to plan, establish, implement and maintain a framework to with the aim to manage its 239 environmental responsibilities in a manner that contributes to the ‘environmental pillar’ of 240 sustainability.contribute to sustainable development by: 241

The intended outcomes of thean environmental management system provide value for the environment, the 242 organization and its interested parties. [Ed Group check drafting] Consistent with the organization's 243 environmental policy, the intended outcomes of an environmental management system include: 244

enhancement of environmental performance 245

satisfying compliance obligations 246

fulfilment of environmental objectives 247

protecting the environment, including preventing pollution, 248

demonstrating their commitment to satisfy compliance obligations, and 249

delivering environmental performance improvement. 250

This International Standard is intended to be applicable to any organization regardless of size, type and 251 nature and applies to the environmental aspects that the organization determines it can either control or 252 can influence across its value chain. This International StandardIt does not itself state specific 253 environmental performance criteria. All the requirements in this International Standard are intended to be 254 incorporated into any environmental management system, without 255

The requirements in this International Standard are intended to be integrated into the organization’s 256 management system and its business processes. The extent to which these requirements are applied 257 depends on factors such as the context within which the organization operates (including interested party 258 requirements), its environmental policy commitments and the nature of its activities, products and services. 259

This International Standard does not make provision for the exclusion of any of its requirements. 260

Consistent with the ‘neutrality principle’, an An organization can demonstrate conformity2 with this 261 International Standard byitself (first party) or by a supplier, user or purchaser (second party), or an 262 independent body (third party). 263

1) making a self-determination and self-declaration, or 264

2 Conformity assessment as it relates to ISO 14001 is the demonstration that specified requirements of this International Standard relating to an organization’s environmental management system are fulfilled.

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2) seeking confirmation of its conformance by parties having an interest in the organization, such as 265 customers, or 266

3) seeking confirmation of its self-declaration by a party external to the organization, or 267

4) seeking certification/registration of its environmental management system by an external 268 organization. 269

2 Normative references 270

There are no normative references. 271

3 Terms and definitions 272

For the purposes of this document, the following terms and definitions apply. 273

3.1 274 organization 275 person or group of people that has its own functions with responsibilities, authorities and relationships to 276 achieve its environmental objectives (3.1514) 277

Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, 278 corporation, firm, enterprise, authority, partnership, charity or institution, or part or combination thereof, 279 including (an) operating unit(s) whether incorporated or not, public or private. 280

3.2 281 interested party (preferred term) 282 stakeholder (admitted term) 283 person or organization (3.1) that can affect, be affected by, or perceive itself to be affected by a decision or 284 activity 285

Note 1 to entry: Interested parties can include person(s) and groups affected by an organization expressing their 286 needs and expectations with its environmental performance (3.21). 287

Note 2 to entry: Interested parties can include customers, communitycommunities, suppliers, regulators, 288 nongovernment organizations, investors, employees. 289

3.3 290 requirement 291 need or expectation that is stated, generally implied or obligatory 292

Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization (3.1) and 293 interested parties (3.2) that the need or expectation under consideration is implied. 294

Note 2 to entry: A specified requirement is one that is stated, for example in documented information (3.17). 295

Note 3 to entry: Requirements other than legal requirements become obligatory when the organization chooses 296 decides to comply with them. 297

3.4 298 compliance obligation 299 requirement (3.3) that an organization (3.1) has to or chooses to comply with 300

Note 1 to entry: Obligations may arise from mandatory requirements (3.3), such as applicable laws and regulations, 301 or voluntary commitments, such as organizational and industry standards, contractual relationships, principles of good 302 governance and community and ethical standards. 303

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3.5 304 environment 305 surroundings in which an organization (3.1) operates 306

Note 1 to entry: Surroundings in this context extend from within an organization to the local, regional and global 307 system. 308

Note 2 to entry: Surroundings can include air, water, land, natural resources, biodiversity and ecosystems, humans, 309 and their interrelations. 310

3.6 311 environmental aspect 312 element of an organization's (3.1) activities or products or services that interacts or can interact with the 313 environment (3.5) 314

Note 1 to entry: An environmental aspect can cause an environmental impact (3.7). A significant environmental 315 aspect is one that has or can have a significant environmental impact. Significant environmental aspects are 316 determined by the organization applying a range of criteriaon. 317

3.7 318 environmental impact 319 change to the environment (3.5), whether adverse or beneficial, wholly or partially resulting from an 320 organization's (3.1) environmental aspects (3.6) 321

3.8 322 environmental condition 323 state or characteristic of the environment (3.5) as determined at a certain point of time 324

3.9 325 management system 326 set of interrelated or interacting elements of an organization (3.1) to establish policies and objectives (3.14) 327 and processes (3.18) to achieve those objectives 328

Note 1 to entry: A management system can address a single discipline or several disciplines (e.g. quality, 329 environment, health and safety). 330

Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning and 331 operation, etc., performance evaluation and improvementand associated processes and procedures (3.19). 332

Note 3 to entry: The scope of a management system may include the whole of the organization, specific and 333 identified functions of the organization, specific and identified sections of the organization, or one or more functions 334 across a group of organizations. 335

3.10 336 environmental management system 337 part of the management system (3.9) that is used to manage environmental aspects (3.6), satisfy 338 compliance obligations (3.4), and address risks (3.15) associated with threats and opportunities 339

3.11 340 top management 341 person or group of people who directs and controls an organization (3.1) at the highest level 342

Note 1 to entry: Top management has the power to delegate authority except for the designated responsibilities in 343 5.1, 5.2, 5.3 and 9.3, and provide resources within the organization. 344

Note 2 to entry: If the scope of the management system (3.9) covers only part of an organization, then top 345 management refers to those who direct and control that part of the organization. 346

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3.12 347 effectiveness 348 extent to which planned activities are realized and planned results achieved 349

3.13 350 policy 351 intentions and direction of an organization (3.1) as formally expressed by its top management (3.11) 352

3.13 353 environmental policy 354 intentions and direction of an organization (3.1) as formally expressed by its top management (3.11) related 355 to environmental performance (3.21) 356

3.14 357 environmental objective 358 result to be achieved set by the organization consistent with the environmental policy 359

Note 1 to entry: An environmental objective can be strategic, tactical, or operational. 360

Note 2 to entry: OEnvironmental objectives can relate to different disciplines (such as financial, health and safety, 361 and environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product, 362 service and process (3.18)). 363

Note 3 to entry: An environmental objective can be expressed in other ways, e.g. as an intended outcome, a 364 purpose, an operational criterion, as an environmental objective, or by the use of other words with similar meaning (e.g. 365 aim, goal, or target). 366

Note 4 to entry: In the context of environmental management systems, (3.10) environmental objectives are set by 367 the organization (3.1), consistent with the environmental policy (3.13), to achieve specific results. 368

3.15 369 risk 370 effect of uncertainty on environmental objectives (3.14) 371

Note 1 to entry: An effect is a deviation from the expected — positive or negative. 372

Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or 373 knowledge of, an event, its consequence, or likelihood. 374

Note 3 to entry: Risk is often characterized by reference to potential "events" (as defined in ISO Guide 73:2009, 375 3.5.1.3) and consequences (as defined in ISO Guide 73:2009, 3.6.1.3), or a combination of these. 376

Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including 377 changes in circumstances) and the associated likelihood (as defined in ISO Guide 73:2009, 3.6.1.1) of occurrence. 378

3.16 379 competence 380 ability to apply knowledge and skills to achieve intended results 381

3.17 382 documented information 383 information required to be controlled and maintained by an organization (3.1) and the medium on which it is 384 contained 385

Note 1 to entry: Documented information can be in any format and media, and from any source. 386

Note 2 to entry: Documented information can refer to: 387

the environmental management system (3.10), including related processes (3.18), 388

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information created in order for the organization to operate (may also be formerly referred to as 389 documentation), 390

evidence of results achieved (may also be formerly referred to as records). 391

3.18 392 process 393 set of interrelated or interacting activities which transforms inputs into outputs 394

Note 1 to entry: Processes can be documented or not. 395

3.19 396 procedure 397 specified way to carry out an activity or a process (3.18) 398

Note 1 to entry: Procedures can be documented or not. 399

3.20 400 performance 401 measurable result 402

Note 1 to entry: Performance can relate either to quantitative or qualitative findings. 403

Note 2 to entry: Performance can relate to the management of activities, processes (3.18), products (including 404 services), systems or organizations (3.1). 405

3.21 406 environmental performance 407 performance (3.20) related to the management of environmental aspects (3.6) 408

Note 1 to entry: In the context of environmental management systems (3.10), results can be measured against the 409 organization's environmental policy (3.13), environmental objectives (3.14) and other performance of an organization’s 410 (3.1) management of its environmental aspectsor other criterion,a using indicators. 411

[Source: ISO 14045:2012, 3.5, modified ― to add “to the management of” and to add a new Note 1 to 412 entry] 413

3.22 414 indicator 415 measureable representation of the condition or status of operations, management or conditions 416

Note 1 to entry: Distinction can be made between Operational Performance Indicators (OPIs), Management 417 Performance Indicators (MPIs), Environmental Performance Indicators (EPIs) and Environmental Condition Indicators 418 (ECIs) 419

[SOURCE: ISO 14031:2013, 3.15, modified ― Note 1 to entry was added] 420

3.23 421 outsource (verb) 422 make an arrangement where an external organization (3.1) performs part of an organization’s function or 423 process (3.18) 424

Note 1 to entry: An external organization is outside the scope of the management system (3.9), although the 425 outsourced function or process is within the scope. 426

3.24 427 monitoring 428 determining the status of a system, a process (3.18) or an activity 429

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Note 1 to entry: To determine the status, there may be a need to check, supervise or critically observe. 430

3.25 431 measurement 432 process (3.18) to determine a value 433

3.26 434 audit 435 systematic, independent and documented process (3.18) for obtaining audit evidence and evaluating it 436 objectively to determine the extent to which the audit criteria are fulfilled 437

Note 1 to entry: An internal audit is conducted by the organization (3.1) itself or by an external party on its behalf. 438

Note 1 2 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party), and it 439 can be a combined audit (combining two or more disciplines) or an integrated audit (an audit against two or more sets 440 of standards criteria integrated into one management system (3.9)). 441

Note 2 to entry: An internal audit is conducted by the organization (3.1) itself or by an external party on its behalf. 442

Note 3 to entry: Independence can be demonstrated by the freedom from responsibility for the activity being 443 audited or freedom from bias and conflict of interest. 444

Note 4 to entry: “Audit evidence” consists of verifiable records, statements of fact and other information relevant to 445 the audit criteria, and “audit criteria” are the set of policies, procedures (3.19) or requirements (3.3) used as a reference 446 against which audit evidence is compared, as defined in ISO 19011. 447

3.27 448 conformity 449 fulfilment of a requirement (3.3) 450

Note 1 to entry: Conformity relates to compliance obligations (3.4), including requirements in this International 451 Standard and additional environmental management system (3.10) requirements that an organization (3.1) establishes 452 for itself. 453

3.28 454 nonconformity 455 non-fulfilment of a requirement (3.3) 456

Note 1 to entry: Nonconformity relates to compliance obligations (3.4), including requirements in this International 457 Standard and additional environmental management system (3.10) requirements that an organization (3.1) establishes 458 for itself. 459

3.29 460 corrective action 461 action to eliminate the cause of a nonconformity (3.28) and to prevent recurrence 462

3.30 463 continual improvement 464 recurring activity to enhance performance (3.20) 465

Note 1 to entry: Enhancing performance relates to the use of the environmental management system (3.10) in 466 order to achieve improvement in environmental performance (3.21) consistent with the organization's (3.1) 467 environmental policy (3.13). 468

Note 2 to entry: The activity need not take place in all areas simultaneously, or without interruption. 469

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3.31 470 prevention of pollution 471 use of processes (3.18), practices, techniques, materials, products, services or energy to avoid, reduce or 472 control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, 473 in order to reduce adverse environmental impacts (3.7) 474

Note 1 to entry: Prevention of pollution can include source reduction or elimination, process, product or service 475 changes, efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and 476 treatment. 477

3.32 478 value chain 479 entire sequence of activities or parties that provide or receive value in the form of products or services 480

Note 1 to entry: Parties that provide value include suppliers, outsourced (3.23) workers, contractors and others. 481

Note 2 to entry: Parties that receive value include customers, consumers, clients, members and other users. 482

Note 3 to entry: Value can be positive or negative. 483

[Source: ISO 26000:2010, 2.25, modified ― Note 1 to entry was added] 484

3.33 485 life cycle 486 consecutive and interlinked stages of a product system, from raw material acquisition or generation from 487 natural resources to end-of-life treatment final disposal 488

Note 1 to entry: Life cycle includes activities, products, and services and may include procured goods and services, 489 as well as end-of-life treatment of products and delivery of services, for example, design, manufacture, transport, 490 packaging and end-use/disposal. 491

[Source: ISO 14044:2006, 3.1, modified ― refer to 'end-of-life treatment', not 'final disposal', Note 1 to entry 492 was added] 493

4 Context of the organization 494

4.1 Understanding the organization and its context 495

The organization shall determine external and internal issues that are relevant to its purpose and that affect 496 its ability to achieve the intended outcome(s) of its environmental management system. Those issues 497 include environmental conditions capable of affecting or being affected by the organization. 498

The knowledge gained shall be considered when establishing and maintaining the organization's 499 environmental management system. 500

4.2 Understanding the needs and expectations of interested parties 501

The organization shall determine: 502

the interested parties that are relevant to the environmental management system; and 503

the relevant needs and expectations (i.e. requirements) of these interested parties; and 504

which of these become compliance obligations. 505

The knowledge gained shall be considered when establishing and maintaining the organization's 506

environmental management system. 507

508

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4.3 Determining the scope of the environmental management system 509

The organization shall determine the boundaries and applicability of the environmental management 510 system to establish its scope. 511

When determining this scope, the organization shall consider: 512

the external and internal issues referred to in 4.1; 513

the requirements compliance obligations referred to in 4.2; 514

its organizational unit(s), function(s), and physical boundaries; 515

its activities, products and services; and 516

its authority and ability to exercise control and influence. 517

Once Tthe scope is defined, shall not exclude activities, products and services within the organization’s 518 control or influence that can have significant environmental aspects (see 6.1.2). shall be included within the 519 scope of the environmental management system (see 6.1.4). 520

The scope shall be available as documented information and be available to the publicinterested parties. 521

4.4 Environmental management system 522

In order to continually improve its environmental performance, tThe organization shall establish, implement, 523 maintain and continually improve an environmental management system, including the processes needed 524 and their interactions, in accordance with the requirements of this International Standard, to enhance its 525 environmental performance. 526

The organization shall determineconsider the knowledge of its context when establishing and maintaining 527 the environmental management system. 528

how it will satisfy the environmental management system requirements, 529

how it will integrate its environmental management system requirements into its business 530 processes, and 531

the requirements of interested parties that the organization adopts. 532

5 Leadership 533

5.1 Leadership and commitment 534

Top management shall demonstrate leadership and commitment with respect to the environmental 535 management system by: 536

ensuring that knowledge of the organization’s context is considered when establishing the 537 environmental management system; 538

taking accountability for the effectiveness of the environmental management system; 539

ensuring that the environmental policy and environmental objectives are established and are 540 compatible with the strategic direction and the context of the organization; 541

giving consideration to environmental performance in strategic planning;[consider to put text in 9.3] 542

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ensuring the integration of the environmental management system requirements into the 543 organization’s business processes; 544

ensuring that the resources needed for the environmental management system are available; 545

communicating the importance of effective environmental management and of conforming to the 546 environmental management system requirements; 547

ensuring that the environmental management system requirements are fulfilled and achieves its 548 intended outcome(s) are achieved; 549

directing and supporting persons to contribute to the effectiveness of the environmental 550 management system; 551

promoting continual improvement (see 10.2); 552

supporting other relevant management roles to demonstrate their leadership as it applies to their 553

areas of responsibility. 554

NOTE Reference to “business” in this International Standard can be interpreted broadly to mean those activities 555 and processes that are core to the purposes of the organization’s existence, whether the organization is public, private, 556 for or not for profit. 557

5.2 Environmental policy 558

Top management shall establish, implement and maintain an environmental policy that, within the defined 559 scope of its environmental management system: 560

b)a) is appropriate to the purpose of the organization; 561

c) is appropriate 562

b) to the organization's context, including the nature, scale and environmental impacts of its activities, 563 products and services;, and 564

to the organization’s risks and opportunities, 565

d)c) provides a framework for setting environmental objectives; 566

e)d) includes (a) commitment(s) to the protection of the environment, including prevention of pollution and 567 to theothers protection of the environment specific to the context of the organization,; 568

NOTE The Other specific commitment(s) to protect the environment can include sustainable resource use, climate 569 change mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant environmental 570 issues (see 4.1). 571

f)e) includes a commitment to satisfy applicable requirements compliance obligations; and 572

g)f) includes a commitment to continual improvement of the environmental management system to 573 enhance its environmental performance. 574

The environmental policy shall: 575

be available as documented information, 576

be communicated within the organization, including persons working doing work on behalf ofunder 577 the organization's control, 578

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be available to interested parties, as appropriate. 579

5.3 Organizational roles, responsibilities and authorities 580

Top management shall ensure that the responsibilities and authorities for relevant roles within the 581 environmental management system are assigned and communicated within the organization to facilitate 582 effective environmental management. 583

Top management shall assign the responsibility and authority for: 584

a) ensuring that the environmental management system conforms to the requirements of this International 585 Standard; 586

b) reporting on the performance of the environmental management system, including environmental 587 performance, to top management. 588

NOTE The role of and authority for reporting on the performance of the environmental management system is 589 often assigned to (a) management representative(s). 590

6 Planning 591

6.1 Actions to address risks and opportunities 592

6.1.1 General 593

The organization shall plan and implement a process to meet the requirements in 6.1 and maintain 594 documented information to the extent necessary to have confidence that the process has been carried out 595 as planned. 596

When planning for the environmental management system in 6.1 (i.e. 6.1.2-6.1.4), the organization shall 597 consider the issues referred to in 4.1 and the relevant requirements of interested parties referred to 598 in 4.2. 599

6.1.2 Significant Identification of environmental aspects 600

Within the defined scope of the environmental management system, the organization shall: 601

identify the environmental aspects and associated environmental impacts of its activities, products and 602 services within the defined scope of the environmental management system that it can control and 603 those that it can influence, considering a life cycle perspective; and 604

take into account 605

change, including planned or new developments and new or modified activities, products and 606 services, and 607

abnormal and potential emergency situations. 608

The organization shall determine those aspects that have or can have a significant impact on the 609 environment, i.e. significant environmental aspects. 610

The organization shall communicate its significant environmental aspects among the various levels and 611 functions of the organization. 612

The organization shall retain up to datemaintain documented information of its environmental aspects and 613 associated environmental impacts. 614

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criteria used to determine its significant environmental aspects, 615

environmental aspects and associated environmental impacts, and 616

significant environmental aspects. 617

NOTE: Significant environmental aspects can result in risk associated with either adverse environmental impacts 618 (threats) or beneficial environmental impacts (opportunities) 619

NOTE Life cycle perspective does not require a detailed life cycle assessment. It means that the organization 620 extends its view of its processes to a simple consideration of the life cycle stages for which can be controlled or 621 influenced by the organization considers itself to be sufficiently knowledgeable. 622

6.1.3 Determination of cCompliance obligations 623

The organization shall implement and maintain a procedure 624

to identify and have access to the compliance obligations related to its environmental aspects, and 625 the relevant requirements of its interested parties, and 626

to determine how these compliance obligations apply to the organization. 627

The organization shall retain up to datemaintain documented information of its compliance obligations. 628

NOTE Compliance obligations can have the potential to result in risk associated with either adverse impacts 629 (threats) or beneficial impacts (opportunities) to the organization. 630

6.1.4 Determining significant environmental aspects and organizational risksRisk associated with 631 threats and opportunities 632

The organization shall determine significant environmental aspects and the organizational risks associated 633 with threats and opportunities that needs to be addressed to: 634

give assurance that the environmental management system can achieve its intended outcome(s), 635 including conforming to compliance obligations; 636

prevent, or reduce, undesired effects, including the potential for external environmental conditions 637 to affect the organization; 638

satisfy its compliance obligations, and 639

achieve continual improvement. 640

In order to achieve this, the organization shall implement and maintain a procedure to establish criteria, and 641 determine its significant environmental aspects and its organizational risks and opportunities. 642

In developing the criteria, the organization shall consider 643

the issues referred to in 4.1 including environmental conditions affecting the organization, 644

the relevant requirements of interested parties referred to in 4.2, 645

the environmental impacts referred to in 6.1.2. 646

NOTE 1 Criteria for determining significant environmental aspects are related to actual or potential impacts caused 647 by the organization to the environment. 648

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NOTE 2 Criteria for determining organizational risks and opportunities are related to potential impacts to the 649 organization caused by environmentally related issues. 650

NOTE 3 The organization may develop and apply the criteria separately or in combination. 651

The organization shall retain up to datemaintain documented information of its 652

procedure(s) for establishing criteria and for determining significant aspects and organizational 653

risks and opportunities, 654

criteria used to determine its significant environmental aspects and organizational risks and 655

opportunities, and 656

significant environmental aspects and organizational risks and opportunitiesthose that need to be 657 addressed. 658

6.1.5 Planning to take action 659

The organization shall plan: 660

a) to take actions to address 661

significant environmental aspects and compliance obligations, and 662

b)a) these organizational risks associated with threats and opportunities (6.1.4), significant environmental 663 aspects (6.1.2) and compliance obligations (6.1.3), and 664

c)b) how to 665

integrate and implement the relevant actions into its environmental management system 666 processes, and 667

evaluate the effectiveness of these actions through the management system. 668

Actions to address significant environmental aspects, compliance obligations and organizational risks and 669 opportunities shall be managed within the environmental management system. This shall include 670 consideration of: 671

environmental objectives and planning to achieve them (6.2.2), 672

operational planning and control (8.1), 673

value chain control (8.2), 674

emergency preparedness and response (8.3), and 675

monitoring and measurement (9.1). 676

NOTE Actions to address significant environmental aspects, compliance obligations and organizational risks and 677 opportunities may be managed through other organizational management systems and business processes. 678

6.2 Environmental objectives and planning to achieve them 679

6.2.1 Environmental objectives 680

The organization shall establish environmental objectives at relevant functions and levels. : 681

When developing those objectives the organization shall: 682

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take taking into account the organization’s significant environmental aspects and applicable 683 requirements its compliance obligations; and 684

considering the risk associated with threats and opportunities; . 685

and 686

When developing these objectives, the organization shall consider its technological options and its financial, 687 operational and business requirements. 688

The environmental objectives shall: 689

a) be consistent with the environmental policy; 690

b) be measurable (if practicable); 691

c) take into account applicable requirements 692

d) be monitored; 693

e) be communicated; and 694

f) be updated as appropriate. 695

The organization shall retain up to date documented information on the environmental objectives. 696

The organization shall define (an) indicator(s) to evaluate and demonstrate the achievement of each 697 environmental objective. 698

6.2.2 Planning actions to achieve environmental objectives 699

When planning how to achieve its environmental objectives, the organization shall determine: 700

what will be done; 701

what resources will be required; 702

who will be responsible; 703

how it will be integrated into the organization’s business processes; 704

when it will be completed; 705

how the results will be evaluated, including defined indicators for monitoring progress toward achievement 706 of measurable environmental objectives (see 9.1.1). 707

708

The organization shall consider how the actions to achieve environmental objectives can be integrated into 709 the organization’s business processes (see 5.3). 710

The organization shall retain up to date documented information on its planning to achieve the 711 environmental objectives. 712

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7 Support 713

7.1 Resources 714

The organization shall determine and provide the resources needed for the establishment, implementation, 715 maintenance and continual improvement of the environmental management system. 716

7.2 Competence 717

The organization shall: 718

determine the necessary competence of person(s) doing work under its control and on it's behalf 719 that affects its environmental performance; 720

ensure that these persons are competent on the basis of appropriate education, training, or 721 experience; 722

where applicable, take actions to acquire the necessary competence, and evaluate the 723 effectiveness of the actions taken; 724

retain appropriate documented information as evidence of competence. 725

NOTE Applicable actions can include, for example, the provision of training to, the mentoring of, or the 726 re-assignment of currently employed persons; or the hiring or contracting of competent persons. 727

7.3 Awareness 728

The organization shall ensure that pPersons doing work under the organization’s control shall be aware of: 729

the environmental policy commitments; 730

the significant environmental aspects and related actual or potential impacts associated with their 731 work; 732

their contribution to the effectiveness of the environmental management system, including the 733 benefits of improved environmental performance; 734

the implications of not conforming with the environmental management system requirements 735 including compliance obligations. 736

7.4 Communication 737

7.4.1 General 738

In addition to the communication required by this International Standard, tThe organization shall determine 739 the process for other internal and external communications relevant to the environmental management 740 system, including: 741

on what it will communicate; 742

when to communicate; 743

with whom to communicate; and 744

how to communicate, including communication methods and tools. 745

When planning its communications process, the organization shall 746

take into account the requirements of relevant interested parties (see 4.2).its compliance 747

obligations 748

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The organization shall ensure the quality of reportedthat environmental information, including its 749

proper presentation based on information generated within the environmental management system 750

after it has undergone analysis and evaluation (see 9.1). Communications shall be transparent, 751

appropriate, credible, clear and reliable communicated is consistent with information generated 752

within the environmental management system, and is reliable. 753

The organization shall respond to relevant communication on its environmental management system. 754

The organization shall retain documented information as evidence of its communications, as appropriate. 755

7.4.2 Internal communication 756

With regard to its environmental management system, including its significant environmental aspects and 757 environmental performance, the organization shall 758

a) communicate among the various levels and functions of the organization, including persons working on 759 behalf of the organizationchanges to the environmental management system, as appropriate, 760

b) consider initiatives by whichensure its communication process enables any person working for, or on 761 behalf of, thedoing work under the organization's control can to contribute to the continual improvement 762 of the environmental management system. 763

c)b) 764

7.4.3 External communication and reporting 765

The organization shall communicate information relevant to the environmental management system 766 externally, including its environmental performance, as determined when planning its by the communication 767 process and as required by its compliance obligations. 768

The organization shall respond to relevant communication on its environmental management system from 769 external interested parties. 770

The organization shall retain documented information as evidence of its external communications. 771

7.5 Documented information 772

7.5.1 General 773

The organization’s environmental management system shall include: 774

a) documented information required by this International Standard; 775

b) documented information determined by the organization as being necessary for the effectiveness of 776 the environmental management system. 777

b) a description of the main elements of the environmental management system and their interaction, including with 778 other business processes. 779

NOTE The extent of documented information for an environmental management system can differ from one 780 organization to another due to: 781

the size of organization and its type of activities, processes, products and services; 782

the complexity of processes and their interactions; 783

the competence of persons 784

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the organization's risks and opportunities. 785

7.5.2 Creating and updating 786

When creating and updating documented information the organization shall ensure appropriate: 787

identification and description (e.g. a title, date, author, or reference number), 788

format (e.g. language, software version, graphics) and media (e.g. paper, electronic), and 789

review and approval for suitability and adequacy. 790

7.5.3 Control of documented information 791

Documented information required by the environmental management system and by this International 792 Standard shall be controlled to ensure: 793

a) it is available and suitable for use, where and when it is needed, ; and 794

b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). 795

For the control of documented information, the organization shall address the following activities, as 796 applicable: 797

distribution, access, retrieval and use; 798

storage and preservation, including preservation of legibility; 799

control of changes (e.g. version control); and 800

retention and disposition. 801

Documented information of external origin determined by the organization to be necessary for the planning 802 and operation of the environmental management system shall be identified, as appropriate, and controlled. 803

NOTE Access can imply a decision regarding the permission to view review the documented 804 information only, or the permission and authority to view and change the documented information, etc. 805

8 Operation 806

8.1 Operational planning and control 807

The organization shall plan, implement and control the processes needed to meet environmental 808 management system requirements, and to implement the actions determined in 6.1 and 6.2, by: 809

establishing criteria for the processes; 810

implementing control of the processes, in accordance with the criteria and to prevent deviations 811 from the environmental policy, environmental objectives, compliance obligations; and; 812

NOTE implementing and maintaining (a) procedure(s) to control situations where its absence could lead to 813 deviation from the environmental policy, environmental objectives, compliance obligations; and 814

815

NOTE Controls can include engineering controls, procedures, documented procedure, etc.. They can be implemented 816 following a hierarchy (e.g. elimination, substitution, administrative) and can be used singly or in combination. 817

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keeping up to date documented information to the extent necessary to have confidence that the 818 processes have been carried out as planned. 819

The organization shall control planned changes and review the consequences of unintended changes, 820 taking action to mitigate any adverse effects, as necessary. 821

The organization shall ensure that, outsourced processes are controlled or influenced. The type and degree 822 of control or influence to be applied to these processes shall be defined within the environmental 823 management system. 824

to meet environmental management system requirements. 825

8.2 Value chain control 826

The organization shall determine how the processes associated with its value chain that are related to its 827 significant environmental aspects and organizational risk associated with threats and opportunities will be 828 controlled or influenced, taking into account life cycle perspective. 829

The type and degree of control or influence to be applied to these processes shall be defined within the 830 environmental management system. 831

Consistent with a life cycle perspective, Thethe organization shall: 832

determine develop and specify environmental requirements for the procurement of goods and 833 services, as appropriate, 834

establish controls to ensure that environmental requirements are considered in the design process 835 for the development, delivery, use and end-of-life treatment of its products and services, as 836 appropriate, 837

communicate relevant environmental requirement(s) to suppliersexternal providers, including 838 contractors, 839

consider its significant environmental aspects and risk associated with threats and opportunities as 840 input in the process of the design, development or change of its products and services, and 841

consider the need to provide information about potential significant environmental impacts during 842 the delivery of the goods or services and during use and end-of-life treatment of the product, as 843 appropriate. 844

845

8.38.2 Emergency preparedness and response 846

The organization shall establish implement and maintain a procedure specifying how it will respond to 847 potential environmental emergency situations and potential accidents [Hold final decision until decided re 848 inclusion of identifying in clause 6; if not in 6, comes back here]. 849

The organization shall plan a process to determine potentialestablish, implement and maintain a procedure 850 specifying how it will respond to potential environmental emergency situations and potential accidents. that 851 can result in (an) impact(s) on the environment. The organization shall implement and maintain (an) 852 emergency preparedness and response plan(s) specifying how it will respond to such situations. 853

The organization shall: 854

a) respond to actual emergency situations and accidents; 855

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b) take action to prevent occurrence and reduce the environmental consequences of environmental 856 emergency situations, appropriate to the magnitude of the emergency or accident and their the 857 potential environmental impact; 858

c) take action to prevent the occurrence of environmental emergency situations and accidents; 859

c)d) periodically test the plan(s)procedure where practicable; and 860

d)e) periodically review and, where necessary, revise the plan(s) procedure, in particular, after the 861 occurrence of accidents, emergency situations or tests. 862

9 Performance evaluation 863

9.1 Monitoring, measurement, analysis and evaluation 864

9.1.1 General 865

The organization shall determine: 866

what needs to be monitored and measured, related to including: 867

the key characteristics of its operations that can have a significant environmental impact 868

the key characteristics necessary to assureits compliance obligations are met; 869

organizational risks associated with threats and opportunities; 870

operational controls (see 8.1) as applicable; 871

value chain controls (see 8.2) as appropriate; and 872

progress towards the organization’s environmental objectives, using the determined 873 indicators (see 6.2.12); 874

the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid 875 results; 876

the criteria against which the organization will evaluate its environmental performance, using 877 appropriate indicators; 878

when the monitoring and measuring shall be performed; and 879

when the results from monitoring and measurement shall be analysed and evaluated. 880

The organization shall ensure that calibrated or verified monitoring and measurement equipment is used 881 and maintained as appropriate. 882

The organization shall retain appropriate documented information as evidence of the results. 883

The organization shall evaluate the environmental performance and provide input to the management 884 review (see 9.3) for the evaluation of the effectiveness of the environmental management system. 885

The organization shall retain appropriate documented information as evidence of the results of monitoring, 886 measurement, analysis and evaluation of the results. 887

The organization shall communicate information relevant to its environmental performance both internally 888 and externally, as determined by its communication process and as required by its compliance obligations. 889

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9.1.2 Evaluation of compliance 890

The organization [shall implement and maintain/plan] a procedure process to evaluate conformity with its 891 compliance obligations. 892

Consistent with its commitment to compliance, tThe organization shall 893

determine the frequency that compliance will be evaluated, 894

evaluate compliance and take action if needed, and 895

maintain knowledge and understanding of its status of conforming with compliance 896 statusobligations. 897

The organization shall retain documented information as evidenceof the result of its compliance 898 evaluation(s) results. 899

900

9.2 Internal audit 901

9.2.1 The organization shall conduct internal audits at planned intervals to provide information on 902 whether the environmental management system: 903

a) conforms to 904

the organization’s own requirements for its environmental management system, and 905

the requirements of this International Standard, 906

b) is effectively implemented and maintained. 907

9.2.2 The organization shall: 908

a) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, 909 responsibilities, planning requirements and reporting, which shall take into consideration the 910 environmental importance of the processes concerned, risks and opportunities and the results of 911 previous audits; 912

b) define the audit criteria and scope for each audit; 913

c) select auditors and conduct audits in such a way as to ensure objectivity and the impartiality of the 914 audit process; 915

d) ensure that the results of the audits are reported to relevant management; 916

e) take action when necessary to address audit results; and 917

f)e) retain documented information as evidence of the implementation of the audit programme and the 918 audit results. 919

9.3 Management review 920

Top management shall review the organization's environmental management system, at planned intervals, 921 to ensure its continuing suitability, adequacy and effectiveness. 922

The management review shall include consideration of: 923

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a) the status of actions from previous management reviews; 924

b) changes in external and internal issues that are relevant to the environmental management system 925 including (see 4.1), 926

c) its changes in compliance obligations, 927

c)d) changes in its significant environmental aspects and risks and opportunities, 928

the needs and expectations of interested parties, 929

its business strategy, and 930

its significant environmental aspects and risks and opportunities, 931

e) the extent to which objectives have been met, 932

b)f) information on the organization’s environmental performance, including trends in: 933

nonconformities and corrective actions; 934

monitoring and measurement results; 935

the extent to which objectives have been met 936

fulfilment of its compliance obligations; 937

audit results; and 938

communication(s) from external interested parties, including complaints 939

c)g) communication(s) from external interested parties; 940

h) opportunities for continual improvement 941

d)i) the adequacy of resources required for maintaining an effective environmental management system. 942

The outputs of the management review shall include: 943

a) conclusions on the continuing suitability, adequacy and effectiveness of the environmental 944 management system; 945

b) subsequent decisions related to identified continual improvement opportunities; and 946

c) any need for changes to the environmental management system, and including the environmental 947 policy and objectives resource needs; 948

d) actions if needed, when objectives have not been met 949

d)e) any implications for the strategic direction of the organization. 950

The organization shall retain documented information as evidence of the results of management reviews. 951

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10 Improvement 952

10.1 Nonconformity and corrective action 953

The organization shall implement and maintain a procedure for dealing with nonconformities and taking 954 corrective action. 955

When a nonconformity occurs, the organization shall: 956

a) react to the nonconformity and, as applicable 957

take immediate action to control and correct it; 958

mitigate adverse environmental impacts; and 959

deal with the consequences, including the mitigation of adverse environmental impact 960

b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur 961 or occur elsewhere, by: 962

reviewing the nonconformity; 963

determining the causes of the nonconformity; 964

determining if similar nonconformities exist, or could potentially occur; 965

c) determine and implement any corrective action needed; 966

d) review the effectiveness of any corrective action taken; 967

e) make changes to the environmental management system, if necessary. 968

Corrective actions shall be appropriate to the significance magnitude of the effects of the nonconformities 969 encountered, including impacts on the environment. 970

The organization shall retain documented information as evidence of: 971

the nature of the nonconformities and any subsequent actions taken; and 972

the results of any corrective action taken, including its effectiveness. 973

10.2 Continual improvement 974

The organization shall continually improve its environmental performance by improving the suitability, 975 adequacy and effectiveness of the environmental management system to enhance environmental 976 performance. 977

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Annex A 978

(informative) 979

980

Guidance on the use of this International Standard 981

A.1 General 982

This International Standard outlines the requirements of a robust, credible and reliable environmental 983 management system. The additional text given in this Annex is strictly informative and is intended to 984 prevent misinterpretation of the requirements contained in this International Standard. While this 985 information addresses and is consistent with these requirements, it is not intended to add to, subtract from, 986 or in any way modify them. 987

A.2 A.1 Scope 988

This edition of ISO 14001 does not contain explanatory information on Clause 1 989

A.2 Normative References 990

Since there are no normative references, this edition of ISO 14001 does not contain explanatory 991 information on Clause 2. 992

A.3 A.3 Terms and definitions 993

The terms that are defined in Clause 3 have a specialized technical meaning and are normative for use in 994 this International Standard. This sub-clause provides further explanation of certain terms and some of the 995 words that are commonly used in management system standards, to help the user understand their 996 implications and to help in translations. 997

Plan — detailed formulation of a programme to achieve an objective. 998

Programme — planned series of steps, projects or activities to be carried out. 999

Design — working out the form, fit or function of something. 1000

Purpose — anticipated (intended or expected) outcome that guides planned actions. 1001

Determine — establish or find out. 1002

Define — state or describe exactly the nature, scope or meaning of that which is under consideration. 1003

Identify — establish the identity of something. 1004

To avoid misunderstanding, clarifications of selected concepts are provided below. 1005

‘NOTES’ included in the various clauses of this International Standard are informative. 1006

‘Continual’ indicates duration that occurs over a period of time, but with intervals of interruption (unlike 1007 ‘continuous’ which indicates duration without interruption). ‘Continual’ is therefore the appropriate word 1008 to use in the context of improvement. 1009

The word ‘consider’ means it is necessary to think about but can be rejected; and ‘take into account’ 1010 means it is necessary to think about but cannot be rejected. 1011

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The words ‘appropriate’ and ‘applicable’ are not interchangeable. ‘Appropriate’ means suitable (for, to) 1012 and implies some degree of freedom, while ‘applicable’ means relevant or possible to apply and 1013 implies that if it can be done, it should be done. 1014

This International Standard uses the term ‘interested party’, the term ‘stakeholder’ is a synonym as it 1015 represents the same concept. 1016

The word ‘ensure’ means the responsibility can be delegated, but not the accountability to make sure 1017 that it is performed. 1018

This edition of this International Standard uses some new terminology. A brief explanation is given below to 1019 aid both new users and those who have used prior editions of this International Standard. 1020

‘Documented information’ replaces the nouns ‘document’ and ‘record’ used in prior editions of this 1021 International Standard. Examples of each are given in A.7.5. To distinguish the intent of the generic 1022 term ‘documented information’, this International Standard now uses the phrase ‘retain documented 1023 information as evidence of....’ to mean records, and ‘shall be available as documented information’ or 1024 ‘retain up to date documented information’ to mean documents, including procedures. 1025

The change from ‘identify’ to ‘determine’ is intended to harmonize with the standardized management 1026 system terminology, not to change the intent of the previous edition of this International Standard. The 1027 term ‘determine’ implies a discovery process that results in knowledge. 1028

The term ‘intended outcome’ means what the organization intends to achieve by implementing its 1029 environmental management system, which is outlined in its environmental policy commitments and 1030 environmental objectives. includes enhancement of environmental performance, satisfying compliance 1031 obligations and fulfilment of environmental objectives. 1032

The phrase ‘compliance obligations’ replaces the phrase ‘legal requirements and other requirements to 1033 which the organization subscribes’ used in prior editions of this International Standard. The change is 1034 considered simpler to understand, and does not change the intent of the previous edition of this 1035 International Standard. 1036

The use of the word ‘any’ implies selection and choice. 1037

A.4 Context of the organization 1038

A.4.1 Understanding the context of the organization 1039

The intent of this clause is to provide a high-level, strategic understanding of the important issues that can 1040 affect, either positively or negatively, the way the organization manages its environmental responsibilities. 1041 Issues are important topics for the organization, problems for debate and discussion or changing 1042 circumstances The issues of interest are those that affect the organization’s ability to achieve the intended 1043 outcomes it sets for its environmental management system, which include meeting its environmental policy 1044 commitments. 1045

Internal and external issues relevant to the organization’s context may include, but are not limited to: 1046

environmental conditions related to climate, air quality, water quality, land use, existing 1047 contamination, natural resource availability, biodiversity, etc., that can either affect the 1048 organization’s mission/purpose, or be affected by its environmental aspects; 1049

the external cultural, social, political, legal, regulatory, financial, technological, economic, natural 1050 and competitive context, whether international, national, regional or local; 1051

the internal characteristics or conditions of the organization, such as its activities, products and 1052 services, strategic direction, culture, capabilities (people, knowledge, processes, systems). 1053

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Internal and external Issues can include conditions, characteristics or changing circumstances that may 1054 affect the environmental management systemfor example relevant to the organizations context may 1055 include, but are not limited to:: 1056

environmental characteristics or conditions related to climate, pollution, air quality, water quality, 1057 land use, existing contamination, natural resource availability, and biodiversity, etc. that can either 1058 affect the organization’s mission/purpose, or be affected by its environmental aspects, and the 1059 effect these conditions may have on the organization’s ability to achieve its objectives, ; 1060

the external cultural, social, political, legal, regulatory, financial, technological, economic, natural 1061 and competitive context, whether international, national, regional or local, 1062

the internal characteristics or conditions of the organization, such as its activities, products and 1063 services, strategic direction, culture, capabilities 1064

organizational governance, information flows and decision-making processes, 1065

organizational policies, objectives, and the strategies that are in place to achieve them, 1066

the capabilities of the organization, understood in terms of resources (e.g. capital, time, (people, 1067 knowledge, processes, systems and technologies) ,the organization's culture, 1068

standards, guidelines and models adopted by the organization, 1069

the life cycle of the organization’s products and services. 1070

1071

The process used to develop theAn understanding of an organization´s context should results in knowledge 1072 that can then beis used by the organization to guide its efforts to plan, implement and operate maintain its 1073 environmental management system (4.4). The internal and external issues that give rise to risk associated 1074 with threats and opportunities to the organization or the environmental management system (6.1.4) need to 1075 be addressed (6.1.5) and managed (see 6.2, 8.1, 8.2, 8.3 and 9.1). 1076

This organization may document process and its output may be documented if desiredits knowledge of the 1077 organization's context as appropriate. 1078

1079

A.4.2 Understanding the needs and expectations of interested parties [Changes shown are 1080

vs. Padova interim draft] 1081

An organization is expected to gain a general (i.e., high-level, not detailed) understanding of the expressed 1082 needs and expectations of those internal and external interested parties that have been determined to be 1083 relevant so that the knowledge gained can be considered when determining its compliance 1084 obligationsestablishing its environmental management system. A more detailed-level analysis of the 1085 requirements which the organization has to or chooses to comply with is performed in 6.1.3. The 1086 organization may document this knowledge as appropriate. 1087

NEED TO REVISE SENTENCE (OLD #962-963) CLARIFYING ORG OBLIGED TO CONSIDER 1088 INTERESTED PARTIES THAT ‘PERCEIVE TO BE AFFECTED’ WHEN THEY ARE STATED, 1089 GENERALLY IMPLIED OR OBLIGATORY…NO FURTHER DUE DILIGENCE IMPLIED. 1090

CONSIDER THE NEED TO INCLUDE THE REFERENCE TO INTERNAL/EXTERNAL INTERESTED 1091 PARTIES ORIGINALLY IN A4.1 (LINES 967 945 & 974952 of CD2) 1092

ISO/DIS 14001


There are different types of requirements related to the needs and expectations expressed by relevant 1093 interested parties. Interested party requirements are not necessarily requirements of the organization. 1094 Some interested party requirements reflect needs and expectations that are mandatory because they have 1095 been incorporated into laws, regulations, permits and licenses by governmental or even court decision. 1096 Others the organization may decide to voluntarily agree to or adopt, (i.ee.g., entering into a contractual 1097 relationship, or subscribe subscribing to a voluntary initiative). Once the organization adopts them, then 1098 they become organizational requirements, i.e. compliance obligations, and are taken into account when 1099 planning for the environmental management system (see 6.1.34.4). A more detailed-level analysis of its 1100 compliance obligations is performed in 6.1.3. 1101

The organization may document thisits knowledge of relevant interested party requirements, as 1102 appropriate. 1103

1104

A.4.3 Scope of the environmental management system [Changes shown are vs. Padova 1105

interim draft] 1106

The scope of the environmental management system is intended to clarify the spatial and organizational 1107 boundaries to which the environmental management system will apply, especially if the organization is a 1108 part of a larger organization at a given location. An organization has the freedom and flexibility to define its 1109 boundaries. It may choose to implement this International Standard with respect to the entire organization, 1110 or to (a) specific part(s) of the organization, as long as the top management of that part of the organization 1111 has authority for establishing an environmental management system. 1112

In setting the scope, the credibility of the environmental management system will depend upon the choice 1113 of organizational boundaries. The organization considers the degree of control or influence that it can exert 1114 over activities, products and services using a life cycle perspective. Scoping should not be used to exclude 1115 activities, products, services, or facilities that have, or can have significant environmental aspects or evade 1116 its compliance obligations. It The scope should be factual and representative of the organization’s 1117 operations included within its environmental management system boundaries so that it does not mislead 1118 interested parties. 1119

The organization considers the degree of control or influence that it can exert over activities, products and 1120 services using a life cycle perspective, including the degree of control or influence it has over outsourced 1121 processes carried out by suppliers and contractors. [defer to Task Group clause 8] 1122

Once the organization asserts it conforms to ISO 14001, the scope is made available to interested parties. 1123

A.4.4 Environmental management system [Changes shown are vs. Padova interim draft] 1124

The organization retains authority, accountability, and autonomy, to decide how it will fulfil the requirements 1125 of this International Standard, including the level of detail and extent to which it will 1126

-integrate environmental management system requirements into its various business functions, such as 1127 design & development, procurement, human resources, sales and marketing, etc. 1128

- incorporate issues associated with its context (4.1) and interested party requirements (4.2) within its 1129 environmental management system. 1130

An organization has the flexibility to use other select methods, singly or in combination, to make sure a 1131 process is effective in achieving the desired results, such as: 1132

designing a process can be designed in such a way that the output is guaranteed (e.g. mistake 1133 proofing), 1134

using competent personnel can to assure desired results, 1135

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performing the process can be performed in a specified way (i.e. procedure), 1136

monitoring or measuring the process can be monitored/measured to check the results, 1137

a technical specification can be used to define performance-based requirements, or 1138

others, as appropriate. [consider to A.6 or A.8 or ISO 14004?]– A.6.1.5] 1139

If this International Standard is implemented for a specific part(s), of an organization, policies and 1140 procedures developed by other parts of the organization can be used to meet the requirements of this 1141 International Standard, provided that they are applicable to the specific part(s) that will be subject to them. 1142

TBD by WG5 as part of general discussion on including text box with list of processes, documented 1143 information, communications etc required by this International Standard? 1144

A.5 Leadership 1145

A.5.1 Leadership and commitment 1146

Commitment, responsiveness,and active support, including providing adequate resources, and feedback 1147 from the organization’s top management are critical for the success of the environmental management 1148 system. and therefore they have specific responsibilities for which they need to be personally involved with 1149 or direct 1150

Clause 5.1 specifies actions in which top management is personally involved with and directs in the 1151 organization..Top management may not perform all of these actions themselves (e.g. they may delegate 1152 responsibility to others), but they are accountable for ensuring that they are performed. 1153

Top management is expected to create a culture and environment that encourages people with leadership 1154 roles (not necessarily formal management positions, e.g. team leaders) to work actively towards 1155 implementing the requirements of the environmental management system and seeking to achieve the 1156 environmental objectives. 1157

A.5.2 Environmental policy 1158

The environmental policy is a set of principles stated as commitments in which top management outlines 1159 the long-term direction of the organization is the driver for implementing and improving an organization’s 1160 environmental management system so that it can maintain and potentially improveto support and 1161 continually improve its environmental performance. consistent with the expectations of top management.it 1162 should therefore reflect the commitment of top management to comply with compliance obligations as 1163 determined in 6.1.3, as well as to the protection of the environment, including prevention of pollution, and 1164 to continual improvement. The environmental policy forms the basis upon whichenables the organization to 1165 sets its objectives and take actions to achieve the intended outcomes of the environmental management 1166 system. 1167

Clause 5.2 specifies three basic commitments for the environmental policy: to protect the environment, to 1168 satisfy the organization’s compliance obligations and to continually improve. These commitments are then 1169 addressed in specific requirements in other clauses to establish, implement, maintain and continually 1170 improve a robust, credible and reliable environmental management system. 1171

By readingIt is important to understand that the requirements in this International Standard need to be 1172 viewed from a systems or holistic perspective. This means that the organization needs to have an 1173 appreciation for as a whole and understanding the relationship between the policy commitments and the 1174 relevant requirements that are specified in other clauses., 1175

While all the commitments are important, some interested parties are especially concerned with the 1176 organization’s commitment to satisfy its compliance obligations, particularly the need for the organization to 1177

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meet applicable legal requirements. In this respect it is important to acknowledge that this International 1178 Standard specifies a number of interconnected requirements related to this commitment. This includes the 1179 need to identify compliance obligations, to ensure operations are carried out in accordance with these 1180 compliance obligations and to evaluate conformity with the compliance obligations. 1181

The organization’s reputation and the credibility of its environmental management system are dependent on 1182 its success in meeting and when possible, exceeding all of its policy commitments. 1183

an organization demonstrates its commitment to meet its compliance obligations by 1184

defining an environmental policy that includes a commitment to satisfy its compliance obligations 1185 (see 5.2), 1186

assigning roles with defined responsibilities and authorities for compliance related requirements 1187 (see 5.3), 1188

identifying compliance obligations (see 4.4 and 6.1.3), 1189

establishing environmental objectives that take into account its compliance obligations (see 6.2.1), 1190

planning action to achieve any objectives that relate to its compliance obligations (see 6.2.2), 1191

being properly supported with adequate resources to meet the compliance-related requirements 1192 (see 7.1), 1193

making persons working for or on behalf of the organization aware of the compliance-related 1194 processes developed pursuant to 8.1 that are related to their work (see 7.3), and ensuring persons 1195 whose work can affect environmental performance are competent. To the extent that such work 1196 also involves compliance obligations, the competency of such persons must include the capability 1197 to meet those requirements, 1198

maintaining sufficient documented information to demonstrate achievement of compliance-related 1199 requirements (see 7.5), 1200

knowing its compliance status by monitoring, measuring, analysing (see 9.1) and periodically 1201 evaluating compliance (see 9.1.2), 1202

periodically conducting internal audits, which necessarily include those elements of the 1203 environmental management system that are compliance-related (see 9.2), 1204

dealing with compliance-related nonconformities and taking corrective action (see 10.1) and 1205 correcting detected non-compliance with compliance obligations (see 9.1.2), 1206

top management reviewing the adequacy, suitability and effectiveness of the environmental 1207 management system (see 9.3). 1208

Taken together, these requirements mean that an organization implementing this International Standard 1209 needs to systematically identify and manage its compliance obligations in line with the commitment by 1210 including the components listed above within its environmental management system. 1211

A.5.3 Organizational roles, responsibilities and authorities 1212

Person(s) assigned these roles by top management should be competent and have sufficient access to top 1213 management in order to ensure the participation of top management in case of critical situations related to 1214 the implementation, maintenance and improvement of the environmental management system. authority 1215 and resources in order to keep management informed of the status and performance of the environmental 1216

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management system and whether the environmental management system conforms with the requirements 1217 of this International Standard. 1218

The role of and authority for reporting on the performance of the environmental management system is 1219 often assigned to (a) management representative(s). 1220

Such roles can be assigned to an individual, sometimes referred to as the ‘management representative’, 1221 shared by several individuals, or assigned to a member of the management team. 1222

A.6 Planning 1223

A.6.1 Actions to address risks and opportunities 1224

A.6.1.1 General [Draft text not reviewed by WG5] – move to A.6.1.4 or stay here 1225

The context of the organization (see 4.1 and 4.2) provides an overarching framework for evaluating the risk 1226 associated with threats and opportunities in 6.1. It provides a basis for: 1227

identifying environmental aspects and for establishing criteria for determining those that may be 1228 significant, 1229

identifying compliance obligations and understanding how they apply to the organization’s 1230 activities, products and services, and 1231

establishing criteria for evaluating risk associated with threats and opportunities. 1232

Issues identified in considering the organization’s context, its significant environmental aspects and/or its 1233 compliance obligations and their associated threats and opportunities are to be taken into account in 1234 establishing, implementing and maintaining the organization's environmental management system. 1235

A.6.1.2 Significant environmental aspects [Review of text not completed] (Stefan, Graciela) [Changes 1236 shown are vs. Padova interim draft] 1237

[NB to reorder para to reflect order of concepts in clause 6.1.2; add text describing step about how to 1238 determine significance environmental aspects; describe relationship of Significant environmental impact to 1239 SEA; Explain something about the note re relationship of aspects/impacts to R+O] - add positive aspects, 1240 reorder, other none environmental issues, 1241

evaluation on the significance of aspects should be done in a consistent and scientifically based manner. 1242

Changes to the environment, either adverse or beneficial, that result wholly or partially from environmental 1243 aspects are called environmental impacts. The environmental impact may occur at local, regional and 1244 global scales, while they may also be direct, indirect or cumulative by nature. Sub-clause 6.1.2 sets out the 1245 process(es) an organization should use to identify its environmental aspects. The relationship between 1246 environmental aspects and environmental impacts is one of cause and effect. 1247

Organizations do not have to consider each product, component or raw material individually, and may 1248 select categories of activities, products and services to identify and evaluate their environmental aspects, 1249 when they have similar environmental impactscan be managed in a common way. 1250

There is no single approach for identifying environmental aspects. Factors often considered in determining 1251 whether an element of an activity, product or service can interact, in a positive or negative way, with the 1252 environment include 1253

a) emissions to air, 1254

b) releases to water, 1255

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c) releases to land, 1256

d) use of raw materials and natural resources, 1257

e) use of energy, 1258

f)e) energy emitted, e.g. heat, radiation, vibration (noise) and light, and 1259

f) generation of waste and/or by-products 1260

g) reuse, refurbishing, recycling and 1261

g)h) development of products and services with reduced negative environmental impact. 1262

In addition to the environmental aspects an organization can control directly, an organization needs to 1263 determine whether there are environmental aspects that it can influence. These can be related to goods 1264 and services used by the organization which are provided by others, as well as products and services that it 1265 provides to others outside the organization, including those associated with outsourced processes. 1266 However, in all circumstances it is the organization that determines the degree of control it is able to 1267 exercise, the environmental aspects it can influence, and the extent to which it chooses to exercise any 1268 such influence. 1269

Consideration should be given to environmental aspects related to the organization's activities, such as 1270

product, process and facility design and development, 1271

manufacturing processes, 1272

product packaging and transportation, and 1273

operation and maintenance of facilities, organizational assets and infrastructure. 1274

Consideration should also be given to environmental aspects related to products, by-products and services, 1275 such as 1276

environmental performance and practices of contractors and suppliers, 1277

waste generation, management and disposal, 1278

use of raw materials and natural resources, and 1279

distribution, use and end-of-life of products. 1280

With respect to products and services the organization provides and renders to others, organizations may 1281 have limited influence on the use and final disposal of their products once they leave their control. 1282 Organizations should consider, where practicable, a life cycle perspective in identifying the environmental 1283 aspects of its products and services. 1284

[NOTE TO EDITING GROUP: THE FOLLOWING TEXT WAS MODIFIED AND MOVED FROM A8.2 para 1 1285 & 4 TO A6.1.2. Consider further consolidation and elimination of duplication with A6.1.2, para 4 & 7, and 1286 determine placement of text in 6.1.2 to improve flow. 1287

1288

Significant environmental aspects and risk associated with threats and opportunities should be determined 1289 considering each stage of the product life cycle. The typical stages of a product life cycle include material 1290 acquisition, design, production, use and end-of-life treatment. Different stages may also include an element 1291 of transportation. The life cycle stages that are applicable will vary depending on the activity, product or 1292 service. The requirement to consider a life cycle perspective does not imply a requirement for the 1293

ISO/DIS 14001


organization to perform a life cycle assessment of a product or service; a simple consideration of the life 1294 cycle stages which can be controlled or influenced by the organization is intended. The organization may 1295 determine these significant environmental aspects and the risk associated with threats and opportunities 1296 associated with the life cycle stages directly or seek this information from the supplier of the products and 1297 services. 1298

1299

A.6.1.3 Determination of cCompliance obligations [Changes shown are vs. Padova interim draft] 1300

The organization needs to determine, at a detailed level, the compliance obligations it identified in 4.2 that 1301 are applicable to its environmental aspects and how they apply to the organization. Compliance obligations 1302 include legal and other mandatory obligations that the organization is required to comply with, and those 1303 obligations which the organization has discretion over whether or not to adopt. 1304

Legal obligations are mandatory requirements issued by governmental entities or other relevant authorities. 1305 These may include: 1306

a. law and regulations; 1307

b. permits, licenses or other forms of authorization; 1308

c. orders, rules or guidance issued by regulatory agencies; 1309

d. judgments of courts or administrative tribunals; and 1310

e. treaties, conventions and protocols. 1311

Compliance obligations also include other interested party requirements related to its environmental 1312 aspects, which the organization chooses to adopt. These may include, if applicable 1313

agreements with community groups or non‐governmental organizations; 1314

agreements with public authorities and customers; 1315

organizational requirements; 1316

voluntary principles or codes of practice; 1317

voluntary labelling or environmental commitments; 1318

obligations arising under contractual arrangements with the organization; and 1319

relevant organizational and industry standards. 1320

The primary difference between a legal requirement and a voluntary obligation is that the organization 1321 chooses to adhere to its voluntary obligations. However, in many cases, once that choice is made, 1322 adherence is mandatory, particularly where legally binding agreements are made. 1323

A.6.1.4 Priorities for planning actionRisk associated with threats and opportunities [new text from 1324 A.6.1.4 drafting group] 1325

An organization’s risks, associated with threats and opportunities may be related to one or more of its 1326 significant environmental aspects, compliance obligations or other issues such as those created by external 1327 environmental conditions or by any internal circumstances. The organization determines which of these 1328 risks, associated with threats or opportunities can affect its ability to achieve the intended outcome of its 1329 environmental management system, prevent or reduce undesired effects or achieve continual improvement 1330

ISO/DIS 14001


and therefore need to be addressed. The organization selects the method by which the risk, associated 1331 with threats and opportunities are determined and it may involve a very simple qualitative process or a full 1332 quantitative assessment depending on the context in which it operates (e.g., size of the organization, 1333 technological sector, maturity level of the environmental management system). An organization can 1334 determine these risks separately or in combination, and can integrate its approach with the analyses in 1335 previous subclauses (6.1.2 and 6.1.3). 1336

The results of this determination are the input for planning actions (6.1.5) and for establishing the 1337 environmental objectives (6.2). 1338

It is up to the organization to determine the nature and level of detail of the documented information it 1339 develops related to the determination of its risks. 1340

A.6.1.5 Planning to take action [new text from A.6.1.4 drafting group, Editing group to confirm 1341 deletion of text highlighted blue] 1342

Some of these threats and opportunities, including those created by other issues affecting the 1343 organization’s ability to achieve the intended outcomes of the environmental management system, can also 1344 be important inputs for other parts of the management system, such as support (clause 7), operation 1345 (clause 8), performance evaluation (clause 9) and improvement (clause 10). 1346

The organization is expected to plan 1347

the actions it intends to take to address its significant environmental aspects and organizational 1348 risks and opportunities, 1349

how these actions will be integrated into its environmental management system processes, and 1350

how the effectiveness of the actions will be evaluated. 1351

The planning may address the actions through a single or combination of pathways within the 1352 environmental management system, including, e.g. setting objectives, operational planning and control, 1353 value chain control, emergency preparedness or monitoring and measurement. 1354

Some actions may be addressed through other business processes such as safety and health and/or 1355 business continuity management systems or other processes related to risk, financial or human resource 1356 management. 1357

The effectiveness of the actions taken may be measured through the environmental management system 1358 or through other management processes. 1359

A.6.2 Environmental objectives and planning to achieve them 1360

A.6.2.1 Environmental objectives 1361

Environmental objectives may be set at the strategic level, i.e. at the highest levels of the organization by 1362 top management and applicable to the whole organization, or at the operational level, i.e. established for 1363 specific units or functions within the organization and compatible with the strategic objectives, or both. 1364

Environmental objectives may be established by top management at the strategic level or the operational 1365 level. The strategic level includes the highest levels of the organization and the objectives are applicable to 1366 the whole organization. The operational level includes objectives for specific units or functions within the 1367 organization and should be compatible with the strategic objectives. The concept of “target” used in prior 1368 editions of this International Standard is captured within the definition of “environmental objective”.” 1369

Environmental objectives can include both short and long-term goals and should be updated, as 1370 appropriate. The concept of targets is included within objectives. 1371

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The objectives established should be specific and measurable, wherever practicable. By including the 1372 caveat ‘where practicable’, it is acknowledged that there may be situations when it may not be feasible to 1373 measure an objective. 1374

In setting its environmental objectives, the organization needs to take into account 1375

its significant environmental aspects, and 1376

its compliance obligations, 1377

and may also consider 1378

internal issues such as the organization’s improvement priorities, resources, operations and 1379 business requirements, 1380

external issues such as environmental conditions, social and cultural circumstances, and 1381 technological options, or 1382

relationships with and requirements of internal and external interested parties. 1383

While the requirement to take into account significant environmental aspects does not mean that an 1384 objective has to be established for each significant aspect, it should be clear that significant aspects have a 1385 high priority when developing objectives. 1386

‘Consistent with the environmental policy’ means that the environmental objectives need to be broadly 1387 aligned and harmonised with the environmental policy commitments made by top management. 1388

Indicators are selected to measure the achievement of measurable objectives. By including the caveat 1389 ‘where practicable’, it is acknowledged that there may be situations when it may not be feasible to measure 1390 an objective. The organization should consider indicators related to the elements of its environmental 1391 management system. In addition the organization can consider indicators that provide information about the 1392 condition of the environment that may be impacted by the organization (environmental condition indicators, 1393 or ECIs). 1394

More guidance on setting environmental indicators can be found in ISO 14031. 1395

A.6.2.2 Planning to achieve objectives 1396

Planning can help ensure that progress in achieving the established environmental objectives is monitored, 1397 and the status updated and reported as appropriate. Organizations may decide to incorporate 1398 environmental objectives into broader business improvement programmes. 1399

Planning should include information concerning what will be done to achieve the organization's 1400 environmental objectives, including timeframes for when tasks will be completed, necessary resources, 1401 responsibilities for achieving results and how the results will be evaluated and progress will be monitored. 1402

Planning to achieve objectives may be subdivided to address specific elements of the organization's 1403 activities, products and services. 1404

A.7 Support 1405

A.7.1 Resources 1406

Resources include human resources, natural resources, infrastructure, technology, and financial resources. 1407

Human resources include specialized skills and knowledge. Infrastructure includes the organization’s 1408 buildings, containment systems, pumps, etc. 1409

ISO/DIS 14001


A.7.2 Competence [- add clarification re:recommendation 51/2014] 1410

This sub-clause applies to any person: 1411

whose work has the potential to cause a significant environmental impact, 1412

whose responsibilities include emergency response, 1413

those whom are assigned responsibilities for the environmental management system, including 1414 those who identify and evaluate environmental impacts and compliance obligations, those 1415 performing internal audits and those who contribute to the achievement of an environmental 1416 objective, 1417

those that otherwise affect environmental performance. 1418

A.7.3 Awareness 1419

Ensuring that persons doing work under the organization’s control are actively involved is critical to the 1420 success of the environmental management system. In particular, the participation of the organization’s 1421 employees and the level of information provided to them are key factors to the achievement of continual 1422 improvement of both the environmental management system and environmental performance. Participation 1423 by personnel can be expected to positively influence the behaviours that are required to achieve this 1424 continual improvement. 1425

Awareness of the environmental policy should not be taken to mean that the commitments need to be 1426 memorized or that persons doing work under the organization’s control have a copy of the actual, 1427 documented environmental policy; rather, they should be aware of its existence, the purpose and their role 1428 in achieving the commitments. 1429

A.7.4 Communication 1430

A.7.4.1 General [Changes shown are vs. Padova interim draft] 1431

Communication allows the organization to provide and obtain information relevant to its environmental 1432 management system, including its significant environmental aspects, environmental performance and 1433 compliance obligations. The communication process is seen as a two-way process, in and out of the 1434 organization. 1435

The information received by the organization may contain not only requests from interested parties of 1436 specific information related to the management of its environmental aspects, but also general impressions 1437 or views on the way the organization carries out that management. These views can be of both, positive 1438 and negative nature. In the latter case (complaints, for example) it is important a prompt and clear answer 1439 by the organization; a subsequent analysis of these complaints can provide valuable information for 1440 detecting improvements opportunities of the environmental manage system. 1441

The quality of the communication should relate to the intended purpose and context. The characteristics of 1442 the quality of communications include accuracy, reliability and clarity of the information, and transparency 1443 and credibility of the communication. 1444

In determining how it will communicate, the organization should consider 1445

methods, including verbal or written, 1446

tools including internet, letter, video or report 1447

who communicates. 1448

ISO/DIS 14001


Communication should meet the following criteria 1449

transparent so the organization is open to the way it derived what it has reported on, 1450

appropriate so that information meets relevant interested parties’ needs, enabling them to 1451 participate, 1452

truthful and not misleading those who rely on information reported, 1453

factual, accurate and reliable ,ensured by robust systems and procedures (see 9.1), 1454

complete in its own context and not exclude relevant information, and 1455

clear or understandable to interested parties to minimize ambiguity. 1456

For additional information on communication see ISO 14063. 1457

A.7.4.2 Internal communication 1458

When planning, the internal organizational structure should be considered to ensure the most appropriate 1459 level and functions are communicated with. Communication with each person doing work under its control 1460 may not be needed but a single approach to the whole organization may be adequate to meet the 1461 objectives of its communication. 1462

A.7.4.3 External communication and reporting 1463

This edition of ISO 14001 does not contain explanatory information on 7.4.3. 1464

A.7.5 Documented information 1465

The intent of 7.5 is to ensure that organizations create and maintain documented information in a manner 1466 sufficient to implement the environmental management system. However, the primary focus of 1467 organizations should be on the effective implementation of the environmental management system and on 1468 environmental performance, not on a complex documented information control system. 1469

Documented information originally created for purposes other than the environmental management system, 1470 may be used. The description of the main elements of the environmental management system should be 1471 sufficient to understand how the elements work together, and should provide direction on where to obtain 1472 more detailed information, if any. The documented information for the environmental management system 1473 may be integrated with other information management systems implemented by the organization. It does 1474 not have to be in the form of a manual. 1475

A.8 Operation 1476

A.8.1 Operational planning and control 1477

This part of the environmental management system provides direction on how to take the system 1478 requirements into day-to-day operations. The nature of operations will vary from one sector to another. 1479

The types and degree of operational control depend on the nature of the operationsbusiness processes, the 1480 significant environmental aspects, risk associated with threats and opportunities, and compliance 1481 obligations. An organization has the flexibility to select the type(s) of operational control methods, singly or 1482 in combination, necessary to make sure a process is effective in achieving the desired results. Such 1483 methods may include: 1484

designing a process in such a way to prevent error and ensure consistent results, 1485

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using technology to control processes and prevent adverse results (i.e., engineered controls), 1486

using competent personnel to assure desired results, 1487

performing the process in a specified way (i.e. procedure), 1488

monitoring or measuring the process to check the results, 1489

determining the use and amount of documented information necessary. 1490

Work that is ‘under the organization’s control’ is work that takes place within the scope of the 1491 environmental management system. This may be defined by, for example, a geographic location (a 1492 building, a city, etc.) or an organizational boundary. 1493

The organization decides the extent of control needed within its own business processes (e.g., procurement 1494 process) to control or influence outsourced processes (see explanation below) or suppliers of products and 1495 services, based upon factors such as: 1496

knowledge, competence and resources, including 1497

the competence of the supplier to meet the requirements of the organization’s environmental 1498 management system, and 1499

the technical competence of the organization to define appropriate controls or assess the 1500 adequacy of controls, 1501

the importance and potential impact on the organization's capability to provide products and 1502 services that conform to the intended outcomes of the environmental management system, 1503 including the risk of deviation from its environmental policy, objectives, and compliance 1504 obligations, 1505

the degree to which the control for the process is shared, 1506

the capability of achieving the necessary control through the application of its general procurement 1507 process, and 1508

opportunities available. 1509

It is up to the organization to establish the level of documented information that is needed for operational 1510 planning and control (see 7.5.1, Note). 1511

In the case of work performed via outsourced processes (i.e. where an external organization performs part 1512 of an organization’s function or processas explained below) or supplied products and services, the 1513 organization's ability may have partial or no control over the work performed by the external organization, 1514 therefore, this sub-clause is applicable to the extent the organization has the capability to exert control on 1515 the outsourced processor influence will vary, from direct control to limited or no influence. For example, an 1516 outsourced process performed onsite may be under the direct control of a large organization. Alternatively, 1517 the ability of small and medium size organizations to influence an outsourced process or supplier may be 1518 limited by their relative size. However, if the external organization is performing the work within the 1519 geographic location of the organization, then the organization may be able to exert extensive or even full 1520 control on the outsourced process. 1521

An outsourced process is one which: 1522

the function or process is integral to the organization’s functioning, 1523

the function or process is needed for the management system to achieve its intended outcome, 1524

ISO/DIS 14001


liability for the function or process conforming to requirements is retained by the organization, and 1525

the organization and the external provider have an integral relationship e.g. one where the process 1526 is perceived by interested parties as being carried out by the organization. 1527

Work that is ‘under the organization’s control’ is work that takes place within the scope of the environmental 1528 management system. This may be defined by, for example, a geographic location (a building, a city, etc.) or 1529 an organizational boundary. 1530

In the case of work performed via outsourced processes (i.e. where an external organization performs part 1531 of an organization’s function or process), the organization may have partial or no control over the work 1532 performed by the external organization, therefore, this sub-clause is applicable to the extent the 1533 organization has the capability to exert control on the outsourced process. However, if the external 1534 organization is performing the work within the geographic location of the organization, then the organization 1535 may be able to exert extensive or even full control on the outsourced process. 1536

Organizations seldom fully control the activities of external organizations, in lieu of full control, organizations 1537 can exert some degree of partial control or influence. 1538

In either case, the organization decides the type and extent of control or influence, based upon such factors 1539 as 1540

its knowledge, competence and resources, 1541

the potential impact of the outsourced process on the organization's capability to provide product 1542 that conforms to its compliance obligations, 1543

the degree to which the control for the process is shared, or 1544

the capability of achieving the necessary control through the application of its general procurement 1545 process. 1546

In the particular case of small and medium size organizations, the level of influence they can exert may be 1547 limited by their relative size, compared with the organization to which a process is outsourced. 1548

A.8.2 Value chain control 1549

NOTE TO EDITING GROUP: THIS TEXT WAS MODIFIED AS SHOWN AND MOVED TO A.6.1.2 – will be 1550 deleted from this section] An organization’s determination of its sSignificant environmental aspects and its 1551 risk associated with threats and opportunities should take into account a life cycle perspective duringbe 1552 determined considering each stage of the product developmentlife cycle. The typical stages of a product life 1553 cycle include material acquisition, design, production, use and end-of-life treatment. Different stages may 1554 also include an element of transportation. The life cycle stages that are applicable will vary depending on 1555 the activity, product or service. The requirement to consider a life cycle perspective does not imply a 1556 requirement for the organization to perform a life cycle assessment of a product or service; a simple 1557 consideration of the life cycle stages which can be controlled or influenced by the organization is intended. 1558 This includes those created when its products and services are used or disposed of, and those arising from 1559 any outsourced processes or from the procurement of goods and services within its value chain. The 1560 organization may determine these significant environmental aspects and the risk associated with threats 1561 and opportunities associated with the life cycle stages directly or seek this information from the supplier of 1562 the goods products and services. 1563

The nature of the organization’s control over the purchase of goods and services or outsourced processes 1564 will depend on 1565

its importance, 1566

the risk of deviation from the environmental policy and objectives, 1567

ISO/DIS 14001


opportunities available, 1568

the organization’s control and influence, 1569

the interaction with other environmental management system processes, 1570

the competence of the supplier to meet the requirements of the organization’s environmental 1571 management system, and 1572

the technical competence of the organization to define appropriate controls or assess the 1573 adequacy of the outsource process controls. 1574

When evaluating suppliers of goods and services the organization procures, the organization may base its 1575 decisions partly upon the environmental aspects, environmental impacts and the risk associated with 1576 threats and opportunities associated with the manufacturing of these goods or the provision of these 1577 services, as well as the organization’s compliance obligations. 1578

There is a requirement to consider a life cycle perspective, however, this is not a requirement to perform a 1579 life cycle assessment of a product or service – a simple consideration of the life cycle stages for which the 1580 organization considers itself to be sufficiently knowledgeable is adequate. 1581

A.8.3A.8.2 Emergency preparedness and response 1582

When identifying potential emergency situations special attention must be paid to start-up and shutdown 1583 conditions and reasonably foreseeable emergency conditions that can result from this. [on hold, see 1584 outcome on 6.1.2] 1585

An emergency situation can be considered an undesired event that, if not addressed, could ultimately lead 1586 to adverse consequences to the organization and/or the environment, as determined and prioritized during 1587 the environmental management system planning stage (see 6.1). 1588

A.9 Performance evaluation 1589

A.9.1 Monitoring, measurement, analysis and evaluation 1590

A.9.1.1 General 1591

In order to satisfy the requirements for monitoring and measurement, the organization may develop a plan 1592 to specify what it will monitor and measure, including how and when it will be done. In addition to providing 1593 information on environmental performance as input to top management for review of the effectiveness of 1594 the management system, monitoring and measurement is important in providing the organization with 1595 information concerning its compliance status. 1596

The organization should determine the frequency of monitoring and measurement, to ensure that it has 1597 sufficient information for analysing and evaluating its environmental performance, including its compliance 1598 status. It should also determine how often it evaluates the information, how this is done and how it makes 1599 use of the results. 1600

In order to ensure that its commitments and objectives are achieved, the organization should ensure that 1601

the results of monitoring and measurement are reliable, reproducible and traceable, 1602

the way in which data resulting from monitoring and measurement are aggregated before any 1603 analysis and evaluation takes place, is clearly defined and reproducible, 1604

the findings of analysis and evaluation of environmental performance are reported internally to 1605 those with responsibility and authority to initiate appropriate action, and 1606

ISO/DIS 14001


the information obtained is communicated externally in accordance with compliance obligations. 1607

The organization should also determine how it may evaluate the environmental performance of its products 1608 or organizations in its value chain. 1609

In order to ensure that results are reliable, reproducible and traceable, the organization can implement a 1610 quality assurance process which addresses sampling methods and sample security, integrity of equipment, 1611 the accreditation and reliability of laboratories, the analysis of resultant data and the competence of 1612 persons involved in the process. 1613

A.9.1.2 Evaluation of compliance 1614

The frequency and timing of evaluations of compliance may vary depending on the importance of the 1615 requirement, the probability of variations in performance (e.g. due to varying operation conditions) and the 1616 organization’s past performance, but all compliance obligations need to be evaluated. 1617

An organization can use a variety of methods to maintain its knowledge and understanding of its 1618 compliance status, including 1619

review of documented information, i.e., procedures, documents, records, 1620

facility tour or inspections, 1621

direct observation or interviews, 1622

project or work reviews, 1623

review of sample analysis or test results, and comparison to regulatory limits, 1624

verification sampling/testing 1625

compliance audits, including those conducted by first, second or third parties. 1626

In addition an organization may choose to make contact with governmental authorities to get e.g. 1627 information on its legal obligations and means to demonstrate compliance. 1628

An organization may wish to combine its evaluation of compliance to voluntary obligations with the 1629 evaluation of legal compliance. 1630

In the event that the results indicate a failure to meet a legal requirement, the organization should 1631 determine and implement the actions necessary to achieve compliance. This may require communication 1632 with the regulatory agency and agreement on a course of action to re-establish compliance with legal 1633 requirements. Where such an agreement is in place, this becomes a compliance obligation. and is 1634 demonstrated as being effectively implemented, the environmental management system is considered to 1635 be in conformity. Similarly, it is necessary to take action to address a failure to meet a voluntary obligation. 1636

The organization should ensure that persons responsible for evaluating compliance and determining the 1637 need for follow-up action are competent. This may involve engaging external technical support. 1638

The results of the periodic evaluations are required to be documented. 1639

The outputs and outcomes of this evaluation should be considered in the management review (see 9.3). 1640

A.9.2 Internal audit 1641

The management and conduct of internal audits should abide by the principles of integrity, fair presentation, 1642 due professional care, confidentiality, independence and an evidence-based approach. 1643

ISO/DIS 14001


Auditors should be independent of the activity being audited, wherever practicable, and should in all cases 1644 act in a manner that is free from bias and conflict of interest. 1645

Individuals who are involved in managing the internal audit programme, and planning or conducting internal 1646 audits should demonstrate competence. This should be evaluated through a process that considers 1647 personal behaviour and the ability to apply the knowledge and skills gained through education, work 1648 experience, auditor training and audit experience. 1649

When establishing an internal audit programme, including audit objectives, scope and frequency, an 1650 organization should take into account 1651

the size and nature of the organization being audited, 1652

the complexity and maturity of the management system, 1653

the organization’s environmental aspects and its risks and opportunities, 1654

management priorities and other business considerations, 1655

compliance obligations, 1656

management system requirements, 1657

the results of monitoring and measurement, previous emergency situations, accidents, non-1658 conformities, and the results of previous audits (whether internal or undertaken by external 1659 parties). 1660

Audit findings and the audit conclusion may be described collectively as the audit result. ‘Audit findings’ 1661 consist of the results of the evaluation of the collected audit evidence against audit criteria and the ‘audit 1662 conclusion’ is the outcome of an audit after consideration of the audit objectives and all audit findings, as 1663 defined in ISO 19011. 1664

The results of the internal audit programme should address the performance of the environmental 1665 management system with respect to the achievement of environmental objectives and fulfilment of 1666 compliance obligations. 1667

The extent of the audit programme should be based on the size and nature of the organization, as well as 1668 the complexity and level of maturity of the environmental management system. 1669

When considering the environmental importance of the processes concerned in its audit programme, the 1670 organization should include: 1671

The plans made and actions taken to address the organization‘s significant environmental 1672 aspects, and compliance obligations; 1673

The outputs of its monitoring and measurement processes; 1674

Previous occurrences of accidents or emergency situations that resulted in or could have resulted 1675 in environmental impacts. 1676

When considering the results of previous audits, the organization should include 1677

Previously identified nonconformities and the effectiveness of the actions taken, 1678

Results of internal and external audits. 1679

ISO/DIS 14001


Guidance on establishing an internal audit programme, performing management system audits and 1680 evaluating the competence of audit personnel is given in ISO 19011. 1681

A.9.3 Management review 1682

The management review should be high-level; it does not need to be an exhaustive review of the details. 1683

The management review topics need not to be addressed all at once; it may take place over a period of 1684 time. 1685

It should be noted, that communication(s) from external interested parties include complaints. Therefore, 1686 the information submitted for analysis to top management should include the relevant complaints received 1687 from interested parties, which may provide direct information that will allow top management to identify 1688 opportunities of improvement. 1689

It is important that top management evaluates its own performance against the requirements for leadership 1690 commitments set out in 5.1. 1691

When considering relevant changes to the environmental management system, management should also 1692 consider whether the organization has effective processes for managing change. 1693

The conclusions and decisions made during the management review should be consistent with the strategic 1694

direction of the organization and resources available. 1695

‘Adequacy’ of the environmental management system refers to it being satisfactory for meeting the 1696 requirements of this International Standard and being implemented appropriately. ‘Suitability’ refers to it 1697 being appropriate for the organization, its operations, culture, and business systems. ‘Effectiveness’ refers 1698 to achieving the desired results (see 3.12). 1699

A.10 Improvement 1700

A.10.1 Nonconformity and corrective action 1701

The retained documented information on the results of any corrective action may includes information on 1702 the review of the effectiveness of these actions or monitoring the results. 1703

There is no longer a single clause with specific requirements for ‘preventive action’ because one of the key 1704 purposes of an environmental management system is to act as a preventive tool. This concept is now 1705 captured in clause 4.1 (i.e., determining external and internal issues) and 6.1 (i.e., determining risk 1706 associated with threats and opportunities). In combination, these two sets of requirements are considered 1707 to cover the concept of preventive action. 1708

The previous edition of this International Standard made reference to ‘preventive action’ as action taken to 1709 prevent the occurrence of an identified potential non conformity. In this edition, the concept of preventive 1710 action is embedded in different clauses of this International Standard including 1711

in 6.1, the risks analysis and assessment is, in itself, a way of identifying the need for preventive 1712 actions, and the actions planned to address those identified risks can be seen as the actions taken 1713 to prevent the occurrence of undesired environmental impacts, 1714

in 8.3, the identification of potential emergency situations and associated responses can be seen 1715 as actions taken to prevent them from occurring, 1716

in 9.1, the analysis of the results of monitoring and measurement can provide information on 1717 trends that could trigger the need for action to prevent the occurrence of a nonconformity, and 1718

ISO/DIS 14001


in 10.1, the evaluation of actions to be taken when a nonconformity occurs, include the need to 1719 determine if similar non conformities could occur elsewhere. 1720

1721

A.10.2 Continual improvement 1722

System improvement involves making changes to the design and implementation of the management 1723 system in order to improve the organization’s ability to achieve conformity with the requirements of this 1724 International Standard and meet its environmental objectives and environmental policy commitments. 1725 Although there may be value in improving the system elements alone, the intended outcome of planned 1726 actions and other system changes is an improvement in the environmental performance of the organization. 1727

The rate, extent and timescale of actions that support continual improvement are determined by the 1728 organization. in light of its context, economic factors, and other circumstances. Environmental performance 1729 improvement involves taking action related to the management of the organization’s environmental aspects 1730 towards reducing adverse impacts or increasing beneficial impacts. Environmental performance 1731 improvements means improvement (i.e. reduction of negative impacts or enhancement of positive impacts) 1732 in any of the environmental impacts associated with the organizations activities, products or services. 1733

Several elements of the environmental management system, as described in this International Standard, 1734 are designed to assist the organization in achieving continual improvement of its environmental 1735 performance. A coordinated implementation of these elements may help to develop a robust way to achieve 1736 this improvement, including 1737

analysing the external and internal context (see 4.1), 1738

determining the needs and expectations of interested parties (see 4.2), 1739

taking preventive actions to address risks and opportunities (see 6.1), 1740

taking into account complaints and opinions of the interested parties (see 7.4), 1741

establishing environmental objectives (see 6.2), 1742

implementing operational controls (see 8.1), taking into consideration new technologies, methods or 1743 information available, 1744

monitoring, measuring analyzing and evaluating performance (see 9.1), 1745

conducting internal audits (see 9.2), 1746

conducting management reviews (see 9.3), and 1747

reacting to (a) nonconformity(ies) and implementing (a) corrective action(s) (see 10.1). 1748

Although there may be value in improving the system elements alone, the intended outcome of planned 1749 actions and other system changes is an improvement in the environmental performance of the organization. 1750

1751

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Annex B 1752

(informative) 1753

1754

Correspondence between ISO 14001:201X and ISO 14001:2004 1755

Table B.1 shows the correspondence between ISO 14001:201X and ISO 14001:2004. 1756

Table B.2 shows the correspondence between ISO 14001:2004 and ISO 14001:201X. 1757

Table B.1 — Correspondence between ISO 14001:201X and ISO 14001:2004 1758

ISO 14001:201X ISO 14001:2004

Context of the organization (title only) 4

Understanding the organization and its context

4.1

Understanding the needs and expectations of interested parties

4.2

Determining the scope of the environmental management system

4.3

4.1 General requirements

Environmental management system 4.4 4.1 General requirements

Leadership (title only) 5

Leadership and commitment 5.1 4.4.1 Resources, roles, responsibility and authority

Environmental policy 5.2 4.2 Environmental policy

Organizational roles, responsibilities and authorities

5.3 4.4.1 Resources, roles, responsibility and authority

Planning (title only) 6 4.3 Planning (title only)

Actions to address risks and opportunities (title only)

6.1

General 6.1.1

Significant environmental aspects 6.1.2 4.3.1 Environmental aspects

Compliance obligations 6.1.3 4.3.2 Legal and other requirements

Priorities for planning 6.1.4 4.3.1 Environmental aspects

Planning to take action 6.1.5 4.5.3 Nonconformity, corrective action and preventive action

Environmental objectives and planning to achieve them (title only)

6.2 4.3.3 Objectives, targets and programme(s)

Environmental objectives 6.2.1 4.3.3 Objectives, targets and programme(s)

Planning to achieve objectives 6.2.2 4.3.3 Objectives, targets and programme(s)

Support (title only) 7 4.4 Implementation and operation (title only)

Resources 7.1 4.4.1 Resources, roles, responsibility and authority

Competence 7.2 4.4.2 Competence, training and awareness

Awareness 7.3 4.4.2 Competence, training and awareness

Communication (title only) 7.4 4.4.3 Communication

General 7.4.1 4.4.3 Communication

Internal communication 7.4.2 4.4.3 Communication

External communication and reporting

7.4.3 4.4.3 Communication

Documented information (title only) 7.5 4.4.4 Documentation

ISO/DIS 14001


General 7.5.1 4.4.4 Documentation

1759

Table B.1 (continued) 1760

ISO 14001:201X ISO 14001:2004

Creating and updating 7.5.2 4.4.5 Control of documentation

4.5.4 Control of records

Control of documented information 7.5.3 4.4.5 Control of documentation

4.5.4 Control of records

Operation (title only) 8 4.4 Implementation and operation (title only)

Operational planning and control 8.1 4.4.6 Operational control

Value chain control 8.2 4.4.6 Operational control

Emergency preparedness and response

8.3 4.4.7 Emergency preparedness and response

Performance evaluation (title only) 9 4.5 Checking (title only)

Monitoring, measurement, analysis and evaluation (title only)

9.1 4.5.1 Monitoring and measurement

General 9.1.1 4.5.1 Monitoring and measurement

Evaluation of compliance 9.1.2 4.5.2 Evaluation of compliance

Internal audit 9.2 4.5.5 Internal audit

Management review 9.3 4.6 Management review

Improvement (title only) 10

Nonconformity and corrective action 10.1 4.5.3 Nonconformity, corrective action and preventive action

Continual improvement 10.2 4.1 General requirements

1761

Table B.2 — Correspondence between ISO 14001:2004 and ISO 14001:200X 1762

ISO 14001:2004 ISO 14001:201X

4 Context of the organization (title only)

4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of interested parties

Environmental management system requirements (title only)

4

General requirements 4.1 4.3

Determining the scope of the environmental management system

4.4 Environmental management system

10.2 Continual improvement

Environmental policy 4.2 5.2 Environmental policy

Planning (title only) 4.3 6 Planning (title only)

6.1 Actions to address risks and opportunities (title only)

6.1.1 General

Environmental aspects 4.3.1 6.1.2 Significant environmental aspects

6.1.4 Priorities for planning

Legal and other requirements 4.3.2 6.1.3 Compliance obligations

Objectives, targets and programme(s)

4.3.3 6.2 Environmental objectives and planning to achieve them (title only)

6.2.1 Environmental objectives

6.2.2 Planning to achieve objectives

Implementation and operation (title 4.4 7 Support (title only)

ISO/DIS 14001


only) 8 Operation (title only)

5 Leadership (title only)

Table B.2 (continued) 1763

ISO 14001:2004 ISO 14001:201X

Resources, roles, responsibility and authority

4.4.1 7.1 Resources

5.3 Organizational roles, responsibilities and authorities

5.1 Leadership and commitment

Competence, training and awareness

4.4.2 7.2 Competence

7.3 Awareness

Communication 4.4.3 7.4 Communication (title only)

7.4.1 General

7.4.2 Internal communication

7.4.3 External communication and reporting

Documentation 4.4.4 7.5 Documented information (title only)

7.5.1 General

Control of documentation 4.4.5 7.5.2 Creating and updating

7.5.3 Control of documented information

Operational control 4.4.6 8.1 Operational planning and control

8.2 Value chain control

Emergency preparedness and response

4.4.7 8.3 Emergency preparedness and response

Checking (title only) 4.5 9 Performance evaluation (title only)

Monitoring and measurement 4.5.1 9.1 Monitoring, measurement, analysis and evaluation (title only)

9.1.1 General

Evaluation of compliance 4.5.2 9.1.2 Evaluation of compliance

Nonconformity, corrective action and preventive action

4.5.3 10.1 Nonconformity and corrective action

Control of records 4.5.4 7.5.3 Control of documented information

Internal audit 4.5.5 9.2 Internal audit

Management review 4.6 9.3 Management review

10 Improvement (title only)

1764

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Annex C 1765

(informative) – delete from DIS 1766

1767

Relationship between this International Standard and the PDCA model 1768

This International Standard contains requirements that an organization applies to enhance management 1769 control over its interactions with the environment. Where an organization chooses to start its efforts to 1770 improve using the PDCA cycle is determined by the organization. This International Standard does not 1771 prescribe the sequence of activities that an organization follows to implement a robust, credible and reliable 1772 environmental management system to achieve continual improvement. Table C.1 outlines the relationship 1773 between the clauses of this edition of this International Standard and the PDCA model. 1774

Table C.1 — Correspondence between ISO 14001:201X and PDCA model 1775

ISO 14001:201X PDCA

4 Context of the organization PLAN

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 environmental management system

4.4 Environmental management system

5 Leadership

5.1 Leadership and commitment

5.2 Policy

5.3 Organizational roles, responsibilities and authorities

6 Planning

6.1 Actions to address risks and opportunities

6.1.1 General

6.1.2 Significant environmental aspects

6.1.3 Compliance obligations

6.1.4 Priorities for planning

6.1.5 Planning to take action

6.2 Environmental objectives and planning to achieve them

6.2.1 Environmental objectives

6.2.2 Planning to achieve objectives

7 Support DO

7.1 Resources

7.2 Competence

7.3 Awareness

7.4 Communication

7.4.1 General

7.4.2 Internal communication

7.4.3 External communication and reporting

7.5 Documented Information

7.5.1 General

7.5.2 Creating and updating

7.5.3 Control of documented information

8 Operation DO

8.1 Operational planning and control

8.2 Value Chain planning and control

8.3 Emergency preparedness and response

1776

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Table C.1 (continued) 1777

ISO 14001:201X PDCA

9 Performance evaluation CHECK 9.1 Monitoring, measurement, analysis and evaluation

9.1.1 General

9.1.2 Evaluation of compliance

9.2 Internal Audit

9.3 Management review

10 Improvement ACT

10.1 Nonconformity and corrective action

10.2 Continual improvement

ISO/DIS 14001


Bibliography 1778

ISO 14001:2004, Environmental management systems — Requirements with guidance for use 1779

ISO 14001 Cor. 1:2009, Environmental management systems — Requirements with guidance for use, 1780 Technical Corrigendum 1 1781

ISO 14004, Environmental management systems — General guidelines on principles, systems and support 1782 techniques 1783

ISO 14031, Environmental management — Environmental performance evaluation — Guidelines 1784

ISO 14044, Environmental management — Life cycle assessment — Requirements and guidelines 1785

ISO 14045, Environmental management — Eco-efficiency assessment of product systems — Principles, 1786 requirements and guidelines 1787

ISO 19011, Guidelines for auditing management systems 1788

ISO 26000, Guidance on social responsibility 1789

ISO/IEC Guide 73, Risk management. Vocabulary. Guidelines for use in standards 1790

ISO/IEC Directives, Part 1 and Consolidated ISO Supplement — Procedures specific to ISO, 3rd edition, 1791 Annex SL 1792

Documents

DIS 14001_2015.pdf