Committee Draft 2 14001

ISO/TC 207/SC 1/N 997

Our ref.: MJH Date: 22 October 2013

Secretariat of ISO/TC 207/SC 1 Environmental Management Systems

Dear member

ISO/CD 14001.2

At its meeting in Bogota, Colombia, ISO/TC 207/SC 1/WG 5 responsible for the revision to ISO 14001 Environmental management systems - Requirements with guidance for use, agreed that a second Committee Draft (CD2) should be circulated for comment and vote for a period of three months.

Comments and votes should be submitted via the ISO Committee Internal Balloting system by 23 January 2014.

Members should use the most recent version of the ISO commenting template (issued 19 December 2012). To assist with the compilation of comments, members are requested to use column 2 of the template to refer to the relevant line number(s) from CD2 please use line numbering from the PDF of CD2, to avoid confusion if the layout of the word version changes.

As agreed in the ballot confirming the scope of the revision in 2011, CD2 follows the high-level structure (HLS), identical core text and common terms and core definitions set out in ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, fourth edition, 2013, Annex SL Clause 9 and appendix 2 & 3 (Annex SL text).

In CD2, Annex SL text is shown in black text and the environmental discipline-specific text is shown in blue; where WG5 has proposed a deviation, Annex SL text that has been deleted is shown with text strikeout. Members should note that in accordance with Annex SL, any proposal for change to Annex SL text must include detailed rationale setting out the exceptional circumstances why the Annex SL text cannot be applied.

Additionally, members are requested to provide suggestions or clarifications, if needed, that will further assist users in the understanding of risks and opportunities, including the definition of risk and the relationship between environmental aspects and organizational risks and opportunities.

Text relating to conformity assessment has been included in the Scope of CD2, however members should note that this text is subject to confirmation by ISO CASCO.

We look forward to receiving your comments and votes on this CD2.

Yours sincerely

Mike Henigan Secretary to ISO/TC 207/SC 1 Environmental management systems

T: +44 (0)20 8996 7298 E: [email protected]

ISO 2013 All rights reserved

Document type: International Standard Document subtype: Document stage: (30) Committee Document language: E

C:\Users\heniganm\Documents\ISO WORK\DOCUMENTS SC 1, WG 5\SC 1 DOCUMENTS\900-999\1n997 ISO CD 14001 2.docx STD Version 2.5a

ISO/TC 207/SC 1 N 997 Date: 2013-10-21

ISO/CD 14001.2

ISO/TC 207/SC 1/WG 5

Secretariat: BSI/DIN

Environmental management systems Requirements with guidance for use

Systmes de management environnemental Exigences et lignes directrices pour son utilisation

Warning

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

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

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ii ISO 2013 All rights reserved

Copyright notice 1 This ISO document is a working draft or committee draft and is copyright-protected by ISO. While the 2 reproduction of working drafts or committee drafts in any form for use by participants in the ISO standards 3 development process is permitted without prior permission from ISO, neither this document nor any extract 4 from it may be reproduced, stored or transmitted in any form for any other purpose without prior written 5 permission from ISO. 6

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Contents Page 17

Foreword ............................................................................................................................................................. v 18 Introduction ........................................................................................................................................................ vi 19 1 Scope ...................................................................................................................................................... 1 20 2 Normative references ............................................................................................................................ 1 21 3 Terms and definitions ........................................................................................................................... 1 22 4 Context of the organization .................................................................................................................. 7 23 4.1 Understanding the organization and its context ................................................................................ 7 24 4.2 Understanding the needs and expectations of interested parties ................................................... 7 25 4.3 Determining the scope of the environmental management system ................................................ 7 26 4.4 Environmental management system ................................................................................................... 7 27 5 Leadership ............................................................................................................................................. 8 28 5.1 Leadership and commitment ............................................................................................................... 8 29 5.2 Environmental policy ............................................................................................................................ 8 30 5.3 Organizational roles, responsibilities and authorities ...................................................................... 9 31 6 Planning ................................................................................................................................................. 9 32 6.1 Actions to address risks and opportunities ....................................................................................... 9 33 6.1.1 General ................................................................................................................................................... 9 34 6.1.2 Identification of environmental aspects.............................................................................................. 9 35 6.1.3 Determination of compliance obligations ......................................................................................... 10 36 6.1.4 Determining significant environmental aspects and organizational risks and 37

opportunities ........................................................................................................................................ 10 38 6.1.5 Planning to take action ....................................................................................................................... 11 39 6.2 Environmental objectives and planning to achieve them ............................................................... 11 40 6.2.1 Environmental objectives ................................................................................................................... 11 41 6.2.2 Planning to achieve objectives .......................................................................................................... 12 42 7 Support ................................................................................................................................................. 12 43 7.1 Resources ............................................................................................................................................ 12 44 7.2 Competence ......................................................................................................................................... 12 45 7.3 Awareness ............................................................................................................................................ 13 46 7.4 Communication ................................................................................................................................... 13 47 7.4.1 General ................................................................................................................................................. 13 48 7.4.2 Internal communication ...................................................................................................................... 13 49 7.4.3 External communication and reporting ............................................................................................ 14 50 7.5 Documented information .................................................................................................................... 14 51 7.5.1 General ................................................................................................................................................. 14 52 7.5.2 Creating and updating ........................................................................................................................ 14 53 7.5.3 Control of documented information .................................................................................................. 14 54 8 Operation .............................................................................................................................................. 15 55 8.1 Operational planning and control ...................................................................................................... 15 56 8.2 Value chain control ............................................................................................................................. 15 57 8.3 Emergency preparedness and response .......................................................................................... 16 58 9 Performance evaluation ...................................................................................................................... 16 59 9.1 Monitoring, measurement, analysis and evaluation ........................................................................ 16 60 9.1.1 General ................................................................................................................................................. 16 61 9.1.2 Evaluation of compliance ................................................................................................................... 17 62 9.2 Internal audit ........................................................................................................................................ 17 63 9.3 Management review ............................................................................................................................ 18 64

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10 Improvement ....................................................................................................................................... 19 65 10.1 Nonconformity and corrective action ............................................................................................... 19 66 10.2 Continual improvement ...................................................................................................................... 19 67 Annex A (informative) Guidance on the use of this International Standard .............................................. 20 68 A.1 General ................................................................................................................................................. 20 69 A.2 Scope ................................................................................................................................................... 20 70 A.3 Terms and definitions ........................................................................................................................ 20 71 A.4 Context of the organization ............................................................................................................... 21 72 A.4.1 Understanding the context of the organization ............................................................................... 21 73 A.4.2 Understanding the needs and expectations of interested parties ................................................ 22 74 A.4.3 Scope of the environmental management system .......................................................................... 22 75 A.4.4 Environmental management system ................................................................................................ 23 76 A.5 Leadership ........................................................................................................................................... 23 77 A.5.1 Leadership and commitment ............................................................................................................. 23 78 A.5.2 Environmental policy ......................................................................................................................... 23 79 A.5.3 Organizational roles, responsibilities and authorities .................................................................... 24 80 A.6 Planning ............................................................................................................................................... 25 81 A.6.1 Actions to address risks and opportunities .................................................................................... 25 82 A.6.2 Environmental objectives and planning to achieve them .............................................................. 28 83 A.7 Support ................................................................................................................................................ 29 84 A.7.1 Resources ............................................................................................................................................ 29 85 A.7.2 Competence ........................................................................................................................................ 29 86 A.7.3 Awareness ........................................................................................................................................... 29 87 A.7.4 Communication ................................................................................................................................... 29 88 A.7.5 Documented information ................................................................................................................... 30 89 A.8 Operation ............................................................................................................................................. 32 90 A.8.1 Operational planning and control ..................................................................................................... 32 91 A.8.2 Value chain control ............................................................................................................................. 33 92 A.8.3 Emergency preparedness and response ......................................................................................... 33 93 A.9 Performance evaluation ..................................................................................................................... 34 94 A.9.1 Monitoring, measurement, analysis and evaluation ....................................................................... 34 95 A.9.2 Internal audit ....................................................................................................................................... 36 96 A.9.3 Management review ............................................................................................................................ 36 97 A.10 Improvement ....................................................................................................................................... 37 98 A.10.1 Nonconformity and corrective action ............................................................................................... 37 99 A.10.2 Continual improvement ...................................................................................................................... 37 100 Annex B (informative) Correspondence between ISO 14001:201X and ISO 14001:2004 .......................... 39 101 Annex C (informative) Relationship between this International Standard and the PDCA model ............ 42 102 Bibliography ..................................................................................................................................................... 44 103 104

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Foreword 105

ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies 106 (ISO member bodies). The work of preparing International Standards is normally carried out through ISO 107 technical committees. Each member body interested in a subject for which a technical committee has been 108 established has the right to be represented on that committee. International organizations, governmental and 109 non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the 110 International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. 111

International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. 112

The main task of technical committees is to prepare International Standards. Draft International Standards 113 adopted by the technical committees are circulated to the member bodies for voting. Publication as an 114 International Standard requires approval by at least 75 % of the member bodies casting a vote. 115

Attention is drawn to the possibility that some of the elements of this document may be the subject of patent 116 rights. ISO shall not be held responsible for identifying any or all such patent rights. 117

ISO 14001 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee 118 SC 1, Environmental management systems. 119

This third edition cancels and replaces the second edition (), [clause(s) / subclause(s) / table(s) / figure(s) / 120 annex(es)] of which [has / have] been technically revised. 121

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Introduction 122

Achieving a balance between environmental, social and economic sub-systems within the global system is 123 considered essential in order to meet the needs of the present without compromising the ability of future 124 generations to meet their needs. This concept of the three pillars of sustainability is the goal of sustainable 125 development. 126 127 Societal expectations for sustainable development, transparency and accountability has evolved within the 128 context of increasingly stringent legislation, growing pressures on the environment from pollution, over-129 consumption of resources, and degradation of eco-systems and biodiversity. 130 131 This has led organizations to adopt a more formal approach to environmental management. They implement 132 environmental management systems with the aim to control the environmental aspects of their activities, 133 products and services to prevent adverse impacts, assist in assuring compliance and improve environmental 134 performance. In doing so, organizations thereby engage in sustainable development in a manner that 135 contributes to the environmental pillar of sustainability. 136 137 The overall aim of this International Standard is to provide organizations with a systematic framework to 138 protect the environment in balance with socio-economic needs. It does so by specifying requirements for an 139 environmental management system that enables an organization to achieve environmental performance 140 improvement by: 141

developing and implementing an environmental policy and objectives; 142

identifying aspects of its activities, products and services that can result in significant environmental 143 impacts; 144

establishing systematic processes which consider its context, and take into account its significant 145 environmental aspects, organizational risks and opportunities and its compliance obligations; 146

increasing awareness of its relationship with the environment; 147

establishing operational controls to manage its significant environmental aspects and compliance 148 obligations; and 149

evaluating environmental performance and taking actions, as necessary, to improve. 150

The outcomes of a formal, systematic approach to environmental management can provide top management 151 with information to build success over the long term and create options for contributing to sustainable 152 development by: 153

preventing or reducing its adverse impacts on the environment; 154

controlling or influencing the way its products and services are designed, manufactured, distributed, 155 consumed and disposed by using a life cycle perspective that can prevent environmental burdens 156 from being inadvertently shifted elsewhere within the cycle; 157

achieving financial and operational benefits that can result from implementing environmentally sound 158 alternatives that strengthen the organizations market position; and 159

communicating environmental information to relevant interested parties. 160

The success of the system depends on commitment from all levels and functions of the organization, led by 161 top management. Environmental management encompasses a range of issues with associated opportunities 162

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and liabilities, including those with strategic and competitive implications. The organizations planned 163 arrangements to address these issues can be integrated into its strategy and decision making, by aligning 164 them with other business priorities, and incorporating environmental governance into its overall management 165 system. Demonstration of successful implementation of this International Standard can be used to assure 166 relevant interested parties, including customers, suppliers, and regulators, that an appropriate environmental 167 management system is in place. 168

The basis for the approach underlying an environmental management system is founded on the concept of 169 Plan, Do, Check and Act (PDCA) and is shown in Figure 1. 170

171

Figure 1 Environmental management system model for this International Standard 172

The PDCA model is an iterative process used by organizations to achieve continual improvement. It can be 173 applied to the management system and to each of its individual elements. It can be briefly described as 174 follows. 175

Plan: establish objectives and processes necessary to deliver results in accordance with the 176 organizations environmental policy. 177

Do: implement the processes. 178

Check: monitor and measure processes against the environmental policy, objectives, compliance 179 obligations, and operational controls, and report the results. 180

Act: take actions to continually improve. 181

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This third edition of the International Standard includes revisions to meet environmental challenges and 182 provide value to both new and existing users. It also incorporates ISOs high level structure (HLS), identical 183 core text, and common terms and core definitions for management system standards.1 to benefit the user 184 community implementing multiple ISO management system standards. Annex A provides informative 185 explanations to prevent misinterpretation of ISO 14001:201X requirements. For existing users, Annex B 186 identifies broad technical correspondence between the previous edition of this International Standard 187 (ISO 14001:2004) and this edition. Annex C provides further insight on how this International Standard and 188 PDCA relate. Implementation guidance on this International Standard is included in ISO 14004:201X. 189 References to other ISO/TC 207 Environmental Management International Standards are provided in the 190 Bibliography for information only. 191

This International Standard is intended to apply to all types and sizes of organizations with diverse 192 geographical, cultural and social conditions. It does not establish absolute requirements for environmental 193 performance beyond the required commitments in the environmental policy, including the commitments to: 194

comply with compliance obligations, 195

prevent pollution and protect the environment as applicable, for example, sustainable resource use, 196 climate change mitigation and adaptation, and protection of biodiversity and ecosystems, or consider 197 other principles such as environmental responsibility, precautionary approach and polluter pays, and 198

to continual improvement. 199

However, adoption of this International Standard will not in itself guarantee optimal environmental outcomes. 200 Two organizations can carry out similar operations but may have different compliance obligations, 201 environmental policy commitments, cost-effective technologies implemented, and environmental performance 202 goals, yet both can conform to the ISO 14001:201X requirements. 203

The level of detail and complexity, the extent of documentation and the resources devoted to an 204 environmental management system will depend on a number of factors, such as the organizations purpose 205 and size, its relevant interested parties, the scope of the system, and the nature of its activities, products and 206 services, including their significant environmental aspects and potential impacts. 207

1 See the ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, Fourth edition, 2013,

Annex SL, Appendices 2 and 3.

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Environmental management systems Requirements with 208 guidance for use 209

1 Scope 210

This International Standard specifies the requirements of an environmental management system for 211 organizations seeking to plan, establish, implement and maintain a framework to contribute to sustainable 212 development by: 213

preventing pollution and protecting the environment, 214

demonstrating their commitment to satisfy compliance obligations, and 215

delivering environmental performance improvement. 216

This International Standard is intended to be applicable to any organization regardless of size, type and 217 nature and applies to the environmental aspects that the organization determines it can either control or 218 can influence across its value chain. This International Standard does not itself state specific environmental 219 performance criteria. 220

The requirements in this International Standard are intended to be integrated into the organizations 221 management system and its business processes. The extent to which these requirements are applied 222 depends on factors such as the context within which the organization operates (including interested party 223 requirements), its environmental policy commitments and the nature of its activities, products and services. 224

This International Standard does not make provision for the exclusion of any of its requirements. 225

An organization can demonstrate conformity with this International Standard by 226

1) making a self-determination and self-declaration, or 227

2) seeking confirmation of its conformance by parties having an interest in the organization, such as 228 customers, or 229

3) seeking confirmation of its self-declaration by a party external to the organization, or 230

4) seeking certification/registration of its environmental management system by an external 231 organization. 232

2 Normative references 233

There are no normative references. 234

3 Terms and definitions 235

For the purposes of this document, the following terms and definitions apply. 236

3.1 237 organization 238 person or group of people that has its own functions with responsibilities, authorities and relationships to 239 achieve its objectives (3.15) 240

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Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, 241 enterprise, authority, partnership, charity or institution, or part or combination thereof, including (an) operating unit(s) 242 whether incorporated or not, public or private. 243

3.2 244 interested party (preferred term) 245 stakeholder (admitted term) 246 person or organization (3.1) that can affect, be affected by, or perceive themselves to be affected by a 247 decision or activity 248

Note 1 to entry: Interested parties can include person(s) and groups affected by an organization expressing their 249 needs and expectations with its environmental performance (3.21). 250

Note 2 to entry: Interested parties can include customers, community, suppliers, regulators, nongovernment 251 organizations, investors, employees. 252

3.3 253 requirement 254 need or expectation that is stated, generally implied or obligatory 255

Note 1 to entry: Generally implied means that it is custom or common practice for the organization (3.1) and 256 interested parties (3.2) that the need or expectation under consideration is implied. 257

Note 2 to entry: A specified requirement is one that is stated, for example in documented information (3.17). 258

Note 3 to entry: Requirements other than legal requirements become obligatory when the organization chooses to 259 comply with. 260

3.4 261 compliance obligation 262 requirement (3.3) that an organization (3.1) has to or chooses to comply with 263 Note 1 to entry: Obligations may arise from mandatory requirements, such as applicable laws and regulations, or 264 voluntary commitments to interested party (3.2) requirements, such as industry standards and codes, contractual 265 relationships, principles of good governance and accepted community and ethical standards. 266

3.5 267 environment 268 surroundings in which an organization (3.1) operates 269 Note 1 to entry: Surroundings in this context extend from within an organization to the local, regional and global 270 system. 271

Note 2 to entry: Surroundings can include air, water, land, natural resources, biodiversity and ecosystems, humans, 272 and their interrelations. 273

3.6 274 environmental aspect 275 element of an organization's (3.1) activities or products or services that interacts or can interact with the 276 environment (3.5) 277 Note 1 to entry: An environmental aspect can cause an environmental impact (3.7). Significant environmental 278 aspects are determined by the organization applying a range of criteria. 279

3.7 280 environmental impact 281 change to the environment (3.5), whether adverse or beneficial, wholly or partially resulting from an 282 organization's (3.1) environmental aspects (3.6) 283

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3.8 284 environmental condition 285 state or characteristic of the environment (3.5) as determined at a certain point of time 286

3.9 287 management system 288 set of interrelated or interacting elements of an organization (3.1) to establish policies and objectives (3.14) 289 and processes (3.18) to achieve those objectives 290 Note 1 to entry: A management system can address a single discipline or several disciplines (e.g. quality, 291 environment, health and safety). 292

Note 2 to entry: The system elements include the organizations structure, roles and responsibilities, planning, 293 operation, etc, and associated processes and procedures (3.19). 294

Note 3 to entry: The scope of a management system may include the whole of the organization, specific and 295 identified functions of the organization, specific and identified sections of the organization, or one or more functions 296 across a group of organizations. 297

3.10 298 environmental management system 299 part of the management system (3.9) that is used to manage environmental aspects (3.6), compliance 300 obligations (3.4), and organizational risks (3.15) and opportunities 301

3.11 302 top management 303 person or group of people who directs and controls an organization (3.1) at the highest level 304 Note 1 to entry: Top management has the power to delegate authority except for the designated responsibilities in 305 5.1, 5.2, 5.3 and 9.3, and provide resources within the organization. 306

Note 2 to entry: If the scope of the management system (3.9) covers only part of an organization then top 307 management refers to those who direct and control that part of the organization. 308

3.12 309 effectiveness 310 extent to which planned activities are realized and planned results achieved 311

3.13 312 policy 313 intentions and direction of an organization (3.1) as formally expressed by its top management (3.11) 314

3.13 315 environmental policy 316 intentions and direction of an organization (3.1) as formally expressed by its top management (3.11) related 317 to environmental performance (3.21) 318

3.14 319 objective 320 result to be achieved 321

Note 1 to entry: An objective can be strategic, tactical, or operational. 322

Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and 323 environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and 324 process (3.18)). 325

Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an 326 operational criterion, as an environmental objective or by the use of other words with similar meaning (e.g. aim, goal, or 327 target). 328

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Note 4 to entry: In the context of environmental management systems (3.10) environmental objectives are set by 329 the organization (3.1), consistent with the environmental policy (3.13), to achieve specific results. 330

3.15 331 risk 332 effect of uncertainty 333

Note 1 to entry: An effect is a deviation from the expected positive or negative. 334

Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or 335 knowledge of, an event, its consequence, or likelihood. 336

Note 3 to entry: Risk is often characterized by reference to potential events (ISO Guide 73, 3.5.1.3) and 337 consequences (ISO Guide 73, 3.6.1.3), or a combination of these. 338

Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including 339 changes in circumstances) and the associated likelihood (ISO Guide 73, 3.6.1.1) of occurrence. 340

3.16 341 competence 342 ability to apply knowledge and skills to achieve intended results 343

3.17 344 documented information 345 information required to be controlled and maintained by an organization (3.1) and the medium on which it is 346 contained 347

Note 1 to entry: Documented information can be in any format and media and from any source. 348

Note 2 to entry: Documented information can refer to 349

the environmental management system (3.10), including related processes (3.18), 350

information created in order for the organization to operate (formerly referred to as documentation), 351

evidence of results achieved (formerly referred to as records). 352

3.18 353 process 354 set of interrelated or interacting activities which transforms inputs into outputs 355

Note 1 to entry: Processes can be documented or not. 356

3.19 357 procedure 358 specified way to carry out an activity or a process (3.18) 359 Note 1 to entry: Procedures can be documented or not. 360

3.20 361 performance 362 measurable result 363

Note 1 to entry: Performance can relate either to quantitative or qualitative findings. 364

Note 2 to entry: Performance can relate to the management of activities, processes (3.18), products (including 365 services), systems or organizations (3.1). 366

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3.21 367 environmental performance 368 performance (3.20) related to the management of environmental aspects (3.6) 369 Note 1 to entry: In the context of environmental management systems (3.10), results can be measured against the 370 organization's environmental policy (3.13), environmental objectives (3.14) and other performance of an organizations 371 (3.1) management of its environmental aspects. 372

[Source: ISO 14045:2012, 3.5, modified to add "to the management of" and to add a new Note 1 to 373 entry] 374

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

Note 1 to entry: Distinction can be made between Operational Performance Indicators (OPIs), Management 378 Performance Indicators (MPIs), Environmental Performance Indicators (EPIs) and Environmental Condition Indicators 379 (ECIs) 380

[SOURCE: ISO 14031:2013, 3.15, modified Note 1 to entry was added] 381

3.23 382 outsource (verb) 383 make an arrangement where an external organization (3.1) performs part of an organizations function or 384 process (3.18) 385 Note 1 to entry: An external organization is outside the scope of the management system (3.9), although the 386 outsourced function or process is within the scope. 387

3.24 388 monitoring 389 determining the status of a system, a process (3.18) or an activity 390 Note 1 to entry: To determine the status there may be a need to check, supervise or critically observe. 391

3.25 392 measurement 393 process (3.18) to determine a value 394

3.26 395 audit 396 systematic, independent and documented process (3.18) for obtaining audit evidence and evaluating it 397 objectively to determine the extent to which the audit criteria are fulfilled 398 Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party), and it 399 can be a combined audit (combining two or more disciplines) or an integrated audit (an audit against two or more sets 400 of standards criteria integrated into one management system (3.9)). 401

Note 2 to entry: An internal audit is conducted by the organization (3.1) itself or by an external party on its behalf. 402

Note 3 to entry: Independence can be demonstrated by the freedom from responsibility for the activity being 403 audited or freedom from bias and conflict of interest. 404

Note 4 to entry: Audit evidence consists of records, statement of fact and other information relevant to the audit 405 criteria and verifiable and audit criteria are the set of policies, procedures (3.19) or requirements (3.3) used as a 406 reference against which audit evidence is compared, as defined in ISO 19011. 407

3.27 408 conformity 409 fulfilment of a requirement (3.3) 410

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Note 1 to entry: Conformity relates to compliance obligations (3.4), including requirements in this International 411 Standard and additional environmental management system (3.10) requirements that an organization (3.1) establishes 412 for itself. 413

3.28 414 nonconformity 415 non-fulfilment of a requirement (3.3) 416 Note 1 to entry: Nonconformity relates to compliance obligations (3.4), including requirements in this International 417 Standard and additional environmental management system (3.10) requirements that an organization (3.1) establishes 418 for itself. 419

3.30 420 correction 421 action to eliminate a detected nonconformity (3.29) 422 3.29 423 corrective action 424 action to eliminate the cause of a nonconformity (3.28) and to prevent recurrence 425

3.30 426 continual improvement 427 recurring activity to enhance performance (3.20) 428 Note 1 to entry: Enhancing performance relates to the use of the environmental management system (3.10) in 429 order to achieve improvement in overall environmental performance (3.21) consistent with the organization's (3.1) 430 environmental policy (3.13). 431

Note 2 to entry: The activity need not take place in all areas simultaneously. 432

3.31 433 prevention of pollution 434 use of processes (3.18), practices, techniques, materials, products, services or energy to avoid, reduce or 435 control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, 436 in order to reduce adverse environmental impacts (3.7) 437 Note 1 to entry: Prevention of pollution can include source reduction or elimination, process, product or service 438 changes, efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and 439 treatment. 440

3.32 441 value chain 442 entire sequence of activities or parties that provide or receive value in the form of products or services 443

Note 1 to entry: Parties that provide value include suppliers, outsourced (3.23) workers, contractors and others. 444

Note 2 to entry: Parties that receive value include customers, consumers, clients, members and other users. 445

Note 3 to entry: Value can be positive or negative. 446

[Source: ISO 26 000:2010, 2.25, modified Note 1 to entry was added] 447

3.33 448 life cycle 449 consecutive and interlinked stages of a product system, from raw material acquisition or generation from 450 natural resources to final disposal 451

Note 1 to entry: Life cycle includes activities, products, and services and may include procured goods and services, 452 as well as end-of-life treatment of products and delivery of services, for example, design, manufacture, transport, 453 packaging and end-use/disposal. 454

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[Source: ISO 14044:2006, 3.1, modified Note 1 to entry was added] 455

4 Context of the organization 456

4.1 Understanding the organization and its context 457

The organization shall determine external and internal issues that are relevant to its purpose and that affect 458 its ability to achieve the intended outcome(s) of its environmental management system. Those issues 459 include environmental conditions capable of affecting or being affected by the organization. 460

The knowledge gained shall be considered when establishing and maintaining the organization's 461 environmental management system. 462

4.2 Understanding the needs and expectations of interested parties 463

The organization shall determine: 464

the interested parties that are relevant to the environmental management system, and 465

the relevant requirements of these interested parties. 466

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

4.3 Determining the scope of the environmental management system 469

The organization shall determine the boundaries and applicability of the environmental management 470 system to establish its scope. 471

When determining this scope, the organization shall consider 472

the external and internal issues referred to in 4.1, 473

the requirements referred to in 4.2, 474

its organizational unit(s), function(s), and physical boundaries, 475

its activities, products and services, and 476

its authority and ability to exercise control and influence. 477

The scope shall not exclude activities, products and services within the organizations control or influence 478 that can have significant environmental aspects (see 6.1.4). 479

The scope shall be available as documented information and be available to the public. 480

4.4 Environmental management system 481

In order to continually improve its environmental performance, the organization shall establish, implement, 482 maintain and continually improve an environmental management system, including the processes needed 483 and their interactions, in accordance with the requirements of this International Standard. 484

The organization shall determine 485

how it will satisfy the environmental management system requirements, 486

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how it will integrate its environmental management system requirements into its business 487 processes, and 488

the requirements of interested parties that the organization adopts. 489

5 Leadership 490

5.1 Leadership and commitment 491

Top management shall demonstrate leadership and commitment with respect to the environmental 492 management system by: 493

ensuring that knowledge of the organizations context is considered when establishing the 494 environmental management system, 495

ensuring that the environmental policy and environmental objectives are established and are 496 compatible with the strategic direction of the organization, 497

giving consideration to environmental performance in strategic planning, 498

ensuring the integration of the environmental management system requirements into the 499 organizations business processes, 500

ensuring that the resources needed for the environmental management system are available, 501

communicating the importance of effective environmental management and of conforming to the 502 environmental management system requirements, 503

ensuring that the environmental management system requirements are fulfilled and achieves its 504 intended outcome(s) are achieved, 505

directing and supporting persons to contribute to the effectiveness of the environmental 506 management system, 507

promoting continual improvement (see 10.2), and 508

supporting other relevant management roles to demonstrate their leadership as it applies to their 509 areas of responsibility. 510

NOTE Reference to business in this International Standard should be interpreted broadly to mean 511 those activities and processes that are core to the purposes of the organizations existence, whether the 512 organization is public, private, for or not for profit. 513

5.2 Environmental policy 514

Top management shall establish an environmental policy that, within the defined scope of its environmental 515 management system: 516

is appropriate to the purpose of the organization, 517

is appropriate 518

to the nature, scale and environmental impacts of its activities, products and services, and 519

to the organizations risks and opportunities, 520

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provides a framework for setting environmental objectives, 521

includes (a) commitment(s) to the prevention of pollution and to the protection of the environment 522 specific to the context of the organization, 523

NOTE The specific commitment(s) to protect the environment can include sustainable resource use, climate change 524 mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant environmental issues (see 525 4.1). 526

includes a commitment to satisfy applicable requirements compliance obligations, and 527

includes a commitment to continual improvement of the environmental management system to 528 enhance its environmental performance. 529

The environmental policy shall: 530

be available as documented information, 531

be communicated within the organization, including persons working on behalf of the organization, 532

be available to interested parties, as appropriate. 533

5.3 Organizational roles, responsibilities and authorities 534

Top management shall ensure that the responsibilities and authorities for relevant roles within the 535 environmental management system are assigned and communicated within the organization. 536

Top management shall assign the responsibility and authority for: 537

a) ensuring that the environmental management system conforms to the requirements of this International 538 Standard, and 539

b) reporting on the performance of the environmental management system, including environmental 540 performance, to top management. 541

NOTE The role of and authority for reporting on the performance of the environmental management system is 542 often assigned to (a) management representative(s). 543

6 Planning 544

6.1 Actions to address risks and opportunities 545

6.1.1 General 546

When planning for the environmental management system, the organization shall consider the issues 547 referred to in 4.1, and the relevant requirements of interested parties referred to in 4.2. 548

6.1.2 Identification of environmental aspects 549

The organization shall: 550

identify the environmental aspects and the associated environmental impacts of its activities, products 551 and services within the defined scope of the environmental management system that it can control and 552 those that it can influence, considering a life cycle perspective; and 553

take into account 554

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change, including planned or new developments and new or modified activities, products and 555 services; and 556

abnormal and potential emergency situations. 557

The organization shall retain up to date documented information of its environmental aspects and 558 associated environmental impacts. 559

NOTE Life cycle perspective does not require a detailed life cycle assessment. It means that the organization 560 extends its view of its processes to a simple consideration of the life cycle stages for which the organization considers 561 itself to be sufficiently knowledgeable. 562

6.1.3 Determination of compliance obligations 563

The organization shall implement and maintain a procedure 564

to identify and have access to the compliance obligations related to its environmental aspects and 565 the relevant requirements of its interested parties, and 566

to determine how these requirements apply to the organization. 567

The organization shall retain up to date documented information of its compliance obligations. 568

6.1.4 Determining significant environmental aspects and organizational risks and opportunities 569

The organization shall determine significant environmental aspects and the organizational risks and 570 opportunities that need to be addressed to: 571

assure the environmental management system can achieve its intended outcome(s), 572

prevent, or reduce, undesired effects, 573

satisfy its compliance obligations, and 574

achieve continual improvement. 575

In order to achieve this, the organization shall implement and maintain a procedure to establish criteria, and 576 determine its significant environmental aspects and its organizational risks and opportunities. 577

In developing the criteria, the organization shall consider 578

the issues referred to in 4.1 including environmental conditions affecting the organization, 579

the relevant requirements of interested parties referred to in 4.2, 580

the environmental impacts referred to in 6.1.2. 581

NOTE 1 Criteria for determining significant environmental aspects are related to actual or potential impacts caused 582 by the organization to the environment. 583

NOTE 2 Criteria for determining organizational risks and opportunities are related to potential impacts to the 584 organization caused by environmentally related issues. 585

NOTE 3 The organization may develop and apply the criteria separately or in combination. 586

The organization shall retain up to date documented information of its 587

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procedure(s) for establishing criteria and for determining significant aspects and organizational 588 risks and opportunities, 589

criteria used to determine its significant environmental aspects and organizational risks and 590 opportunities, and 591

significant environmental aspects and organizational risks and opportunities. 592

6.1.5 Planning to take action 593

The organization shall plan: 594

a) to take actions to address 595

significant environmental aspects and compliance obligations, and 596

these organizational risks and opportunities, and 597

b) how to 598

integrate and implement the relevant actions into its environmental management system 599 processes, and 600

evaluate the effectiveness of these actions through the management system. 601

Actions to address significant environmental aspects, compliance obligations and organizational risks and 602 opportunities shall be managed within the environmental management system. This shall include 603 consideration of: 604

environmental objectives and planning to achieve them (6.2.2), 605

operational planning and control (8.1), 606

value chain control (8.2), 607

emergency preparedness and response (8.3), and 608

monitoring and measurement (9.1). 609 NOTE Actions to address significant environmental aspects, compliance obligations and organizational risks and 610 opportunities may be managed through other organizational management systems and business processes. 611

6.2 Environmental objectives and planning to achieve them 612 6.2.1 Environmental objectives 613

The organization shall establish environmental objectives at relevant functions and levels. 614

When developing those objectives the organization shall: 615

take into account applicable requirements the organizations significant environmental aspects and 616 its compliance obligations, 617

consider the organizations risks and opportunities, and 618

consider technological options and its financial, operational and business requirements. 619

The environmental objectives shall: 620

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be consistent with the environmental policy, 621

be measurable (if practicable), 622

be monitored, 623

be communicated, and 624

be updated as appropriate. 625

The organization shall retain up to date documented information on the environmental objectives. 626

The organization shall define (an) indicator(s) to evaluate and demonstrate the achievement of each 627 environmental objective. 628

6.2.2 Planning to achieve objectives 629

When planning how to achieve its environmental objectives, the organization shall determine: 630 what will be done, 631

what resources will be required, 632

who will be responsible, 633

how it will be integrated into the organizations business processes, 634

when it will be completed, 635

how the results will be evaluated. 636

The organization shall retain up to date documented information on its planning to achieve the 637 environmental objectives. 638

7 Support 639

7.1 Resources 640

The organization shall determine and provide the resources needed for the establishment, implementation, 641 maintenance and continual improvement of the environmental management system. 642

7.2 Competence 643


determine the necessary competence of person(s) doing work under its control and on its behalf 645 that affects its environmental performance, and 646

ensure that these persons are competent on the basis of appropriate education, training, or 647 experience, 648

where applicable, take actions to acquire the necessary competence, and evaluate the 649 effectiveness of the actions taken, and 650

retain appropriate documented information as evidence of competence. 651

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NOTE Applicable actions may include, for example: the provision of training to, the mentoring of, or the re-652 assignment of currently employed persons; or the hiring or contracting of competent persons. 653

7.3 Awareness 654

The organization shall ensure that persons doing work under the organizations control shall be aware of: 655

the environmental policy commitments, 656

the significant environmental aspects and related actual or potential impacts associated with their 657 work, 658

their contribution to the effectiveness of the environmental management system, including the 659 benefits of improved environmental performance, 660

the implications of not conforming with the environmental management system requirements 661 including compliance obligations. 662

7.4 Communication 663

7.4.1 General 664

In addition to the communication required by this International Standard, the organization shall determine 665 the needs for other internal and external communications relevant to the environmental management 666 system including: 667

on what it will communicate, 668

when to communicate, 669

with whom to communicate, and 670

how to communicate, including communication methods and tools. 671

When planning communications, the organization shall take into account the requirements of relevant 672 interested parties (see 4.2). 673

The organization shall ensure the quality of reported environmental information, including its proper 674 presentation based on information generated within the environmental management system after it has 675 undergone analysis and evaluation (see 9.1). Communications shall be transparent, appropriate, credible, 676 clear and reliable. 677

The organization shall retain documented information as evidence of its communications, as appropriate. 678

7.4.2 Internal communication 679

With regard to its environmental management system, including its significant environmental aspects and 680 environmental performance, the organization shall: 681

a) communicate among the various levels and functions of the organization, including persons working on 682 behalf of the organization, and 683

b) consider initiatives by which any person working for, or on behalf of, the organization can contribute to 684 the improvement of the environmental management system. 685

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7.4.3 External communication and reporting 686

The organization shall communicate information relevant to the environmental management system 687 externally, including its environmental performance, as determined when planning its communication and 688 as required by its compliance obligations. 689

The organization shall respond to relevant communication on its environmental management system from 690 external interested parties. 691

The organization shall retain documented information as evidence of its external communications. 692

7.5 Documented information 693

7.5.1 General 694

The organizations environmental management system shall include: 695

documented information required by this International Standard, 696

documented information determined by the organization as being necessary for the effectiveness 697 of the environmental management system, and 698

a description of the main elements of the environmental management system and their interaction, 699 including with other business processes. 700

NOTE The extent of documented information for an environmental management system can differ from one 701 organization to another due to: 702

the size of organization and its type of activities, processes, products and services; 703

the complexity of processes and their interactions; 704

the competence of persons; and 705

the organizations risks and opportunities. 706

7.5.2 Creating and updating 707

When creating and updating documented information the organization shall ensure appropriate: 708

identification and description (e.g. a title, date, author, or reference number), 709

format (e.g. language, software version, graphics) and media (e.g. paper, electronic), and 710

review and approval for suitability and adequacy. 711

7.5.3 Control of documented information 712

Documented information required by the environmental management system and by this International 713 Standard shall be controlled to ensure: 714

it is available and suitable for use, where and when it is needed, and 715

it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). 716

For the control of documented information, the organization shall address the following activities, as 717 applicable 718

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distribution, access, retrieval and use, 719

storage and preservation, including preservation of legibility, 720

control of changes (e.g. version control), and 721

retention and disposition. 722

Documented information of external origin determined by the organization to be necessary for the planning 723 and operation of the environmental management system shall be identified as appropriate, and controlled. 724 NOTE Access implies a decision regarding the permission to review the documented information only, or the 725 permission and authority to view and change the documented information, etc. 726

8 Operation 727

8.1 Operational planning and control 728

The organization shall plan, implement and control the processes needed to meet environmental 729 management system requirements, and to implement the actions determined in 6.1 and 6.2, by: 730

establishing criteria for the processes, 731

implementing control of the processes, in accordance with the criteria, 732

implementing and maintaining (a) procedure(s) to control situations where its absence could lead 733 to deviation from the environmental policy, environmental objectives, compliance obligations, and 734

keeping up to date documented information to the extent necessary to have confidence that the 735 processes have been carried out as planned. 736

The organization shall control planned changes and review the consequences of unintended changes, 737 taking action to mitigate any adverse effects, as necessary. 738

The organization shall ensure that, outsourced processes are controlled or influenced to meet 739 environmental management system requirements. 740

8.2 Value chain control 741

The organization shall determine how the processes associated with its value chain that are related to its 742 significant environmental aspects and organizational risks and opportunities will be controlled or influenced, 743 taking into account life cycle perspective. 744

The type and degree of control or influence to be applied to these processes shall be defined within the 745 environmental management system. 746


develop and specify environmental requirements for the procurement of goods and services, as 748 appropriate, 749

communicate relevant environmental requirement(s) to suppliers, including contractors, 750

consider its significant environmental aspects and organizational risks and opportunities as input 751 in the process of the design, development or change of its products and services, and 752

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consider the need to provide information about potential significant environmental impacts during 753 the delivery of the goods or services and during use and end-of-life treatment of the product, as 754 appropriate. 755

8.3 Emergency preparedness and response 756

The organization shall plan a process to determine potential emergency situations and potential accidents 757 that can result in (an) impact(s) on the environment. The organization shall implement and maintain (an) 758 emergency preparedness and response plan(s) specifying how it will respond to such situations. 759


a) respond to actual emergency situations and accidents; 761

b) take action to prevent occurrence and reduce the environmental consequences of emergency 762 situations, appropriate to the magnitude of the emergency or accident and the potential environmental 763 impact; 764

c) periodically test the plan(s) where practicable; and 765

d) periodically review and, where necessary, revise the plan(s), in particular, after the occurrence of 766 accidents, emergency situations or tests. 767

The organization shall retain 768

up to date documented information on its emergency preparedness and response plan(s), and 769

documented information as evidence of emergency preparedness and response testing. 770

9 Performance evaluation 771

9.1 Monitoring, measurement, analysis and evaluation 772

9.1.1 General 773

The organization shall determine: 774

what needs to be monitored and measured, including: 775

the key characteristics of its operations that can have a significant environmental impact; 776

the key characteristics necessary to assure compliance obligations are met; 777

organizational risks and opportunities; 778

operational controls (see 8.1) as applicable; 779

value chain controls (see 8.2) as appropriate; and 780

progress towards the organizations environmental objectives, using the determined indicators 781 (see 6.2.1); 782

the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid 783 results; 784

the criteria against which the organization will evaluate its performance, using appropriate 785 indicators; 786

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when the monitoring and measuring shall be performed; and 787

when the results from monitoring and measurement shall be analysed and evaluated. 788

The organization shall ensure that calibrated or verified monitoring and measurement equipment is used 789 and maintained as appropriate. 790

The organization shall retain appropriate documented information as evidence of the results. 791 The organization shall evaluate the environmental performance and provide input to the management 792 review (see 9.3) for the evaluation of the effectiveness of the environmental management system. 793 The organization shall retain appropriate documented information as evidence of monitoring, measurement, 794 analysis and evaluation of the results. 795

9.1.2 Evaluation of compliance 796

The organization shall implement and maintain a procedure for evaluating compliance with compliance 797 obligations. 798

Consistent with its commitment to compliance, the organization shall 799

determine the frequency that compliance will be evaluated, 800

evaluate compliance and take action if needed, and 801

maintain knowledge and understanding of its compliance status. 802

The organization shall retain documented information as evidence of its compliance evaluation(s) results. 803

9.2 Internal audit 804

The organization shall conduct internal audits at planned intervals to provide information on whether the 805 environmental management system: 806 a) conforms to 807

the organizations own requirements for its environmental management system, and 808

the requirements of this International Standard, 809

b) is effectively implemented and maintained. 810


a) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, 812 responsibilities, planning requirements and reporting. The audit programme(s) shall take into 813 consideration the environmental importance of the processes concerned, risks and opportunities and 814 the results of previous audits; 815

b) define the audit criteria and scope for each audit; 816

c) select auditors and conduct audits in such a way as to ensure objectivity and the impartiality of the 817 audit process; 818

d) ensure that the results of the audits are reported to relevant management; 819 e) take action when necessary to address audit results; and 820

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f) retain documented information as evidence of the implementation of the audit programme and the 821 audit results. 822

9.3 Management review 823

Top management shall review the organization's environmental management system, at planned intervals, 824 to ensure its continuing suitability, adequacy and effectiveness. 825

The management review shall include consideration of: 826

a) the status of actions from previous management reviews; 827

b) changes in external and internal issues that are relevant to the environmental management system 828 including 829

its compliance obligations, 830

the needs and expectations of interested parties, 831

its business strategy, and 832

its significant environmental aspects and risks and opportunities, 833

c) information on the organizations environmental performance, including trends in 834

nonconformities and corrective actions, 835

monitoring and measurement results, 836

the extent to which objectives have been met, 837

fulfilment of its compliance obligations, 838

audit results, and 839

communication(s) from external interested parties, including complaints, 840 d) opportunities for continual improvement, and 841

e) the adequacy of resources required for maintaining an effective environmental management system. 842

The outputs of the management review shall include 843

a) conclusions on the continuing suitability, adequacy and effectiveness of the environmental 844 management system, 845

b) subsequent decisions related to identified continual improvement opportunities, and 846 c) any need for changes to the environmental management system, including the environmental policy 847

and objectives. 848

The organization shall retain documented information as evidence of the results of management reviews. 849

The organization shall communicate the results of management reviews to relevant functions and levels of 850 the organization. 851

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10 Improvement 852

10.1 Nonconformity and corrective action 853

The organization shall implement and maintain a procedure for dealing with nonconformities and taking 854 corrective action. 855

When a nonconformity occurs, the organization shall 856

a) react to the nonconformity, and as applicable 857

take action to control and correct it, and 858

deal with the consequences, including the mitigation of adverse environmental impact, 859

b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur 860 or occur elsewhere, by 861

reviewing the nonconformity, 862

determining the causes of the nonconformity, and 863

determining if similar nonconformities exist, or could potentially occur, 864

c) determine and implement any corrective action needed, 865

d) review the effectiveness of any corrective action taken, and 866

e) make changes to the environmental management system, if necessary. 867

Corrective actions shall be appropriate to the magnitude of the effects of the nonconformities encountered 868 including impacts on the environment. 869

The organization shall retain documented information as evidence of 870

the nature of the nonconformities and any subsequent actions taken, and 871

the results of any corrective action taken, including its effectiveness. 872

10.2 Continual improvement 873

The organization shall continually improve its environmental performance by improving the suitability, 874 adequacy and effectiveness of the environmental management system. 875

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Annex A 876 (informative) 877

878 Guidance on the use of this International Standard 879

General 880

The additional text given in this Annex is strictly informative and is intended to prevent misinterpretation of 881 the requirements contained in this International Standard. While this information addresses and is 882 consistent with these requirements, it is not intended to add to, subtract from, or in any way modify them. 883

Scope 884

This edition of ISO 14001 does not contain explanatory information on Clause 1. 885

Terms and definitions 886

The terms that are defined in Clause 3 have a specialized technical meaning and are normative for use in 887 this International Standard. This sub-clause provides further explanation of certain terms and some of the 888 words that are commonly used in management system standards, to help the user understand their 889 implications and to help in translations. 890

Plan detailed formulation of a programme to achieve an objective. 891

Programme planned series of steps, projects or activities to be carried out. 892

Design working out the form, fit or function of something. 893

Purpose anticipated (intended or expected) outcome that guides planned actions. 894

Determine establish or find out. 895

Define state or describe exactly the nature, scope or meaning of that which is under consideration. 896

Identify establish the identity of something. 897

To avoid misunderstanding, clarifications of selected concepts are provided below. 898

NOTES included in the various clauses of this International Standard are informative. 899

Continual indicates duration that occurs over a period of time, but with intervals of interruption (unlike 900 continuous which indicates duration without interruption). Continual is therefore the appropriate word 901 to use in the context of improvement. 902

The word consider means it is necessary to think about but can be rejected; and take into account 903 means it is necessary to think about but cannot be rejected. 904

The words appropriate and applicable are not interchangeable. Appropriate means suitable (for, to) 905 and implies some degree of freedom, while applicable means relevant or possible to apply and 906 implies that if it can be done, it should be done. 907

This International Standard uses the term interested party, the term stakeholder is a synonym as it 908 represents the same concept. 909

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The word ensure means the responsibility can be delegated, but not the accountability to make sure 910 that it is performed. 911

This edition of this International Standard uses some new terminology. A brief explanation is given below to 912 aid both new users and those who have used prior editions of this International Standard. 913

Documented information replaces the nouns document and record used in prior editions of this 914 International Standard. Examples of each are given in A.7.5. To distinguish the intent of the generic 915 term documented information, This International Standard now uses the phrase retain documented 916 information as evidence of.... to mean records, and shall be available as documented information or 917 retain up to date documented information to mean documents, including procedures. 918

The change from identify to determine is intended to harmonize with the standardized management 919 system terminology, not to change the intent of the previous edition of this International Standard. The 920 term determine implies a discovery process that results in knowledge. 921

The term intended outcome means what the organization intends to achieve by implementing its 922 environmental management system, which is outlined in its environmental policy commitments and 923 environmental objectives. 924

The phrase compliance obligations replaces the phrase legal requirements and other requirements to 925 which the organization subscribes used in prior editions of this International Standard. The change is 926 considered simpler to understand, and does not change the intent of the previous edition of this 927 International Standard. 928

The use of the word any implies selection and choice. 929

Context of the organization 930

A.4.1 Understanding the context of the organization 931

The intent of this clause is to provide a high-level, strategic understanding of the important issues that can 932 affect, either positively or negatively, the way the organization manages its environmental responsibilities. 933 The issues of interest are those that affect the organizations ability to achieve the strategic objectives it 934 sets for its environmental management system, which include meeting its environmental policy 935 commitments. 936

Issues can include conditions, characteristics or changing circumstances that may affect the environmental 937 management system, for example: 938

environmental characteristics or conditions related to climate, pollution, resource availability, and 939 biodiversity, and the effect these conditions may have on the organizations ability to achieve its 940 objectives, 941

the external cultural, social, political, legal, regulatory, financial, technological, economic, natural 942 and competitive context, whether international, national, regional or local, 943

characteristics or conditions of the organization, such as 944

relationships with external and internal interested parties (see 4.2), 945

organizational governance, information flows and decision-making processes, 946

organizational policies, objectives, and the strategies that are in place to achieve them, 947

the capabilities of the organization, understood in terms of resources (e.g. capital, time, 948 people, knowledge, processes, systems and technologies), 949

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the organization's culture, 950

standards, guidelines and models adopted by the organization, 951

form and extent of contractual relationships, or 952

the life cycle of the organizations products and services. 953

The process used to develop the understanding of an organizations context should result in knowledge 954 that can then be used by the organization to guide its efforts to plan, implement and operate its 955 environmental management system. This process and its output may be documented if desired. 956

A.4.2 Understanding the needs and expectations of interested parties 957

Interested parties that are relevant to the environmental management system include legal and regulatory 958 authorities (local, regional, state/provincial, national or international), as well as other interested parties, 959 such as parent organizations, customers, trade and professional associations, community groups, non-960 governmental organizations, suppliers, neighbours, employees and others working on behalf of the 961 organization. If a party perceives themselves to be affected, they must somehow make the organization 962 aware of this. 963

There are different types of requirements related to the needs and expectations expressed by relevant 964 interested parties. Interested party requirements are not necessarily requirements of the organization. 965 Some interested party requirements reflect needs and expectations that are mandatory because they have 966 been incorporated into laws, regulations, permits and licenses by governmental or even court action. 967 Others the organization may decide to voluntarily adopt, i.e., subscribe to, and address within their 968 environmental management system (see A.6.1.3). 969

Requirements from interested parties that are not legal requirements become obligatory only when they are 970 specified and the organization decides that it will adopt them. At the stage before subscription, they are 971 simply needs and expectations that reflect the requirements of the interested party, but are not 972 requirements of the organization. Once the organization adopts them, then they become organizational 973 requirements, i.e. compliance obligations, and are taken into account when planning for the environmental 974 management system (see 6.1.3). 975

A.4.3 Scope of the environmental management system 976

The scope of the environmental management system is intended to clarify the spatial and organizational 977 boundaries to which the environmental management system will apply, especially if the organization is a 978 part of a larger organization at a given location. An organization has the freedom and flexibility to define its 979 boundaries. It may choose to implement this International Standard with respect to the entire organization, 980 or to specific operating units of the organization, as long as the specific operating unit top management has 981 authority for establishing an environmental management system. 982

In setting the scope, the credibility of the environmental management system will depend upon the choice 983 of organizational boundaries. Scoping is not to be used as a means to exclude activities, products, 984 services, or facilities that have, or can have significant environmental aspects. It should be factual and 985 representative of the organizations operations and environmental management system boundaries in order 986 not to mislead interested parties. 987

Once the scope is defined, all activities, products and services of the organization within that scope need to 988 be included in the environmental management system. The organization considers the degree of control or 989 influence that it can exert over activities, products and services using a life cycle perspective, including the 990 degree of control or influence it has over outsourced processes carried out by suppliers and contractors. 991

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A.4.4 Environmental management system 992

This International Standard outlines the requirements of a robust, credible and reliable environmental 993 management system. The organization retains authority, accountability, and autonomy, to decide how it will 994 fulfil the environmental management system requirements, including the level of detail and extent to which 995 it will integrate environmental management system requirements into its various business functions, such 996 as design & development, procurement, human resources, sales and marketing, etc. 997

The extent to which procedures are needed for an environmental management system can vary from one 998 organization to the next, depending on the environmental importance and the degree to which the results 999 are dependent on the specific way the process is conducted. 1000

There are multiple methods to make sure a process is effective in achieving the desired results 1001

a process can be designed in such a way that the output is guaranteed (e.g. "poka yoke", mistake 1002 proofing), 1003

competent personnel can assure desired results, 1004

the process can be performed in a specified way (i.e. procedure), 1005

the process can be monitored/measured to check the results, 1006

a technical specification can be used to define performance-based requirements, or 1007

others, as appropriate. 1008

If this International Standard is implemented for a specific operating unit, policies and procedures 1009 developed by other parts of the organization can be used to meet the requirements of this International 1010 Standard, provided that they are applicable to the specific operating unit that will be subject to them. 1011

Leadership 1012

A.5.1 Leadership and commitment 1013

Commitment, responsiveness, active support and feedback from the organizations top management are 1014 critical for the success of the environmental management system and therefore they have specific 1015 responsibilities for which they need to be personally involved with or direct. 1016

Top management is expected to create a culture and environment that encourages people with leadership 1017 roles (not necessarily formal management positions, e.g. team leaders) to work actively towards 1018 implementing the requirements of the environmental management system and seeking to achieve the 1019 environmental objectives. 1020

A.5.2 Environmental policy 1021

The environmental policy is the driver for implementing and improving an organizations environmental 1022 management system so that it can maintain and potentially improve its environmental performance 1023 consistent with the expectations of top management.it should therefore reflect the commitment of top 1024 management to comply with compliance obligations as determined in 6.1.3, as well as to the prevention of 1025 pollution, protection of the environment and continual improvement. The environmental policy forms the 1026 basis upon which the organization sets its objectives. 1027

By reading this International Standard as a whole and understanding the relationship between the relevant 1028 requirements, an organization demonstrates its commitment to meet its compliance obligations by 1029

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defining an environmental policy that includes a commitment to satisfy its compliance obligations 1030 (see 5.2), 1031

assigning roles with defined responsibilities and authorities for compliance related requirements 1032 (see 5.3), 1033

identifying compliance obligations (see 4.4 and 6.1.3), 1034

establishing environmental objectives that take into account its compliance obligations (see 6.2.1), 1035

planning action to achieve any objectives that relate to its compliance obligations (see 6.2.2), 1036

being properly supported with adequate resources to meet the compliance-related requirements 1037 (see 7.1), 1038

making persons working for or on behalf of the organization aware of the compliance-related 1039 processes developed pursuant to 8.1 that are related to their work (see 7.3), and ensuring persons 1040 whose work can affect environmental performance are competent. To the extent that such work 1041 also involves compliance obligations, the competency of such persons must include the capability 1042 to meet those requirements, 1043

maintaining sufficient documented information to demonstrate achievement of compliance-related 1044 requirements (see 7.5), 1045

knowing its compliance status by monitoring, measuring, analysing (see 9.1) and periodically 1046 evaluating compliance (see 9.1.2), 1047

periodically conducting internal audits, which necessarily include those elements of the 1048 environmental management system that are complian

Committee Draft 2 14001

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Transcript of Committee Draft 2 14001