ISO 14001 International Standard Environmental Management Systems - Requirements with Guidance

ISO 14001 International Standard Environmental Management Systems - Requirements with Guidance

ISO 14001 International Standard “Environmental Management Systems -Requirements with guidance for use”

______

ISO14001

INTERNATIONALSTANDARD

Second edition

15.11.2004

Environmental Management Systems -

Requirements with guidance for use

Reference number

ISO 14001:2004 (RUS)

Important introduction

The present edition is not the official Russian edition of ISO14001:2004 international standard because as at February 2006 inRussia there is no officially approved national standard of GOST R ISO 14001 similar to the version of ISO 14001:2004 internationalstandard.

The present document is an authentic translation of the English text of ISO 14001:2004 international standard.

The document was translated by the experts that have sufficient experience in the area of introduction and preparation to certifications of the Environmental Management system on the specified international standard and who know terminology in the given sphere in the English and Russian languages.

Copyrights:

© International Organization for Standardization (ISO), 2004

(development and official publication of ISO 14001:2004 international standard)

©iso14001.ru, 2004

(translation into Russian of ISO 14001:2004 text is in conformity with the best practice in the area of

introduction and preparations for certification on ISO 14001, page proof)

Contents

Foreword ...... 4

Introduction ...... 5

1 Sphere of application...... 8

2 Regulatory reference...... 8

3 Definitions ...... 8

4 Requirements for the Environmental Management System...... 11

4.1 General requirements...... 11

4.2 Environmental policy ...... 11

4.3 Planning ...... 11

4.4 Implementation and Functioning ...... 12

4.5 Checking...... 14

4.6 Management’s analysis ...... 16

Annex I (reference) Guidance for use of the present international standard….17

Annex II B (reference) Relationship between ISO 14001:2004 and ISO 9001:2000 standard...... 26

BIBLIOGRAPHY...... 31

Foreword

International Organization for Standartization (ISO) is the world federation of national standardisation bodies (ISO members). Working out of the international standards usually passes through ISO technical committees. Each ISO member who is interested in the area of the committee's work is entitled to be presented in this committee. International companies, both state and non-state, being in close interaction with ISO also take part in this work. ISO closely co-operates with the International Electrotechnical Commission (IEC) concerning electrotechnical standardisation.

The international standards are issued in the form of the first release edition (standard drafts) in conformity with the rules set out in Part 2 of ISO/IEC guidance.

The primary goal of technical committees is working out of the international standards. The release versions of the international standards adopted by technical committees are valid fororganisations that participate in the voting. To be published the international standardmust be approved by at least 75 %companies - ISO members.

It is necessary to pay special attention to the fact that some parts of this document may besubject of the property right. ISO undertakes no obligation for definition of some of these property rights.

ISO 14001 was developed by ISO/TC 207 technical committee, Environmental management, SC1 Department - EnvironmentalManagement System.

The specified second edition cancels and replaces the first edition (ISO 14001:1996) that wasreconsidered.

Introduction

Various kinds of companymore and more wish to achievesufficient environmental efficiency and to demonstrate it controlling influence of itsenvironmental activity, production or services counting the environmental policy and goals. They do it under the conditions of the increasing hardening of the legislation, economic policy development and other measures directed at environmental protection, and also under the conditions of the general growth of concern of interested parties by environment issues including stable development.

Many companies have executed environmental "analysis" or "audit" to estimate the environmentalefficiency. However, in itself these "analyses" and "audits" may be not enough to ensure the company that its efficiency not only satisfies but also in future will meet the requirements set out in the law and its own policy. To be effective these "analyses" and "audits" should be executed within the limits of the company's general management system.

The international standards that are applied toenvironmental management, are intended fordelivery to the companies of elements of effective Environmental Management System (EMS) that may be united with other elements of administration management, so that to help the companies to achieve their environmental and economic targets. These standards,as well as other international standards, are not intended for use for creation of non-tariff barriers in trade or increase or changes of the company's obligations required by the law.

The present International Standard establishes requirements to the EnvironmentalManagement System so that the company could develop and introduce the environmental policy and goals counting the requirements of the legislation and the information on significant environmental aspects. It was developed in such a way that it can be applied to the companies of all types and sizes taking into account various geographical, cultural and social conditions. The model of such approach is shown in picture 1. Success of the system depends on the obligations taken on at all levels and all divisions of the companies, especially top management's obligations. Such system provides the companies with possibility to develop the environmental policy, apply goals and processes to achieve the policy obligations, to undertake necessary actions for improvement of the environmental activity results, and to demonstrate the conformity of the system to the requirementsof the International Standard. The general aim of this standard is to support environmental protection activities and prevent pollution at preservation of balance with the social and economic requirements. It is necessary to notice that many requirements can be considered simultaneously or reconsidered at any time.

The second edition of this International Standard focuses on a more accurate statement of the first editions and thanks to ISO 9001 provisions - strengthening of compatibility of two standards for the users' convenience.

For convenience of use, numbers of subparagraphs of paragraph 4 of the given International Standard and the numbers of Annex A were connected. For example, both paragraphs 4.3.3 and А.3.3 are connected with the goals, tasks andprogram (programs), and 4.5.5 and А.5.5 are both connected with the internal audit. In addition, the annex B defines wide technical conformity of ISO 14001:2004 to ISO 9001:2000 and vice versa

There is an important difference between this standard that describes requirements to the Environmental Management System of the company and it also can be used for certification/registration purposes and/or independent statement of the company about its Environmental Management System and notadopted officially by the guidelines intended to render general help to the company in establishment, introduction and improvement of the environmental management system.Environmental Management System covers the whole range of problems including strategy and competitiveness problems. Demonstration of successful introduction of this standard may beused by the company so that interested parties could see the proper environmental management system.

Guidance for environmental management techniques delivery is set out in othersinternational standards, especially in documents on the Environmental Management, adopted in ISO/TC207. Any references to other international standards are provided for information only.

NOTE the given international standard is based on Plan-Do-Check-Act methodology

(PDCA). The Plan-Do-Check-Act Cycle may be briefly described as follows:

- Plan: to establish the goals and processes necessary for achievement of results according to the company'senvironmental policy

- Do:to introduce processes

- Check:to carry out monitoring and assessments of processes according to the environmental policy, goals, tasks, requirements of the legislation and other requirements and to inform about the results

- Act:to undertake actions for consecutive improvement of results of the Environmental Management System results.

Many companies manage their activity by using the system of processes and their interactions that may be called «the process approach». ISO 9001 uses the process approach. Because PDCA methodology may be applied to all processes, these two methodologies are combined.

Picture 1 - Model of the Environmental Management System in accordance with the given standard

This standard contains only those requirements that may be checked up as a result of objective audit. Companies that require a more general guidance on a wide circle of problems related to environmental management systems should useISO 14004 standard.

The present international standard does not establish absolute requirements to the resultsof the environmental activity, except for the obligations set out in the policy to correspond to the applied legislative requirements and requirements to which the companyagreed, prevention of pollution and gradual improvement. Thus, two companies that are engaged in similar activities but show different results in the sphere of the environmental protection may both comply with the requirements of this standard.

Approval and regular introduction of environmental management methods may give the bestresults for all interested parties. However approval of this standard itself does not guarantees automatic achievement of significant results. To achieve the environmentalgoal, the Environmental Management System stimulates the companies to consider the best existing technologies where it is expedient and is economically comprehensible, and also to fully consider the economic efficiency of such technologies.

The given international standard does not include the requirement for other systems of management, such as quality management system, safety management system and labour safety, financial management or risk management, though these elements may be built in or integrated withthese or other management systems. Companies may use the existingmanagement system for introduction of the Environmental Management System, corresponding to the requirements of the given international standard. It is necessary to take into account, however, that application of various elements of the management system may vary depending on the goals and interested parties.

Level of detalisation and complexity of the Environmental Management System, documenting degree and allocated resources depend on a number of factors, such as system borders, the size of the company and character of its activity, production and services. It, in particular is important for average and smallenterprises.

Environmental Management Systems - with guidance for use

1 Sphere of application

The present international standard establishes requirements for the Environmental Management System to help the company to define its environmental policy and goals counting the legislation and other requirements which it agreed to, taking into account significantenvironmental aspects of its activity. The standard is applicable to those environmental aspects which the company defined as controllable and affectable aspects. The standard itself does not establish concrete criteria to the environmental activity results.

The present international standard may be applied to any company that wishes:

a) To introduce, support and improve the Environmental Management System ;

b) To ensure that it conforms to its environmental policy;

c) To show conformity to this international standard through:

1) Independent definition of such conformity and statement about it, or

2) Search of conformity acknowledgement by the parties interested in the company's activity,

such as consumers, or

3) Search of acknowledgement of independent definition of the company's conformity by external parties, or

4) To achieve certification/registration of the Environmental Management System from the externalcompanies.

All the requirements containing in the present international standard, are intended for inclusion in any Environmental Management System. Degree of their application will depend on suchfactors as the companies' environmental policy, character of its activity, production and services,address and conditions of its functioning. Annex A contains informative guidance for the present standard application.

2 Regulatory references

Standard references are absent. The present section is included to observe the order of numbering used in the previous edition (ISO 14001:1996).

3 Definitions

The following definitions are used with reference to this standard

3.1

Auditor

a person who has sufficient competence for auditing

[ISO 9001:2000, 3.9.9]

3.2

Gradual improvement

step-by-step development process of the Environmental Management System (3.8) aimed to achieve improvements of the general results of environmental activity (3.10) according tothe environmental policy (3.11) of the company (3.16)

Note. This process may not simultaneously take place in all spheres of the company's activity .

3.3

Correcting action

action for elimination of the revealed discrepancy (3.15)

3.4

Document

information recorded on a carrier.

NOTE 1 Paper, electronic or optical disk of the computer, a photo or their combination may serve as carriers.

NOTE 2 Taken from ISO 9001:2000, 3.7.2.

3.5

Environment

area surrounding the company (3.16), including air, water, earth, natural

resources, flora, fauna, man and their interaction

NOTE the environment in the given context extends from the company's area (3.16) to global system.

3.6

Environmental aspect

element of the company's activity, its production or services that may co-operate with the environment

NOTE: Significant environmental aspect of the company (3.16) is the aspectthat has or may have considerable influence over the environment (3.5).

3.7

Influence on the environment

any change in the environment (3.5), positive or negative that completely orpartially results from the influence of the environmental aspects (3.6) of the company (3.16)

3.8

Environmental Management System (EMS)

part of the company's (3.16) general system of management used for working out and realisation of itsenvironmental policy (3.11) and managements of its environmental aspects (3.6)

NOTE 1 System of management represents a set of interconnected elements that are used to set the policy and goals, and also achieve these goals.

NOTE 2 System of management includes organizational structure, activity planning, responsibility distribution, practical activities, procedures (3.19), processes and resources.

3.9

Environmental goal

the company's goal concerning decrease in negative influence on the environment corresponding to the environmental policy and presented whenever possible in numbers

3.10

Environmental activity results

management results assessed according to the company's (3.16)environmental aspects (3.6)

NOTE Under the Environmental Management System (3.8), results maybe estimated according to the conformity to the environmental policy (3.11) of the companies (3.16), environmentalgoals (3.9), environmental problems (3.12) and other requirements concerning resultsof the environmental activity.

3.11

Environmental policy

general intentions officially presented by the company's top management and connected with the results of its environmental activity (3.10)

NOTE the environmental policy provides frameworks for actions and establishment of the environmental goals and tasks.

3.12

Environmental task

detailed presentation of the environmental activity results of the company or its part,proceeding from the environmental goals, that should be established and executed for achievement of these goals

3.13

Interested party

a person or a group of persons interested in the results of the environmental activity (3.10) of the company (3.16) or being under its influence

3.14

Internal audit

regular, independent and documentary issued process of reception of audit certificates and estimations of their objectivity for definition of the degree of the SEM's conformity to the criteria established by the company

NOTE In many cases, especially in the small organisations, independence maybe provided due to release from liability for the activity subjected to audit.

3.15

Deviation

failure to meet requirements

[ISO 9001:2000, 3.6.2]

3.16

Company

a company, corporation, firm, enterprise, authority or establishment or their part or combination, joint-stock or non joint-stock, state or private companies that carry out their own functions and have their own administration

NOTE With reference to the organisations from more than one functioning organizational unit one such unit may be defined as the company.

3.17

Preventive action

action on elimination of the reason of possible discrepancy (3.15)

3.18

Pollution prevention

use of processes, practical activities and methods, materials, production, services or energy to avoid, lower or supervise (separately or in complex) formation, emission or dump of any polluting substance or waste to lower adverse influence on the environment (3.7)

NOTE pollution prevention may include decrease in the quantity of influence sourcesor refusal from them, changes in processes, production or services, rational use of resources and energy, replacement of materials, use, and restoration, processing and clearing.

3.19

Procedure

set order of performance of the activity or process

NOTE 1 Procedures may be documentary issued or not.

NOTE 2 Taken from ISO 9001:2000, 3.4.5.

3.20

Records

document (3.4) containing certificates on the achieved results or performed activity

NOTE Taken from ISO 9001:2000, 3.7.6.

4 Requirements for the Environmental Management System

4.1 General requirements

The company should develop, issue documentary, introduce, support and gradually improve the Environmental Management System according to the requirements of the present international standard and define how these requirements will be fulfilled.

The company should define and issue documentary the borders of its EnvironmentalManagement System.

4.2 Environmental policy

The top management should define the company's environmental policy and see to that withinthe established borders of the Environmental Management System this policy:

a) Corresponds to the character, scale and influences on the environment of its activity, production or services ;

b) includes obligation concerning gradual improvement and prevention of pollution ;

c) Includes obligation concerning conformity to the company of the legislation requirments applicable to it and other requirements that the company agreed to and that refer to environmental aspects of its activity ;

d) Provides basis for establishment and reconsideration of the environmental goals and tasks ;

e) is documentary issued, introduced and maintained in the actual state;

f) is presented to all people who work for the company, or on its behalf ;

g) is accessible to the public.

4.3 Planning

4.3.1 Environmental aspects

The company should develop, carry out and support in working state the following procedure(s):

a) Identifications of environmental aspects of its activity, production and services under theestablished limits of the Environmental Management System that it may supervise andpositively influence, taking into account planned or new drafts, new or changed kinds of activity, production and services, and

b) Definitions of those aspects that have or may have a considerable influences over the environment (i.e. significant environmental aspects).

The company should form documentary this information and support it in the actual condition.