Draft ISO 14001_2015.pdf

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ISO/TC 207/SC 1

ISO/TC 207/SC 1 - Environmental management systems Email 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. The ballot 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 (issued December 2012) and fill in the line reference in column 2.

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Document type: International Standard Document subtype:

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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.

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1

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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

1_{ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL,}

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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

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1 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 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)

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3

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

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4

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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6

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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7

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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8

 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.

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9 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”.

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10 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

(20)

11

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

(21)

12 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

(22)

13

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

(23)

14

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

(24)

15

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

(25)

16 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

(26)

17 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

(27)

18

 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

(28)

19 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.

(29)

20 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

Draft ISO 14001_2015.pdf

1n945 ISO CD 14001.1 FOR COMMENT

ISO/TC 207/SC 1 N

945

ISO/CD 14001.1

Environmental management systems — Requirements with guidance for

use

Copyright notice

Contents

Foreword

Introduction

1

Environmental management systems — Requirements with

guidance for use

1 Scope

2

2 Normative

references

3 Terms and definitions

3

4

5

6

7

4 Context of the organization

4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of interested parties

4.3 Determining the scope of the

environmental

management system

8

4.4

Environmental

management system

5 Leadership

5.1 Leadership and commitment

9

5.2 Policy

5.3 Organization roles, responsibilities and authorities

10

6 Planning

6.1 Actions to address risks and opportunities

11

6.2

Environmental

objectives and planning to achieve them

7 Support

7.1 Resources

12

7.2 Competence

7.3 Awareness

7.4 Communication

13

7.5 Documented information

14

8 Operation

8.1 Operational planning and control

8.2 Value chain planning and control

15

8.3 Emergency preparedness and response

16

9 Performance

evaluation

9.1 Monitoring, measurement, analysis and evaluation

17

9.2 Internal audit

9.3 Management review

18

10 Improvement

10.1 Nonconformity and corrective action

19

10.2 Continual improvement

20

Annex A

(informative)

A.1 General

A.2 Scope

A.3 Terms and definitions