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ISO/TC 207/SC 1/WG 5 ISO/TC 207/SC 1/WG 5 - Requirements with guidance for use Email of secretary: mike.henigan@bsigroup.com; katherina.wuehrl@din.de Secretariat: BSI (UK), DIN (Germany) ISO/TC 207/SC 1/WG 5 ISO 14001 WD.3 Document type: Date of document: Expected action: Expected action date: Background: Experts are invited to share this document with their national member body and submit comments using th the ISO comments template by Monday 14 January 2013. The WG 5 leadership is committed to producing a document in accordance with Annex SL to the Supplement to the ISO/IEC Directives Part 1. Experts need to be aware in particular that: • The High Level Structure (HLS) should be followed • Discipline specific additions may be made to the HLS (using the flexibility included in Appendices 2 to 4 to Annex SL) • Deviations are only allowed in exceptional circumstances when there is consensus within WG 5 and detailed rationale can be given to ISO/TMB. Experts are encouraged to submit proposed text (within the rules above) to accompany their comments. Please note the following: Key: ― Normal black text: Annex SL text ― Strikethrough text: original Annex SL text where a potential deviation has been proposed. ― Highlighted text in blue: potential deviation proposed (see above re comments that can be discussed) ― Blue text is proposed integrated text for ISO 14001:201X ― Red italics text is text from ISO 14001:2004 that has not yet been discussed by the working group. [Text in square brackets] is where there was no agreement on the text or there may be uncertainty/ potential redundancy that needs to be clarified. Committee URL: The Introduction has not been reviewed, experts should resubmit their comments if needed. The PDCA model is being reviewed by the Task Group on PDCA and will be discussed at the next meeting. Terms and Definitions are being reviewed by the Task Group Terms and Definitions and will be discussed at the next meeting. The Scope, clauses 5, 7.1-7.3 and 8 have been reviewed and text submitted by WG 5 leadership. Clauses 6.2 and 7.4 were reviewed and text submitted by Task Group 1, clauses 9.3, 10.1 and 10.2 were reviewed and text submitted by Task Group 2. The text included regarding Annex A is for information only and specific comments are not required at this stage. Working draft 2012-12-07 Comment (Please send the comment file to mike.henigan@bsigroup.com and katherina.wuehrl@din.de) 2013-01-14

http://isotc.iso.org/livelink/livelink/open/tc207sc1wg5

© ISO 2012 – All rights reserved

ISO/TC 207/SC 1 N

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Date: 2012-12-7

ISO/WD 14001.3
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 directricespour 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: (20) Preparatory Document language: E X:\TA1\TG1-4\NA_172 NAGUS\Normen 3_kwMH.doc STD Version 2.4e - RC2 (laufende Projekte)\14001_wue\ISO_14001_(E) WD

3 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. telex number.] Reproduction for sales purposes may be subject to royalty payments or a licensing agreement. telephone number. neither this document nor any extract from it may be reproduced. 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. 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. stored or transmitted in any form for any other purpose without prior written permission from ISO. fax number. as appropriate.ISO/WD 14001. Violators may be prosecuted. and electronic mail address. ii © ISO 2012 – All rights reserved .

............2 9...................................... responsibilities and authorities ........................................................................................2 5......................3 10 10......... vi 1 2 3 4 4...................1 9.........................................................................................................2 4........................................................................2 9........................................................................................5............................................................................................................................... 8 Determining the scope of the environmental management system ..............................................................................................................................................................................................................1 6........................................................................ 7 Understanding the needs and expectations of interested parties .............................................................................................................................. 7 Understanding the organization and its context . 8 Leadership ............. 16 Management review ...................................................... 8 Policy ...................................................................................................... 17 Continual improvement ......................................................................................................................................................................................... 9 Planning................................................................................................................................ 12 Awareness ....................... 15 General ......................................................................................................4......................... measurement........3 7..........................................................................2.................................... v Introduction ....................................................................ISO/WD 14001...................................................................2 8............. 17 Nonconformity and corrective action ..................................................................... 13 Documented information .............................................................1 5.........................2 6..........................................................1 8..... 12 External communication and reporting .....................................................................................................................1 4....................................................... 12 Communication .............................................................. 13 Control of documented information ...........1 7................................... 15 Emergency preparedness and response ......... 10 General .............1................................ 11 Competence ..................................................... 8 Environmental management system ................................................................... 8 Normative references .............................. 16 Internal audit ...................................................................................... 10 Environmental objectives and planning to achieve them ........................................1.......................5 7................................ 13 Creating and updating ............................ 11 Resources ....3 8 8.......................... 11 Environmental objectives ..............3 8................................................. 14 Operational planning and control ...........................................................................2 7................................................................3 6 6.............................................................................................................................................3 Contents Page Foreword ........................... 10 Legal and other requirements .2 7............................. 9 Organization roles....................... 18 © ISO 2012 – All rights reserved iii ................................................................................................1 9....2 7 7.................................................................................. 11 Support ........................... analysis and evaluation ......................................................................................................1 7...... 15 Monitoring........................................................................................................................................... 11 Environmental performance indicators and improvement programmes .................................................................................................. 14 Procurement ...................................................................................................................................................................................................................................................................... 2 Terms and definitions .........................................1 6........................................4 9 9................................... 2 Context of the organization .......... 15 Performance evaluation ....... 8 Leadership and commitment ...............................................................................1.................. 17 Improvement ....2 7.......................................................................................................................4 5 5..............................4.........................................................................................................................................3 6........1..... 14 Operation ..1 6.... 10 Actions to address risks and opportunities .........................................................................................................1 10.................................................................................................................5.............................................. 13 General ............5....................................................................................................................................................................... 14 Design ...................................................................................................................2 6............................................................................................................2......................4 7........... 12 General .....................................2 Scope .........................1 7........3 4...................... 15 Evaluation of compliance .......................... 10 Environmental aspects ...................1..........................................................................................

............................................................................3 Annex A......................................................3 A.................. 19 Sub-clause 4... 19 Sub-clause 4................ 20 iv © ISO 2012 – All rights reserved ..............................................................................1 ..........................4 ..1 A............ 20 Clause 7 ............ISO/WD 14001........................................................................................................................ 19 Sub-clause 5..............................................................................................................4 A (informative) Placeholders ...........2 A.................................................................................................................1 ............

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting... governmental and non-governmental..ISO/WD 14001. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. [clause(s) / subclause(s) / table(s) / figure(s) / annex(es)] of which [has / have] been technically revised. International organizations. Environmental management. edition (). © ISO 2012 – All rights reserved v . Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. also take part in the work. Part 2. Environmental management systems. The main task of technical committees is to prepare International Standards.. ISO 14001 was prepared by Technical Committee ISO/TC 207. Subcommittee SC 1. in liaison with ISO. The work of preparing International Standards is normally carried out through ISO technical committees. ISO shall not be held responsible for identifying any or all such patent rights. This second/third/.3 Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives. edition cancels and replaces the first/second/.

On their own. 4. Many organizations have undertaken environmental “reviews” or “audits” to assess their environmental performance.5. are not intended to be used to create non-tariff trade barriers or to increase or change an organization's legal obligations. and increased concern expressed by interested parties about environmental matters and sustainable development. take action as needed to improve its performance and demonstrate the conformity of the system to the requirements of this International Standard. These standards. Guidance on supporting environmental management techniques is contained in other International Standards. the development of economic policies and other measures that foster environmental protection. Demonstration of successful implementation of this International Standard can be used by an organization to assure interested parties that an appropriate environmental management system is in place. and a non-certifiable guideline intended to provide generic assistance to an organization for establishing. establish objectives and processes to achieve the policy commitments. these “reviews” and “audits” may not be sufficient to provide an organization with the assurance that its performance not only meets. It is intended to apply to all types and sizes of organization and to accommodate diverse geographical.3. International Standards covering environmental management are intended to provide organizations with the elements of an effective environmental management system (EMS) that can be integrated with other management requirements and help organizations achieve environmental and economic goals. The second edition of this International Standard is focused on clarification of the first edition.3 both deal with objectives. For ease of use. they need to be conducted within a structured management system that is integrated within the organization. however. In addition. which describes the requirements for an organization's environmental management system and can be used for certification/registration and/or selfdeclaration of an organization's environmental management system. like other International Standards. vi © ISO 2012 – All rights reserved . consistent with their environmental policy and objectives. The basis of the approach is shown in Figure 1. Any reference to other International Standards is for information only. and has taken due consideration of the provisions of ISO 9001 to enhance the compatibility of the two standards for the benefit of the user community. its legal and policy requirements. They do so in the context of increasingly stringent legislation.3 and A. including those with strategic and competitive implications. Environmental management encompasses a full range of issues. but will continue to meet. The overall aim of this International Standard is to support environmental protection and prevention of pollution in balance with socio-economic needs. For example.ISO/WD 14001. particularly those on environmental management in the documents established by ISO/TC 207. This International Standard specifies requirements for an environmental management system to enable an organization to develop and implement a policy and objectives which take into account legal requirements and information about significant environmental aspects. Annex B identifies broad technical correspondences between ISO 14001:2004 and ISO 9001:2008 and vice versa. A system of this kind enables an organization to develop an environmental policy.3 Introduction Organizations of all kinds are increasingly concerned with achieving and demonstrating sound environmental performance by controlling the impacts of their activities. There is an important distinction between this International Standard. To be effective. cultural and social conditions. and 4. products and services on the environment. implementing or improving an environmental management system. the subclause numbers in Clause 4 of the body of this International Standard and in Annex A have been related. The success of the system depends on commitment from all levels and functions of the organization. and especially from top management.5 both deal with internal audit. It should be noted that many of the requirements can be addressed concurrently or revisited at any time.5. targets and programme(s).5 and A.3.

ISO/WD 14001. ISO 9001 promotes the use of the process approach. which can be referred to as the “process approach”. Thus. Since PDCA can be applied to all processes. This International Standard does not establish absolute requirements for environmental performance beyond the commitments. in the environmental policy. targets. This International Standard contains only those requirements that can be objectively audited. objectives. Do: implement the processes.  Plan: establish the objectives and processes necessary to deliver results in accordance with the organization's environmental policy. PDCA can be briefly described as follows. and report the results. two organizations carrying out similar operations but having different environmental performance can both conform to its requirements. Check: monitor and measure processes against environmental policy.    Many organizations manage their operations via the application of a system of processes and their interactions. Those organizations requiring more general guidance on a broad range of environmental management system issues are referred to ISO 14004. Act: take actions to continually improve performance of the environmental management system. legal and other requirements. to prevention of pollution and to continual improvement.3 Figure 1 — Environmental management system model for this International Standard ISO NOTE This International Standard is based on the methodology known as Plan-Do-Check-Act (PDCA). the two methodologies are considered to be compatible. to comply with applicable legal requirements and with other requirements to which the organization subscribes. © ISO 2012 – All rights reserved vii .

It does not itself state specific environmental performance criteria. and fully take into account the costeffectiveness of such techniques. the environmental management system can encourage organizations to consider implementation of the best available techniques. mitigate risks and manage opportunities associated with   d) e) f) its significant environmental aspects external environmental conditions that affect its ability to achieve its objectives. This may be the case in particular for small and medium-sized enterprises. It specifies the environmental management system requirements for an organisation to proactively achieve the following intended outcomes: a) b) c) understand its external and internal context. It is pointed out. occupational health and safety. manage its obligation to comply with legal and other requirements. The extent of application depends on factors such as the viii © ISO 2012 – All rights reserved . It is possible for an organization to adapt its existing management system(s) in order to establish an environmental management system that conforms to the requirements of this International Standard. 1 2 Environmental management systems — Requirements with guidance for use 1 Scope 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 This International Standard specifies the requirements for an organization to establish and implement an environmental management system.ISO/WD 14001. In order to achieve environmental objectives. and communicate with interested parties. The level of detail and complexity of the environmental management system. the extent of documentation and the resources devoted to it depend on a number of factors. such as the scope of the system. This International Standard does not include requirements specific to other management systems. and be capable of demonstrating its compliance status. It provides a framework through which an organisation can deliver environmental performance improvement set by top management in line with its environmental policy commitments. however. including the needs and expectations of interested parties. adoption of this International Standard will not in itself guarantee optimal environmental outcomes. establish environmental policy and objectives. financial or risk management. products and services. that the application of various elements of the management system might differ depending on the intended purpose and the interested parties involved. The requirements in this International Standard are intended to be integrated into the organisation’s management system and its business processes. It applies to the environmental aspects across its [value chain/lifecycle] that the organization determines it can either control or can influence. though its elements can be aligned or integrated with those of other management systems. However. where appropriate and where economically viable. such as those for quality.3 The adoption and implementation of a range of environmental management techniques in a systematic manner can contribute to optimal outcomes for all interested parties. and be capable of demonstrating the environmental performance outcomes that it achieves. the size of an organization and the nature of its activities. continually improve its environmental management system to enhance its environmental performance.

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.02 interested party (preferred term) stakeholder (admitted term) person or organization (3. public or private. Note 2 to Entry A specified requirement is one that is stated.12A) Note 1 to Entry The concept of organization includes.3 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 context within which the organization functions. No normative references are cited. humans. Note 2 to Entry organization For organizations with more than one operating unit. company. 3 Terms and definitions For the purposes of this document. water. land. be affected by. 2 Normative references The following referenced documents are indispensable for the application of this document. authorities and relationships to achieve its objectives (3.01 organization person or group of people that has its own functions with responsibilities. enterprise. partnership. whether incorporated or not. the following terms and definitions apply. 2 © ISO 2012 – All rights reserved . and their interrelation Note 2 to Entry Surroundings in this context extend from within an organization (3. the latest edition of the referenced document (including any amendments) applies. For undated references. including air. 3. and the nature of its activities. or perceive themselves to be affected by a decision or activity 3. only the edition cited applies. a single operating unit may be defined as an 3.02 B interested party person or group concerned with or affected by the environmental performance (3.01) 3. 3. charity or institution. but is not limited to sole-trader. This clause is included in order to retain clause numbering identical with the previous edition (ISO 14001:1996). products and services. authority. flora.03 requirement need or expectation that is stated.01) to the global system.ISO/WD 14001. for example in documented information.01) operates. natural resources. firm. or part or combination thereof. its environmental policy commitments.05 environment surroundings in which an organization (3.17B) of an organization (3. For dated references. fauna.01) that can affect. corporation.

01) environmental aspects (3.07A).06) Note 1 to Entry A management system is a set of interrelated elements used to establish policy and objectives and to achieve those objectives. whether adverse or beneficial.07A environmental impact any change to the environment (3.16A) to achieve those objectives Note 1 to Entry Note 2 to Entry operation.08B environmental management system EMS part of an organization's (3.05). planning activities. Note 2 to Entry If the scope of the management system (3. 3. Note 2 to Entry A management system includes organizational structure.12) and processes (3.06 environmental aspect element of an organization's (3. etc.01) activities or products or services that can interact with the environment (3.01) to establish policies (3.06) or any change by the environment (3.11B) and manage its environmental aspects (3. or one or more functions across a group of organizations. roles and responsibilities.08A management system set of interrelated or interacting elements of an organization (3.08A) covers only part of an organization then top management refers to those who direct and control that part of the organization. specific and identified functions of the organization. planning.06) 3. practices. responsibilities.09 top management person or group of people who directs and controls an organization (3.11A) and objectives (3. wholly or partially resulting from an organization's (3. wholly or partially resulting from an organization's (3.05) on the organization. A management system can address a single discipline or several disciplines. specific and identified sections of the organization. Note 3 to Entry The scope of a management system may include the whole of the organization.16B).3 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 3. procedures (3.01) environmental aspects (3. 3. 3. 3. processes and resources.07B environmental impact any change to the environment whether adverse or beneficial.ISO/WD 14001. 3.10 effectiveness extent to which planned activities are realized and planned results achieved © ISO 2012 – All rights reserved 3 .05) Note 1 to Entry Significant environmental aspect has or can have a significant environmental impact (3.01) at the highest level Note 1 to Entry Top management has the power to delegate authority and provide resources within the organization. The system elements include the organization’s structure.01) management system used to develop and implement its environmental policy (3.

project. 3.11B environmental policy overall intentions and direction of an organization (3. of deficiency of information related to. to achieve specific results.16A)). understanding or knowledge of.g. consistent with the environmental policy (3. a purpose.18).12B environmental objective overall environmental goal.11B). Note 3 to Entry An objective can be expressed in other ways.1.01) sets itself to achieve 3. or likelihood.11A policy intentions and direction of an organization (3.17B) as formally expressed by top management Note 1 to Entry The environmental policy provides a framework for action and for the setting of environmental objectives (3. 3.01) as formally expressed by its top management (3.6. e.1) of occurrence.3) and consequences (ISO Guide 73. 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. as an intended outcome.12B) and environmental targets (3. Note 4 to Entry In the context of environmental management systems environmental objectives are set by the organization. 3.3). Documented information can refer to 4 © ISO 2012 – All rights reserved . health and safety. and environmental goals) and can apply at different levels (such as strategic. aim. tactical.6.09) 3. 3. Note 2 to Entry Objectives can relate to different disciplines (such as financial.5.3 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 3. Note 3 to Entry Risk is often characterized by reference to potential events (ISO Guide 73. even partial. or a combination of these.ISO/WD 14001. or target). 3. Note 2 to Entry Uncertainty is the state.01) and the medium on which it is contained Note 1 to Entry Note 2 to Entry Documented information can be in any format and media and from any source.g. its consequence. as an environmental objective or by the use of other words with similar meaning (e.1. that an organization (3.15A documented information information required to be controlled and maintained by an organization (3. an operational criterion.14 competence ability to apply knowledge and skills to achieve intended results 3.01) related to its environmental performance (3. consistent with the environmental policy. product and process (3.1. goal. 3.13 risk effect of uncertainty Note 1 to Entry An effect is a deviation from the expected — positive or negative. an event. or operational.12A objective result to be achieved Note 1 to Entry An objective can be strategic. organization-wide.

products (including services).17B environmental performance measurable results of an organization's (3.08A). management or conditions [Source: ISO/DIS 14031:2012] 3. results can be measured against the organization's (3. environmental objectives (3.16A). including related processes (3.01) management of its environmental aspects (3. information created in order for the organization to operate (documentation).ISO/WD 14001.01). 3. 3. processes (3.2. 3.06) Note 1 to entry In the context of environmental management systems (3.XX key performance indicator KPI indicator of performance deemed by an organization to be significant and giving prominence and attention to certain aspects Note 1 to entry Key performance indicators may be selected for Operational Performance Indicators (OPIs). evidence of results achieved (records).01) environmental policy (3. 3. 3.08B).5. environmental targets (3.3 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 180 181 182 183 184 185    the management system (3. or a combination thereof.15B document information and its supporting medium Note 1 to entry The medium can be paper. Note 2 to entry Performance can relate to the management of activities.16B procedure specified way to carry out an activity or a process Note 1 to entry Note 2 to entry Procedures can be documented or not.11B).4. photograph or master sample.17A performance measurable result Note 1 to entry Performance can relate either to quantitative or qualitative findings.12B). Management Performance Indicators (MPIs) and Environmental Performance Indicators (EPIs) © ISO 2012 – All rights reserved 5 . Adapted from ISO 9000:2000. 3. 3. electronic or optical computer disc.18) and other environmental performance requirements.XX indicator measureable representation of the condition or status of operations.16A process set of interrelated or interacting activities which transforms inputs into outputs 3. Note 2 to entry Adapted from ISO 9000:2000. magnetic.7. systems or organizations (3.16A).

and it can be a combined audit (combining two or more disciplines).01) are fulfilled Note 1 to entry In many cases.12B) and that needs to be set and met in order to achieve those objectives 3.21 measurement process (3.25 nonconformity non-fulfilment of a requirement (3.22B internal audit systematic.16A) 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).9] 3.16A) or an activity Note 1 to entry To determine the status there may be a need to check.24 conformity fulfilment of a requirement (3. Note 2 to entry “Audit evidence” and “audit criteria” are defined in ISO 19011.3 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 201 202 203 204 205 206 207 208 209 210 211 212 213 214 215 216 217 218 219 220 221 222 223 224 225 226 227 228 [Source: ISO/DIS 14031:2012] 3.01) performs part of an organization’s function or process (3. 3. a process (3.9. independence can be demonstrated by the freedom from responsibility for the activity being audited. 3.18 environmental target detailed performance requirement.16A) to determine a value 3.23 auditor person with the competence to conduct an audit [Source: ISO 9000:2000. 3.08A). 3.ISO/WD 14001.2] 6 © ISO 2012 – All rights reserved . that arises from the environmental objectives (3.22A audit systematic. independent and documented process (3. 3.6.20 monitoring determining the status of a system.01) or parts thereof.03) [Source: ISO 9000:2000.03) 3. applicable to the organization (3.19 outsource (verb) make an arrangement where an external organization (3. 3.16A) Note 1 to entry An external organization is outside the scope of the management system (3. particularly in smaller organizations. although the outsourced function or process is within the scope. supervise or critically observe. independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the environmental management system audit criteria set by the organization (3.

17A) 3.25) 3.11B) Note 1 to entry The process need not take place in all areas of activity simultaneously.29B continual improvement recurring process of enhancing the environmental management system (3.08B) in order to achieve improvements in overall environmental performance (3.7.30 prevention of pollution use of processes. NOTE See Annex A.17B) consistent with the organization's (3. reuse.31 record document (3. recycling. efficient use of resources. recovery.29A continual improvement recurring activity to enhance performance (3. in order to reduce adverse environmental impacts (3. 3. services or energy to avoid. emission or discharge of any type of pollutant or waste.28 preventive action action to eliminate the cause of a potential nonconformity (3. © ISO 2012 – All rights reserved 7 .15B) stating results achieved or providing evidence of activities performed Note 1 to entry Adapted from ISO 9000:2000.27B corrective action action to eliminate the cause of a detected nonconformity (3. materials. product or service changes. material and energy substitution. The knowledge gained shall be [considered. practices. taken into account] when designing the organizations environmental management system. techniques.01) environmental policy (3.25) 3. process.ISO/WD 14001.07A) Note 1 to entry Prevention of pollution can include source reduction or elimination.3 229 230 231 232 233 234 235 236 237 238 239 240 241 242 243 244 245 246 247 248 249 250 251 252 253 254 255 256 257 258 259 260 261 262 263 264 265 266 267 268 269 3. reduce or control (separately or in combination) the creation. 4 Context of the organization 4.6. 3. reclamation and treatment. products.26 correction action to eliminate a detected nonconformity (3.25) 3. 3.1 Understanding the organization and its context The organization shall determine evaluate and understand the external and internal issues context that are is relevant to its purpose and that affects its ability to achieve the [intended outcome(s)/policy commitments] of its environmental management system.25) and to prevent recurrence 3.27A corrective action action to eliminate the cause of a nonconformity (3.

4.2 Understanding the needs and expectations of interested parties The organization shall determine   determine the interested parties that are relevant to the environmental management system. maintain and continually improve an environmental management system. including the processes needed and their interactions. policy commitments]. The knowledge gained shall be considered when designing the organizations environmental management system. ensuring that the resources needed for the environmental management system are available. ensuring that the environmental management system achieves its [intended outcome(s). and [understand/identify/determine] the requirements needs and expectations of these interested parties.3 270 271 272 273 274 275 276 277 278 279 280 281 282 283 284 285 286 287 288 289 290 291 292 293 294 295 296 297 298 299 300 301 302 303 4.1 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 is taken into account when establishing the environmental management system. implement. internally communicating the importance of effective environmental management and of conforming to the environmental management system requirements.ISO/WD 14001. in accordance with the requirements of this International Standard. 8 © ISO 2012 – All rights reserved .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. The organization shall determine how it will fulfil these requirements. the organization shall consider   the external and internal issues context referred to in 4. When determining this scope. 4. ensuring the integration of the environmental management system requirements into the organization’s business processes. 5 Leadership 5. and the requirements needs and expectations referred to in 4. ensuring that the environmental policy and environmental objectives are established and are compatible with the strategic direction of the organization. The scope shall be available as documented information.1.4 Environmental management system The organization shall establish.2. document. NOTE Explanatory text was moved to Annex A.

supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility. as appropriate.    The environmental policy shall    be available as documented information. including persons working on behalf of the organization. 5. includes a commitment to satisfy applicable requirements.ISO/WD 14001. scale and environmental impacts of its activities. 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. products and services. and protection of the environment.3 Organization roles. Top management shall assign a management representative who. biodiversity and restoration of natural habitats. NOTE 5. within the defined scope of its environmental management system. irrespective of other job responsibilities. is appropriate and to the nature.2 Policy Top management shall establish an environmental policy that. provides a framework for setting environmental objectives and targets. includes a commitment to mitigate its risks and manage opportunities associated with prevention of pollution. Explanatory text was moved to Annex A. shall have the responsibility and authority for: a) b) ensuring that the environmental management system conforms to the requirements of this International Standard: and reporting on the performance of the environmental management system to top management during the management review. promoting continual improvement.3 304 305 306 307 308 309 310 311 312 313 314 315 316 317 318 319 320 321 322 323 324 325 326 327 328 329 330 331 332 333 334 335    directing and supporting persons to contribute to the effectiveness of the environmental management system.    is appropriate to the purpose and context of the organization. sustainable resource use. be communicated within the organization. and includes a commitment to continual improvement of the environmental management system to enhance its environmental performance in line with the environmental policy as set by top management. including compliance to legal requirements and other requirements to which the organization subscribes. climate change mitigation and adaptation. be available to interested parties. © ISO 2012 – All rights reserved 9 .

2 and 6. 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.1 General When planning for the environmental management system. taking into account planned or new developments. and how to  integrate and implement the actions into its environmental management system processes 10 © ISO 2012 – All rights reserved . implement and maintain a procedure(s) a) b) to identify and have access to the applicable legal requirements and other requirements to which the organization subscribes related to its environmental aspects.2 The organization shall establish. products and services]. significant environmental aspects). The organization shall ensure that these applicable legal requirements and other requirements to which the organization subscribes are taken into account in establishing. undesired effects achieve continual improvement.1.1 Actions to address risks and opportunities 6.1. The organization shall ensure that the significant environmental aspects are taken into account in establishing. implement and maintain a procedure(s): a) to identify the environmental aspects of its activities. or new or modified activities. [to identify the environmental [aspects/conditions] originating outside the organization capable of affecting the organization’s activities. 6. the organization shall consider the issues context referred to in 4. implementing and maintaining its environmental management system.1.3 Legal and other requirements The organization shall establish. implementing and maintaining its environmental management system. or reduce. b) c) The organization shall document this information and keep it up to date. products and services.ISO/WD 14001.1. The organization shall plan: a) b) actions to address these risks and opportunities.1. and the requirements the needs and expectations of interested parties referred to in 4.3 336 337 338 339 340 341 342 343 344 345 346 347 348 349 350 351 352 353 354 355 356 357 358 359 360 361 362 363 364 365 366 367 368 369 6 Planning 6.2 and determine as provided in 6.3 the risks and opportunities that need to be addressed to    assure the environmental management system can achieve its intended outcome(s) prevent.e. and to determine how these requirements apply to its environmental aspects. and to determine those environmental aspects that have or can have significant impact(s) on the environment or the organization (i. Environmental aspects 6.1.

7 Support 7.1 Environmental objectives The organization shall establish environmental objectives at relevant functions and levels. The environmental objectives shall        be consistent with the environmental policy. operational and business requirements.2. When planning a programme(s) how to achieve its environmental objectives and improve environmental performance. its financial. including the indicators necessary to demonstrate performance. and be updated as appropriate. © ISO 2012 – All rights reserved 11 . implementation. and the views of interested parties. be communicated. be measurable (if practicable). legal requirements and applicable requirements to which the organization subscribes. take into account the organization’s significant environmental aspects. NOTE See Annex A. the organization shall define key performance indicators against which performance shall be evaluated. be monitored. The organization shall retain documented information on the environmental objectives.3 370 371 372 373 374 375 376 377 378 379 380 381 382 383 384 385 386 387 388 389 390 391 392 393 394 395 396 397 398 399  evaluate the effectiveness of these actions. be developed considering the organization’s technological options. 6. maintenance and continual improvement of the environmental management system.2 Environmental performance indicators and improvement programmes For each objective.2 Environmental objectives and planning to achieve them 6. the organization shall determine      what will be done what resources will be required who will be responsible when it will be completed how the results will be evaluated.2. demonstrated and communicated. 6.ISO/WD 14001.1 Resources The organization shall determine and provide the resources needed for the establishment.

their roles and responsibilities in achieving conformity with the requirements of the environmental management system. take actions to acquire the necessary competence. implement and maintain a procedure(s) to  determine the necessary competence of person(s) doing work under its control or on its behalf that affects its environmental performance and that has the potential to cause a significant environmental impact(s). 12 © ISO 2012 – All rights reserved .2) communication methods. where applicable. and evaluate the effectiveness of the actions taken. implement and maintain a procedure(s) to ensure that persons doing work under the organization’s control shall be aware of       the environmental policy the importance of conformity with the environmental policy and procedures and with the requirements of the environmental management system. 7. and ensure that these persons are competent on the basis of appropriate education. including the benefits of improved environmental performance the implications of not conforming with the environmental management system requirements.    NOTE Applicable actions may include.ISO/WD 14001.3 400 401 402 403 404 405 406 407 408 409 410 411 412 413 414 415 416 417 418 419 420 421 422 423 424 425 426 427 428 429 430 431 432 433 7.3 Awareness The organization shall establish. tools and approaches. or the reassignment of currently employed persons. for example: the provision of training to. the significant environmental aspects and related actual or potential impacts associated with their work.4. including the legal requirements.4 Communication 7.1 General The organization shall determine the need for its strategy for internal and external communications relevant to the environmental management system including      on what it will communicate when to communicate with whom to communicate the needs and expectations of interested parties (4. and their contribution to the effectiveness of the environmental management system. training. 7. the mentoring of. or the hiring or contracting of competent persons. skills or experience. and retain appropriate documented information as evidence of competence.2 Competence The organization shall establish.

graphics) and media (e.5.2 The organization shall report environmental information externally as required by legal and other requirements. the needs and expectations of interested parties. NOTE The extent of documented information for a environmental management system can differ from one organization to another due to    NOTE the size of organization and its type of activities. © ISO 2012 – All rights reserved 13 . and reference to related documented information. language. accurate. and as determined by its communication strategy. 7. Note was moved to Annex A. implement and maintain a procedure(s) for a) b) internal communication among the various levels and functions of the organization. processes.g. update and control the documented information associated with the environmental management system.2 Creating and updating When creating and updating documented information the organization shall ensure appropriate    identification and description (e.ISO/WD 14001. implement and maintain a procedure to create. products and services. transparent and reliable. a title. documenting and responding to relevant communication from external interested parties. paper. External communication and reporting 7.1) Complete. author. including that relating to its products.5. receiving. date. software version. electronic) review and approval for suitability and adequacy.5 Documented information 7. the communication shall be:   Based on and consistent with the information generated within the environmental management system and with the internal evaluation of the organization’s environmental performance (9.g. and the competence of persons. the complexity of processes and their interactions.3 434 435 436 437 438 439 440 441 442 443 444 445 446 447 448 449 450 451 452 453 454 455 456 457 458 459 460 461 462 463 464 465 466 467 468 With regard to its environmental aspects and environmental management system. taking into account:   legal and other requirements.g. 7. The organization shall establish. or reference number) format (e.4. When the organization communicates externally on its environmental performance. documented information required by this International Standard documented information determined by the organization as being necessary for [and to demonstrate (or remove "to demonstrate" to leadership?)] for the effectiveness of the environmental management system. Data and information that is communicated externally shall be truthful and not misleading.1 General The organization’s environmental management system shall include    description of the main elements of the environmental management system and their interaction. the organization shall establish.

the integrity of assets is maintained. or the permission and authority to view and change the documented information. assets and materials in accordance with the criteria creating documented information to control situations where its absence could lead to deviation from the environmental policy. equipment. implement and control the processes. retrieval and use. access. 3rd bullet is ‘document’. etc.ISO/WD 14001.5. assets and materials implementing control of the processes. 4 bullet is ‘record’} th 8.3 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. and controlled as appropriate. modified facilities. as applicable     distribution.g. The organization shall control planned changes and review the consequences of unintended changes.1. systems and processes that can have a significant impact on its environmental 14 © ISO 2012 – All rights reserved . NOTE Access implies a decision regarding the permission to review the documented information only. and keeping documented information to the extent necessary to have confidence that the processes have been carried out as planned. taking action to mitigate any adverse effects. by     establishing criteria for the processes. where and when it is needed it is adequately protected (e. or loss of integrity). {Note to WG5 Experts: Using 14001:2004 parlance. 8 Operation 8. from loss of confidentiality. NOTE Note moved to Annex A. the organization shall address the following activities. to be consistent with its environmental policy and objectives and to implement the actions determined in 6. as necessary. For the control of documented information. The organization shall plan.3 469 470 471 472 473 474 475 476 477 478 479 480 481 482 483 484 485 486 487 488 489 490 491 492 493 494 495 496 497 498 499 500 501 502 503 7. improper use. storage and preservation. objectives and legal requirements and other requirements. and materials conform to requirements.1 Operational planning and control Organization shall ensure that operations associated with its significant environmental aspects are carried out under specified conditions. version control) retention and disposition 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. assets and materials needed to meet applicable environmental requirements.2 Design The organization shall consider improvement opportunities and operational control in the design of new.g. including preservation of legibility control of changes (e.

which includes. define and communicate the applicable procedure(s) and requirement(s) to suppliers. take action to prevent occurrence or reduce consequences of potential emergency situations. design and procurement activities of the relevant project(s). 8. packaging and end-use/disposal. periodically test such procedures where practicable. the organization’s control and influence. the interaction with other environmental management system processes. establish and implement criteria for assessing significant environmental aspects that it can control and that it can influence over the planned or expected operating lifecycle. 9 Performance evaluation 9. 8. opportunities available. after the occurrence of accidents or emergency situations. product or service.1. implement and maintain a procedure(s) to      identify potential emergency situations and potential accidents that can have an impact(s) on the environment. measurement.4 Emergency preparedness and response The organization shall establish. periodically review and. where necessary. revise its emergency preparedness and response procedures. for example.1 Monitoring.3 504 505 506 507 508 509 510 511 512 513 514 515 516 517 518 519 520 521 522 523 524 525 526 527 528 529 530 531 532 533 534 535 536 537 538 539 540 performance. the competence of the supplier to meet the requirements of the organization’s environmental management system. the risk of deviation from the environmental policy and objectives. implementing and maintaining a procedure(s) to:    inform suppliers that procurement is partly evaluated on the basis of environmental impacts. including  the key characteristics of its operations that can have a significant environmental impact.ISO/WD 14001. implement and maintain a procedure(s) to determine  what needs to be monitored and measured. analysis and evaluation 9.3 Procurement The organization shall ensure that the identified significant environmental aspects within the scope of the EMS that are related to goods and services or outsourced processes used by the organization are controlled by establishing. and shall be incorporated where appropriate into the specification.1 General The organization shall establish. in particular. respond to actual emergency situations and accidents and prevent or mitigate associated adverse environmental impacts. transport. and the technical competence of the organization to define appropriate controls or assess the adequacy of the outsource process controls. appropriate to the magnitude of the problem and the potential environmental impact. including contractors NOTE 1 Goods and services includes the [value chain/lifecycle] of the activity. NOTE 2 The nature of the organization’s control over the purchase of goods and services or outsourced processes will depend on its importance.  information necessary for the evaluation of compliance as appropriate © ISO 2012 – All rights reserved 15 .

ISO/WD 14001. planning requirements and reporting.3 541 542 543 544 545 546 547 548 549 550 551 552 553 554 555 556 557 558 559 560 561 562 563 564 565 566 567 568 569 570 571 572 573      applicable operational controls  progress towards the organization’s environmental objectives and targets the criteria against which the organization will evaluate its performance the methods for monitoring. 9. is effectively implemented and maintained. The organization shall keep records of the results of the(se) periodic evaluation(s). The organization shall retain appropriate documented information as evidence of the results.1. methods. the organization shall    evaluate compliance with legal requirements and other requirements to which it subscribes maintain knowledge and understanding of its compliance status.2 Evaluation of compliance The organization shall establish. measurement. and maintain a procedure(s) for periodically evaluating compliance with applicable legal requirements. implement and maintain an audit programme(s). including the frequency. b) 16 © ISO 2012 – All rights reserved . a)   b) conforms to the organization’s own requirements for its environmental management system the requirements of this International Standard. Consistent with its commitment to compliance. as applicable. define the audit criteria and scope for each audit. 9. The organization shall ensure that calibrated or verified monitoring and measurement equipment is used and maintained as appropriate.2 Internal audit The organization shall conduct internal audits at planned intervals to provide information on whether the environmental management system. The audit programme(s) shall take into consideration the environmental importance of the processes concerned and the results of previous audits. establish. implement. 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 organization shall evaluate the environmental performance and the effectiveness of the environmental management system. analysis and evaluation including indicators. The organization shall: a) plan. take actions if needed to [achieve and/or maintain] compliance. responsibilities.

 developments in legal requirements.  monitoring and measurement results.ISO/WD 14001. 9. including the extent to which objectives and targets have been met. opportunities for continual improvement.3 Management review Top management shall review the organization's environmental management system. When a nonconformity occurs. at planned intervals. adequacy and effectiveness.  c) changes in risks and opportunities. changes in external and internal issues context of the organization that are relevant to the environmental management system including  changes in needs and expectations of interested parties. The organization shall retain documented information as evidence of the results of management reviews.  compliance with legal requirements and with other requirements to which the organization subscribes.3 574 575 576 577 578 579 580 581 582 583 584 585 586 587 588 589 590 591 592 593 594 595 596 597 598 599 600 601 602 603 604 605 606 c) d) e) select auditors and conduct audits to ensure objectivity and the impartiality of the audit process. and  d) audit results. and as applicable © ISO 2012 – All rights reserved 17 .1 Nonconformity and corrective action The organization shall establish. implement and maintain a procedure(s) for dealing with nonconformities and taking corrective action. including trends in:  nonconformities and corrective actions. the organization shall: a) react to the nonconformity. information on the environmental performance. The management review shall include consideration of: a) b) the status of actions from previous management reviews. ensure that the results of the audits are reported to relevant management. and retain documented information as evidence of the implementation of the audit programme and the audit results. The outputs of the management review shall include decisions related to continual improvement opportunities for environmental performance and any need for changes to the environmental management system. 10 Improvement 10. including the environmental policy and environmental objectives and targets consistent with the strategic direction of the organization. to ensure its continuing suitability.

including the mitigation of any environmental impact. Corrective actions shall be appropriate to the effects of the magnitude of the nonconformities encountered including impacts on the environment. review the effectiveness of any corrective action taken. adequacy and effectiveness of the environmental management system to enhance its environmental performance in line with the environmental policy as set by top management. implement any action needed. and make changes to the environmental management system.ISO/WD 14001.3 607 608 609 610 611 612 613 614 615 616 617 618 619 620 621 622 623 624 625 c) d) e) b)  take action to control and correct it. 18 © ISO 2012 – All rights reserved . by  reviewing the nonconformity  determining the causes of the nonconformity. evaluate the need for action to eliminate the causes of the nonconformity. and  determining if similar nonconformities exist. or could potentially occur. The organization shall retain documented information as evidence of   the nature of the nonconformities and any subsequent actions taken.2 Continual improvement The organization shall continually improve the suitability. in order that it does not recur or occur elsewhere. 10. if necessary. and  deal with the consequences. and the results of any corrective action.

technological. internal stakeholders. financial.3 626 627 628 629 Annex A (informative) Placeholders 630 631 632 633 634 635 636 637 638 639 640 641 642 643 644 645 646 647 648 649 650 651 652 653 654 655 656 657 The text included regarding Annex A is for information only and specific comments are not required at this stage. and the strategies that are in place to achieve them. guidelines and models adopted by the organization. people. and protection of the environment. and perceptions and values of. including how it will integrate EMS requirements into its business processes] [specified way?] [4. whether international.1 Sub-clauses 4. biodiversity and restoration of natural habitats. capital. the capabilities.4/scope/Annex?] © ISO 2012 – All rights reserved 19 . and protection of the environment.1 and 4.g. and relationships with. The evaluation of internal context may include:          governance. and perceptions and values of external stakeholders the effect environmental conditions such as prevention of pollution. national. A.2 The evaluation of external context may include:     the cultural. sustainable resource use. have on an organization’s ability to achieve its objectives. regulatory. political.4 [No consensus reached: The organization retains autonomy to decide how it will fulfil these requirements. legal. biodiversity and restoration of natural habitats. and form and extent of contractual relationships the organizations contribution to environmental conditions such as prevention of pollution. organizational structure. climate change mitigation and adaption. processes. information flows and decision-making processes (both formal and informal). time. information systems. natural and competitive environment. standards.2 Sub-clause 4.ISO/WD 14001. economic. systems and technologies). regional or local. A. key drivers and trends having impact on the objectives of the organization. climate change mitigation and adaption. the organization's culture. roles and accountabilities. relationships with. policies. social. understood in terms of resources and knowledge (e. objectives. etc. sustainable resource use.

etc. and the competence of persons. products and services.ISO/WD 14001.3 Sub-clause 5.3 658 659 660 661 662 663 664 665 666 667 668 669 670 671 672 A. organizational infrastructure. NOTE The extent of documented information for an environmental management system can differ from one organization to another due to — — — the size of organization and its type of activities.  needs further. technology and financial resources (cut from 7. the complexity of processes and their interactions. NOTE Access implies a decision regarding the permission to view the documented information only. or the permission and authority to view and change the documented information.1 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. clearer explanation A.4 Clause 7 Resources include human resources and specialized skills. 20 © ISO 2012 – All rights reserved . processes.1).