PROOF/ÉPREUVE
A Reference numberISO 14001:1996(E)
INTERNATIONALSTANDARD
ISO14001
First edition1996-09-01
Environmental management systems —Specification with guidance for use
Systèmes de management environnemental — Spécification et lignesdirectrices pour son utilisation
ISO 14001:1996(E)
© ISO 1996
All rights reserved. Unless otherwise specified, no part of this publication may be reproducedor utilized in any form or by any means, electronic or mechanical, including photocopying andmicrofilm, without permission in writing from the publisher.
International Organization for StandardizationCase Postale 56 · CH-1211 Genève 20 · Switzerland
Printed in Switzerland
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Contents Page
1 Scope........................................................................................... 1
2 Normative references .................................................................. 1
3 Definitions .................................................................................... 1
4 Environmental management system requirements ..................... 2
4.1 General requirements........................................................... 2
4.2 Environmental policy............................................................. 2
4.3 Planning................................................................................ 3
4.3.1 Environmental aspects ............................................... 3
4.3.2 Legal and other requirements .................................... 3
4.3.3 Objectives and targets................................................ 3
4.3.4 Environmental management programme(s)............... 3
4.4 Implementation and operation .............................................. 3
4.4.1 Structure and responsibility ........................................ 3
4.4.2 Training, awareness and competence ....................... 3
4.4.3 Communication........................................................... 4
4.4.4 Environmental management system documentation . 4
4.4.5 Document control ....................................................... 4
4.4.6 Operational control ..................................................... 4
4.4.7 Emergency preparedness and response ................... 4
4.5 Checking and corrective action ............................................ 4
4.5.1 Monitoring and measurement..................................... 4
4.5.2 Nonconformance and corrective and preventiveaction.......................................................................... 5
4.5.3 Records ...................................................................... 5
4.5.4 Environmental management system audit ................. 5
4.6 Management review ............................................................. 5
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Annexes
A Guidance on the use of the specification ..................................... 6
B Links between ISO 14001 and ISO 9001..................................... 11
C Bibliography ................................................................................. 14
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Foreword
ISO (the International Organization for Standardization) is a worldwide fed-eration of national standards bodies (ISO member bodies). The work ofpreparing International Standards is normally carried out through ISOtechnical committees. Each member body interested in a subject for whicha technical committee has been established has the right to be representedon that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collab-orates closely with the International Electrotechnical Commission (IEC) onall matters of electrotechnical standardization.
Draft International Standards adopted by the technical committees are cir-culated to the member bodies for voting. Publication as an InternationalStandard requires approval by at least 75 % of the member bodies castinga vote.
International Standard ISO 14001 was prepared by Technical CommitteeISO/TC 207, Environmental management, Subcommittee SC 1, Environ-mental management systems.
Annexes A, B and C of this International Standard are for information only.
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Introduction
Organizations of all kinds are increasingly concerned to achieve and dem-onstrate sound environmental performance by controlling the impact oftheir activities, products or services on the environment, taking into accounttheir environmental policy and objectives. They do so in the context of in-creasingly stringent legislation, the development of economic policies andother measures to foster environmental protection, and a general growth ofconcern from interested parties about environmental matters includingsustainable development.
Many organizations have undertaken environmental “reviews” or “audits” toassess their environmental performance. On their own, however, these“reviews” and “audits” may not be sufficient to provide an organization withthe assurance that its performance not only meets, but will continue tomeet, its legal and policy requirements. To be effective, they need to beconducted within a structured management system and integrated withoverall management activity.
International Standards covering environmental management are intendedto provide organizations with the elements of an effective environmentalmanagement system which can be integrated with other management re-quirements, to assist organizations to achieve environmental and economicgoals. These Standards, like other International Standards, are not in-tended to be used to create non-tariff trade barriers or to increase orchange an organization's legal obligations.
This International Standard specifies the requirements of such an environ-mental management system. It has been written to be applicable to alltypes and sizes of organizations and to accommodate diverse geographi-cal, cultural and social conditions. The basis of the approach is shown infigure 1. The success of the system depends on commitment from alllevels and functions, especially from top management. A system of thiskind enables an organization to establish, and assess the effectiveness of,procedures to set an environmental policy and objectives, achieve con-formance with them, and demonstrate such conformance to others. Theoverall aim of this International Standard is to support environmental pro-tection and prevention of pollution in balance with socio-economic needs. Itshould be noted that many of the requirements may be addressed concur-rently or revisited at any time.
There is an important distinction between this specification which describesthe requirements for certification/registration and/or self-declaration of anorganization's environmental management system and a non-certifiableguideline intended to provide generic assistance to an organization for im-plementing or improving an environmental management system. Environ-mental management encompasses a full range of issues including thosewith strategic and competitive implications. Demonstration of successfulimplementation of this International Standard can be used by an organ-
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ization to assure interested parties that an appropriate environmental man-agement system is in place.
Figure 1 — Environmental management system model for thisInternational Standard
Guidance on supporting environmental management techniques will becontained in other International Standards.
This International Standard contains only those requirements that may beobjectively audited for certification/registration purposes and/or self-declaration purposes. Those organizations requiring more general guid-ance on a broad range of environmental management system issuesshould refer to ISO 14004:1996, Environmental management systems —General guidelines on principles, systems and supporting techniques.
It should be noted that this International Standard does not establish absol-ute requirements for environmental performance beyond commitment, inthe policy, to compliance with applicable legislation and regulations and tocontinual improvement. Thus, two organizations carrying out similar ac-tivities but having different environmental performance may both complywith its requirements.
The adoption and implementation of a range of environmental managementtechniques in a systematic manner can contribute to optimal outcomes forall interested parties. However, adoption of this International Standard willnot in itself guarantee optimal environmental outcomes. In order to achieveenvironmental objectives, the environmental management system shouldencourage organizations to consider implementation of the best availabletechnology, where appropriate and where economically viable. In addition,
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the cost effectiveness of such technology should be fully taken into ac-count.
This International Standard is not intended to address, and does not in-clude requirements for, aspects of occupational health and safety man-agement; however, it does not seek to discourage an organization fromdeveloping integration of such management system elements. Neverthe-less, the certification/registration process will only be applicable to aspectsof the environmental management system.
This International Standard shares common management system princi-ples with the ISO 9000 series of quality system Standards. Organizationsmay elect to use an existing management system consistent with theISO 9000 series as a basis for its environmental management system. Itshould be understood, however, that the application of various elements ofthe management system may differ due to different purposes and differentinterested parties. While quality management systems deal with customerneeds, environmental management systems address the needs of a broadrange of interested parties and the evolving needs of society for environ-mental protection.
The environmental management system requirements specified in this In-ternational Standard do not need to be established independently of exist-ing management system elements. In some cases, it will be possible tocomply with the requirements by adapting existing management systemelements.
INTERNATIONAL STANDARD © ISO ISO 14001:1996(E)
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Environmental management systems — Specification withguidance for use
1 Scope
This International Standard specifies requirements foran environmental management system, to enable anorganization to formulate a policy and objectives tak-ing into account legislative requirements and infor-mation about significant environmental impacts. Itapplies to those environmental aspects which the or-ganization can control and over which it can be ex-pected to have an influence. It does not itself statespecific environmental performance criteria.
This International Standard is applicable to any or-ganization that wishes to
a) implement, maintain and improve an environ-mental management system;
b) assure itself of its conformance with its statedenvironmental policy;
c) demonstrate such conformance to others;
d) seek certification/registration of its environmentalmanagement system by an external organization;
e) make a self-determination and self-declaration ofconformance with this International Standard.
All the requirements in this International Standard areintended to be incorporated into any environmentalmanagement system. The extent of the application willdepend on such factors as the environmental policy ofthe organization, the nature of its activities and theconditions in which it operates. This InternationalStandard also provides, in annex A, informative guid-ance on the use of the specification.
The scope of any application of this InternationalStandard must be clearly identified.
NOTE — For ease of use, the subclause of the specificationand annex A have related numbers; thus, for example,
4.3.3. and A.3.3 both deal with environmental objectivesand targets, and 4.5.4 and A.5.4 both deal with environ-mental management system audit.
2 Normative references
There are no normative references at present.
3 Definitions
For the purposes of this International Standard, thefollowing definitions apply.
3.1continual improvementprocess of enhancing the environmental managementsystem to achieve improvements in overall environ-mental performance in line with the organization's en-vironmental policy
NOTE — The process need not take place in all areas ofactivity simultaneously.
3.2environmentsurroundings in which an organization operates, in-cluding air, water, land, natural resources, flora, fauna,humans, and their interrelation
NOTE — Surroundings in this context extend from within anorganization to the global system.
3.3environmental aspectelement of an organization's activities, products orservices that can interact with the environment
NOTE — A significant environmental aspect is an environ-mental aspect that has or can have a significant environ-mental impact.
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3.4environmental impactany change to the environment, whether adverse orbeneficial, wholly or partially resulting from an organ-ization's activities, products or services
3.5environmental management systemthe part of the overall management system that in-cludes organizational structure, planning activities, re-sponsibilities, practices, procedures, processes andresources for developing, implementing, achieving,reviewing and maintaining the environmental policy
3.6environmental management system audita systematic and documented verification process ofobjectively obtaining and evaluating evidence to de-termine whether an organization's environmentalmanagement system conforms to the environmentalmanagement system audit criteria set by the organ-ization, and for communication of the results of thisprocess to management
3.7environmental objectiveoverall environmental goal, arising from the environ-mental policy, that an organization sets itself toachieve, and which is quantified where practicable
3.8environmental performancemeasurable results of the environmental managementsystem, related to an organization's control of its envi-ronmental aspects, based on its environmental policy,objectives and targets
3.9environmental policystatement by the organization of its intentions andprinciples in relation to its overall environmental per-formance which provides a framework for action andfor the setting of its environmental objectives and tar-gets
3.10environmental targetdetailed performance requirement, quantified wherepracticable, applicable to the organization or partsthereof, that arises from the environmental objectivesand that needs to be set and met in order to achievethose objectives
3.11interested partyindividual or group concerned with or affected by theenvironmental performance of an organization
3.12organizationcompany, corporation, firm, enterprise, authority orinstitution, or part or combination thereof, whether in-corporated or not, public or private, that has its ownfunctions and administration
NOTE — For organizations with more than one operatingunit, a single operating unit may be defined as an organiz-ation.
3.13prevention of pollutionuse of processes, practices, materials or products thatavoid, reduce or control pollution, which may includerecycling, treatment, process changes, controlmechanisms, efficient use of resources and materialsubstitution
NOTE — The potential benefits of prevention of pollutioninclude the reduction of adverse environmental impacts,improved efficiency and reduced costs.
4 Environmental management systemrequirements
4.1 General requirements
The organization shall establish and maintain an en-vironmental management system, the requirements ofwhich are described in the whole of clause 4.
4.2 Environmental policy
Top management shall define the organization's en-vironmental policy and ensure that it
a) is appropriate to the nature, scale and environ-mental impacts of its activities, products or ser-vices;
b) includes a commitment to continual improvementand prevention of pollution;
c) includes a commitment to comply with relevantenvironmental legislation and regulations, andwith other requirements to which the organizationsubscribes;
d) provides the framework for setting and reviewingenvironmental objectives and targets;
e) is documented, implemented and maintained andcommunicated to all employees;
f) is available to the public.
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4.3 Planning
4.3.1 Environmental aspects
The organization shall establish and maintain (a) pro-cedure(s) to identify the environmental aspects of itsactivities, products or services that it can control andover which it can be expected to have an influence, inorder to determine those which have or can havesignificant impacts on the environment. The organ-ization shall ensure that the aspects related to thesesignificant impacts are considered in setting its en-vironmental objectives.
The organization shall keep this information up-to-date.
4.3.2 Legal and other requirements
The organization shall establish and maintain a pro-cedure to identify and have access to legal and otherrequirements to which the organization subscribes,that are applicable to the environmental aspects of itsactivities, products or services.
4.3.3 Objectives and targets
The organization shall establish and maintain docu-mented environmental objectives and targets, at eachrelevant function and level within the organization.
When establishing and reviewing its objectives, anorganization shall consider the legal and other re-quirements, its significant environmental aspects, itstechnological options and its financial, operational andbusiness requirements, and the views of interestedparties.
The objectives and targets shall be consistent with theenvironmental policy, including the commitment toprevention of pollution.
4.3.4 Environmental management programme(s)
The organization shall establish and maintain (a) pro-gramme(s) for achieving its objectives and targets. Itshall include
a) designation of responsibility for achieving objec-tives and targets at each relevant function andlevel of the organization;
b) the means and time-frame by which they are to beachieved.
If a project relates to new developments and newor modified activities, products or services, pro-gramme(s) shall be amended where relevant to en-sure that environmental management applies to suchprojects.
4.4 Implementation and operation
4.4.1 Structure and responsibility
Roles, responsibility and authorities shall be defined,documented and communicated in order to facilitateeffective environmental management.
Management shall provide resources essential to theimplementation and control of the environmental man-agement system. Resources include human resourcesand specialized skills, technology and financial re-sources.
The organization's top management shall appoint (a)specific management representative(s) who, irrespec-tive of other responsibilities, shall have defined roles,responsibilities and authority for
a) ensuring that environmental management systemrequirements are established, implemented andmaintained in accordance with this InternationalStandard;
b) reporting on the performance of the environmentalmanagement system to top management for re-view and as a basis for improvement of the en-vironmental management system.
4.4.2 Training, awareness and competence
The organization shall identify training needs. It shallrequire that all personnel whose work may create asignificant impact upon the environment, have re-ceived appropriate training.
It shall establish and maintain procedures to make itsemployees or members at each relevant function andlevel aware of
a) the importance of conformance with the environ-mental policy and procedures and with the re-quirements of the environmental managementsystem;
b) the significant environmental impacts, actual orpotential, of their work activities and the environ-mental benefits of improved personal perform-ance;
c) their roles and responsibilities in achieving con-formance with the environmental policy and pro-cedures and with the requirements of theenvironmental management system, includingemergency preparedness and response require-ments;
d) the potential consequences of departure fromspecified operating procedures.
Personnel performing the tasks which can cause sig-nificant environmental impacts shall be competent on
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the basis of appropriate education, training and/or ex-perience.
4.4.3 Communication
With regard to its environmental aspects and environ-mental management system, the organization shallestablish and maintain procedures for
a) internal communication between the variouslevels and functions of the organization;
b) receiving, documenting and responding to rel-evant communication from external interestedparties.
The organization shall consider processes for externalcommunication on its significant environmental as-pects and record its decision.
4.4.4 Environmental management systemdocumentation
The organization shall establish and maintain inform-ation, in paper or electronic form, to
a) describe the core elements of the managementsystem and their interaction;
b) provide direction to related documentation.
4.4.5 Document control
The organization shall establish and maintain pro-cedures for controlling all documents required by thisInternational Standard to ensure that
a) they can be located;
b) they are periodically reviewed, revised as necess-ary and approved for adequacy by authorizedpersonnel;
c) the current versions of relevant documents areavailable at all locations where operations essen-tial to the effective functioning of the environ-mental management system are performed;
d) obsolete documents are promptly removed fromall points of issue and points of use, or otherwiseassured against unintended use;
e) any obsolete documents retained for legal and/orknowledge preservation purposes are suitablyidentified.
Documentation shall be legible, dated (with dates ofrevision) and readily identifiable, maintained in an or-derly manner and retained for a specified period. Pro-cedures and responsibilities shall be established andmaintained concerning the creation and modification ofthe various types of document.
4.4.6 Operational control
The organization shall identify those operations andactivities that are associated with the identified signifi-cant environmental aspects in line with its policy, ob-jectives and targets. The organization shall plan theseactivities, including maintenance, in order to ensurethat they are carried out under specified conditions by
a) establishing and maintaining documented pro-cedures to cover situations where their absencecould lead to deviations from the environmentalpolicy and the objectives and targets;
b) stipulating operating criteria in the procedures;
c) establishing and maintaining procedures relatedto the identifiable significant environmental as-pects of goods and services used by the organ-ization and communicating relevant proceduresand requirements to suppliers and contractors.
4.4.7 Emergency preparedness and response
The organization shall establish and maintain pro-cedures to identify potential for and respond to acci-dents and emergency situations, and for preventingand mitigating the environmental impacts that may beassociated with them.
The organization shall review and revise, where nec-essary, its emergency preparedness and responseprocedures, in particular, after the occurrence of acci-dents or emergency situations.
The organization shall also periodically test such pro-cedures where practicable.
4.5 Checking and corrective action
4.5.1 Monitoring and measurement
The organization shall establish and maintain docu-mented procedures to monitor and measure, on aregular basis, the key characteristics of its operationsand activities that can have a significant impact on theenvironment. This shall include the recording ofinformation to track performance, relevant operationalcontrols and conformance with the organization's en-vironmental objectives and targets.
Monitoring equipment shall be calibrated and main-tained and records of this process shall be retainedaccording to the organization's procedures.
The organization shall establish and maintain a docu-mented procedure for periodically evaluating compli-ance with relevant environmental legislation andregulations.
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4.5.2 Nonconformance and corrective andpreventive action
The organization shall establish and maintain pro-cedures for defining responsibility and authority forhandling and investigating nonconformance, takingaction to mitigate any impacts caused and for initiatingand completing corrective and preventive action.
Any corrective or preventive action taken to eliminatethe causes of actual and potential nonconformancesshall be appropriate to the magnitude of problems andcommensurate with the environmental impact encoun-tered.
The organization shall implement and record anychanges in the documented procedures resulting fromcorrective and preventive action.
4.5.3 Records
The organization shall establish and maintain pro-cedures for the identification, maintenance and dispo-sition of environmental records. These records shallinclude training records and the results of audits andreviews.
Environmental records shall be legible, identifiable andtraceable to the activity, product or service involved.Environmental records shall be stored and maintainedin such a way that they are readily retrievable andprotected against damage, deterioration or loss. Theirretention times shall be established and recorded.
Records shall be maintained, as appropriate to thesystem and to the organization, to demonstrate con-formance to the requirements of this InternationalStandard.
4.5.4 Environmental management system audit
The organization shall establish and maintain (a) pro-gramme(s) and procedures for periodic environmental
management system audits to be carried out, in orderto
a) determine whether or not the environmental man-agement system
1) conforms to planned arrangements for en-vironmental management including the re-quirements of this International Standard; and
2) has been properly implemented and main-tained; and
b) provide information on the results of audits tomanagement.
The organization's audit programme, including anyschedule, shall be based on the environmental import-ance of the activity concerned and the results of pre-vious audits. In order to be comprehensive, the auditprocedures shall cover the audit scope, frequency andmethodologies, as well as the responsibilities and re-quirements for conducting audits and reporting results.
4.6 Management review
The organization's top management shall, at intervalsthat it determines, review the environmental manage-ment system, to ensure its continuing suitability, ad-equacy and effectiveness. The management reviewprocess shall ensure that the necessary information iscollected to allow management to carry out thisevaluation. This review shall be documented.
The management review shall address the possibleneed for changes to policy, objectives and other el-ements of the environmental management system, inthe light of environmental management system auditresults, changing circumstances and the commitmentto continual improvement.
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Annex A(informative)
Guidance on the use of the specification
This annex gives additional information on the re-quirements and is intended to avoid misinterpretationof the specification. This annex only addresses theenvironmental management system requirements con-tained in clause 4.
A.1 General requirements
It is intended that the implementation of an environ-mental management system described by the speci-fication will result in improved environmental perform-ance. The specification is based on the concept thatthe organization will periodically review and evaluateits environmental management system in order toidentify opportunities for improvement and their im-plementation. Improvements in its environmentalmanagement system are intended to result in ad-ditional improvements in environmental performance.
The environmental management system provides astructured process for the achievement of continualimprovement, the rate and extent of which will be de-termined by the organization in the light of economicand other circumstances. Although some improvementin environmental performance can be expected due tothe adoption of a systematic approach, it should beunderstood that the environmental management sys-tem is a tool which enables the organization to achieveand systematically control the level of environmentalperformance that it sets itself. The establishment andoperation of an environmental management systemwill not, in itself, necessarily result in an immediate re-duction of adverse environmental impact.
An organization has the freedom and flexibility to de-fine its boundaries and may choose to implement thisInternational Standard with respect to the entire or-ganization, or to specific operating units or activities ofthe organization. If this International Standard is im-plemented for a specific operating unit or activity, pol-icies and procedures developed by other parts of theorganization can be used to meet the requirements ofthis International Standard, provided that they areapplicable to the specific operating unit or activity thatwill be subject to it. The level of detail and complexityof the environmental management system, the extentof documentation and the resources devoted to it willbe dependent in the size of an organization and thenature of its activities. This may be the case in particu-lar for small and medium-sized enterprises.
Integration of environmental matters with the overallmanagement system can contribute to the effectiveimplementation of the environmental managementsystem, as well as to efficiency and to clarity of roles.
This International Standard contains managementsystem requirements, based on the dynamic cyclicalprocess of “plan, implement, check and review”.
The system should enable an organization to
a) establish an environmental policy appropriate toitself;
b) identify the environmental aspects arising fromthe organization's past, existing or planned ac-tivities, products or services, to determine the en-vironmental impacts of significance;
c) identify the relevant legislative and regulatory re-quirements;
d) identify priorities and set appropriate environ-mental objectives and targets;
e) establish a structure and (a) programme(s) to im-plement the policy and achieve objectives andtargets;
f) facilitate planning, control, monitoring, correctiveaction, auditing and review activities to ensureboth that the policy is complied with and that theenvironmental management system remains ap-propriate;
g) be capable of adapting to changing circum-stances.
A.2 Environmental policy
The environmental policy is the driver for implementingand improving the organization's environmental man-agement system so that it can maintain and potentiallyimprove its environmental performance. The policyshould therefore reflect the commitment of top man-agement to compliance with applicable laws and con-tinual improvement. The policy forms the basis uponwhich the organization sets its objectives and targets.The policy should be sufficiently clear to be capable ofbeing understood by internal and external interestedparties and should be periodically reviewed and re-vised to reflect changing conditions and information.Its area of application should be clearly identifiable.
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The organization's top management should define anddocument its environmental policy within the context ofthe environmental policy of any broader corporatebody of which it is a part and with the endorsement ofthat body, if there is one.
NOTE — Top management may consist of an individual orgroup of individuals with executive responsibility for the or-ganization.
A.3 Planning
A.3.1 Environmental aspects
Subclause 4.3.1 is intended to provide a process foran organization to identify significant environmentalaspects that should be addressed as a priority by theorganization's environmental management system.This process should take into account the cost andtime of undertaking the analysis and the availability ofreliable data. Information already developed for regu-latory or other purposes may be used in this process.Organizations may also take into account the degreeof practical control they may have over the environ-mental aspects being considered. Organizationsshould determine what their environmental aspectsare, taking into account the inputs and outputs as-sociated with their current and relevant past activities,products and/or services.
An organization with no existing environmental man-agement system should, initially, establish its currentposition with regard to the environment by means of areview. The aim should be to consider all environ-mental aspects of the organization as a basis for es-tablishing the environmental management system.
Those organizations with operating environmentalmanagement systems do not have to undertake sucha review.
The review should cover four key areas:
a) legislative and regulatory requirements;
b) an identification of significant environmental as-pects;
c) an examination of all existing environmental man-agement practices and procedures;
d) an evaluation of feedback from the investigationof previous incidents.
In all cases, consideration should be given to normaland abnormal operations within the organization, andto potential emergency conditions.
A suitable approach to the review may include check-lists, interviews, direct inspection and measurement,
results of previous audits or other reviews dependingon the nature of the activities.
The process to identify the significant environmentalaspects associated with the activities at operatingunits should, where relevant, consider,
a) emissions to air;
b) releases to water;
c) waste management;
d) contamination of land;
e) use of raw materials and natural resources;
f) other local environmental and community issues.
This process should consider normal operating con-ditions, shut-down and start-up conditions, as well asthe realistic potential significant impacts associatedwith reasonably foreseeable or emergency situations.
The process is intended to identify significant en-vironmental aspects associated with activities, prod-ucts or services, and is not intended to require a de-tailed life cycle assessment. Organizations do nothave to evaluate each product, component or rawmaterial input. They may select categories of activi-ties, products or services to identify those aspectsmost likely to have a significant impact.
The control and influence over the environmental as-pects of products vary significantly, depending on themarket situation of the organization. A contractor orsupplier to the organization may have comparativelylittle control, while the organization responsible forproduct design can alter the aspects significantly bychanging, for example, a single input material. Whilstrecognizing that organizations may have limited con-trol over the use and disposal of their products, theyshould consider, where practical, proper handling anddisposal mechanisms. This provision is not intended tochange or increase an organisation's legal obligations.
A.3.2 Legal and other requirements
Examples of other requirements to which the organ-ization may subscribe are
a) industry codes of practice;
b) agreements with public authorities;
c) non-regulatory guidelines.
A.3.3 Objectives and targets
The objectives should be specific and targets shouldbe measurable wherever practicable, and where ap-propriate take preventative measures into account.
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When considering their technological options, an or-ganization may consider the use of the best availabletechnology where economically viable, cost-effectiveand judged appropriate.
The reference to the financial requirements of the or-ganization is not intended to imply that organizationsare obliged to use environmental cost-accountingmethodologies.
A.3.4 Environmental managementprogramme(s)
The creation and use of one or more programmes is akey element to the successful implementation of anenvironmental management system. The programmeshould describe how the organization's objectives andtargets will be achieved, including time-scales andpersonnel responsible for implementing the organiz-ation's environmental policy. This programme may besubdivided to address specific elements of the organ-ization's operations. The programme should includean environmental review for new activities.
The programme may include, where appropriate andpractical, consideration of planning, design, pro-duction, marketing and disposal stages. This may beundertaken for both current and new activities, prod-ucts or services. For products this may addressdesign, materials, production processes, use and ulti-mate disposal. For installations or significant modifi-cations of processes this may address planning, de-sign, construction, commissioning, operation and, atthe appropriate time determined by the organization,decommissioning.
A.4 Implementation and operation
A.4.1 Structure and responsibility
The successful implementation of an environmentalmanagement system calls for the commitment of allemployees of the organization. Environmental re-sponsibilities therefore should not be seen as confinedto the environmental function, but may also includeother areas of an organization, such as operationalmanagement or staff functions other than environ-mental.
This commitment should begin at the highest levels ofmanagement. Accordingly, top management shouldestablish the organization's environmental policy andensure that the environmental management system isimplemented. As part of this commitment, the topmanagement should designate (a) specific manage-ment representative(s) with defined responsibility andauthority for implementing the environmental man-agement system. In large or complex organizations
there may be more than one designated representa-tive. In small or medium sized enterprises, these re-sponsibilities may be undertaken by one individual.Top management should also ensure that appropriateresources are provided to ensure that the environ-mental management system is implemented andmaintained. It is also important that the key environ-mental management system responsibilities are welldefined and communicated to the relevant personnel.
A.4.2 Training, awareness and competence
The organization should establish and maintain pro-cedures for identifying training needs. The organiz-ation should also require that contractors working onits behalf are able to demonstrate that their employeeshave the requisite training.
Management should determine the level of experi-ence, competence and training necessary to ensurethe capability of personnel, especially those carryingout specialized environmental management functions.
A.4.3 Communication
Organizations should implement a procedure for re-ceiving, documenting and responding to relevant in-formation and requests from interested parties. Thisprocedure may include a dialogue with interested par-ties and consideration of their relevant concerns. Insome circumstances, responses to interested parties'concerns may include relevant information about theenvironmental impacts associated with the organiz-ation's operations. These procedures should alsoaddress necessary communications with publicauthorities regarding emergency planning and otherrelevant issues.
A.4.4 Environmental management systemdocumentation
The level of detail of the documentation should be suf-ficient to describe the core elements of the environ-mental management system and their interaction andprovide direction on where to obtain more detailed in-formation on the operation of specific parts of the en-vironmental management system. This documentationmay be integrated with documentation of other sys-tems implemented by the organization. It does nothave to be in the form of a single manual.
Related documentation may include
a) process information;
b) organizational charts;
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c) internal standards and operational procedures;
d) site emergency plans.
A.4.5 Document control
The intent of 4.4.5 is to ensure that organizations cre-ate and maintain documents in a manner sufficient toimplement the environmental management system.However, the primary focus of organizations should beon the effective implementation of the environmentalmanagement system and on environmental perform-ance and not on a complex documentation controlsystem.
A.4.6 Operational control
Text may be included here in a future revision.
A.4.7 Emergency preparedness andresponse
Text may be included here in a future revision.
A.5 Checking and corrective action
A.5.1 Monitoring and measurement
Text may be included here in a future revision.
A.5.2 Nonconformance and corrective andpreventive action
In establishing and maintaining procedures for investi-gating and correcting nonconformance, the organiz-ation should include these basic elements:
a) identifying the cause of the nonconformance;
b) identifying and implementing the necessary cor-rective action;
c) implementing or modifying controls necessary toavoid repetition of the nonconformance;
d) recording any changes in written procedures re-sulting from the corrective action.
Depending on the situation, this may be accomplishedrapidly and with a minimum of formal planning or itmay be a more complex and long-term activity. Theassociated documentation should be appropriate tothe level of corrective action.
A.5.3 Records
Procedures for identification, maintenance and dis-position of records should focus on those recordsneeded for the implementation and operation of the
environmental management system and for recordingthe extent to which planned objectives and targetshave been met.
Environmental records may include
a) information on applicable environmental laws orother requirements;
b) complaint records;
c) training records;
d) process information;
e) product information;
f) inspection, maintenance and calibration records;
g) pertinent contractor and supplier information;
h) incident reports;
i) information on emergency preparedness and re-sponse;
j) information on significant environmental aspects;
k) audit results;
l) management reviews.
Proper account should be taken of confidential busi-ness information.
A.5.4 Environmental management systemaudit
The audit programme and procedures should cover
a) the activities and areas to be considered in audits;
b) the frequency of audits;
c) the responsibilities associated with managing andconducting audits;
d) the communication of audit results;
e) auditor competence;
f) how audits will be conducted.
Audits may be performed by personnel from within theorganization and/or by external persons selected bythe organization. In either case, the persons conduct-ing the audit should be in a position to do so impar-tially and objectively.
A.6 Management review
In order to maintain continual improvement, suitabilityand effectiveness of the environmental managementsystem, and thereby its performance, the organiz-ation's management should review and evaluate theenvironmental management system at defined inter-vals. The scope of the review should be comprehen-
ISO 14001:1996(E) © ISO
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sive, though not all elements of an environmentalmanagement system need to be reviewed at once andthe review process may take place over a period oftime.
The review of the policy, objectives and proceduresshould be carried out by the level of management thatdefined them.
Reviews should include
a) results from audits;
b) the extent to which objectives and targets havebeen met;
c) the continuing suitability of the environmentalmanagement system in relation to changingconditions and information;
d) concerns amongst relevant interested parties.
Observations, conclusions and recommendationsshould be documented for necessary action.
© ISO ISO 14001:1996(E)
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Annex B(informative)
Links between ISO 14001 and ISO 9001
Tables B.1 and B.2 identify links and broad technical correspondences between ISO 14001 and ISO 9001 and viceversa.
The objective of the comparison is to demonstrate the combinability of both systems to those organizations alreadyoperating one of these International Standards and which may wish to operate both.
A direct link between subclauses of the two International Standards has only been established if the two subclausesare largely congruent in requirements. Beyond that, many detailed cross-connections of minor relevance exist whichcould not be shown here.
ISO 14001:1996(E) © ISO
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Table B.1 — Correspondence between ISO 14001 and ISO 9001
ISO 14001:1996 ISO 9001:1994
General requirements 4.1 4.2.1 1st sentence General
Environmental policy 4.2 4.1.1 Quality policy
PlanningEnvironmental aspects 4.3.1 —Legal and other requirements 4.3.2 — 1)
Objectives and targets 4.3.3 — 2)
Environmental management pro-gramme(s)
4.3.4
—
—
4.2.3 Quality planning
Implementation and operationStructure and responsibility 4.4.1 4.1.2 OrganizationTraining, awareness and competence 4.4.2 4.18 TrainingCommunication 4.4.3 —Environmental management system
documentation4.4.4 4.2.1 without
1st sentenceGeneral
Document control 4.4.5 4.5 Document and data controlOperational control 4.4.6 4.2.2 Quality system procedures
4.4.6 4.3 3) Contract review4.4.6 4.4 Design control4.4.6 4.6 Purchasing4.4.6 4.7 Control of customer-supplied product4.4.6 4.9 Process control4.4.6 4.15 Handling, storage, packaging, preser-
vation and delivery4.4.6 4.19 Servicing— 4.8 Product identification and traceability
Emergency preparedness andresponse
4.4.7 —
Checking and corrective actionMonitoring and measurement 4.5.1 1st and 3rd
paragraphs4.10 Inspection and testing
— 4.12 Inspection and test status— 4.20 Statistical techniques
Monitoring and measurement 4.5.1 2nd para-graph
4.11 Control of inspection, measuring andtest equipment
Nonconformance and corrective andpreventive action
4.5.2 1st part of 1stsentence
4.13 Control of nonconforming product
Nonconformance and corrective andpreventive action
4.5.2 without1st part of1st sentence
4.14 Corrective and preventive action
Records 4.5.3 4.16 Control of quality recordsEnvironmental management system
audit4.5.4 4.17 Internal quality audits
Management review 4.6 4.1.3 Management review
1) Legal requirements addressed in ISO 9001, 4.4.4.2) Objectives addressed in ISO 9001, 4.1.1.3) Communication with the quality stakeholders (customers).
© ISO ISO 14001:1996(E)
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Table B.2 — Correspondence between ISO 9001 and ISO 14001
ISO 9001:1994 ISO 14001:1996
Management responsibility
Quality policy 4.1.1 4.2 Environmental policy— 4.3.1 Environmental aspects— 1) 4.3.2 Legal and other requirements— 2) 4.3.3 Objectives and targets— 4.3.4 Environmental management pro-
gramme(s)Organization 4.1.2 4.4.1 Structure and responsibilityManagement review 4.1.3 4.6 Management review
Quality system
General 4.2.1 1st sentence 4.1 General requirements4.2.1 without 1st
sentence4.4.4 Environmental management system
documentationQuality system procedures 4.2.2 4.4.6 Operational controlQuality planning 4.2.3 —
Contract review 4.3 3) 4.4.6 Operational controlDesign control 4.4 4.4.6 Operational controlDocument and data control 4.5 4.4.5 Document controlPurchasing 4.6 4.4.6 Operational controlControl of customer-supplied product 4.7 4.4.6 Operational controlProduct identification and traceability 4.8 —Process control 4.9 4.4.6 Operational controlInspection and testing 4.10 4.5.1 1st and 3rd
paragraphsMonitoring and measurement
Control of inspection, measuring andtest equipment
4.11 4.5.1 2nd para-graph
Monitoring and measurement
Inspection and test status 4.12 —Control of nonconforming product 4.13 4.5.2 1st part of
1st sentenceNonconformance and corrective and
preventive actionCorrective and preventive action 4.14 4.5.2 without
1st part of1st sentence
Nonconformance and corrective andpreventive action
— 4.4.7 Emergency preparedness and responseHandling, storage, packaging, preser-
vation and delivery4.15 4.4.6 Operational control
Control of quality records 4.16 4.5.3 RecordsInternal quality audits 4.17 4.5.4 Environmental management system
auditTraining 4.18 4.4.2 Training, awareness and competenceServicing 4.19 4.4.6 Operational controlStatistical techniques 4.20 —
— 4.4.3 Communication
1) Legal requirements addressed in ISO 9001, 4.4.4.2) Objectives addressed in ISO 9001, 4.1.1.3) Communication with the quality stakeholders (customers).
ISO 14001:1996(E) © ISO
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Annex C(informative)
Bibliography
[1] ISO 9000-1:1994, Quality management and qual-ity assurance standards — Part 1: Guidelines forselection and use.
[2] ISO 9000-2:1993, Quality management and qual-ity assurance standards — Part 2: Generic guide-lines for the application of ISO 9001, ISO 9002and ISO 9003.
[3] ISO 9000-3:1991, Quality management and qual-ity assurance standards — Part 3: Guidelines forthe application of ISO 9001 to the development,supply and maintenance of software.
[4] ISO 9000-4:1993, Quality management and qual-ity assurance standards — Part 4: Guide to de-pendability programme management.
[5] ISO 9001:1994, Quality systems — Model forquality assurance in design, development, pro-duction, installation and servicing.
[6] ISO 14004:1996, Environmental managementsystems — General guidelines on principles,systems and supporting techniques.
[7] ISO 14010:1996, Guidelines for environmentalauditing — General principles.
[8] ISO 14011:1996, Guidelines for environmentalauditing — Audit procedures — Auditing of en-vironmental management systems.
[9] ISO 14012:1996, Guidelines for environmentalauditing — Qualification criteria for environmentalauditors.
ISO 14001 :1996(E)
ICS 13.020Descriptors: WWirOfTrIWS, environmental protection, management, environmental management, specifications, use, general conditions.
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