Committee Draft 2 14001

ISO/TC 207/SC 1/
N 997
Our ref.: MJH

Date: 22 October 2013
Secretariat of ISO/TC 207/SC 1

Environmental Management Systems
Dear member
ISO/CD 14001.2
At its meeting in Bogota, Colombia, ISO/TC 207/SC 1/WG 5 responsible for the revision to
ISO 14001 Environmental management systems - Requirements with guidance for use,
agreed that a second Committee Draft (CD2) should be circulated for comment and vote for
a period of three months.
Comments and votes should be submitted via the ISO Committee Internal Balloting system
by 23 January 2014.
Members should use the most recent version of the ISO commenting template (issued 19
December 2012). To assist with the compilation of comments, members are requested to
use column 2 of the template to refer to the relevant line number(s) from CD2 please use
line numbering from the PDF of CD2, to avoid confusion if the layout of the word version
changes.
As agreed in the ballot confirming the scope of the revision in 2011, CD2 follows the highlevel structure (HLS), identical core text and common terms and core definitions set out in
ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO,
fourth edition, 2013, Annex SL Clause 9 and appendix 2 & 3 (Annex SL text).
In CD2, Annex SL text is shown in black text and the environmental discipline-specific text is
shown in blue; where WG5 has proposed a deviation, Annex SL text that has been deleted is
shown with text strikeout. Members should note that in accordance with Annex SL, any
proposal for change to Annex SL text must include detailed rationale setting out the
exceptional circumstances why the Annex SL text cannot be applied.
Additionally, members are requested to provide suggestions or clarifications, if needed, that
will further assist users in the understanding of risks and opportunities, including the
definition of risk and the relationship between environmental aspects and organizational risks
and opportunities.
Text relating to conformity assessment has been included in the Scope of CD2, however
members should note that this text is subject to confirmation by ISO CASCO.
We look forward to receiving your comments and votes on this CD2.
Yours sincerely
Mike Henigan
Secretary to ISO/TC 207/SC 1
Environmental management systems
T: +44 (0)20 8996 7298
E: mike.henigan@bsigroup.com
ISO 2013 All rights reserved
ISO/TC 207/SC 1 N
997
Date: 2013-10-21
ISO/CD 14001.2
ISO/TC 207/SC 1/WG 5
Secretariat: BSI/DIN
Environmental management systems Requirements with guidance for

use
Systmes de management environnemental Exigences et lignes directrices pour son utilisation
Warning
This document is not an ISO International Standard. It is distributed for review and comment. It is subject to
change without notice and may not be referred to as an International Standard.
Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of
which they are aware and to provide supporting documentation.
Document type: International Standard

Document subtype:
Document stage: (30) Committee
Document language: E
C:\Users\heniganm\Documents\ISO WORK\DOCUMENTS SC 1, WG 5\SC 1 DOCUMENTS\900-999\1n997
ISO CD 14001 2.docx STD Version 2.5a
ISO/CD 14001
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This ISO document is a working draft or committee draft and is copyright-protected by ISO. While the
reproduction of working drafts or committee drafts in any form for use by participants in the ISO standards
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Violators may be prosecuted.
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ISO/CD 14001
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Contents
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Foreword ............................................................................................................................................................. v
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Introduction ........................................................................................................................................................ vi
20
Scope ...................................................................................................................................................... 1
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Normative references ............................................................................................................................ 1
22
Terms and definitions ........................................................................................................................... 1
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4
4.1
4.2
4.3
4.4
Context of the organization .................................................................................................................. 7

Understanding the organization and its context ................................................................................ 7
Understanding the needs and expectations of interested parties ................................................... 7
Determining the scope of the environmental management system ................................................ 7
Environmental management system ................................................................................................... 7
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5
5.1
5.2
5.3
Leadership ............................................................................................................................................. 8
Leadership and commitment ............................................................................................................... 8
Environmental policy ............................................................................................................................ 8
Organizational roles, responsibilities and authorities ...................................................................... 9
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6.1
6.1.1
6.1.2
6.1.3
6.1.4
6.1.5
6.2
6.2.1
6.2.2
Planning ................................................................................................................................................. 9
Actions to address risks and opportunities ....................................................................................... 9
General ................................................................................................................................................... 9
Identification of environmental aspects.............................................................................................. 9
Determination of compliance obligations ......................................................................................... 10
Determining significant environmental aspects and organizational risks and
opportunities ........................................................................................................................................ 10
Planning to take action ....................................................................................................................... 11
Environmental objectives and planning to achieve them ............................................................... 11
Environmental objectives ................................................................................................................... 11
Planning to achieve objectives .......................................................................................................... 12
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7.1
7.2
7.3
7.4
7.4.1
7.4.2
7.4.3
7.5
7.5.1
7.5.2
7.5.3
Support ................................................................................................................................................. 12
Resources ............................................................................................................................................ 12
Competence ......................................................................................................................................... 12
Awareness ............................................................................................................................................ 13
Communication ................................................................................................................................... 13
General ................................................................................................................................................. 13
Internal communication ...................................................................................................................... 13
External communication and reporting ............................................................................................ 14
Documented information .................................................................................................................... 14
General ................................................................................................................................................. 14
Creating and updating ........................................................................................................................ 14
Control of documented information .................................................................................................. 14
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8
8.1
8.2
8.3
Operation .............................................................................................................................................. 15
Operational planning and control ...................................................................................................... 15
Value chain control ............................................................................................................................. 15
Emergency preparedness and response .......................................................................................... 16
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9.1
9.1.1
9.1.2
9.2
9.3
Performance evaluation ...................................................................................................................... 16

Monitoring, measurement, analysis and evaluation ........................................................................ 16
General ................................................................................................................................................. 16
Evaluation of compliance ................................................................................................................... 17
Internal audit ........................................................................................................................................ 17
Management review ............................................................................................................................ 18
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10
10.1
10.2
Improvement ....................................................................................................................................... 19
Nonconformity and corrective action ............................................................................................... 19
Continual improvement ...................................................................................................................... 19
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Annex A (informative) Guidance on the use of this International Standard .............................................. 20

A.1
General ................................................................................................................................................. 20
A.2
Scope ................................................................................................................................................... 20
A.3
Terms and definitions ........................................................................................................................ 20
A.4
Context of the organization ............................................................................................................... 21
A.4.1 Understanding the context of the organization ............................................................................... 21
A.4.2 Understanding the needs and expectations of interested parties ................................................ 22
A.4.3 Scope of the environmental management system .......................................................................... 22
A.4.4 Environmental management system ................................................................................................ 23
A.5
Leadership ........................................................................................................................................... 23
A.5.1 Leadership and commitment ............................................................................................................. 23
A.5.2 Environmental policy ......................................................................................................................... 23
A.5.3 Organizational roles, responsibilities and authorities .................................................................... 24
A.6
Planning ............................................................................................................................................... 25
A.6.1 Actions to address risks and opportunities .................................................................................... 25
A.6.2 Environmental objectives and planning to achieve them .............................................................. 28
A.7
Support ................................................................................................................................................ 29
A.7.1 Resources ............................................................................................................................................ 29
A.7.2 Competence ........................................................................................................................................ 29
A.7.3 Awareness ........................................................................................................................................... 29
A.7.4 Communication ................................................................................................................................... 29
A.7.5 Documented information ................................................................................................................... 30
A.8
Operation ............................................................................................................................................. 32
A.8.1 Operational planning and control ..................................................................................................... 32
A.8.2 Value chain control ............................................................................................................................. 33
A.8.3 Emergency preparedness and response ......................................................................................... 33
A.9
Performance evaluation ..................................................................................................................... 34
A.9.1 Monitoring, measurement, analysis and evaluation ....................................................................... 34
A.9.2 Internal audit ....................................................................................................................................... 36
A.9.3 Management review ............................................................................................................................ 36
A.10
Improvement ....................................................................................................................................... 37
A.10.1 Nonconformity and corrective action ............................................................................................... 37
A.10.2 Continual improvement ...................................................................................................................... 37
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Annex B (informative) Correspondence between ISO 14001:201X and ISO 14001:2004 .......................... 39
102
Annex C (informative) Relationship between this International Standard and the PDCA model ............ 42
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Bibliography ..................................................................................................................................................... 44
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ISO/CD 14001
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Foreword
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ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
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International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
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The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
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Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
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ISO 14001 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee
SC 1, Environmental management systems.
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This third edition cancels and replaces the second edition (), [clause(s) / subclause(s) / table(s) / figure(s) /
annex(es)] of which [has / have] been technically revised.
ISO/CD 14001
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Introduction
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Achieving a balance between environmental, social and economic sub-systems within the global system is
considered essential in order to meet the needs of the present without compromising the ability of future
generations to meet their needs. This concept of the three pillars of sustainability is the goal of sustainable
development.
Societal expectations for sustainable development, transparency and accountability has evolved within the
context of increasingly stringent legislation, growing pressures on the environment from pollution, overconsumption of resources, and degradation of eco-systems and biodiversity.
This has led organizations to adopt a more formal approach to environmental management. They implement
environmental management systems with the aim to control the environmental aspects of their activities,
products and services to prevent adverse impacts, assist in assuring compliance and improve environmental
performance. In doing so, organizations thereby engage in sustainable development in a manner that
contributes to the environmental pillar of sustainability.
The overall aim of this International Standard is to provide organizations with a systematic framework to
protect the environment in balance with socio-economic needs. It does so by specifying requirements for an
environmental management system that enables an organization to achieve environmental performance
improvement by:
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developing and implementing an environmental policy and objectives;
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identifying aspects of its activities, products and services that can result in significant environmental
impacts;
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establishing systematic processes which consider its context, and take into account its significant
environmental aspects, organizational risks and opportunities and its compliance obligations;
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increasing awareness of its relationship with the environment;
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establishing operational controls to manage its significant environmental aspects and compliance
obligations; and
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evaluating environmental performance and taking actions, as necessary, to improve.
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The outcomes of a formal, systematic approach to environmental management can provide top management
with information to build success over the long term and create options for contributing to sustainable
development by:
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preventing or reducing its adverse impacts on the environment;
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controlling or influencing the way its products and services are designed, manufactured, distributed,
consumed and disposed by using a life cycle perspective that can prevent environmental burdens
from being inadvertently shifted elsewhere within the cycle;
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achieving financial and operational benefits that can result from implementing environmentally sound
alternatives that strengthen the organizations market position; and
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communicating environmental information to relevant interested parties.
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The success of the system depends on commitment from all levels and functions of the organization, led by
top management. Environmental management encompasses a range of issues with associated opportunities
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ISO/CD 14001
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and liabilities, including those with strategic and competitive implications. The organizations planned
arrangements to address these issues can be integrated into its strategy and decision making, by aligning
them with other business priorities, and incorporating environmental governance into its overall management
system. Demonstration of successful implementation of this International Standard can be used to assure
relevant interested parties, including customers, suppliers, and regulators, that an appropriate environmental
management system is in place.
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The basis for the approach underlying an environmental management system is founded on the concept of
Plan, Do, Check and Act (PDCA) and is shown in Figure 1.
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Figure 1 Environmental management system model for this International Standard
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The PDCA model is an iterative process used by organizations to achieve continual improvement. It can be
applied to the management system and to each of its individual elements. It can be briefly described as
follows.
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Plan: establish objectives and processes necessary to deliver results in accordance with the
organizations environmental policy.
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Do: implement the processes.
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Check: monitor and measure processes against the environmental policy, objectives, compliance
obligations, and operational controls, and report the results.
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Act: take actions to continually improve.
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ISO/CD 14001
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This third edition of the International Standard includes revisions to meet environmental challenges and
provide value to both new and existing users. It also incorporates ISOs high level structure (HLS), identical
core text, and common terms and core definitions for management system standards.1 to benefit the user
community implementing multiple ISO management system standards. Annex A provides informative
explanations to prevent misinterpretation of ISO 14001:201X requirements. For existing users, Annex B
identifies broad technical correspondence between the previous edition of this International Standard
(ISO 14001:2004) and this edition. Annex C provides further insight on how this International Standard and
PDCA relate. Implementation guidance on this International Standard is included in ISO 14004:201X.
References to other ISO/TC 207 Environmental Management International Standards are provided in the
Bibliography for information only.
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This International Standard is intended to apply to all types and sizes of organizations with diverse
geographical, cultural and social conditions. It does not establish absolute requirements for environmental
performance beyond the required commitments in the environmental policy, including the commitments to:
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comply with compliance obligations,
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prevent pollution and protect the environment as applicable, for example, sustainable resource use,
climate change mitigation and adaptation, and protection of biodiversity and ecosystems, or consider
other principles such as environmental responsibility, precautionary approach and polluter pays, and
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to continual improvement.
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However, adoption of this International Standard will not in itself guarantee optimal environmental outcomes.
Two organizations can carry out similar operations but may have different compliance obligations,
environmental policy commitments, cost-effective technologies implemented, and environmental performance
goals, yet both can conform to the ISO 14001:201X requirements.
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The level of detail and complexity, the extent of documentation and the resources devoted to an
environmental management system will depend on a number of factors, such as the organizations purpose
and size, its relevant interested parties, the scope of the system, and the nature of its activities, products and
services, including their significant environmental aspects and potential impacts.
1 See the ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, Fourth edition, 2013,
Annex SL, Appendices 2 and 3.
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COMMITTEE DRAFT
ISO/CD 14001
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Environmental management systems Requirements with

guidance for use
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This International Standard specifies the requirements of an environmental management system for
organizations seeking to plan, establish, implement and maintain a framework to contribute to sustainable
development by:
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Scope
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preventing pollution and protecting the environment,
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demonstrating their commitment to satisfy compliance obligations, and
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delivering environmental performance improvement.
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This International Standard is intended to be applicable to any organization regardless of size, type and
nature and applies to the environmental aspects that the organization determines it can either control or
can influence across its value chain. This International Standard does not itself state specific environmental
performance criteria.
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The requirements in this International Standard are intended to be integrated into the organizations
management system and its business processes. The extent to which these requirements are applied
depends on factors such as the context within which the organization operates (including interested party
requirements), its environmental policy commitments and the nature of its activities, products and services.
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This International Standard does not make provision for the exclusion of any of its requirements.
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An organization can demonstrate conformity with this International Standard by
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1)
making a self-determination and self-declaration, or
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2)
seeking confirmation of its conformance by parties having an interest in the organization, such as
customers, or
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3)
seeking confirmation of its self-declaration by a party external to the organization, or
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4)
seeking certification/registration of its environmental management system by an external

organization.
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Normative references
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There are no normative references.
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For the purposes of this document, the following terms and definitions apply.
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3.1
organization
person or group of people that has its own functions with responsibilities, authorities and relationships to
achieve its objectives (3.15)
Terms and definitions
ISO/CD 14001
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Note 1 to entry:
The concept of organization includes, but is not limited to sole-trader, company, corporation, firm,
enterprise, authority, partnership, charity or institution, or part or combination thereof, including (an) operating unit(s)
whether incorporated or not, public or private.
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3.2
interested party (preferred term)
stakeholder (admitted term)
person or organization (3.1) that can affect, be affected by, or perceive themselves to be affected by a
decision or activity
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Note 1 to entry:
Interested parties can include person(s) and groups affected by an organization expressing their
needs and expectations with its environmental performance (3.21).
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Note 2 to entry:
Interested parties can include customers, community, suppliers, regulators, nongovernment
organizations, investors, employees.
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3.3
requirement
need or expectation that is stated, generally implied or obligatory
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Note 1 to entry:
Generally implied means that it is custom or common practice for the organization (3.1) and
interested parties (3.2) that the need or expectation under consideration is implied.
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Note 2 to entry:
A specified requirement is one that is stated, for example in documented information (3.17).
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Note 3 to entry:
comply with.
Requirements other than legal requirements become obligatory when the organization chooses to
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3.4
compliance obligation
requirement (3.3) that an organization (3.1) has to or chooses to comply with
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Note 1 to entry:
Obligations may arise from mandatory requirements, such as applicable laws and regulations, or
voluntary commitments to interested party (3.2) requirements, such as industry standards and codes, contractual
relationships, principles of good governance and accepted community and ethical standards.
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3.5
environment
surroundings in which an organization (3.1) operates
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Note 1 to entry:
system.
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Note 2 to entry:
Surroundings can include air, water, land, natural resources, biodiversity and ecosystems, humans,
and their interrelations.
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3.6
environmental aspect
element of an organization's (3.1) activities or products or services that interacts or can interact with the
environment (3.5)
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Note 1 to entry:
An environmental aspect can cause an environmental impact (3.7). Significant environmental
aspects are determined by the organization applying a range of criteria.
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3.7
environmental impact
change to the environment (3.5), whether adverse or beneficial, wholly or partially resulting from an
organization's (3.1) environmental aspects (3.6)
Surroundings in this context extend from within an organization to the local, regional and global
ISO/CD 14001
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3.8
environmental condition
state or characteristic of the environment (3.5) as determined at a certain point of time
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3.9
management system
set of interrelated or interacting elements of an organization (3.1) to establish policies and objectives (3.14)
and processes (3.18) to achieve those objectives
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Note 1 to entry:
A management system can address a single discipline or several disciplines (e.g. quality,
environment, health and safety).
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Note 2 to entry:
The system elements include the organizations structure, roles and responsibilities, planning,
operation, etc, and associated processes and procedures (3.19).
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Note 3 to entry:
The scope of a management system may include the whole of the organization, specific and
identified functions of the organization, specific and identified sections of the organization, or one or more functions
across a group of organizations.
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3.10
environmental management system
part of the management system (3.9) that is used to manage environmental aspects (3.6), compliance
obligations (3.4), and organizational risks (3.15) and opportunities
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3.11
top management
person or group of people who directs and controls an organization (3.1) at the highest level
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Note 1 to entry:
Top management has the power to delegate authority except for the designated responsibilities in
5.1, 5.2, 5.3 and 9.3, and provide resources within the organization.
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Note 2 to entry:
If the scope of the management system (3.9) covers only part of an organization then top
management refers to those who direct and control that part of the organization.
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3.12
effectiveness
extent to which planned activities are realized and planned results achieved
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3.13
policy
intentions and direction of an organization (3.1) as formally expressed by its top management (3.11)
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3.13
environmental policy
intentions and direction of an organization (3.1) as formally expressed by its top management (3.11) related
to environmental performance (3.21)
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3.14
objective
result to be achieved
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Note 1 to entry:
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Note 2 to entry:
Objectives can relate to different disciplines (such as financial, health and safety, and
environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and
process (3.18)).
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Note 3 to entry:
An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an
operational criterion, as an environmental objective or by the use of other words with similar meaning (e.g. aim, goal, or
target).
An objective can be strategic, tactical, or operational.
ISO/CD 14001
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Note 4 to entry:
In the context of environmental management systems (3.10) environmental objectives are set by
the organization (3.1), consistent with the environmental policy (3.13), to achieve specific results.
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3.15
risk
effect of uncertainty
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Note 1 to entry:
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Note 2 to entry:
Uncertainty is the state, even partial, of deficiency of information related to, understanding or
knowledge of, an event, its consequence, or likelihood.
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Note 3 to entry:
Risk is often characterized by reference to potential events (ISO Guide 73, 3.5.1.3) and
consequences (ISO Guide 73, 3.6.1.3), or a combination of these.
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Note 4 to entry:
Risk is often expressed in terms of a combination of the consequences of an event (including
changes in circumstances) and the associated likelihood (ISO Guide 73, 3.6.1.1) of occurrence.
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3.16
competence
ability to apply knowledge and skills to achieve intended results
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3.17
documented information
information required to be controlled and maintained by an organization (3.1) and the medium on which it is
contained
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Note 1 to entry:
Documented information can be in any format and media and from any source.
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Note 2 to entry:
Documented information can refer to
An effect is a deviation from the expected positive or negative.
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the environmental management system (3.10), including related processes (3.18),
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information created in order for the organization to operate (formerly referred to as documentation),
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evidence of results achieved (formerly referred to as records).
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3.18
process
set of interrelated or interacting activities which transforms inputs into outputs
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Note 1 to entry:
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3.19
procedure
specified way to carry out an activity or a process (3.18)
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Note 1 to entry:
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3.20
performance
measurable result
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Note 1 to entry:
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Note 2 to entry:
Performance can relate to the management of activities, processes (3.18), products (including
services), systems or organizations (3.1).
Processes can be documented or not.
Procedures can be documented or not.
Performance can relate either to quantitative or qualitative findings.
ISO/CD 14001
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3.21
environmental performance
performance (3.20) related to the management of environmental aspects (3.6)
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Note 1 to entry:
In the context of environmental management systems (3.10), results can be measured against the
organization's environmental policy (3.13), environmental objectives (3.14) and other performance of an organizations
(3.1) management of its environmental aspects.
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[Source: ISO 14045:2012, 3.5, modified to add "to the management of" and to add a new Note 1 to
entry]
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3.22
indicator
measureable representation of the condition or status of operations, management or conditions
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Note 1 to entry:
Distinction can be made between Operational Performance Indicators (OPIs), Management
Performance Indicators (MPIs), Environmental Performance Indicators (EPIs) and Environmental Condition Indicators
(ECIs)
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[SOURCE: ISO 14031:2013, 3.15, modified Note 1 to entry was added]
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3.23
outsource (verb)
make an arrangement where an external organization (3.1) performs part of an organizations function or
process (3.18)
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Note 1 to entry:
An external organization is outside the scope of the management system (3.9), although the
outsourced function or process is within the scope.
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3.24
monitoring
determining the status of a system, a process (3.18) or an activity
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Note 1 to entry:
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3.25
measurement
process (3.18) to determine a value
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3.26
audit
systematic, independent and documented process (3.18) for obtaining audit evidence and evaluating it
objectively to determine the extent to which the audit criteria are fulfilled
399
400
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
can be a combined audit (combining two or more disciplines) or an integrated audit (an audit against two or more sets
of standards criteria integrated into one management system (3.9)).
402
Note 2 to entry:
403
404
Note 3 to entry:
Independence can be demonstrated by the freedom from responsibility for the activity being
audited or freedom from bias and conflict of interest.
405
406
407
Note 4 to entry:
Audit evidence consists of records, statement of fact and other information relevant to the audit
criteria and verifiable and audit criteria are the set of policies, procedures (3.19) or requirements (3.3) used as a
reference against which audit evidence is compared, as defined in ISO 19011.
408
409
410
3.27
conformity
fulfilment of a requirement (3.3)
To determine the status there may be a need to check, supervise or critically observe.
An internal audit is conducted by the organization (3.1) itself or by an external party on its behalf.
ISO/CD 14001
411
412
413
Note 1 to entry:
Conformity relates to compliance obligations (3.4), including requirements in this International
Standard and additional environmental management system (3.10) requirements that an organization (3.1) establishes
for itself.
414
415
416
3.28
nonconformity
non-fulfilment of a requirement (3.3)
417
418
419
Note 1 to entry:
Nonconformity relates to compliance obligations (3.4), including requirements in this International
Standard and additional environmental management system (3.10) requirements that an organization (3.1) establishes
for itself.
420
421
422
3.30
correction
action to eliminate a detected nonconformity (3.29)
423
424
425
3.29
corrective action
action to eliminate the cause of a nonconformity (3.28) and to prevent recurrence
426
427
428
3.30
continual improvement
recurring activity to enhance performance (3.20)
429
430
431
Note 1 to entry:
Enhancing performance relates to the use of the environmental management system (3.10) in
order to achieve improvement in overall environmental performance (3.21) consistent with the organization's (3.1)
environmental policy (3.13).
432
Note 2 to entry:
433
434
435
436
437
3.31
prevention of pollution
use of processes (3.18), practices, techniques, materials, products, services or energy to avoid, reduce or
control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste,
in order to reduce adverse environmental impacts (3.7)
438
439
440
Note 1 to entry:
Prevention of pollution can include source reduction or elimination, process, product or service
changes, efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and
treatment.
441
442
443
3.32
value chain
entire sequence of activities or parties that provide or receive value in the form of products or services
444
Note 1 to entry:
Parties that provide value include suppliers, outsourced (3.23) workers, contractors and others.
445
Note 2 to entry:
Parties that receive value include customers, consumers, clients, members and other users.
446
Note 3 to entry:
Value can be positive or negative.
447
[Source: ISO 26 000:2010, 2.25, modified Note 1 to entry was added]
448
449
450
451
3.33
life cycle
consecutive and interlinked stages of a product system, from raw material acquisition or generation from
natural resources to final disposal
452
453
454
Note 1 to entry:
Life cycle includes activities, products, and services and may include procured goods and services,
as well as end-of-life treatment of products and delivery of services, for example, design, manufacture, transport,
packaging and end-use/disposal.
The activity need not take place in all areas simultaneously.
ISO/CD 14001
455
[Source: ISO 14044:2006, 3.1, modified Note 1 to entry was added]
456
457
4.1 Understanding the organization and its context
458
459
460
The organization shall determine external and internal issues that are relevant to its purpose and that affect
its ability to achieve the intended outcome(s) of its environmental management system. Those issues
include environmental conditions capable of affecting or being affected by the organization.
461
462
The knowledge gained shall be considered when establishing and maintaining the organization's
environmental management system.
463
4.2 Understanding the needs and expectations of interested parties
464
The organization shall determine:
Context of the organization
465
the interested parties that are relevant to the environmental management system, and
466
the relevant requirements of these interested parties.
467
468
The knowledge gained shall be considered when establishing and maintaining the organization's
469
4.3 Determining the scope of the environmental management system
470
471
The organization shall determine the boundaries and applicability of the environmental management
system to establish its scope.
472
When determining this scope, the organization shall consider
473
the external and internal issues referred to in 4.1,
474
the requirements referred to in 4.2,
475
its organizational unit(s), function(s), and physical boundaries,
476
its activities, products and services, and
477
its authority and ability to exercise control and influence.
478
479
The scope shall not exclude activities, products and services within the organizations control or influence
that can have significant environmental aspects (see 6.1.4).
480
The scope shall be available as documented information and be available to the public.
481
4.4 Environmental management system
482
483
484
In order to continually improve its environmental performance, the organization shall establish, implement,
maintain and continually improve an environmental management system, including the processes needed
and their interactions, in accordance with the requirements of this International Standard.
485
The organization shall determine
486
how it will satisfy the environmental management system requirements,
ISO/CD 14001
487
488
how it will integrate its environmental management system requirements into its business
processes, and
489
the requirements of interested parties that the organization adopts.
490
Leadership
491
5.1 Leadership and commitment
492
493
Top management shall demonstrate leadership and commitment with respect to the environmental
management system by:
494
495
ensuring that knowledge of the organizations context is considered when establishing the
environmental management system,
496
497
ensuring that the environmental policy and environmental objectives are established and are
compatible with the strategic direction of the organization,
498
giving consideration to environmental performance in strategic planning,
499
500
ensuring the integration of the environmental management system requirements into the
organizations business processes,
501
ensuring that the resources needed for the environmental management system are available,
502
503
communicating the importance of effective environmental management and of conforming to the

environmental management system requirements,
504
505
ensuring that the environmental management system requirements are fulfilled and achieves its
intended outcome(s) are achieved,
506
507
directing and supporting persons to contribute to the effectiveness of the environmental

management system,
508
promoting continual improvement (see 10.2), and
509
510
supporting other relevant management roles to demonstrate their leadership as it applies to their
areas of responsibility.
511
512
513
NOTE
Reference to business in this International Standard should be interpreted broadly to mean
those activities and processes that are core to the purposes of the organizations existence, whether the
organization is public, private, for or not for profit.
514
5.2 Environmental policy
515
516
Top management shall establish an environmental policy that, within the defined scope of its environmental
management system:
517
is appropriate to the purpose of the organization,
518
is appropriate
519
to the nature, scale and environmental impacts of its activities, products and services, and
520
to the organizations risks and opportunities,
ISO/CD 14001
521
provides a framework for setting environmental objectives,
522
523
includes (a) commitment(s) to the prevention of pollution and to the protection of the environment
specific to the context of the organization,
524
525
526
NOTE
The specific commitment(s) to protect the environment can include sustainable resource use, climate change
mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant environmental issues (see
4.1).
527
includes a commitment to satisfy applicable requirements compliance obligations, and
528
529
includes a commitment to continual improvement of the environmental management system to

enhance its environmental performance.
530
The environmental policy shall:
531
be available as documented information,
532
be communicated within the organization, including persons working on behalf of the organization,
533
be available to interested parties, as appropriate.
534
5.3 Organizational roles, responsibilities and authorities
535
536
Top management shall ensure that the responsibilities and authorities for relevant roles within the
environmental management system are assigned and communicated within the organization.
537
Top management shall assign the responsibility and authority for:
538
539
a)
ensuring that the environmental management system conforms to the requirements of this International
Standard, and
540
541
b)
reporting on the performance of the environmental management system, including environmental

performance, to top management.
542
543
NOTE
The role of and authority for reporting on the performance of the environmental management system is
often assigned to (a) management representative(s).
544
545
6.1 Actions to address risks and opportunities
546
6.1.1
547
548
When planning for the environmental management system, the organization shall consider the issues
referred to in 4.1, and the relevant requirements of interested parties referred to in 4.2.
549
6.1.2
550
The organization shall:
551
552
553
identify the environmental aspects and the associated environmental impacts of its activities, products
and services within the defined scope of the environmental management system that it can control and
those that it can influence, considering a life cycle perspective; and
554
take into account
Planning
General
Identification of environmental aspects
ISO/CD 14001
555
556
change, including planned or new developments and new or modified activities, products and
services; and
557
abnormal and potential emergency situations.
558
559
The organization shall retain up to date documented information of its environmental aspects and
associated environmental impacts.
560
561
562
NOTE
Life cycle perspective does not require a detailed life cycle assessment. It means that the organization
extends its view of its processes to a simple consideration of the life cycle stages for which the organization considers
itself to be sufficiently knowledgeable.
563
6.1.3
564
The organization shall implement and maintain a procedure
Determination of compliance obligations
565
566
to identify and have access to the compliance obligations related to its environmental aspects and
the relevant requirements of its interested parties, and
567
to determine how these requirements apply to the organization.
568
The organization shall retain up to date documented information of its compliance obligations.
569
6.1.4
570
571
The organization shall determine significant environmental aspects and the organizational risks and
opportunities that need to be addressed to:
Determining significant environmental aspects and organizational risks and opportunities
572
assure the environmental management system can achieve its intended outcome(s),
573
prevent, or reduce, undesired effects,
574
satisfy its compliance obligations, and
575
achieve continual improvement.
576
577
In order to achieve this, the organization shall implement and maintain a procedure to establish criteria, and
determine its significant environmental aspects and its organizational risks and opportunities.
578
In developing the criteria, the organization shall consider
579
the issues referred to in 4.1 including environmental conditions affecting the organization,
580
the relevant requirements of interested parties referred to in 4.2,
581
the environmental impacts referred to in 6.1.2.
582
583
NOTE 1
Criteria for determining significant environmental aspects are related to actual or potential impacts caused
by the organization to the environment.
584
585
NOTE 2
Criteria for determining organizational risks and opportunities are related to potential impacts to the
organization caused by environmentally related issues.
586
NOTE 3
587
The organization shall retain up to date documented information of its
10
The organization may develop and apply the criteria separately or in combination.
ISO/CD 14001
588
589
590
591
procedure(s) for establishing criteria and for determining significant aspects and organizational
risks and opportunities,
criteria used to determine its significant environmental aspects and organizational risks and
opportunities, and
592
significant environmental aspects and organizational risks and opportunities.
593
6.1.5
Planning to take action
594
The organization shall plan:
595
a)
to take actions to address
596
significant environmental aspects and compliance obligations, and
597
these organizational risks and opportunities, and
598
b)
how to
599
600
integrate and implement the relevant actions into its environmental management system
processes, and
601
evaluate the effectiveness of these actions through the management system.
602
603
604
Actions to address significant environmental aspects, compliance obligations and organizational risks and
opportunities shall be managed within the environmental management system. This shall include
consideration of:
605
environmental objectives and planning to achieve them (6.2.2),
606
operational planning and control (8.1),
607
value chain control (8.2),
608
emergency preparedness and response (8.3), and
609
monitoring and measurement (9.1).
610
611
NOTE
Actions to address significant environmental aspects, compliance obligations and organizational risks and
opportunities may be managed through other organizational management systems and business processes.
612
6.2 Environmental objectives and planning to achieve them
613
6.2.1
614
The organization shall establish environmental objectives at relevant functions and levels.
615
When developing those objectives the organization shall:
Environmental objectives
616
617
take into account applicable requirements the organizations significant environmental aspects and
its compliance obligations,
618
consider the organizations risks and opportunities, and
619
consider technological options and its financial, operational and business requirements.
620
The environmental objectives shall:
11
ISO/CD 14001
621
be consistent with the environmental policy,
622
be measurable (if practicable),
623
be monitored,
624
be communicated, and
625
be updated as appropriate.
626
The organization shall retain up to date documented information on the environmental objectives.
627
628
The organization shall define (an) indicator(s) to evaluate and demonstrate the achievement of each
environmental objective.
629
6.2.2
630
When planning how to achieve its environmental objectives, the organization shall determine:
Planning to achieve objectives
631
what will be done,
632
what resources will be required,
633
who will be responsible,
634
how it will be integrated into the organizations business processes,
635
when it will be completed,
636
how the results will be evaluated.
637
638
The organization shall retain up to date documented information on its planning to achieve the
environmental objectives.
639
640
7.1 Resources
641
642
The organization shall determine and provide the resources needed for the establishment, implementation,
maintenance and continual improvement of the environmental management system.
643
7.2 Competence
644
Support
645
646
determine the necessary competence of person(s) doing work under its control and on its behalf
that affects its environmental performance, and
647
648
ensure that these persons are competent on the basis of appropriate education, training, or
experience,
649
650
where applicable, take actions to acquire the necessary competence, and evaluate the
effectiveness of the actions taken, and
651
retain appropriate documented information as evidence of competence.
12
ISO/CD 14001
652
653
NOTE
Applicable actions may include, for example: the provision of training to, the mentoring of, or the reassignment of currently employed persons; or the hiring or contracting of competent persons.
654
7.3 Awareness
655
The organization shall ensure that persons doing work under the organizations control shall be aware of:
656
the environmental policy commitments,
657
658
the significant environmental aspects and related actual or potential impacts associated with their
work,
659
660
their contribution to the effectiveness of the environmental management system, including the
benefits of improved environmental performance,
661
662
the implications of not conforming with the environmental management system requirements
including compliance obligations.
663
7.4 Communication
664
7.4.1
665
666
667
In addition to the communication required by this International Standard, the organization shall determine
the needs for other internal and external communications relevant to the environmental management
system including:
General
668
on what it will communicate,
669
when to communicate,
670
with whom to communicate, and
671
how to communicate, including communication methods and tools.
672
673
When planning communications, the organization shall take into account the requirements of relevant
interested parties (see 4.2).
674
675
676
677
The organization shall ensure the quality of reported environmental information, including its proper
presentation based on information generated within the environmental management system after it has
undergone analysis and evaluation (see 9.1). Communications shall be transparent, appropriate, credible,
clear and reliable.
678
The organization shall retain documented information as evidence of its communications, as appropriate.
679
7.4.2
680
681
With regard to its environmental management system, including its significant environmental aspects and
environmental performance, the organization shall:
682
683
a) communicate among the various levels and functions of the organization, including persons working on
behalf of the organization, and
684
685
b) consider initiatives by which any person working for, or on behalf of, the organization can contribute to
the improvement of the environmental management system.
Internal communication
13
ISO/CD 14001
686
7.4.3
External communication and reporting
687
688
689
The organization shall communicate information relevant to the environmental management system
externally, including its environmental performance, as determined when planning its communication and
as required by its compliance obligations.
690
691
The organization shall respond to relevant communication on its environmental management system from
external interested parties.
692
The organization shall retain documented information as evidence of its external communications.
693
7.5 Documented information
694
7.5.1
695
The organizations environmental management system shall include:
General
696
documented information required by this International Standard,
697
698
documented information determined by the organization as being necessary for the effectiveness
of the environmental management system, and
699
700
a description of the main elements of the environmental management system and their interaction,
including with other business processes.
701
702
NOTE
The extent of documented information for an environmental management system can differ from one
organization to another due to:
703
the size of organization and its type of activities, processes, products and services;
704
the complexity of processes and their interactions;
705
the competence of persons; and
706
the organizations risks and opportunities.
707
7.5.2
Creating and updating
708
When creating and updating documented information the organization shall ensure appropriate:
709
identification and description (e.g. a title, date, author, or reference number),
710
format (e.g. language, software version, graphics) and media (e.g. paper, electronic), and
711
review and approval for suitability and adequacy.
712
7.5.3
Control of documented information
713
714
Documented information required by the environmental management system and by this International
Standard shall be controlled to ensure:
715
it is available and suitable for use, where and when it is needed, and
716
it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).
717
718
For the control of documented information, the organization shall address the following activities, as
applicable
14
ISO/CD 14001
719
distribution, access, retrieval and use,
720
storage and preservation, including preservation of legibility,
721
control of changes (e.g. version control), and
722
retention and disposition.
723
724
Documented information of external origin determined by the organization to be necessary for the planning
and operation of the environmental management system shall be identified as appropriate, and controlled.
725
726
NOTE
Access implies a decision regarding the permission to review the documented information only, or the
permission and authority to view and change the documented information, etc.
727
728
8.1 Operational planning and control
729
730
The organization shall plan, implement and control the processes needed to meet environmental
management system requirements, and to implement the actions determined in 6.1 and 6.2, by:
Operation
731
establishing criteria for the processes,
732
implementing control of the processes, in accordance with the criteria,
733
734
implementing and maintaining (a) procedure(s) to control situations where its absence could lead
to deviation from the environmental policy, environmental objectives, compliance obligations, and
735
736
keeping up to date documented information to the extent necessary to have confidence that the
processes have been carried out as planned.
737
738
The organization shall control planned changes and review the consequences of unintended changes,
taking action to mitigate any adverse effects, as necessary.
739
740
The organization shall ensure that, outsourced processes are controlled or influenced to meet
environmental management system requirements.
741
8.2 Value chain control
742
743
744
The organization shall determine how the processes associated with its value chain that are related to its
significant environmental aspects and organizational risks and opportunities will be controlled or influenced,
taking into account life cycle perspective.
745
746
The type and degree of control or influence to be applied to these processes shall be defined within the
747
748
749
develop and specify environmental requirements for the procurement of goods and services, as
appropriate,
750
communicate relevant environmental requirement(s) to suppliers, including contractors,
751
752
consider its significant environmental aspects and organizational risks and opportunities as input
in the process of the design, development or change of its products and services, and
15
ISO/CD 14001
753
754
755
consider the need to provide information about potential significant environmental impacts during
the delivery of the goods or services and during use and end-of-life treatment of the product, as
appropriate.
756
8.3 Emergency preparedness and response
757
758
759
The organization shall plan a process to determine potential emergency situations and potential accidents
that can result in (an) impact(s) on the environment. The organization shall implement and maintain (an)
emergency preparedness and response plan(s) specifying how it will respond to such situations.
760
761
a) respond to actual emergency situations and accidents;
762
763
764
b) take action to prevent occurrence and reduce the environmental consequences of emergency
situations, appropriate to the magnitude of the emergency or accident and the potential environmental
impact;
765
c) periodically test the plan(s) where practicable; and
766
767
d) periodically review and, where necessary, revise the plan(s), in particular, after the occurrence of
accidents, emergency situations or tests.
768
The organization shall retain
769
up to date documented information on its emergency preparedness and response plan(s), and
770
documented information as evidence of emergency preparedness and response testing.
771
772
9.1 Monitoring, measurement, analysis and evaluation
773
9.1.1
774
The organization shall determine:
775
Performance evaluation
General
what needs to be monitored and measured, including:
776
the key characteristics of its operations that can have a significant environmental impact;
777
the key characteristics necessary to assure compliance obligations are met;
778
organizational risks and opportunities;
779
operational controls (see 8.1) as applicable;
780
value chain controls (see 8.2) as appropriate; and
781
782
progress towards the organizations environmental objectives, using the determined indicators
(see 6.2.1);
783
784
the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid
results;
785
786
the criteria against which the organization will evaluate its performance, using appropriate
indicators;
16
ISO/CD 14001
787
when the monitoring and measuring shall be performed; and
788
when the results from monitoring and measurement shall be analysed and evaluated.
789
790
The organization shall ensure that calibrated or verified monitoring and measurement equipment is used
and maintained as appropriate.
791
The organization shall retain appropriate documented information as evidence of the results.
792
793
The organization shall evaluate the environmental performance and provide input to the management
review (see 9.3) for the evaluation of the effectiveness of the environmental management system.
794
795
The organization shall retain appropriate documented information as evidence of monitoring, measurement,
analysis and evaluation of the results.
796
9.1.2
797
798
The organization shall implement and maintain a procedure for evaluating compliance with compliance
obligations.
799
Consistent with its commitment to compliance, the organization shall
Evaluation of compliance
800
determine the frequency that compliance will be evaluated,
801
evaluate compliance and take action if needed, and
802
maintain knowledge and understanding of its compliance status.
803
The organization shall retain documented information as evidence of its compliance evaluation(s) results.
804
9.2 Internal audit
805
806
The organization shall conduct internal audits at planned intervals to provide information on whether the
environmental management system:
807
a)
conforms to
808
the organizations own requirements for its environmental management system, and
809
the requirements of this International Standard,
810
b)
is effectively implemented and maintained.
811
812
813
814
815
a)
plan, establish, implement and maintain an audit programme(s), including the frequency, methods,
responsibilities, planning requirements and reporting. The audit programme(s) shall take into
consideration the environmental importance of the processes concerned, risks and opportunities and
the results of previous audits;
816
b)
define the audit criteria and scope for each audit;
817
818
c)
select auditors and conduct audits in such a way as to ensure objectivity and the impartiality of the
audit process;
819
d)
ensure that the results of the audits are reported to relevant management;
820
e)
take action when necessary to address audit results; and
17
ISO/CD 14001
821
822
f)
retain documented information as evidence of the implementation of the audit programme and the
audit results.
823
9.3 Management review
824
825
Top management shall review the organization's environmental management system, at planned intervals,
to ensure its continuing suitability, adequacy and effectiveness.
826
The management review shall include consideration of:
827
a)
the status of actions from previous management reviews;
828
829
b)
changes in external and internal issues that are relevant to the environmental management system
including
830
831
the needs and expectations of interested parties,
832
its business strategy, and
833
its significant environmental aspects and risks and opportunities,
834
c)
information on the organizations environmental performance, including trends in
835
nonconformities and corrective actions,
836
monitoring and measurement results,
837
the extent to which objectives have been met,
838
fulfilment of its compliance obligations,
839
audit results, and
840
communication(s) from external interested parties, including complaints,
841
d)
opportunities for continual improvement, and
842
e)
the adequacy of resources required for maintaining an effective environmental management system.
843
The outputs of the management review shall include
844
845
a)
conclusions on the continuing suitability, adequacy and effectiveness of the environmental

management system,
846
b)
subsequent decisions related to identified continual improvement opportunities, and
847
848
c)
any need for changes to the environmental management system, including the environmental policy
and objectives.
849
The organization shall retain documented information as evidence of the results of management reviews.
850
851
The organization shall communicate the results of management reviews to relevant functions and levels of
the organization.
18
ISO/CD 14001
852
10 Improvement
853
10.1 Nonconformity and corrective action
854
855
The organization shall implement and maintain a procedure for dealing with nonconformities and taking
corrective action.
856
When a nonconformity occurs, the organization shall
857
a)
react to the nonconformity, and as applicable
858
take action to control and correct it, and
859
deal with the consequences, including the mitigation of adverse environmental impact,
860
861
b)
evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur
or occur elsewhere, by
862
reviewing the nonconformity,
863
determining the causes of the nonconformity, and
864
determining if similar nonconformities exist, or could potentially occur,
865
c)
determine and implement any corrective action needed,
866
d)
review the effectiveness of any corrective action taken, and
867
e)
make changes to the environmental management system, if necessary.
868
869
Corrective actions shall be appropriate to the magnitude of the effects of the nonconformities encountered
including impacts on the environment.
870
The organization shall retain documented information as evidence of
871
the nature of the nonconformities and any subsequent actions taken, and
872
the results of any corrective action taken, including its effectiveness.
873
10.2 Continual improvement
874
875
The organization shall continually improve its environmental performance by improving the suitability,
adequacy and effectiveness of the environmental management system.
19
ISO/CD 14001
Annex A
(informative)
876
877
878
Guidance on the use of this International Standard
879
880
General
881
882
883
The additional text given in this Annex is strictly informative and is intended to prevent misinterpretation of
the requirements contained in this International Standard. While this information addresses and is
consistent with these requirements, it is not intended to add to, subtract from, or in any way modify them.
884
Scope
885
This edition of ISO 14001 does not contain explanatory information on Clause 1.
886
Terms and definitions
887
888
889
890
The terms that are defined in Clause 3 have a specialized technical meaning and are normative for use in
this International Standard. This sub-clause provides further explanation of certain terms and some of the
words that are commonly used in management system standards, to help the user understand their
implications and to help in translations.
891
Plan detailed formulation of a programme to achieve an objective.
892
Programme planned series of steps, projects or activities to be carried out.
893
Design working out the form, fit or function of something.
894
Purpose anticipated (intended or expected) outcome that guides planned actions.
895
Determine establish or find out.
896
Define state or describe exactly the nature, scope or meaning of that which is under consideration.
897
Identify establish the identity of something.
898
To avoid misunderstanding, clarifications of selected concepts are provided below.
899
NOTES included in the various clauses of this International Standard are informative.
900
901
902
Continual indicates duration that occurs over a period of time, but with intervals of interruption (unlike
continuous which indicates duration without interruption). Continual is therefore the appropriate word
to use in the context of improvement.
903
904
The word consider means it is necessary to think about but can be rejected; and take into account
means it is necessary to think about but cannot be rejected.
905
906
907
The words appropriate and applicable are not interchangeable. Appropriate means suitable (for, to)
and implies some degree of freedom, while applicable means relevant or possible to apply and
implies that if it can be done, it should be done.
908
909
This International Standard uses the term interested party, the term stakeholder is a synonym as it
represents the same concept.
20
ISO/CD 14001
910
911
The word ensure means the responsibility can be delegated, but not the accountability to make sure
that it is performed.
912
913
This edition of this International Standard uses some new terminology. A brief explanation is given below to
aid both new users and those who have used prior editions of this International Standard.
914
915
916
917
918
Documented information replaces the nouns document and record used in prior editions of this
International Standard. Examples of each are given in A.7.5. To distinguish the intent of the generic
term documented information, This International Standard now uses the phrase retain documented
information as evidence of.... to mean records, and shall be available as documented information or
retain up to date documented information to mean documents, including procedures.
919
920
921
The change from identify to determine is intended to harmonize with the standardized management
system terminology, not to change the intent of the previous edition of this International Standard. The
term determine implies a discovery process that results in knowledge.
922
923
924
The term intended outcome means what the organization intends to achieve by implementing its
environmental management system, which is outlined in its environmental policy commitments and
925
926
927
928
The phrase compliance obligations replaces the phrase legal requirements and other requirements to
which the organization subscribes used in prior editions of this International Standard. The change is
considered simpler to understand, and does not change the intent of the previous edition of this
International Standard.
929
The use of the word any implies selection and choice.
930
Context of the organization
931
A.4.1 Understanding the context of the organization
932
933
934
935
936
The intent of this clause is to provide a high-level, strategic understanding of the important issues that can
affect, either positively or negatively, the way the organization manages its environmental responsibilities.
The issues of interest are those that affect the organizations ability to achieve the strategic objectives it
sets for its environmental management system, which include meeting its environmental policy
commitments.
937
938
Issues can include conditions, characteristics or changing circumstances that may affect the environmental
management system, for example:
939
940
941
environmental characteristics or conditions related to climate, pollution, resource availability, and

biodiversity, and the effect these conditions may have on the organizations ability to achieve its
objectives,
942
943
the external cultural, social, political, legal, regulatory, financial, technological, economic, natural
and competitive context, whether international, national, regional or local,
944
characteristics or conditions of the organization, such as
945
relationships with external and internal interested parties (see 4.2),
946
organizational governance, information flows and decision-making processes,
947
organizational policies, objectives, and the strategies that are in place to achieve them,
948
949
the capabilities of the organization, understood in terms of resources (e.g. capital, time,
people, knowledge, processes, systems and technologies),
21
ISO/CD 14001
950
the organization's culture,
951
standards, guidelines and models adopted by the organization,
952
form and extent of contractual relationships, or
953
the life cycle of the organizations products and services.
954
955
956
The process used to develop the understanding of an organizations context should result in knowledge
that can then be used by the organization to guide its efforts to plan, implement and operate its
environmental management system. This process and its output may be documented if desired.
957
A.4.2 Understanding the needs and expectations of interested parties
958
959
960
961
962
963
Interested parties that are relevant to the environmental management system include legal and regulatory
authorities (local, regional, state/provincial, national or international), as well as other interested parties,
such as parent organizations, customers, trade and professional associations, community groups, nongovernmental organizations, suppliers, neighbours, employees and others working on behalf of the
organization. If a party perceives themselves to be affected, they must somehow make the organization
aware of this.
964
965
966
967
968
969
There are different types of requirements related to the needs and expectations expressed by relevant
interested parties. Interested party requirements are not necessarily requirements of the organization.
Some interested party requirements reflect needs and expectations that are mandatory because they have
been incorporated into laws, regulations, permits and licenses by governmental or even court action.
Others the organization may decide to voluntarily adopt, i.e., subscribe to, and address within their
environmental management system (see A.6.1.3).
970
971
972
973
974
975
Requirements from interested parties that are not legal requirements become obligatory only when they are
specified and the organization decides that it will adopt them. At the stage before subscription, they are
simply needs and expectations that reflect the requirements of the interested party, but are not
requirements of the organization. Once the organization adopts them, then they become organizational
requirements, i.e. compliance obligations, and are taken into account when planning for the environmental
management system (see 6.1.3).
976
A.4.3 Scope of the environmental management system
977
978
979
980
981
982
The scope of the environmental management system is intended to clarify the spatial and organizational
boundaries to which the environmental management system will apply, especially if the organization is a
part of a larger organization at a given location. An organization has the freedom and flexibility to define its
boundaries. It may choose to implement this International Standard with respect to the entire organization,
or to specific operating units of the organization, as long as the specific operating unit top management has
authority for establishing an environmental management system.
983
984
985
986
987
In setting the scope, the credibility of the environmental management system will depend upon the choice
of organizational boundaries. Scoping is not to be used as a means to exclude activities, products,
services, or facilities that have, or can have significant environmental aspects. It should be factual and
representative of the organizations operations and environmental management system boundaries in order
not to mislead interested parties.
988
989
990
991
Once the scope is defined, all activities, products and services of the organization within that scope need to
be included in the environmental management system. The organization considers the degree of control or
influence that it can exert over activities, products and services using a life cycle perspective, including the
degree of control or influence it has over outsourced processes carried out by suppliers and contractors.
22
ISO/CD 14001
992
A.4.4 Environmental management system
993
994
995
996
997
This International Standard outlines the requirements of a robust, credible and reliable environmental
management system. The organization retains authority, accountability, and autonomy, to decide how it will
fulfil the environmental management system requirements, including the level of detail and extent to which
it will integrate environmental management system requirements into its various business functions, such
as design & development, procurement, human resources, sales and marketing, etc.
998
999
1000
The extent to which procedures are needed for an environmental management system can vary from one
organization to the next, depending on the environmental importance and the degree to which the results
are dependent on the specific way the process is conducted.
1001
There are multiple methods to make sure a process is effective in achieving the desired results
1002
1003
a process can be designed in such a way that the output is guaranteed (e.g. "poka yoke", mistake
proofing),
1004
competent personnel can assure desired results,
1005
the process can be performed in a specified way (i.e. procedure),
1006
the process can be monitored/measured to check the results,
1007
a technical specification can be used to define performance-based requirements, or
1008
others, as appropriate.
1009
1010
1011
If this International Standard is implemented for a specific operating unit, policies and procedures
developed by other parts of the organization can be used to meet the requirements of this International
Standard, provided that they are applicable to the specific operating unit that will be subject to them.
1012
Leadership
1013
A.5.1 Leadership and commitment
1014
1015
1016
Commitment, responsiveness, active support and feedback from the organizations top management are
critical for the success of the environmental management system and therefore they have specific
responsibilities for which they need to be personally involved with or direct.
1017
1018
1019
1020
Top management is expected to create a culture and environment that encourages people with leadership
roles (not necessarily formal management positions, e.g. team leaders) to work actively towards
implementing the requirements of the environmental management system and seeking to achieve the
1021
A.5.2 Environmental policy
1022
1023
1024
1025
1026
1027
The environmental policy is the driver for implementing and improving an organizations environmental
management system so that it can maintain and potentially improve its environmental performance
consistent with the expectations of top management.it should therefore reflect the commitment of top
management to comply with compliance obligations as determined in 6.1.3, as well as to the prevention of
pollution, protection of the environment and continual improvement. The environmental policy forms the
basis upon which the organization sets its objectives.
1028
1029
By reading this International Standard as a whole and understanding the relationship between the relevant
requirements, an organization demonstrates its commitment to meet its compliance obligations by
23
ISO/CD 14001
1030
1031
defining an environmental policy that includes a commitment to satisfy its compliance obligations
(see 5.2),
1032
1033
assigning roles with defined responsibilities and authorities for compliance related requirements
(see 5.3),
1034
identifying compliance obligations (see 4.4 and 6.1.3),
1035
establishing environmental objectives that take into account its compliance obligations (see 6.2.1),
1036
planning action to achieve any objectives that relate to its compliance obligations (see 6.2.2),
1037
1038
being properly supported with adequate resources to meet the compliance-related requirements
(see 7.1),
1039
1040
1041
1042
1043
making persons working for or on behalf of the organization aware of the compliance-related
processes developed pursuant to 8.1 that are related to their work (see 7.3), and ensuring persons
whose work can affect environmental performance are competent. To the extent that such work
also involves compliance obligations, the competency of such persons must include the capability
to meet those requirements,
1044
1045
maintaining sufficient documented information to demonstrate achievement of compliance-related

requirements (see 7.5),
1046
1047
knowing its compliance status by monitoring, measuring, analysing (see 9.1) and periodically
evaluating compliance (see 9.1.2),
1048
1049
periodically conducting internal audits, which necessarily include those elements of the
environmental management system that are compliance-related (see 9.2),
1050
1051
dealing with compliance-related nonconformities and taking corrective action (see 10.1) and
correcting detected non-compliance with compliance obligations (see 9.1.2),
1052
1053
top management reviewing the adequacy, suitability and effectiveness of the environmental
management system (see 9.3).
1054
1055
1056
Taken together, these requirements mean that an organization implementing this International Standard
needs to systematically identify and manage its compliance obligations in line with the commitment by
including the components listed above within its environmental management system.
1057
A.5.3 Organizational roles, responsibilities and authorities
1058
1059
1060
1061
Person(s) assigned these roles should be competent and have sufficient access to top management
authority and resources in order to keep management informed of the status and performance of the
environmental management system and whether the environmental management system conforms with the
requirements of this International Standard.
1062
1063
Such roles can be assigned to an individual, sometimes referred to as the management representative,
shared by several individuals, or assigned to a member of the management team.
24
ISO/CD 14001
1064
Planning
1065
A.6.1 Actions to address risks and opportunities
1066
A.6.1.1 General [Draft text not reviewed by WG5]
1067
1068
The context of the organization (see 4.1 and 4.2) provides an overarching framework for evaluating the
risks and opportunities in 6.1. It provides a basis for:
1069
1070
identifying environmental aspects and for establishing criteria for determining those that may be
significant,
1071
1072
identifying compliance obligations and understanding how they apply to the organizations
activities, products and services, and
1073
establishing criteria for evaluating organizational risks and opportunities.
1074
A.6.1.2 Identification of environmental aspects [Draft text not reviewed by WG5]
1075
1076
1077
1078
1079
Changes to the environment, either adverse or beneficial, that result wholly or partially from environmental
aspects are called environmental impacts. The environmental impact may occur at local, regional and
global scales, while they may also be direct, indirect or cumulative by nature. Sub-clause 6.1.2 sets out the
process(es) an organization should use to identify its environmental aspects. The relationship between
environmental aspects and environmental impacts is one of cause and effect.
1080
1081
An organization should identify the environmental aspects of the activities, products and services that are
within the scope of its environmental management system. This should
1082
1083
consider a life cycle perspective, including inputs and outputs of its processes (both intended and
unintended), and
1084
take into account
1085
1086
management of change, including planned or new developments, or new or modified

activities, products and services,
1087
normal and abnormal operating conditions,
1088
shut-down and start-up conditions, and
1089
reasonably foreseeable emergency situations.
1090
1091
1092
Organizations do not have to consider each product, component or raw material individually, and may
select categories of activities, products and services to identify and evaluate their environmental aspects,
when they have similar environmental impacts.
1093
1094
There is no single approach for identifying environmental aspects. Factors often considered in determining
whether an element of an activity, product or service can interact with the environment include
1095
a)
emissions to air,
1096
b)
releases to water,
1097
c)
releases to land,
1098
d)
use of raw materials and natural resources,
25
ISO/CD 14001
1099
e)
use of energy,
1100
f)
energy emitted, e.g. heat, radiation, vibration (noise) and light, and
1101
g)
generation of waste and/or by-products.
1102
1103
1104
1105
1106
1107
1108
In addition to the environmental aspects an organization can control directly, an organization needs to
determine whether there are environmental aspects that it can influence. These can be related to goods
and services used by the organization which are provided by others, as well as products and services that it
provides to others outside the organization, including those associated with outsourced processes.
However, in all circumstances it is the organization that determines the degree of control it is able to
exercise, the environmental aspects it can influence, and the extent to which it chooses to exercise any
such influence.
1109
Consideration should be given to environmental aspects related to the organization's activities, such as
1110
product, process and facility design and development,
1111
manufacturing processes,
1112
product packaging and transportation, and
1113
operation and maintenance of facilities, organizational assets and infrastructure.
1114
1115
Consideration should also be given to environmental aspects related to products, by-products and services,
such as
1116
environmental performance and practices of contractors and suppliers,
1117
waste generation, management and disposal,
1118
use of raw materials and natural resources, and
1119
distribution, use and end-of-life of products.
1120
1121
1122
1123
With respect to products and services the organization provides and renders to others, organizations may
have limited influence on the use and final disposal of their products once they leave their control.
Organizations should consider, where practicable, a life cycle perspective in identifying the environmental
aspects of its products and services.
1124
A.6.1.3 Determination of compliance obligations
1125
1126
1127
1128
The organization needs to identify the compliance obligations that are applicable to its environmental
aspects and determine how they apply to the organization. Compliance obligations include legal obligations
that the organization is required to comply with, and those obligations which the organization has discretion
over whether or not to adopt.
1129
Legal obligations are mandatory requirements issued by governmental entities. These may include:
1130
a)
national and international legal requirements, including treaties, conventions and protocols,
1131
b)
state/provincial/departmental legal requirements,
1132
c)
local governmental legal requirements,
1133
d)
the provisions of permits and/or licenses issued by governmental entities,
26
ISO/CD 14001
1134
e)
orders issued by regulatory agencies, and
1135
f)
judgments of courts or administrative tribunals.
1136
1137
Compliance obligations also include other interested party requirements related to its environmental
aspects, to which the organization chooses to adopt. These may include, if applicable
1138
voluntary collaborative governance arrangements,
1139
agreements with customers,
1140
non-regulatory guidelines,
1141
voluntary principles or codes of practice,
1142
voluntary environmental labelling or product stewardship commitments,
1143
requirements of trade associations,
1144
agreements with community groups or non-governmental organizations,
1145
public commitments of the organization or its parent organization,
1146
corporate/company requirements, or
1147
contractual requirements.
1148
1149
The process of understanding the needs and expectations of interested parties (4.2) will be important in
determining which of those obligations the organization has discretion over, and therefore will be adopted.
1150
1151
1152
The primary difference between a legal requirement and a voluntary obligation is that the organization
chooses to adhere to its voluntary obligations. However, in many cases, once that choice is made,
adherence is mandatory, particularly where legally binding agreements are made.
1153
A.6.1.4 Determining significant environmental aspects and organizational risks and opportunities
1154
1155
Explanatory information for determining significant environmental aspects and organizational risks and
opportunities has yet to be developed.
1156
A.6.1.5 Planning to take action [Draft text not reviewed by WG5]
1157
The organization is expected to plan
1158
1159
the actions it intends to take to address its significant environmental aspects and organizational
1160
how these actions will be integrated into its environmental management system processes, and
1161
how the effectiveness of the actions will be evaluated.
1162
1163
1164
The planning may address the actions through a single or combination of pathways within the
environmental management system, including, e.g. setting objectives, operational planning and control,
value chain control, emergency preparedness or monitoring and measurement.
27
ISO/CD 14001
1165
1166
1167
Some actions may be addressed through other business processes such as safety and health and/or
business continuity management systems or other processes related to risk, financial or human resource
management.
1168
1169
The effectiveness of the actions taken may be measured through the environmental management system
or through other management processes.
1170
A.6.2 Environmental objectives and planning to achieve them
1171
A.6.2.1 Environmental objectives
1172
1173
1174
Environmental objectives may be set at the strategic level, i.e. at the highest levels of the organization by
top management and applicable to the whole organization, or at the operational level, i.e. established for
specific units or functions within the organization and compatible with the strategic objectives, or both.
1175
1176
Environmental objectives can include both short and long-term goals and should be updated, as
appropriate. The concept of targets is included within objectives.
1177
1178
1179
The objectives established should be specific and measurable, wherever practicable. By including the
caveat where practicable, it is acknowledged that there may be situations when it may not be feasible to
measure an objective.
1180
In setting its environmental objectives, the organization needs to take into account
1181
its significant environmental aspects, and
1182
1183
and may also consider
1184
1185
internal issues such as the organizations improvement priorities, resources, operations and
business requirements,
1186
1187
external issues such as environmental conditions, social and cultural circumstances, and
technological options, or
1188
relationships with and requirements of internal and external interested parties.
1189
1190
1191
While the requirement to take into account significant environmental aspects does not mean that an
objective has to be established for each significant aspect, it should be clear that significant aspects have a
high priority when developing objectives.
1192
1193
Consistent with the environmental policy means that the environmental objectives need to be broadly
aligned and harmonised with the environmental policy commitments made by top management.
1194
1195
1196
1197
Indicators are selected to measure the achievement of objectives. The organization should consider
indicators related to the elements of its environmental management system. In addition the organization
can consider indicators that provide information about the condition of the environment that may be
impacted by the organization (environmental condition indicators, or ECIs).
1198
More guidance on setting environmental indicators can be found in ISO 14031.
1199
A.6.2.2 Planning to achieve objectives
1200
1201
1202
Planning can help ensure that progress in achieving the established environmental objectives is monitored,
and the status updated and reported as appropriate. Organizations may decide to incorporate
environmental objectives into broader business improvement programmes.
28
ISO/CD 14001
1203
1204
1205
Planning should include information concerning what will be done to achieve the organization's
environmental objectives, including timeframes for when tasks will be completed, necessary resources,
responsibilities for achieving results and how the results will be evaluated and progress will be monitored.
1206
1207
Planning to achieve objectives may be subdivided to address specific elements of the organization's
activities, products and services.
1208
Support
1209
A.7.1 Resources
1210
Resources include human resources, natural resources, infrastructure, technology, and financial resources.
1211
1212
Human resources include specialized skills and knowledge. Infrastructure includes the organizations
buildings, containment systems, pumps, etc.
1213
A.7.2 Competence
1214
This sub-clause applies to any person:
1215
whose work has the potential to cause a significant environmental impact,
1216
1217
1218
those whom are assigned responsibilities for the environmental management system, including
those performing internal audits and those who contribute to the achievement of an environmental
objective,
1219
those that otherwise affect environmental performance.
1220
A.7.3 Awareness
1221
1222
1223
1224
1225
1226
Ensuring that persons doing work under the organizations control are actively involved is critical to the
success of the environmental management system. In particular, the participation of the organizations
employees and the level of information provided to them are key factors to the achievement of continual
improvement of both the environmental management system and environmental performance. Participation
by personnel can be expected to positively influence the behaviours that are required to achieve this
continual improvement.
1227
1228
1229
1230
Awareness of the environmental policy commitments should not be taken to mean that the commitments
need to be memorized or that persons doing work under the organizations control have a copy of the
actual, documented environmental policy; rather, they should be aware of its existence, the purpose and
their role in achieving the commitments.
1231
A.7.4 Communication
1232
A.7.4.1 General
1233
1234
1235
1236
1237
Communication allows the organization to provide and obtain information relevant to its environmental
management system, including its significant environmental aspects, environmental performance and
compliance obligations. For interested parties, transparent, appropriate, credible, responsive, and clear
communication builds trust in the organization. For the organization it allows the environmental
management system to reflect the relevant needs and expectations of interested parties.
1238
1239
1240
The organization shall determine the extent of its communication. Internal communication is a requirement
of this standard. The extent of external communication (i.e. communication of environmental performance
of organization and of its products) is the responsibility of the organization to decide.
29
ISO/CD 14001
1241
1242
The organization may plan who, how and within what timescales it will respond to relevant internal
communication.
1243
In determining how it will communicate, the organization should consider
1244
methods, including verbal or written,
1245
tools including internet, letter, video or report.
1246
A.7.4.2 Internal communication
1247
1248
1249
1250
When planning, the internal organizational structure should be considered to ensure the most appropriate
level and functions are communicated with. Communication with each person doing work under its control
may not be needed but a single approach to the whole organization may be adequate to meet the
objectives of its communication.
1251
1252
The organization should ensure that it adequately responds to relevant internal communication including
questions and enquiries related to environmental performance.
1253
1254
The organization determines the documented information that needs to be retained as evidence of its
internal communications.
1255
A.7.4.3 External communication and reporting
1256
External communication should meet the following criteria
1257
transparent so the organization is open to the way it derived what it has reported on
1258
1259
appropriate so that information meets relevant interested parties needs, enabling them to
participate
1260
truthful and not misleading those who rely on information reported,
1261
factual, accurate and reliable ,ensured by robust systems and procedures (see 9.1)
1262
complete in its own context and not exclude relevant information, and
1263
clear or understandable to interested parties to minimize ambiguity
1264
1265
The organization should ensure that it adequately responds to relevant external communication including
questions and enquiries related to environmental performance.
1266
1267
External communication should demonstrate the organizations knowledge and understanding of its
compliance status.
1268
A.7.5 Documented information
1269
1270
1271
1272
The intent of 7.5 is to ensure that organizations create and maintain documented information in a manner
sufficient to implement the environmental management system. However, the primary focus of
organizations should be on the effective implementation of the environmental management system and on
environmental performance, not on a complex documented information control system.
1273
1274
1275
1276
The level of detail and complexity, the extent of documentation and the resources devoted to an
environmental management system will depend on a number of factors, such as the organizations purpose
and size, its relevant interested parties, the scope of the system, and the nature of its activities, products
and services including their significant environmental aspects and potential impacts.
30
ISO/CD 14001
1277
1278
1279
1280
1281
1282
Documented information originally created for purposes other than the environmental management system,
may be used. The description of the main elements of the environmental management system should be
sufficient to understand how the elements work together, and should provide direction on where to obtain
more detailed information, if any. The documented information for the environmental management system
may be integrated with other information management systems implemented by the organization. It does
not have to be in the form of a manual.
1283
1284
1285
This edition of this International Standard uses the term documented information (see 3.17) to refer to
information that the organization needs to control and maintain in any medium of their choice. The term
encompasses the nouns documentation, document and record used in previous editions.
1286
1287
Documented information that an organization is required by this International Standard to control and
maintain includes
1288
scope of the environmental management system,
1289
environmental policy,
1290
significant environmental aspects and associated environmental impacts,
1291
compliance obligations,
1292
1293
(a) procedure(s) for establishing criteria and for determining significant aspects and organizational
1294
1295
criteria used to determine its significant environmental aspects and organizational risks and
opportunities, and
1296
significant environmental aspects and organizational risks and opportunities.
1297
environmental objectives,
1298
planning to achieve the environmental objectives,
1299
evidence of competence,
1300
evidence of internal communications, as appropriate,
1301
evidence of external communications,
1302
description of the main elements of the environmental management system and their interaction,
1303
1304
information determined by the organization as being necessary for the effectiveness of the
environmental management system,
1305
1306
information of external origin necessary for the planning and operation of the environmental
management system,
1307
1308
information to the extent necessary to have confidence that the processes have been carried out
as planned,
1309
emergency preparedness and response plan(s),
1310
evidence of emergency preparedness and response plan testing,
1311
evidence of monitoring, measurement, analysis and evaluation results,
31
ISO/CD 14001
1312
evidence of compliance evaluation results,
1313
evidence of internal audit programme implementation,
1314
evidence of internal audit results,
1315
evidence of management review results,
1316
evidence of the nature of nonconformities and actions taken, and
1317
evidence of corrective action results.
1318
A.8 Operation
1319
A.8.1 Operational planning and control
1320
1321
This part of the environmental management system provides direction on how to take the system
requirements into day-to-day operations. The nature of operations will vary from one sector to another.
1322
1323
The types and degree of operational control depend on the nature of the operations, the significant
environmental aspects, organizational risks and opportunities, and compliance obligations.
1324
1325
It is up to the organization to establish the level of documented information that is needed for operational
planning and control (see 7.5.1, Note).
1326
An outsourced process is one which:
1327
the function or process is integral to the organizations functioning,
1328
the function or process is needed for the management system to achieve its intended outcome,
1329
liability for the function or process conforming to requirements is retained by the organization, and
1330
1331
the organization and the external provider have an integral relationship e.g. one where the process
is perceived by interested parties as being carried out by the organization.
1332
1333
1334
Work that is under the organizations control is work that takes place within the scope of the environmental
management system. This may be defined by, for example, a geographic location (a building, a city, etc.) or
an organizational boundary.
1335
1336
1337
1338
1339
1340
In the case of work performed via outsourced processes (i.e. where an external organization performs part
of an organizations function or process), the organization may have partial or no control over the work
performed by the external organization, therefore, this sub-clause is applicable to the extent the
organization has the capability to exert control on the outsourced process. However, if the external
organization is performing the work within the geographic location of the organization, then the organization
may be able to exert extensive or even full control on the outsourced process.
1341
1342
Organizations seldom fully control the activities of external organizations, in lieu of full control, organizations
can exert some degree of partial control or influence.
1343
1344
In either case, the organization decides the type and extent of control or influence, based upon such factors
as
1345
its knowledge, competence and resources,
1346
1347
the potential impact of the outsourced process on the organization's capability to provide product
that conforms to its compliance obligations,
32
ISO/CD 14001
1348
the degree to which the control for the process is shared, or
1349
1350
the capability of achieving the necessary control through the application of its general procurement
process.
1351
1352
In the particular case of small and medium size organizations, the level of influence they can exert may be
limited by their relative size, compared with the organization to which a process is outsourced.
1353
A.8.2 Value chain control
1354
1355
1356
1357
1358
1359
An organizations determination of its significant environmental aspects and its risks and opportunities
should take into account a life cycle perspective during each stage of product development. This includes
those created when its products and services are used or disposed of, and those arising from any
outsourced processes or from the procurement of goods and services within its value chain. The
organization may determine these significant environmental aspects and the organizational risks and
opportunities directly or seek this information from the supplier of the goods and services.
1360
1361
The nature of the organizations control over the purchase of goods and services or outsourced processes
will depend on
1362
its importance,
1363
the risk of deviation from the environmental policy and objectives,
1364
opportunities available,
1365
the organizations control and influence,
1366
the interaction with other environmental management system processes,
1367
1368
the competence of the supplier to meet the requirements of the organizations environmental
management system, and
1369
1370
the technical competence of the organization to define appropriate controls or assess the
adequacy of the outsource process controls.
1371
1372
1373
1374
When evaluating suppliers of goods and services the organization procures, the organization may base its
decisions partly upon the environmental aspects, environmental impacts and the organizational risks and
opportunities associated with the manufacturing of these goods or the provision of these services, as well
as the organizations compliance obligations.
1375
1376
1377
There is a requirement to consider a life cycle perspective, however, this is not a requirement to perform a
life cycle assessment of a product or service a simple consideration of the life cycle stages for which the
organization considers itself to be sufficiently knowledgeable is adequate.
1378
A.8.3 Emergency preparedness and response
1379
1380
When identifying potential emergency situations special attention must be paid to start-up and shutdown
conditions and reasonably foreseeable emergency conditions that can result from this.
1381
1382
1383
Issues may include different types of situations small scale spillages of chemicals or failure of emission
abatement equipment and serious environmental situations endangering humans and environment to a
broad extent. The organization should be prepared for each type of (realistic) possible emergency situation.
1384
The organization should include consideration of
1385
a)
risks including natural disasters
33
ISO/CD 14001
1386
1387
b)
the nature of on-site hazards, e.g. flammable liquids, storage tanks and compressed gases, and
measures to be taken in the event of spillages or accidental releases,
1388
c)
the most likely type and scale of an emergency situation or accident,
1389
d)
the most appropriate method(s) for responding to an accident or emergency situation,
1390
e)
internal and external communication plans,
1391
f)
the action(s) required to minimize environmental damage,
1392
g)
mitigation and response action(s) to be taken for different types of accident or emergency situation,
1393
1394
h)
the need for a process(es) for post-accident evaluation to establish and implement corrective and
preventive actions,
1395
i)
periodic testing of emergency response procedure(s),
1396
j)
training of emergency response personnel,
1397
1398
k)
a list of key personnel and aid agencies, including contact details (e.g. fire department, spillage cleanup services),
1399
l)
evacuation routes and assembly points,
1400
1401
m) the potential for an emergency situation(s) or accident(s) at a nearby facility (e.g. plant, road, railway
line), and
1402
n)
1403
1404
The organization should provide necessary training for emergency preparedness and response, including, if
necessary, for any new measures.
1405
A.9 Performance evaluation
1406
A.9.1 Monitoring, measurement, analysis and evaluation
1407
A.9.1.1 General
1408
1409
1410
1411
1412
In order to satisfy the requirements for monitoring and measurement, the organization may develop a plan
to specify what it will monitor and measure, including how and when it will be done. In addition to providing
information on environmental performance as input to top management for review of the effectiveness of
the management system, monitoring and measurement is important in providing the organization with
information concerning its compliance status.
1413
1414
1415
1416
The organization should determine the frequency of monitoring and measurement, to ensure that it has
sufficient information for analysing and evaluating its environmental performance, including its compliance
status. It should also determine how often it evaluates the information, how this is done and how it makes
use of the results.
1417
In order to ensure that its commitments and objectives are achieved, the organization should ensure that
the possibility of mutual assistance from neighbouring organizations.
1418
the results of monitoring and measurement are reliable, reproducible and traceable,
1419
1420
the way in which data resulting from monitoring and measurement are aggregated before any
analysis and evaluation takes place, is clearly defined and reproducible,
34
ISO/CD 14001
1421
1422
the findings of analysis and evaluation of environmental performance are reported internally to
those with responsibility and authority to initiate appropriate action, and
1423
the information obtained is communicated externally in accordance with compliance obligations.
1424
1425
The organization should also determine how it may evaluate the environmental performance of its products
or organizations in its value chain.
1426
1427
1428
1429
In order to ensure that results are reliable, reproducible and traceable, the organization can implement a
quality assurance process which addresses sampling methods and sample security, integrity of equipment,
the accreditation and reliability of laboratories, the analysis of resultant data and the competence of
persons involved in the process.
1430
A.9.1.2 Evaluation of compliance
1431
1432
1433
The frequency of periodic evaluations of compliance may vary depending on the importance of the
requirement, the probability of variations in performance (e.g. due to varying operation conditions) and the
organizations past performance, but all compliance obligations need to be evaluated.
1434
1435
An organization can use a variety of methods to maintain its knowledge and understanding of its
compliance status, including
1436
review of documented information, i.e., procedures, documents, records,
1437
facility tour or inspections,
1438
direct observation or interviews,
1439
project or work reviews,
1440
review of sample analysis or test results, and comparison to regulatory limits,
1441
verification sampling/testing,
1442
compliance audits, including those conducted by first, second or third parties.
1443
1444
In addition an organization may choose to make contact with governmental authorities to get e.g.
information on its legal obligations and means to demonstrate compliance.
1445
1446
An organization may wish to combine its evaluation of compliance to voluntary obligations with the
evaluation of legal compliance.
1447
1448
1449
1450
1451
1452
In the event that the results indicate a failure to meet a legal requirement, the organization should
determine and implement the actions necessary to achieve compliance. This may require communication
with the regulatory agency and agreement on a course of action to re-establish compliance with legal
requirements. Where such an agreement is in place, and is demonstrated as being effectively implemented,
the environmental management system is considered to be in conformity. Similarly, it is necessary to take
action to address a failure to meet a voluntary obligation.
1453
1454
The organization should ensure that persons responsible for evaluating compliance and determining the
need for follow-up action are competent. This may involve engaging external technical support.
1455
The results of the periodic evaluations are required to be documented.
1456
The outputs and outcomes of this evaluation should be considered in the management review (see 9.3).
35
ISO/CD 14001
1457
A.9.2 Internal audit
1458
1459
The management and conduct of internal audits should abide by the principles of integrity, fair presentation,
due professional care, confidentiality, independence and an evidence-based approach.
1460
1461
Auditors should be independent of the activity being audited, wherever practicable, and should in all cases
act in a manner that is free from bias and conflict of interest.
1462
1463
1464
1465
Individuals who are involved in managing the internal audit programme, and planning or conducting internal
audits should demonstrate competence. This should be evaluated through a process that considers
personal behaviour and the ability to apply the knowledge and skills gained through education, work
experience, auditor training and audit experience.
1466
1467
When establishing an internal audit programme, including audit objectives, scope and frequency, an
organization should take into account
1468
the size and nature of the organization being audited,
1469
the complexity and maturity of the management system,
1470
the organizations environmental aspects and its risks and opportunities,
1471
management priorities and other business considerations,
1472
compliance obligations,
1473
management system requirements,
1474
1475
1476
the results of monitoring and measurement, previous emergency situations, accidents, nonconformities, and the results of previous audits (whether internal or undertaken by external
parties).
1477
1478
1479
1480
Audit findings and the audit conclusion may be described collectively as the audit result. Audit findings
consist of the results of the evaluation of the collected audit evidence against audit criteria and the audit
conclusion is the outcome of an audit after consideration of the audit objectives and all audit findings, as
defined in ISO 19011.
1481
1482
1483
The results of the internal audit programme should address the performance of the environmental
management system with respect to the achievement of environmental objectives and fulfilment of
compliance obligations.
1484
1485
Guidance on establishing an internal audit programme, performing management system audits and
evaluating the competence of audit personnel is given in ISO 19011.
1486
A.9.3 Management review
1487
1488
It is important that top management evaluates its own performance against the requirements for leadership
commitments set out in 5.1.
1489
1490
When considering relevant changes to the environmental management system, management should also
consider whether the organization has effective processes for managing change.
1491
1492
The conclusions and decisions made during the management review should be consistent with the strategic
direction of the organization and resources available.
1493
1494
Adequacy of the environmental management system refers to it meeting the requirements of this
International Standard and being implemented appropriately. Suitability refers to how it fits the
36
ISO/CD 14001
1495
1496
organization, its operations, culture, and business systems. Effectiveness refers to whether it is achieving
the desired results.
1497
A.10
1498
A.10.1 Nonconformity and corrective action
1499
1500
The retained documented information on the results of any corrective action includes information on the
review of the effectiveness of these actions.
1501
1502
1503
The previous edition of this International Standard made reference to preventive action as action taken to
prevent the occurrence of an identified potential non conformity. In this edition, the concept of preventive
action is embedded in different clauses of this International Standard including
Improvement
1504
1505
1506
in 6.1, the risks analysis and assessment is, in itself, a way of identifying the need for preventive
actions, and the actions planned to address those identified risks can be seen as the actions taken
to prevent the occurrence of undesired environmental impacts,
1507
1508
in 8.3, the identification of potential emergency situations and associated responses can be seen
as actions taken to prevent them from occurring,
1509
1510
in 9.1, the analysis of the results of monitoring and measurement can provide information on
trends that could trigger the need for action to prevent the occurrence of a nonconformity, and
1511
1512
in 10.1, the evaluation of actions to be taken when a nonconformity occurs, include the need to
determine if similar non conformities could occur elsewhere.
1513
A.10.2 Continual improvement
1514
1515
1516
1517
1518
System improvement involves making changes to the design and implementation of the management
system in order to improve the organizations ability to achieve conformity with the requirements of this
International Standard and meet its environmental objectives and environmental policy commitments.
Although there may be value in improving the system elements alone, the intended outcome of planned
actions and other system changes is an improvement in the environmental performance of the organization.
1519
1520
1521
1522
1523
1524
The rate, extent and timescale of actions that support continual improvement are determined by the
organization in light of its context, economic factors, and other circumstances. Environmental performance
improvement involves taking action related to the management of the organizations environmental aspects
towards reducing adverse impacts or increasing beneficial impacts. Environmental performance
improvements means improvement (i.e. reduction of negative impacts or enhancement of positive impacts)
in any of the environmental impacts associated with the organizations activities, products or services.
1525
1526
1527
1528
Several elements of the environmental management system, as described in this International Standard,
are designed to assist the organization in achieving continual improvement of its environmental
performance. A coordinated implementation of these elements may help to develop a robust way to achieve
this improvement, including
1529
analysing the external and internal context (see 4.1),
1530
determining the needs and expectations of interested parties (see 4.2),
1531
taking preventive actions to address risks and opportunities (see 6.1),
1532
taking into account complaints and opinions of the interested parties (see 7.4),
1533
establishing environmental objectives (see 6.2),
37
ISO/CD 14001
1534
1535
implementing operational controls (see 8.1), taking into consideration new technologies, methods or
information available,
1536
monitoring, measuring analyzing and evaluating performance (see 9.1),
1537
conducting internal audits (see 9.2),
1538
conducting management reviews (see 9.3), and
1539
reacting to (a) nonconformity(ies) and implementing (a) corrective action(s) (see 10.1).
38
ISO/CD 14001
Annex B
(informative)
1540
1541
1542
1543
Correspondence between ISO 14001:201X and ISO 14001:2004
1544
Table B.1 shows the correspondence between ISO 14001:201X and ISO 14001:2004.
1545
Table B.2 shows the correspondence between ISO 14001:2004 and ISO 14001:201X.
1546
Table B.1 Correspondence between ISO 14001:201X and ISO 14001:2004

ISO 14001:201X
Context of the organization (title only)
Understanding the organization and its
context
Understanding
the
needs
and
expectations of interested parties
Determining
the
scope
of
the
environmental management system
Environmental management system
Leadership (title only)
Leadership and commitment
ISO 14001:2004
4
4.1
4.2
4.3
4.1
General requirements
4.4
5
5.1
4.1
4.4.1
Environmental policy
Organizational roles, responsibilities and
authorities
Planning (title only)
Actions
to
address
risks
and
opportunities (title only)
General
Determining significant environmental
aspects and organizational risks and
opportunities
5.2
5.3
4.2
4.4.1
6
6.1
4.3
Resources,
roles,
authority
Resources,
roles,
authority
6.1.1
6.1.2
6.1.3
6.1.4
4.3.1
4.3.2
4.3.1
Environmental aspects
Legal and other requirements
6.1.5
4.5.3
Environmental objectives and planning to

achieve them (title only)
Support (title only)
Resources
6.2
4.3.3
Nonconformity, corrective action

preventive action
Objectives, targets and programme(s)
6.2.1
6.2.2
7
7.1
4.3.3
4.3.3
4.4
4.4.1
Competence
Awareness
Communication (title only)
General
Documented information (title only)
General
7.2
7.3
7.4
7.4.1
7.4.2
7.4.3
7.5
7.5.1
4.4.2
4.4.2
4.4.3
4.4.3
4.4.3
4.4.3
4.4.4
4.4.4
responsibility
and
responsibility
and
and

Implementation and operation (title only)
Resources,
roles,
responsibility
and
authority
Competence, training and awareness
Communication
Communication
Communication
Communication
Documentation
Documentation
1547
39
ISO/CD 14001
1548
Table B.1 (continued)

ISO 14001:201X
4.4.5
4.5.4
4.4.5
4.5.4
4.4
4.4.6
4.4.6
4.4.7
4.5
4.5.1
ISO 14001:2004
Control of documentation
Control of records
Control of records
Operational control
Operational control
Emergency preparedness and response
Checking (title only)
Monitoring and measurement
7.5.2
7.5.3
Operation (title only)

Operational planning and control
Value chain control
Performance evaluation (title only)
Monitoring, measurement, analysis and
evaluation (title only)
General
Internal audit
Management review
Improvement (title only)
Nonconformity and corrective action
8
8.1
8.2
8.3
9
9.1
9.1.1
9.1.2
9.2
9.3
10
10.1
4.5.1
4.5.2
4.5.5
4.6

Internal audit
Management review
4.5.3
10.2
4.1
Nonconformity, corrective
preventive action
Continual improvement
action
and
1549
1550
Table B.2 Correspondence between ISO 14001:2004 and ISO 14001:200X

ISO 14001:2004
ISO 14001:201X
4
4.1
4.2
Environmental
management
requirements (title only)
system
4
4.1
4.3
4.4
10.2
5.2
6
6.1
4.2
4.3
4.3.1
6.1.1
6.1.2
6.1.4
Legal and other requirements

4.3.2
4.3.3
6.1.3
6.2
4.4
6.2.1
6.2.2
7
8
5
40
Context of the organization (title only)

Understanding the organization and its
context
Understanding the needs and expectations
of interested parties
Determining the scope of the environmental

management system
Environmental management system
Continual improvement
Actions to address risks and opportunities
(title only)
General
Determining
significant
environmental
aspects and organizational risks and
opportunities
Environmental objectives and planning to
achieve them (title only)
Support (title only)
Operation (title only)
Leadership (title only)
ISO/CD 14001
1551
Table B.2 (continued)

Resources,
authority
ISO 14001:2004
roles, responsibility
and
4.4.1
4.4.2
Communication
4.4.3
7.1
5.3
5.1
7.2
7.3
7.4
ISO 14001:201X
Resources
Organizational roles, responsibilities and
authorities
Leadership and commitment
Competence
Awareness
Communication (title only)
Documentation
4.4.4
4.4.5
Operational control
4.4.6

Checking (title only)
4.4.7
4.5
4.5.1
7.4.1
7.4.2
7.4.3
7.5
7.5.1
7.5.2
7.5.3
8.1
8.2
8.3
9
9.1
Nonconformity, corrective
preventive action
Control of records
Internal audit
Management review
4.5.2
4.5.3
9.1.1
9.1.2
10.1
General
Documented information (title only)
General
Operational planning and control
Value chain control
Performance evaluation (title only)
Monitoring, measurement, analysis and
evaluation (title only)
General
Nonconformity and corrective action
7.5.3
9.2
9.3
10

Internal audit
Management review
Improvement (title only)
action
and
4.5.4
4.5.5
4.6
1552
41
ISO/CD 14001
Annex C
(informative)
1553
1554
1555
1556
Relationship between this International Standard and the PDCA model
1557
1558
1559
1560
1561
1562
This International Standard contains requirements that an organization applies to enhance management
control over its interactions with the environment. Where an organization chooses to start its efforts to
improve using the PDCA cycle is determined by the organization. This International Standard does not
prescribe the sequence of activities that an organization follows to implement a robust, credible and reliable
environmental management system to achieve continual improvement. Table C.1 outlines the relationship
between the clauses of this edition of this International Standard and the PDCA model.
1563
Table C.1 Correspondence between ISO 14001:201X and PDCA model

ISO 14001:201X
4 Context of the organization
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the environmental management system
4.4 Environmental management system
5 Leadership
5.1 Leadership and commitment
5.2 Policy
5.3 Organizational roles, responsibilities and authorities
6 Planning
6.1 Actions to address risks and opportunities
6.1.1
General
6.1.2
6.1.3
6.1.4
Determining significant environmental aspects and
organizational risks and opportunities
6.1.5
6.2 Environmental objectives and planning to achieve them
6.2.1
6.2.2
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.4.1
General
7.4.2
7.4.3 External communication and reporting
7.5 Documented Information
7.5.1
7.5.2
7.5.3
8
PDCA
PLAN
DO
General
Operation
8.1 Operational planning and control
8.2 Value Chain planning and control
8.3 Emergency preparedness and response
DO
1564
42
ISO/CD 14001
1565
Table C.1 (continued)

ISO 14001:201X
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1
General
9.1.2
9.2 Internal Audit
9.3 Management review
10 Improvement
10.1 Nonconformity and corrective action
10.2 Continual improvement
PDCA
CHECK
ACT
43
ISO/CD 14001
Bibliography
1566
1567
ISO 14001:2004, Environmental management systems Requirements with guidance for use
1568
1569
ISO 14001 Cor. 1:2009, Environmental management systems Requirements with guidance for use,
Technical Corrigendum 1
1570
1571
ISO 14004, Environmental management systems General guidelines on principles, systems and support
techniques
1572
ISO 14031, Environmental management Environmental performance evaluation Guidelines
1573
ISO 14044, Environmental management Life cycle assessment Requirements and guidelines
1574
1575
ISO 14045, Environmental management Eco-efficiency assessment of product systems Principles,

requirements and guidelines
1576
ISO 19011, Guidelines for auditing management systems
1577
ISO 26000, Guidance on social responsibility
1578
ISO/IEC Guide 73, Risk management. Vocabulary. Guidelines for use in standards
1579
1580
ISO/IEC Directives, Part 1 and Consolidated ISO Supplement Procedures specific to ISO, 3rd edition,
Annex SL
44

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ISO 2013 All rights reserved

Environmental management systems Requirements with guidance for

Document type: International Standard

ISO copyright office

Violators may be prosecuted.

ISO 2013 All rights reserved

Normative references ............................................................................................................................ 1

Terms and definitions ........................................................................................................................... 1

Context of the organization .................................................................................................................. 7

Performance evaluation ...................................................................................................................... 16

ISO 2013 All rights reserved

Annex A (informative) Guidance on the use of this International Standard .............................................. 20

ISO 2013 All rights reserved

ISO 2013 All rights reserved

developing and implementing an environmental policy and objectives;

increasing awareness of its relationship with the environment;

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

preventing or reducing its adverse impacts on the environment;

communicating environmental information to relevant interested parties.

ISO 2013 All rights reserved

Figure 1 Environmental management system model for this International Standard

Do: implement the processes.

Act: take actions to continually improve.

ISO 2013 All rights reserved

comply with compliance obligations,

ISO 2013 All rights reserved

Environmental management systems Requirements with

preventing pollution and protecting the environment,

demonstrating their commitment to satisfy compliance obligations, and

delivering environmental performance improvement.

An organization can demonstrate conformity with this International Standard by

making a self-determination and self-declaration, or

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

seeking certification/registration of its environmental management system by an external

There are no normative references.

Terms and definitions

ISO 2013 All rights reserved

ISO 2013 All rights reserved

An objective can be strategic, tactical, or operational.

ISO 2013 All rights reserved

Documented information can refer to

An effect is a deviation from the expected positive or negative.

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

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

Processes can be documented or not.

Procedures can be documented or not.

Performance can relate either to quantitative or qualitative findings.

ISO 2013 All rights reserved

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

ISO 2013 All rights reserved

Value can be positive or negative.

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

The activity need not take place in all areas simultaneously.

ISO 2013 All rights reserved

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

4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of interested parties

The organization shall determine:

Context of the organization

the relevant requirements of these interested parties.

4.3 Determining the scope of the environmental management system