Draft ISO 14001_2015.pdf

ISO/TC 207/SC 1 N 945

ISO/TC 207/SC 1ISO/TC 207/SC 1 - Environmental management systemsEmail of secretary: [email protected] Secretariat: BSI (United Kingdom)

1n945 ISO CD 14001.1 FOR COMMENT

Document type: Committee draft

Date of document: 2013-03-08

Expected action: COMM

Action due date: 2013-05-09

No. of pages: 51

Background: ISO/CD 14001.1 has been issued for comment via the ISO Committee Internal Balloting system. Theballot will run from 9 March to 9 May 2013. Members should also refer to SC 1 document 1n946 Cover note to ISO CD14001.1. Please could members ensure that they use the most recent commenting template (issuedDecember 2012) and fill in the line reference in column 2.

Committee URL: http://isotc.iso.org/livelink/livelink/open/tc207sc1

mailto:[email protected]

http://isotc.iso.org/livelink/livelink/open/tc207sc1

© ISO 2013 – All rights reserved

Document type: International Standard Document subtype: Document stage: (30) Committee Document language: E D:\Dokumente und Einstellungen\wue\Desktop\ISO_CD_14001.1.docx STD Version 2.5a

ISO/TC 207/SC 1 N 945 Date: 2013-03-8

ISO/CD 14001.1

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

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.

ISO/CD 14001

ii © ISO 2013 – All rights reserved

Copyright notice 1

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© ISO 2013 – All rights reserved iii

Contents Page 14

Foreword ............................................................................................................................................................. v 15

Introduction ........................................................................................................................................................ vi 16

1 Scope ...................................................................................................................................................... 1 17

2 Normative references ............................................................................................................................ 2 18

3 Terms and definitions ........................................................................................................................... 2 19

4 Context of the organization .................................................................................................................. 7 20 4.1 Understanding the organization and its context ................................................................................ 7 21 4.2 Understanding the needs and expectations of interested parties ................................................... 7 22 4.3 Determining the scope of the environmental management system ................................................ 7 23 4.4 Environmental management system ................................................................................................... 8 24

5 Leadership ............................................................................................................................................. 8 25 5.1 Leadership and commitment ............................................................................................................... 8 26 5.2 Policy ...................................................................................................................................................... 9 27 5.3 Organization roles, responsibilities and authorities ......................................................................... 9 28

6 Planning ............................................................................................................................................... 10 29 6.1 Actions to address risks and opportunities ..................................................................................... 10 30 6.1.1 General ................................................................................................................................................. 10 31 6.1.2 Environmental aspects ....................................................................................................................... 10 32 6.1.3 Legal requirements and voluntary obligations ................................................................................ 10 33 6.2 Environmental objectives and planning to achieve them ............................................................... 11 34 6.2.1 Environmental objectives ................................................................................................................... 11 35 6.2.2 Environmental improvement programmes ....................................................................................... 11 36

7 Support ................................................................................................................................................. 11 37 7.1 Resources ............................................................................................................................................ 11 38 7.2 Competence ......................................................................................................................................... 12 39 7.3 Awareness ............................................................................................................................................ 12 40 7.4 Communication ................................................................................................................................... 12 41 7.4.1 General ................................................................................................................................................. 12 42 7.4.2 Internal communication ...................................................................................................................... 12 43 7.4.3 External communication and reporting ............................................................................................ 13 44 7.5 Documented information .................................................................................................................... 13 45 7.5.1 General ................................................................................................................................................. 13 46 7.5.2 Creating and updating ........................................................................................................................ 13 47 7.5.3 Control of documented information .................................................................................................. 14 48

8 Operation .............................................................................................................................................. 14 49 8.1 Operational planning and control ...................................................................................................... 14 50 8.2 Value chain planning and control ...................................................................................................... 14 51 8.3 Emergency preparedness and response .......................................................................................... 15 52

9 Performance evaluation ...................................................................................................................... 16 53 9.1 Monitoring, measurement, analysis and evaluation ........................................................................ 16 54 9.1.1 General ................................................................................................................................................. 16 55 9.1.2 Evaluation of compliance ................................................................................................................... 16 56 9.2 Internal audit ........................................................................................................................................ 17 57 9.3 Management review ............................................................................................................................ 17 58

10 Improvement ........................................................................................................................................ 18 59 10.1 Nonconformity and corrective action................................................................................................ 18 60 10.2 Continual improvement ...................................................................................................................... 19 61

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Annex A (informative) ....................................................................................................................................... 20 62 A.1 General ................................................................................................................................................. 20 63 A.2 Scope ................................................................................................................................................... 20 64 A.3 Terms and definitions ........................................................................................................................ 20 65 A.4 Context of the organization ............................................................................................................... 21 66 A.4.1 Understanding the context of the organization ............................................................................... 21 67 A.4.2 Understanding the needs and expectations of interested parties ................................................ 22 68 A.4.3 Scope of the environmental management system .......................................................................... 22 69 A.4.4 Environmental management system ................................................................................................ 23 70 A.5.1 Leadership and commitment ............................................................................................................. 23 71 A.5.2 Environmental policy ......................................................................................................................... 24 72 A.5.3 Organization roles, responsibilities and authorities ....................................................................... 25 73 A.6 Planning ............................................................................................................................................... 26 74 A.6.1 Actions to address risks and opportunities .................................................................................... 26 75 A.6.1.1 General ................................................................................................................................................. 26 76 A.6.1.2 Risks and opportunities associated with environmental aspects ................................................. 26 77 A.6.1.3 Legal requirements and voluntary obligations ................................................................................ 28 78 A.6.2 Environmental objectives and planning to achieve them .............................................................. 29 79 A.6.2.1 Environmental improvement programmes ...................................................................................... 29 80 A.7 Support ................................................................................................................................................ 30 81 A.7.1 Resources ............................................................................................................................................ 30 82 A.7.2 Competence ........................................................................................................................................ 30 83 A.7.3 Awareness ........................................................................................................................................... 30 84 A.7.4 Communication ................................................................................................................................... 30 85 A.7.5 Documented information ................................................................................................................... 30 86 A.8 Operation ............................................................................................................................................. 32 87 A.8.1 Operational planning and control ..................................................................................................... 32 88 A.8.2 Value chain planning and control ..................................................................................................... 33 89 A.8.3 Emergency preparedness and response ......................................................................................... 33 90 A.9 Performance evaluation ..................................................................................................................... 34 91 A.9.1 Monitoring, measurement, analysis and evaluation ....................................................................... 34 92 A.9.1.1 General ................................................................................................................................................. 34 93 A.9.1.2 Evaluation of compliance .................................................................................................................. 34 94 A.9.2 Audits ................................................................................................................................................... 35 95 A.9.3 Management review ............................................................................................................................ 36 96 A.10 Management review ............................................................................................................................ 36 97 A.10.1 Nonconformity and corrective action ............................................................................................... 36 98 A.10.2 Continual improvement ...................................................................................................................... 36 99

Annex B (informative) Correspondence between ISO 14001:2004 and ISO 14001:201X .......................... 38 100

Annex C (informative) Correspondence between ISO 14001:201X and PDCA model ............................... 41 101

Bibliography ..................................................................................................................................................... 43 102 103

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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

Organizations of all kinds have implemented environmental management systems to ensure compliance and 122 to achieve and demonstrate sound environmental performance by controlling the impacts of their activities, 123 products and services on the environment. They do so in the context of increasingly stringent legislation, 124 growing pressures on the environment from pollution, over-consumption of resources, degradation of eco-125 systems and biodiversity, and an increasing world population, compounded by greater expectations from 126 society for sustainable development, transparency and accountability. 127

International Standards covering environmental management are intended to provide organizations with 128 knowledge, tools and techniques to build success over the long term and create new opportunities for 129 development and growth by (i) leveraging the organization’s ability to reduce its direct operational footprints; 130 (ii) influence the way its products and services are designed, manufactured, distributed, consumed and 131 disposed by using a life- cycle perspective to ensure that environmental burdens aren’t inadvertently shifted 132 elsewhere in the cycle; and (iii) communicating environmental information to relevant interested parties. These 133 tools can be aligned with an organization’s priorities, strategy and decision-making by integrating them with 134 other business requirements and embedding environmental governance into its overall management system, 135 thereby achieving both environmental and economic goals. 136

This International Standard specifies requirements for an environmental management system that can enable 137 an organization to achieve environmental performance improvement by (i) developing and implementing a 138 policy, (ii) establishing environmental objectives and systematic processes which consider the context of the 139 organization and take into account applicable legal requirements and voluntary obligations, and information 140 about its significant environmental aspects, (iii) establishing operational controls, and (iv) evaluating 141 performance and taking actions, as necessary, to improve and demonstrate conformity to the requirements of 142 this International Standard. The overall aim of this International Standard is to support and enhance 143 environmental protection efforts in balance with socio-economic needs. 144

The success of the system depends on commitment from all levels and functions of the organization, and 145 especially from top management. Environmental management encompasses a full range of issues, including 146 those with strategic and competitive implications. An organization can gain added value by using the system 147 elements to achieve financial and operational benefits that accrue from implementing environmentally 148 advantageous alternatives that strengthen the organization’s market position. Demonstration of successful 149 implementation of this International Standard can be used to assure relevant interested parties, including 150 customers, suppliers, and regulators, that an appropriate environmental management system is in place. 151

The basis for the approach underlying an environmental management system is founded on the concept of 152 Plan, Do, Check and Act (PDCA) and is shown in Figure 1. 153

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154

Figure 1 – Environmental management system model for this International Standard – PDCA and HLS 155

The concept of PDCA is a four stage change management model used by organizations to achieve continual 156 improvement and incremental problem solving which can be briefly described as follows. 157

Plan: establish the objectives and processes necessary to deliver results in accordance with the 158 organization’s environmental policy. 159

Do: implement the processes. 160

Check: monitor and measure processes against environmental policy, objectives, legal requirements and 161 voluntary obligations, and report the results. 162

Act: take actions to continually improve performance of the environmental management system. 163

While PDCA has always been the foundation of an environmental management system as prescribed in this 164 International Standard, it is recognized that organizations need to ensure management control over other 165 areas of responsibility as well, such as quality, safety, and risk. To facilitate efficiency in managing multiple 166 interests, ISO has developed a standardized high-level structure, identical text, and common terms and core 167 definitions for management system standards (High Level Structure - HLS)1. Figure 1 identifies an added 168 focus on leadership and links the clauses in the High Level Structure to PDCA. 169

This third edition of the International Standard is focused on meeting environmental challenges over the next 170 two decades for both new and existing users, while also taking due consideration of the ISO standardized 171

1ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL, appendix 2, 3 & 4.

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structure to benefit the user community implementing multiple ISO management system standards. Annex A 172 provides informative explanations to prevent misinterpretation of the requirements. For existing users, 173 Annex B identifies broad technical correspondences between ISO 14001:2004 and this International Standard 174 and vice versa. Annex C provides further insight on how the standardized structure and PDCA interacts for the 175 benefit of existing and new users of ISO 14001. References to guidance on supporting environmental 176 management tools and techniques contained in other ISO/TC 207 International Standards are provided in the 177 Bibliography for information only. Implementation guidance on this International Standard is included in 178 ISO 14004. 179

This International Standard is intended to apply to all types and sizes of organization and to accommodate 180 diverse geographical, cultural and social conditions. It does not establish absolute requirements for 181 environmental performance beyond the required commitments, in the environmental policy, to comply with 182 applicable legal requirements and voluntary obligations, to prevent pollution and support environmental 183 protection, and to continual improvement. It encourages organizations to incorporate voluntary obligations, 184 including making specific commitments related to sustainable resource use, climate change mitigation and 185 adaptation, and protection of biodiversity and ecosystems, or consider other principles such as environmental 186 responsibility, precautionary approach and polluter pays, as applicable, into their management system 187 framework. However, adoption of this International Standard will not in itself guarantee optimal environmental 188 outcomes. In order to achieve its environmental commitments, the environmental management system 189 encourages organizations to consider implementation of the best available techniques, where appropriate and 190 where economically viable, taking into account the cost-effectiveness of such techniques. Thus, two 191 organizations carrying out similar operations can establish different commitments for themselves and have 192 different environmental performance, but both can conform to the requirements of this International Standard. 193 Like other International Standards, it is not intended to be used to create non-tariff trade barriers or to increase 194 or change an organization's legal obligations. 195

It should also be noted that the application of various elements of a management system might differ 196 depending on the organization’s purpose and the relevant interested parties involved, so that the level of its 197 detail and complexity, the extent of documentation and the resources devoted to it will depend on a number of 198 factors, such as the scope of the system, the size of an organization and the nature of its activities, products 199 and services including their significant environmental aspects and potential impacts. This may be the case in 200 particular for small and medium-sized enterprises (SMEs). 201

202

COMMITTEE DRAFT ISO/CD 14001

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Environmental management systems — Requirements with 203

guidance for use 204

1 Scope 205

This International Standard specifies the requirements for an organization to establish, implement and 206 maintain an environmental management system. It provides a framework through which an organization 207 can deliver environmental performance improvement set by top management in line with its environmental 208 policy commitments. When environmental management system requirements are applied, an organization 209 can achieve the following intended outcomes: 210

a) understand its external and internal context, including the needs and expectations of relevant 211 interested parties; 212

b) establish an environmental policy and environmental objectives; 213

c) reduce adverse impacts and take advantage of opportunities associated with 214

its significant environmental aspects; 215

external environmental conditions that affect its ability to achieve its objectives; 216

d) be capable of demonstrating its commitment by managing its compliance with applicable legal 217 requirements and voluntary obligations and knowing its compliance status; 218

e) communicate with relevant interested parties; and 219

f) continually improve its environmental management system to enhance its environmental performance, 220 and be capable of demonstrating the environmental performance outcomes that it achieves. 221

An environmental management system applies to the environmental aspects that the organization 222 determines it can either control or can influence across its value chain. This International Standard does not 223 itself state specific environmental performance criteria. 224

An organization can demonstrate conformity with this International Standard by 225

1) making a self-determination and self-declaration, or 226

2) seeking confirmation of its conformance by parties having an interest in the organization, such as 227 customers, or 228

3) seeking confirmation of its self-declaration by a party external to the organization, or 229

4) seeking certification/registration of its environmental management system by an external 230 organization. 231

The requirements in this International Standard are intended to be integrated into the organization’s 232 management system and its business processes. The extent of application depends on factors such as the 233 context within which the organization operates, its environmental policy commitments and the nature of its 234 activities, products and services. 235

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2 Normative references 236

There are no normative references. 237

3 Terms and definitions 238

For the purposes of this document, the following terms and definitions apply. 239

3.01 240 organization 241 person or group of people that has its own functions with responsibilities, authorities and relationships to 242 achieve its objectives (3.15) 243

Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, 244 enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated or not, 245 public or private. 246

Note 2 to entry: For organizations with more than one operating unit, a single operating unit may be defined as an 247 organization. 248

3.02 249 interested party (preferred term) 250 stakeholder (admitted term) 251 person or organization (3.01) that can affect, be affected by, or perceive themselves to be affected by a 252 decision or activity 253

Note 1 to entry: Interested parties can include person(s) and groups expressing their concern with the 254 environmental performance of an organization. 255

Note 2 to entry: Interested parties can include customers, community, suppliers, regulators, nongovernment 256 organizations, investors, employees. 257

3.03 258 requirement 259 need or expectation that is stated, generally implied or obligatory 260

Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization and interested 261 parties that the need or expectation under consideration is implied. 262

Note 2 to entry: A specified requirement is one that is stated, for example in documented information. 263

Note 3 to entry: Applicable legal requirements are obligatory; other interested party requirements become a 264 voluntary obligation when the organization decides that it will subscribe to them. 265

3.04 266 environment 267 surroundings in which an organization (3.01) operates 268

Note 1 to entry: Surroundings in this context extend from within an organization to the global system. 269

Note 2 to entry: Surroundings can include air, water, land, natural resources, biodiversity and ecosystems, humans, 270 and their interrelation. 271

3.05 272 environmental aspect 273 element of an organization's (3.01) activities or products or services that can interact with the 274 environment (3.04) 275

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3.06 276 significant environmental aspect 277 environmental aspect (3.05) that has or can have a significant environmental impact 278

Note 1 to entry: Significant environmental aspects can be considered environmental risks that an organization 279 (3.01) needs to assess, manage and control. 280

3.07 281 environmental impact 282 change to the environment (3.04), whether adverse or beneficial, wholly or partially resulting from an 283 organization's (3.01) environmental aspects (3.05) 284

3.08 285 environmental condition 286 long-term environmental change(s) that can affect the organization's (3.01) activities, products and 287 services requiring adaptation 288

3.09 289 management system 290 set of interrelated or interacting elements of an organization (3.01) to establish policies (3.13) and 291 objectives (3.15) and processes (3.19) to achieve those objectives 292

Note 1 to entry: A management system can address a single discipline or several disciplines. 293

Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning, 294 operation, etc. 295

Note 3 to entry: The scope of a management system may include the whole of the organization, specific and 296 identified functions of the organization, specific and identified sections of the organization, or one or more functions 297 across a group of organizations. 298

3.10 299 environmental management system 300 EMS 301 part of an organization's (3.01) management system (3.09) used to develop and implement its 302 environmental policy (3.14) and manage its environmental aspects (3.05) 303

3.11 304 top management 305 person or group of people who directs and controls an organization (3.01) at the highest level 306

Note 1 to entry: Top management has the power to delegate authority and provide resources within the 307 organization. 308

Note 2 to entry: If the scope of the management system (3.09) covers only part of an organization then top 309 management refers to those who direct and control that part of the organization. 310

3.12 311 effectiveness 312 extent to which planned activities are realized and planned results achieved 313

3.13 314 policy 315 intentions and direction of an organization (3.01) as formally expressed by its top management (3.11) 316

3.14 317 environmental policy 318 policy (3.13) related to the organization's (3.01) environmental objectives and commitments 319

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3.15 320 objective 321 result to be achieved 322

Note 1 to entry: An objective can be strategic, tactical, or operational. 323

Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and 324 environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and 325 process (3.19)). 326

Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an 327 operational criterion, as an environmental objective or by the use of other words with similar meaning (e.g. aim, goal, or 328 target). 329

Note 4 to entry: In the context of environmental management systems environmental objectives are set by the 330 organization, consistent with the environmental policy, to achieve specific results. 331

3.16 332 risk 333 effect of uncertainty 334

Note 1 to entry: An effect is a deviation from the expected — positive or negative. 335

Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or 336 knowledge of, an event, its consequence, or likelihood. 337

Note 3 to entry: Risk is often characterized by reference to potential events (ISO Guide 73, 3.5.1.3) and 338 consequences (ISO Guide 73, 3.6.1.3), or a combination of these. 339

Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including 340 changes in circumstances) and the associated likelihood (ISO Guide 73, 3.6.1.1) of occurrence. 341

3.17 342 competence 343 ability to apply knowledge and skills to achieve intended results 344

3.18 345 documented information 346 information required to be controlled and maintained by an organization (3.01) and the medium on which it 347 is contained 348

Note 1 to entry: Documented information can be in any format and media and from any source. 349

Note 2 to entry: Documented information can refer to 350

the management system (3.09), including related processes (3.19); 351

information created in order for the organization to operate (documentation); 352

evidence of results achieved (records). 353

3.19 354 process 355 set of interrelated or interacting activities which transforms inputs into outputs 356

Note 1 to entry: Processes can be documented or not. 357

3.20 358 performance 359 measurable result 360

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Note 1 to entry: Performance can relate either to quantitative or qualitative findings. 361

Note 2 to entry: Performance can relate to the management of activities, processes (3.19), products (including 362 services), systems or organizations (3.01). 363

3.21A 364 environmental performance 365 measurable results of an organization's (3.01) management of its environmental aspects (3.05) 366

Note 1 to entry: In the context of environmental management systems (3.10), results can be measured against 367 the organization's environmental policy (3.14), environmental objectives (3.15) and other environmental 368 performance requirements. 369

[Source: ISO 14001:2004, 3.10] 370

3.21B 371 environmental performance 372 performance (3.20) related to environmental aspects (3.05) 373

[Source: ISO 14045:2012, 3.5] 374

3.22 375 indicator 376 measureable representation of the condition or status of operations, management or conditions 377

3.23 378 key performance indicator 379 KPI 380 indicator of performance (3.20) deemed by an organization (3.01) to be significant and giving prominence 381 and attention to certain aspects 382

Note 1 to entry: Key performance indicators may be selected for Operational Performance Indicators (OPIs), 383 Management Performance Indicators (MPIs) and Environmental Performance Indicators (EPIs) 384

[Source: ISO/FDIS 14031:2013, 3.17] 385

3.24 386 outsource (verb) 387 make an arrangement where an external organization (3.01) performs part of an organization’s function or 388 process (3.19) 389

Note 1 to entry: An external organization is outside the scope of the management system (3.09), although the 390 outsourced function or process is within the scope. 391

3.25 392 monitoring 393 determining the status of a system, a process (3.19) or an activity 394

Note 1 to entry: To determine the status there may be a need to check, supervise or critically observe. 395

3.26 396 measurement 397 process (3.19) to determine a value 398

3.27 399 audit 400 systematic, independent and documented process (3.19) for obtaining audit evidence and evaluating it 401 objectively to determine the extent to which the audit criteria are fulfilled 402

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Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party), and it 403 can be a combined audit (combining two or more disciplines). 404

Note 2 to entry: “Audit evidence” and “audit criteria” are defined in ISO 19011. 405

Note 3 to entry: Internal audits, sometimes called first party audits, are conducted by the organization itself, or on its 406 behalf, for management review and other internal purposes (e.g. to confirm the effectiveness of the management 407 system or to obtain information for the improvement of the management system). Internal audits can form the basis for 408 an organization’s self-declaration of conformity. In many cases, particularly in small organizations, independence can 409 be demonstrated by the freedom from responsibility for the activity being audited or freedom from bias and conflict of 410 interest. 411

3.28 412 conformity 413 fulfilment of a requirement (3.03) 414

Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the 415 organization subscribes, including requirements in this International Standard. Compliance is often used to describe 416 fulfilment of a legal requirement. 417

3.29 418 nonconformity 419 non-fulfilment of a requirement (3.03) 420

Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the 421 organization subscribes, including requirements in this International Standard. Noncompliance is often used to describe 422 nonfulfilment of a legal requirement. 423

3.30 424 correction 425 action to eliminate a detected nonconformity (3.29) 426

3.31 427 corrective action 428 action to eliminate the cause of a nonconformity (3.29) and to prevent recurrence 429

3.32 430 continual improvement 431 recurring activity to enhance performance (3.20) 432

Note 1 to entry: Enhancing performance relates to the use of the environmental management system in order to 433 achieve improvement in overall environmental performance (3.21A or 3.21B) consistent with the organization's 434 (3.01) environmental policy (3.14). 435

Note 2 to entry: The activity need not take place in all areas simultaneously. 436

3.33 437 prevention of pollution 438 use of processes (3.19), practices, techniques, materials, products, services or energy to avoid, reduce or 439 control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, 440 in order to reduce adverse environmental impacts (3.07) 441

Note 1 to entry: Prevention of pollution can include source reduction or elimination, process, product or service 442 changes, efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and 443 treatment. 444

3.34A 445 value chain 446 entire sequence of activities or parties that provide or receive value in the form of products or services 447

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Note 1 to entry: Parties that provide value include suppliers, outsourced workers, contractors and others. 448

Note 2 to entry: Parties that receive value include customers, consumers, clients, members and other users. 449

[Source: ISO 26 000:2010, 2.25] 450

3.34B 451 supply chain 452 sequence of activities or parties that provides products or services to the organization (3.01) 453

Note 1 to entry: In some instances, the term supply chain is understood to be the same as value chain (3.34A). 454 However, for the purpose of this International Standard supply chain is used as defined above. 455

[Source: ISO 26000:2010, 2.22] 456

3.34C 457 life cycle 458 consecutive and interlinked stages of a product system, from raw material acquisition or generation from 459 natural resources to final disposal 460

[Source: ISO 14044:2006, 3.1] 461

4 Context of the organization 462

4.1 Understanding the organization and its context 463

The organization shall determine external and internal issues that are relevant to its purpose and that affect 464 its ability to achieve the intended outcome(s) of its environmental management system, including external 465 environmental conditions capable of affecting the organization's activities, products and services. 466

The knowledge gained shall be considered when designing the organization's environmental management 467 system. 468

NOTE The intended outcome(s) are those strategic objectives set by the organization to be achieved through its 469 environmental management system which include meeting its policy commitments. 470

4.2 Understanding the needs and expectations of interested parties 471

The organization shall determine: 472

the interested parties that are relevant to the environmental management system; and 473

the requirements of these interested parties. 474

The knowledge gained shall be considered when designing the organization's environmental management 475 system. 476

4.3 Determining the scope of the environmental management system 477

The organization shall determine the boundaries and applicability of the environmental management 478 system to establish its scope. 479

When determining this scope, the organization shall consider: 480

the external and internal issues referred to in 4.1; 481

the requirements referred to in 4.2 including applicable legal requirements and potential voluntary 482 obligations; 483

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the organizational unit(s), function(s), and physical boundaries; and 484

its authority and ability to exercise control and influence. 485

The scope shall be available as documented information. 486

NOTE Once the scope is defined, all activities, products and services of the organization within that scope, 487 including outsourced processes that affect its environmental performance, are included in the environmental 488 management system as appropriate. 489

4.4 Environmental management system 490

The organization shall establish, implement, maintain and continually improve an environmental 491 management system, including the processes needed and their interactions, in accordance with the 492 requirements of this International Standard. 493

The organization shall determine the way it will satisfy the environmental management system 494 requirements, including how they will be integrated into its business processes. 495

5 Leadership 496

5.1 Leadership and commitment 497

Top management shall demonstrate leadership and commitment with respect to the environmental 498 management system by: 499

understanding the organization's context and ensuring that knowledge gained shall be considered 500 when establishing the environmental management system; 501

ensuring that the environmental policy and environmental objectives are established and are 502 compatible with the strategic direction of the organization; 503

giving consideration to environmental performance in strategic planning; 504

ensuring the integration of the environmental management system requirements into the 505 organization’s business processes; 506

ensuring that the resources needed for the environmental management system are available; 507

communicating the importance of effective environmental management and of conforming to the 508 environmental management system requirements; 509

ensuring that the environmental management system achieves its intended outcome(s); 510

directing and supporting persons to contribute to the effectiveness of the environmental 511 management system; 512

promoting continual improvement (see 10.2); 513

supporting other relevant management roles to demonstrate their leadership as it applies to their 514 areas of responsibility. 515

NOTE Reference to “business” in this International Standard should be interpreted broadly to mean those 516 activities that are core to the purposes of the organization’s existence. 517

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5.2 Policy 518

Top management shall establish an environmental policy that, within the defined scope of its environmental 519 management system: 520

is appropriate to the purpose and context of the organization; 521

is appropriate to the nature, scale and environmental impacts of its activities, products and 522 services; 523

includes a commitment to the prevention of pollution and to support environmental protection 524 specific to the context of the organization, such as sustainable resource use, climate change 525 mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant 526 environmental issues; 527

provides a framework for setting environmental objectives; 528

includes a commitment to satisfy applicable requirements, including compliance to legal 529 requirements and voluntary obligations which relate to its environmental aspects; and 530

includes a commitment to continual improvement of the environmental management system to 531 enhance its environmental performance as set by top management. 532

The environmental policy shall: 533

be available as documented information; 534

be communicated within the organization, including persons working on behalf of the organization; 535

be available to interested parties, as appropriate. 536

NOTE 'As appropriate' does not imply that the organization may restrict the distribution of its environmental policy. 537 The organization determines the means by which the policy is available. 538

5.3 Organization roles, responsibilities and authorities 539

Top management shall ensure that the responsibilities and authorities for relevant roles within the 540 environmental management system are assigned and communicated within the organization. 541

Top management shall assign the responsibility and authority for: 542

ensuring that the environmental management system conforms to the requirements of this International 543 Standard; and 544

reporting on the performance of the environmental management system, including environmental 545 performance, to top management. 546

NOTE The role of reporting on the performance of the environmental management system is often assigned to a 547 “Management Representative”. 548

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6 Planning 549

6.1 Actions to address risks and opportunities 550

6.1.1 General 551

When planning for the environmental management system, the organization shall consider the issues 552 referred to in 4.1, and the requirements of relevant interested parties referred to in 4.2 and determine the 553 risks and opportunities that arise from its significant environmental aspects (see 6.1.2), applicable legal 554 requirements, voluntary obligations (see 6.1.3) and other business risk and opportunities interfering with the 555 environmental management system that need to be addressed to: 556

assure the environmental management system can achieve its intended outcome(s); 557

prevent, or reduce, undesired effects; 558

achieve continual improvement. 559

The organization shall plan: 560

a) actions to address these risks and opportunities; and 561

b) how to 562

integrate and implement the actions into its environmental management system processes 563

evaluate the effectiveness of these actions. 564

NOTE Those actions include selecting one or more options such as risk avoidance, risk mitigation, risk 565 acceptance or risk taking in order to pursue an opportunity. 566

6.1.2 Environmental aspects 567

The organization shall specify the way it will implement and maintain a process: 568

a) to identify the environmental aspects of its activities, products and services within the defined scope of 569 the environmental management system that it can control and those that it can influence considering a 570 life cycle perspective; and 571

b) to determine those environmental aspects, that have or can have significant impact(s) by applying 572 criteria set by the organization, considering its context. 573

The organization shall take into account planned or new developments and new or modified activities, 574 products and services. 575

The organization shall retain documented information and keep it up to date. 576

The organization shall ensure that the significant environmental aspects are taken into account when 577 establishing, implementing and maintaining its environmental management system. 578

6.1.3 Legal requirements and voluntary obligations 579

The organization shall specify the way it will implement and maintain a process: 580

a) to identify and have access to the applicable legal requirements and voluntary obligations related to its 581 environmental aspects; and 582

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b) to determine how these requirements apply to the organization. 583

The organization shall ensure that these applicable legal requirements and voluntary obligations are taken 584 into account when establishing, implementing and maintaining its environmental management system. 585

6.2 Environmental objectives and planning to achieve them 586

6.2.1 Environmental objectives 587

The organization shall establish environmental objectives at relevant functions and levels. 588

The environmental objectives shall: 589

be consistent with the environmental policy; 590

be measurable (if practicable); 591

be developed to take into account the organization’s significant environmental aspects, applicable 592 legal requirements and voluntary obligations; 593

be developed considering the organization’s internal and external issues; 594

be monitored; 595

be communicated; and 596

be updated as appropriate. 597

The organization shall retain documented information on the environmental objectives. 598

6.2.2 Environmental improvement programmes 599

For each objective, the organization shall define one or more indicators against which performance shall be 600 evaluated and demonstrated. 601

When planning how to achieve its environmental objectives, the organization shall develop a programme 602 and determine: 603

what will be done; 604

what resources will be required; 605

who will be responsible; 606

how it will be integrated into the organization’s processes; 607

when it will be completed; 608

how the results will be evaluated. 609

7 Support 610

7.1 Resources 611

The organization shall determine and provide the resources needed for the establishment, implementation, 612 maintenance and continual improvement of the environmental management system. 613

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7.2 Competence 614

The organization shall: 615

determine the necessary competence of person(s) doing work under its control or on its behalf that 616 affects its environmental performance; and 617

ensure that these persons are competent on the basis of appropriate education, training, skills or 618 experience; 619

where applicable, take actions to acquire the necessary competence, and evaluate the 620 effectiveness of the actions taken; and 621

retain appropriate documented information as evidence of competence. 622

NOTE Applicable actions may include, for example: the provision of training to, the mentoring of, or the re-623 assignment of currently employed persons; or the hiring or contracting of competent persons. 624

7.3 Awareness 625

The organization shall ensure that persons doing work under the organization’s control shall be aware of: 626

the environmental policy; 627

the significant environmental aspects and related actual or potential impacts associated with their 628 work, including applicable legal requirements and voluntary obligations; 629

their contribution to the effectiveness of the environmental management system, including the 630 benefits of improved environmental performance; 631

the implications of not conforming with the environmental management system requirements, 632 including applicable legal requirements and voluntary obligations. 633

7.4 Communication 634

7.4.1 General 635

The organization shall determine the needs for internal and external communications relevant to the 636 environmental management system including: 637

on what it will communicate, including relevant environmental information; 638

when to communicate; 639

with whom to communicate; 640

how to communicate, including communication methods, tools and approaches. 641

When planning for communication, the organization shall take into account the requirements of relevant 642 interested parties (see 4.2). 643

7.4.2 Internal communication 644

With regard to its environmental aspects and environmental management system, the organization shall: 645

a) communicate among the various levels and functions of the organization; and 646

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b) respond to relevant internal communication, including those related to environmental performance 647 improvements. 648

The organization shall retain documented information as evidence of its internal communications. 649

7.4.3 External communication and reporting 650

The organization shall report environmental information externally as required by applicable legal 651 requirements and voluntary obligations, and as determined when planning its communication. 652

External communication, including that related to its environmental performance, products and services 653 shall be: 654

truthful and not misleading; 655

complete, accurate, transparent and reliable; 656

based on and consistent with the information generated within the environmental management 657 system and with the internal evaluation of the organization’s environmental performance (see 9.1). 658

The organization shall respond to relevant communication on its environmental management system from 659 external interested parties and retain documented information as evidence of its external communications. 660

7.5 Documented information 661

7.5.1 General 662

The organization’s environmental management system shall include: 663

documented information required by this International Standard; 664

documented information determined by the organization as being necessary for the effectiveness 665 of the environmental management system; 666

a description of the main elements of the environmental management system and their interaction, 667 including with other business processes. 668

NOTE The extent of documented information for an environmental management system can differ from one 669 organization to another due to: 670

the size of organization and its type of activities, processes, products and services; 671

the complexity of processes and their interactions; and 672

the competence of persons. 673

7.5.2 Creating and updating 674

When creating and updating documented information the organization shall ensure appropriate: 675

identification and description (e.g. a title, date, author, or reference number); 676

format (e.g. language, software version, graphics) and media (e.g. paper, electronic); 677

review and approval for suitability and adequacy. 678

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7.5.3 Control of documented information 679

Documented information required by the environmental management system and by this International 680 Standard shall be controlled to ensure: 681

it is available and suitable for use, where and when it is needed; 682

it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). 683

For the control of documented information, the organization shall address the following activities, as 684 applicable 685

distribution, access, retrieval and use; 686

storage and preservation, including preservation of legibility; 687

control of changes (e.g. version control); 688

retention and disposition. 689

Documented information of external origin determined by the organization to be necessary for the planning 690 and operation of the environmental management system shall be identified as appropriate, and controlled. 691

NOTE Access implies a decision regarding the permission to review the documented information only, or the 692 permission and authority to view and change the documented information, etc. 693

8 Operation 694

8.1 Operational planning and control 695

The organization shall specify the way it will plan, implement and control the processes needed to meet 696 environmental management system requirements, and to implement the actions determined in 6.1, by: 697

establishing criteria for the processes; 698

implementing control of the processes, in accordance with the criteria; 699

keeping documented information to the extent necessary to have confidence that the processes 700 have been carried out as planned by: 701

documenting the way to control situations where its absence could lead to deviation from the 702 environmental policy, environmental objectives, applicable legal requirements and voluntary 703 obligations: and 704

retaining appropriate documented information as evidence of the results. 705

The organization shall control planned changes and review the consequences of unintended changes, 706 taking action to mitigate any adverse effects, as necessary. 707

8.2 Value chain planning and control 708

The organization shall ensure that upstream and downstream processes related to significant 709 environmental aspects are controlled or influenced. 710

The type and extent of control or influence to be applied to these processes shall be defined within the 711 environmental management system. 712

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The organization shall ensure that, in relation to significant environmental aspects, outsourced processes 713 and the processes related to the purchase of goods and services are controlled by: 714

establishing and implement criteria for evaluating the supply of goods, services and outsourced 715 processes, taking a life cycle perspective; 716

specifying environmental requirements as appropriate for the procurement of goods and services 717 or outsourced processes; 718

communicating requirement(s) to suppliers, including contractors. 719

The organization shall consider the result of the evaluation of significant environmental aspects as input in 720 the process of the design, development or change of its products and services. 721

The organization shall consider the need to provide information about potential significant environmental 722 impacts during the use and end of life treatment of the product or during the delivery of the service. 723

NOTE 1 In the context of the outsourced processes the concept of control doesn’t imply any requirements of direct 724 control referred to the activity of outsourced organization. It is the decision of the organization to decide the extent of 725 control to be applied for these processes. 726

NOTE 2 Goods and services includes the life cycle of the activity, product or service, which includes, for example, 727 transport, packaging and end-use/disposal. 728

NOTE 3 The nature of the organization’s control over the purchase of goods and services or outsourced processes 729 will depend on its importance, the risk of deviation from the environmental policy and objectives, opportunities available, 730 the organization’s control and influence, the interaction with other environmental management system processes, the 731 competence of the supplier to meet the requirements of the organization’s environmental management system, and the 732 technical competence of the organization to define appropriate controls or assess the adequacy of the outsource 733 process controls. 734

NOTE 4 Ensuring control over outsourced processes does not absolve the organization of the responsibility of 735 conformity to all customer and legal requirements. 736

8.3 Emergency preparedness and response 737

The organization shall specify the way it will implement and maintain a process to determine potential 738 emergency situations and accidents that can have an impact(s) on the environment and how it will respond 739 to them. 740


a) take action to prevent occurrence and reduce the environmental consequences of emergency 742 situations, appropriate to the magnitude of the emergency or accident and the potential environmental 743 impact; 744

b) respond to actual emergency situations and accidents; 745

c) periodically test such plan where practicable; and 746

d) periodically review and, where necessary, revise its emergency preparedness and response plan, in 747 particular, after the occurrence of accidents or emergency situations or tests. 748

The organization shall retain documented information on its emergency response plan. 749

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9 Performance evaluation 750

9.1 Monitoring, measurement, analysis and evaluation 751

9.1.1 General 752

The organization shall determine: 753

what needs to be monitored and measured, including: 754

the key characteristics of its operations that can have a significant environmental impact; 755

the key characteristics of the value chain that can have a significant environmental impact, if 756 appropriate; 757

information necessary for the evaluation of compliance; 758

applicable operational controls; 759

progress towards the organization’s environmental objectives; 760

the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid 761 results; 762

when the monitoring and measuring shall be performed; 763

when the results from monitoring and measurement shall be analysed and evaluated; 764

the criteria against which the organization will evaluate and analyse its performance, using key 765 performance indicators. 766

The organization shall ensure that calibrated or verified monitoring and measurement equipment is used 767 and maintained as appropriate. 768

The organization shall retain appropriate documented information as evidence of the results. 769

The organization shall evaluate the environmental performance and the effectiveness of the environmental 770 management system. 771

9.1.2 Evaluation of compliance 772

The organization shall specify the way it will implement and maintain process(es) for evaluating compliance 773 with applicable legal requirements and voluntary obligations. 774

Consistent with its commitment to compliance, the organization shall: 775

determine the frequency that compliance will be evaluated; 776

evaluate compliance and take action if needed; 777

maintain knowledge and understanding of its compliance status; 778

retain documented information as evidence of the results of its compliance evaluation(s). 779

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9.2 Internal audit 780

The organization shall conduct internal audits, or ensure they are conducted, at planned intervals to provide 781 information on whether the environmental management system: 782

a) conforms to: 783

the organization’s own requirements for its environmental management system; 784

the requirements of this International Standard; 785

b) is effectively implemented and maintained. 786


a) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, 788 responsibilities, planning requirements, performing and reporting. The audit programme(s) shall take 789 into consideration the environmental importance of the processes concerned and the results of 790 previous audits; 791

b) define the audit criteria and scope for each audit; 792

c) select competent auditors and conduct audits to ensure objectivity and the impartiality of the audit 793 process; 794

d) ensure that the results of the audits are reported to relevant management; 795

e) ensure that necessary action is taken to address audit results; and 796

f) retain documented information as evidence of the implementation of the audit programme and the 797 audit results. 798

9.3 Management review 799

Top management shall review the organization's environmental management system, at planned intervals, 800 to ensure its continuing suitability, adequacy and effectiveness. 801

The management review shall include consideration of: 802

a) the status of actions from previous management reviews; 803

b) changes in external and internal issues that are relevant to the environmental management system 804 including: 805

developments in applicable legal requirements and voluntary obligations; 806

changes in risks and opportunities; 807

c) information on the environmental performance, including trends in: 808

nonconformities and corrective actions; 809

monitoring and measurement results, including the extent to which objectives have been met; 810

compliance with applicable legal requirements and voluntary obligations; 811

audit results; and 812

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communication(s) from external interested parties, including complaints; 813

d) opportunities for continual improvement. 814

The outputs of the management review shall include: 815

a) conclusions on the continuing suitability, adequacy and effectiveness of the environmental 816 management system; 817

b) decisions related to continual improvement opportunities for environmental performance; and 818

c) any need for changes to the environmental management system, including the environmental policy 819 and environmental objectives consistent with the strategic direction of the organization. 820

The organization shall retain documented information as evidence of the results of management reviews. 821

10 Improvement 822

10.1 Nonconformity and corrective action 823

The organization shall specify the way it will implement, and maintain a process for dealing with 824 nonconformities and taking corrective action. 825

When a nonconformity occurs, the organization shall: 826

a) react to the nonconformity, and as applicable: 827

take action to control and correct it: and 828

deal with the consequences, including the mitigation of adverse environmental impact; 829

b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur 830 or occur elsewhere, by: 831

reviewing the nonconformity; 832

determining the causes of the nonconformity; and 833

determining if similar nonconformities exist, or could potentially occur; 834

c) determine and implement any corrective action needed; 835

d) review the effectiveness of any corrective action taken; and 836

e) make changes to the environmental management system, if necessary. 837

Corrective actions shall be appropriate to magnitude of the effects of the nonconformities encountered 838 including impacts on the environment. 839

The organization shall retain documented information as evidence of: 840

the nature of the nonconformities and any subsequent actions taken; and 841

the results of any corrective action taken. 842

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10.2 Continual improvement 843

The organization shall continually improve the suitability, adequacy and effectiveness of the environmental 844 management system to enhance its environmental performance as set by top management in line with the 845 environmental policy. 846

NOTE Opportunities for identifying and implementing continual improvement are given in Annex A. 847

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Annex A 848

(informative) 849

A.1 General 850

The additional text given in this Annex is strictly informative and is intended to prevent misinterpretation of 851 the requirements contained in this International Standard. While this information addresses and is 852 consistent with the requirements, it is not intended to add to, subtract from, or in any way modify these 853 requirements. 854

A.2 Scope 855

This edition of ISO 14001 does not contain guidance on Clause 1. 856

A.3 Terms and definitions 857

The terms that are defined in Clause 3 have a specialized technical definition and are normative for use in 858 this International Standard. This sub-clause provides further explanation of certain terms and some of the 859 words that are commonly used in management system standards, to help the user understand their 860 implications and to help in translations. 861

Plan — detailed formulation of a programme to achieve an objective. 862

Programme — planned series of steps, projects or activities to be carried out. 863

Design — working out the form, fit or function of something. 864

Purpose — anticipated (intended or expected) outcome that guides planned actions. 865

Determine — establish or find out. 866

Define — state or describe exactly the nature, scope or meaning of that which is under consideration. 867

Identify — establish the identity of something. 868

To avoid misunderstanding the requirements, clarifications of selected concepts are provided below. 869

'NOTES' included in the various clauses of this International Standard are informative. 870

Continuous indicates duration without interruption. Continual indicates duration that continues over a 871 period of time, but with intervals of interruption. Continual is therefore the appropriate word to use in 872 the context of improvement. 873

The word ‘consider’ means it is necessary to think about but can be rejected; and ‘take into account’ 874 means it is necessary to think about but cannot be rejected. 875

The words ‘as appropriate’ and ‘as applicable’ are not interchangeable. ‘Appropriate’ means suitable 876 (for, to) and implies some degree of freedom, while ‘applicable’ means relevant or possible to apply 877 and implies that if it can be done, it should be done. 878

The 3rd edition of this International Standard uses some new terminology. A brief explanation is given below 879 to aid both new users and those who have used prior editions of this International Standard. 880

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‘Documented information’ replaces the nouns ‘document’ and ‘record’ used in prior editions of this 881 International Standard. Examples of each are given in A.7.5. To distinguish the intent of the generic 882 term ‘documented information’, ISO 14001 now uses the phrase ‘...documented information as 883 evidence of....’ to mean records. 884

The change from ‘...establish, implement and maintain a procedure...’ to ‘...specify the way it will 885 implement and maintain a process...’ is intended to harmonize with the standardized management 886 system terminology and to prevent a common misconception that a procedure (or process) has to be 887 documented, not to change the intent of ISO 14001:2004. 888

The change from ‘identify’ to ‘determine’ is intended to harmonize with the standardized management 889 system terminology, not to change the intent of ISO 14001:2004. The term ‘determine’ implies a two-890 step identification and discovery process that results in knowledge. 891

The term ‘intended outcome’ means what the organization intends to achieve by implementing its 892 environmental management system, which is outlined in its environmental policy commitments and 893 environmental objectives. 894

The phrase ‘voluntary obligations’ replaces the phrase ‘...other requirements to which the organization 895 subscribes’ used in prior editions of this International Standard. The change is considered simpler to 896 understand, and does not change the intent of ISO 14001:2004. 897

The use of the word ‘any’ implies selection and choice. 898

A.4 Context of the organization 899

A.4.1 Understanding the context of the organization 900

Before designing, developing and implementing an environmental management system, it is important to 901 identify, evaluate and understand the external and internal circumstances, conditions and issues that 902 comprise the context of the organization as it relates to environmental management, since these can 903 significantly influence the design of the environmental management system. 904

The intent of this clause is to provide a high-level, strategic understanding of the important circumstances 905 or conditions that can affect, either positively or negatively, the way the organization manages its 906 environmental responsibilities. The circumstances or conditions of interest are those that give rise to issues 907 that affect the organization’s ability to achieve the strategic objectives it sets for its environmental 908 management system, which include meeting its policy commitments. 909

Circumstances or conditions that may create issues for the organization’s environmental management 910 system can include, for example: 911

the external cultural, social, political, legal, regulatory, financial, technological, economic, natural and 912 competitive environment, whether international, national, regional or local; 913

key drivers and trends having impact on the objectives of the organization; 914

relationships with, and perceptions and values of external and internal interested parties (see 4.2); 915

regulatory requirements relevant to environmental management (see 6.1.3); 916

environmental conditions such as climate, pollution, resource availability, and biodiversity, and the 917 effect these conditions may have on the organization’s ability to achieve its objectives; 918

organizational governance, structure, roles and accountabilities; 919

organizational policies, objectives, and the strategies that are in place to achieve them; 920

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the capabilities of the organization, understood in terms of resources and knowledge (e.g. capital, time, 921 people, processes, systems and technologies); 922

information systems, information flows and decision-making processes (both formal and informal); 923

the organization's internal culture; 924

standards, guidelines and models adopted by the organization; 925

form and extent of contractual relationships; 926

the life cycle of the organization’s products and services; and 927

changes in these circumstances or conditions, relevant to the environmental management system. 928

The knowledge gained by understanding the context of the organization and the relevant external and 929 internal issues that relate to its environmental management system (see 4.1) should be considered in the 930 design of the environmental management system. 931

A.4.2 Understanding the needs and expectations of interested parties 932

Interested parties include legal and regulatory authorities (local, regional, state/provincial, national or 933 international), as well as other interested parties relevant to the environmental management system, such 934 as parent organizations, customers, trade associations, community groups, non-governmental 935 organizations, neighbours, employees and others working on behalf of the organization. 936

There are different types of requirements related to the needs and expectations expressed by relevant 937 interested parties. Interested party requirements are not necessarily requirements of the organization. 938 Some interested party requirements reflect needs and expectations that are mandatory because they have 939 been incorporated into laws, regulations, permits and licenses by governmental or even court action. 940 Others the organization may decide to voluntarily adopt, i.e., subscribe to, and address within their 941 environmental management system (“voluntary obligations”) (see A.6.1.3). 942

Requirements from interested parties that are not legal requirements become obligatory only when they are 943 specified and the organization decides that it will subscribe to them. At the stage before subscription, they 944 are simply “needs and expectations” that comprise the requirements of the interested party, but are not 945 requirements of the organization. Once the organization subscribes, then they become organizational 946 requirements and should be considered when planning for the environmental management system (see 947 6.1.3). 948

An open dialogue with relevant interested parties and regular, transparent communication of environmental 949 information may help organizations to better understand their needs and expectations. 950

A.4.3 Scope of the environmental management system 951

The scope of the environmental management system is intended to clarify the spatial and organizational 952 boundaries to which the environmental management system will apply, especially if the organization is a 953 part of a larger organization at a given location. An organization has the freedom and flexibility to define its 954 boundaries and may choose to implement this International Standard with respect to the entire 955 organization, or to specific operating units of the organization. The organization should define and 956 document the scope of its environmental management system; options may include a written description, a 957 site map, an organizational diagram, written definition of key, supporting and outsourced processes, or any 958 combination thereof. 959

In setting the scope, the credibility of the environmental management system will depend upon the choice 960 of organizational boundaries. Scoping is not to be used as a means to exclude activities, products, 961 services, or facilities that have, or can have significant environmental aspects and impacts. Once the scope 962 is defined, all activities, products and services of the organization within that scope, including relevant 963

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outsourced processes carried out by suppliers and contractors, need to be included in the environmental 964 management system. 965

This International Standard has no provision for exclusion of any of portion of the Standard: adherence to 966 all clauses is required. 967

When defining the boundaries of its environmental management system, the organization may want to 968 consider its sphere of influence in terms of its ability to exert control or influence over activities across the 969 life cycle of its products and services. 970

If this International Standard is implemented for a specific operating unit, policies and procedures 971 developed by other parts of the organization can be used to meet the requirements of this International 972 Standard, provided that they are applicable to the specific operating unit that will be subject to it. 973

A.4.4 Environmental management system 974

This International Standard outlines the requirements of a robust, credible and reliable environmental 975 management system. The organization retains authority, accountability, and autonomy, to decide how it will 976 fulfil the environmental management system requirements, including the level of detail and extent to which 977 it will integrate environmental management system requirements into its various business functions, such 978 as design & development, procurement, human resources, sales and marketing, etc. 979

When determining the extent of processes needed for the environmental management system, an 980 organization should consider the environmental importance and the extent to which the results are 981 dependent on the specific way the process is conducted. 982

The organization should consider opportunities for integrating environmental management system activities 983 into its business processes, including 984

a) management of its environmental aspects that may have significant impacts on the environment, for 985 example through integration with design processes, management of change processes and operational 986 processes; 987

b) consideration of the impact environmental conditions may have on the organization, for example 988 through integration with the organization’s strategic planning process; 989

c) management of its compliance with legal requirements and voluntary obligations and the capability to 990 pro-actively demonstrate its compliance status, for example through integration with operational 991 processes; 992

d) continual improvement of its environmental management system, and the capability to proactively 993 demonstrate and communicate the environmental performance that is achieved; and 994

e) communication and engagement with relevant interested parties, for example through integration with 995 external communication processes. 996

A.5.1 Leadership and commitment 997

Commitment, responsiveness, active support and feedback from the organization’s top management are 998 critical for the success of the environmental management system. Top management has specific 999 responsibilities in order to ensure that the environmental management system fulfils its intended outcomes, 1000 including: 1001

establishing an environmental policy and setting the environmental performance of the organization, 1002 from a long-term, strategic perspective (see 5.1, 5.2 and 10.2); 1003

understanding the context of the organization as distilled in 4.1 and 4.2, and ensuring that the 1004 knowledge gained is considered when the environmental management system is established; 1005

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ensuring that the environmental management system is integrated with the business processes as 1006 appropriate and achieves its intended outcomes (see 5.1); 1007

communicating the importance of an effective environmental management system (see 5.1) and 1008

reviewing its suitability, adequacy and effectiveness (see 9.3). 1009

In addition, top management can demonstrate its leadership and commitment with regard to others in the 1010 organization by 1011

directing and providing necessary resources for employees and persons working under the control of 1012 the organization to carry out planned actions that contribute to the effectiveness of the environmental 1013 management system; 1014

ensuring that the responsibilities and authorities related to environmental management for relevant 1015 management roles are assigned and communicated, including line management, engineering, 1016 purchasing, staffing and facilities management functions; and 1017

encouraging and supporting persons in these management roles to demonstrate their leadership in 1018 environmental management within their own areas of responsibility, by integrating environmental 1019 management into their functional activities and supporting actions that contribute toward the 1020 effectiveness of the environmental management system. 1021

A.5.2 Environmental policy 1022

The environmental policy is the driver for implementing and improving an organization’s environmental 1023 management system so that it can maintain and potentially improve its environmental performance 1024 consistent with the expectations of top management. This policy should therefore reflect the commitment of 1025 top management to comply with applicable legal requirements and voluntary obligations as determined in 1026 6.1.3, as well as to the prevention of pollution, and to continual improvement. It can also include other 1027 commitments that are specific to and add value to the organization, such as sustainable resource use, 1028 climate change mitigation and adaptation, and protection of biodiversity and ecosystems, remediation of 1029 historical contamination, or other relevant environmental protection initiatives. The environmental policy 1030 forms the basis upon which the organization sets its objectives and targets. 1031

The environmental policy should be sufficiently clear to be capable of being understood by internal and 1032 external interested parties and should be periodically reviewed and revised to reflect changing conditions 1033 and information. Its area of application (i.e. scope) should be clearly identifiable and should reflect the 1034 unique nature, scale and environmental impacts of the activities, products and services within the defined 1035 scope of the environmental management system. 1036

The environmental policy should be communicated to all persons who work for, or on behalf of, the 1037 organization, including contractors working at an organization’s facility. Communication to contractors can 1038 be in alternative forms to the policy statement itself such as rules, directives and procedures and may 1039 therefore only include pertinent sections of the policy. The organization’s environmental policy should be 1040 defined and documented by its top management within the context of the environmental policy of any 1041 broader enterprise of which it is a part, and with the endorsement of that enterprise. 1042

NOTE Top management may consist of a person or group of people who direct and control an organization at the 1043 highest level. 1044

By reading the standard as a whole and understanding the relationship between the relevant provisions of 1045 the standard, an organization can demonstrate its commitment to comply with applicable legal requirements 1046 and voluntary obligations by incorporating its commitment into the planning, implementation and 1047 improvement of the environmental management system, including: 1048

defining a policy that includes a commitment to comply with applicable legal requirements and 1049 voluntary obligations (see 5.2); 1050

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assigning roles with defined responsibilities and authorities for compliance related requirements (see 1051 5.3); 1052

identifying applicable legal requirements and voluntary obligations (see 6.1.2); 1053

establishing environmental objectives that take into account its legal requirements and voluntary 1054 obligations (see 6.2.1); 1055

establishing programmes to achieve any objectives that relate to legal requirements and voluntary 1056 obligations (see 6.2.2); 1057

being properly supported with adequate resources to meet the compliance-related requirements (see 1058 7.1); 1059

making persons working for or on behalf of the organization aware of the compliance-related 1060 processes developed pursuant to 8.1 that are related to their work (see 7.3), and ensuring persons 1061 whose work can cause the organization’s significant environmental impacts are competent. To the 1062 extent that such work also involves legal requirements or voluntary obligations, the competency of 1063 such persons must include the capability to meet those requirements; 1064

maintaining sufficient documented information to demonstrate achievement of compliance-related 1065 requirements (see 7.5); 1066

knowing its compliance status by monitoring, measuring, analysing (see 9.1) and periodically 1067 evaluating compliance (see 9.1.2); 1068

periodically conducting internal audits, which necessarily include those elements of the environmental 1069 management system that are compliance-related (see 9.2); 1070

dealing with nonconformities and taking corrective action (see 10.1) and correcting detected non-1071 compliance with legal requirements or voluntary obligations (see 9.1.2); 1072

top management reviewing the adequacy, suitability and effectiveness of the environmental 1073 management system (see 9.3). 1074

Taken together, these provisions mean that an organization implementing ISO 14001 must systematically 1075 identify and manage its compliance obligations in line with the commitment to comply by including the 1076 components listed above within its environmental management system. This does not mean that the 1077 implementing organization has to be in 100 % compliance 100 % of the time. A non-compliance may not 1078 rise to the level of a system failure, if for example, it is identified and corrected by the environmental 1079 management system processes. Further, compliance-related systems non-conformities that are detected 1080 must be corrected, even if those non-conformities have not resulted in actual non-compliance with the law. 1081

A.5.3 Organization roles, responsibilities and authorities 1082

All persons working for or on behalf of the organization are responsible for supporting the organization’s 1083 policy commitments and other applicable arrangements related to its environmental management system. 1084

The roles of: 1085

a) ensuring that the management system conforms with the requirements of this International Standard, 1086 and 1087

b) reporting on the performance of the environmental management system 1088

can be assigned to an individual, sometimes referred to as the “management representative”, shared by 1089 several individuals, or assigned to an environmental management team. Such individuals should have 1090

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sufficient access to top management in order to keep management informed of the status and performance 1091 of the environmental management system. 1092

A.6 Planning 1093

A.6.1 Actions to address risks and opportunities 1094

The context of the organization (see 4.1 and 4.2) provides an overarching framework for evaluating the 1095 risks and opportunities as in 6.1. It provides a basis for identifying environmental aspects and for 1096 establishing criteria for determining those that may have a significant environmental impact. It also provides 1097 a basis for establishing criteria for evaluating risks to the organization related to non-compliance with 1098 applicable legal requirements and voluntary obligations. 1099

Risk determination may involve a qualitative or quantitative assessment of the likelihood and consequences 1100 of actual or potential environmental impacts. Non-compliance with applicable legal requirements or 1101 voluntary obligations can have business impacts. The organization determines the risk criteria consistent 1102 with the organization’s context. 1103

More guidance on the risk assessment concept is set out in ISO 14004. 1104

A.6.1.1 General 1105

[This clause is under construction, pending completion of white paper on risks and opportunities] 1106

A.6.1.2 Risks and opportunities associated with environmental aspects 1107

Changes to the environment, either adverse or beneficial, that result wholly or partially from environmental 1108 aspects are called environmental impacts. The environmental impact may occur at local, regional and 1109 global scales, while they may also be direct, indirect or cumulative by nature. Sub-clause 6.1.2 sets out the 1110 process(es) an organization should use to identify its environmental aspects and to determine those 1111 aspects that are significant, i.e. those that have or can have a significant environmental impact. The 1112 relationship between environmental aspects and environmental impacts is one of cause and effect. 1113

An organization should identify the environmental aspects of the activities, products and services that are 1114 within the scope of its environmental management system. This should take into account: 1115

the life cycle perspective, including inputs and outputs of its processes (both intended and unintended); 1116

management of change, including planned or new developments, or new or modified activities, 1117 products and services; 1118

normal and abnormal operating conditions; 1119

shut-down and start-up conditions; 1120

reasonably foreseeable emergency situations. 1121

Organizations do not have to consider each product, component or raw material individually, and may 1122 select categories of activities, products and services to identify and evaluate their environmental aspects, 1123 when they have similar environmental impacts. 1124

There is no single approach for identifying environmental aspects. Factors often considered in determining 1125 whether an element of an activity, product or service can interact with the environment include: 1126

a) emissions to air; 1127

b) releases to water; 1128

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c) releases to land; 1129

d) use of raw materials and natural resources; 1130

e) use of energy; 1131

f) energy emitted, e.g. heat, radiation, vibration (noise) and light; 1132

g) generation of waste and/or by-products; and 1133

h) impacts on wildlife, cultural heritage, biodiversity, ecosystem processes and people. 1134

In addition to the environmental aspects an organization can control directly, an organization needs to 1135 determine whether there are environmental aspects that it can influence. These can be related to goods 1136 and services used by the organization which are provided by others, as well as products and services that it 1137 provides to others outside the organization, including those associated with outsourced processes. 1138 However, in all circumstances it is the organization that determines the degree of control it is able to 1139 exercise, the environmental aspects it can influence, and the extent to which it chooses to exercise any 1140 such influence. 1141

Consideration should be given to environmental aspects related to the organization's activities, such as: 1142

product, process and facility design and development; 1143

manufacturing processes; 1144

product packaging and transportation; and 1145

operation and maintenance of facilities, organizational assets and infrastructure. 1146

Consideration should also be given to environmental aspects related to products, by-products and services, 1147 such as: 1148

environmental performance and practices of contractors and suppliers; 1149

waste generation, management and disposal; 1150

use of raw materials and natural resources; and 1151

distribution, use and end-of-life of products. 1152

With respect to products and services the organization provides and renders to others, organizations may 1153 have limited influence on the use and final disposal of their products once they leave their control. 1154 Organizations should consider, where practicable, a life cycle perspective in identifying the environmental 1155 aspects of its products and services. 1156

Once an organization identifies its environmental aspects and associated environmental impacts, it should 1157 establish criteria and adopt appropriate methods to determine those environmental aspects that have or 1158 can have significant impacts, i.e. significant environmental aspects. There is no single method or list of 1159 criteria for determining significant environmental aspects. The method(s) and criteria used should be 1160 appropriate to the nature and scale of the organization’s environmental impacts and provide reliable results. 1161 The method(s) should include the establishment and application of evaluation criteria that take into 1162 consideration the context of the organization. Criteria may be related to environmental matters related to 1163 the environmental aspect or impact, legal issues and the concerns of internal and external interested 1164 parties. 1165

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When developing information relating to the determination of its significant environmental aspects, the 1166 organization should consider the need to retain the information for historical purposes, as well as what 1167 information will be useful in designing and implementing its environmental management system. It is up to 1168 the organization to determine the nature and level of detail of the documented information it retains related 1169 to the identification and evaluation of its environmental aspects. 1170

The process of identification and evaluation of environmental aspects should take into account the location 1171 of activities, cost and time required to undertake the analysis and the availability of reliable data. 1172 Information already developed for regulatory or other purposes can be used in these processes. 1173

This process of identifying and evaluating environmental aspects is not intended to change or increase an 1174 organization's legal obligations. 1175

The significant environmental aspects are to be taken into account in establishing, implementing and 1176 maintaining the organization's environmental management system. 1177

A.6.1.3 Legal requirements and voluntary obligations 1178

The organization needs to identify the requirements that are applicable to its environmental aspects. This 1179 should include a determination of whether these requirements are mandatory requirements or voluntary 1180 obligations. 1181

Legal requirements are mandatory requirements issued by governmental entities. These may include: 1182

a) national and international legal requirements; 1183

b) state/provincial/departmental legal requirements; 1184

c) local governmental legal requirements; and 1185

d) the provisions of permits and/or licenses issued by governmental entities. 1186

Voluntary obligations are other requirements related to its environmental aspects, to which the organization 1187 voluntarily subscribes. These may include, if applicable: 1188

voluntary collaborative governance arrangements; 1189

agreements with customers; 1190

non-regulatory guidelines; 1191

voluntary principles or codes of practice; 1192

voluntary environmental labelling or product stewardship commitments; 1193

requirements of trade associations; 1194

agreements with community groups or non-governmental organizations; 1195

public commitments of the organization or its parent organization; and 1196

corporate/company requirements. 1197

The primary difference between a legal requirement and a voluntary environmental obligation is that the 1198 organization chooses to adhere to its voluntary obligations. However, in many cases, once that choice is 1199 made, adherence is mandatory, particularly where legally binding agreements are made. 1200

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A.6.2 Environmental objectives and planning to achieve them 1201

A.3.1.1 Environmental objectives 1202

Environmental objectives may be either strategic, as set by top management and applicable to the whole 1203 organization, or tactical, established for specific units or functions within the organization and compatible 1204 with the strategic objectives, or both. 1205

The objectives established should be specific and measurable, wherever practicable. They can include both 1206 short and long-term goals and should be updated, as appropriate. 1207

In setting its environmental objectives, the organization must take into account: 1208

its significant environmental aspects; and 1209

its applicable legal requirements and voluntary obligations, 1210

and may also consider: 1211

internal issues such as the organization’s improvement priorities, resources, operations and business 1212 requirements; 1213

external issues such as environmental conditions, social and cultural circumstances, and technological 1214 options; or 1215

relationships with and requirements of internal and external interested parties. 1216

Consistency with the environmental policy means that the environmental objectives need to be broadly 1217 aligned and harmonised with the environmental policy commitments made by top management. 1218

A.6.2.1 Environmental improvement programmes 1219

In selecting environmental performance indicators (EPIs) for its objectives, the organization should consider 1220 the need for indicators related to its environmental management (management performance indicators, or 1221 MPIs) and its operational performance (operational performance indicators, or OPIs). It may also wish to 1222 consider indicators that provide information about the condition of the environment that may be impacted by 1223 the organization (environmental condition indicators, or ECIs). 1224

More guidance on setting environmental indicators can be found in ISO 14031. 1225

The creation and use of one or more environmental improvement programmes can help ensure that 1226 progress in achieving the established environmental objectives is monitored, and the status updated and 1227 reported as appropriate. Organizations may decide to incorporate environmental objectives into broader 1228 business improvement programmes. 1229

Improvement programmes should include information concerning what will be done to achieve the 1230 organization's environmental objectives, including timeframes for when tasks will be completed, necessary 1231 resources, responsibilities for achieving results and how the results will be evaluated. 1232

Improvement programmes may be established for current and new activities, products or services and can 1233 adopt a life cycle perspective, including planning, design, materials, procurement, production processes, 1234 use, marketing and ultimate disposal. 1235

Programme(s) may be subdivided to address specific elements of the organization's activities, products and 1236 services. 1237

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A.7 Support 1238

A.7.1 Resources 1239

Resources include human resources and specialized skills, organizational infrastructure, technology and 1240 financial resources. 1241

A.7.2 Competence 1242

This sub-clause applies to any person whose work has the potential to cause a significant environmental 1243 impact, contribute to the achievement of an environmental objective or in any other way affect 1244 environmental performance. For example, in a manufacturing organization, this may include office 1245 personnel, janitorial staff and security personnel. It may also apply to persons involved in outsourced 1246 processes, as appropriate. 1247

Work that is “under the organization’s control” is work that takes place within the scope of the 1248 environmental management system. This may be defined by, for example, a geographic location (a 1249 building, a city, etc.) or an organizational boundary. 1250

In the special case of work performed via outsourced processes (where an external organization performs 1251 part of an organization’s function or process), the organization may have partial or no control over the work 1252 performed by the external organization; therefore this sub-clause is applicable to the extent the organization 1253 has the capability to exert control on the outsourced process. However, if the external organization is 1254 performing the work within the geographic location of the organization, then the organization may be able to 1255 exert extensive or even full control on the outsourced process. 1256

A.7.3 Awareness 1257

Ensuring that persons doing work under the organization’s control are actively involved is critical to the 1258 success of the environmental management system. In particular, the participation of the organization’s 1259 employees and the level of information provided to them are key factors to the achievement of continual 1260 improvement of both the environmental management system and environmental performance. Participation 1261 by personnel can be expected to positively influence the behaviors that are required to achieve this 1262 continual improvement. 1263

Ensuring that persons doing work under the organization’s control are aware of the environmental policy 1264 and environmental objectives should not be taken to mean that they must memorize or have a copy of the 1265 actual, documented policy and objectives; rather, they should be aware of their existence and purpose. 1266

A.7.4 Communication 1267

This edition of ISO 14001 does not contain guidance on this sub-clause. 1268

A.7.5 Documented information 1269

The intent of clause 7.5 is to ensure that organizations create and maintain documented information in a 1270 manner sufficient to implement the environmental management system. However, the primary focus of 1271 organizations should be on the effective implementation of the environmental management system and on 1272 environmental performance and not on a complex documented information control system. 1273

The description of the main elements of the environmental management system should be sufficient to 1274 describe how its parts work together, and provide direction on where to obtain more detailed information, if 1275 any, on the operation of specific parts of the environmental management system. This documentation may 1276 be integrated with documentation of other systems implemented by the organization. It does not have to be 1277 in the form of a manual. 1278

ISO/CD 14001


This edition of ISO 14001 uses the term “documented information” (see 3.18) to refer to information that the 1279 organization needs to keep, captured in any media. The term encompasses the nouns “document” and 1280 “record” used in previous editions. 1281

This edition of ISO 14001 requires the organization to retain a minimum set of documented information. 1282 Any decision to retain documented information beyond that required by the standard may be based on 1283 issues such as: 1284

the consequences, including those to the environment, of not doing so; 1285

the need to demonstrate compliance with legal requirements and with voluntary obligations; 1286

the need to ensure that an activity is undertaken consistently; and 1287

the advantages of doing so, which can include: 1288

easier implementation through communication and training; 1289

less risk of ambiguity and deviation; and 1290

demonstrability and visibility. 1291

Examples of documented information include: 1292

statements of policy and objectives; 1293

information on risks and significant environmental aspects; 1294

descriptions of the specified way to perform an activity; 1295

organizational charts; 1296

internal and external standards; 1297

maintenance plans; 1298

drawings; 1299

materials data sheets; 1300

applicable legal requirements; 1301

site emergency plans; and 1302

evidence of activities performed or results achieved, such as: 1303

complaints received; 1304

training activities; 1305

process monitoring; 1306

inspection, maintenance and calibration records; 1307

pertinent contractor and supplier records; 1308

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incidents reported; 1309

emergency preparedness tests; 1310

audit results; 1311

management review results; 1312

records of significant environmental aspects; 1313

environmental meetings; 1314

objectives and programmes follow up; 1315

legal compliance; and 1316

communications with relevant interested parties. 1317

Documented information, originally created for purposes other than the environmental management 1318 system, may be used as part of this system and, if so used, will need to be referenced in the environmental 1319 management system documented information system. 1320

A.8 Operation 1321

A.8.1 Operational planning and control 1322

Based on its evaluation of its environmental aspects, the organization should ensure that its operations are 1323 conducted in a way that will control or reduce the adverse environmental impacts, in order to comply with its 1324 legal requirements and voluntary obligations, fulfil the commitments of its environmental policy and meet its 1325 environmental objectives. This should include all parts of its operations, including maintenance activities. 1326

When determining controls, or considering changes to existing controls, consideration should be given to 1327 eliminating or reducing the risk of an environmental impact according to the following hierarchy: 1328

a) elimination; 1329

b) substitution; 1330

c) engineering controls; 1331

d) signage/warnings and/or administrative controls. 1332

It is up to the organization to establish the level of documented information that is needed to ensure that 1333 operational planning and control conform to specifications. When doing so, the organization needs to 1334 consider the potential deviations that may occur from the environmental policy, environmental objectives, 1335 applicable legal requirements and voluntary obligations if documented information were not available. 1336

The Note to 7.5.1 and A.7.5 may help organizations to decide the extent of documented information that 1337 should be kept. 1338

Documented information may be developed to explain: 1339

a specific sequence of activities that needs to be carried out; 1340

qualification of the personnel involved (including any workmanship required); 1341

key variables that need to be kept within certain limits (time, physical, biological, etc); 1342

ISO/CD 14001


characteristics of the materials to be used; 1343

characteristics of the infrastructure to be used; 1344

characteristics of the products resulting from the process. 1345

A.8.2 Value chain planning and control 1346

An organization’s consideration of its significant environmental aspects includes the goods and services the 1347 organization procures (the “upstream” processes) and the use or eventual disposal of the products and 1348 services the organization produces (the “downstream” processes). When evaluating suppliers of goods and 1349 services the organization procures, the organization may base its decisions partly upon the environmental 1350 impacts associated with the manufacturing of these goods and the provision of these services, as well as 1351 the organization’s contractual and legal requirements. 1352

ISO 14001 now includes requirements related to “outsourced processes”, to address situations where an 1353 organization makes arrangements for some of its processes to be performed by external parties. Examples 1354 of outsourcing include: 1355

a manufacturer contracts with another company to design or manufacture some of its intermediate or 1356 final products; 1357

a service provider contracts with another entity to provide services for its customers; and 1358

a company hires an external organization to run one of its key functions (e.g.: purchasing, human 1359 resources, maintenance). 1360

Organizations seldom fully control the activities of external organizations; in lieu of full control, organizations 1361 can exert some degree of influence or partial control. 1362

In either case, the organization decides the type and extent of control or influence, based upon such factors 1363 as: 1364

its knowledge, competence and resources; 1365

the potential impact of the outsourced process on the organization's capability to provide product that 1366 conforms to requirements; 1367

the degree to which the control for the process is shared; 1368

the capability of achieving the necessary control through the application of its general procurement 1369 process. 1370

In the particular case of SMEs, the level of influence that they can exert may be limited by their relative 1371 size, compared with the organization to which a process is outsourced. 1372

A.8.3 Emergency preparedness and response 1373

The 3rd edition of this International Standard does not contain guidance on this sub-clause. 1374

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A.9 Performance evaluation 1375

A.9.1 Monitoring, measurement, analysis and evaluation 1376

A.9.1.1 General 1377

In order to satisfy the requirements for monitoring and measurement, the organization may develop a plan 1378 to specify what it will monitor and measure, and how and when this will be done. In addition to providing 1379 information on environmental performance and the effectiveness of the management system, monitoring 1380 and measurement are important in providing the organization with information concerning its compliance 1381 status. 1382

The organization should determine the frequency of monitoring and measurement, to ensure that it has 1383 sufficient information for analysing and evaluating its environmental performance. It should also determine 1384 how often it evaluates the information, how this is done and how it makes use of the results. 1385

In order to ensure that its commitments and objectives are achieved, the organization should ensure that: 1386

The results of monitoring and measurement are reliable, reproducible and traceable; 1387

The findings of the resultant analysis and evaluation are reported internally to those with responsibility 1388 and authority to initiate appropriate corrective action, and 1389

The information obtained is communicated externally in accordance with legal requirements and 1390 voluntary obligations. 1391

The organization should also determine how it may evaluate the environmental performance of its products 1392 or of organizations in its value chain. 1393

NOTE In order to ensure that results are reliable, reproducible and traceable, the organization should implement a 1394 quality assurance process which addresses sampling methods and sample security, integrity of equipment, the 1395 accreditation and reliability of laboratories, the analysis of resultant data and the competence of persons involved in the 1396 process. 1397

A.9.1.2 Evaluation of compliance 1398

The frequency of periodic evaluations of compliance may vary depending on the importance of the 1399 requirement and the organization’s past performance, but all legal requirements and voluntary obligations 1400 need to be evaluated. 1401

An organization can use a variety of methods to maintain its knowledge and understanding of its 1402 compliance status, including: 1403

review of documented information, i.e., procedures, documents, records; 1404

facility tour or inspections; 1405

direct observation or interviews; 1406

project or work reviews; 1407

review of sample analysis or test results, and comparison to regulatory limits; 1408

verification sampling/testing; 1409

compliance audits, including those conducted by 1st, 2nd or 3rd parties. 1410

ISO/CD 14001


An organization may wish to combine its evaluation of compliance to voluntary obligations with the 1411 evaluation of legal compliance. 1412

In the event that the results of evaluation indicate a failure to meet a legal requirement, the organization 1413 should determine and implement the actions necessary to achieve compliance. This may require 1414 communication with the regulating agency and agreement on a course of action. Similarly, it is necessary to 1415 take action to address a failure to meet a voluntary obligation. 1416

The organization should ensure that persons responsible for evaluating compliance and determining the 1417 need for follow-up action are competent. This may involve engaging external technical support. 1418

The results of the periodic evaluations are required to be documented. 1419

The outputs and outcomes of this evaluation should be considered in the management review (see 9.3). 1420

A.9.2 Audits 1421

The management and conduct of internal audits should abide by the principles of integrity, fair presentation, 1422 due professional care, confidentiality, independence and an evidence-based approach. In order to ensure 1423 the objectivity and impartiality of the audit process, the auditors selected should be independent of the 1424 activities or processes they will audit, where this is possible. It is recognized that in small organizations this 1425 may not be achievable, but the auditor should in all cases act in a manner that is free from bias and conflict 1426 of interest. 1427

Internal audits of an environmental management system can be performed by personnel from within the 1428 organization or by external persons selected by the organization, working on its behalf. 1429

The extent of an audit programme should be based on the size and nature of the organization being 1430 audited, as well as on the nature, functionality, complexity and the level of maturity of the management 1431 system. In determining the objectives and scope of the audit programme and individual audits, 1432 consideration should be given to the organization’s environmental aspects and other relevant factors 1433 including: 1434

management priorities and other business considerations; 1435

legal requirements and voluntary obligations; 1436

management system requirements; and 1437

previous performance, as demonstrated by the results of monitoring and measurement, past incidents 1438 and non-conformances or the results of previous audits (whether internal or undertaken by external 1439 parties). 1440

Organizations may decide to combine one or more disciplines (for example environment and health and 1441 safety) in a single audit. Where this is done, the organization should ensure that sufficient resources are 1442 provided for the achievement of the environmental objectives of the audit. 1443

Individuals who are involved in planning and conducting audits should demonstrate competence, which 1444 should be evaluated through a process that considers personal behaviour and the ability to apply the 1445 knowledge and skills gained through education, work experience, auditor training and audit experience. 1446

NOTE Guidance on establishing an audit programme, performing management system audits and evaluating 1447 auditor competence is given in ISO 19011. 1448

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A.9.3 Management review 1449

Top management should review the environmental performance of the organization and the effectiveness 1450 of its environmental management system at planned intervals. This review can be performed as part of top 1451 management’s review of overall business performance. 1452

It is important that top management evaluates its own performance against the requirements for leadership 1453 commitments set out in clause 5.1. 1454

Top management should consider trends in environmental performance, but statistical trend analysis is not 1455 necessarily required. 1456

The outputs of the management review should include recommendations for the continuing suitability, 1457 adequacy and effectiveness of the environmental management system, opportunities for environmental 1458 performance improvement and any need for changes to improve the environmental management system, 1459 including the environmental policy and environmental objectives, consistent with the strategic direction of 1460 the organization and resources available. 1461

‘Adequacy’ of the environmental management system refers to it meeting the requirements and being 1462 implemented appropriately. ‘Suitability’ refers to how it “fits” the organization, its operations, culture, and 1463 business systems. ‘Effectiveness’ refers to whether it is achieving the desired results. 1464

When considering new or different circumstances, the review should also consider if the organization has 1465 effective processes for managing change. 1466

A.10 Management review 1467

A.10.1 Nonconformity and corrective action 1468

The retained documented information on the results of any corrective action includes information on the 1469 review of the effectiveness of these actions. 1470

The previous edition of ISO 14001 made reference to “preventive action” as action taken to prevent the 1471 occurrence of an identified potential non conformity. In this edition, the concept of preventive action is 1472 embedded in different clauses of this International Standard: 1473

in 6.1, since the risks analysis and assessment is, in itself, a way of identifying the need for preventive 1474 actions, and the actions planned to address those identified risks can be seen as the actions taken to 1475 prevent the occurrence of undesired environmental impacts; 1476

in 9.1, since the analysis of the results of monitoring and measurement can provide information on 1477 trends that could trigger the need for action to prevent the occurrence of a nonconformity; and 1478

in 10.1, since the evaluation of actions to be taken when a nonconformity occurs, include the need to 1479 determine if similar non conformities could occur elsewhere. 1480

A.10.2 Continual improvement 1481

This clause requires the organization to continually improve the suitability, adequacy and effectiveness of 1482 its environmental management system. 1483

System improvement involves making changes to the design and implementation of the management 1484 system in order to improve the organization’s ability to achieve conformity with the requirements of this 1485 International Standard and meet its environmental objectives and policy commitments. Although there may 1486 be value in improving the system elements alone, the intended outcome of planned actions and other 1487 system changes is an improvement in the environmental footprint of the organization. 1488

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The organization periodically should review and evaluate its environmental management system to identify 1489 opportunities for improvement, and plans actions to be taken, as appropriate. 1490

The rate, extent and timescale of actions that support continual improvement are determined by the 1491 organization, in light of its context, economic factors, and other circumstances. Environmental performance 1492 improvement involves taking action related to the management of the organization’s environmental aspects 1493 towards reducing adverse impacts or increasing beneficial impacts. Environmental performance 1494 improvements means improvement (i.e. reduction) in any of the environmental impacts associated with the 1495 organizations activities, products or services. 1496

Several elements of the environmental management system, as described in this International Standard, 1497 are designed to assist the organization in achieving continual improvement of its environmental 1498 performance; a coordinated implementation of these elements may help to develop a robust way to achieve 1499 this improvement, including: 1500

analysing the external and internal context (see 4.1); 1501

determining the needs and expectations of interested parties (see 4.2); 1502

taking preventive actions to address risks and opportunities (see 6.1); 1503

taking into account complaints and opinions of the interested parties (see 7.4); 1504

establishing environmental objectives (see 6.2); 1505

implementing operational controls (see 8.1), taking into consideration new technologies, methods or 1506 information available; 1507

monitoring, measuring analyzing and evaluating performance (see 9.1); 1508

conducting internal audits (see 9.2); 1509

conducting management reviews (see 9.3); and 1510

reacting to nonconformity(ies) and implementing corrective action(s) (see 10.1). 1511

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Annex B 1512

(informative) 1513

1514

Correspondence between ISO 14001:2004 and ISO 14001:201X 1515

Table B.1 — Correspondence between ISO 14001:201X and ISO 14001:2004 1516

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 Policy 5.2 4.2 Environmental policy Organization 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 Environmental aspects 6.1.2 4.3.1 Environmental aspects Legal requirements and voluntary obligations

6.1.3 4.3.2 Legal and other requirements

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) Environmental improvement programmes 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 General 7.5.1 4.4.4 Documentation 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 Operation (title only) 8 4.4 Implementation and operation (title only) Operational planning and control 8.1 4.4.6 Operational control Value chain planning and 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) 1517

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Table B.1 (continued) 1518

ISO 14001:201X ISO 14001:2004 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 1519

Table B.2 — Correspondence between ISO 14001:2004 and ISO 14001:200X 1520

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 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 Environmental aspects Legal and other requirements 4.3.2 6.1.3 Legal requirements and voluntary

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 Environmental improvement programmes

Implementation and operation (title only) 4.4 7 Support (title only) 8 Operation (title only)

5 Leadership (title only) Resources, roles, responsibility and authority

4.4.1 7.1 Resources 5.3 Organization 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

ISO/CD 14001


Table B.2 (continued) 1521

ISO 14001:2004 ISO 14001:201X

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 planning and 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) 1522

ISO/CD 14001


Annex C 1523

(informative) 1524

1525

Correspondence between ISO 14001:201X and PDCA model 1526

ISO 14001 is an International Standard that contains requirements that an organization applies to enhance 1527 management control over its interactions with the environment. Where an organization chooses to start its 1528 efforts to improve using the PDCA cycle is determined by the organization. The High Level Structure – 1529 HLS2 does not prescribe the sequence of activities that an organization follows to implement a robust, 1530 credible and reliable environmental management system to achieve continual improvement. Table C.1 1531 outlines the clause relationship between the High Level Structure and the PDCA approach, and how it 1532 relates to ISO 14001:2004. 1533

Table C.1 — An Explanation of the PDCA and the High Level Structure for an Environmental 1534 Management System 1535

High Level Structure – HLS PDCA ISO 14001:20044 Context of the organization PLAN 4.1 Understanding the organization and its context 4.2 Understanding the needs and expectations of

interested parties 4.3.2

4.3 Determining the scope of the environmental management system

4.1

4.4 Environmental management system 4.1 5 Leadership PLAN 5.1 Leadership and commitment 5.2 Policy 4.2 5.3 Organization roles, responsibilities and authorities 4.4.1 6 Planning PLAN 6.1 Actions to address risks and opportunities 6.1.1 General 6.1.2 Environmental aspects 4.3.1 6.1.3 Legal and voluntary obligations 4.3.2 6.2 Environmental objectives and planning to achieve them 4.3.3 6.2.1 Environmental objectives 6.2.2 Environmental improvement programmes 7 Support DO 7.1 Resources 4.4.1 7.2 Competence 4.4.2 7.3 Awareness 4.4.2 7.4 Communication 4.4.3 7.4.1 General 7.4.2 Internal communication 7.4.3 External communication and reporting 7.5 Documented Information

7.5.1 General 4.4.4 7.5.2 Creating and updating 4.4.5, 4.5.4 7.5.3 Control of documented information 4.4.5, 4.5.4 8 Operation DO

2ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL, appendix 2, 3 & 4 of.

ISO/CD 14001


Table C.1 (continued) 1536

High Level Structure – HLS PDCA ISO 14001:2004 8.1 Operational planning and control 4.4.6 8.2 Value Chain planning and control 4.4.6 8.3 Emergency preparedness and response 4.4.7 9 Performance evaluation CHECK 9.1 Monitoring, measurement, analysis and evaluation 4.5.1 9.1.1 General 9.1.2 Evaluation of compliance 4.5.2 9.2 Internal Audit 4.5.5 9.3 Management review 4.6 10 Improvement ACT 10.1 Nonconformity and corrective action 4.5.3 10.2 Continual improvement

ISO/CD 14001


Bibliography 1537

ISO 14001:2004, Environmental management systems — Requirements with guidance for use 1538

ISO 14001 Cor. 1:2009, Environmental management systems — Requirements with guidance for use; 1539 Technical Corrigendum 1 1540

ISO 14004, Environmental management systems — General guidelines on principles, systems and support 1541 techniques 1542

ISO 14031, Environmental management — Environmental performance evaluation — Guidelines 1543

ISO 26000, Guidance on social responsibility 1544

ISO/IEC Guide 73, Risk management. Vocabulary. Guidelines for use in standards 1545

ISO/IEC Directives, Part 1 and Consolidated ISO Supplement — Procedures specific to ISO, 3rd edition, 1546 Annex SL 1547

Documents

Draft ISO 14001_2015.pdf