DIS-14001新版标准草案.docx

COMMITTEE DRAFT© ISO 2003 – All rights reservedISO/CD 14001.2 27Environmental management systems — Requirements with guidance for useSystèmes de management environnemental — Exigences et lignes directrices pour son utilisationEnvironmental management systems — Requirements with guidance for useE2003-01-23(30) CommitteeISOISO International Standard2003ISO 14001ISO 14001ISO/CD 14001.2BSIEnvironmental management systemsEnvironmental management11207 2Heading 2Heading 1STD Version 2.1b30ISO 14001:1996 4J:c_mS-ISOTC207TC207SC1N docsISO_14001_(E)-2.docISO TC 207/SC 1 N 38451
Date:   2003-07-09 2003-01-23
ISO/DIS 14001
ISO TC 207/SC 1/WG 1
Secretariat:   BSI
Environmental management systems — Requirements with guidance for use
Systèmes de management environnemental — Exigences et lignes directrices pour son utilisation

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

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Contents Page
Foreword v
Introduction vi
1 Scope 1
2 Normative references 1
3 Terms and definitions 2
4 Environmental management system requirements 4
4.1 General requirements 4
4.2 Environmental policy 4
4.3 Planning 4
4.3.1 Environmental aspects 4
4.3.2 Legal and other requirements 5
4.3.3 Objectives, targets and programme(s) 5
4.4 Implementation and operation 5
4.4.1 Resources, roles, responsibility and authority 5
4.4.2 Competence, training and awareness 6
4.4.3 Communication 6
4.4.4 Documentation 6
4.4.5 Document control 6
4.4.6 Operational control 7
4.4.7 Emergency preparedness and response 7
4.5 Checking and corrective action 7
4.5.1 Monitoring and measurement 7
4.5.2 Evaluation of legal compliance 8
4.5.3 Nonconformity and preventive and corrective action 8
4.5.4 Records 8
4.5.5 Internal environmental management system audit 8
4.6 Management review 9
Annex A (informative) Guidance on the use of the standard 10
A.1 General requirements 10
A.2 Environmental policy 11
A.3 Planning 11
A.3.1 Environmental aspects 11
A.3.2 Legal and other requirements 13
A.3.3 Objectives, targets and programmes 13
A.4 Implementation and operation 14
A.4.1 Resources, roles, responsibility and authority 14
A.4.2 Competence, training and awareness 14
A.4.3 Communication 15
A.4.4 Documentation 15
A.4.5 Document control 16
A.4.6 Operational control 16
A.4.7 Emergency preparedness and response 16
A.5 Checking and corrective action 17
A.5.1 Monitoring and measurement 17
A.5.2 Evaluation of legal compliance 17
A.5.3 Nonconformity and preventive and corrective action 17
A.5.4 Records 17
A.5.5 Internal environmental management system audit 18
A.6 Management review 18
Annex B (informative) Links between ISO 14001:200x and ISO 9001:2000 19
Bibliography 27

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 (ISO 14001:1996), [clause(s) / subclause(s) / table(s) / figure(s) / annex(es)] of which [has / have] been technically revised.
Introduction
Organizations of all kinds are increasingly concerned to achieve and demonstrate sound environmental performance by controlling the impact of their activities, products or services on the environment, taking into account their environmental policy and objectives. They do so in the context of increasingly stringent legislation, the development of economic policies and other measures to foster environmental protection, and a general growth of concern from 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 and integrated with overall management.
International Standards covering environmental management are intended to provide organizations with the elements of an effective environmental management system which can be integrated with other management requirements, to assist organizations to 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 the requirements of such an environmental management system. It has been written to be applicable to all types and sizes of organizations 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, especially from top management. A system of this kind enables an organization to establish and assess the effectiveness of procedures, to develop set an environmental policy and objectives, achieve conformity with them, and demonstrate such conformity to others. 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 may be addressed concurrently or revisited at any time.
The revision has been focused on clarification of the 1996 edition to assist in understanding and has taken due consideration of the provisions of ISO 9001:2000 in order to enhance the compatibility of the two standards for the benefit of the user community.
Any changes in this revision should help understanding, implementation by users and environmental protection without resulting in additional or diminished requirements in comparison to ISO 14001:1996.
There is an important distinction between this International Standard, which describes the requirements for an organization's EMS, and can be used for certification/registration and/or self-declaration of an organization’s environmental management system, and a non-certifiable guideline intended to provide generic assistance to an organization for 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.

Management review

Checking and
corrective action

Planning
Implementation and
operation

Environmental policy
Continual improvement

NOTE This International Standard is based on the methodology known as Plan–Do–Check–Act (PDCA). PDCA can be briefly described as follows.
¾ Plan:
establish the objectives and processes necessary to deliver results in accordance with the organization’s environmental policy.
¾ Do:
implement the processes.
¾ Check:
monitor and measure processes against environmental policy, objectives, targets, legal and other requirements, and report the results.
¾ Act:
take actions to continually improve performance of the environmental management system.
Some 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 9001:2000 promotes the use of uses the process approach. Since PDCA can be applied to all processes, the two methodologies are considered to be compatible.
Figure 1 — Environmental management system model for this International Standard
Guidance on supporting environmental management techniques are will be contained in other International Standards, particularly those on environmental management in the ISO 14000 series. Any reference to other standards is for information only.
This International Standard contains only those requirements that may be objectively audited for certification/registration purposes and/or self-declaration purposes. Those organizations requiring more general guidance on a broad range of environmental management system issues should refer to ISO 14004:200x, Environmental management systems – General guidelines on principles, systems and supporting techniques.
Any reference to other standards is for information only.
It should be noted that this International Standard does not establish absolute requirements for environmental performance beyond commitment, in the policy, to compliance with applicable environmental legal requirements, prevention of pollutionlegislation and regulations and to continual improvement. Thus, two organizations carrying out similar operations but having different environmental performance may both comply with its requirements.
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 should encourage organizations to consider implementation of the best available techniques, where appropriate and where economically viable. In addition, the cost effectiveness of such techniques should be fully taken into account.
This International Standard does not include requirements specific to other management systems, such as those particular to quality management, occupational health and safety management, financial management or risk management. This International Standard does however enable an organization to align or integrate its own environmental management system with related management system requirements. It is possible for an organization to adapt its existing management system(s) in order to establish an environmental management system that complies with the requirements of this International Standard. It should be understood, however, that the application of various elements of the management system may differ due to different purposes and different interested parties.
It should be understood, however, that the application of various elements of the management system may differ due to different purposes and different interested parties. While environmental management systems address the needs of a broad range of interested parties and the evolving needs of society for environmental protection, quality management systems deal primarily with customer needs.

Environmental management systems — Requirements with guidance for use
1 Scope
This International Standard specifies requirements for an environmental management system, to enable an organization to develop a policy and objectives taking into account legal requirements and information about significant environmental aspects. It applies to those environmental aspects which the organization can control and those which it can influence. It does not itself state specific environmental performance criteria.
This International Standard is applicable to any organization that wishes to:
a) implement, maintain and improve an environmental management system;
b) assure itself of its conformity with its stated environmental policy;
c) demonstrate such conformity with this international standard by:
making a self-determination and self-declaration; or
seeking confirmation of its self-declaration by a party external to the organization; or
¾ seeking certification/registration of its environmental management system by an external organization.
All the requirements in this International Standard are intended to be incorporated into any environmental management system. The extent of the application will depend on such factors as the environmental policy of the organization, the nature and location of its operations, and the conditions in which it functions. This International Standard also provides, in annex A, informative guidance on its use
NOTE For ease of use, the subclauses of clause 4 of this International Standard and annex A have related numbers; thus, for example, 4.3.3 and A.3.3 both deal with objectives and targets, and 4.5.5 and A.5.5 both deal with internal environmental management sys