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

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Date: 2012-12-7

ISO/WD 14001.3
ISO/TC 207/SC 1/WG 5 Secretariat: BSI/DIN

Environmental management systems Requirements with guidance for use

Systmes de management environnemental Exigences et lignes directricespour son utilisation

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

Document type: International Standard Document subtype: Document stage: (20) Preparatory Document language: E X:\TA1\TG1-4\NA_172 NAGUS\Normen 3_kwMH.doc STD Version 2.4e - RC2 (laufende Projekte)\14001_wue\ISO_14001_(E) WD

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Copyright notice
This ISO document is a working draft or committee draft and is copyright-protected by ISO. While the reproduction of working drafts or committee drafts in any form for use by participants in the ISO standards development process is permitted without prior permission from ISO, neither this document nor any extract from it may be reproduced, stored or transmitted in any form for any other purpose without prior written permission from ISO. Requests for permission to reproduce this document for the purpose of selling it should be addressed as shown below or to ISO's member body in the country of the requester: [Indicate the full address, telephone number, fax number, telex number, and electronic mail address, as appropriate, of the Copyright Manager of the ISO member body responsible for the secretariat of the TC or SC within the framework of which the working document has been prepared.] Reproduction for sales purposes may be subject to royalty payments or a licensing agreement. Violators may be prosecuted.

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Contents

Page

Foreword ............................................................................................................................................................. v Introduction ........................................................................................................................................................ vi 1 2 3 4 4.1 4.2 4.3 4.4 5 5.1 5.2 5.3 6 6.1 6.1.1 6.1.2 6.1.3 6.2 6.2.1 6.2.2 7 7.1 7.2 7.3 7.4 7.4.1 7.4.2 7.5 7.5.1 7.5.2 7.5.3 8 8.1 8.2 8.3 8.4 9 9.1 9.1.1 9.1.2 9.2 9.3 10 10.1 10.2 Scope ...................................................................................................................................................... 8 Normative references ............................................................................................................................ 2 Terms and definitions ........................................................................................................................... 2 Context of the organization .................................................................................................................. 7 Understanding the organization and its context ................................................................................ 7 Understanding the needs and expectations of interested parties ................................................... 8 Determining the scope of the environmental management system ................................................ 8 Environmental management system ................................................................................................... 8 Leadership ............................................................................................................................................. 8 Leadership and commitment ............................................................................................................... 8 Policy ...................................................................................................................................................... 9 Organization roles, responsibilities and authorities ......................................................................... 9 Planning................................................................................................................................................ 10 Actions to address risks and opportunities ..................................................................................... 10 General ................................................................................................................................................. 10 Environmental aspects ....................................................................................................................... 10 Legal and other requirements ............................................................................................................ 10 Environmental objectives and planning to achieve them ............................................................... 11 Environmental objectives ................................................................................................................... 11 Environmental performance indicators and improvement programmes ...................................... 11 Support ................................................................................................................................................. 11 Resources ............................................................................................................................................ 11 Competence ......................................................................................................................................... 12 Awareness ............................................................................................................................................ 12 Communication ................................................................................................................................... 12 General ................................................................................................................................................. 12 External communication and reporting ............................................................................................ 13 Documented information .................................................................................................................... 13 General ................................................................................................................................................. 13 Creating and updating ........................................................................................................................ 13 Control of documented information .................................................................................................. 14 Operation .............................................................................................................................................. 14 Operational planning and control ...................................................................................................... 14 Design ................................................................................................................................................... 14 Procurement ........................................................................................................................................ 15 Emergency preparedness and response .......................................................................................... 15 Performance evaluation ...................................................................................................................... 15 Monitoring, measurement, analysis and evaluation ........................................................................ 15 General ................................................................................................................................................. 15 Evaluation of compliance ................................................................................................................... 16 Internal audit ........................................................................................................................................ 16 Management review ............................................................................................................................ 17 Improvement ........................................................................................................................................ 17 Nonconformity and corrective action ................................................................................................ 17 Continual improvement ...................................................................................................................... 18

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Annex A.1 A.2 A.3 A.4

A (informative) Placeholders ................................................................................................................ 19 Sub-clause 4.1 ..................................................................................................................................... 19 Sub-clause 4.4 ..................................................................................................................................... 19 Sub-clause 5.1 ..................................................................................................................................... 20 Clause 7 ............................................................................................................................................... 20

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Foreword
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. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. 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. 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. ISO 14001 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee SC 1, Environmental management systems. This second/third/... edition cancels and replaces the first/second/... edition (), [clause(s) / subclause(s) / table(s) / figure(s) / annex(es)] of which [has / have] been technically revised.

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Introduction
Organizations of all kinds are increasingly concerned with achieving and demonstrating sound environmental performance by controlling the impacts of their activities, products and services on the environment, consistent with their environmental policy and objectives. They do so in the context of increasingly stringent legislation, the development of economic policies and other measures that foster environmental protection, and increased concern expressed by interested parties about environmental matters and sustainable development. Many organizations have undertaken environmental reviews or audits to assess their environmental performance. On their own, however, these reviews and audits may not be sufficient to provide an organization with the assurance that its performance not only meets, but will continue to meet, its legal and policy requirements. To be effective, they need to be conducted within a structured management system that is integrated within the organization. International Standards covering environmental management are intended to provide organizations with the elements of an effective environmental management system (EMS) that can be integrated with other management requirements and help organizations achieve environmental and economic goals. These standards, like other International Standards, are not intended to be used to create non-tariff trade barriers or to increase or change an organization's legal obligations. This International Standard specifies requirements for an environmental management system to enable an organization to develop and implement a policy and objectives which take into account legal requirements and information about significant environmental aspects. It is intended to apply to all types and sizes of organization and to accommodate diverse geographical, cultural and social conditions. The basis of the approach is shown in Figure 1. The success of the system depends on commitment from all levels and functions of the organization, and especially from top management. A system of this kind enables an organization to develop an environmental policy, establish objectives and processes to achieve the policy commitments, take action as needed to improve its performance and demonstrate the conformity of the system to the requirements of this International Standard. The overall aim of this International Standard is to support environmental protection and prevention of pollution in balance with socio-economic needs. It should be noted that many of the requirements can be addressed concurrently or revisited at any time. The second edition of this International Standard is focused on clarification of the first edition, and has taken due consideration of the provisions of ISO 9001 to enhance the compatibility of the two standards for the benefit of the user community. For ease of use, the subclause numbers in Clause 4 of the body of this International Standard and in Annex A have been related. For example, 4.3.3 and A.3.3 both deal with objectives, targets and programme(s), and 4.5.5 and A.5.5 both deal with internal audit. In addition, Annex B identifies broad technical correspondences between ISO 14001:2004 and ISO 9001:2008 and vice versa. There is an important distinction between this International Standard, which describes the requirements for an organization's environmental management system and can be used for certification/registration and/or selfdeclaration of an organization's environmental management system, and a non-certifiable guideline intended to provide generic assistance to an organization for establishing, implementing or improving an environmental management system. Environmental management encompasses a full range of issues, including those with strategic and competitive implications. Demonstration of successful implementation of this International Standard can be used by an organization to assure interested parties that an appropriate environmental management system is in place. Guidance on supporting environmental management techniques is contained in other International Standards, particularly those on environmental management in the documents established by ISO/TC 207. Any reference to other International Standards is for information only.

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Figure 1 Environmental management system model for this International Standard ISO NOTE This International Standard is based on the methodology known as Plan-Do-Check-Act (PDCA). PDCA can be briefly described as follows.
Plan: establish the objectives and processes necessary to deliver results in accordance with the organization's environmental policy. Do: implement the processes. Check: monitor and measure processes against environmental policy, objectives, targets, legal and other requirements, and report the results. Act: take actions to continually improve performance of the environmental management system.

Many organizations manage their operations via the application of a system of processes and their interactions, which can be referred to as the process approach. ISO 9001 promotes the use of the process approach. Since PDCA can be applied to all processes, the two methodologies are considered to be compatible. This International Standard contains only those requirements that can be objectively audited. Those organizations requiring more general guidance on a broad range of environmental management system issues are referred to ISO 14004. This International Standard does not establish absolute requirements for environmental performance beyond the commitments, in the environmental policy, to comply with applicable legal requirements and with other requirements to which the organization subscribes, to prevention of pollution and to continual improvement. Thus, two organizations carrying out similar operations but having different environmental performance can both conform to its requirements.

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The adoption and implementation of a range of environmental management techniques in a systematic manner can contribute to optimal outcomes for all interested parties. However, adoption of this International Standard will not in itself guarantee optimal environmental outcomes. In order to achieve environmental objectives, the environmental management system can encourage organizations to consider implementation of the best available techniques, where appropriate and where economically viable, and fully take into account the costeffectiveness of such techniques. This International Standard does not include requirements specific to other management systems, such as those for quality, occupational health and safety, financial or risk management, though its elements can be aligned or integrated with those of other management systems. It is possible for an organization to adapt its existing management system(s) in order to establish an environmental management system that conforms to the requirements of this International Standard. It is pointed out, however, that the application of various elements of the management system might differ depending on the intended purpose and the interested parties involved. The level of detail and complexity of the environmental management system, the extent of documentation and the resources devoted to it depend on a number of factors, such as the scope of the system, the size of an organization and the nature of its activities, products and services. This may be the case in particular for small and medium-sized enterprises. 1 2

Environmental management systems Requirements with guidance for use

1 Scope

3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

This International Standard specifies the requirements for an organization to establish and implement an environmental management system. It provides a framework through which an organisation can deliver environmental performance improvement set by top management in line with its environmental policy commitments. It specifies the environmental management system requirements for an organisation to proactively achieve the following intended outcomes: a) b) c) understand its external and internal context, including the needs and expectations of interested parties; establish environmental policy and objectives; mitigate risks and manage opportunities associated with d) e) f) its significant environmental aspects external environmental conditions that affect its ability to achieve its objectives;

manage its obligation to comply with legal and other requirements, and be capable of demonstrating its compliance status; continually improve its environmental management system to enhance its environmental performance, and be capable of demonstrating the environmental performance outcomes that it achieves; and communicate with interested parties.

It applies to the environmental aspects across its [value chain/lifecycle] that the organization determines it can either control or can influence. It does not itself state specific environmental performance criteria. The requirements in this International Standard are intended to be integrated into the organisations management system and its business processes. The extent of application depends on factors such as the

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context within which the organization functions, its environmental policy commitments, and the nature of its activities, products and services.

Normative references

The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. No normative references are cited. This clause is included in order to retain clause numbering identical with the previous edition (ISO 14001:1996).

Terms and definitions

For the purposes of this document, the following terms and definitions apply. 3.01 organization person or group of people that has its own functions with responsibilities, authorities and relationships to achieve its objectives (3.12A)
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, whether incorporated or not, public or private. Note 2 to Entry organization For organizations with more than one operating unit, a single operating unit may be defined as an

3.02 interested party (preferred term) stakeholder (admitted term) person or organization (3.01) that can affect, be affected by, or perceive themselves to be affected by a decision or activity 3.02 B interested party person or group concerned with or affected by the environmental performance (3.17B) of an organization (3.01) 3.03 requirement need or expectation that is stated, generally implied or obligatory
Note 1 to Entry Generally implied means that it is custom or common practice for the organization and interested parties that the need or expectation under consideration is implied. Note 2 to Entry A specified requirement is one that is stated, for example in documented information.

3.05 environment surroundings in which an organization (3.01) operates, including air, water, land, natural resources, flora, fauna, humans, and their interrelation
Note 2 to Entry Surroundings in this context extend from within an organization (3.01) to the global system.

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3.06 environmental aspect element of an organization's (3.01) activities or products or services that can interact with the environment (3.05)
Note 1 to Entry Significant environmental aspect has or can have a significant environmental impact (3.07A).

3.07A environmental impact any change to the environment (3.05), whether adverse or beneficial, wholly or partially resulting from an organization's (3.01) environmental aspects (3.06) 3.07B environmental impact any change to the environment whether adverse or beneficial, wholly or partially resulting from an organization's (3.01) environmental aspects (3.06) or any change by the environment (3.05) on the organization. 3.08A management system set of interrelated or interacting elements of an organization (3.01) to establish policies (3.11A) and objectives (3.12) and processes (3.16A) to achieve those objectives
Note 1 to Entry Note 2 to Entry operation, etc. A management system can address a single discipline or several disciplines. The system elements include the organizations structure, roles and responsibilities, planning,

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.

3.08B environmental management system EMS part of an organization's (3.01) management system used to develop and implement its environmental policy (3.11B) and manage its environmental aspects (3.06)
Note 1 to Entry A management system is a set of interrelated elements used to establish policy and objectives and to achieve those objectives. Note 2 to Entry A management system includes organizational structure, planning activities, responsibilities, practices, procedures (3.16B), processes and resources.

3.09 top management person or group of people who directs and controls an organization (3.01) at the highest level
Note 1 to Entry Top management has the power to delegate authority and provide resources within the organization.

Note 2 to Entry If the scope of the management system (3.08A) covers only part of an organization then top management refers to those who direct and control that part of the organization.

3.10 effectiveness extent to which planned activities are realized and planned results achieved

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3.11A policy intentions and direction of an organization (3.01) as formally expressed by its top management (3.09) 3.11B environmental policy overall intentions and direction of an organization (3.01) related to its environmental performance (3.17B) as formally expressed by top management
Note 1 to Entry The environmental policy provides a framework for action and for the setting of environmental objectives (3.12B) and environmental targets (3.18).

3.12A objective result to be achieved

Note 1 to Entry An objective can be strategic, tactical, or operational.

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 (3.16A)). 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). Note 4 to Entry In the context of environmental management systems environmental objectives are set by the organization, consistent with the environmental policy, to achieve specific results.

3.12B environmental objective overall environmental goal, consistent with the environmental policy (3.11B), that an organization (3.01) sets itself to achieve 3.13 risk effect of uncertainty
Note 1 to Entry An effect is a deviation from the expected positive or negative.

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. 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. 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.

3.14 competence ability to apply knowledge and skills to achieve intended results 3.15A documented information information required to be controlled and maintained by an organization (3.01) and the medium on which it is contained
Note 1 to Entry Note 2 to Entry Documented information can be in any format and media and from any source. Documented information can refer to

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the management system (3.08A), including related processes (3.16A); information created in order for the organization to operate (documentation); evidence of results achieved (records).

3.15B document information and its supporting medium

Note 1 to entry The medium can be paper, magnetic, electronic or optical computer disc, photograph or master sample, or a combination thereof. Note 2 to entry Adapted from ISO 9000:2000, 3.7.2.

3.16A process set of interrelated or interacting activities which transforms inputs into outputs 3.16B procedure specified way to carry out an activity or a process
Note 1 to entry Note 2 to entry Procedures can be documented or not. Adapted from ISO 9000:2000, 3.4.5.

3.17A performance measurable result

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

Note 2 to entry Performance can relate to the management of activities, processes (3.16A), products (including services), systems or organizations (3.01).

3.17B environmental performance measurable results of an organization's (3.01) management of its environmental aspects (3.06)
Note 1 to entry In the context of environmental management systems (3.08B), results can be measured against the organization's (3.01) environmental policy (3.11B), environmental objectives (3.12B), environmental targets (3.18) and other environmental performance requirements.

3.XX indicator measureable representation of the condition or status of operations, management or conditions [Source: ISO/DIS 14031:2012] 3.XX key performance indicator KPI indicator of performance deemed by an organization to be significant and giving prominence and attention to certain aspects
Note 1 to entry Key performance indicators may be selected for Operational Performance Indicators (OPIs), Management Performance Indicators (MPIs) and Environmental Performance Indicators (EPIs)

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[Source: ISO/DIS 14031:2012] 3.18 environmental target detailed performance requirement, applicable to the organization (3.01) or parts thereof, that arises from the environmental objectives (3.12B) and that needs to be set and met in order to achieve those objectives 3.19 outsource (verb) make an arrangement where an external organization (3.01) performs part of an organizations function or process (3.16A)
Note 1 to entry An external organization is outside the scope of the management system (3.08A), although the outsourced function or process is within the scope.

3.20 monitoring determining the status of a system, a process (3.16A) or an activity

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

3.21 measurement process (3.16A) to determine a value 3.22A audit systematic, independent and documented process (3.16A) for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry An audit can be an internal audit (first party) or an external audit (second party or third party), and it can be a combined audit (combining two or more disciplines). Note 2 to entry Audit evidence and audit criteria are defined in ISO 19011.

3.22B internal audit systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the environmental management system audit criteria set by the organization (3.01) are fulfilled
Note 1 to entry In many cases, particularly in smaller organizations, independence can be demonstrated by the freedom from responsibility for the activity being audited.

3.23 auditor person with the competence to conduct an audit [Source: ISO 9000:2000, 3.9.9] 3.24 conformity fulfilment of a requirement (3.03) 3.25 nonconformity non-fulfilment of a requirement (3.03) [Source: ISO 9000:2000, 3.6.2]

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3.26 correction action to eliminate a detected nonconformity (3.25) 3.27A corrective action action to eliminate the cause of a nonconformity (3.25) and to prevent recurrence 3.27B corrective action action to eliminate the cause of a detected nonconformity (3.25) 3.28 preventive action action to eliminate the cause of a potential nonconformity (3.25) 3.29A continual improvement recurring activity to enhance performance (3.17A) 3.29B continual improvement recurring process of enhancing the environmental management system (3.08B) in order to achieve improvements in overall environmental performance (3.17B) consistent with the organization's (3.01) environmental policy (3.11B)
Note 1 to entry The process need not take place in all areas of activity simultaneously.

3.30 prevention of pollution use of processes, 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 (3.07A)
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.

3.31 record document (3.15B) stating results achieved or providing evidence of activities performed
Note 1 to entry Adapted from ISO 9000:2000, 3.7.6.

Context of the organization

4.1 Understanding the organization and its context

The organization shall determine evaluate and understand the external and internal issues context that are is relevant to its purpose and that affects its ability to achieve the [intended outcome(s)/policy commitments] of its environmental management system. The knowledge gained shall be [considered, taken into account] when designing the organizations environmental management system.
NOTE See Annex A.

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4.2 Understanding the needs and expectations of interested parties

The organization shall determine determine the interested parties that are relevant to the environmental management system, and [understand/identify/determine] the requirements needs and expectations of these interested parties.

The knowledge gained shall be considered when designing the organizations environmental management system.

4.3 Determining the scope of the environmental management system

The organization shall determine the boundaries and applicability of the environmental management system to establish its scope. When determining this scope, the organization shall consider the external and internal issues context referred to in 4.1, and the requirements needs and expectations referred to in 4.2.

The scope shall be available as documented information.

4.4 Environmental management system

The organization shall establish, document, 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. The organization shall determine how it will fulfil these requirements.
NOTE Explanatory text was moved to Annex A.

Leadership

5.1 Leadership and commitment

Top management shall demonstrate leadership and commitment with respect to the environmental management system by understanding the organization's context and ensuring that knowledge is taken into account when establishing the environmental management system; ensuring that the environmental policy and environmental objectives are established and are compatible with the strategic direction of the organization; ensuring the integration of the environmental management system requirements into the organizations business processes; ensuring that the resources needed for the environmental management system are available; internally communicating the importance of effective environmental management and of conforming to the environmental management system requirements; ensuring that the environmental management system achieves its [intended outcome(s), policy commitments];

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directing and supporting persons to contribute to the effectiveness of the environmental management system; promoting continual improvement; supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.
Explanatory text was moved to Annex A.

NOTE

5.2 Policy
Top management shall establish an environmental policy that, within the defined scope of its environmental management system, is appropriate to the purpose and context of the organization, is appropriate and to the nature, scale and environmental impacts of its activities, products and services, includes a commitment to mitigate its risks and manage opportunities associated with prevention of pollution, sustainable resource use, climate change mitigation and adaptation, and protection of the environment, biodiversity and restoration of natural habitats, provides a framework for setting environmental objectives and targets, includes a commitment to satisfy applicable requirements, including compliance to legal requirements and other requirements to which the organization subscribes, and includes a commitment to continual improvement of the environmental management system to enhance its environmental performance in line with the environmental policy as set by top management.

The environmental policy shall be available as documented information, be communicated within the organization, including persons working on behalf of the organization, be available to interested parties, as appropriate.

5.3 Organization roles, responsibilities and authorities

Top management shall ensure that the responsibilities and authorities for relevant roles within the environmental management system are assigned and communicated within the organization. Top management shall assign a management representative who, irrespective of other job responsibilities, shall have the responsibility and authority for: a) b) ensuring that the environmental management system conforms to the requirements of this International Standard: and reporting on the performance of the environmental management system to top management during the management review.

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Planning

6.1 Actions to address risks and opportunities

6.1.1 General

When planning for the environmental management system, the organization shall consider the issues context referred to in 4.1, and the requirements the needs and expectations of interested parties referred to in 4.2 and determine as provided in 6.1.2 and 6.1.3 the risks and opportunities that need to be addressed to assure the environmental management system can achieve its intended outcome(s) prevent, or reduce, undesired effects achieve continual improvement. Environmental aspects

6.1.2

The organization shall establish, implement and maintain a procedure(s): a) to identify the environmental aspects 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, taking into account planned or new developments, or new or modified activities, products and services; [to identify the environmental [aspects/conditions] originating outside the organization capable of affecting the organizations activities, products and services]; and to determine those environmental aspects that have or can have significant impact(s) on the environment or the organization (i.e. significant environmental aspects).

b) c)

The organization shall document this information and keep it up to date. The organization shall ensure that the significant environmental aspects are taken into account in establishing, implementing and maintaining its environmental management system. 6.1.3 Legal and other requirements

The organization shall establish, implement and maintain a procedure(s) a) b) to identify and have access to the applicable legal requirements and other requirements to which the organization subscribes related to its environmental aspects, and to determine how these requirements apply to its environmental aspects.

The organization shall ensure that these applicable legal requirements and other requirements to which the organization subscribes are taken into account in establishing, implementing and maintaining its environmental management system. The organization shall plan: a) b) actions to address these risks and opportunities, and how to integrate and implement the actions into its environmental management system processes

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evaluate the effectiveness of these actions.

6.2 Environmental objectives and planning to achieve them

6.2.1 Environmental objectives

The organization shall establish environmental objectives at relevant functions and levels. The environmental objectives shall be consistent with the environmental policy, be measurable (if practicable), take into account the organizations significant environmental aspects, legal requirements and applicable requirements to which the organization subscribes, be developed considering the organizations technological options, its financial, operational and business requirements, and the views of interested parties, be monitored, be communicated, and be updated as appropriate.

The organization shall retain documented information on the environmental objectives. 6.2.2 Environmental performance indicators and improvement programmes

For each objective, the organization shall define key performance indicators against which performance shall be evaluated, demonstrated and communicated. When planning a programme(s) how to achieve its environmental objectives and improve environmental performance, the organization shall determine what will be done what resources will be required who will be responsible when it will be completed how the results will be evaluated, including the indicators necessary to demonstrate performance.

Support

7.1 Resources
The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the environmental management system.
NOTE See Annex A.

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7.2 Competence
The organization shall establish, implement and maintain a procedure(s) to determine the necessary competence of person(s) doing work under its control or on its behalf that affects its environmental performance and that has the potential to cause a significant environmental impact(s), and ensure that these persons are competent on the basis of appropriate education, training, skills or experience; where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken, and retain appropriate documented information as evidence of competence.

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.

7.3 Awareness
The organization shall establish, implement and maintain a procedure(s) to ensure that persons doing work under the organizations control shall be aware of the environmental policy the importance of conformity with the environmental policy and procedures and with the requirements of the environmental management system, the significant environmental aspects and related actual or potential impacts associated with their work, including the legal requirements, their roles and responsibilities in achieving conformity with the requirements of the environmental management system, and their contribution to the effectiveness of the environmental management system, including the benefits of improved environmental performance the implications of not conforming with the environmental management system requirements.

7.4 Communication
7.4.1 General

The organization shall determine the need for its strategy for internal and external communications relevant to the environmental management system including on what it will communicate when to communicate with whom to communicate the needs and expectations of interested parties (4.2) communication methods, tools and approaches.

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With regard to its environmental aspects and environmental management system, the organization shall establish, implement and maintain a procedure(s) for a) b) internal communication among the various levels and functions of the organization, receiving, documenting and responding to relevant communication from external interested parties. External communication and reporting

7.4.2

The organization shall report environmental information externally as required by legal and other requirements, and as determined by its communication strategy. Data and information that is communicated externally shall be truthful and not misleading. When the organization communicates externally on its environmental performance, including that relating to its products, the communication shall be: Based on and consistent with the information generated within the environmental management system and with the internal evaluation of the organizations environmental performance (9.1) Complete, accurate, transparent and reliable, taking into account: legal and other requirements, the needs and expectations of interested parties.

7.5 Documented information

7.5.1 General

The organizations environmental management system shall include description of the main elements of the environmental management system and their interaction, and reference to related documented information. documented information required by this International Standard documented information determined by the organization as being necessary for [and to demonstrate (or remove "to demonstrate" to leadership?)] for the effectiveness of the environmental management system.

NOTE The extent of documented information for a environmental management system can differ from one organization to another due to NOTE the size of organization and its type of activities, processes, products and services, the complexity of processes and their interactions, and the competence of persons. Note was moved to Annex A.

The organization shall establish, implement and maintain a procedure to create, update and control the documented information associated with the environmental management system. 7.5.2 Creating and updating

When creating and updating documented information the organization shall ensure appropriate identification and description (e.g. a title, date, author, or reference number) format (e.g. language, software version, graphics) and media (e.g. paper, electronic) review and approval for suitability and adequacy.

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7.5.3

Control of documented information

Documented information required by the environmental management system and by this International Standard shall be controlled to ensure it is available and suitable for use, where and when it is needed it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).

For the control of documented information, the organization shall address the following activities, as applicable distribution, access, retrieval and use, storage and preservation, including preservation of legibility control of changes (e.g. version control) retention and disposition

Documented information of external origin determined by the organization to be necessary for the planning and operation of the environmental management system shall be identified as appropriate, and controlled as appropriate.
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. NOTE Note moved to Annex A.

Operation

8.1 Operational planning and control

Organization shall ensure that operations associated with its significant environmental aspects are carried out under specified conditions. The organization shall plan, implement and control the processes, assets and materials needed to meet applicable environmental requirements, to be consistent with its environmental policy and objectives and to implement the actions determined in 6.1, by establishing criteria for the processes, assets and materials implementing control of the processes, assets and materials in accordance with the criteria creating documented information to control situations where its absence could lead to deviation from the environmental policy, objectives and legal requirements and other requirements, and keeping documented information to the extent necessary to have confidence that the processes have been carried out as planned, the integrity of assets is maintained, and materials conform to requirements.

The organization shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary. {Note to WG5 Experts: Using 14001:2004 parlance, 3rd bullet is document, 4 bullet is record}
th

8.2 Design
The organization shall consider improvement opportunities and operational control in the design of new, modified facilities, equipment, systems and processes that can have a significant impact on its environmental

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performance, and shall be incorporated where appropriate into the specification, design and procurement activities of the relevant project(s).

8.3 Procurement
The organization shall ensure that the identified significant environmental aspects within the scope of the EMS that are related to goods and services or outsourced processes used by the organization are controlled by establishing, implementing and maintaining a procedure(s) to: inform suppliers that procurement is partly evaluated on the basis of environmental impacts. establish and implement criteria for assessing significant environmental aspects that it can control and that it can influence over the planned or expected operating lifecycle. define and communicate the applicable procedure(s) and requirement(s) to suppliers, including contractors

NOTE 1 Goods and services includes the [value chain/lifecycle] of the activity, product or service, which includes, for example, transport, packaging and end-use/disposal. NOTE 2 The nature of the organizations control over the purchase of goods and services or outsourced processes will depend on its importance, the risk of deviation from the environmental policy and objectives, opportunities available, the organizations control and influence, the interaction with other environmental management system processes, the competence of the supplier to meet the requirements of the organizations environmental management system, and the technical competence of the organization to define appropriate controls or assess the adequacy of the outsource process controls.

8.4 Emergency preparedness and response

The organization shall establish, implement and maintain a procedure(s) to identify potential emergency situations and potential accidents that can have an impact(s) on the environment; take action to prevent occurrence or reduce consequences of potential emergency situations, appropriate to the magnitude of the problem and the potential environmental impact; respond to actual emergency situations and accidents and prevent or mitigate associated adverse environmental impacts; periodically review and, where necessary, revise its emergency preparedness and response procedures, in particular, after the occurrence of accidents or emergency situations; periodically test such procedures where practicable.

Performance evaluation

9.1 Monitoring, measurement, analysis and evaluation

9.1.1 General

The organization shall establish, implement and maintain a procedure(s) to determine what needs to be monitored and measured, including the key characteristics of its operations that can have a significant environmental impact, information necessary for the evaluation of compliance as appropriate

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applicable operational controls progress towards the organizations environmental objectives and targets the criteria against which the organization will evaluate its performance the methods for monitoring, measurement, analysis and evaluation including indicators, as applicable, to ensure valid results when the monitoring and measuring shall be performed when the results from monitoring and measurement shall be analysed and evaluated.

The organization shall ensure that calibrated or verified monitoring and measurement equipment is used and maintained as appropriate. The organization shall retain appropriate documented information as evidence of the results. The organization shall evaluate the environmental performance and the effectiveness of the environmental management system. 9.1.2 Evaluation of compliance

The organization shall establish, implement, and maintain a procedure(s) for periodically evaluating compliance with applicable legal requirements. Consistent with its commitment to compliance, the organization shall evaluate compliance with legal requirements and other requirements to which it subscribes maintain knowledge and understanding of its compliance status, take actions if needed to [achieve and/or maintain] compliance.

The organization shall keep records of the results of the(se) periodic evaluation(s).

9.2 Internal audit

The organization shall conduct internal audits at planned intervals to provide information on whether the environmental management system; a) b) conforms to the organizations own requirements for its environmental management system the requirements of this International Standard; is effectively implemented and maintained.

The organization shall: 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 and the results of previous audits; define the audit criteria and scope for each audit;

b)

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c) d) e)

select auditors and conduct audits to ensure objectivity and the impartiality of the audit process; ensure that the results of the audits are reported to relevant management, and retain documented information as evidence of the implementation of the audit programme and the audit results.

9.3 Management review

Top management shall review the organization's environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness. The management review shall include consideration of: a) b) the status of actions from previous management reviews; changes in external and internal issues context of the organization that are relevant to the environmental management system including changes in needs and expectations of interested parties, developments in legal requirements, c) changes in risks and opportunities;

information on the environmental performance, including trends in: nonconformities and corrective actions; monitoring and measurement results, including the extent to which objectives and targets have been met;

compliance with legal requirements and with other requirements to which the organization subscribes; and d) audit results;

opportunities for continual improvement.

The outputs of the management review shall include decisions related to continual improvement opportunities for environmental performance and any need for changes to the environmental management system, including the environmental policy and environmental objectives and targets consistent with the strategic direction of the organization. The organization shall retain documented information as evidence of the results of management reviews.

10 Improvement
10.1 Nonconformity and corrective action
The organization shall establish, implement and maintain a procedure(s) for dealing with nonconformities and taking corrective action. When a nonconformity occurs, the organization shall: a) react to the nonconformity, and as applicable

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take action to control and correct it, and deal with the consequences, including the mitigation of any environmental impact;

evaluate the need for action to eliminate the causes of the nonconformity, in order that it does not recur or occur elsewhere, by reviewing the nonconformity determining the causes of the nonconformity, and

determining if similar nonconformities exist, or could potentially occur; implement any action needed; review the effectiveness of any corrective action taken; and make changes to the environmental management system, if necessary.

Corrective actions shall be appropriate to the effects of the magnitude of the nonconformities encountered including impacts on the environment. The organization shall retain documented information as evidence of the nature of the nonconformities and any subsequent actions taken, and the results of any corrective action.

10.2 Continual improvement

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

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Annex A (informative) Placeholders

630 631 632 633 634 635 636 637 638 639 640 641 642 643 644 645 646 647 648 649 650 651 652 653 654 655 656 657

The text included regarding Annex A is for information only and specific comments are not required at this stage.

A.1 Sub-clauses 4.1 and 4.2

The evaluation of external context may include: the cultural, social, political, legal, regulatory, financial, technological, economic, natural and competitive environment, whether international, national, regional or local; key drivers and trends having impact on the objectives of the organization; and relationships with, and perceptions and values of external stakeholders the effect environmental conditions such as prevention of pollution, sustainable resource use, climate change mitigation and adaption, and protection of the environment, biodiversity and restoration of natural habitats, etc, have on an organizations ability to achieve its objectives.

The evaluation of internal context may include: governance, organizational structure, roles and accountabilities; policies, objectives, and the strategies that are in place to achieve them; the capabilities, understood in terms of resources and knowledge (e.g. capital, time, people, processes, systems and technologies); information systems, information flows and decision-making processes (both formal and informal); relationships with, and perceptions and values of, internal stakeholders; the organization's culture; standards, guidelines and models adopted by the organization; and form and extent of contractual relationships the organizations contribution to environmental conditions such as prevention of pollution, sustainable resource use, climate change mitigation and adaption, and protection of the environment, biodiversity and restoration of natural habitats.

A.2 Sub-clause 4.4

[No consensus reached: The organization retains autonomy to decide how it will fulfil these requirements, including how it will integrate EMS requirements into its business processes] [specified way?] [4.4/scope/Annex?]

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A.3 Sub-clause 5.1

NOTE Reference to business in this International Standard should be interpreted broadly to mean those activities that are core to the purposes of the organizations existence. needs further, clearer explanation

A.4 Clause 7
Resources include human resources and specialized skills, organizational infrastructure, technology and financial resources (cut from 7.1).
NOTE The extent of documented information for an environmental management system can differ from one organization to another due to

the size of organization and its type of activities, processes, products and services, the complexity of processes and their interactions, and the competence of persons.

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

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