Environmental management systems Requirements with guidance for use

ISO 2013 All rights reserved ISO/TC 207/SC 1 N 1067 Date: 2013-03-7 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. Document type: International Standard Document subtype: Document stage: (30) Committee Document language: E D:\Dokumente und Einstellungen\wue\Desktop\ISO 14001 CD MASTER v5.docx STD Version 2.5a

1 2 3 4 5 6 7 8 9 10 11 12 13 Copyright notice This ISO document is a working draft or committee draft and is copyright-protected by ISO. While the reproduction of working drafts or committee drafts in any form for use by participants in the ISO standards development process is permitted without prior permission from ISO, neither this document nor any extract from it may be reproduced, stored or transmitted in any form for any other purpose without prior written permission from ISO. Requests for permission to reproduce this document for the purpose of selling it should be addressed as shown below or to ISO's member body in the country of the requester: [Indicate the full address, telephone number, fax number, telex number, and electronic mail address, as appropriate, of the Copyright Manager of the ISO member body responsible for the secretariat of the TC or SC within the framework of which the working document has been prepared.] Reproduction for sales purposes may be subject to royalty payments or a licensing agreement. Violators may be prosecuted. ii ISO 2013 All rights reserved

14 Contents Page 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 Foreword... v Introduction... vi 1 Scope... 8 2 Normative references... 2 3 Terms and definitions... 2 4 Context of the organization... 7 4.1 Understanding the organization and its context... 7 4.2 Understanding the needs and expectations of interested parties... 8 4.3 Determining the scope of the environmental management system... 8 4.4 Environmental management system... 8 5 Leadership... 8 5.1 Leadership and commitment... 8 5.2 Policy... 9 5.3 Organization roles, responsibilities and authorities... 10 6 Planning... 10 6.1 Actions to address risks and opportunities... 10 6.1.1 General... 10 6.1.2 Environmental aspects... 10 6.1.3 Legal requirements and voluntary obligations... 11 6.2 Environmental objectives and planning to achieve them... 11 6.2.1 Environmental objectives... 11 6.2.2 Environmental improvement programmes... 11 7 Support... 12 7.1 Resources... 12 7.2 Competence... 12 7.3 Awareness... 12 7.4 Communication... 12 7.4.1 General... 12 7.4.2 Internal communication... 13 7.4.3 External communication and reporting... 13 7.5 Documented information... 13 7.5.1 General... 13 7.5.2 Creating and updating... 14 7.5.3 Control of documented information... 14 8 Operation... 14 8.1 Operational planning and control... 14 8.2 Value chain planning and control... 15 8.3 Emergency preparedness and response... 15 9 Performance evaluation... 16 9.1 Monitoring, measurement, analysis and evaluation... 16 9.1.1 General... 16 9.1.2 Evaluation of compliance... 16 9.2 Internal audit... 17 9.3 Management review... 17 10 Improvement... 18 10.1 Nonconformity and corrective action... 18 10.2 Continual improvement... 19 ISO 2013 All rights reserved iii

62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 Annex A (informative)... 20 A.1 General... 20 A.2 Scope... 20 A.3 Terms and definitions... 20 A.4 Context of the organization... 21 A.4.1 Understanding the context of the organization... 21 A.4.2 Understanding the needs and expectations of interested parties... 22 A.4.3 Scope of the environmental management system... 22 A.4.4 Environmental management system... 23 A.5.1 Leadership and commitment... 23 A.5.2 Environmental policy... 24 A.5.3 Organization roles, responsibilities and authorities... 25 A.6 Planning... 26 A.6.1 Actions to address risks and opportunities... 26 A.6.1.1 General... 26 A.6.1.2 Risks and opportunities associated with environmental aspects... 26 A.6.1.3 Legal requirements and voluntary obligations... 28 A.6.2 Environmental objectives and planning to achieve them... 29 A.6.2.1 Environmental improvement programmes... 29 A.7 Support... 30 A.7.1 Resources... 30 A.7.2 Competence... 30 A.7.3 Awareness... 30 A.7.4 Communication... 30 A.7.5 Documented information... 30 A.8 Operation... 32 A.8.1 Operational planning and control... 32 A.8.2 Value chain planning and control... 33 A.8.3 Emergency preparedness and response... 33 A.9 Performance evaluation... 34 A.9.1 Monitoring, measurement, analysis and evaluation... 34 A.9.1.1 General... 34 A.9.1.2 Evaluation of compliance... 34 A.9.2 Audits... 35 A.9.3 Management review... 36 A.10 Management review... 36 A.10.1 Nonconformity and corrective action... 36 A.10.2 Continual improvement... 36 Annex B (informative) Correspondence between ISO 14001:2004 and ISO 14001:201X... 38 Annex C (informative) Correspondence between ISO 14001:201X and PDCA model... 41 Bibliography... 43 iv ISO 2013 All rights reserved

104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO 14001 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee SC 1, Environmental management systems. This second/third/... edition cancels and replaces the first/second/... edition (), [clause(s) / subclause(s) / table(s) / figure(s) / annex(es)] of which [has / have] been technically revised. ISO 2013 All rights reserved v

121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 Introduction Organizations of all kinds have implemented environmental management systems to ensure compliance and to achieve and demonstrate sound environmental performance by controlling the impacts of their activities, products and services on the environment. They do so in the context of increasingly stringent legislation, growing pressures on the environment from pollution, over-consumption of resources, degradation of ecosystems and biodiversity, and an increasing world population, compounded by greater expectations from society for sustainable development, transparency and accountability. International Standards covering environmental management are intended to provide organizations with knowledge, tools and techniques to build success over the long term and create new opportunities for development and growth by (i) leveraging the organization s ability to reduce its direct operational footprints; (ii) influence the way its products and services are designed, manufactured, distributed, consumed and disposed by using a life- cycle perspective to ensure that environmental burdens aren t inadvertently shifted elsewhere in the cycle; and (iii) communicating environmental information to relevant interested parties. These tools can be aligned with an organization s priorities, strategy and decision-making by integrating them with other business requirements and embedding environmental governance into its overall management system, thereby achieving both environmental and economic goals. This International Standard specifies requirements for an environmental management system that can enable an organization to achieve environmental performance improvement by (i) developing and implementing a policy, (ii) establishing environmental objectives and systematic processes which consider the context of the organization and take into account applicable legal requirements and voluntary obligations, and information about its significant environmental aspects, (iii) establishing operational controls, and (iv) evaluating performance and taking actions, as necessary, to improve and demonstrate conformity to the requirements of this International Standard. The overall aim of this International Standard is to support and enhance environmental protection efforts in balance with socio-economic needs. The success of the system depends on commitment from all levels and functions of the organization, and especially from top management. Environmental management encompasses a full range of issues, including those with strategic and competitive implications. An organization can gain added value by using the system elements to achieve financial and operational benefits that accrue from implementing environmentally advantageous alternatives that strengthen the organization s market position. Demonstration of successful implementation of this International Standard can be used to assure relevant interested parties, including customers, suppliers, and regulators, that an appropriate environmental management system is in place. The basis for the approach underlying an environmental management system is founded on the concept of Plan, Do, Check and Act (PDCA) and is shown in Figure 1. vi ISO 2013 All rights reserved

154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 Figure 1 Environmental management system model for this International Standard PDCA and HLS The concept of PDCA is a four stage change management model used by organizations to achieve continual improvement and incremental problem solving which can be briefly described as follows. Plan: establish the objectives and processes necessary to deliver results in accordance with the organization s environmental policy. Do: implement the processes. Check: monitor and measure processes against environmental policy, objectives, legal requirements and voluntary obligations, and report the results. Act: take actions to continually improve performance of the environmental management system. While PDCA has always been the foundation of an environmental management system as prescribed in this International Standard, it is recognized that organizations need to ensure management control over other areas of responsibility as well, such as quality, safety, and risk. To facilitate efficiency in managing multiple interests, ISO has developed a standardized high-level structure, identical text, and common terms and core definitions for management system standards (High Level Structure - HLS) 1. Figure 1 identifies an added focus on leadership and links the clauses in the High Level Structure to PDCA. This third edition of the International Standard is focused on meeting environmental challenges over the next two decades for both new and existing users, while also taking due consideration of the ISO standardized 1 ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL, appendix 2, 3 & 4. ISO 2013 All rights reserved vii

172 173 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 201 202 203 structure to benefit the user community implementing multiple ISO management system standards. Annex A provides informative explanations to prevent misinterpretation of the requirements. For existing users, Annex B identifies broad technical correspondences between ISO 14001:2004 and this International Standard and vice versa. Annex C provides further insight on how the standardized structure and PDCA interacts for the benefit of existing and new users of ISO 14001. References to guidance on supporting environmental management tools and techniques contained in other ISO/TC 207 International Standards are provided in the Bibliography for information only. Implementation guidance on this International Standard is included in ISO 14004. This International Standard is intended to apply to all types and sizes of organization and to accommodate diverse geographical, cultural and social conditions. It does not establish absolute requirements for environmental performance beyond the required commitments, in the environmental policy, to comply with applicable legal requirements and voluntary obligations, to prevent pollution and support environmental protection, and to continual improvement. It encourages organizations to incorporate voluntary obligations, including making specific commitments related to sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity and ecosystems, or consider other principles such as environmental responsibility, precautionary approach and polluter pays, as applicable, into their management system framework. However, adoption of this International Standard will not in itself guarantee optimal environmental outcomes. In order to achieve its environmental commitments, the environmental management system encourages organizations to consider implementation of the best available techniques, where appropriate and where economically viable, taking into account the cost-effectiveness of such techniques. Thus, two organizations carrying out similar operations can establish different commitments for themselves and have different environmental performance, but both can conform to the requirements of this International Standard. Like other International Standards, it is not intended to be used to create non-tariff trade barriers or to increase or change an organization's legal obligations. It should also be noted that the application of various elements of a management system might differ depending on the organization s purpose and the relevant interested parties involved, so that the level of its detail and complexity, the extent of documentation and the resources devoted to it will depend on a number of factors, such as the scope of the system, the size of an organization and the nature of its activities, products and services including their significant environmental aspects and potential impacts. This may be the case in particular for small and medium-sized enterprises (SMEs). Environmental management systems Requirements with guidance for use 204 205 206 207 208 209 210 211 212 213 214 215 1 Scope This International Standard specifies the requirements for an organization to establish, implement and maintain an environmental management system. It provides a framework through which an organization can deliver environmental performance improvement set by top management in line with its environmental policy commitments. When environmental management system requirements are applied, an organization can achieve the following intended outcomes: a) understand its external and internal context, including the needs and expectations of relevant interested parties; b) establish an environmental policy and environmental objectives; c) reduce adverse impacts and take advantage of opportunities associated with its significant environmental aspects; external environmental conditions that affect its ability to achieve its objectives; viii ISO 2013 All rights reserved

216 217 218 219 220 221 222 223 224 225 226 227 228 229 230 231 232 233 234 235 236 237 238 239 240 241 242 243 244 245 d) be capable of demonstrating its commitment by managing its compliance with applicable legal requirements and voluntary obligations and knowing its compliance status; e) communicate with relevant interested parties; and f) continually improve its environmental management system to enhance its environmental performance, and be capable of demonstrating the environmental performance outcomes that it achieves. An environmental management system applies to the environmental aspects that the organization determines it can either control or can influence across its value chain. This International Standard does not itself state specific environmental performance criteria. An organization can demonstrate conformity with this International Standard by 1) making a self-determination and self-declaration, or 2) seeking confirmation of its conformance by parties having an interest in the organization, such as customers, or 3) seeking confirmation of its self-declaration by a party external to the organization, or 4) seeking certification/registration of its environmental management system by an external organization. The requirements in this International Standard are intended to be integrated into the organization s management system and its business processes. The extent of application depends on factors such as the context within which the organization operates, its environmental policy commitments and the nature of its activities, products and services. 2 Normative references There are no normative references. 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.01 organization person or group of people that has its own functions with responsibilities, authorities and relationships to achieve its objectives (3.15) Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated or not, public or private. 246 247 Note 2 to entry: organization. For organizations with more than one operating unit, a single operating unit may be defined as an 248 249 250 251 252 253 254 3.02 interested party (preferred term) stakeholder (admitted term) person or organization (3.01) that can affect, be affected by, or perceive themselves to be affected by a decision or activity Note 1 to entry: Interested parties can include person(s) and groups expressing their concern with the environmental performance of an organization. 2 ISO 2013 All rights reserved

255 256 257 258 259 260 261 Note 2 to entry: Interested parties can include customers, community, suppliers, regulators, nongovernment organizations, investors, employees. 3.03 requirement need or expectation that is stated, generally implied or obligatory Note 1 to entry: Generally implied means that it is custom or common practice for the organization and interested 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. 263 264 265 266 267 Note 3 to entry: Applicable legal requirements are obligatory; other interested party requirements become a voluntary obligation when the organization decides that it will subscribe to them. 3.04 environment 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. 269 270 271 272 273 274 275 276 277 278 279 280 281 282 283 284 285 286 287 288 289 290 291 Note 2 to entry: Surroundings can include air, water, land, natural resources, biodiversity and ecosystems, humans, and their interrelation. 3.05 environmental aspect element of an organization's (3.01) activities or products or services that can interact with the environment (3.04) 3.06 significant environmental aspect environmental aspect (3.05) that has or can have a significant environmental impact Note 1 to entry: Significant environmental aspects can be considered environmental risks that an organization (3.01) needs to assess, manage and control. 3.07 environmental impact change to the environment (3.04), whether adverse or beneficial, wholly or partially resulting from an organization's (3.01) environmental aspects (3.05) 3.08 environmental condition long-term environmental change(s) that can affect the organization's (3.01) activities, products and services requiring adaptation 3.09 management system set of interrelated or interacting elements of an organization (3.01) to establish policies (3.13) and objectives (3.15) and processes (3.19) to achieve those objectives 292 293 294 Note 1 to entry: Note 2 to entry: operation, etc. A management system can address a single discipline or several disciplines. The system elements include the organization s structure, roles and responsibilities, planning, 295 296 297 Note 3 to entry: The scope of a management system may include the whole of the organization, specific and identified functions of the organization, specific and identified sections of the organization, or one or more functions across a group of organizations. ISO 2013 All rights reserved 3

298 299 300 301 302 303 304 305 3.10 environmental management system EMS part of an organization's (3.01) management system (3.09) used to develop and implement its environmental policy (3.14) and manage its environmental aspects (3.05) 3.11 top management person or group of people who directs and controls an organization (3.01) at the highest level 306 307 Note 1 to entry: organization. Top management has the power to delegate authority and provide resources within the 308 309 310 311 312 313 314 315 316 317 318 319 320 321 Note 2 to entry: If the scope of the management system (3.09) covers only part of an organization then top management refers to those who direct and control that part of the organization. 3.12 effectiveness extent to which planned activities are realized and planned results achieved 3.13 policy intentions and direction of an organization (3.01) as formally expressed by its top management (3.11) 3.14 environmental policy policy (3.13) related to the organization's (3.01) environmental objectives and commitments 3.15 objective result to be achieved 322 Note 1 to entry: An objective can be strategic, tactical, or operational. 323 324 325 326 327 328 329 330 331 332 333 Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and process (3.19)). Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an operational criterion, as an environmental objective or by the use of other words with similar meaning (e.g. aim, goal, or target). Note 4 to entry: In the context of environmental management systems environmental objectives are set by the organization, consistent with the environmental policy, to achieve specific results. 3.16 risk effect of uncertainty 334 Note 1 to entry: An effect is a deviation from the expected positive or negative. 335 336 337 338 339 340 Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or knowledge of, an event, its consequence, or likelihood. Note 3 to entry: Risk is often characterized by reference to potential events (ISO Guide 73, 3.5.1.3) and consequences (ISO Guide 73, 3.6.1.3), or a combination of these. Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including changes in circumstances) and the associated likelihood (ISO Guide 73, 3.6.1.1) of occurrence. 4 ISO 2013 All rights reserved

341 342 343 344 345 346 347 3.17 competence ability to apply knowledge and skills to achieve intended results 3.18 documented information information required to be controlled and maintained by an organization (3.01) and the medium on which it is contained 348 349 Note 1 to entry: Note 2 to entry: Documented information can be in any format and media and from any source. Documented information can refer to 350 the management system (3.09), including related processes (3.19); 351 352 information created in order for the organization to operate (documentation); evidence of results achieved (records). 353 354 355 3.19 process set of interrelated or interacting activities which transforms inputs into outputs 356 357 358 359 360 Note 1 to entry: 3.20 performance measurable result Note 1 to entry: Processes can be documented or not. Performance can relate either to quantitative or qualitative findings. 361 362 363 364 365 366 367 368 369 370 371 372 373 374 375 376 377 378 379 380 381 Note 2 to entry: Performance can relate to the management of activities, processes (3.19), products (including services), systems or organizations (3.01). 3.21A environmental performance measurable results of an organization's (3.01) management of its environmental aspects (3.05) Note 1 to entry: In the context of environmental management systems (3.10), results can be measured against the organization's environmental policy (3.14), environmental objectives (3.15) and other environmental performance requirements. [Source: ISO 14001:2004, 3.10] 3.21B environmental performance performance (3.20) related to environmental aspects (3.05) [Source: ISO 14045:2012, 3.5] 3.22 indicator measureable representation of the condition or status of operations, management or conditions 3.23 key performance indicator KPI indicator of performance (3.20) deemed by an organization (3.01) to be significant and giving prominence and attention to certain aspects ISO 2013 All rights reserved 5

382 383 384 385 386 387 388 389 390 391 392 393 Note 1 to entry: Key performance indicators may be selected for Operational Performance Indicators (OPIs), Management Performance Indicators (MPIs) and Environmental Performance Indicators (EPIs) [Source: ISO/FDIS 14031:2013, 3.17] 3.24 outsource (verb) make an arrangement where an external organization (3.01) performs part of an organization s function or process (3.19) Note 1 to entry: An external organization is outside the scope of the management system (3.09), although the outsourced function or process is within the scope. 3.25 monitoring 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. 395 396 397 398 399 400 401 402 403 404 405 406 407 408 409 410 411 412 413 414 415 416 417 418 419 420 421 422 423 424 425 3.26 measurement process (3.19) to determine a value 3.27 audit systematic, independent and documented process (3.19) for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party), and it can be a combined audit (combining two or more disciplines). Note 2 to entry: Audit evidence and audit criteria are defined in ISO 19011. Note 3 to entry: Internal audits, sometimes called first party audits, are conducted by the organization itself, or on its behalf, for management review and other internal purposes (e.g. to confirm the effectiveness of the management system or to obtain information for the improvement of the management system). Internal audits can form the basis for an organization s self-declaration of conformity. In many cases, particularly in small organizations, independence can be demonstrated by the freedom from responsibility for the activity being audited or freedom from bias and conflict of interest. 3.28 conformity fulfilment of a requirement (3.03) Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the organization subscribes, including requirements in this International Standard. Compliance is often used to describe fulfilment of a legal requirement. 3.29 nonconformity non-fulfilment of a requirement (3.03) Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the organization subscribes, including requirements in this International Standard. Noncompliance is often used to describe nonfulfilment of a legal requirement. 3.30 correction action to eliminate a detected nonconformity (3.29) 6 ISO 2013 All rights reserved

426 427 428 429 430 431 432 433 434 3.31 corrective action action to eliminate the cause of a nonconformity (3.29) and to prevent recurrence 3.32 continual improvement recurring activity to enhance performance (3.20) Note 1 to entry: Enhancing performance relates to the use of the environmental management system in order to achieve improvement in overall environmental performance (3.21A or 3.21B) consistent with the organization's (3.01) environmental policy (3.14). 435 Note 2 to entry: The activity need not take place in all areas simultaneously. 436 437 438 439 440 441 442 443 444 445 446 3.33 prevention of pollution use of processes (3.19), practices, techniques, materials, products, services or energy to avoid, reduce or control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, in order to reduce adverse environmental impacts (3.07) Note 1 to entry: Prevention of pollution can include source reduction or elimination, process, product or service changes, efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and treatment. 3.34A value chain entire sequence of activities or parties that provide or receive value in the form of products or services 447 448 Note 1 to entry: Note 2 to entry: Parties that provide value include suppliers, outsourced workers, contractors and others. Parties that receive value include customers, consumers, clients, members and other users. 449 450 451 452 453 454 455 456 457 458 459 460 461 462 463 464 465 [Source: ISO 26 000:2010, 2.25] 3.34B supply chain sequence of activities or parties that provides products or services to the organization (3.01) Note 1 to entry: In some instances, the term supply chain is understood to be the same as value chain (3.34A). However, for the purpose of this International Standard supply chain is used as defined above. [Source: ISO 26000:2010, 2.22] 3.34C life cycle consecutive and interlinked stages of a product system, from raw material acquisition or generation from natural resources to final disposal [Source: ISO 14044:2006, 3.1] 4 Context of the organization 4.1 Understanding the organization and its context The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its environmental management system, including external environmental conditions capable of affecting the organization's activities, products and services. ISO 2013 All rights reserved 7

466 467 468 469 470 471 472 473 474 475 476 477 478 479 480 481 482 483 484 485 486 487 488 489 490 491 492 493 494 495 496 497 498 499 500 The knowledge gained shall be considered when designing the organization's environmental management system. NOTE The intended outcome(s) are those strategic objectives set by the organization to be achieved through its environmental management system which include meeting its policy commitments. 4.2 Understanding the needs and expectations of interested parties The organization shall determine: the interested parties that are relevant to the environmental management system; and the requirements of these interested parties. The knowledge gained shall be considered when designing the organization's environmental management system. 4.3 Determining the scope of the environmental management system The organization shall determine the boundaries and applicability of the environmental management system to establish its scope. When determining this scope, the organization shall consider: the external and internal issues referred to in 4.1; the requirements referred to in 4.2 including applicable legal requirements and potential voluntary obligations; the organizational unit(s), function(s), and physical boundaries; and its authority and ability to exercise control and influence. The scope shall be available as documented information. NOTE Once the scope is defined, all activities, products and services of the organization within that scope, including outsourced processes that affect its environmental performance, are included in the environmental management system as appropriate. 4.4 Environmental management system The organization shall establish, implement, maintain and continually improve an environmental management system, including the processes needed and their interactions, in accordance with the requirements of this International Standard. The organization shall determine the way it will satisfy the environmental management system requirements, including how they will be integrated into its business processes. 5 Leadership 5.1 Leadership and commitment Top management shall demonstrate leadership and commitment with respect to the environmental management system by: understanding the organization's context and ensuring that knowledge gained shall be considered when establishing the environmental management system; 8 ISO 2013 All rights reserved

501 502 503 504 505 506 507 508 509 510 511 512 513 514 515 516 517 518 519 520 521 522 523 524 525 526 527 ensuring that the environmental policy and environmental objectives are established and are compatible with the strategic direction of the organization; giving consideration to environmental performance in strategic planning; ensuring the integration of the environmental management system requirements into the organization s business processes; ensuring that the resources needed for the environmental management system are available; communicating the importance of effective environmental management and of conforming to the environmental management system requirements; ensuring that the environmental management system achieves its intended outcome(s); directing and supporting persons to contribute to the effectiveness of the environmental management system; promoting continual improvement (see 10.2); supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility. NOTE Reference to business in this International Standard should be interpreted broadly to mean those activities that are core to the purposes of the organization s existence. 5.2 Policy Top management shall establish an environmental policy that, within the defined scope of its environmental management system: is appropriate to the purpose and context of the organization; is appropriate to the nature, scale and environmental impacts of its activities, products and services; includes a commitment to the prevention of pollution and to support environmental protection specific to the context of the organization, such as sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant environmental issues; provides a framework for setting environmental objectives; 528 529 includes a commitment to satisfy applicable requirements, including compliance to legal requirements and voluntary obligations which relate to its environmental aspects; and 530 531 532 533 534 535 includes a commitment to continual improvement of the environmental management system to enhance its environmental performance as set by top management. The environmental policy shall: be available as documented information; be communicated within the organization, including persons working on behalf of the organization; be available to interested parties, as appropriate. ISO 2013 All rights reserved 9

536 537 538 539 540 541 542 543 544 545 546 547 548 549 550 551 552 553 554 555 NOTE 'As appropriate' does not imply that the organization may restrict the distribution of its environmental policy. The organization determines the means by which the policy is available. 5.3 Organization roles, responsibilities and authorities Top management shall ensure that the responsibilities and authorities for relevant roles within the environmental management system are assigned and communicated within the organization. Top management shall assign the responsibility and authority for: ensuring that the environmental management system conforms to the requirements of this International Standard; and reporting on the performance of the environmental management system, including environmental performance, to top management. NOTE The role of reporting on the performance of the environmental management system is often assigned to a Management Representative. 6 Planning 6.1 Actions to address risks and opportunities 6.1.1 General When planning for the environmental management system, the organization shall consider the issues referred to in 4.1, and the requirements of relevant interested parties referred to in 4.2 and determine the risks and opportunities that arise from its significant environmental aspects (see 6.1.2), applicable legal requirements, voluntary obligations (see 6.1.3) and other business risk and opportunities interfering with the 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. 559 560 561 562 563 564 565 566 567 568 569 570 The organization shall plan: a) actions to address these risks and opportunities; and b) how to integrate and implement the actions into its environmental management system processes evaluate the effectiveness of these actions. NOTE Those actions include selecting one or more options such as risk avoidance, risk mitigation, risk acceptance or risk taking in order to pursue an opportunity. 6.1.2 Environmental aspects The organization shall specify the way it will implement and maintain a process: a) to identify the environmental aspects of its activities, products and services within the defined scope of the environmental management system that it can control and those that it can influence considering a life cycle perspective; and 10 ISO 2013 All rights reserved

571 572 573 574 575 576 577 578 579 580 581 582 583 584 585 586 587 588 589 590 591 592 593 b) to determine those environmental aspects, that have or can have significant impact(s) by applying criteria set by the organization, considering its context. The organization shall take into account planned or new developments and new or modified activities, products and services. The organization shall retain documented information and keep it up to date. The organization shall ensure that the significant environmental aspects are taken into account when establishing, implementing and maintaining its environmental management system. 6.1.3 Legal requirements and voluntary obligations The organization shall specify the way it will implement and maintain a process: a) to identify and have access to the applicable legal requirements and voluntary obligations related to its environmental aspects; and b) to determine how these requirements apply to the organization. The organization shall ensure that these applicable legal requirements and voluntary obligations are taken into account when establishing, implementing and maintaining its environmental management system. 6.2 Environmental objectives and planning to achieve them 6.2.1 Environmental objectives The organization shall establish environmental objectives at relevant functions and levels. The environmental objectives shall: be consistent with the environmental policy; be measurable (if practicable); be developed to take into account the organization s significant environmental aspects, applicable legal requirements and voluntary obligations; be developed considering the organization s internal and external issues; 594 be monitored; 595 596 597 598 599 600 601 602 603 be communicated; and be updated as appropriate. The organization shall retain documented information on the environmental objectives. 6.2.2 Environmental improvement programmes For each objective, the organization shall define one or more indicators against which performance shall be evaluated and demonstrated. When planning how to achieve its environmental objectives, the organization shall develop a programme and determine: what will be done; ISO 2013 All rights reserved 11

604 605 606 607 608 609 610 611 612 613 614 615 616 617 618 what resources will be required; who will be responsible; how it will be integrated into the organization s processes; when it will be completed; how the results will be evaluated. 7 Support 7.1 Resources The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the environmental management system. 7.2 Competence The organization shall: determine the necessary competence of person(s) doing work under its control or on its behalf that affects its environmental performance; and ensure that these persons are competent on the basis of appropriate education, training, skills or experience; 619 620 where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken; and 621 622 623 624 625 retain appropriate documented information as evidence of competence. NOTE Applicable actions may include, for example: the provision of training to, the mentoring of, or the reassignment of currently employed persons; or the hiring or contracting of competent persons. 7.3 Awareness The organization shall ensure that persons doing work under the organization s control shall be aware of: 626 the environmental policy; 627 628 629 630 631 632 633 634 635 636 the significant environmental aspects and related actual or potential impacts associated with their work, including applicable legal requirements and voluntary obligations; their contribution to the effectiveness of the environmental management system, including the benefits of improved environmental performance; the implications of not conforming with the environmental management system requirements, including applicable legal requirements and voluntary obligations. 7.4 Communication 7.4.1 General The organization shall determine the needs for internal and external communications relevant to the environmental management system including: 12 ISO 2013 All rights reserved

637 on what it will communicate, including relevant environmental information; 638 when to communicate; 639 640 641 642 643 644 645 646 647 648 649 650 651 652 653 654 655 656 657 658 659 660 661 662 663 664 665 666 667 668 669 with whom to communicate; how to communicate, including communication methods, tools and approaches. When planning for communication, the organization shall take into account the requirements of relevant interested parties (see 4.2). 7.4.2 Internal communication With regard to its environmental aspects and environmental management system, the organization shall: a) communicate among the various levels and functions of the organization; and b) respond to relevant internal communication, including those related to environmental performance improvements. The organization shall retain documented information as evidence of its internal communications. 7.4.3 External communication and reporting The organization shall report environmental information externally as required by applicable legal requirements and voluntary obligations, and as determined when planning its communication. External communication, including that related to its environmental performance, products and services shall be: truthful and not misleading; complete, accurate, transparent and reliable; based on and consistent with the information generated within the environmental management system and with the internal evaluation of the organization s environmental performance (see 9.1). The organization shall respond to relevant communication on its environmental management system from external interested parties and retain documented information as evidence of its external communications. 7.5 Documented information 7.5.1 General The organization s environmental management system shall include: documented information required by this International Standard; documented information determined by the organization as being necessary for the effectiveness of the environmental management system; a description of the main elements of the environmental management system and their interaction, including with other business processes. NOTE The extent of documented information for an environmental management system can differ from one organization to another due to: ISO 2013 All rights reserved 13

670 671 672 the size of organization and its type of activities, processes, products and services; the complexity of processes and their interactions; and the competence of persons. 673 674 675 676 677 678 679 680 681 682 683 684 685 686 687 7.5.2 Creating and updating When creating and updating documented information the organization shall ensure appropriate: identification and description (e.g. a title, date, author, or reference number); format (e.g. language, software version, graphics) and media (e.g. paper, electronic); review and approval for suitability and adequacy. 7.5.3 Control of documented information Documented information required by the environmental management system and by this International Standard shall be controlled to ensure: it is available and suitable for use, where and when it is needed; it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). For the control of documented information, the organization shall address the following activities, as applicable distribution, access, retrieval and use; storage and preservation, including preservation of legibility; control of changes (e.g. version control); 688 retention and disposition. 689 690 691 692 693 694 695 696 697 698 699 700 Documented information of external origin determined by the organization to be necessary for the planning and operation of the environmental management system shall be identified as appropriate, and controlled. NOTE Access implies a decision regarding the permission to review the documented information only, or the permission and authority to view and change the documented information, etc. 8 Operation 8.1 Operational planning and control The organization shall specify the way it will plan, implement and control the processes needed to meet environmental management system requirements, and to implement the actions determined in 6.1, by: establishing criteria for the processes; implementing control of the processes, in accordance with the criteria; keeping documented information to the extent necessary to have confidence that the processes have been carried out as planned by: 14 ISO 2013 All rights reserved

701 702 703 704 705 706 707 708 709 710 711 712 713 714 715 716 717 718 719 720 721 722 723 724 725 726 727 728 729 730 731 732 733 734 735 736 737 738 739 740 documenting the way to control situations where its absence could lead to deviation from the environmental policy, environmental objectives, applicable legal requirements and voluntary obligations: and retaining appropriate documented information as evidence of the results. The organization shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary. 8.2 Value chain planning and control The organization shall ensure that upstream and downstream processes related to significant environmental aspects are controlled or influenced. The type and extent of control or influence to be applied to these processes shall be defined within the environmental management system. The organization shall ensure that, in relation to significant environmental aspects, outsourced processes and the processes related to the purchase of goods and services are controlled by: establishing and implement criteria for evaluating the supply of goods, services and outsourced processes, taking a life cycle perspective; specifying environmental requirements as appropriate for the procurement of goods and services or outsourced processes; communicating requirement(s) to suppliers, including contractors. The organization shall consider the result of the evaluation of significant environmental aspects as input in the process of the design, development or change of its products and services. The organization shall consider the need to provide information about potential significant environmental impacts during the use and end of life treatment of the product or during the delivery of the service. NOTE 1 In the context of the outsourced processes the concept of control doesn t imply any requirements of direct control referred to the activity of outsourced organization. It is the decision of the organization to decide the extent of control to be applied for these processes. NOTE 2 Goods and services includes the life cycle of the activity, product or service, which includes, for example, transport, packaging and end-use/disposal. NOTE 3 The nature of the organization s control over the purchase of goods and services or outsourced processes will depend on its importance, the risk of deviation from the environmental policy and objectives, opportunities available, the organization s control and influence, the interaction with other environmental management system processes, the competence of the supplier to meet the requirements of the organization s environmental management system, and the technical competence of the organization to define appropriate controls or assess the adequacy of the outsource process controls. NOTE 4 Ensuring control over outsourced processes does not absolve the organization of the responsibility of conformity to all customer and legal requirements. 8.3 Emergency preparedness and response The organization shall specify the way it will implement and maintain a process to determine potential emergency situations and accidents that can have an impact(s) on the environment and how it will respond to them. The organization shall: ISO 2013 All rights reserved 15

741 742 743 744 745 746 747 748 749 750 751 752 753 754 755 756 757 a) take action to prevent occurrence and reduce the environmental consequences of emergency situations, appropriate to the magnitude of the emergency or accident and the potential environmental impact; b) respond to actual emergency situations and accidents; c) periodically test such plan where practicable; and d) periodically review and, where necessary, revise its emergency preparedness and response plan, in particular, after the occurrence of accidents or emergency situations or tests. The organization shall retain documented information on its emergency response plan. 9 Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation 9.1.1 General The organization shall determine: what needs to be monitored and measured, including: the key characteristics of its operations that can have a significant environmental impact; the key characteristics of the value chain that can have a significant environmental impact, if appropriate; information necessary for the evaluation of compliance; 758 applicable operational controls; 759 760 761 762 763 764 765 766 767 768 769 770 771 772 773 774 progress towards the organization s environmental objectives; the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results; when the monitoring and measuring shall be performed; when the results from monitoring and measurement shall be analysed and evaluated; the criteria against which the organization will evaluate and analyse its performance, using key performance indicators. The organization shall ensure that calibrated or verified monitoring and measurement equipment is used and maintained as appropriate. The organization shall retain appropriate documented information as evidence of the results. The organization shall evaluate the environmental performance and the effectiveness of the environmental management system. 9.1.2 Evaluation of compliance The organization shall specify the way it will implement and maintain process(es) for evaluating compliance with applicable legal requirements and voluntary obligations. Consistent with its commitment to compliance, the organization shall: 16 ISO 2013 All rights reserved

775 776 777 778 779 780 781 782 783 784 785 786 787 788 789 790 791 792 793 794 795 796 797 798 799 800 801 802 803 804 805 806 807 determine the frequency that compliance will be evaluated; evaluate compliance and take action if needed; maintain knowledge and understanding of its compliance status; retain documented information as evidence of the results of its compliance evaluation(s). 9.2 Internal audit The organization shall conduct internal audits, or ensure they are conducted, at planned intervals to provide information on whether the environmental management system: a) conforms to: the organization s own requirements for its environmental management system; the requirements of this International Standard; b) is effectively implemented and maintained. The organization shall: a) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, responsibilities, planning requirements, performing and reporting. The audit programme(s) shall take into consideration the environmental importance of the processes concerned and the results of previous audits; b) define the audit criteria and scope for each audit; c) select competent auditors and conduct audits to ensure objectivity and the impartiality of the audit process; d) ensure that the results of the audits are reported to relevant management; e) ensure that necessary action is taken to address audit results; and f) retain documented information as evidence of the implementation of the audit programme and the audit results. 9.3 Management review Top management shall review the organization's environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness. The management review shall include consideration of: a) the status of actions from previous management reviews; b) changes in external and internal issues that are relevant to the environmental management system including: developments in applicable legal requirements and voluntary obligations; changes in risks and opportunities; c) information on the environmental performance, including trends in: ISO 2013 All rights reserved 17

808 809 810 811 812 813 814 815 816 817 818 819 820 821 822 823 824 825 826 827 828 829 830 nonconformities and corrective actions; monitoring and measurement results, including the extent to which objectives have been met; compliance with applicable legal requirements and voluntary obligations; audit results; and communication(s) from external interested parties, including complaints; d) opportunities for continual improvement. The outputs of the management review shall include: a) conclusions on the continuing suitability, adequacy and effectiveness of the environmental management system; b) decisions related to continual improvement opportunities for environmental performance; and c) any need for changes to the environmental management system, including the environmental policy and environmental objectives consistent with the strategic direction of the organization. The organization shall retain documented information as evidence of the results of management reviews. 10 Improvement 10.1 Nonconformity and corrective action The organization shall specify the way it will implement, and maintain a process for dealing with nonconformities and taking corrective action. When a nonconformity occurs, the organization shall: a) react to the nonconformity, and as applicable: take action to control and correct it: and deal with the consequences, including the mitigation of adverse environmental impact; b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur or occur elsewhere, by: 831 reviewing the nonconformity; 832 833 834 835 836 837 838 determining the causes of the nonconformity; and determining if similar nonconformities exist, or could potentially occur; c) determine and implement any corrective action needed; d) review the effectiveness of any corrective action taken; and e) make changes to the environmental management system, if necessary. Corrective actions shall be appropriate to magnitude of the effects of the nonconformities encountered including impacts on the environment. 18 ISO 2013 All rights reserved

839 840 841 842 843 844 845 846 The organization shall retain documented information as evidence of: the nature of the nonconformities and any subsequent actions taken; and the results of any corrective action taken. 10.2 Continual improvement The organization shall continually improve the suitability, adequacy and effectiveness of the environmental management system to enhance its environmental performance as set by top management in line with the environmental policy. NOTE Opportunities for identifying and implementing continual improvement are given in Annex A. ISO 2013 All rights reserved 19

847 848 Annex A (informative) 849 850 851 852 853 854 855 856 857 858 859 860 861 862 863 864 865 866 867 868 869 870 871 872 873 874 875 876 877 878 879 A.1 General The additional text given in this Annex is strictly informative and is intended to prevent misinterpretation of the requirements contained in this International Standard. While this information addresses and is consistent with the requirements, it is not intended to add to, subtract from, or in any way modify these requirements. A.2 Scope This edition of ISO 14001 does not contain guidance on Clause 1. A.3 Terms and definitions The terms that are defined in Clause 3 have a specialized technical definition and are normative for use in this International Standard. This sub-clause provides further explanation of certain terms and some of the words that are commonly used in management system standards, to help the user understand their implications and to help in translations. Plan detailed formulation of a programme to achieve an objective. Programme planned series of steps, projects or activities to be carried out. Design working out the form, fit or function of something. Purpose anticipated (intended or expected) outcome that guides planned actions. Determine establish or find out. Define state or describe exactly the nature, scope or meaning of that which is under consideration. Identify establish the identity of something. To avoid misunderstanding the requirements, clarifications of selected concepts are provided below. 'NOTES' included in the various clauses of this International Standard are informative. Continuous indicates duration without interruption. Continual indicates duration that continues over a period of time, but with intervals of interruption. Continual is therefore the appropriate word to use in the context of improvement. The word consider means it is necessary to think about but can be rejected; and take into account means it is necessary to think about but cannot be rejected. The words as appropriate and as applicable are not interchangeable. Appropriate means suitable (for, to) and implies some degree of freedom, while applicable means relevant or possible to apply and implies that if it can be done, it should be done. The 3 rd edition of this International Standard uses some new terminology. A brief explanation is given below to aid both new users and those who have used prior editions of this International Standard. 20 ISO 2013 All rights reserved

880 881 882 883 884 885 886 887 888 889 890 891 892 893 Documented information replaces the nouns document and record used in prior editions of this International Standard. Examples of each are given in A.7.5. To distinguish the intent of the generic term documented information, ISO 14001 now uses the phrase...documented information as evidence of... to mean records. The change from...establish, implement and maintain a procedure... to...specify the way it will implement and maintain a process... is intended to harmonize with the standardized management system terminology and to prevent a common misconception that a procedure (or process) has to be documented, not to change the intent of ISO 14001:2004. The change from identify to determine is intended to harmonize with the standardized management system terminology, not to change the intent of ISO 14001:2004. The term determine implies a twostep identification and discovery process that results in knowledge. The term intended outcome means what the organization intends to achieve by implementing its environmental management system, which is outlined in its environmental policy commitments and environmental objectives. 894 895 896 The phrase voluntary obligations replaces the phrase...other requirements to which the organization subscribes used in prior editions of this International Standard. The change is considered simpler to understand, and does not change the intent of ISO 14001:2004. 897 898 899 900 901 902 903 904 905 906 907 908 909 910 911 912 913 914 915 916 917 918 919 The use of the word any implies selection and choice. A.4 Context of the organization A.4.1 Understanding the context of the organization Before designing, developing and implementing an environmental management system, it is important to identify, evaluate and understand the external and internal circumstances, conditions and issues that comprise the context of the organization as it relates to environmental management, since these can significantly influence the design of the environmental management system. The intent of this clause is to provide a high-level, strategic understanding of the important circumstances or conditions that can affect, either positively or negatively, the way the organization manages its environmental responsibilities. The circumstances or conditions of interest are those that give rise to issues that affect the organization s ability to achieve the strategic objectives it sets for its environmental management system, which include meeting its policy commitments. Circumstances or conditions that may create issues for the organization s environmental management system can include, for example: the external cultural, social, political, legal, regulatory, financial, technological, economic, natural and competitive environment, whether international, national, regional or local; key drivers and trends having impact on the objectives of the organization; relationships with, and perceptions and values of external and internal interested parties (see 4.2); regulatory requirements relevant to environmental management (see 6.1.3); environmental conditions such as climate, pollution, resource availability, and biodiversity, and the effect these conditions may have on the organization s ability to achieve its objectives; organizational governance, structure, roles and accountabilities; organizational policies, objectives, and the strategies that are in place to achieve them; ISO 2013 All rights reserved 21

920 921 922 923 924 925 926 927 928 929 930 931 932 933 934 935 936 937 938 939 940 941 942 943 944 945 946 947 948 949 950 951 952 953 954 955 956 957 958 959 960 961 962 the capabilities of the organization, understood in terms of resources and knowledge (e.g. capital, time, people, processes, systems and technologies); information systems, information flows and decision-making processes (both formal and informal); the organization's internal culture; standards, guidelines and models adopted by the organization; form and extent of contractual relationships; the life cycle of the organization s products and services; and changes in these circumstances or conditions, relevant to the environmental management system. The knowledge gained by understanding the context of the organization and the relevant external and internal issues that relate to its environmental management system (see 4.1) should be considered in the design of the environmental management system. A.4.2 Understanding the needs and expectations of interested parties Interested parties include legal and regulatory authorities (local, regional, state/provincial, national or international), as well as other interested parties relevant to the environmental management system, such as parent organizations, customers, trade associations, community groups, non-governmental organizations, neighbours, employees and others working on behalf of the organization. There are different types of requirements related to the needs and expectations expressed by relevant interested parties. Interested party requirements are not necessarily requirements of the organization. Some interested party requirements reflect needs and expectations that are mandatory because they have been incorporated into laws, regulations, permits and licenses by governmental or even court action. Others the organization may decide to voluntarily adopt, i.e., subscribe to, and address within their environmental management system ( voluntary obligations ) (see A.6.1.3). Requirements from interested parties that are not legal requirements become obligatory only when they are specified and the organization decides that it will subscribe to them. At the stage before subscription, they are simply needs and expectations that comprise the requirements of the interested party, but are not requirements of the organization. Once the organization subscribes, then they become organizational requirements and should be considered when planning for the environmental management system (see 6.1.3). An open dialogue with relevant interested parties and regular, transparent communication of environmental information may help organizations to better understand their needs and expectations. A.4.3 Scope of the environmental management system The scope of the environmental management system is intended to clarify the spatial and organizational boundaries to which the environmental management system will apply, especially if the organization is a part of a larger organization at a given location. An organization has the freedom and flexibility to define its boundaries and may choose to implement this International Standard with respect to the entire organization, or to specific operating units of the organization. The organization should define and document the scope of its environmental management system; options may include a written description, a site map, an organizational diagram, written definition of key, supporting and outsourced processes, or any combination thereof. In setting the scope, the credibility of the environmental management system will depend upon the choice of organizational boundaries. Scoping is not to be used as a means to exclude activities, products, services, or facilities that have, or can have significant environmental aspects and impacts. Once the scope is defined, all activities, products and services of the organization within that scope, including relevant 22 ISO 2013 All rights reserved

963 964 965 966 967 968 969 970 971 972 973 974 975 976 977 978 979 980 981 982 983 984 985 986 987 988 989 990 991 992 993 994 995 996 997 998 999 1000 1001 1002 1003 1004 outsourced processes carried out by suppliers and contractors, need to be included in the environmental management system. This International Standard has no provision for exclusion of any of portion of the Standard: adherence to all clauses is required. When defining the boundaries of its environmental management system, the organization may want to consider its sphere of influence in terms of its ability to exert control or influence over activities across the life cycle of its products and services. If this International Standard is implemented for a specific operating unit, policies and procedures developed by other parts of the organization can be used to meet the requirements of this International Standard, provided that they are applicable to the specific operating unit that will be subject to it. A.4.4 Environmental management system This International Standard outlines the requirements of a robust, credible and reliable environmental management system. The organization retains authority, accountability, and autonomy, to decide how it will fulfil the environmental management system requirements, including the level of detail and extent to which it will integrate environmental management system requirements into its various business functions, such as design & development, procurement, human resources, sales and marketing, etc. When determining the extent of processes needed for the environmental management system, an organization should consider the environmental importance and the extent to which the results are dependent on the specific way the process is conducted. The organization should consider opportunities for integrating environmental management system activities into its business processes, including a) management of its environmental aspects that may have significant impacts on the environment, for example through integration with design processes, management of change processes and operational processes; b) consideration of the impact environmental conditions may have on the organization, for example through integration with the organization s strategic planning process; c) management of its compliance with legal requirements and voluntary obligations and the capability to pro-actively demonstrate its compliance status, for example through integration with operational processes; d) continual improvement of its environmental management system, and the capability to proactively demonstrate and communicate the environmental performance that is achieved; and e) communication and engagement with relevant interested parties, for example through integration with external communication processes. A.5.1 Leadership and commitment Commitment, responsiveness, active support and feedback from the organization s top management are critical for the success of the environmental management system. Top management has specific responsibilities in order to ensure that the environmental management system fulfils its intended outcomes, including: establishing an environmental policy and setting the environmental performance of the organization, from a long-term, strategic perspective (see 5.1, 5.2 and 10.2); understanding the context of the organization as distilled in 4.1 and 4.2, and ensuring that the knowledge gained is considered when the environmental management system is established; ISO 2013 All rights reserved 23

1005 1006 1007 1008 1009 1010 1011 1012 1013 1014 1015 1016 1017 1018 1019 1020 1021 1022 1023 1024 1025 1026 1027 1028 1029 1030 1031 1032 1033 1034 1035 1036 1037 1038 1039 1040 1041 1042 1043 1044 1045 1046 1047 1048 1049 ensuring that the environmental management system is integrated with the business processes as appropriate and achieves its intended outcomes (see 5.1); communicating the importance of an effective environmental management system (see 5.1) and reviewing its suitability, adequacy and effectiveness (see 9.3). In addition, top management can demonstrate its leadership and commitment with regard to others in the organization by directing and providing necessary resources for employees and persons working under the control of the organization to carry out planned actions that contribute to the effectiveness of the environmental management system; ensuring that the responsibilities and authorities related to environmental management for relevant management roles are assigned and communicated, including line management, engineering, purchasing, staffing and facilities management functions; and encouraging and supporting persons in these management roles to demonstrate their leadership in environmental management within their own areas of responsibility, by integrating environmental management into their functional activities and supporting actions that contribute toward the effectiveness of the environmental management system. A.5.2 Environmental policy The environmental policy is the driver for implementing and improving an organization s environmental management system so that it can maintain and potentially improve its environmental performance consistent with the expectations of top management. This policy should therefore reflect the commitment of top management to comply with applicable legal requirements and voluntary obligations as determined in 6.1.3, as well as to the prevention of pollution, and to continual improvement. It can also include other commitments that are specific to and add value to the organization, such as sustainable resource use, climate change mitigation and adaptation, and protection of biodiversity and ecosystems, remediation of historical contamination, or other relevant environmental protection initiatives. The environmental policy forms the basis upon which the organization sets its objectives and targets. The environmental policy should be sufficiently clear to be capable of being understood by internal and external interested parties and should be periodically reviewed and revised to reflect changing conditions and information. Its area of application (i.e. scope) should be clearly identifiable and should reflect the unique nature, scale and environmental impacts of the activities, products and services within the defined scope of the environmental management system. The environmental policy should be communicated to all persons who work for, or on behalf of, the organization, including contractors working at an organization s facility. Communication to contractors can be in alternative forms to the policy statement itself such as rules, directives and procedures and may therefore only include pertinent sections of the policy. The organization s environmental policy should be defined and documented by its top management within the context of the environmental policy of any broader enterprise of which it is a part, and with the endorsement of that enterprise. NOTE Top management may consist of a person or group of people who direct and control an organization at the highest level. By reading the standard as a whole and understanding the relationship between the relevant provisions of the standard, an organization can demonstrate its commitment to comply with applicable legal requirements and voluntary obligations by incorporating its commitment into the planning, implementation and improvement of the environmental management system, including: defining a policy that includes a commitment to comply with applicable legal requirements and voluntary obligations (see 5.2); 24 ISO 2013 All rights reserved

1050 1051 1052 1053 1054 1055 1056 1057 1058 1059 1060 1061 1062 1063 1064 1065 1066 1067 1068 1069 1070 1071 assigning roles with defined responsibilities and authorities for compliance related requirements (see 5.3); identifying applicable legal requirements and voluntary obligations (see 6.1.2); establishing environmental objectives that take into account its legal requirements and voluntary obligations (see 6.2.1); establishing programmes to achieve any objectives that relate to legal requirements and voluntary obligations (see 6.2.2); being properly supported with adequate resources to meet the compliance-related requirements (see 7.1); making persons working for or on behalf of the organization aware of the compliance-related processes developed pursuant to 8.1 that are related to their work (see 7.3), and ensuring persons whose work can cause the organization s significant environmental impacts are competent. To the extent that such work also involves legal requirements or voluntary obligations, the competency of such persons must include the capability to meet those requirements; maintaining sufficient documented information to demonstrate achievement of compliance-related requirements (see 7.5); knowing its compliance status by monitoring, measuring, analysing (see 9.1) and periodically evaluating compliance (see 9.1.2); periodically conducting internal audits, which necessarily include those elements of the environmental management system that are compliance-related (see 9.2); dealing with nonconformities and taking corrective action (see 10.1) and correcting detected noncompliance with legal requirements or voluntary obligations (see 9.1.2); 1072 1073 top management reviewing the adequacy, suitability and effectiveness of the environmental management system (see 9.3). 1074 1075 1076 1077 1078 1079 1080 1081 1082 1083 1084 1085 1086 1087 1088 1089 Taken together, these provisions mean that an organization implementing ISO 14001 must systematically identify and manage its compliance obligations in line with the commitment to comply by including the components listed above within its environmental management system. This does not mean that the implementing organization has to be in 100 % compliance 100 % of the time. A non-compliance may not rise to the level of a system failure, if for example, it is identified and corrected by the environmental management system processes. Further, compliance-related systems non-conformities that are detected must be corrected, even if those non-conformities have not resulted in actual non-compliance with the law. A.5.3 Organization roles, responsibilities and authorities All persons working for or on behalf of the organization are responsible for supporting the organization s policy commitments and other applicable arrangements related to its environmental management system. The roles of: a) ensuring that the management system conforms with the requirements of this International Standard, and b) reporting on the performance of the environmental management system can be assigned to an individual, sometimes referred to as the management representative, shared by several individuals, or assigned to an environmental management team. Such individuals should have ISO 2013 All rights reserved 25

1090 1091 1092 1093 1094 1095 1096 1097 1098 1099 1100 1101 1102 1103 1104 1105 1106 1107 1108 1109 1110 1111 1112 1113 1114 1115 1116 1117 1118 1119 1120 1121 1122 1123 1124 1125 1126 1127 sufficient access to top management in order to keep management informed of the status and performance of the environmental management system. A.6 Planning A.6.1 Actions to address risks and opportunities The context of the organization (see 4.1 and 4.2) provides an overarching framework for evaluating the risks and opportunities as in 6.1. It provides a basis for identifying environmental aspects and for establishing criteria for determining those that may have a significant environmental impact. It also provides a basis for establishing criteria for evaluating risks to the organization related to non-compliance with applicable legal requirements and voluntary obligations. Risk determination may involve a qualitative or quantitative assessment of the likelihood and consequences of actual or potential environmental impacts. Non-compliance with applicable legal requirements or voluntary obligations can have business impacts. The organization determines the risk criteria consistent with the organization s context. More guidance on the risk assessment concept is set out in ISO 14004. A.6.1.1 General [This clause is under construction, pending completion of white paper on risks and opportunities] A.6.1.2 Risks and opportunities associated with environmental aspects Changes to the environment, either adverse or beneficial, that result wholly or partially from environmental aspects are called environmental impacts. The environmental impact may occur at local, regional and global scales, while they may also be direct, indirect or cumulative by nature. Sub-clause 6.1.2 sets out the process(es) an organization should use to identify its environmental aspects and to determine those aspects that are significant, i.e. those that have or can have a significant environmental impact. The relationship between environmental aspects and environmental impacts is one of cause and effect. An organization should identify the environmental aspects of the activities, products and services that are within the scope of its environmental management system. This should take into account: the life cycle perspective, including inputs and outputs of its processes (both intended and unintended); management of change, including planned or new developments, or new or modified activities, products and services; normal and abnormal operating conditions; shut-down and start-up conditions; reasonably foreseeable emergency situations. Organizations do not have to consider each product, component or raw material individually, and may select categories of activities, products and services to identify and evaluate their environmental aspects, when they have similar environmental impacts. There is no single approach for identifying environmental aspects. Factors often considered in determining whether an element of an activity, product or service can interact with the environment include: a) emissions to air; b) releases to water; 26 ISO 2013 All rights reserved

1128 1129 1130 1131 1132 1133 1134 1135 1136 1137 1138 1139 1140 1141 1142 1143 1144 1145 1146 1147 1148 1149 1150 1151 1152 1153 1154 1155 1156 1157 1158 1159 1160 1161 1162 1163 1164 c) releases to land; d) use of raw materials and natural resources; e) use of energy; f) energy emitted, e.g. heat, radiation, vibration (noise) and light; g) generation of waste and/or by-products; and h) impacts on wildlife, cultural heritage, biodiversity, ecosystem processes and people. In addition to the environmental aspects an organization can control directly, an organization needs to determine whether there are environmental aspects that it can influence. These can be related to goods and services used by the organization which are provided by others, as well as products and services that it provides to others outside the organization, including those associated with outsourced processes. However, in all circumstances it is the organization that determines the degree of control it is able to exercise, the environmental aspects it can influence, and the extent to which it chooses to exercise any such influence. Consideration should be given to environmental aspects related to the organization's activities, such as: product, process and facility design and development; manufacturing processes; product packaging and transportation; and operation and maintenance of facilities, organizational assets and infrastructure. Consideration should also be given to environmental aspects related to products, by-products and services, such as: environmental performance and practices of contractors and suppliers; waste generation, management and disposal; use of raw materials and natural resources; and distribution, use and end-of-life of products. With respect to products and services the organization provides and renders to others, organizations may have limited influence on the use and final disposal of their products once they leave their control. Organizations should consider, where practicable, a life cycle perspective in identifying the environmental aspects of its products and services. Once an organization identifies its environmental aspects and associated environmental impacts, it should establish criteria and adopt appropriate methods to determine those environmental aspects that have or can have significant impacts, i.e. significant environmental aspects. There is no single method or list of criteria for determining significant environmental aspects. The method(s) and criteria used should be appropriate to the nature and scale of the organization s environmental impacts and provide reliable results. The method(s) should include the establishment and application of evaluation criteria that take into consideration the context of the organization. Criteria may be related to environmental matters related to the environmental aspect or impact, legal issues and the concerns of internal and external interested parties. ISO 2013 All rights reserved 27

1165 1166 1167 1168 1169 1170 1171 1172 1173 1174 1175 1176 1177 1178 1179 1180 1181 1182 1183 1184 1185 1186 1187 1188 1189 When developing information relating to the determination of its significant environmental aspects, the organization should consider the need to retain the information for historical purposes, as well as what information will be useful in designing and implementing its environmental management system. It is up to the organization to determine the nature and level of detail of the documented information it retains related to the identification and evaluation of its environmental aspects. The process of identification and evaluation of environmental aspects should take into account the location of activities, cost and time required to undertake the analysis and the availability of reliable data. Information already developed for regulatory or other purposes can be used in these processes. This process of identifying and evaluating environmental aspects is not intended to change or increase an organization's legal obligations. The significant environmental aspects are to be taken into account in establishing, implementing and maintaining the organization's environmental management system. A.6.1.3 Legal requirements and voluntary obligations The organization needs to identify the requirements that are applicable to its environmental aspects. This should include a determination of whether these requirements are mandatory requirements or voluntary obligations. Legal requirements are mandatory requirements issued by governmental entities. These may include: a) national and international legal requirements; b) state/provincial/departmental legal requirements; c) local governmental legal requirements; and d) the provisions of permits and/or licenses issued by governmental entities. Voluntary obligations are other requirements related to its environmental aspects, to which the organization voluntarily subscribes. These may include, if applicable: voluntary collaborative governance arrangements; agreements with customers; 1190 non-regulatory guidelines; 1191 1192 1193 1194 1195 1196 1197 1198 1199 voluntary principles or codes of practice; voluntary environmental labelling or product stewardship commitments; requirements of trade associations; agreements with community groups or non-governmental organizations; public commitments of the organization or its parent organization; and corporate/company requirements. The primary difference between a legal requirement and a voluntary environmental obligation is that the organization chooses to adhere to its voluntary obligations. However, in many cases, once that choice is made, adherence is mandatory, particularly where legally binding agreements are made. 28 ISO 2013 All rights reserved

1200 A.6.2 Environmental objectives and planning to achieve them 1201 A.3.1.1 Environmental objectives 1202 1203 1204 1205 1206 1207 1208 1209 1210 1211 1212 1213 1214 1215 1216 1217 1218 1219 1220 1221 1222 1223 1224 1225 1226 1227 1228 1229 1230 1231 1232 1233 1234 1235 1236 Environmental objectives may be either strategic, as set by top management and applicable to the whole organization, or tactical, established for specific units or functions within the organization and compatible with the strategic objectives, or both. The objectives established should be specific and measurable, wherever practicable. They can include both short and long-term goals and should be updated, as appropriate. In setting its environmental objectives, the organization must take into account: its significant environmental aspects; and its applicable legal requirements and voluntary obligations, and may also consider: internal issues such as the organization s improvement priorities, resources, operations and business requirements; external issues such as environmental conditions, social and cultural circumstances, and technological options; or relationships with and requirements of internal and external interested parties. Consistency with the environmental policy means that the environmental objectives need to be broadly aligned and harmonised with the environmental policy commitments made by top management. A.6.2.1 Environmental improvement programmes In selecting environmental performance indicators (EPIs) for its objectives, the organization should consider the need for indicators related to its environmental management (management performance indicators, or MPIs) and its operational performance (operational performance indicators, or OPIs). It may also wish to consider indicators that provide information about the condition of the environment that may be impacted by the organization (environmental condition indicators, or ECIs). More guidance on setting environmental indicators can be found in ISO 14031. The creation and use of one or more environmental improvement programmes can help ensure that progress in achieving the established environmental objectives is monitored, and the status updated and reported as appropriate. Organizations may decide to incorporate environmental objectives into broader business improvement programmes. Improvement programmes should include information concerning what will be done to achieve the organization's environmental objectives, including timeframes for when tasks will be completed, necessary resources, responsibilities for achieving results and how the results will be evaluated. Improvement programmes may be established for current and new activities, products or services and can adopt a life cycle perspective, including planning, design, materials, procurement, production processes, use, marketing and ultimate disposal. Programme(s) may be subdivided to address specific elements of the organization's activities, products and services. ISO 2013 All rights reserved 29

1237 1238 1239 1240 1241 1242 1243 1244 1245 1246 1247 1248 1249 1250 1251 1252 1253 1254 1255 1256 1257 1258 1259 1260 1261 1262 1263 1264 1265 1266 1267 1268 1269 1270 1271 1272 1273 1274 1275 1276 1277 A.7 Support A.7.1 Resources Resources include human resources and specialized skills, organizational infrastructure, technology and financial resources. A.7.2 Competence This sub-clause applies to any person whose work has the potential to cause a significant environmental impact, contribute to the achievement of an environmental objective or in any other way affect environmental performance. For example, in a manufacturing organization, this may include office personnel, janitorial staff and security personnel. It may also apply to persons involved in outsourced processes, as appropriate. Work that is under the organization s control is work that takes place within the scope of the environmental management system. This may be defined by, for example, a geographic location (a building, a city, etc.) or an organizational boundary. In the special case of work performed via outsourced processes (where an external organization performs part of an organization s function or process), the organization may have partial or no control over the work performed by the external organization; therefore this sub-clause is applicable to the extent the organization has the capability to exert control on the outsourced process. However, if the external organization is performing the work within the geographic location of the organization, then the organization may be able to exert extensive or even full control on the outsourced process. A.7.3 Awareness Ensuring that persons doing work under the organization s control are actively involved is critical to the success of the environmental management system. In particular, the participation of the organization s employees and the level of information provided to them are key factors to the achievement of continual improvement of both the environmental management system and environmental performance. Participation by personnel can be expected to positively influence the behaviors that are required to achieve this continual improvement. Ensuring that persons doing work under the organization s control are aware of the environmental policy and environmental objectives should not be taken to mean that they must memorize or have a copy of the actual, documented policy and objectives; rather, they should be aware of their existence and purpose. A.7.4 Communication This edition of ISO 14001 does not contain guidance on this sub-clause. A.7.5 Documented information The intent of clause 7.5 is to ensure that organizations create and maintain documented information in a manner sufficient to implement the environmental management system. However, the primary focus of organizations should be on the effective implementation of the environmental management system and on environmental performance and not on a complex documented information control system. The description of the main elements of the environmental management system should be sufficient to describe how its parts work together, and provide direction on where to obtain more detailed information, if any, on the operation of specific parts of the environmental management system. This documentation may be integrated with documentation of other systems implemented by the organization. It does not have to be in the form of a manual. 30 ISO 2013 All rights reserved

1278 1279 1280 1281 1282 1283 1284 1285 1286 1287 1288 1289 This edition of ISO 14001 uses the term documented information (see 3.18) to refer to information that the organization needs to keep, captured in any media. The term encompasses the nouns document and record used in previous editions. This edition of ISO 14001 requires the organization to retain a minimum set of documented information. Any decision to retain documented information beyond that required by the standard may be based on issues such as: the consequences, including those to the environment, of not doing so; the need to demonstrate compliance with legal requirements and with voluntary obligations; the need to ensure that an activity is undertaken consistently; and the advantages of doing so, which can include: easier implementation through communication and training; less risk of ambiguity and deviation; and 1290 demonstrability and visibility. 1291 1292 1293 1294 Examples of documented information include: statements of policy and objectives; information on risks and significant environmental aspects; descriptions of the specified way to perform an activity; 1295 organizational charts; 1296 internal and external standards; 1297 1298 maintenance plans; drawings; 1299 materials data sheets; 1300 applicable legal requirements; 1301 1302 site emergency plans; and evidence of activities performed or results achieved, such as: 1303 1304 1305 complaints received; training activities; process monitoring; 1306 1307 inspection, maintenance and calibration records; pertinent contractor and supplier records; ISO 2013 All rights reserved 31

1308 1309 1310 incidents reported; emergency preparedness tests; audit results; 1311 1312 management review results; records of significant environmental aspects; 1313 environmental meetings; 1314 1315 1316 1317 1318 1319 1320 1321 1322 1323 1324 1325 1326 1327 1328 1329 1330 1331 1332 1333 1334 1335 1336 1337 1338 1339 1340 1341 objectives and programmes follow up; legal compliance; and communications with relevant interested parties. Documented information, originally created for purposes other than the environmental management system, may be used as part of this system and, if so used, will need to be referenced in the environmental management system documented information system. A.8 Operation A.8.1 Operational planning and control Based on its evaluation of its environmental aspects, the organization should ensure that its operations are conducted in a way that will control or reduce the adverse environmental impacts, in order to comply with its legal requirements and voluntary obligations, fulfil the commitments of its environmental policy and meet its environmental objectives. This should include all parts of its operations, including maintenance activities. When determining controls, or considering changes to existing controls, consideration should be given to eliminating or reducing the risk of an environmental impact according to the following hierarchy: a) elimination; b) substitution; c) engineering controls; d) signage/warnings and/or administrative controls. It is up to the organization to establish the level of documented information that is needed to ensure that operational planning and control conform to specifications. When doing so, the organization needs to consider the potential deviations that may occur from the environmental policy, environmental objectives, applicable legal requirements and voluntary obligations if documented information were not available. The Note to 7.5.1 and A.7.5 may help organizations to decide the extent of documented information that should be kept. Documented information may be developed to explain: a specific sequence of activities that needs to be carried out; qualification of the personnel involved (including any workmanship required); key variables that need to be kept within certain limits (time, physical, biological, etc); 32 ISO 2013 All rights reserved

1342 1343 1344 1345 1346 1347 1348 1349 1350 1351 1352 1353 1354 1355 1356 1357 1358 1359 1360 1361 1362 1363 1364 1365 1366 1367 1368 1369 1370 1371 1372 1373 characteristics of the materials to be used; characteristics of the infrastructure to be used; characteristics of the products resulting from the process. A.8.2 Value chain planning and control An organization s consideration of its significant environmental aspects includes the goods and services the organization procures (the upstream processes) and the use or eventual disposal of the products and services the organization produces (the downstream processes). When evaluating suppliers of goods and services the organization procures, the organization may base its decisions partly upon the environmental impacts associated with the manufacturing of these goods and the provision of these services, as well as the organization s contractual and legal requirements. ISO 14001 now includes requirements related to outsourced processes, to address situations where an organization makes arrangements for some of its processes to be performed by external parties. Examples of outsourcing include: a manufacturer contracts with another company to design or manufacture some of its intermediate or final products; a service provider contracts with another entity to provide services for its customers; and a company hires an external organization to run one of its key functions (e.g.: purchasing, human resources, maintenance). Organizations seldom fully control the activities of external organizations; in lieu of full control, organizations can exert some degree of influence or partial control. In either case, the organization decides the type and extent of control or influence, based upon such factors as: its knowledge, competence and resources; the potential impact of the outsourced process on the organization's capability to provide product that conforms to requirements; the degree to which the control for the process is shared; the capability of achieving the necessary control through the application of its general procurement process. In the particular case of SMEs, the level of influence that they can exert may be limited by their relative size, compared with the organization to which a process is outsourced. A.8.3 Emergency preparedness and response The 3 rd edition of this International Standard does not contain guidance on this sub-clause. ISO 2013 All rights reserved 33

1374 1375 1376 1377 1378 1379 1380 1381 1382 1383 1384 1385 1386 1387 1388 1389 1390 1391 1392 1393 1394 1395 1396 1397 1398 1399 1400 1401 1402 1403 1404 1405 1406 1407 A.9 Performance evaluation A.9.1 Monitoring, measurement, analysis and evaluation A.9.1.1 General In order to satisfy the requirements for monitoring and measurement, the organization may develop a plan to specify what it will monitor and measure, and how and when this will be done. In addition to providing information on environmental performance and the effectiveness of the management system, monitoring and measurement are important in providing the organization with information concerning its compliance status. The organization should determine the frequency of monitoring and measurement, to ensure that it has sufficient information for analysing and evaluating its environmental performance. It should also determine how often it evaluates the information, how this is done and how it makes use of the results. In order to ensure that its commitments and objectives are achieved, the organization should ensure that: The results of monitoring and measurement are reliable, reproducible and traceable; The findings of the resultant analysis and evaluation are reported internally to those with responsibility and authority to initiate appropriate corrective action, and The information obtained is communicated externally in accordance with legal requirements and voluntary obligations. The organization should also determine how it may evaluate the environmental performance of its products or of organizations in its value chain. NOTE In order to ensure that results are reliable, reproducible and traceable, the organization should implement a quality assurance process which addresses sampling methods and sample security, integrity of equipment, the accreditation and reliability of laboratories, the analysis of resultant data and the competence of persons involved in the process. A.9.1.2 Evaluation of compliance The frequency of periodic evaluations of compliance may vary depending on the importance of the requirement and the organization s past performance, but all legal requirements and voluntary obligations need to be evaluated. An organization can use a variety of methods to maintain its knowledge and understanding of its compliance status, including: review of documented information, i.e., procedures, documents, records; facility tour or inspections; direct observation or interviews; project or work reviews; review of sample analysis or test results, and comparison to regulatory limits; 1408 verification sampling/testing; 1409 compliance audits, including those conducted by 1 st, 2 nd or 3 rd parties. 34 ISO 2013 All rights reserved

1410 1411 1412 1413 1414 1415 1416 1417 1418 1419 1420 1421 1422 1423 1424 1425 1426 1427 1428 1429 1430 1431 1432 1433 1434 1435 1436 1437 1438 1439 1440 1441 1442 1443 1444 1445 1446 1447 An organization may wish to combine its evaluation of compliance to voluntary obligations with the evaluation of legal compliance. In the event that the results of evaluation indicate a failure to meet a legal requirement, the organization should determine and implement the actions necessary to achieve compliance. This may require communication with the regulating agency and agreement on a course of action. Similarly, it is necessary to take action to address a failure to meet a voluntary obligation. The organization should ensure that persons responsible for evaluating compliance and determining the need for follow-up action are competent. This may involve engaging external technical support. The results of the periodic evaluations are required to be documented. The outputs and outcomes of this evaluation should be considered in the management review (see 9.3). A.9.2 Audits The management and conduct of internal audits should abide by the principles of integrity, fair presentation, due professional care, confidentiality, independence and an evidence-based approach. In order to ensure the objectivity and impartiality of the audit process, the auditors selected should be independent of the activities or processes they will audit, where this is possible. It is recognized that in small organizations this may not be achievable, but the auditor should in all cases act in a manner that is free from bias and conflict of interest. Internal audits of an environmental management system can be performed by personnel from within the organization or by external persons selected by the organization, working on its behalf. The extent of an audit programme should be based on the size and nature of the organization being audited, as well as on the nature, functionality, complexity and the level of maturity of the management system. In determining the objectives and scope of the audit programme and individual audits, consideration should be given to the organization s environmental aspects and other relevant factors including: management priorities and other business considerations; legal requirements and voluntary obligations; management system requirements; and previous performance, as demonstrated by the results of monitoring and measurement, past incidents and non-conformances or the results of previous audits (whether internal or undertaken by external parties). Organizations may decide to combine one or more disciplines (for example environment and health and safety) in a single audit. Where this is done, the organization should ensure that sufficient resources are provided for the achievement of the environmental objectives of the audit. Individuals who are involved in planning and conducting audits should demonstrate competence, which should be evaluated through a process that considers personal behaviour and the ability to apply the knowledge and skills gained through education, work experience, auditor training and audit experience. NOTE Guidance on establishing an audit programme, performing management system audits and evaluating auditor competence is given in ISO 19011. ISO 2013 All rights reserved 35

1448 1449 1450 1451 1452 1453 1454 1455 1456 1457 1458 1459 1460 1461 1462 1463 1464 1465 1466 A.9.3 Management review Top management should review the environmental performance of the organization and the effectiveness of its environmental management system at planned intervals. This review can be performed as part of top management s review of overall business performance. It is important that top management evaluates its own performance against the requirements for leadership commitments set out in clause 5.1. Top management should consider trends in environmental performance, but statistical trend analysis is not necessarily required. The outputs of the management review should include recommendations for the continuing suitability, adequacy and effectiveness of the environmental management system, opportunities for environmental performance improvement and any need for changes to improve the environmental management system, including the environmental policy and environmental objectives, consistent with the strategic direction of the organization and resources available. Adequacy of the environmental management system refers to it meeting the requirements and being implemented appropriately. Suitability refers to how it fits the organization, its operations, culture, and business systems. Effectiveness refers to whether it is achieving the desired results. When considering new or different circumstances, the review should also consider if the organization has effective processes for managing change. A.10 Management review 1467 A.10.1 Nonconformity and corrective action 1468 1469 1470 1471 1472 1473 1474 1475 1476 1477 1478 1479 The retained documented information on the results of any corrective action includes information on the review of the effectiveness of these actions. The previous edition of ISO 14001 made reference to preventive action as action taken to prevent the occurrence of an identified potential non conformity. In this edition, the concept of preventive action is embedded in different clauses of this International Standard: in 6.1, since the risks analysis and assessment is, in itself, a way of identifying the need for preventive actions, and the actions planned to address those identified risks can be seen as the actions taken to prevent the occurrence of undesired environmental impacts; in 9.1, since the analysis of the results of monitoring and measurement can provide information on trends that could trigger the need for action to prevent the occurrence of a nonconformity; and in 10.1, since the evaluation of actions to be taken when a nonconformity occurs, include the need to determine if similar non conformities could occur elsewhere. 1480 A.10.2 Continual improvement 1481 1482 1483 1484 1485 1486 1487 This clause requires the organization to continually improve the suitability, adequacy and effectiveness of its environmental management system. System improvement involves making changes to the design and implementation of the management system in order to improve the organization s ability to achieve conformity with the requirements of this International Standard and meet its environmental objectives and policy commitments. Although there may be value in improving the system elements alone, the intended outcome of planned actions and other system changes is an improvement in the environmental footprint of the organization. 36 ISO 2013 All rights reserved

1488 1489 1490 1491 1492 1493 1494 1495 1496 1497 1498 1499 1500 1501 1502 1503 1504 1505 1506 1507 1508 1509 1510 The organization periodically should review and evaluate its environmental management system to identify opportunities for improvement, and plans actions to be taken, as appropriate. The rate, extent and timescale of actions that support continual improvement are determined by the organization, in light of its context, economic factors, and other circumstances. Environmental performance improvement involves taking action related to the management of the organization s environmental aspects towards reducing adverse impacts or increasing beneficial impacts. Environmental performance improvements means improvement (i.e. reduction) in any of the environmental impacts associated with the organizations activities, products or services. Several elements of the environmental management system, as described in this International Standard, are designed to assist the organization in achieving continual improvement of its environmental performance; a coordinated implementation of these elements may help to develop a robust way to achieve this improvement, including: analysing the external and internal context (see 4.1); determining the needs and expectations of interested parties (see 4.2); taking preventive actions to address risks and opportunities (see 6.1); taking into account complaints and opinions of the interested parties (see 7.4); establishing environmental objectives (see 6.2); implementing operational controls (see 8.1), taking into consideration new technologies, methods or information available; monitoring, measuring analyzing and evaluating performance (see 9.1); conducting internal audits (see 9.2); conducting management reviews (see 9.3); and reacting to nonconformity(ies) and implementing corrective action(s) (see 10.1). ISO 2013 All rights reserved 37

1511 1512 1513 1514 Annex B (informative) Correspondence between ISO 14001:2004 and ISO 14001:201X 1515 1516 Table B.1 Correspondence between ISO 14001:201X and ISO 14001:2004 ISO 14001:201X ISO 14001:2004 Context of the organization (title only) 4 Understanding the organization and its 4.1 context Understanding the needs and 4.2 expectations of interested parties Determining the scope of the 4.3 4.1 General requirements environmental management system 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 5.3 4.4.1 Resources, roles, responsibility and authorities authority Planning (title only) 6 4.3 Planning (title only) Actions to address risks and 6.1 opportunities (title only) General 6.1.1 Environmental aspects 6.1.2 4.3.1 Environmental aspects Legal requirements and voluntary 6.1.3 4.3.2 Legal and other requirements obligations Environmental objectives and planning to 6.2 4.3.3 Objectives, targets and programme(s) achieve them (title only) 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) 38 ISO 2013 All rights reserved

1517 1518 1519 Table B.1 (continued) ISO 14001:201X ISO 14001:2004 Monitoring, measurement, analysis and 9.1 4.5.1 Monitoring and measurement evaluation (title only) 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 Table B.2 Correspondence between ISO 14001:2004 and ISO 14001:200X 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 4 requirements (title only) 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 2013 All rights reserved 39

1520 1521 Table B.2 (continued) 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 4.5.3 10.1 Nonconformity and corrective action preventive 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) 40 ISO 2013 All rights reserved

1522 1523 1524 1525 Annex C (informative) Correspondence between ISO 14001:201X and PDCA model 1526 1527 1528 1529 1530 1531 1532 1533 1534 ISO 14001 is an International Standard that contains requirements that an organization applies to enhance management control over its interactions with the environment. Where an organization chooses to start its efforts to improve using the PDCA cycle is determined by the organization. The High Level Structure HLS 2 does not prescribe the sequence of activities that an organization follows to implement a robust, credible and reliable environmental management system to achieve continual improvement. Table C.1 outlines the clause relationship between the High Level Structure and the PDCA approach, and how it relates to ISO 14001:2004. Table C.1 An Explanation of the PDCA and the High Level Structure for an Environmental Management System High Level Structure HLS PDCA ISO 14001:2004 4 Context of the organization PLAN 4.1 Understanding the organization and its context 4.2 Understanding the needs and expectations of 4.3.2 interested parties 4.3 Determining the scope of the environmental 4.1 management system 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 2 ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL, appendix 2, 3 & 4 of. ISO 2013 All rights reserved 41

1535 Table C.1 (continued) 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 42 ISO 2013 All rights reserved

1536 Bibliography 1537 1538 1539 1540 1541 1542 1543 1544 1545 1546 ISO 14001:2004, Environmental management systems Requirements with guidance for use ISO 14001 Cor. 1:2009, Environmental management systems Requirements with guidance for use; Technical Corrigendum 1 ISO 14004, Environmental management systems General guidelines on principles, systems and support techniques ISO 14031, Environmental management Environmental performance evaluation Guidelines ISO 26000, Guidance on social responsibility ISO/IEC Guide 73, Risk management. Vocabulary. Guidelines for use in standards ISO/IEC Directives, Part 1 and Consolidated ISO Supplement Procedures specific to ISO, 3rd edition, Annex SL ISO 2013 All rights reserved 43