Draft Iso 14001

ISO 2013 All rights reserved

Document type: International Standard Document subtype: Document stage: (30) Committee Document language: E D:\Dokumente und Einstellungen\wue\Desktop\ISO 14001 CD MASTER v5.docx STD Version 2.5a

ISO/TC 207/SC 1 N 1067 Date: 2013-03-7

ISO/CD 14001.1

ISO/TC 207/SC 1/WG 5

Secretariat: BSI/DIN

Environmental management systems Requirements with guidance for use Systmes de management environnemental Exigences et lignes directrices pour son utilisation

Warning

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

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

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Copyright notice 1

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Contents Page 14

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

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

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Foreword 104

ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies 105 (ISO member bodies). The work of preparing International Standards is normally carried out through ISO 106 technical committees. Each member body interested in a subject for which a technical committee has been 107 established has the right to be represented on that committee. International organizations, governmental and 108 non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the 109 International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. 110

International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. 111

The main task of technical committees is to prepare International Standards. Draft International Standards 112 adopted by the technical committees are circulated to the member bodies for voting. Publication as an 113 International Standard requires approval by at least 75 % of the member bodies casting a vote. 114

Attention is drawn to the possibility that some of the elements of this document may be the subject of patent 115 rights. ISO shall not be held responsible for identifying any or all such patent rights. 116

ISO 14001 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee 117 SC 1, Environmental management systems. 118

This second/third/... edition cancels and replaces the first/second/... edition (), [clause(s) / subclause(s) / 119 table(s) / figure(s) / annex(es)] of which [has / have] been technically revised. 120

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Introduction 121

Organizations of all kinds have implemented environmental management systems to ensure compliance and 122 to achieve and demonstrate sound environmental performance by controlling the impacts of their activities, 123 products and services on the environment. They do so in the context of increasingly stringent legislation, 124 growing pressures on the environment from pollution, over-consumption of resources, degradation of eco-125 systems and biodiversity, and an increasing world population, compounded by greater expectations from 126 society for sustainable development, transparency and accountability. 127

International Standards covering environmental management are intended to provide organizations with 128 knowledge, tools and techniques to build success over the long term and create new opportunities for 129 development and growth by (i) leveraging the organizations ability to reduce its direct operational footprints; 130 (ii) influence the way its products and services are designed, manufactured, distributed, consumed and 131 disposed by using a life- cycle perspective to ensure that environmental burdens arent inadvertently shifted 132 elsewhere in the cycle; and (iii) communicating environmental information to relevant interested parties. These 133 tools can be aligned with an organizations priorities, strategy and decision-making by integrating them with 134 other business requirements and embedding environmental governance into its overall management system, 135 thereby achieving both environmental and economic goals. 136

This International Standard specifies requirements for an environmental management system that can enable 137 an organization to achieve environmental performance improvement by (i) developing and implementing a 138 policy, (ii) establishing environmental objectives and systematic processes which consider the context of the 139 organization and take into account applicable legal requirements and voluntary obligations, and information 140 about its significant environmental aspects, (iii) establishing operational controls, and (iv) evaluating 141 performance and taking actions, as necessary, to improve and demonstrate conformity to the requirements of 142 this International Standard. The overall aim of this International Standard is to support and enhance 143 environmental protection efforts in balance with socio-economic needs. 144

The success of the system depends on commitment from all levels and functions of the organization, and 145 especially from top management. Environmental management encompasses a full range of issues, including 146 those with strategic and competitive implications. An organization can gain added value by using the system 147 elements to achieve financial and operational benefits that accrue from implementing environmentally 148 advantageous alternatives that strengthen the organizations market position. Demonstration of successful 149 implementation of this International Standard can be used to assure relevant interested parties, including 150 customers, suppliers, and regulators, that an appropriate environmental management system is in place. 151

The basis for the approach underlying an environmental management system is founded on the concept of 152 Plan, Do, Check and Act (PDCA) and is shown in Figure 1. 153

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154

Figure 1 Environmental management system model for this International Standard PDCA and HLS 155

The concept of PDCA is a four stage change management model used by organizations to achieve continual 156 improvement and incremental problem solving which can be briefly described as follows. 157

Plan: establish the objectives and processes necessary to deliver results in accordance with the 158 organizations environmental policy. 159

Do: implement the processes. 160 Check: monitor and measure processes against environmental policy, objectives, legal requirements and 161

voluntary obligations, and report the results. 162

Act: take actions to continually improve performance of the environmental management system. 163 While PDCA has always been the foundation of an environmental management system as prescribed in this 164 International Standard, it is recognized that organizations need to ensure management control over other 165 areas of responsibility as well, such as quality, safety, and risk. To facilitate efficiency in managing multiple 166 interests, ISO has developed a standardized high-level structure, identical text, and common terms and core 167 definitions for management system standards (High Level Structure - HLS)1. Figure 1 identifies an added 168 focus on leadership and links the clauses in the High Level Structure to PDCA. 169

This third edition of the International Standard is focused on meeting environmental challenges over the next 170 two decades for both new and existing users, while also taking due consideration of the ISO standardized 171

1ISO/IEC Directives, Part 1, Consolidated ISO Supplement, Procedures specific to ISO, third edition, 2012, Annex SL, appendix 2, 3 & 4.

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structure to benefit the user community implementing multiple ISO management system standards. Annex A 172 provides informative explanations to prevent misinterpretation of the requirements. For existing users, 173 Annex B identifies broad technical correspondences between ISO 14001:2004 and this International Standard 174 and vice versa. Annex C provides further insight on how the standardized structure and PDCA interacts for the 175 benefit of existing and new users of ISO 14001. References to guidance on supporting environmental 176 management tools and techniques contained in other ISO/TC 207 International Standards are provided in the 177 Bibliography for information only. Implementation guidance on this International Standard is included in 178 ISO 14004. 179

This International Standard is intended to apply to all types and sizes of organization and to accommodate 180 diverse geographical, cultural and social conditions. It does not establish absolute requirements for 181 environmental performance beyond the required commitments, in the environmental policy, to comply with 182 applicable legal requirements and voluntary obligations, to prevent pollution and support environmental 183 protection, and to continual improvement. It encourages organizations to incorporate voluntary obligations, 184 including making specific commitments related to sustainable resource use, climate change mitigation and 185 adaptation, and protection of biodiversity and ecosystems, or consider other principles such as environmental 186 responsibility, precautionary approach and polluter pays, as applicable, into their management system 187 framework. However, adoption of this International Standard will not in itself guarantee optimal environmental 188 outcomes. In order to achieve its environmental commitments, the environmental management system 189 encourages organizations to consider implementation of the best available techniques, where appropriate and 190 where economically viable, taking into account the cost-effectiveness of such techniques. Thus, two 191 organizations carrying out similar operations can establish different commitments for themselves and have 192 different environmental performance, but both can conform to the requirements of this International Standard. 193 Like other International Standards, it is not intended to be used to create non-tariff trade barriers or to increase 194 or change an organization's legal obligations. 195

It should also be noted that the application of various elements of a management system might differ 196 depending on the organizations purpose and the relevant interested parties involved, so that the level of its 197 detail and complexity, the extent of documentation and the resources devoted to it will depend on a number of 198 factors, such as the scope of the system, the size of an organization and the nature of its activities, products 199 and services including their significant environmental aspects and potential impacts. This may be the case in 200 particular for small and medium-sized enterprises (SMEs). 201

Environmental management systems Requirements with 202 guidance for use 203

1 Scope 204

This International Standard specifies the requirements for an organization to establish, implement and 205 maintain an environmental management system. It provides a framework through which an organization 206 can deliver environmental performance improvement set by top management in line with its environmental 207 policy commitments. When environmental management system requirements are applied, an organization 208 can achieve the following intended outcomes: 209

a) understand its external and internal context, including the needs and expectations of relevant 210 interested parties; 211

b) establish an environmental policy and environmental objectives; 212

c) reduce adverse impacts and take advantage of opportunities associated with 213

its significant environmental aspects; 214 external environmental conditions that affect its ability to achieve its objectives; 215

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d) be capable of demonstrating its commitment by managing its compliance with applicable legal 216 requirements and voluntary obligations and knowing its compliance status; 217

e) communicate with relevant interested parties; and 218

f) continually improve its environmental management system to enhance its environmental performance, 219 and be capable of demonstrating the environmental performance outcomes that it achieves. 220

An environmental management system applies to the environmental aspects that the organization 221 determines it can either control or can influence across its value chain. This International Standard does not 222 itself state specific environmental performance criteria. 223

An organization can demonstrate conformity with this International Standard by 224

1) making a self-determination and self-declaration, or 225

2) seeking confirmation of its conformance by parties having an interest in the organization, such as 226 customers, or 227

3) seeking confirmation of its self-declaration by a party external to the organization, or 228

4) seeking certification/registration of its environmental management system by an external 229 organization. 230

The requirements in this International Standard are intended to be integrated into the organizations 231 management system and its business processes. The extent of application depends on factors such as the 232 context within which the organization operates, its environmental policy commitments and the nature of its 233 activities, products and services. 234

2 Normative references 235

There are no normative references. 236

3 Terms and definitions 237

For the purposes of this document, the following terms and definitions apply. 238

3.01 239 organization 240 person or group of people that has its own functions with responsibilities, authorities and relationships to 241 achieve its objectives (3.15) 242

Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, 243 enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated or not, 244 public or private. 245

Note 2 to entry: For organizations with more than one operating unit, a single operating unit may be defined as an 246 organization. 247

3.02 248 interested party (preferred term) 249 stakeholder (admitted term) 250 person or organization (3.01) that can affect, be affected by, or perceive themselves to be affected by a 251 decision or activity 252

Note 1 to entry: Interested parties can include person(s) and groups expressing their concern with the 253 environmental performance of an organization. 254

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Note 2 to entry: Interested parties can include customers, community, suppliers, regulators, nongovernment 255 organizations, investors, employees. 256

3.03 257 requirement 258 need or expectation that is stated, generally implied or obligatory 259

Note 1 to entry: Generally implied means that it is custom or common practice for the organization and interested 260 parties that the need or expectation under consideration is implied. 261

Note 2 to entry: A specified requirement is one that is stated, for example in documented information. 262

Note 3 to entry: Applicable legal requirements are obligatory; other interested party requirements become a 263 voluntary obligation when the organization decides that it will subscribe to them. 264

3.04 265 environment 266 surroundings in which an organization (3.01) operates 267

Note 1 to entry: Surroundings in this context extend from within an organization to the global system. 268

Note 2 to entry: Surroundings can include air, water, land, natural resources, biodiversity and ecosystems, humans, 269 and their interrelation. 270

3.05 271 environmental aspect 272 element of an organization's (3.01) activities or products or services that can interact with the 273 environment (3.04) 274

3.06 275 significant environmental aspect 276 environmental aspect (3.05) that has or can have a significant environmental impact 277

Note 1 to entry: Significant environmental aspects can be considered environmental risks that an organization 278 (3.01) needs to assess, manage and control. 279

3.07 280 environmental impact 281 change to the environment (3.04), whether adverse or beneficial, wholly or partially resulting from an 282 organization's (3.01) environmental aspects (3.05) 283

3.08 284 environmental condition 285 long-term environmental change(s) that can affect the organization's (3.01) activities, products and 286 services requiring adaptation 287

3.09 288 management system 289 set of interrelated or interacting elements of an organization (3.01) to establish policies (3.13) and 290 objectives (3.15) and processes (3.19) to achieve those objectives 291

Note 1 to entry: A management system can address a single discipline or several disciplines. 292

Note 2 to entry: The system elements include the organizations structure, roles and responsibilities, planning, 293 operation, etc. 294

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

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3.10 298 environmental management system 299 EMS 300 part of an organization's (3.01) management system (3.09) used to develop and implement its 301 environmental policy (3.14) and manage its environmental aspects (3.05) 302

3.11 303 top management 304 person or group of people who directs and controls an organization (3.01) at the highest level 305

Note 1 to entry: Top management has the power to delegate authority and provide resources within the 306 organization. 307

Note 2 to entry: If the scope of the management system (3.09) covers only part of an organization then top 308 management refers to those who direct and control that part of the organization. 309

3.12 310 effectiveness 311 extent to which planned activities are realized and planned results achieved 312

3.13 313 policy 314 intentions and direction of an organization (3.01) as formally expressed by its top management (3.11) 315

3.14 316 environmental policy 317 policy (3.13) related to the organization's (3.01) environmental objectives and commitments 318

3.15 319 objective 320 result to be achieved 321

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

Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and 323 environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and 324 process (3.19)). 325

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

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

3.16 331 risk 332 effect of uncertainty 333

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

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

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

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

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3.17 341 competence 342 ability to apply knowledge and skills to achieve intended results 343

3.18 344 documented information 345 information required to be controlled and maintained by an organization (3.01) and the medium on which it 346 is contained 347

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

Note 2 to entry: Documented information can refer to 349

the management system (3.09), including related processes (3.19); 350

information created in order for the organization to operate (documentation); 351

evidence of results achieved (records). 352

3.19 353 process 354 set of interrelated or interacting activities which transforms inputs into outputs 355

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

3.20 357 performance 358 measurable result 359

Note 1 to entry: Performance can relate either to quantitative or qualitative findings. 360

Note 2 to entry: Performance can relate to the management of activities, processes (3.19), products (including 361 services), systems or organizations (3.01). 362

3.21A 363 environmental performance 364 measurable results of an organization's (3.01) management of its environmental aspects (3.05) 365

Note 1 to entry: In the context of environmental management systems (3.10), results can be measured against 366 the organization's environmental policy (3.14), environmental objectives (3.15) and other environmental 367 performance requirements. 368

[Source: ISO 14001:2004, 3.10] 369

3.21B 370 environmental performance 371 performance (3.20) related to environmental aspects (3.05) 372

[Source: ISO 14045:2012, 3.5] 373

3.22 374 indicator 375 measureable representation of the condition or status of operations, management or conditions 376

3.23 377 key performance indicator 378 KPI 379 indicator of performance (3.20) deemed by an organization (3.01) to be significant and giving prominence 380 and attention to certain aspects 381

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Note 1 to entry: Key performance indicators may be selected for Operational Performance Indicators (OPIs), 382 Management Performance Indicators (MPIs) and Environmental Performance Indicators (EPIs) 383

[Source: ISO/FDIS 14031:2013, 3.17] 384

3.24 385 outsource (verb) 386 make an arrangement where an external organization (3.01) performs part of an organizations function or 387 process (3.19) 388

Note 1 to entry: An external organization is outside the scope of the management system (3.09), although the 389 outsourced function or process is within the scope. 390

3.25 391 monitoring 392 determining the status of a system, a process (3.19) or an activity 393

Note 1 to entry: To determine the status there may be a need to check, supervise or critically observe. 394

3.26 395 measurement 396 process (3.19) to determine a value 397

3.27 398 audit 399 systematic, independent and documented process (3.19) for obtaining audit evidence and evaluating it 400 objectively to determine the extent to which the audit criteria are fulfilled 401

Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party), and it 402 can be a combined audit (combining two or more disciplines). 403

Note 2 to entry: Audit evidence and audit criteria are defined in ISO 19011. 404

Note 3 to entry: Internal audits, sometimes called first party audits, are conducted by the organization itself, or on its 405 behalf, for management review and other internal purposes (e.g. to confirm the effectiveness of the management 406 system or to obtain information for the improvement of the management system). Internal audits can form the basis for 407 an organizations self-declaration of conformity. In many cases, particularly in small organizations, independence can 408 be demonstrated by the freedom from responsibility for the activity being audited or freedom from bias and conflict of 409 interest. 410

3.28 411 conformity 412 fulfilment of a requirement (3.03) 413

Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the 414 organization subscribes, including requirements in this International Standard. Compliance is often used to describe 415 fulfilment of a legal requirement. 416

3.29 417 nonconformity 418 non-fulfilment of a requirement (3.03) 419

Note 1 to entry: Requirement relates to applicable legal requirements and voluntary obligations to which the 420 organization subscribes, including requirements in this International Standard. Noncompliance is often used to describe 421 nonfulfilment of a legal requirement. 422

3.30 423 correction 424 action to eliminate a detected nonconformity (3.29) 425

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3.31 426 corrective action 427 action to eliminate the cause of a nonconformity (3.29) and to prevent recurrence 428

3.32 429 continual improvement 430 recurring activity to enhance performance (3.20) 431

Note 1 to entry: Enhancing performance relates to the use of the environmental management system in order to 432 achieve improvement in overall environmental performance (3.21A or 3.21B) consistent with the organization's 433 (3.01) environmental policy (3.14). 434

Note 2 to entry: The activity need not take place in all areas simultaneously. 435

3.33 436 prevention of pollution 437 use of processes (3.19), practices, techniques, materials, products, services or energy to avoid, reduce or 438 control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, 439 in order to reduce adverse environmental impacts (3.07) 440

Note 1 to entry: Prevention of pollution can include source reduction or elimination, process, product or service 441 changes, efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and 442 treatment. 443

3.34A 444 value chain 445 entire sequence of activities or parties that provide or receive value in the form of products or services 446

Note 1 to entry: Parties that provide value include suppliers, outsourced workers, contractors and others. 447

Note 2 to entry: Parties that receive value include customers, consumers, clients, members and other users. 448

[Source: ISO 26 000:2010, 2.25] 449

3.34B 450 supply chain 451 sequence of activities or parties that provides products or services to the organization (3.01) 452

Note 1 to entry: In some instances, the term supply chain is understood to be the same as value chain (3.34A). 453 However, for the purpose of this International Standard supply chain is used as defined above. 454

[Source: ISO 26000:2010, 2.22] 455

3.34C 456 life cycle 457 consecutive and interlinked stages of a product system, from raw material acquisition or generation from 458 natural resources to final disposal 459

[Source: ISO 14044:2006, 3.1] 460

4 Context of the organization 461

4.1 Understanding the organization and its context 462

The organization shall determine external and internal issues that are relevant to its purpose and that affect 463 its ability to achieve the intended outcome(s) of its environmental management system, including external 464 environmental conditions capable of affecting the organization's activities, products and services. 465

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The knowledge gained shall be considered when designing the organization's environmental management 466 system. 467

NOTE The intended outcome(s) are those strategic objectives set by the organization to be achieved through its 468 environmental management system which include meeting its policy commitments. 469

4.2 Understanding the needs and expectations of interested parties 470

The organization shall determine: 471

the interested parties that are relevant to the environmental management system; and 472 the requirements of these interested parties. 473

The knowledge gained shall be considered when designing the organization's environmental management 474 system. 475

4.3 Determining the scope of the environmental management system 476

The organization shall determine the boundaries and applicability of the environmental management 477 system to establish its scope. 478

When determining this scope, the organization shall consider: 479

the external and internal issues referred to in 4.1; 480 the requirements referred to in 4.2 including applicable legal requirements and potential voluntary 481

obligations; 482

the organizational unit(s), function(s), and physical boundaries; and 483 its authority and ability to exercise control and influence. 484

The scope shall be available as documented information. 485

NOTE Once the scope is defined, all activities, products and services of the organization within that scope, 486 including outsourced processes that affect its environmental performance, are included in the environmental 487 management system as appropriate. 488

4.4 Environmental management system 489

The organization shall establish, implement, maintain and continually improve an environmental 490 management system, including the processes needed and their interactions, in accordance with the 491 requirements of this International Standard. 492

The organization shall determine the way it will satisfy the environmental management system 493 requirements, including how they will be integrated into its business processes. 494

5 Leadership 495

5.1 Leadership and commitment 496

Top management shall demonstrate leadership and commitment with respect to the environmental 497 management system by: 498

understanding the organization's context and ensuring that knowledge gained shall be considered 499 when establishing the environmental management system; 500

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ensuring that the environmental policy and environmental objectives are established and are 501 compatible with the strategic direction of the organization; 502

giving consideration to environmental performance in strategic planning; 503 ensuring the integration of the environmental management system requirements into the 504

organizations business processes; 505

ensuring that the resources needed for the environmental management system are available; 506 communicating the importance of effective environmental management and of conforming to the 507

environmental management system requirements; 508

ensuring that the environmental management system achieves its intended outcome(s); 509 directing and supporting persons to contribute to the effectiveness of the environmental 510

management system; 511

promoting continual improvement (see 10.2); 512 supporting other relevant management roles to demonstrate their leadership as it applies to their 513

areas of responsibility. 514

NOTE Reference to business in this International Standard should be interpreted broadly to mean those 515 activities that are core to the purposes of the organizations existence. 516

5.2 Policy 517

Top management shall establish an environmental policy that, within the defined scope of its environmental 518 management system: 519

is appropriate to the purpose and context of the organization; 520 is appropriate to the nature, scale and environmental impacts of its activities, products and 521

services; 522

includes a commitment to the prevention of pollution and to support environmental protection 523 specific to the context of the organization, such as sustainable resource use, climate change 524 mitigation and adaptation, and protection of biodiversity and ecosystems, or other relevant 525 environmental issues; 526

provides a framework for setting environmental objectives; 527 includes a commitment to satisfy applicable requirements, including compliance to legal 528

requirements and voluntary obligations which relate to its environmental aspects; and 529

includes a commitment to continual improvement of the environmental management system to 530 enhance its environmental performance as set by top management. 531

The environmental policy shall: 532

be available as documented information; 533 be communicated within the organization, including persons working on behalf of the organization; 534 be available to interested parties, as appropriate. 535

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NOTE 'As appropriate' does not imply that the organization may restrict the distribution of its environmental policy. 536 The organization determines the means by which the policy is available. 537

5.3 Organization roles, responsibilities and authorities 538

Top management shall ensure that the responsibilities and authorities for relevant roles within the 539 environmental management system are assigned and communicated within the organization. 540

Top management shall assign the responsibility and authority for: 541

ensuring that the environmental management system conforms to the requirements of this International 542 Standard; and 543

reporting on the performance of the environmental management system, including environmental 544 performance, to top management. 545

NOTE The role of reporting on the performance of the environmental management system is often assigned to a 546 Management Representative. 547

6 Planning 548

6.1 Actions to address risks and opportunities 549

6.1.1 General 550

When planning for the environmental management system, the organization shall consider the issues 551 referred to in 4.1, and the requirements of relevant interested parties referred to in 4.2 and determine the 552 risks and opportunities that arise from its significant environmental aspects (see 6.1.2), applicable legal 553 requirements, voluntary obligations (see 6.1.3) and other business risk and opportunities interfering with the 554 environmental management system that need to be addressed to: 555

assure the environmental management system can achieve its intended outcome(s); 556 prevent, or reduce, undesired effects; 557 achieve continual improvement. 558

The organization shall plan: 559

a) actions to address these risks and opportunities; and 560

b) how to 561

integrate and implement the actions into its environmental management system processes 562 evaluate the effectiveness of these actions. 563

NOTE Those actions include selecting one or more options such as risk avoidance, risk mitigation, risk 564 acceptance or risk taking in order to pursue an opportunity. 565

6.1.2 Environmental aspects 566

The organization shall specify the way it will implement and maintain a process: 567

a) to identify the environmental aspects of its activities, products and services within the defined scope of 568 the environmental management system that it can control and those that it can influence considering a 569 life cycle perspective; and 570

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b) to determine those environmental aspects, that have or can have significant impact(s) by applying 571 criteria set by the organization, considering its context. 572

The organization shall take into account planned or new developments and new or modified activities, 573 products and services. 574

The organization shall retain documented information and keep it up to date. 575

The organization shall ensure that the significant environmental aspects are taken into account when 576 establishing, implementing and maintaining its environmental management system. 577

6.1.3 Legal requirements and voluntary obligations 578

The organization shall specify the way it will implement and maintain a process: 579

a) to identify and have access to the applicable legal requirements and voluntary obligations related to its 580 environmental aspects; and 581

b) to determine how these requirements apply to the organization. 582

The organization shall ensure that these applicable legal requirements and voluntary obligations are taken 583 into account when establishing, implementing and maintaining its environmental management system. 584

6.2 Environmental objectives and planning to achieve them 585

6.2.1 Environmental objectives 586

The organization shall establish environmental objectives at relevant functions and levels. 587

The environmental objectives shall: 588

be consistent with the environmental policy; 589 be measurable (if practicable); 590 be developed to take into account the organizations significant environmental aspects, applicable 591

legal requirements and voluntary obligations; 592

be developed considering the organizations internal and external issues; 593 be monitored; 594 be communicated; and 595 be updated as appropriate. 596

The organization shall retain documented information on the environmental objectives. 597

6.2.2 Environmental improvement programmes 598

For each objective, the organization shall define one or more indicators against which performance shall be 599 evaluated and demonstrated. 600

When planning how to achieve its environmental objectives, the organization shall develop a programme 601 and determine: 602

what will be done; 603

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what resources will be required; 604 who will be responsible; 605 how it will be integrated into the organizations processes; 606 when it will be completed; 607 how the results will be evaluated. 608

7 Support 609

7.1 Resources 610

The organization shall determine and provide the resources needed for the establishment, implementation, 611 maintenance and continual improvement of the environmental management system. 612

7.2 Competence 613

The organization shall: 614

determine the necessary competence of person(s) doing work under its control or on its behalf that 615 affects its environmental performance; and 616

ensure that these persons are competent on the basis of appropriate education, training, skills or 617 experience; 618

where applicable, take actions to acquire the necessary competence, and evaluate the 619 effectiveness of the actions taken; and 620

retain appropriate documented information as evidence of competence. 621 NOTE Applicable actions may include, for example: the provision of training to, the mentoring of, or the re-622 assignment of currently employed persons; or the hiring or contracting of competent persons. 623

7.3 Awareness 624

The organization shall ensure that persons doing work under the organizations control shall be aware of: 625

the environmental policy; 626 the significant environmental aspects and related actual or potential impacts associated with their 627

work, including applicable legal requirements and voluntary obligations; 628

their contribution to the effectiveness of the environmental management system, including the 629 benefits of improved environmental performance; 630

the implications of not conforming with the environmental management system requirements, 631 including applicable legal requirements and voluntary obligations. 632

7.4 Communication 633

7.4.1 General 634

The organization shall determine the needs for internal and external communications relevant to the 635 environmental management system including: 636

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on what it will communicate, including relevant environmental information; 637 when to communicate; 638 with whom to communicate; 639 how to communicate, including communication methods, tools and approaches. 640

When planning for communication, the organization shall take into account the requirements of relevant 641 interested parties (see 4.2). 642

7.4.2 Internal communication 643

With regard to its environmental aspects and environmental management system, the organization shall: 644

a) communicate among the various levels and functions of the organization; and 645

b) respond to relevant internal communication, including those related to environmental performance 646 improvements. 647

The organization shall retain documented information as evidence of its internal communications. 648

7.4.3 External communication and reporting 649

The organization shall report environmental information externally as required by applicable legal 650 requirements and voluntary obligations, and as determined when planning its communication. 651

External communication, including that related to its environmental performance, products and services 652 shall be: 653

truthful and not misleading; 654 complete, accurate, transparent and reliable; 655 based on and consistent with the information generated within the environmental management 656

system and with the internal evaluation of the organizations environmental performance (see 9.1). 657

The organization shall respond to relevant communication on its environmental management system from 658 external interested parties and retain documented information as evidence of its external communications. 659

7.5 Documented information 660

7.5.1 General 661

The organizations environmental management system shall include: 662

documented information required by this International Standard; 663 documented information determined by the organization as being necessary for the effectiveness 664

of the environmental management system; 665

a description of the main elements of the environmental management system and their interaction, 666 including with other business processes. 667

NOTE The extent of documented information for an environmental management system can differ from one 668 organization to another due to: 669

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the size of organization and its type of activities, processes, products and services; 670

the complexity of processes and their interactions; and 671

the competence of persons. 672

7.5.2 Creating and updating 673

When creating and updating documented information the organization shall ensure appropriate: 674

identification and description (e.g. a title, date, author, or reference number); 675 format (e.g. language, software version, graphics) and media (e.g. paper, electronic); 676 review and approval for suitability and adequacy. 677

7.5.3 Control of documented information 678

Documented information required by the environmental management system and by this International 679 Standard shall be controlled to ensure: 680

it is available and suitable for use, where and when it is needed; 681 it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). 682

For the control of documented information, the organization shall address the following activities, as 683 applicable 684

distribution, access, retrieval and use; 685 storage and preservation, including preservation of legibility; 686 control of changes (e.g. version control); 687 retention and disposition. 688

Documented information of external origin determined by the organization to be necessary for the planning 689 and operation of the environmental management system shall be identified as appropriate, and controlled. 690

NOTE Access implies a decision regarding the permission to review the documented information only, or the 691 permission and authority to view and change the documented information, etc. 692

8 Operation 693

8.1 Operational planning and control 694

The organization shall specify the way it will plan, implement and control the processes needed to meet 695 environmental management system requirements, and to implement the actions determined in 6.1, by: 696

establishing criteria for the processes; 697 implementing control of the processes, in accordance with the criteria; 698

keeping documented information to the extent necessary to have confidence that the processes 699 have been carried out as planned by: 700

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documenting the way to control situations where its absence could lead to deviation from the 701 environmental policy, environmental objectives, applicable legal requirements and voluntary 702 obligations: and 703

retaining appropriate documented information as evidence of the results. 704 The organization shall control planned changes and review the consequences of unintended changes, 705 taking action to mitigate any adverse effects, as necessary. 706

8.2 Value chain planning and control 707

The organization shall ensure that upstream and downstream processes related to significant 708 environmental aspects are controlled or influenced. 709

The type and extent of control or influence to be applied to these processes shall be defined within the 710 environmental management system. 711

The organization shall ensure that, in relation to significant environmental aspects, outsourced processes 712 and the processes related to the purchase of goods and services are controlled by: 713

establishing and implement criteria for evaluating the supply of goods, services and outsourced 714 processes, taking a life cycle perspective; 715

specifying environmental requirements as appropriate for the procurement of goods and services 716 or outsourced processes; 717

communicating requirement(s) to suppliers, including contractors. 718

The organization shall consider the result of the evaluation of significant environmental aspects as input in 719 the process of the design, development or change of its products and services. 720

The organization shall consider the need to provide information about potential significant environmental 721 impacts during the use and end of life treatment of the product or during the delivery of the service. 722

NOTE 1 In the context of the outsourced processes the concept of control doesnt imply any requirements of direct 723 control referred to the activity of outsourced organization. It is the decision of the organization to decide the extent of 724 control to be applied for these processes. 725

NOTE 2 Goods and services includes the life cycle of the activity, product or service, which includes, for example, 726 transport, packaging and end-use/disposal. 727

NOTE 3 The nature of the organizations control over the purchase of goods and services or outsourced processes 728 will depend on its importance, the risk of deviation from the environmental policy and objectives, opportunities available, 729 the organizations control and influence, the interaction with other environmental management system processes, the 730 competence of the supplier to meet the requirements of the organizations environmental management system, and the 731 technical competence of the organization to define appropriate controls or assess the adequacy of the outsource 732 process controls. 733

NOTE 4 Ensuring control over outsourced processes does not absolve the organization of the responsibility of 734 conformity to all customer and legal requirements. 735

8.3 Emergency preparedness and response 736

The organization shall specify the way it will implement and maintain a process to determine potential 737 emergency situations and accidents that can have an impact(s) on the environment and how it will respond 738 to them. 739


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a) take action to prevent occurrence and reduce the environmental consequences of emergency 741 situations, appropriate to the magnitude of the emergency or accident and the potential environmental 742 impact; 743

b) respond to actual emergency situations and accidents; 744

c) periodically test such plan where practicable; and 745

d) periodically review and, where necessary, revise its emergency preparedness and response plan, in 746 particular, after the occurrence of accidents or emergency situations or tests. 747

The organization shall retain documented information on its emergency response plan. 748

9 Performance evaluation 749

9.1 Monitoring, measurement, analysis and evaluation 750

9.1.1 General 751

The organization shall determine: 752

what needs to be monitored and measured, including: 753 the key characteristics of its operations that can have a significant environmental impact; 754 the key characteristics of the value chain that can have a significant environmental impact, if 755

appropriate; 756

information necessary for the evaluation of compliance; 757 applicable operational controls; 758 progress towards the organizations environmental objectives; 759 the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid 760

results; 761

when the monitoring and measuring shall be performed; 762 when the results from monitoring and measurement shall be analysed and evaluated; 763 the criteria against which the organization will evaluate and analyse its performance, using key 764

performance indicators. 765

The organization shall ensure that calibrated or verified monitoring and measurement equipment is used 766 and maintained as appropriate. 767

The organization shall retain appropriate documented information as evidence of the results. 768

The organization shall evaluate the environmental performance and the effectiveness of the environmental 769 management system. 770

9.1.2 Evaluation of compliance 771

The organization shall specify the way it will implement and maintain process(es) for evaluating compliance 772 with applicable legal requirements and voluntary obligations. 773

Consistent with its commitment to compliance, the organization shall: 774

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determine the frequency that compliance will be evaluated; 775 evaluate compliance and take action if needed; 776 maintain knowledge and understanding of its compliance status; 777 retain documented information as evidence of the results of its compliance evaluation(s). 778

9.2 Internal audit 779

The organization shall conduct internal audits, or ensure they are conducted, at planned intervals to provide 780 information on whether the environmental management system: 781

a) conforms to: 782

the organizations own requirements for its environmental management system; 783 the requirements of this International Standard; 784

b) is effectively implemented and maintained. 785


a) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, 787 responsibilities, planning requirements, performing and reporting. The audit programme(s) shall take 788 into consideration the environmental importance of the processes concerned and the results of 789 previous audits; 790

b) define the audit criteria and scope for each audit; 791

c) select competent auditors and conduct audits to ensure objectivity and the impartiality of the audit 792 process; 793

d) ensure that the results of the audits are reported to relevant management; 794

e) ensure that necessary action is taken to address audit results; and 795

f) retain documented information as evidence of the implementation of the audit programme and the 796 audit results. 797

9.3 Management review 798

Top management shall review the organization's environmental management system, at planned intervals, 799 to ensure its continuing suitability, adequacy and effectiveness. 800

The management review shall include consideration of: 801

a) the status of actions from previous management reviews; 802

b) changes in external and internal issues that are relevant to the environmental management system 803 including: 804

developments in applicable legal requirements and voluntary obligations; 805 changes in risks and opportunities; 806

c) information on the environmental performance, including trends in: 807

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nonconformities and corrective actions; 808 monitoring and measurement results, including the extent to which objectives have been met; 809

compliance with applicable legal requirements and voluntary obligations; 810 audit results; and 811 communication(s) from external interested parties, including complaints; 812

d) opportunities for continual improvement. 813

The outputs of the management review shall include: 814

a) conclusions on the continuing suitability, adequacy and effectiveness of the environmental 815 management system; 816

b) decisions related to continual improvement opportunities for environmental performance; and 817

c) any need for changes to the environmental management system, including the environmental policy 818 and environmental objectives consistent with the strategic direction of the organization. 819

The organization shall retain documented information as evidence of the results of management reviews. 820

10 Improvement 821

10.1 Nonconformity and corrective action 822

The organization shall specify the way it will implement, and maintain a process for dealing with 823 nonconformities and taking corrective action. 824

When a nonconformity occurs, the organization shall: 825

a) react to the nonconformity, and as applicable: 826

take action to control and correct it: and 827 deal with the consequences, including the mitigation of adverse environmental impact; 828

b) evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur 829 or occur elsewhere, by: 830

reviewing the nonconformity; 831 determining the causes of the nonconformity; and 832 determining if similar nonconformities exist, or could potentially occur; 833

c) determine and implement any corrective action needed; 834

d) review the effectiveness of any corrective action taken; and 835

e) make changes to the environmental management system, if necessary. 836

Corrective actions shall be appropriate to magnitude of the effects of the nonconformities encountered 837 including impacts on the environment. 838

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The organization shall retain documented information as evidence of: 839

the nature of the nonconformities and any subsequent actions taken; and 840 the results of any corrective action taken. 841

10.2 Continual improvement 842

The organization shall continually improve the suitability, adequacy and effectiveness of the environmental 843 management system to enhance its environmental performance as set by top management in line with the 844 environmental policy. 845

NOTE Opportunities for identifying and implementing continual improvement are given in Annex A. 846

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Annex A 847 (informative) 848

A.1 General 849

The additional text given in this Annex is strictly informative and is intended to prevent misinterpretation of 850 the requirements contained in this International Standard. While this information addresses and is 851 consistent with the requirements, it is not intended to add to, subtract from, or in any way modify these 852 requirements. 853

A.2 Scope 854

This edition of ISO 14001 does not contain guidance on Clause 1. 855

A.3 Terms and definitions 856

The terms that are defined in Clause 3 have a specialized technical definition and are normative for use in 857 this International Standard. This sub-clause provides further explanation of certain terms and some of the 858 words that are commonly used in management system standards, to help the user understand their 859 implications and to help in translations. 860

Plan detailed formulation of a programme to achieve an objective. 861 Programme planned series of steps, projects or activities to be carried out. 862 Design working out the form, fit or function of something. 863 Purpose anticipated (intended or expected) outcome that guides planned actions. 864 Determine establish or find out. 865 Define state or describe exactly the nature, scope or meaning of that which is under consideration. 866 Identify establish the identity of something. 867 To avoid misunderstanding the requirements, clarifications of selected concepts are provided below. 868

'NOTES' included in the various clauses of this International Standard are informative. 869 Continuous indicates duration without interruption. Continual indicates duration that continues over a 870

period of time, but with intervals of interruption. Continual is therefore the appropriate word to use in 871 the context of improvement. 872

The word consider means it is necessary to think about but can be rejected; and take into account 873 means it is necessary to think about but cannot be rejected. 874

The words as appropriate and as applicable are not interchangeable. Appropriate means suitable 875 (for, to) and implies some degree of freedom, while applicable means relevant or possible to apply 876 and implies that if it can be done, it should be done. 877

The 3rd edition of this International Standard uses some new terminology. A brief explanation is given below 878 to aid both new users and those who have used prior editions of this International Standard. 879

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Documented information replaces the nouns document and record used in prior editions of this 880 International Standard. Examples of each are given in A.7.5. To distinguish the intent of the generic 881 term documented information, ISO 14001 now uses the phrase ...documented information as 882 evidence of.... to mean records. 883

The change from ...establish, implement and maintain a procedure... to ...specify the way it will 884 implement and maintain a process... is intended to harmonize with the standardized management 885 system terminology and to prevent a common misconception that a procedure (or process) has to be 886 documented, not to change the intent of ISO 14001:2004. 887

The change from identify to determine is intended to harmonize with the standardized management 888 system terminology, not to change the intent of ISO 14001:2004. The term determine implies a two-889 step identification and discovery process that results in knowledge. 890

The term intended outcome means what the organization intends to achieve by implementing its 891 environmental management system, which is outlined in its environmental policy commitments and 892 environmental objectives. 893

The phrase voluntary obligations replaces the phrase ...other requirements to which the organization 894 subscribes used in prior editions of this International Standard. The change is considered simpler to 895 understand, and does not change the intent of ISO 14001:2004. 896

The use of the word any implies selection and choice. 897

A.4 Context of the organization 898

A.4.1 Understanding the context of the organization 899

Before designing, developing and implementing an environmental management system, it is important to 900 identify, evaluate and understand the external and internal circumstances, conditions and issues that 901 comprise the context of the organization as it relates to environmental management, since these can 902 significantly influence the design of the environmental management system. 903

The intent of this clause is to provide a high-level, strategic understanding of the important circumstances 904 or conditions that can affect, either positively or negatively, the way the organization manages its 905 environmental responsibilities. The circumstances or conditions of interest are those that give rise to issues 906 that affect the organizations ability to achieve the strategic objectives it sets for its environmental 907 management system, which include meeting its policy commitments. 908

Circumstances or conditions that may create issues for the organizations environmental management 909 system can include, for example: 910

the external cultural, social, political, legal, regulatory, financial, technological, economic, natural and 911 competitive environment, whether international, national, regional or local; 912

key drivers and trends having impact on the objectives of the organization; 913 relationships with, and perceptions and values of external and internal interested parties (see 4.2); 914 regulatory requirements relevant to environmental management (see 6.1.3); 915 environmental conditions such as climate, pollution, resource availability, and biodiversity, and the 916

effect these conditions may have on the organizations ability to achieve its objectives; 917

organizational governance, structure, roles and accountabilities; 918 organizational policies, objectives, and the strategies that are in place to achieve them; 919

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the capabilities of the organization, understood in terms of resources and knowledge (e.g. capital, time, 920 people, processes, systems and technologies); 921

information systems, information flows and decision-making processes (both formal and informal); 922 the organization's internal culture; 923 standards, guidelines and models adopted by the organization; 924 form and extent of contractual relationships; 925 the life cycle of the organizations products and services; and 926 changes in these circumstances or conditions, relevant to the environmental management system. 927 The knowledge gained by understanding the context of the organization and the relevant external and 928 internal issues that relate to its environmental management system (see 4.1) should be considered in the 929 design of the environmental management system. 930

A.4.2 Understanding the needs and expectations of interested parties 931

Interested parties include legal and regulatory authorities (local, regional, state/provincial, national or 932 international), as well as other interested parties relevant to the environmental management system, such 933 as parent organizations, customers, trade associations, community groups, non-governmental 934 organizations, neighbours, employees and others working on behalf of the organization. 935

There are different types of requirements related to the needs and expectations expressed by relevant 936 interested parties. Interested party requirements are not necessarily requirements of the organization. 937 Some interested party requirements reflect needs and expectations that are mandatory because they have 938 been incorporated into laws, regulations, permits and licenses by governmental or even court action. 939 Others the organization may decide to voluntarily adopt, i.e., subscribe to, and address within their 940 environmental management system (voluntary obligations) (see A.6.1.3). 941

Requirements from interested parties that are not legal requirements become obligatory only when they are 942 specified and the organization decides that it will subscribe to them. At the stage before subscription, they 943 are simply needs and expectations that comprise the requirements of the interested party, but are not 944 requirements of the organization. Once the organization subscribes, then they become organizational 945 requirements and should be considered when planning for the environmental management system (see 946 6.1.3). 947

An open dialogue with relevant interested parties and regular, transparent communication of environmental 948 information may help organizations to better understand their needs and expectations. 949

A.4.3 Scope of the environmental management system 950

The scope of the environmental management system is intended to clarify the spatial and organizational 951 boundaries to which the environmental management system will apply, especially if the organization is a 952 part of a larger organization at a given location. An organization has the freedom and flexibility to define its 953 boundaries and may choose to implement this International Standard with respect to the entire 954 organization, or to specific operating units of the organization. The organization should define and 955 document the scope of its environmental management system; options may include a written description, a 956 site map, an organizational diagram, written definition of key, supporting and outsourced processes, or any 957 combination thereof. 958

In setting the scope, the credibility of the environmental management system will depend upon the choice 959 of organizational boundaries. Scoping is not to be used as a means to exclude activities, products, 960 services, or facilities that have, or can have significant environmental aspects and impacts. Once the scope 961 is defined, all activities, products and services of the organization within that scope, including relevant 962

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outsourced processes carried out by suppliers and contractors, need to be included in the environmental 963 management system. 964

This International Standard has no provision for exclusion of any of portion of the Standard: adherence to 965 all clauses is required. 966

When defining the boundaries of its environmental management system, the organization may want to 967 consider its sphere of influence in terms of its ability to exert control or influence over activities across the 968 life cycle of its products and services. 969

If this International Standard is implemented for a specific operating unit, policies and procedures 970 developed by other parts of the organization can be used to meet the requirements of this International 971 Standard, provided that they are applicable to the specific operating unit that will be subject to it. 972

A.4.4 Environmental management system 973

This International Standard outlines the requirements of a robust, credible and reliable environmental 974 management system. The organization retains authority, accountability, and autonomy, to decide how it will 975 fulfil the environmental management system requirements, including the level of detail and extent to which 976 it will integrate environmental management system requirements into its various business functions, such 977 as design & development, procurement, human resources, sales and marketing, etc. 978

When determining the extent of processes needed for the environmental management system, an 979 organization should consider the environmental importance and the extent to which the results are 980 dependent on the specific way the process is conducted. 981

The organization should consider opportunities for integrating environmental management system activities 982 into its business processes, including 983

a) management of its environmental aspects that may have significant impacts on the environment, for 984 example through integration with design processes, management of change processes and operational 985 processes; 986

b) consideration of the impact environmental conditions may have on the organization, for example 987 through integration with the organizations strategic planning process; 988

c) management of its compliance with legal requirements and voluntary obligations and the capability to 989 pro-actively demonstrate its compliance status, for example through integration with operational 990 processes; 991

d) continual improvement of its environmental management system, and the capability to proactively 992 demonstrate and communicate the environmental performance that is achieved; and 993

e) communication and engagement with relevant interested parties, for example through integration with 994 external communication processes. 995

A.5.1 Leadership and commitment 996

Commitment, responsiveness, active support and feedback from the organizations top management are 997 critical for the success of the environmental management system. Top management has specific 998 responsibilities in order to ensure that the environmental management system fulfils its intended outcomes, 999 including: 1000

establishing an environmental policy and setting the environmental performance of the organization, 1001 from a long-term, strategic perspective (see 5.1, 5.2 and 10.2); 1002

understanding the context of the organization as distilled in 4.1 and 4.2, and ensuring that the 1003 knowledge gained is considered when the environmental management system is established; 1004

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ensuring that the environmental management system is integrated with the business processes as 1005 appropriate and achieves its intended outcomes (see 5.1); 1006

communicating the importance of an effective environmental management system (see 5.1) and 1007 reviewing its suitability, adequacy and effectiveness (see 9.3). 1008 In addition, top management can demonstrate its leadership and commitment with regard to others in the 1009 organization by 1010

directing and providing necessary resources for employees and persons working under the control of 1011 the organization to carry out planned actions that contribute to the effectiveness of the environmental 1012 management system; 1013

ensuring that the responsibilities and authorities related to environmental management for relevant 1014 management roles are assigned and communicated, including line management, engineering, 1015 purchasing, staffing and facilities management functions; and 1016

encouraging and supporting persons in these management roles to demonstrate their leadership in 1017 environmental management within their own areas of responsibility, by integrating environmental 1018 management into their functional activities and supporting actions that contribute toward the 1019 effectiveness of the environmental management system. 1020

A.5.2 Environmental policy 1021

The environmental policy is the driver for implementing and improving an organizations environmental 1022 management system so that it can maintain and potentially improve its environmental performance 1023 consistent with the expectations of top management. This policy should therefore reflect the commitment of 1024 top management to comply with applicable legal requirements and voluntary obligations as determined in 1025 6.1.3, as well as to the prevention of pollution, and to continual improvement. It can also include other 1026 commitments that are specific to and add value to the organization, such as sustainable resource use, 1027 climate change mitigation and adaptation, and protection of biodiversity and ecosystems, remediation of 1028 historical contamination, or other relevant environmental protection initiatives. The environmental policy 1029 forms the basis upon which the organization sets its objectives and targets. 1030

The environmental policy should be sufficiently clear to be capable of being understood by internal and 1031 external interested parties and should be periodically reviewed and revised to reflect changing conditions 1032 and information. Its area of application (i.e. scope) should be clearly identifiable and should reflect the 1033 unique nature, scale and environmental impacts of the activities, products and services within the defined 1034 scope of the environmental management system. 1035

The environmental policy should be communicated to all persons who work for, or on behalf of, the 1036 organization, including contractors working at an organizations facility. Communication to contractors can 1037 be in alternative forms to the policy statement itself such as rules, directives and procedures and may 1038 therefore only include pertinent sections of the policy. The organizations environmental policy should be 1039 defined and documented by its top management within the context of the environmental policy of any 1040 broader enterprise of which it is a part, and with the endorsement of that enterprise. 1041

NOTE Top management may consist of a person or group of people who direct and control an organization at the 1042 highest level. 1043

By reading the standard as a whole and understanding the relationship between the relevant provisions of 1044 the standard, an organization can demonstrate its commitment to comply with applicable legal requirements 1045 and voluntary obligations by incorporating its co

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