DIS-14001新版标准草案

1、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 

2、; 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 docsIS

3、O_14001_(E)-2.docISO TC 207/SC 1 N 38451Date:   2003-07-09 2003-01-23ISO/DIS 14001ISO TC 207/SC 1/WG 1Secretariat:   BSIEnvironmental management systems  Requirements with guidance for useSystèmes de management envi

4、ronnemental  Exigences et lignes directrices pour son utilisationWarningThis 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 invit

5、ed to submit, with their comments, notification of any relevant patent rights of which they are aware and to provide supporting documentation.ISO/CD 14001.2Copyright noticeThis ISO document is a working draft or committee draft and is copyright-protected by ISO. While the reproduction of workin

6、g 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 per

7、mission 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 appr

8、opriate, of the Copyright Manger 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.Content

9、sPageForewordvIntroductionvi1Scope12Normative references13Terms and definitions24Environmental management system requirements44.1General requirements44.2Environmental policy44.3Planning44.3.1Environmental aspects44.3.2Legal and other requirements54.3.3Objectives, targets and programme(s)54.4Implemen

10、tation and operation54.4.1Resources, roles, responsibility and authority54.4.2Competence, training and awareness64.4.3Communication64.4.4Documentation64.4.5Document control64.4.6Operational control74.4.7Emergency preparedness and response74.5Checking and corrective action74.5.1Monitoring and measure

11、ment74.5.2Evaluation of legal compliance84.5.3Nonconformity and preventive and corrective action84.5.4Records84.5.5Internal environmental management system audit84.6Management review9Annex A (informative) Guidance on the use of the standard10A.1General requirements10A.2Environmental policy11A.3

12、Planning11A.3.1Environmental aspects11A.3.2Legal and other requirements13A.3.3Objectives, targets and programmes13A.4Implementation and operation14A.4.1Resources, roles, responsibility and authority14A.4.2Competence, training and awareness14A.4.3Communication15A.4.4Documentation15A.4.5Document contr

13、ol16A.4.6Operational control16A.4.7Emergency preparedness and response16A.5Checking and corrective action17A.5.1Monitoring and measurement17A.5.2Evaluation of legal compliance17A.5.3Nonconformity and preventive and corrective action17A.5.4Records17A.5.5Internal environmental management system audit1

14、8A.6Management review18Annex B (informative) Links between ISO 14001:200x and ISO 9001:200019Bibliography27ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards i

15、s 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 par

16、t 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

17、 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 pos

18、sibility 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

19、 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.IntroductionOrganizations of all kinds are increasingly concerned to achieve

20、 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 policie

21、s 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, how

22、ever, 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 wi

23、th 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 ec

24、onomic 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 organizations legal obligations. This International Standard specifies the requirements of such an environmental management system. It has be

25、en 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.

26、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 environm

27、ental 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 c

28、onsideration 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 dimini

29、shed 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 organizations environmental management

30、 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

31、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 reviewChecking andcorrective actionPlanningImplementation andoperationEnvironmental policyContinual impro

32、vementNOTEThis International Standard is based on the methodology known as PlanDoCheckAct (PDCA). PDCA can be briefly described as follows. ¾ Plan:establish the objectives and processes necessary to deliver results in accordance with the organizations environmental policy.¾ Do:implement th

33、e 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

34、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&#

35、160; Environmental management system model for this International StandardGuidance 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 i

36、s 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

37、 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 environmenta

38、l 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

39、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 environment

40、al 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

41、 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 enabl

42、e 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 t

43、his 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 ma

44、y 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.©

45、60;ISO 2003  All rights reservedviiEnvironmental management systems  Requirements with guidance for use1 ScopeThis International Standard specifies requirements for an environmental management system, to enable an organization to develop a policy and objectives taking into account leg

46、al 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 an

47、y 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:¾ making a self-determination and self-declaration; or&#

48、190; seeking confirmation of its self-declaration by a party external to the organization; or¾ 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 envir

49、onmental 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 i

50、ts useNOTEFor 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 system audit.2 Normative referencesNo

51、normative references are included.3 Terms and definitionsFor the purposes of this International StandardInternational Standard, the following terms and definitions apply.NOTETerms are not defined where they retain their normal dictionary definition. Where bold type is used in a definition, this indi

52、cates a cross-reference to another term defined in this clause, and the number reference for the term is given in parentheses.3.1auditorperson with the competence to conduct an auditISO 9000:2000, continual improvementrecurring process of enhancing the environmental management system (3

53、.6) in order to achieve improvements in overall environmental performance (3.9) consistent with the organizations (3.13) environmental policy (3.10)NOTEThe process need not take place in all areas of activity simultaneously.3.3documentinformation and its supporting mediaNOTE: the medium can be paper

54、, magnetic, electronic or optical computer disc, photograph or master sample, or a combination thereof3.4environmentsurroundings in which an organization (3.13) operates, including air, water, land, natural resources, flora, fauna, humans, and their interrelationNOTESurroundings in this context exte

55、nd from within an organization to the global system.3.5environmental aspectelement of an organizations (3.13) activities or products or services that can interact with the environment (3.3)NOTEA significant environmental aspect has or can have a significant environmental impact (3.5).3.6environmenta

56、l impactany change to the environment (3.3), whether adverse or beneficial, wholly or partially resulting from an organizations (3.13) environmental aspects (3.4)3.7environmental management systempart of an organization's (3.13) management system used to develop and implement its environmental p

57、olicy (3.10) and manage its interaction(s) with the environment (3.3)NOTE 1A management system is a set of interrelated requirements used to establish policy and objectives and to achieve those objectives.NOTE 2A management system includes organizational structure, planning activities, responsibilit

58、ies, practices, procedures (3.15), processes and resources3.8environmental management system auditsystematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the environmental management system (3.6) audit criteria set by

59、 the organization (3.13) are fulfilled3.9environmental objectiveoverall environmental goal, consistent with the environmental policy (3.10), that an organization (3.13) sets itself to achieve3.10environmental performancemeasurable results of an organizations (3.13) management of its environmental aspects (3.4)NOTEIn the context of environmental management systems (3.6), re