ANSI ASQ 14001-2015 Environmental management systems - Requirements with guidance for use.pdf

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1、american national standardSEPTEMBER 2015ASQ/ANSI/ISO 14001:2015 Environmental management systems Requirements with guidance for useThis standard is an identical adoption of ISO 14001:2015(This page intentionally left blank.)AMERICAN NATIONAL STANDARD Environmental management systems Requirements wit

2、h guidance for useApproved as an American National Standard September 10, 2015 American 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,

3、the consumer, and the general public. The 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 Natio

4、nal Standards are subject to periodic review 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 Caution Notice: This American National Standard may be revised or withdrawn at any time.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

5、 withdraw this standard no later than five 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 14001:2015i 2015 by ASQCopyright Protection Notice f

6、or the ASQ/ANSI/ISO 14001:2015 Standard.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

7、 ASQ/ANSI/ISO 14001:2015 Standard should 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 re

8、quests regarding this Standard. All requests should be in writing to the attention of the Standards administrator at the address below.ASQ Mission: The American Society for Quality advances individual and organizational performance excellence worldwide by providing opportunities for learning, qualit

9、y improvement, and knowledge exchange.Published by:COPYRIGHT PROTECTED DOCUMENTPDF disclaimerThis PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be viewed but shall not be edited or printed. In downloading this file, parties therein accept the resp

10、onsibility of not infringing on Adobes licensing policy. ASQ accepts no liability in this area.Adobe is a trademark of Adobe Systems Incorporated.Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creating parameters were opti

11、mized for printing. Every care has been 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 14001:2015iiASQ/ANSI/ISO 14001:2015Foreword vIntroduction vi1 Scope . 12 Norma

12、tive references 13 Terms and definitions . 13.1 Terms related to organization and leadership 13.2 Terms related to planning . 23.3 Terms related to support and operation . 43.4 Terms related to performance evaluation and improvement 54 Context of the organization . 64.1 Understanding the organizatio

13、n and its context . 64.2 Understanding the needs and expectations of interested parties 64.3 Determining the scope of the environmental management system . 64.4 Environmental management system . 75 Leadership 75.1 Leadership and commitment . 75.2 Environmental policy 75.3 Organizational roles, respo

14、nsibilities and authorities 86 Planning . 86.1 Actions to address risks and opportunities . 86.1.1 General 86.1.2 Environmental aspects . 96.1.3 Compliance obligations 96.1.4 Planning action 96.2 Environmental objectives and planning to achieve them .106.2.1 Environmental objectives 106.2.2 Planning

15、 actions to achieve environmental objectives 107 Support 107.1 Resources 107.2 Competence 117.3 Awareness 117.4 Communication . 117.4.1 General. 117.4.2 Internal communication . 127.4.3 External communication 127.5 Documented information 127.5.1 General. 127.5.2 Creating and updating 127.5.3 Control

16、 of documented information 128 Operation 138.1 Operational planning and control . 138.2 Emergency preparedness and response 139 Performance evaluation 149.1 Monitoring, measurement, analysis and evaluation 149.1.1 General. 149.1.2 Evaluation of compliance 149.2 Internal audit . 159.2.1 General. 159.

17、2.2 Internal audit programme 159.3 Management review 15iiiContents PageASQ/ANSI/ISO 14001:201510 Improvement .1610.1 General 1610.2 Nonconformity and corrective action 1610.3 Continual improvement . 17Annex A (informative) Guidance on the use of this International Standard 18Annex B (informative) Co

18、rrespondence between ISO 14001:2015 and ISO 14001:2004 .32Bibliography .34Alphabetical index of terms .35iv ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is no

19、rmally 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

20、 the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular t

21、he 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, Part 2 (see www.iso.org/directives).Attention is drawn to the possibility that some of the elements of this docu

22、ment 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 the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.or

23、g/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 terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World

24、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 Committee ISO/TC 207, Environmental management, Subcommittee SC 1, Environmental management systems.This third ed

25、ition cancels and replaces the second edition (ISO 14001:2004), which has been technically revised. It also incorporates the Technical Corrigendum ISO 14001:2004/Cor.1:2009.ASQ/ANSI/ISO 14001:2015 vIntroduction0.1 BackgroundAchieving a balance between the environment, society and the economy is cons

26、idered essential to meet the needs of the present without compromising the ability of future generations to meet their needs. Sustainable development as a goal is achieved by balancing the three pillars of sustainability.Societal expectations for sustainable development, transparency and accountabil

27、ity have evolved with increasingly stringent legislation, growing pressures on the environment from pollution, inefficient use of resources, improper waste management, climate change, degradation of ecosystems and loss of biodiversity.This has led organizations to adopt a systematic approach to envi

28、ronmental management by implementing environmental management systems with the aim of contributing to the environmental pillar of sustainability.0.2 Aim of an environmental management systemThe purpose of this International Standard is to provide organizations with a framework to protect the environ

29、ment and respond to changing environmental conditions in balance with socio-economic needs. It specifies requirements that enable an organization to achieve the intended outcomes it sets for its environmental management system.A systematic approach to environmental management can provide top managem

30、ent with information to build success over the long term and create options for contributing to sustainable development by: protecting the environment by preventing or mitigating adverse environmental impacts; mitigating the potential adverse effect of environmental conditions on the organization; a

31、ssisting the organization in the fulfilment of compliance obligations; enhancing environmental performance; controlling or influencing the way the organizations products and services are designed, manufactured, distributed, consumed and disposed by using a life cycle perspective that can prevent env

32、ironmental impacts from being unintentionally shifted elsewhere within the life cycle; achieving financial and operational benefits that can result from implementing environmentally sound alternatives that strengthen the organizations market position; communicating environmental information to relev

33、ant interested parties.This International Standard, like other International Standards, is not intended to increase or change an organizations legal requirements.0.3 Success factorsThe success of an environmental management system depends on commitment from all levels and functions of the organizati

34、on, led by top management. Organizations can leverage opportunities to prevent or mitigate adverse environmental impacts and enhance beneficial environmental impacts, particularly those with strategic and competitive implications. Top management can effectively address its risks and opportunities by

35、 integrating environmental management into the organizations business processes, strategic direction and decision making, aligning them with other business priorities, and incorporating environmental governance into its overall management system. Demonstration of successful implementation of this In

36、ternational Standard can be used to assure interested parties that an effective environmental management system is in place.Adoption of this International Standard, however, will not in itself guarantee optimal environmental outcomes. Application of this International Standard can differ from one or

37、ganization to another ASQ/ANSI/ISO 14001:2015vi due to the context of the organization. Two organizations can carry out similar activities but can have different compliance obligations, commitments in their environmental policy, environmental technologies and environmental performance goals, yet bot

38、h can conform to the requirements of this International Standard.The level of detail and complexity of the environmental management system will vary depending on the context of the organization, the scope of its environmental management system, its compliance obligations, and the nature of its activ

39、ities, products and services, including its environmental aspects and associated environmental impacts.0.4 Plan-Do-Check-Act modelThe basis for the approach underlying an environmental management system is founded on the concept of Plan-Do-Check-Act (PDCA). The PDCA model provides an iterative proce

40、ss used by organizations to achieve continual improvement. It can be applied to an environmental management system and to each of its individual elements. It can be briefly described as follows. Plan: establish environmental objectives and processes necessary to deliver results in accordance with th

41、e organizations environmental policy. Do: implement the processes as planned. Check: monitor and measure processes against the environmental policy, including its commitments, environmental objectives and operating criteria, and report the results. Act: take actions to continually improve.Figure 1 s

42、hows how the framework introduced in this International Standard could be integrated into a PDCA model, which can help new and existing users to understand the importance of a systems approach.Figure 1 Relationship between PDCA and the framework in this International Standard0.5 Contents of this Int

43、ernational StandardThis International Standard conforms to ISOs requirements for management system standards. These requirements include a high level structure, identical core text, and common terms with core definitions, designed to benefit users implementing multiple ISO management system standard

44、s.ASQ/ANSI/ISO 14001:2015 viiThis International Standard does not include requirements specific to other management systems, such as those for quality, occupational health and safety, energy or financial management. However, this International Standard enables an organization to use a common approac

45、h and risk-based thinking to integrate its environmental management system with the requirements of other management systems.This International Standard contains the requirements used to assess conformity. An organization that wishes to demonstrate conformity with this International Standard can do

46、so by: making a self-determination and self-declaration, or seeking confirmation of its conformance by parties having an interest in the organization, such as customers, or seeking confirmation of its self-declaration by a party external to the organization, or seeking certification/registration of

47、its environmental management system by an external organization.Annex A provides explanatory information to prevent misinterpretation of the requirements of this International Standard. Annex B shows broad technical correspondence between the previous edition of this International Standard and this

48、edition. Implementation guidance on environmental management systems is included in ISO 14004.In this International Standard, the following verbal forms are used: “shall” indicates a requirement; “should” indicates a recommendation; “may” indicates a permission; “can” indicates a possibility or a ca

49、pability.Information marked as “NOTE” is intended to assist the understanding or use of the document. “Notes to entry” used in Clause 3 provide additional information that supplements the terminological data and can contain provisions relating to the use of a term.The terms and definitions in Clause 3 are arranged in conceptual order, with an alphabetical index provided at the end of the document.ASQ/ANSI/ISO 14001:2015viii Environmental management systems Requirements with guidance for use1 ScopeThis International Standard specifies the requirements f