© ISO 2013 – All rights reserved

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

D:\Dokumente und Einstellungen\wue\Desktop\ISO 14001 CD MASTER v5.docx STD Version 2.5a

ISO/TC 207/SC 1 N 1067
Date: 2013-03-7
ISO/CD 14001.1
ISO/TC 207/SC 1/WG 5
Secretariat: BSI/DIN
Environmental management systems — Requirements with guidance for
use
Systèmes de management environnemental — Exigences et lignes directrices pour son utilisation

Warning
This document is not an ISO International Standard. It is distributed for review and comment. It is subject to
change without notice and may not be referred to as an International Standard.
Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of
which they are aware and to provide supporting documentation.
ISO/CD 14001
ii © ISO 2013 – All rights reserved

Copyright notice 1
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© ISO 2013 – All rights reserved iii

Contents Page 14
Foreword ............................................................................................................................................................. v 15
Introduction ........................................................................................................................................................ vi 16
1 Scope ...................................................................................................................................................... 8 17
2 Normative references ............................................................................................................................ 2 18
3 Terms and definitions ........................................................................................................................... 2 19
4 Context of the organization .................................................................................................................. 7 20
4.1 Understanding the organization and its context ................................................................................ 7 21
4.2 Understanding the needs and expectations of interested parties ................................................... 8 22
4.3 Determining the scope of the environmental management system ................................................ 8 23
4.4 Environmental management system ................................................................................................... 8 24
5 Leadership ............................................................................................................................................. 8 25
5.1 Leadership and commitment ............................................................................................................... 8 26
5.2 Policy ...................................................................................................................................................... 9 27
5.3 Organization roles, responsibilities and authorities ....................................................................... 10 28
6 Planning ............................................................................................................................................... 10 29
6.1 Actions to address risks and opportunities ..................................................................................... 10 30
6.1.1 General ................................................................................................................................................. 10 31
6.1.2 Environmental aspects ....................................................................................................................... 10 32
6.1.3 Legal requirements and voluntary obligations ................................................................................ 11 33
6.2 Environmental objectives and planning to achieve them ............................................................... 11 34
6.2.1 Environmental objectives ................................................................................................................... 11 35
6.2.2 Environmental improvement programmes ....................................................................................... 11 36
7 Support ................................................................................................................................................. 12 37
7.1 Resources ............................................................................................................................................ 12 38
7.2 Competence ......................................................................................................................................... 12 39
7.3 Awareness ............................................................................................................................................ 12 40
7.4 Communication ................................................................................................................................... 12 41
7.4.1 General ................................................................................................................................................. 12 42
7.4.2 Internal communication ...................................................................................................................... 13 43
7.4.3 External communication and reporting ............................................................................................ 13 44
7.5 Documented information .................................................................................................................... 13 45
7.5.1 General ................................................................................................................................................. 13 46
7.5.2 Creating and updating ........................................................................................................................ 14 47
7.5.3 Control of documented information .................................................................................................. 14 48
8 Operation .............................................................................................................................................. 14 49
8.1 Operational planning and control ...................................................................................................... 14 50
8.2 Value chain planning and control ...................................................................................................... 15 51
8.3 Emergency preparedness and response .......................................................................................... 15 52
9 Performance evaluation ...................................................................................................................... 16 53
9.1 Monitoring, measurement, analysis and evaluation ........................................................................ 16 54
9.1.1 General ................................................................................................................................................. 16 55
9.1.2 Evaluation of compliance ................................................................................................................... 16 56
9.2 Internal audit ........................................................................................................................................ 17 57
9.3 Management review ............................................................................................................................ 17 58
10 Improvement ........................................................................................................................................ 18 59
10.1 Nonconformity and corrective action................................................................................................ 18 60
10.2 Continual improvement ...................................................................................................................... 19 61
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Annex A (informative) ....................................................................................................................................... 20 62
A.1 General ................................................................................................................................................. 20 63
A.2 Scope ................................................................................................................................................... 20 64
A.3 Terms and definitions ........................................................................................................................ 20 65
A.4 Context of the organization ............................................................................................................... 21 66
A.4.1 Understanding the context of the organization ............................................................................... 21 67
A.4.2 Understanding the needs and expectations of interested parties ................................................ 22 68
A.4.3 Scope of the environmental management system .......................................................................... 22 69
A.4.4 Environmental management system ................................................................................................ 23 70
A.5.1 Leadership and commitment ............................................................................................................. 23 71
A.5.2 Environmental policy ......................................................................................................................... 24 72
A.5.3 Organization roles, responsibilities and authorities ....................................................................... 25 73
A.6 Planning ............................................................................................................................................... 26 74
A.6.1 Actions to address risks and opportunities .................................................................................... 26 75
A.6.1.1 General ................................................................................................................................................. 26 76
A.6.1.2 Risks and opportunities associated with environmental aspects ................................................. 26 77
A.6.1.3 Legal requirements and voluntary obligations ................................................................................ 28 78
A.6.2 Environmental objectives and planning to achieve them .............................................................. 29 79
A.6.2.1 Environmental improvement programmes ...................................................................................... 29 80
A.7 Support ................................................................................................................................................ 30 81
A.7.1 Resources ............................................................................................................................................ 30 82
A.7.2 Competence ........................................................................................................................................ 30 83
A.7.3 Awareness ........................................................................................................................................... 30 84
A.7.4 Communication ................................................................................................................................... 30 85
A.7.5 Documented information ................................................................................................................... 30 86
A.8 Operation ............................................................................................................................................. 32 87
A.8.1 Operational planning and control ..................................................................................................... 32 88
A.8.2 Value chain planning and control ..................................................................................................... 33 89
A.8.3 Emergency preparedness and response ......................................................................................... 33 90
A.9 Performance evaluation ..................................................................................................................... 34 91
A.9.1 Monitoring, measurement, analysis and evaluation ....................................................................... 34 92
A.9.1.1 General ................................................................................................................................................. 34 93
A.9.1.2 Evaluation of compliance .................................................................................................................. 34 94
A.9.2 Audits ................................................................................................................................................... 35 95
A.9.3 Management review ............................................................................................................................ 36 96
A.10 Management review ............................................................................................................................ 36 97
A.10.1 Nonconformity and corrective action ............................................................................................... 36 98
A.10.2 Continual improvement ...................................................................................................................... 36 99
Annex B (informative) Correspondence between ISO 14001:2004 and ISO 14001:201X .......................... 38 100
Annex C (informative) Correspondence between ISO 14001:201X and PDCA model ............................... 41 101
Bibliography ..................................................................................................................................................... 43 102
103
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Foreword 104
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies 105
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO 106
technical committees. Each member body interested in a subject for which a technical committee has been 107
established has the right to be represented on that committee. International organizations, governmental and 108
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the 109
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. 110
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. 111
The main task of technical committees is to prepare International Standards. Draft International Standards 112
adopted by the technical committees are circulated to the member bodies for voting. Publication as an 113
International Standard requires approval by at least 75 % of the member bodies casting a vote. 114
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent 115
rights. ISO shall not be held responsible for identifying any or all such patent rights. 116
ISO 14001 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee 117
SC 1, Environmental management systems. 118
This second/third/... edition cancels and replaces the first/second/... edition (), [clause(s) / subclause(s) / 119
table(s) / figure(s) / annex(es)] of which [has / have] been technically revised. 120
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Introduction 121
Organizations of all kinds have implemented environmental management systems to ensure compliance and 122
to achieve and demonstrate sound environmental performance by controlling the impacts of their activities, 123
products and services on the environment. They do so in the context of increasingly stringent legislation, 124
growing pressures on the environment from pollution, over-consumption of resources, degradation of eco- 125
systems and biodiversity, and an increasing world population, compounded by greater expectations from 126
society for sustainable development, transparency and accountability. 127
International Standards covering environmental management are intended to provide organizations with 128
knowledge, tools and techniques to build success over the long term and create new opportunities for 129
development and growth by (i) leveraging the organization’s ability to reduce its direct operational footprints; 130
(ii) influence the way its products and services are designed, manufactured, distributed, consumed and 131
disposed by using a life- cycle perspective to ensure that environmental burdens aren’t inadvertently shifted 132
elsewhere in the cycle; and (iii) communicating environmental information to relevant interested parties. These 133
tools can be aligned with an organization’s priorities, strategy and decision-making by integrating them with 134
other business requirements and embedding environmental governance into its overall management system, 135
thereby achieving both environmental and economic goals. 136
This International Standard specifies requirements for an environmental management system that can enable 137
an organization to achieve environmental performance improvement by (i) developing and implementing a 138
policy, (ii) establishing environmental objectives and systematic processes which consider the context of the 139
organization and take into account applicable legal requirements and voluntary obligations, and information 140
about its significant environmental aspects, (iii) establishing operational controls, and (iv) evaluating 141
performance and taking actions, as necessary, to improve and demonstrate conformity to the requirements of 142
this International Standard. The overall aim of this International Standard is to support and enhance 143
environmental protection efforts in balance with socio-economic needs. 144
The success of the system depends on commitment from all levels and functions of the organization, and 145
especially from top management. Environmental management encompasses a full range of issues, including 146
those with strategic and competitive implications. An organization can gain added value by using the system 147
elements to achieve financial and operational benefits that accrue from implementing environmentally 148
advantageous alternatives that strengthen the organization’s market position. Demonstration of successful 149
implementation of this International Standard can be used to assure relevant interested parties, including 150
customers, suppliers, and regulators, that an appropriate environmental management system is in place. 151
The basis for the approach underlying an environmental management system is founded on the concept of 152
Plan, Do, Check and Act (PDCA) and is shown in Figure 1. 153
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154
Figure 1 – Environmental management system model for this International Standard – PDCA and HLS 155
The concept of PDCA is a four stage change management model used by organizations to achieve continual 156
improvement and incremental problem solving which can be briefly described as follows. 157
 Plan: establish the objectives and processes necessary to deliver results in accordance with the 158
organization’s environmental policy. 159
 Do: implement the processes. 160
 Check: monitor and measure processes against environmental policy, objectives, legal requirements and 161
voluntary obligations, and report the results. 162
 Act: take actions to continually improve performance of the environmental management system. 163
While PDCA has always been the foundation of an environmental management system as prescribed in this 164
International Standard, it is recognized that organizations need to ensure management control over other 165
areas of responsibility as well, such as quality, safety, and risk. To facilitate efficiency in managing multiple 166
interests, ISO has developed a standardized high-level structure, identical text, and common terms and core 167
definitions for management system standards (High Level Structure - HLS)
1
. Figure 1 identifies an added 168
focus on leadership and links the clauses in the High Level Structure to PDCA. 169
This third edition of the International Standard is focused on meeting environmental challenges over the next 170
two decades for both new and existing users, while also taking due consideration of the ISO standardized 171

1
ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL,
appendix 2, 3 & 4.
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structure to benefit the user community implementing multiple ISO management system standards. Annex A 172
provides informative explanations to prevent misinterpretation of the requirements. For existing users, 173
Annex B identifies broad technical correspondences between ISO 14001:2004 and this International Standard 174
and vice versa. Annex C provides further insight on how the standardized structure and PDCA interacts for the 175
benefit of existing and new users of ISO 14001. References to guidance on supporting environmental 176
management tools and techniques contained in other ISO/TC 207 International Standards are provided in the 177
Bibliography for information only. Implementation guidance on this International Standard is included in 178
ISO 14004. 179
This International Standard is intended to apply to all types and sizes of organization and to accommodate 180
diverse geographical, cultural and social conditions. It does not establish absolute requirements for 181
environmental performance beyond the required commitments, in the environmental policy, to comply with 182
applicable legal requirements and voluntary obligations, to prevent pollution and support environmental 183
protection, and to continual improvement. It encourages organizations to incorporate voluntary obligations, 184
including making specific commitments related to sustainable resource use, climate change mitigation and 185
adaptation, and protection of biodiversity and ecosystems, or consider other principles such as environmental 186
responsibility, precautionary approach and polluter pays, as applicable, into their management system 187
framework. However, adoption of this International Standard will not in itself guarantee optimal environmental 188
outcomes. In order to achieve its environmental commitments, the environmental management system 189
encourages organizations to consider implementation of the best available techniques, where appropriate and 190
where economically viable, taking into account the cost-effectiveness of such techniques. Thus, two 191
organizations carrying out similar operations can establish different commitments for themselves and have 192
different environmental performance, but both can conform to the requirements of this International Standard. 193
Like other International Standards, it is not intended to be used to create non-tariff trade barriers or to increase 194
or change an organization's legal obligations. 195
It should also be noted that the application of various elements of a management system might differ 196
depending on the organization’s purpose and the relevant interested parties involved, so that the level of its 197
detail and complexity, the extent of documentation and the resources devoted to it will depend on a number of 198
factors, such as the scope of the system, the size of an organization and the nature of its activities, products 199
and services including their significant environmental aspects and potential impacts. This may be the case in 200
particular for small and medium-sized enterprises (SMEs). 201
Environmental management systems — Requirements with 202
guidance for use 203
1 Scope 204
This International Standard specifies the requirements for an organization to establish, implement and 205
maintain an environmental management system. It provides a framework through which an organization 206
can deliver environmental performance improvement set by top management in line with its environmental 207
policy commitments. When environmental management system requirements are applied, an organization 208
can achieve the following intended outcomes: 209
a) understand its external and internal context, including the needs and expectations of relevant 210
interested parties; 211
b) establish an environmental policy and environmental objectives; 212
c) reduce adverse impacts and take advantage of opportunities associated with 213
 its significant environmental aspects; 214
 external environmental conditions that affect its ability to achieve its objectives; 215
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d) be capable of demonstrating its commitment by managing its compliance with applicable legal 216
requirements and voluntary obligations and knowing its compliance status; 217
e) communicate with relevant interested parties; and 218
f) continually improve its environmental management system to enhance its environmental performance, 219
and be capable of demonstrating the environmental performance outcomes that it achieves. 220
An environmental management system applies to the environmental aspects that the organization 221
determines it can either control or can influence across its value chain. This International Standard does not 222
itself state specific environmental performance criteria. 223
An organization can demonstrate conformity with this International Standard by 224
1) making a self-determination and self-declaration, or 225
2) seeking confirmation of its conformance by parties having an interest in the organization, such as 226
customers, or 227
3) seeking confirmation of its self-declaration by a party external to the organization, or 228
4) seeking certification/registration of its environmental management system by an external 229
organization. 230
The requirements in this International Standard are intended to be integrated into the organization’s 231
management system and its business processes. The extent of application depends on factors such as the 232
context within which the organization operates, its environmental policy commitments and the nature of its 233
activities, products and services. 234
2 Normative references 235
There are no normative references. 236
3 Terms and definitions 237
For the purposes of this document, the following terms and definitions apply. 238
3.01 239
organization 240
person or group of people that has its own functions with responsibilities, authorities and relationships to 241
achieve its objectives (3.15) 242
Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, 243
enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated or not, 244
public or private. 245
Note 2 to entry: For organizations with more than one operating unit, a single operating unit may be defined as an 246
organization. 247
3.02 248
interested party (preferred term) 249
stakeholder (admitted term) 250
person or organization (3.01) that can affect, be affected by, or perceive themselves to be affected by a 251
decision or activity 252
Note 1 to entry: Interested parties can include person(s) and groups expressing their concern with the 253
environmental performance of an organization. 254
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Note 2 to entry: Interested parties can include customers, community, suppliers, regulators, nongovernment 255
organizations, investors, employees. 256
3.03 257
requirement 258
need or expectation that is stated, generally implied or obligatory 259
Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization and interested 260
parties that the need or expectation under consideration is implied. 261
Note 2 to entry: A specified requirement is one that is stated, for example in documented information. 262
Note 3 to entry: Applicable legal requirements are obligatory; other interested party requirements become a 263
voluntary obligation when the organization decides that it will subscribe to them. 264
3.04 265
environment 266
surroundings in which an organization (3.01) operates 267
Note 1 to entry: Surroundings in this context extend from within an organization to the global system. 268
Note 2 to entry: Surroundings can include air, water, land, natural resources, biodiversity and ecosystems, humans, 269
and their interrelation. 270
3.05 271
environmental aspect 272
element of an organization's (3.01) activities or products or services that can interact with the 273
environment (3.04) 274
3.06 275
significant environmental aspect 276
environmental aspect (3.05) that has or can have a significant environmental impact 277
Note 1 to entry: Significant environmental aspects can be considered environmental risks that an organization 278
(3.01) needs to assess, manage and control. 279
3.07 280
environmental impact 281
change to the environment (3.04), whether adverse or beneficial, wholly or partially resulting from an 282
organization's (3.01) environmental aspects (3.05) 283
3.08 284
environmental condition 285
long-term environmental change(s) that can affect the organization's (3.01) activities, products and 286
services requiring adaptation 287
3.09 288
management system 289
set of interrelated or interacting elements of an organization (3.01) to establish policies (3.13) and 290
objectives (3.15) and processes (3.19) to achieve those objectives 291
Note 1 to entry: A management system can address a single discipline or several disciplines. 292
Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning, 293
operation, etc. 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
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3.10 298
environmental management system 299
EMS 300
part of an organization's (3.01) management system (3.09) used to develop and implement its 301
environmental policy (3.14) and manage its environmental aspects (3.05) 302
3.11 303
top management 304
person or group of people who directs and controls an organization (3.01) at the highest level 305
Note 1 to entry: Top management has the power to delegate authority and provide resources within the 306
organization. 307
Note 2 to entry: If the scope of the management system (3.09) covers only part of an organization then top 308
management refers to those who direct and control that part of the organization. 309
3.12 310
effectiveness 311
extent to which planned activities are realized and planned results achieved 312
3.13 313
policy 314
intentions and direction of an organization (3.01) as formally expressed by its top management (3.11) 315
3.14 316
environmental policy 317
policy (3.13) related to the organization's (3.01) environmental objectives and commitments 318
3.15 319
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 (3.19)). 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
Note 4 to entry: In the context of environmental management systems environmental objectives are set by the 329
organization, consistent with the environmental policy, to achieve specific results. 330
3.16 331
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
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3.17 341
competence 342
ability to apply knowledge and skills to achieve intended results 343
3.18 344
documented information 345
information required to be controlled and maintained by an organization (3.01) and the medium on which it 346
is 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 management system (3.09), including related processes (3.19); 350
 information created in order for the organization to operate (documentation); 351
 evidence of results achieved (records). 352
3.19 353
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
3.20 357
performance 358
measurable result 359
Note 1 to entry: Performance can relate either to quantitative or qualitative findings. 360
Note 2 to entry: Performance can relate to the management of activities, processes (3.19), products (including 361
services), systems or organizations (3.01). 362
3.21A 363
environmental performance 364
measurable results of an organization's (3.01) management of its environmental aspects (3.05) 365
Note 1 to entry: In the context of environmental management systems (3.10), results can be measured against 366
the organization's environmental policy (3.14), environmental objectives (3.15) and other environmental 367
performance requirements. 368
[Source: ISO 14001:2004, 3.10] 369
3.21B 370
environmental performance 371
performance (3.20) related to environmental aspects (3.05) 372
[Source: ISO 14045:2012, 3.5] 373
3.22 374
indicator 375
measureable representation of the condition or status of operations, management or conditions 376
3.23 377
key performance indicator 378
KPI 379
indicator of performance (3.20) deemed by an organization (3.01) to be significant and giving prominence 380
and attention to certain aspects 381
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Note 1 to entry: Key performance indicators may be selected for Operational Performance Indicators (OPIs), 382
Management Performance Indicators (MPIs) and Environmental Performance Indicators (EPIs) 383
[Source: ISO/FDIS 14031:2013, 3.17] 384
3.24 385
outsource (verb) 386
make an arrangement where an external organization (3.01) performs part of an organization’s function or 387
process (3.19) 388
Note 1 to entry: An external organization is outside the scope of the management system (3.09), although the 389
outsourced function or process is within the scope. 390
3.25 391
monitoring 392
determining the status of a system, a process (3.19) or an activity 393
Note 1 to entry: To determine the status there may be a need to check, supervise or critically observe. 394
3.26 395
measurement 396
process (3.19) to determine a value 397
3.27 398
audit 399
systematic, independent and documented process (3.19) for obtaining audit evidence and evaluating it 400
objectively to determine the extent to which the audit criteria are fulfilled 401
Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party), and it 402
can be a combined audit (combining two or more disciplines). 403
Note 2 to entry: “Audit evidence” and “audit criteria” are defined in ISO 19011. 404
Note 3 to entry: Internal audits, sometimes called first party audits, are conducted by the organization itself, or on its 405
behalf, for management review and other internal purposes (e.g. to confirm the effectiveness of the management 406
system or to obtain information for the improvement of the management system). Internal audits can form the basis for 407
an organization’s self-declaration of conformity. In many cases, particularly in small organizations, independence can 408
be demonstrated by the freedom from responsibility for the activity being audited or freedom from bias and conflict of 409
interest. 410
3.28 411
conformity 412
fulfilment of a requirement (3.03) 413
Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the 414
organization subscribes, including requirements in this International Standard. Compliance is often used to describe 415
fulfilment of a legal requirement. 416
3.29 417
nonconformity 418
non-fulfilment of a requirement (3.03) 419
Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the 420
organization subscribes, including requirements in this International Standard. Noncompliance is often used to describe 421
nonfulfilment of a legal requirement. 422
3.30 423
correction 424
action to eliminate a detected nonconformity (3.29) 425
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3.31 426
corrective action 427
action to eliminate the cause of a nonconformity (3.29) and to prevent recurrence 428
3.32 429
continual improvement 430
recurring activity to enhance performance (3.20) 431
Note 1 to entry: Enhancing performance relates to the use of the environmental management system in order to 432
achieve improvement in overall environmental performance (3.21A or 3.21B) consistent with the organization's 433
(3.01) environmental policy (3.14). 434
Note 2 to entry: The activity need not take place in all areas simultaneously. 435
3.33 436
prevention of pollution 437
use of processes (3.19), practices, techniques, materials, products, services or energy to avoid, reduce or 438
control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, 439
in order to reduce adverse environmental impacts (3.07) 440
Note 1 to entry: Prevention of pollution can include source reduction or elimination, process, product or service 441
changes, efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and 442
treatment. 443
3.34A 444
value chain 445
entire sequence of activities or parties that provide or receive value in the form of products or services 446
Note 1 to entry: Parties that provide value include suppliers, outsourced workers, contractors and others. 447
Note 2 to entry: Parties that receive value include customers, consumers, clients, members and other users. 448
[Source: ISO 26 000:2010, 2.25] 449
3.34B 450
supply chain 451
sequence of activities or parties that provides products or services to the organization (3.01) 452
Note 1 to entry: In some instances, the term supply chain is understood to be the same as value chain (3.34A). 453
However, for the purpose of this International Standard supply chain is used as defined above. 454
[Source: ISO 26000:2010, 2.22] 455
3.34C 456
life cycle 457
consecutive and interlinked stages of a product system, from raw material acquisition or generation from 458
natural resources to final disposal 459
[Source: ISO 14044:2006, 3.1] 460
4 Context of the organization 461
4.1 Understanding the organization and its context 462
The organization shall determine external and internal issues that are relevant to its purpose and that affect 463
its ability to achieve the intended outcome(s) of its environmental management system, including external 464
environmental conditions capable of affecting the organization's activities, products and services. 465
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The knowledge gained shall be considered when designing the organization's environmental management 466
system. 467
NOTE The intended outcome(s) are those strategic objectives set by the organization to be achieved through its 468
environmental management system which include meeting its policy commitments. 469
4.2 Understanding the needs and expectations of interested parties 470
The organization shall determine: 471
 the interested parties that are relevant to the environmental management system; and 472
 the requirements of these interested parties. 473
The knowledge gained shall be considered when designing the organization's environmental management 474
system. 475
4.3 Determining the scope of the environmental management system 476
The organization shall determine the boundaries and applicability of the environmental management 477
system to establish its scope. 478
When determining this scope, the organization shall consider: 479
 the external and internal issues referred to in 4.1; 480
 the requirements referred to in 4.2 including applicable legal requirements and potential voluntary 481
obligations; 482
 the organizational unit(s), function(s), and physical boundaries; and 483
 its authority and ability to exercise control and influence. 484
The scope shall be available as documented information. 485
NOTE Once the scope is defined, all activities, products and services of the organization within that scope, 486
including outsourced processes that affect its environmental performance, are included in the environmental 487
management system as appropriate. 488
4.4 Environmental management system 489
The organization shall establish, implement, maintain and continually improve an environmental 490
management system, including the processes needed and their interactions, in accordance with the 491
requirements of this International Standard. 492
The organization shall determine the way it will satisfy the environmental management system 493
requirements, including how they will be integrated into its business processes. 494
5 Leadership 495
5.1 Leadership and commitment 496
Top management shall demonstrate leadership and commitment with respect to the environmental 497
management system by: 498
 understanding the organization's context and ensuring that knowledge gained shall be considered 499
when establishing the environmental management system; 500
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 ensuring that the environmental policy and environmental objectives are established and are 501
compatible with the strategic direction of the organization; 502
 giving consideration to environmental performance in strategic planning; 503
 ensuring the integration of the environmental management system requirements into the 504
organization’s business processes; 505
 ensuring that the resources needed for the environmental management system are available; 506
 communicating the importance of effective environmental management and of conforming to the 507
environmental management system requirements; 508
 ensuring that the environmental management system achieves its intended outcome(s); 509
 directing and supporting persons to contribute to the effectiveness of the environmental 510
management system; 511
 promoting continual improvement (see 10.2); 512
 supporting other relevant management roles to demonstrate their leadership as it applies to their 513
areas of responsibility. 514
NOTE Reference to “business” in this International Standard should be interpreted broadly to mean those 515
activities that are core to the purposes of the organization’s existence. 516
5.2 Policy 517
Top management shall establish an environmental policy that, within the defined scope of its environmental 518
management system: 519
 is appropriate to the purpose and context of the organization; 520
 is appropriate to the nature, scale and environmental impacts of its activities, products and 521
services; 522
 includes a commitment to the prevention of pollution and to support environmental protection 523
specific to the context of the organization, such as sustainable resource use, climate change 524
mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant 525
environmental issues; 526
 provides a framework for setting environmental objectives; 527
 includes a commitment to satisfy applicable requirements, including compliance to legal 528
requirements and voluntary obligations which relate to its environmental aspects; and 529
 includes a commitment to continual improvement of the environmental management system to 530
enhance its environmental performance as set by top management. 531
The environmental policy shall: 532
 be available as documented information; 533
 be communicated within the organization, including persons working on behalf of the organization; 534
 be available to interested parties, as appropriate. 535
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NOTE 'As appropriate' does not imply that the organization may restrict the distribution of its environmental policy. 536
The organization determines the means by which the policy is available. 537
5.3 Organization roles, responsibilities and authorities 538
Top management shall ensure that the responsibilities and authorities for relevant roles within the 539
environmental management system are assigned and communicated within the organization. 540
Top management shall assign the responsibility and authority for: 541
 ensuring that the environmental management system conforms to the requirements of this International 542
Standard; and 543
 reporting on the performance of the environmental management system, including environmental 544
performance, to top management. 545
NOTE The role of reporting on the performance of the environmental management system is often assigned to a 546
“Management Representative”. 547
6 Planning 548
6.1 Actions to address risks and opportunities 549
6.1.1 General 550
When planning for the environmental management system, the organization shall consider the issues 551
referred to in 4.1, and the requirements of relevant interested parties referred to in 4.2 and determine the 552
risks and opportunities that arise from its significant environmental aspects (see 6.1.2), applicable legal 553
requirements, voluntary obligations (see 6.1.3) and other business risk and opportunities interfering with the 554
environmental management system that need to be addressed to: 555
 assure the environmental management system can achieve its intended outcome(s); 556
 prevent, or reduce, undesired effects; 557
 achieve continual improvement. 558
The organization shall plan: 559
a) actions to address these risks and opportunities; and 560
b) how to 561
 integrate and implement the actions into its environmental management system processes 562
 evaluate the effectiveness of these actions. 563
NOTE Those actions include selecting one or more options such as risk avoidance, risk mitigation, risk 564
acceptance or risk taking in order to pursue an opportunity. 565
6.1.2 Environmental aspects 566
The organization shall specify the way it will implement and maintain a process: 567
a) to identify the environmental aspects of its activities, products and services within the defined scope of 568
the environmental management system that it can control and those that it can influence considering a 569
life cycle perspective; and 570
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b) to determine those environmental aspects, that have or can have significant impact(s) by applying 571
criteria set by the organization, considering its context. 572
The organization shall take into account planned or new developments and new or modified activities, 573
products and services. 574
The organization shall retain documented information and keep it up to date. 575
The organization shall ensure that the significant environmental aspects are taken into account when 576
establishing, implementing and maintaining its environmental management system. 577
6.1.3 Legal requirements and voluntary obligations 578
The organization shall specify the way it will implement and maintain a process: 579
a) to identify and have access to the applicable legal requirements and voluntary obligations related to its 580
environmental aspects; and 581
b) to determine how these requirements apply to the organization. 582
The organization shall ensure that these applicable legal requirements and voluntary obligations are taken 583
into account when establishing, implementing and maintaining its environmental management system. 584
6.2 Environmental objectives and planning to achieve them 585
6.2.1 Environmental objectives 586
The organization shall establish environmental objectives at relevant functions and levels. 587
The environmental objectives shall: 588
 be consistent with the environmental policy; 589
 be measurable (if practicable); 590
 be developed to take into account the organization’s significant environmental aspects, applicable 591
legal requirements and voluntary obligations; 592
 be developed considering the organization’s internal and external issues; 593
 be monitored; 594
 be communicated; and 595
 be updated as appropriate. 596
The organization shall retain documented information on the environmental objectives. 597
6.2.2 Environmental improvement programmes 598
For each objective, the organization shall define one or more indicators against which performance shall be 599
evaluated and demonstrated. 600
When planning how to achieve its environmental objectives, the organization shall develop a programme 601
and determine: 602
 what will be done; 603
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 what resources will be required; 604
 who will be responsible; 605
 how it will be integrated into the organization’s processes; 606
 when it will be completed; 607
 how the results will be evaluated. 608
7 Support 609
7.1 Resources 610
The organization shall determine and provide the resources needed for the establishment, implementation, 611
maintenance and continual improvement of the environmental management system. 612
7.2 Competence 613
The organization shall: 614
 determine the necessary competence of person(s) doing work under its control or on its behalf that 615
affects its environmental performance; and 616
 ensure that these persons are competent on the basis of appropriate education, training, skills or 617
experience; 618
 where applicable, take actions to acquire the necessary competence, and evaluate the 619
effectiveness of the actions taken; and 620
 retain appropriate documented information as evidence of competence. 621
NOTE Applicable actions may include, for example: the provision of training to, the mentoring of, or the re- 622
assignment of currently employed persons; or the hiring or contracting of competent persons. 623
7.3 Awareness 624
The organization shall ensure that persons doing work under the organization’s control shall be aware of: 625
 the environmental policy; 626
 the significant environmental aspects and related actual or potential impacts associated with their 627
work, including applicable legal requirements and voluntary obligations; 628
 their contribution to the effectiveness of the environmental management system, including the 629
benefits of improved environmental performance; 630
 the implications of not conforming with the environmental management system requirements, 631
including applicable legal requirements and voluntary obligations. 632
7.4 Communication 633
7.4.1 General 634
The organization shall determine the needs for internal and external communications relevant to the 635
environmental management system including: 636
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 on what it will communicate, including relevant environmental information; 637
 when to communicate; 638
 with whom to communicate; 639
 how to communicate, including communication methods, tools and approaches. 640
When planning for communication, the organization shall take into account the requirements of relevant 641
interested parties (see 4.2). 642
7.4.2 Internal communication 643
With regard to its environmental aspects and environmental management system, the organization shall: 644
a) communicate among the various levels and functions of the organization; and 645
b) respond to relevant internal communication, including those related to environmental performance 646
improvements. 647
The organization shall retain documented information as evidence of its internal communications. 648
7.4.3 External communication and reporting 649
The organization shall report environmental information externally as required by applicable legal 650
requirements and voluntary obligations, and as determined when planning its communication. 651
External communication, including that related to its environmental performance, products and services 652
shall be: 653
 truthful and not misleading; 654
 complete, accurate, transparent and reliable; 655
 based on and consistent with the information generated within the environmental management 656
system and with the internal evaluation of the organization’s environmental performance (see 9.1). 657
The organization shall respond to relevant communication on its environmental management system from 658
external interested parties and retain documented information as evidence of its external communications. 659
7.5 Documented information 660
7.5.1 General 661
The organization’s environmental management system shall include: 662
 documented information required by this International Standard; 663
 documented information determined by the organization as being necessary for the effectiveness 664
of the environmental management system; 665
 a description of the main elements of the environmental management system and their interaction, 666
including with other business processes. 667
NOTE The extent of documented information for an environmental management system can differ from one 668
organization to another due to: 669
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 the size of organization and its type of activities, processes, products and services; 670
 the complexity of processes and their interactions; and 671
 the competence of persons. 672
7.5.2 Creating and updating 673
When creating and updating documented information the organization shall ensure appropriate: 674
 identification and description (e.g. a title, date, author, or reference number); 675
 format (e.g. language, software version, graphics) and media (e.g. paper, electronic); 676
 review and approval for suitability and adequacy. 677
7.5.3 Control of documented information 678
Documented information required by the environmental management system and by this International 679
Standard shall be controlled to ensure: 680
 it is available and suitable for use, where and when it is needed; 681
 it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). 682
For the control of documented information, the organization shall address the following activities, as 683
applicable 684
 distribution, access, retrieval and use; 685
 storage and preservation, including preservation of legibility; 686
 control of changes (e.g. version control); 687
 retention and disposition. 688
Documented information of external origin determined by the organization to be necessary for the planning 689
and operation of the environmental management system shall be identified as appropriate, and controlled. 690
NOTE Access implies a decision regarding the permission to review the documented information only, or the 691
permission and authority to view and change the documented information, etc. 692
8 Operation 693
8.1 Operational planning and control 694
The organization shall specify the way it will plan, implement and control the processes needed to meet 695
environmental management system requirements, and to implement the actions determined in 6.1, by: 696
 establishing criteria for the processes; 697
 implementing control of the processes, in accordance with the criteria; 698
 keeping documented information to the extent necessary to have confidence that the processes 699
have been carried out as planned by: 700
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 documenting the way to control situations where its absence could lead to deviation from the 701
environmental policy, environmental objectives, applicable legal requirements and voluntary 702
obligations: and 703
 retaining appropriate documented information as evidence of the results. 704
The organization shall control planned changes and review the consequences of unintended changes, 705
taking action to mitigate any adverse effects, as necessary. 706
8.2 Value chain planning and control 707
The organization shall ensure that upstream and downstream processes related to significant 708
environmental aspects are controlled or influenced. 709
The type and extent of control or influence to be applied to these processes shall be defined within the 710
environmental management system. 711
The organization shall ensure that, in relation to significant environmental aspects, outsourced processes 712
and the processes related to the purchase of goods and services are controlled by: 713
 establishing and implement criteria for evaluating the supply of goods, services and outsourced 714
processes, taking a life cycle perspective; 715
 specifying environmental requirements as appropriate for the procurement of goods and services 716
or outsourced processes; 717
 communicating requirement(s) to suppliers, including contractors. 718
The organization shall consider the result of the evaluation of significant environmental aspects as input in 719
the process of the design, development or change of its products and services. 720
The organization shall consider the need to provide information about potential significant environmental 721
impacts during the use and end of life treatment of the product or during the delivery of the service. 722
NOTE 1 In the context of the outsourced processes the concept of control doesn’t imply any requirements of direct 723
control referred to the activity of outsourced organization. It is the decision of the organization to decide the extent of 724
control to be applied for these processes. 725
NOTE 2 Goods and services includes the life cycle of the activity, product or service, which includes, for example, 726
transport, packaging and end-use/disposal. 727
NOTE 3 The nature of the organization’s control over the purchase of goods and services or outsourced processes 728
will depend on its importance, the risk of deviation from the environmental policy and objectives, opportunities available, 729
the organization’s control and influence, the interaction with other environmental management system processes, the 730
competence of the supplier to meet the requirements of the organization’s environmental management system, and the 731
technical competence of the organization to define appropriate controls or assess the adequacy of the outsource 732
process controls. 733
NOTE 4 Ensuring control over outsourced processes does not absolve the organization of the responsibility of 734
conformity to all customer and legal requirements. 735
8.3 Emergency preparedness and response 736
The organization shall specify the way it will implement and maintain a process to determine potential 737
emergency situations and accidents that can have an impact(s) on the environment and how it will respond 738
to them. 739
The organization shall: 740
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a) take action to prevent occurrence and reduce the environmental consequences of emergency 741
situations, appropriate to the magnitude of the emergency or accident and the potential environmental 742
impact; 743
b) respond to actual emergency situations and accidents; 744
c) periodically test such plan where practicable; and 745
d) periodically review and, where necessary, revise its emergency preparedness and response plan, in 746
particular, after the occurrence of accidents or emergency situations or tests. 747
The organization shall retain documented information on its emergency response plan. 748
9 Performance evaluation 749
9.1 Monitoring, measurement, analysis and evaluation 750
9.1.1 General 751
The organization shall determine: 752
 what needs to be monitored and measured, including: 753
 the key characteristics of its operations that can have a significant environmental impact; 754
 the key characteristics of the value chain that can have a significant environmental impact, if 755
appropriate; 756
 information necessary for the evaluation of compliance; 757
 applicable operational controls; 758
 progress towards the organization’s environmental objectives; 759
 the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid 760
results; 761
 when the monitoring and measuring shall be performed; 762
 when the results from monitoring and measurement shall be analysed and evaluated; 763
 the criteria against which the organization will evaluate and analyse its performance, using key 764
performance indicators. 765
The organization shall ensure that calibrated or verified monitoring and measurement equipment is used 766
and maintained as appropriate. 767
The organization shall retain appropriate documented information as evidence of the results. 768
The organization shall evaluate the environmental performance and the effectiveness of the environmental 769
management system. 770
9.1.2 Evaluation of compliance 771
The organization shall specify the way it will implement and maintain process(es) for evaluating compliance 772
with applicable legal requirements and voluntary obligations. 773
Consistent with its commitment to compliance, the organization shall: 774
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 determine the frequency that compliance will be evaluated; 775
 evaluate compliance and take action if needed; 776
 maintain knowledge and understanding of its compliance status; 777
 retain documented information as evidence of the results of its compliance evaluation(s). 778
9.2 Internal audit 779
The organization shall conduct internal audits, or ensure they are conducted, at planned intervals to provide 780
information on whether the environmental management system: 781
a) conforms to: 782
 the organization’s own requirements for its environmental management system; 783
 the requirements of this International Standard; 784
b) is effectively implemented and maintained. 785
The organization shall: 786
a) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, 787
responsibilities, planning requirements, performing and reporting. The audit programme(s) shall take 788
into consideration the environmental importance of the processes concerned and the results of 789
previous audits; 790
b) define the audit criteria and scope for each audit; 791
c) select competent auditors and conduct audits to ensure objectivity and the impartiality of the audit 792
process; 793
d) ensure that the results of the audits are reported to relevant management; 794
e) ensure that necessary action is taken to address audit results; and 795
f) retain documented information as evidence of the implementation of the audit programme and the 796
audit results. 797
9.3 Management review 798
Top management shall review the organization's environmental management system, at planned intervals, 799
to ensure its continuing suitability, adequacy and effectiveness. 800
The management review shall include consideration of: 801
a) the status of actions from previous management reviews; 802
b) changes in external and internal issues that are relevant to the environmental management system 803
including: 804
 developments in applicable legal requirements and voluntary obligations; 805
 changes in risks and opportunities; 806
c) information on the environmental performance, including trends in: 807
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 nonconformities and corrective actions; 808
 monitoring and measurement results, including the extent to which objectives have been met; 809
 compliance with applicable legal requirements and voluntary obligations; 810
 audit results; and 811
 communication(s) from external interested parties, including complaints; 812
d) opportunities for continual improvement. 813
The outputs of the management review shall include: 814
a) conclusions on the continuing suitability, adequacy and effectiveness of the environmental 815
management system; 816
b) decisions related to continual improvement opportunities for environmental performance; and 817
c) any need for changes to the environmental management system, including the environmental policy 818
and environmental objectives consistent with the strategic direction of the organization. 819
The organization shall retain documented information as evidence of the results of management reviews. 820
10 Improvement 821
10.1 Nonconformity and corrective action 822
The organization shall specify the way it will implement, and maintain a process for dealing with 823
nonconformities and taking corrective action. 824
When a nonconformity occurs, the organization shall: 825
a) react to the nonconformity, and as applicable: 826
 take action to control and correct it: and 827
 deal with the consequences, including the mitigation of adverse environmental impact; 828
b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur 829
or occur elsewhere, by: 830
 reviewing the nonconformity; 831
 determining the causes of the nonconformity; and 832
 determining if similar nonconformities exist, or could potentially occur; 833
c) determine and implement any corrective action needed; 834
d) review the effectiveness of any corrective action taken; and 835
e) make changes to the environmental management system, if necessary. 836
Corrective actions shall be appropriate to magnitude of the effects of the nonconformities encountered 837
including impacts on the environment. 838
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The organization shall retain documented information as evidence of: 839
 the nature of the nonconformities and any subsequent actions taken; and 840
 the results of any corrective action taken. 841
10.2 Continual improvement 842
The organization shall continually improve the suitability, adequacy and effectiveness of the environmental 843
management system to enhance its environmental performance as set by top management in line with the 844
environmental policy. 845
NOTE Opportunities for identifying and implementing continual improvement are given in Annex A. 846
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Annex A 847
(informative) 848
A.1 General 849
The additional text given in this Annex is strictly informative and is intended to prevent misinterpretation of 850
the requirements contained in this International Standard. While this information addresses and is 851
consistent with the requirements, it is not intended to add to, subtract from, or in any way modify these 852
requirements. 853
A.2 Scope 854
This edition of ISO 14001 does not contain guidance on Clause 1. 855
A.3 Terms and definitions 856
The terms that are defined in Clause 3 have a specialized technical definition and are normative for use in 857
this International Standard. This sub-clause provides further explanation of certain terms and some of the 858
words that are commonly used in management system standards, to help the user understand their 859
implications and to help in translations. 860
 Plan — detailed formulation of a programme to achieve an objective. 861
 Programme — planned series of steps, projects or activities to be carried out. 862
 Design — working out the form, fit or function of something. 863
 Purpose — anticipated (intended or expected) outcome that guides planned actions. 864
 Determine — establish or find out. 865
 Define — state or describe exactly the nature, scope or meaning of that which is under consideration. 866
 Identify — establish the identity of something. 867
To avoid misunderstanding the requirements, clarifications of selected concepts are provided below. 868
 'NOTES' included in the various clauses of this International Standard are informative. 869
 Continuous indicates duration without interruption. Continual indicates duration that continues over a 870
period of time, but with intervals of interruption. Continual is therefore the appropriate word to use in 871
the context of improvement. 872
 The word ‘consider’ means it is necessary to think about but can be rejected; and ‘take into account’ 873
means it is necessary to think about but cannot be rejected. 874
 The words ‘as appropriate’ and ‘as applicable’ are not interchangeable. ‘Appropriate’ means suitable 875
(for, to) and implies some degree of freedom, while ‘applicable’ means relevant or possible to apply 876
and implies that if it can be done, it should be done. 877
The 3
rd
edition of this International Standard uses some new terminology. A brief explanation is given below 878
to aid both new users and those who have used prior editions of this International Standard. 879
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 ‘Documented information’ replaces the nouns ‘document’ and ‘record’ used in prior editions of this 880
International Standard. Examples of each are given in A.7.5. To distinguish the intent of the generic 881
term ‘documented information’, ISO 14001 now uses the phrase ‘...documented information as 882
evidence of....’ to mean records. 883
 The change from ‘...establish, implement and maintain a procedure...’ to ‘...specify the way it will 884
implement and maintain a process...’ is intended to harmonize with the standardized management 885
system terminology and to prevent a common misconception that a procedure (or process) has to be 886
documented, not to change the intent of ISO 14001:2004. 887
 The change from ‘identify’ to ‘determine’ is intended to harmonize with the standardized management 888
system terminology, not to change the intent of ISO 14001:2004. The term ‘determine’ implies a two- 889
step identification and discovery process that results in knowledge. 890
 The term ‘intended outcome’ means what the organization intends to achieve by implementing its 891
environmental management system, which is outlined in its environmental policy commitments and 892
environmental objectives. 893
 The phrase ‘voluntary obligations’ replaces the phrase ‘...other requirements to which the organization 894
subscribes’ used in prior editions of this International Standard. The change is considered simpler to 895
understand, and does not change the intent of ISO 14001:2004. 896
 The use of the word ‘any’ implies selection and choice. 897
A.4 Context of the organization 898
A.4.1 Understanding the context of the organization 899
Before designing, developing and implementing an environmental management system, it is important to 900
identify, evaluate and understand the external and internal circumstances, conditions and issues that 901
comprise the context of the organization as it relates to environmental management, since these can 902
significantly influence the design of the environmental management system. 903
The intent of this clause is to provide a high-level, strategic understanding of the important circumstances 904
or conditions that can affect, either positively or negatively, the way the organization manages its 905
environmental responsibilities. The circumstances or conditions of interest are those that give rise to issues 906
that affect the organization’s ability to achieve the strategic objectives it sets for its environmental 907
management system, which include meeting its policy commitments. 908
Circumstances or conditions that may create issues for the organization’s environmental management 909
system can include, for example: 910
 the external cultural, social, political, legal, regulatory, financial, technological, economic, natural and 911
competitive environment, whether international, national, regional or local; 912
 key drivers and trends having impact on the objectives of the organization; 913
 relationships with, and perceptions and values of external and internal interested parties (see 4.2); 914
 regulatory requirements relevant to environmental management (see 6.1.3); 915
 environmental conditions such as climate, pollution, resource availability, and biodiversity, and the 916
effect these conditions may have on the organization’s ability to achieve its objectives; 917
 organizational governance, structure, roles and accountabilities; 918
 organizational policies, objectives, and the strategies that are in place to achieve them; 919
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 the capabilities of the organization, understood in terms of resources and knowledge (e.g. capital, time, 920
people, processes, systems and technologies); 921
 information systems, information flows and decision-making processes (both formal and informal); 922
 the organization's internal culture; 923
 standards, guidelines and models adopted by the organization; 924
 form and extent of contractual relationships; 925
 the life cycle of the organization’s products and services; and 926
 changes in these circumstances or conditions, relevant to the environmental management system. 927
The knowledge gained by understanding the context of the organization and the relevant external and 928
internal issues that relate to its environmental management system (see 4.1) should be considered in the 929
design of the environmental management system. 930
A.4.2 Understanding the needs and expectations of interested parties 931
Interested parties include legal and regulatory authorities (local, regional, state/provincial, national or 932
international), as well as other interested parties relevant to the environmental management system, such 933
as parent organizations, customers, trade associations, community groups, non-governmental 934
organizations, neighbours, employees and others working on behalf of the organization. 935
There are different types of requirements related to the needs and expectations expressed by relevant 936
interested parties. Interested party requirements are not necessarily requirements of the organization. 937
Some interested party requirements reflect needs and expectations that are mandatory because they have 938
been incorporated into laws, regulations, permits and licenses by governmental or even court action. 939
Others the organization may decide to voluntarily adopt, i.e., subscribe to, and address within their 940
environmental management system (“voluntary obligations”) (see A.6.1.3). 941
Requirements from interested parties that are not legal requirements become obligatory only when they are 942
specified and the organization decides that it will subscribe to them. At the stage before subscription, they 943
are simply “needs and expectations” that comprise the requirements of the interested party, but are not 944
requirements of the organization. Once the organization subscribes, then they become organizational 945
requirements and should be considered when planning for the environmental management system (see 946
6.1.3). 947
An open dialogue with relevant interested parties and regular, transparent communication of environmental 948
information may help organizations to better understand their needs and expectations. 949
A.4.3 Scope of the environmental management system 950
The scope of the environmental management system is intended to clarify the spatial and organizational 951
boundaries to which the environmental management system will apply, especially if the organization is a 952
part of a larger organization at a given location. An organization has the freedom and flexibility to define its 953
boundaries and may choose to implement this International Standard with respect to the entire 954
organization, or to specific operating units of the organization. The organization should define and 955
document the scope of its environmental management system; options may include a written description, a 956
site map, an organizational diagram, written definition of key, supporting and outsourced processes, or any 957
combination thereof. 958
In setting the scope, the credibility of the environmental management system will depend upon the choice 959
of organizational boundaries. Scoping is not to be used as a means to exclude activities, products, 960
services, or facilities that have, or can have significant environmental aspects and impacts. Once the scope 961
is defined, all activities, products and services of the organization within that scope, including relevant 962
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outsourced processes carried out by suppliers and contractors, need to be included in the environmental 963
management system. 964
This International Standard has no provision for exclusion of any of portion of the Standard: adherence to 965
all clauses is required. 966
When defining the boundaries of its environmental management system, the organization may want to 967
consider its sphere of influence in terms of its ability to exert control or influence over activities across the 968
life cycle of its products and services. 969
If this International Standard is implemented for a specific operating unit, policies and procedures 970
developed by other parts of the organization can be used to meet the requirements of this International 971
Standard, provided that they are applicable to the specific operating unit that will be subject to it. 972
A.4.4 Environmental management system 973
This International Standard outlines the requirements of a robust, credible and reliable environmental 974
management system. The organization retains authority, accountability, and autonomy, to decide how it will 975
fulfil the environmental management system requirements, including the level of detail and extent to which 976
it will integrate environmental management system requirements into its various business functions, such 977
as design & development, procurement, human resources, sales and marketing, etc. 978
When determining the extent of processes needed for the environmental management system, an 979
organization should consider the environmental importance and the extent to which the results are 980
dependent on the specific way the process is conducted. 981
The organization should consider opportunities for integrating environmental management system activities 982
into its business processes, including 983
a) management of its environmental aspects that may have significant impacts on the environment, for 984
example through integration with design processes, management of change processes and operational 985
processes; 986
b) consideration of the impact environmental conditions may have on the organization, for example 987
through integration with the organization’s strategic planning process; 988
c) management of its compliance with legal requirements and voluntary obligations and the capability to 989
pro-actively demonstrate its compliance status, for example through integration with operational 990
processes; 991
d) continual improvement of its environmental management system, and the capability to proactively 992
demonstrate and communicate the environmental performance that is achieved; and 993
e) communication and engagement with relevant interested parties, for example through integration with 994
external communication processes. 995
A.5.1 Leadership and commitment 996
Commitment, responsiveness, active support and feedback from the organization’s top management are 997
critical for the success of the environmental management system. Top management has specific 998
responsibilities in order to ensure that the environmental management system fulfils its intended outcomes, 999
including: 1000
 establishing an environmental policy and setting the environmental performance of the organization, 1001
from a long-term, strategic perspective (see 5.1, 5.2 and 10.2); 1002
 understanding the context of the organization as distilled in 4.1 and 4.2, and ensuring that the 1003
knowledge gained is considered when the environmental management system is established; 1004
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 ensuring that the environmental management system is integrated with the business processes as 1005
appropriate and achieves its intended outcomes (see 5.1); 1006
 communicating the importance of an effective environmental management system (see 5.1) and 1007
 reviewing its suitability, adequacy and effectiveness (see 9.3). 1008
In addition, top management can demonstrate its leadership and commitment with regard to others in the 1009
organization by 1010
 directing and providing necessary resources for employees and persons working under the control of 1011
the organization to carry out planned actions that contribute to the effectiveness of the environmental 1012
management system; 1013
 ensuring that the responsibilities and authorities related to environmental management for relevant 1014
management roles are assigned and communicated, including line management, engineering, 1015
purchasing, staffing and facilities management functions; and 1016
 encouraging and supporting persons in these management roles to demonstrate their leadership in 1017
environmental management within their own areas of responsibility, by integrating environmental 1018
management into their functional activities and supporting actions that contribute toward the 1019
effectiveness of the environmental management system. 1020
A.5.2 Environmental policy 1021
The environmental policy is the driver for implementing and improving an organization’s environmental 1022
management system so that it can maintain and potentially improve its environmental performance 1023
consistent with the expectations of top management. This policy should therefore reflect the commitment of 1024
top management to comply with applicable legal requirements and voluntary obligations as determined in 1025
6.1.3, as well as to the prevention of pollution, and to continual improvement. It can also include other 1026
commitments that are specific to and add value to the organization, such as sustainable resource use, 1027
climate change mitigation and adaptation, and protection of biodiversity and ecosystems, remediation of 1028
historical contamination, or other relevant environmental protection initiatives. The environmental policy 1029
forms the basis upon which the organization sets its objectives and targets. 1030
The environmental policy should be sufficiently clear to be capable of being understood by internal and 1031
external interested parties and should be periodically reviewed and revised to reflect changing conditions 1032
and information. Its area of application (i.e. scope) should be clearly identifiable and should reflect the 1033
unique nature, scale and environmental impacts of the activities, products and services within the defined 1034
scope of the environmental management system. 1035
The environmental policy should be communicated to all persons who work for, or on behalf of, the 1036
organization, including contractors working at an organization’s facility. Communication to contractors can 1037
be in alternative forms to the policy statement itself such as rules, directives and procedures and may 1038
therefore only include pertinent sections of the policy. The organization’s environmental policy should be 1039
defined and documented by its top management within the context of the environmental policy of any 1040
broader enterprise of which it is a part, and with the endorsement of that enterprise. 1041
NOTE Top management may consist of a person or group of people who direct and control an organization at the 1042
highest level. 1043
By reading the standard as a whole and understanding the relationship between the relevant provisions of 1044
the standard, an organization can demonstrate its commitment to comply with applicable legal requirements 1045
and voluntary obligations by incorporating its commitment into the planning, implementation and 1046
improvement of the environmental management system, including: 1047
 defining a policy that includes a commitment to comply with applicable legal requirements and 1048
voluntary obligations (see 5.2); 1049
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 assigning roles with defined responsibilities and authorities for compliance related requirements (see 1050
5.3); 1051
 identifying applicable legal requirements and voluntary obligations (see 6.1.2); 1052
 establishing environmental objectives that take into account its legal requirements and voluntary 1053
obligations (see 6.2.1); 1054
 establishing programmes to achieve any objectives that relate to legal requirements and voluntary 1055
obligations (see 6.2.2); 1056
 being properly supported with adequate resources to meet the compliance-related requirements (see 1057
7.1); 1058
 making persons working for or on behalf of the organization aware of the compliance-related 1059
processes developed pursuant to 8.1 that are related to their work (see 7.3), and ensuring persons 1060
whose work can cause the organization’s significant environmental impacts are competent. To the 1061
extent that such work also involves legal requirements or voluntary obligations, the competency of 1062
such persons must include the capability to meet those requirements; 1063
 maintaining sufficient documented information to demonstrate achievement of compliance-related 1064
requirements (see 7.5); 1065
 knowing its compliance status by monitoring, measuring, analysing (see 9.1) and periodically 1066
evaluating compliance (see 9.1.2); 1067
 periodically conducting internal audits, which necessarily include those elements of the environmental 1068
management system that are compliance-related (see 9.2); 1069
 dealing with nonconformities and taking corrective action (see 10.1) and correcting detected non- 1070
compliance with legal requirements or voluntary obligations (see 9.1.2); 1071
 top management reviewing the adequacy, suitability and effectiveness of the environmental 1072
management system (see 9.3). 1073
Taken together, these provisions mean that an organization implementing ISO 14001 must systematically 1074
identify and manage its compliance obligations in line with the commitment to comply by including the 1075
components listed above within its environmental management system. This does not mean that the 1076
implementing organization has to be in 100 % compliance 100 % of the time. A non-compliance may not 1077
rise to the level of a system failure, if for example, it is identified and corrected by the environmental 1078
management system processes. Further, compliance-related systems non-conformities that are detected 1079
must be corrected, even if those non-conformities have not resulted in actual non-compliance with the law. 1080
A.5.3 Organization roles, responsibilities and authorities 1081
All persons working for or on behalf of the organization are responsible for supporting the organization’s 1082
policy commitments and other applicable arrangements related to its environmental management system. 1083
The roles of: 1084
a) ensuring that the management system conforms with the requirements of this International Standard, 1085
and 1086
b) reporting on the performance of the environmental management system 1087
can be assigned to an individual, sometimes referred to as the “management representative”, shared by 1088
several individuals, or assigned to an environmental management team. Such individuals should have 1089
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sufficient access to top management in order to keep management informed of the status and performance 1090
of the environmental management system. 1091
A.6 Planning 1092
A.6.1 Actions to address risks and opportunities 1093
The context of the organization (see 4.1 and 4.2) provides an overarching framework for evaluating the 1094
risks and opportunities as in 6.1. It provides a basis for identifying environmental aspects and for 1095
establishing criteria for determining those that may have a significant environmental impact. It also provides 1096
a basis for establishing criteria for evaluating risks to the organization related to non-compliance with 1097
applicable legal requirements and voluntary obligations. 1098
Risk determination may involve a qualitative or quantitative assessment of the likelihood and consequences 1099
of actual or potential environmental impacts. Non-compliance with applicable legal requirements or 1100
voluntary obligations can have business impacts. The organization determines the risk criteria consistent 1101
with the organization’s context. 1102
More guidance on the risk assessment concept is set out in ISO 14004. 1103
A.6.1.1 General 1104
[This clause is under construction, pending completion of white paper on risks and opportunities] 1105
A.6.1.2 Risks and opportunities associated with environmental aspects 1106
Changes to the environment, either adverse or beneficial, that result wholly or partially from environmental 1107
aspects are called environmental impacts. The environmental impact may occur at local, regional and 1108
global scales, while they may also be direct, indirect or cumulative by nature. Sub-clause 6.1.2 sets out the 1109
process(es) an organization should use to identify its environmental aspects and to determine those 1110
aspects that are significant, i.e. those that have or can have a significant environmental impact. The 1111
relationship between environmental aspects and environmental impacts is one of cause and effect. 1112
An organization should identify the environmental aspects of the activities, products and services that are 1113
within the scope of its environmental management system. This should take into account: 1114
 the life cycle perspective, including inputs and outputs of its processes (both intended and unintended); 1115
 management of change, including planned or new developments, or new or modified activities, 1116
products and services; 1117
 normal and abnormal operating conditions; 1118
 shut-down and start-up conditions; 1119
 reasonably foreseeable emergency situations. 1120
Organizations do not have to consider each product, component or raw material individually, and may 1121
select categories of activities, products and services to identify and evaluate their environmental aspects, 1122
when they have similar environmental impacts. 1123
There is no single approach for identifying environmental aspects. Factors often considered in determining 1124
whether an element of an activity, product or service can interact with the environment include: 1125
a) emissions to air; 1126
b) releases to water; 1127
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c) releases to land; 1128
d) use of raw materials and natural resources; 1129
e) use of energy; 1130
f) energy emitted, e.g. heat, radiation, vibration (noise) and light; 1131
g) generation of waste and/or by-products; and 1132
h) impacts on wildlife, cultural heritage, biodiversity, ecosystem processes and people. 1133
In addition to the environmental aspects an organization can control directly, an organization needs to 1134
determine whether there are environmental aspects that it can influence. These can be related to goods 1135
and services used by the organization which are provided by others, as well as products and services that it 1136
provides to others outside the organization, including those associated with outsourced processes. 1137
However, in all circumstances it is the organization that determines the degree of control it is able to 1138
exercise, the environmental aspects it can influence, and the extent to which it chooses to exercise any 1139
such influence. 1140
Consideration should be given to environmental aspects related to the organization's activities, such as: 1141
 product, process and facility design and development; 1142
 manufacturing processes; 1143
 product packaging and transportation; and 1144
 operation and maintenance of facilities, organizational assets and infrastructure. 1145
Consideration should also be given to environmental aspects related to products, by-products and services, 1146
such as: 1147
 environmental performance and practices of contractors and suppliers; 1148
 waste generation, management and disposal; 1149
 use of raw materials and natural resources; and 1150
 distribution, use and end-of-life of products. 1151
With respect to products and services the organization provides and renders to others, organizations may 1152
have limited influence on the use and final disposal of their products once they leave their control. 1153
Organizations should consider, where practicable, a life cycle perspective in identifying the environmental 1154
aspects of its products and services. 1155
Once an organization identifies its environmental aspects and associated environmental impacts, it should 1156
establish criteria and adopt appropriate methods to determine those environmental aspects that have or 1157
can have significant impacts, i.e. significant environmental aspects. There is no single method or list of 1158
criteria for determining significant environmental aspects. The method(s) and criteria used should be 1159
appropriate to the nature and scale of the organization’s environmental impacts and provide reliable results. 1160
The method(s) should include the establishment and application of evaluation criteria that take into 1161
consideration the context of the organization. Criteria may be related to environmental matters related to 1162
the environmental aspect or impact, legal issues and the concerns of internal and external interested 1163
parties. 1164
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When developing information relating to the determination of its significant environmental aspects, the 1165
organization should consider the need to retain the information for historical purposes, as well as what 1166
information will be useful in designing and implementing its environmental management system. It is up to 1167
the organization to determine the nature and level of detail of the documented information it retains related 1168
to the identification and evaluation of its environmental aspects. 1169
The process of identification and evaluation of environmental aspects should take into account the location 1170
of activities, cost and time required to undertake the analysis and the availability of reliable data. 1171
Information already developed for regulatory or other purposes can be used in these processes. 1172
This process of identifying and evaluating environmental aspects is not intended to change or increase an 1173
organization's legal obligations. 1174
The significant environmental aspects are to be taken into account in establishing, implementing and 1175
maintaining the organization's environmental management system. 1176
A.6.1.3 Legal requirements and voluntary obligations 1177
The organization needs to identify the requirements that are applicable to its environmental aspects. This 1178
should include a determination of whether these requirements are mandatory requirements or voluntary 1179
obligations. 1180
Legal requirements are mandatory requirements issued by governmental entities. These may include: 1181
a) national and international legal requirements; 1182
b) state/provincial/departmental legal requirements; 1183
c) local governmental legal requirements; and 1184
d) the provisions of permits and/or licenses issued by governmental entities. 1185
Voluntary obligations are other requirements related to its environmental aspects, to which the organization 1186
voluntarily subscribes. These may include, if applicable: 1187
 voluntary collaborative governance arrangements; 1188
 agreements with customers; 1189
 non-regulatory guidelines; 1190
 voluntary principles or codes of practice; 1191
 voluntary environmental labelling or product stewardship commitments; 1192
 requirements of trade associations; 1193
 agreements with community groups or non-governmental organizations; 1194
 public commitments of the organization or its parent organization; and 1195
 corporate/company requirements. 1196
The primary difference between a legal requirement and a voluntary environmental obligation is that the 1197
organization chooses to adhere to its voluntary obligations. However, in many cases, once that choice is 1198
made, adherence is mandatory, particularly where legally binding agreements are made. 1199
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A.6.2 Environmental objectives and planning to achieve them 1200
A.3.1.1 Environmental objectives 1201
Environmental objectives may be either strategic, as set by top management and applicable to the whole 1202
organization, or tactical, established for specific units or functions within the organization and compatible 1203
with the strategic objectives, or both. 1204
The objectives established should be specific and measurable, wherever practicable. They can include both 1205
short and long-term goals and should be updated, as appropriate. 1206
In setting its environmental objectives, the organization must take into account: 1207
 its significant environmental aspects; and 1208
 its applicable legal requirements and voluntary obligations, 1209
and may also consider: 1210
 internal issues such as the organization’s improvement priorities, resources, operations and business 1211
requirements; 1212
 external issues such as environmental conditions, social and cultural circumstances, and technological 1213
options; or 1214
 relationships with and requirements of internal and external interested parties. 1215
Consistency with the environmental policy means that the environmental objectives need to be broadly 1216
aligned and harmonised with the environmental policy commitments made by top management. 1217
A.6.2.1 Environmental improvement programmes 1218
In selecting environmental performance indicators (EPIs) for its objectives, the organization should consider 1219
the need for indicators related to its environmental management (management performance indicators, or 1220
MPIs) and its operational performance (operational performance indicators, or OPIs). It may also wish to 1221
consider indicators that provide information about the condition of the environment that may be impacted by 1222
the organization (environmental condition indicators, or ECIs). 1223
More guidance on setting environmental indicators can be found in ISO 14031. 1224
The creation and use of one or more environmental improvement programmes can help ensure that 1225
progress in achieving the established environmental objectives is monitored, and the status updated and 1226
reported as appropriate. Organizations may decide to incorporate environmental objectives into broader 1227
business improvement programmes. 1228
Improvement programmes should include information concerning what will be done to achieve the 1229
organization's environmental objectives, including timeframes for when tasks will be completed, necessary 1230
resources, responsibilities for achieving results and how the results will be evaluated. 1231
Improvement programmes may be established for current and new activities, products or services and can 1232
adopt a life cycle perspective, including planning, design, materials, procurement, production processes, 1233
use, marketing and ultimate disposal. 1234
Programme(s) may be subdivided to address specific elements of the organization's activities, products and 1235
services. 1236
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A.7 Support 1237
A.7.1 Resources 1238
Resources include human resources and specialized skills, organizational infrastructure, technology and 1239
financial resources. 1240
A.7.2 Competence 1241
This sub-clause applies to any person whose work has the potential to cause a significant environmental 1242
impact, contribute to the achievement of an environmental objective or in any other way affect 1243
environmental performance. For example, in a manufacturing organization, this may include office 1244
personnel, janitorial staff and security personnel. It may also apply to persons involved in outsourced 1245
processes, as appropriate. 1246
Work that is “under the organization’s control” is work that takes place within the scope of the 1247
environmental management system. This may be defined by, for example, a geographic location (a 1248
building, a city, etc.) or an organizational boundary. 1249
In the special case of work performed via outsourced processes (where an external organization performs 1250
part of an organization’s function or process), the organization may have partial or no control over the work 1251
performed by the external organization; therefore this sub-clause is applicable to the extent the organization 1252
has the capability to exert control on the outsourced process. However, if the external organization is 1253
performing the work within the geographic location of the organization, then the organization may be able to 1254
exert extensive or even full control on the outsourced process. 1255
A.7.3 Awareness 1256
Ensuring that persons doing work under the organization’s control are actively involved is critical to the 1257
success of the environmental management system. In particular, the participation of the organization’s 1258
employees and the level of information provided to them are key factors to the achievement of continual 1259
improvement of both the environmental management system and environmental performance. Participation 1260
by personnel can be expected to positively influence the behaviors that are required to achieve this 1261
continual improvement. 1262
Ensuring that persons doing work under the organization’s control are aware of the environmental policy 1263
and environmental objectives should not be taken to mean that they must memorize or have a copy of the 1264
actual, documented policy and objectives; rather, they should be aware of their existence and purpose. 1265
A.7.4 Communication 1266
This edition of ISO 14001 does not contain guidance on this sub-clause. 1267
A.7.5 Documented information 1268
The intent of clause 7.5 is to ensure that organizations create and maintain documented information in a 1269
manner sufficient to implement the environmental management system. However, the primary focus of 1270
organizations should be on the effective implementation of the environmental management system and on 1271
environmental performance and not on a complex documented information control system. 1272
The description of the main elements of the environmental management system should be sufficient to 1273
describe how its parts work together, and provide direction on where to obtain more detailed information, if 1274
any, on the operation of specific parts of the environmental management system. This documentation may 1275
be integrated with documentation of other systems implemented by the organization. It does not have to be 1276
in the form of a manual. 1277
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This edition of ISO 14001 uses the term “documented information” (see 3.18) to refer to information that the 1278
organization needs to keep, captured in any media. The term encompasses the nouns “document” and 1279
“record” used in previous editions. 1280
This edition of ISO 14001 requires the organization to retain a minimum set of documented information. 1281
Any decision to retain documented information beyond that required by the standard may be based on 1282
issues such as: 1283
 the consequences, including those to the environment, of not doing so; 1284
 the need to demonstrate compliance with legal requirements and with voluntary obligations; 1285
 the need to ensure that an activity is undertaken consistently; and 1286
 the advantages of doing so, which can include: 1287
 easier implementation through communication and training; 1288
 less risk of ambiguity and deviation; and 1289
 demonstrability and visibility. 1290
Examples of documented information include: 1291
 statements of policy and objectives; 1292
 information on risks and significant environmental aspects; 1293
 descriptions of the specified way to perform an activity; 1294
 organizational charts; 1295
 internal and external standards; 1296
 maintenance plans; 1297
 drawings; 1298
 materials data sheets; 1299
 applicable legal requirements; 1300
 site emergency plans; and 1301
 evidence of activities performed or results achieved, such as: 1302
 complaints received; 1303
 training activities; 1304
 process monitoring; 1305
 inspection, maintenance and calibration records; 1306
 pertinent contractor and supplier records; 1307
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 incidents reported; 1308
 emergency preparedness tests; 1309
 audit results; 1310
 management review results; 1311
 records of significant environmental aspects; 1312
 environmental meetings; 1313
 objectives and programmes follow up; 1314
 legal compliance; and 1315
 communications with relevant interested parties. 1316
Documented information, originally created for purposes other than the environmental management 1317
system, may be used as part of this system and, if so used, will need to be referenced in the environmental 1318
management system documented information system. 1319
A.8 Operation 1320
A.8.1 Operational planning and control 1321
Based on its evaluation of its environmental aspects, the organization should ensure that its operations are 1322
conducted in a way that will control or reduce the adverse environmental impacts, in order to comply with its 1323
legal requirements and voluntary obligations, fulfil the commitments of its environmental policy and meet its 1324
environmental objectives. This should include all parts of its operations, including maintenance activities. 1325
When determining controls, or considering changes to existing controls, consideration should be given to 1326
eliminating or reducing the risk of an environmental impact according to the following hierarchy: 1327
a) elimination; 1328
b) substitution; 1329
c) engineering controls; 1330
d) signage/warnings and/or administrative controls. 1331
It is up to the organization to establish the level of documented information that is needed to ensure that 1332
operational planning and control conform to specifications. When doing so, the organization needs to 1333
consider the potential deviations that may occur from the environmental policy, environmental objectives, 1334
applicable legal requirements and voluntary obligations if documented information were not available. 1335
The Note to 7.5.1 and A.7.5 may help organizations to decide the extent of documented information that 1336
should be kept. 1337
Documented information may be developed to explain: 1338
 a specific sequence of activities that needs to be carried out; 1339
 qualification of the personnel involved (including any workmanship required); 1340
 key variables that need to be kept within certain limits (time, physical, biological, etc); 1341
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 characteristics of the materials to be used; 1342
 characteristics of the infrastructure to be used; 1343
 characteristics of the products resulting from the process. 1344
A.8.2 Value chain planning and control 1345
An organization’s consideration of its significant environmental aspects includes the goods and services the 1346
organization procures (the “upstream” processes) and the use or eventual disposal of the products and 1347
services the organization produces (the “downstream” processes). When evaluating suppliers of goods and 1348
services the organization procures, the organization may base its decisions partly upon the environmental 1349
impacts associated with the manufacturing of these goods and the provision of these services, as well as 1350
the organization’s contractual and legal requirements. 1351
ISO 14001 now includes requirements related to “outsourced processes”, to address situations where an 1352
organization makes arrangements for some of its processes to be performed by external parties. Examples 1353
of outsourcing include: 1354
 a manufacturer contracts with another company to design or manufacture some of its intermediate or 1355
final products; 1356
 a service provider contracts with another entity to provide services for its customers; and 1357
 a company hires an external organization to run one of its key functions (e.g.: purchasing, human 1358
resources, maintenance). 1359
Organizations seldom fully control the activities of external organizations; in lieu of full control, organizations 1360
can exert some degree of influence or partial control. 1361
In either case, the organization decides the type and extent of control or influence, based upon such factors 1362
as: 1363
 its knowledge, competence and resources; 1364
 the potential impact of the outsourced process on the organization's capability to provide product that 1365
conforms to requirements; 1366
 the degree to which the control for the process is shared; 1367
 the capability of achieving the necessary control through the application of its general procurement 1368
process. 1369
In the particular case of SMEs, the level of influence that they can exert may be limited by their relative 1370
size, compared with the organization to which a process is outsourced. 1371
A.8.3 Emergency preparedness and response 1372
The 3
rd
edition of this International Standard does not contain guidance on this sub-clause. 1373
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A.9 Performance evaluation 1374
A.9.1 Monitoring, measurement, analysis and evaluation 1375
A.9.1.1 General 1376
In order to satisfy the requirements for monitoring and measurement, the organization may develop a plan 1377
to specify what it will monitor and measure, and how and when this will be done. In addition to providing 1378
information on environmental performance and the effectiveness of the management system, monitoring 1379
and measurement are important in providing the organization with information concerning its compliance 1380
status. 1381
The organization should determine the frequency of monitoring and measurement, to ensure that it has 1382
sufficient information for analysing and evaluating its environmental performance. It should also determine 1383
how often it evaluates the information, how this is done and how it makes use of the results. 1384
In order to ensure that its commitments and objectives are achieved, the organization should ensure that: 1385
 The results of monitoring and measurement are reliable, reproducible and traceable; 1386
 The findings of the resultant analysis and evaluation are reported internally to those with responsibility 1387
and authority to initiate appropriate corrective action, and 1388
 The information obtained is communicated externally in accordance with legal requirements and 1389
voluntary obligations. 1390
The organization should also determine how it may evaluate the environmental performance of its products 1391
or of organizations in its value chain. 1392
NOTE In order to ensure that results are reliable, reproducible and traceable, the organization should implement a 1393
quality assurance process which addresses sampling methods and sample security, integrity of equipment, the 1394
accreditation and reliability of laboratories, the analysis of resultant data and the competence of persons involved in the 1395
process. 1396
A.9.1.2 Evaluation of compliance 1397
The frequency of periodic evaluations of compliance may vary depending on the importance of the 1398
requirement and the organization’s past performance, but all legal requirements and voluntary obligations 1399
need to be evaluated. 1400
An organization can use a variety of methods to maintain its knowledge and understanding of its 1401
compliance status, including: 1402
 review of documented information, i.e., procedures, documents, records; 1403
 facility tour or inspections; 1404
 direct observation or interviews; 1405
 project or work reviews; 1406
 review of sample analysis or test results, and comparison to regulatory limits; 1407
 verification sampling/testing; 1408
 compliance audits, including those conducted by 1
st
, 2
nd
or 3
rd
parties. 1409
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An organization may wish to combine its evaluation of compliance to voluntary obligations with the 1410
evaluation of legal compliance. 1411
In the event that the results of evaluation indicate a failure to meet a legal requirement, the organization 1412
should determine and implement the actions necessary to achieve compliance. This may require 1413
communication with the regulating agency and agreement on a course of action. Similarly, it is necessary to 1414
take action to address a failure to meet a voluntary obligation. 1415
The organization should ensure that persons responsible for evaluating compliance and determining the 1416
need for follow-up action are competent. This may involve engaging external technical support. 1417
The results of the periodic evaluations are required to be documented. 1418
The outputs and outcomes of this evaluation should be considered in the management review (see 9.3). 1419
A.9.2 Audits 1420
The management and conduct of internal audits should abide by the principles of integrity, fair presentation, 1421
due professional care, confidentiality, independence and an evidence-based approach. In order to ensure 1422
the objectivity and impartiality of the audit process, the auditors selected should be independent of the 1423
activities or processes they will audit, where this is possible. It is recognized that in small organizations this 1424
may not be achievable, but the auditor should in all cases act in a manner that is free from bias and conflict 1425
of interest. 1426
Internal audits of an environmental management system can be performed by personnel from within the 1427
organization or by external persons selected by the organization, working on its behalf. 1428
The extent of an audit programme should be based on the size and nature of the organization being 1429
audited, as well as on the nature, functionality, complexity and the level of maturity of the management 1430
system. In determining the objectives and scope of the audit programme and individual audits, 1431
consideration should be given to the organization’s environmental aspects and other relevant factors 1432
including: 1433
 management priorities and other business considerations; 1434
 legal requirements and voluntary obligations; 1435
 management system requirements; and 1436
 previous performance, as demonstrated by the results of monitoring and measurement, past incidents 1437
and non-conformances or the results of previous audits (whether internal or undertaken by external 1438
parties). 1439
Organizations may decide to combine one or more disciplines (for example environment and health and 1440
safety) in a single audit. Where this is done, the organization should ensure that sufficient resources are 1441
provided for the achievement of the environmental objectives of the audit. 1442
Individuals who are involved in planning and conducting audits should demonstrate competence, which 1443
should be evaluated through a process that considers personal behaviour and the ability to apply the 1444
knowledge and skills gained through education, work experience, auditor training and audit experience. 1445
NOTE Guidance on establishing an audit programme, performing management system audits and evaluating 1446
auditor competence is given in ISO 19011. 1447
ISO/CD 14001
36 © ISO 2013 – All rights reserved

A.9.3 Management review 1448
Top management should review the environmental performance of the organization and the effectiveness 1449
of its environmental management system at planned intervals. This review can be performed as part of top 1450
management’s review of overall business performance. 1451
It is important that top management evaluates its own performance against the requirements for leadership 1452
commitments set out in clause 5.1. 1453
Top management should consider trends in environmental performance, but statistical trend analysis is not 1454
necessarily required. 1455
The outputs of the management review should include recommendations for the continuing suitability, 1456
adequacy and effectiveness of the environmental management system, opportunities for environmental 1457
performance improvement and any need for changes to improve the environmental management system, 1458
including the environmental policy and environmental objectives, consistent with the strategic direction of 1459
the organization and resources available. 1460
‘Adequacy’ of the environmental management system refers to it meeting the requirements and being 1461
implemented appropriately. ‘Suitability’ refers to how it “fits” the organization, its operations, culture, and 1462
business systems. ‘Effectiveness’ refers to whether it is achieving the desired results. 1463
When considering new or different circumstances, the review should also consider if the organization has 1464
effective processes for managing change. 1465
A.10 Management review 1466
A.10.1 Nonconformity and corrective action 1467
The retained documented information on the results of any corrective action includes information on the 1468
review of the effectiveness of these actions. 1469
The previous edition of ISO 14001 made reference to “preventive action” as action taken to prevent the 1470
occurrence of an identified potential non conformity. In this edition, the concept of preventive action is 1471
embedded in different clauses of this International Standard: 1472
 in 6.1, since the risks analysis and assessment is, in itself, a way of identifying the need for preventive 1473
actions, and the actions planned to address those identified risks can be seen as the actions taken to 1474
prevent the occurrence of undesired environmental impacts; 1475
 in 9.1, since the analysis of the results of monitoring and measurement can provide information on 1476
trends that could trigger the need for action to prevent the occurrence of a nonconformity; and 1477
 in 10.1, since the evaluation of actions to be taken when a nonconformity occurs, include the need to 1478
determine if similar non conformities could occur elsewhere. 1479
A.10.2 Continual improvement 1480
This clause requires the organization to continually improve the suitability, adequacy and effectiveness of 1481
its environmental management system. 1482
System improvement involves making changes to the design and implementation of the management 1483
system in order to improve the organization’s ability to achieve conformity with the requirements of this 1484
International Standard and meet its environmental objectives and policy commitments. Although there may 1485
be value in improving the system elements alone, the intended outcome of planned actions and other 1486
system changes is an improvement in the environmental footprint of the organization. 1487
ISO/CD 14001
© ISO 2013 – All rights reserved 37

The organization periodically should review and evaluate its environmental management system to identify 1488
opportunities for improvement, and plans actions to be taken, as appropriate. 1489
The rate, extent and timescale of actions that support continual improvement are determined by the 1490
organization, in light of its context, economic factors, and other circumstances. Environmental performance 1491
improvement involves taking action related to the management of the organization’s environmental aspects 1492
towards reducing adverse impacts or increasing beneficial impacts. Environmental performance 1493
improvements means improvement (i.e. reduction) in any of the environmental impacts associated with the 1494
organizations activities, products or services. 1495
Several elements of the environmental management system, as described in this International Standard, 1496
are designed to assist the organization in achieving continual improvement of its environmental 1497
performance; a coordinated implementation of these elements may help to develop a robust way to achieve 1498
this improvement, including: 1499
 analysing the external and internal context (see 4.1); 1500
 determining the needs and expectations of interested parties (see 4.2); 1501
 taking preventive actions to address risks and opportunities (see 6.1); 1502
 taking into account complaints and opinions of the interested parties (see 7.4); 1503
 establishing environmental objectives (see 6.2); 1504
 implementing operational controls (see 8.1), taking into consideration new technologies, methods or 1505
information available; 1506
 monitoring, measuring analyzing and evaluating performance (see 9.1); 1507
 conducting internal audits (see 9.2); 1508
 conducting management reviews (see 9.3); and 1509
 reacting to nonconformity(ies) and implementing corrective action(s) (see 10.1). 1510
ISO/CD 14001
38 © ISO 2013 – All rights reserved

Annex B 1511
(informative) 1512
1513
Correspondence between ISO 14001:2004 and ISO 14001:201X 1514
Table B.1 — Correspondence between ISO 14001:201X and ISO 14001:2004 1515
ISO 14001:201X ISO 14001:2004
Context of the organization (title only) 4
Understanding the organization and its
context
4.1
Understanding the needs and
expectations of interested parties
4.2
Determining the scope of the
environmental management system
4.3

4.1 General requirements
Environmental management system 4.4 4.1 General requirements
Leadership (title only) 5
Leadership and commitment 5.1 4.4.1 Resources, roles, responsibility and
authority
Policy 5.2 4.2 Environmental policy
Organization roles, responsibilities and
authorities
5.3 4.4.1 Resources, roles, responsibility and
authority
Planning (title only) 6 4.3 Planning (title only)
Actions to address risks and
opportunities (title only)
6.1
General 6.1.1
Environmental aspects 6.1.2 4.3.1 Environmental aspects
Legal requirements and voluntary
obligations
6.1.3 4.3.2 Legal and other requirements
Environmental objectives and planning to
achieve them (title only)
6.2 4.3.3 Objectives, targets and programme(s)
Environmental objectives 6.2.1 4.3.3 Objectives, targets and programme(s)
Environmental improvement programmes 6.2.2 4.3.3 Objectives, targets and programme(s)
Support (title only) 7 4.4 Implementation and operation (title only)
Resources 7.1 4.4.1 Resources, roles, responsibility and
authority
Competence 7.2 4.4.2 Competence, training and awareness
Awareness 7.3 4.4.2 Competence, training and awareness
Communication (title only) 7.4 4.4.3 Communication
General 7.4.1 4.4.3 Communication
Internal communication 7.4.2 4.4.3 Communication
External communication and reporting 7.4.3 4.4.3 Communication
Documented information (title only) 7.5 4.4.4 Documentation
General 7.5.1 4.4.4 Documentation
Creating and updating 7.5.2 4.4.5 Control of documentation
4.5.4 Control of records
Control of documented information 7.5.3 4.4.5 Control of documentation
Operation (title only) 8 4.4 Implementation and operation (title only)
Operational planning and control 8.1 4.4.6 Operational control
Value chain planning and control 8.2 4.4.6 Operational control
Emergency preparedness and response 8.3 4.4.7 Emergency preparedness and response
Performance evaluation (title only) 9 4.5 Checking (title only)
1516
ISO/CD 14001
© ISO 2013 – All rights reserved 39

Table B.1 (continued) 1517
ISO 14001:201X ISO 14001:2004
Monitoring, measurement, analysis and
evaluation (title only)
9.1 4.5.1 Monitoring and measurement
General 9.1.1 4.5.1 Monitoring and measurement
Evaluation of compliance 9.1.2 4.5.2 Evaluation of compliance
Internal audit 9.2 4.5.5 Internal audit
Management review 9.3 4.6 Management review
Improvement (title only) 10
Nonconformity and corrective action 10.1 4.5.3 Nonconformity, corrective action and
preventive action
Continual improvement 10.2 4.1 General requirements
1518
Table B.2 — Correspondence between ISO 14001:2004 and ISO 14001:200X 1519
ISO 14001:2004 ISO 14001:201X
4 Context of the organization (title only)
4.1 Understanding the organization and its
context
4.2 Understanding the needs and expectations
of interested parties
Environmental management system
requirements (title only)
4
General requirements 4.1 4.3

Determining the scope of the environmental
management system
4.4 Environmental management system
10.2 Continual improvement
Environmental policy 4.2 5.2 Policy
Planning (title only) 4.3 6 Planning (title only)
6.1 Actions to address risks and opportunities
(title only)
6.1.1 General
Environmental aspects 4.3.1 6.1.2 Environmental aspects
Legal and other requirements 4.3.2 6.1.3 Legal requirements and voluntary
obligations
Objectives, targets and programme(s) 4.3.3 6.2 Environmental objectives and planning to
achieve them (title only)
6.2.1 Environmental objectives
6.2.2 Environmental improvement programmes
Implementation and operation (title only) 4.4 7 Support (title only)
8 Operation (title only)
5 Leadership (title only)
Resources, roles, responsibility and
authority
4.4.1 7.1 Resources
5.3 Organization roles, responsibilities and
authorities
5.1 Leadership and commitment
Competence, training and awareness 4.4.2 7.2 Competence
7.3 Awareness
Communication 4.4.3 7.4 Communication (title only)
7.4.1 General
7.4.2 Internal communication
7.4.3 External communication and reporting
Documentation 4.4.4 7.5 Documented information (title only)
7.5.1 General
ISO/CD 14001
40 © ISO 2013 – All rights reserved

Table B.2 (continued) 1520
ISO 14001:2004 ISO 14001:201X
Control of documentation 4.4.5 7.5.2 Creating and updating
7.5.3 Control of documented information
Operational control 4.4.6 8.1 Operational planning and control
8.2 Value chain planning and control
Emergency preparedness and response 4.4.7 8.3 Emergency preparedness and response
Checking (title only) 4.5 9 Performance evaluation (title only)
Monitoring and measurement 4.5.1 9.1 Monitoring, measurement, analysis and
evaluation (title only)
9.1.1 General
Evaluation of compliance 4.5.2 9.1.2 Evaluation of compliance
Nonconformity, corrective action and
preventive action
4.5.3 10.1 Nonconformity and corrective action
Control of records 4.5.4 7.5.3 Control of documented information
Internal audit 4.5.5 9.2 Internal audit
Management review 4.6 9.3 Management review
10 Improvement (title only)
1521
ISO/CD 14001
© ISO 2013 – All rights reserved 41

Annex C 1522
(informative) 1523
1524
Correspondence between ISO 14001:201X and PDCA model 1525
ISO 14001 is an International Standard that contains requirements that an organization applies to enhance 1526
management control over its interactions with the environment. Where an organization chooses to start its 1527
efforts to improve using the PDCA cycle is determined by the organization. The High Level Structure – 1528
HLS
2
does not prescribe the sequence of activities that an organization follows to implement a robust, 1529
credible and reliable environmental management system to achieve continual improvement. Table C.1 1530
outlines the clause relationship between the High Level Structure and the PDCA approach, and how it 1531
relates to ISO 14001:2004. 1532
Table C.1 — An Explanation of the PDCA and the High Level Structure for an Environmental 1533
Management System 1534
High Level Structure – HLS PDCA ISO 14001:2004
4 Context of the organization PLAN
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of
interested parties
4.3.2
4.3 Determining the scope of the environmental
management system
4.1
4.4 Environmental management system 4.1
5 Leadership PLAN
5.1 Leadership and commitment
5.2 Policy 4.2
5.3 Organization roles, responsibilities and authorities 4.4.1
6 Planning PLAN
6.1 Actions to address risks and opportunities
6.1.1 General
6.1.2 Environmental aspects 4.3.1
6.1.3 Legal and voluntary obligations 4.3.2
6.2 Environmental objectives and planning to achieve them 4.3.3
6.2.1 Environmental objectives
6.2.2 Environmental improvement programmes
7 Support DO
7.1 Resources 4.4.1
7.2 Competence 4.4.2
7.3 Awareness 4.4.2
7.4 Communication 4.4.3
7.4.1 General
7.4.2 Internal communication
7.4.3 External communication and reporting
7.5 Documented Information
7.5.1 General 4.4.4
7.5.2 Creating and updating 4.4.5, 4.5.4
7.5.3 Control of documented information 4.4.5, 4.5.4
8 Operation DO

2
ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL,
appendix 2, 3 & 4 of.
ISO/CD 14001
42 © ISO 2013 – All rights reserved

Table C.1 (continued) 1535
High Level Structure – HLS PDCA ISO 14001:2004
8.1 Operational planning and control 4.4.6
8.2 Value Chain planning and control 4.4.6
8.3 Emergency preparedness and response 4.4.7
9 Performance evaluation CHECK
9.1 Monitoring, measurement, analysis and evaluation 4.5.1
9.1.1 General
9.1.2 Evaluation of compliance 4.5.2
9.2 Internal Audit 4.5.5
9.3 Management review 4.6
10 Improvement ACT
10.1 Nonconformity and corrective action 4.5.3
10.2 Continual improvement
ISO/CD 14001
© ISO 2013 – All rights reserved 43

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

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