ASQ 14004-2016 Environmental management systems - General guidelines on implementation.pdf

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1、AMERICAN NATIONAL STANDARDAUGUST 2016ASQ/ANSI/ISO 14004:2016Environmental management systems General guidelines on implementationThis standard is an identical adoption of ISO 14004:2016AMERICAN NATIONAL STANDARD Environmental management systems General guidelines on implementationApproved as an Amer

2、ican National Standard onAugust 3, 2016American National Standards: An American National Standard implies a consensus of those substantially concerned with its scope and provisions. An American National Standard is intended as a guide to aid the manufacturer, the consumer, and the general public. Th

3、e existence of an American National Standard does not in any respect preclude anyone, whether he or she has approved the standard or not, from manufacturing, purchasing, or using products, processes, or procedures not conforming to the standard. American National Standards are subject to periodic re

4、view and users are cautioned to obtain the latest edition. Caution Notice: This American National Standard may be revised or withdrawn at any time. The procedures of the American National Standards Institute require that action be taken to reaffirm, revise, or withdraw this standard no later than fi

5、ve years from the date of publication. Purchasers of American National Standards may receive current information on all standards by calling of writing the American National Standards Institute. ASQ/ANSI/ISO 14004:2016i 2016 by ASQCopyright Protection Notice for the ASQ/ANSI/ISO 14004:2016 Standard.

6、This standard is subject to copyright claims of ISO, ANSI, and ASQ. Not for resale. No part of this publication may be reproduced in any form, including an electronic retrieval system, without the prior written permission of ASQ. All requests pertaining to the ASQ/ANSI/ISO 14004:2016 Standard should

7、 be submitted to ASQ.Note: As used in this document, the term “International Standard” refers to the American National Standard adoption of this and other International Standards.ASQ will consider requests for change and information on the submittal of such requests regarding this Standard. All requ

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11、taken to ensure that the file is suitable for use by our customers. In the unlikely event that a problem relating to it is found, please inform ASQ at the address below.ASQ/ANSI/ISO 14004:2016iiASQ/ANSI/ISO 14004:2016Foreword vIntroduction vi1 Scope . 12 Normative references 13 Terms and definitions

12、 . 13.1 Terms related to organization and leadership 23.2 Terms related to planning . 33.3 Terms related to support and operation . 43.4 Terms related to performance evaluation and improvement 54 Context of the organization . 64.1 Understanding the organization and its context . 64.2 Understanding t

13、he needs and expectations of interested parties .104.2.1 General. 104.2.2 Determining relevant interested parties 104.2.3 Determining relevant needs and expectations of relevant interested parties 104.2.4 Determining compliance obligations 114.2.5 Use and application of the needs and expectations of

14、 interested parties .114.3 Determining the scope of the environmental management system 114.4 Environmental management system 124.4.1 General. 124.4.2 Establishing, implementing, maintaining and continually improving an environmental management system .135 Leadership .145.1 Leadership and commitment

15、 145.2 Environmental policy . 155.3 Organizational roles, responsibilities and authorities.186 Planning 196.1 Actions to address risks and opportunities 196.1.1 General. 196.1.2 Environmental aspects 236.1.3 Compliance obligations . 276.1.4 Planning action .296.2 Environmental objectives and plannin

16、g to achieve them .296.2.1 General. 296.2.2 Establishing environmental objectives306.2.3 Planning actions to achieve environmental objectives 306.2.4 Performance indicators. 317 Support 327.1 Resources 327.2 Competence 327.3 Awareness 347.4 Communication . 357.4.1 General. 357.4.2 Internal communica

17、tion . 367.4.3 External communication 367.5 Documented information 377.5.1 General. 377.5.2 Creating and updating 387.5.3 Control of documented information 388 Operation 398.1 Operational planning and control . 39iiiContents PageASQ/ANSI/ISO 14004:20168.1.1 General guidance: Operational control 398.

18、1.2 Identifying needs for operational controls 408.1.3 Establishing operational controls 418.2 Emergency preparedness and response 419 Performance evaluation 429.1 Monitoring, measurement, analysis and evaluation 429.1.1 General. 429.1.2 Evaluation of compliance 449.2 Internal audit . 459.3 Manageme

19、nt review 4610 Improvement .4710.1 General 4710.2 Nonconformity and corrective action 4710.3 Continual improvement . 4810.3.1 Opportunities for improvement 4810.3.2 Implementation of continual improvement 49Annex A (informative) Examples of activities, products and services and their associated envi

20、ronmental aspects and environmental impacts, risks and opportunities, and actions .50Annex B (informative) Phased approach to implementing an environmental management system (based on ISO 14005) .57Bibliography .59iv ForewordISO (the International Organization for Standardization) is a worldwide fed

21、eration 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 comm

22、ittee. 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.The procedures used to develop this document an

23、d those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Par

24、t 2 (see www.iso.org/directives).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. Details of any patent rights identified during the development of th

25、e document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents).Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.For an explanation on the meaning of ISO specific term

26、s and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: www.iso.org/iso/foreword.html.The committee responsible for this document is Technical Comm

27、ittee ISO/TC 207, Environmental management, Subcommittee SC 1, Environmental management systems.This third edition cancels and replaces the second edition (ISO 14004:2004), which has been technically revised.ASQ/ANSI/ISO 14004:2016v environmental aspects; compliance obligations; other issues (see 4.

28、1) and requirements (see 4.2); increasing awareness of the organizations interaction with the environment; establishing operational controls, as appropriate, to manage the organizations significant environmental aspects and compliance obligations, and risks and opportunities that need to be addresse

29、d; evaluating environmental performance and taking actions, as necessary, for its improvement.ASQ/ANSI/ISO 14004:2016IntroductionAchieving a balance between the environment, society and the economy is considered essential to meet the needs of the present without compromising the ability of future ge

30、nerations to meet their needs. Sustainable development is a goal achieved by balancing the three pillars of sustainability: the environment, society and the economy.Organizations, whether public or private, large or small, in developed or in emerging economies, have an impact on the environment and

31、can be affected by the environment in return. There is a growing understanding that human development and well-being are contingent on preserving and conserving our natural resources, upon which all human activity and productivity depend. Achieving sound environmental performance requires organizati

32、onal commitment to a systematic approach and to continual improvement of an environmental management system.Societal expectations are driving the need for improved management of the resources necessary to support human development, through greater efficiency, transparency and accountability for all

33、organizations. There are growing pressures on the environment, from climate change, over-consumption of resources and the challenges created by degradation of ecosystems and the loss of biodiversity.The aim of this International Standard is to provide organizations with guidance for a common framewo

34、rk, in order to establish, implement, maintain and continually improve a system to support better environmental management. This environmental management framework should contribute to the long-term success of the organization and to the overall goal of sustainable development. Theframework of a rob

35、ust, credible and reliable environmental management system is shown in Figure 1. It includes: understanding the context in which the organization operates; determinin g and understanding the relevant needs and expectations of interested parties, as they relate to the environmental management system

36、of the organization; establishing and implementing an environmental policy and environmental objectives; top management taking a leading role in improving environmental performance; identifyin g aspects of the organizations activities, products and services that can result in significant environment

37、al impacts; identifying the environmental conditions, including events, that can affect the organization; considering the organizations risks and opportunities that need to be addressed in relation to its:vi Figure 1 Environmental management system model for this International StandardThe outcomes o

38、f a systematic approach to environmental management can provide top management with quantitative and qualitative data that enables informed business decisions that build long-term success and create options for contributing to sustainable development. The success of the environmental management syst

39、em depends on commitment from all levels and functions of the organization, led by top management. The opportunities include: protecting the environment, including the prevention or reduction of adverse environmental impacts; controlling or influencing the way products and services are designed, man

40、ufactured, distributed, used and disposed; using a life cycle perspective to prevent environmental impacts from being unintentionally shifted elsewhere within the cycle; achieving financial and operational benefits that can result from implementing environmentally sound alternatives which strengthen

41、 the organizations market position; communicating environmental information to relevant interested parties.In addition to enhanced environmental performance, the potential benefits associated with an effective environmental management system include: assuring customers of the organizations commitmen

42、t to demonstrable environmental management; maintaining good public and community relations; satisfying investor criteria and improving access to capital; enhancing image and market share; improving cost control; preventing incidents that result in liability;ASQ/ANSI/ISO 14004:2016viiASQ/ANSI/ISO 14

43、004:2016 conserving input materials and energy; designing more environmental friendly products; facilitating the attainment of permits and authorizations and meeting their requirements; promoting environmental awareness among external providers and all persons doing work under the organizations cont

44、rol; improving relations between industry and government.It is possible for an organization to operate an integrated management system that can align with requirements from quality, occupational health and safety and environmental management systems, for example. This approach provides opportunities

45、 to reduce duplication and builds in efficiencies.Examples and approaches are presented throughout this International Standard for illustrative purposes. They are not intended to represent the only possibilities, nor are they necessarily suitable for every organization. In designing and implementing

46、, or improving an environmental management system, organizations should select approaches that are appropriate to their own circumstances. Practical Help Boxes are intended to provide additional information to support the guidance contained within this International Standard.viii Environmental manag

47、ement systems General guidelines on implementation1 ScopeThis International Standard provides guidance for an organization on the establishment, implementation, maintenance and improvement of a robust, credible and reliable environmental management system. The guidance provided is intended for an or

48、ganization seeking to manage its environmental responsibilities in a systematic manner that contributes to the environmental pillar of sustainability.This International Standard helps an organization achieve the intended outcomes of its environmental management system, which provides value for the e

49、nvironment, the organization itself and interested parties. Consistent with the organizations environmental policy, the intended outcomes of an environmental management system include: enhancement of environmental performance; fulfilment of compliance obligations; achievement of environmental objectives.The guidance in this International Standard can help an organization to enhance its environmental performance, and enables the elements of the environmental management system to be integrated into its core business process.NOTE While the envir