Environmental management systems - Guidelines for the phased implementation of an environmental management system, including the use of environmental performance evaluation (ISO/FDIS 14005:2010)

ISO 14005:2010 provides guidance for all organizations, but particularly small- and medium-sized enterprises, on the phased development, implementation, maintenance and improvement of an environmental management system. It also includes advice on the integration and use of environmental performance evaluation techniques.
ISO 14005:2010 is applicable to any organization, regardless of its level of development, the nature of the activities undertaken or the location at which they occur.

Umweltmanagementsysteme - Anleitung für eine phasenweise Einführung eines Umweltmanagementsystems unter Einbeziehung der Umweltleistungsbewertung (ISO/FDIS 14005:2010)

Die vorliegende Internationale Norm stellt eine Anleitung zur phasenweisen Entwicklung, Verwirklichung,
Aufrechterhaltung und Verbesserung eines Umweltmanagementsystems für alle Organisationstypen dar,
insbesondere für kleine und mittlere Unternehmen. Enthalten sind auch Hinweise zur Integration und
Anwendung von Methoden zur Umweltleistungsbewertung.
Diese Internationale Norm gilt für sämtliche Organisationen, unabhängig von ihrem Entwicklungsstand, der Art
der ausgeführten Tätigkeiten oder dem Standort.

Systèmes de management environnemental - Lignes directrices pour la mise en place par phases d'un système de management environnemental, incluant l'évaluation de la performance environnementale (ISO/FDIS 14005:2010)

L'ISO 14005:2010 fournit des lignes directrices pour tous les organismes, mais en particulier pour les petites et moyennes entreprises, pour le d�veloppement, la mise en oeuvre, l'entretien et l'am�lioration, par phases d'un syst�me de management environnemental. Elle comprend �galement des conseils sur l'int�gration et l'utilisation de techniques d'�valuation de performance environnementale.
L'ISO 14005:2010 est applicable � tout organisme, ind�pendamment de son niveau de d�veloppement, de la nature des activit�s entreprises ou de l'emplacement o� elles ont lieu.

Sistemi ravnanja z okoljem - Smernice za fazno uvajanje sistemov ravnanja z okoljem, vključno z uporabo vrednotenja učinkov ravnanja z okoljem (ISO/DIS 14005:2009)

General Information

Status
Not Published
Current Stage
5098 - Decision to abandon - Formal Approval
Due Date
25-May-2011
Completion Date
25-May-2011

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SLOVENSKI STANDARD
oSIST prEN ISO 14005:2009
01-marec-2009
6LVWHPLUDYQDQMD]RNROMHP6PHUQLFH]DID]QRL]YDMDQMHVLVWHPRYUDYQDQMD]
RNROMHPYNOMXþQR]XSRUDERYUHGQRWHQMDXþLQNRYUDYQDQMD]RNROMHP ,62',6

Environmental management systems - or the phased implementation of an
environmental management system, including the use of environmental performance
evaluation (ISO/DIS 14005:2008)
Umweltmanagementsysteme - Anleitung für eine stufenweise Einführung eines
Umweltmanagementsystems - Unter Einbeziehung der Umweltleistungsbewertung
(ISO/DIS 14005:2008)
Systèmes de management environnemental - Lignes directrices pour la mise en
application échelonnée d'un système de management environnemental, incluant

l'utilisation d'une évaluation de performance environnementale (ISO/DIS 14005:2008)

Ta slovenski standard je istoveten z: prEN ISO 14005
ICS:
13.020.10 Ravnanje z okoljem Environmental management
oSIST prEN ISO 14005:2009 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
oSIST prEN ISO 14005:2009
---------------------- Page: 2 ----------------------
oSIST prEN ISO 14005:2009
EUROPEAN STANDARD
DRAFT
prEN ISO 14005
NORME EUROPÉENNE
EUROPÄISCHE NORM
November 2008
ICS 13.020.10
English Version
Environmental management systems - Guidelines for the
phased implementation of an environmental management
system, including the use of environmental performance
evaluation (ISO/DIS 14005:2008)

Systèmes de management environnemental - Lignes Umweltmanagementsysteme - Anleitung für eine

directrices pour la mise en application échelonnée d'un stufenweise Einführung eines Umweltmanagementsystems

système de management environnemental, incluant unter Einschluss der Umweltleistungsbewertung (ISO/DIS

l'utilisation d'une évaluation de performance 14005:2008)
environnementale (ISO/DIS 14005:2008)

This draft European Standard is submitted to CEN members for parallel enquiry. It has been drawn up by the Technical Committee

CEN/SS S26.

If this draft becomes a European Standard, CEN members are bound to comply with the CEN/CENELEC Internal Regulations which

stipulate the conditions for giving this European Standard the status of a national standard without any alteration.

This draft European Standard was established by CEN in three official versions (English, French, German). A version in any other language

made by translation under the responsibility of a CEN member into its own language and notified to the CEN Management Centre has the

same status as the official versions.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland,

France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,

Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.

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.

Warning : This document is not a European Standard. It is distributed for review and comments. It is subject to change without notice and

shall not be referred to as a European Standard.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
Management Centre: rue de Stassart, 36 B-1050 Brussels

© 2008 CEN All rights of exploitation in any form and by any means reserved Ref. No. prEN ISO 14005:2008: E

worldwide for CEN national Members.
---------------------- Page: 3 ----------------------
oSIST prEN ISO 14005:2009
prEN ISO 14005:2008 (E)
Contents Page

Foreword ..............................................................................................................................................................3

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oSIST prEN ISO 14005:2009
prEN ISO 14005:2008 (E)
Foreword

This document (prEN ISO 14005:2008) has been prepared by Technical Committee ISO/TC 207

"Environmental management" in collaboration with Technical Committee CEN/SS S26 “Environmental

management” the secretariat of which is held by CMC.
This document is currently submitted to the parallel Enquiry.
Endorsement notice

The text of ISO/DIS 14005:2008 has been approved by CEN as a prEN ISO 14005:2008 without any

modification.
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oSIST prEN ISO 14005:2009
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oSIST prEN ISO 14005:2009
DRAFT INTERNATIONAL STANDARD ISO/DIS 14005
ISO/TC 207/SC 1 Secretariat: BSI
Voting begins on: Voting terminates on:
2008-11-27 2009-04-27

INTERNATIONAL ORGANIZATION FOR STANDARDIZATION • МЕЖДУНАРОДНАЯ ОРГАНИЗАЦИЯ ПО СТАНДАРТИЗАЦИИ • ORGANISATION INTERNATIONALE DE NORMALISATION

Environmental management systems — Guidelines for the
phased implementation of an environmental management
system, including the use of environmental performance
evaluation

Systèmes de management environnemental — Lignes directrices pour la mise en application échelonnée d'un

système de management environnemental, incluant l'utilisation d'une évaluation de performance

environnementale
ICS 13.020.10
ISO/CEN PARALLEL ENQUIRY

The CEN Secretary-General has advised the ISO Secretary-General that this ISO/DIS covers a subject

of interest to European standardization. In accordance with the ISO-lead mode of collaboration as

defined in the Vienna Agreement, consultation on this ISO/DIS has the same effect for CEN

members as would a CEN enquiry on a draft European Standard. Should this draft be accepted, a

final draft, established on the basis of comments received, will be submitted to a parallel two-month FDIS

vote in ISO and formal vote in CEN.

In accordance with the provisions of Council Resolution 15/1993 this document is circulated in

the English language only.

Conformément aux dispositions de la Résolution du Conseil 15/1993, ce document est distribué

en version anglaise seulement.

To expedite distribution, this document is circulated as received from the committee secretariat.

ISO Central Secretariat work of editing and text composition will be undertaken at publication

stage.

Pour accélérer la distribution, le présent document est distribué tel qu'il est parvenu du

secrétariat du comité. Le travail de rédaction et de composition de texte sera effectué au

Secrétariat central de l'ISO au stade de publication.

THIS DOCUMENT IS A DRAFT CIRCULATED FOR COMMENT AND APPROVAL. IT IS THEREFORE SUBJECT TO CHANGE AND MAY NOT BE

REFERRED TO AS AN INTERNATIONAL STANDARD UNTIL PUBLISHED AS SUCH.

IN ADDITION TO THEIR EVALUATION AS BEING ACCEPTABLE FOR INDUSTRIAL, TECHNOLOGICAL, COMMERCIAL AND USER PURPOSES, DRAFT

INTERNATIONAL STANDARDS MAY ON OCCASION HAVE TO BE CONSIDERED IN THE LIGHT OF THEIR POTENTIAL TO BECOME STANDARDS TO

WHICH REFERENCE MAY BE MADE IN NATIONAL REGULATIONS.

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.
International Organization for Standardization, 2008
---------------------- Page: 7 ----------------------
oSIST prEN ISO 14005:2009
ISO/DIS 14005
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Reproduction may be subject to royalty payments or a licensing agreement.
Violators may be prosecuted.
ii ISO 2008 – All rights reserved
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
Contents Page

Foreword ............................................................................................................................................................iv

Introduction.........................................................................................................................................................v

1 Scope......................................................................................................................................................6

2 Normative references............................................................................................................................6

3 Terms and definition .............................................................................................................................6

4 Phased implementation process .......................................................................................................10

4.1 General .................................................................................................................................................10

4.2 The importance of support, commitment and involvement from management and staff ...........11

4.3 description of the standard ................................................................................................................11

4.4 The phased implementation process................................................................................................12

5 Undertaking an environment related project to secure management support and

commitment to begin the phased implementation of an EMS........................................................13

5.1 Intention ...............................................................................................................................................13

5.2 Methodology ........................................................................................................................................13

6 Overview of activities ......................................................................................................................17

7 Supporting elements that support the EMS..............................................................................22

7.1 Environmental communications........................................................................................................22

7.2 Resources, roles, responsibility and authority ................................................................................25

7.3 Competence, training and awareness...............................................................................................26

7.4 Records ................................................................................................................................................27

7.5 Documentation and documentation control.....................................................................................28

8 Developing and implementing an EMS.......................................................................................29

8.1 Identifying your significant environmental aspects ........................................................................29

8.2 Identifying your legal and other requirements.................................................................................31

8.3 Evaluating compliance with your legal and other requirements....................................................32

8.4 Preparing and implementing an environmental policy ...................................................................33

8.5 Setting objectives and targets and establishing program..............................................................35

8.6 Evaluating environmental performance............................................................................................37

8.7 Operational control .............................................................................................................................38

8.8 Planning for and responding to emergencies..................................................................................39

8.9 Monitoring and measuring progress.................................................................................................40

8.10 Internal audits ......................................................................................................................................42

8.11 Managing when things don’t go as planned ....................................................................................43

8.12 Management review of progress and performance .........................................................................45

Annex A (informative) Example of implementation in 5 phases ................................................................47

Annex B (informative) Example on implementation in 3 phases ...............................................................48

Annex C (informative) Example of phased implementation by building upon a number of projects ....54

Annex D (informative) Example of a working EMS project.........................................................................55

Annex E (informative) Cross Reference Table .............................................................................................63

Annex F (informative) EMAS..........................................................................................................................66

Bibliography......................................................................................................................................................69

© ISO 2008 – All rights reserved iii
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
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 14005 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee

SC 1, Environmental management systems, in collaboration with Technical Committee CEN/SS 26.

iv © ISO 2008 – All rights reserved
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
Introduction

The purpose of this standard is to encourage and guide organizations, especially small to medium-sized

enterprises (SMEs), to develop and implement an environmental management system (EMS) that meets the

requirements of ISO 14001.

Many organizations have profited from having a formal environmental management system. But many more

organizations, especially small to medium-sized enterprises (SMEs), do not have such a system even though

it could benefit them greatly. Taking time and money away from recognised business needs is a major step for

any organization. This standard uses a phased approach to build an environmental management system that

can grow, if necessary to meet the requirements of the international standard for environmental management

systems, ISO 14001.

A phased approach offers several advantages. Users can readily evaluate how the time and money put into

an EMS provide a return. They can see how environmental improvements help to reduce costs, improve their

community relations, assist them in demonstrating compliance with environmental legal and other

requirements, and help them live up to customer expectations. They can track the benefits of their EMS while

they build their system step by step, adding or expanding elements as they provide value to the organization.

When the scope of the EMS includes all of the organization’s activities, products and services that it wishes to

cover and these are addressed using all the elements of ISO 14005 to their full extent, the organization should

have developed and implemented a system that meets the requirements of ISO 14001.

ISO 14001, the most widely accepted international EMS standard, is a structured approach to managing an

organization’s environmental matters. It is consistent with, and forms the basis of, many other regional

management system approaches such as the management system requirements of the European Union’s

Eco-Management and Audit Scheme (EMAS), the Japanese EcoAction 21 programme and others.

© ISO 2008 – All rights reserved v
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
Environmental management systems — Guidelines for the
phased implementation of an environmental management
system, including the use of environmental performance
evaluation
1 Scope

This International Standard provides guidance for all organizations, but particularly small and medium-sized

enterprises, on the phased development, implementation, maintenance and improvement of an environmental

management system. It also includes advice on:
⎯ the integration and use of environmental performance evaluation techniques,
and

⎯ the integration of such a management system with other management systems, where appropriate.

The guidelines in this International Standard are applicable to any organization regardless of its level of

development, the nature of the activities undertaken or the location at which they occur.

This standard should not be used for interpretation of ISO 14001.
2 Normative references
For this standard no normative references apply.
3 Terms and definition
For the purpose of this document, following terms and definitions apply,
3.1
auditor

person with the demonstrated personal attributes and competence to conduct an audit

NOTE The relevant personal attributes for an auditor are described in ISO 19011.
[ISO 9000:2005, 3.9.9]
3.2
audit findings
results of the evaluation of the collected audit evidence against audit criteria

NOTE Audit findings can indicate either conformity or nonconformity with audit criteria or opportunities for

improvement.
[ISO 9000:2005, 3.9.5]
6 © ISO 2008 – All rights reserved
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
3.3
audit programme

set of one or more audits planned for a specific time frame and directed towards a specific purpose

NOTE An audit programme includes all activities necessary for planning, organizing and conducting the audits.

[ISO 9000:2005, 3.9.2]
3.4
continual improvement

recurring processes of enhancing the environmental management system in order to achieve improvements in

overall environmental performance consistent with the organization’s environmental policy

NOTE The process need not take place in all areas of activity simultaneously.
[ISO 14001:2004, 3.2]
3.5
corrective action
action to eliminate the cause of detected nonconformity (3.15)
[ISO14001:2004, 3.3]
3.6
document
information and its supporting medium
EXAMPLE Record, specification, procedure document, drawing, report, standard.

NOTE 1 The medium can be paper, magnetic, electronic or optical computer disc, photograph or master sample, or a

combination thereof.

NOTE 2 A set of documents, for example specifications and records, is frequently called “documentation”.

NOTE 3 Some requirements (e.g. the requirement to be readable) relate to all types of documents, however there can

be different requirements for specifications (e.g. the requirement to be revision controlled) and records (e.g. the

requirement to be retrievable).
[ISO 9000:2005, 3.7.2]
3.7
environment

surroundings in which an organization operates, including air, water, land, natural resources, flora, fauna,

humans and their interrelation

NOTE Surroundings in this context extend from within an organization to the global system.

[ISO 14001:2004, 3.5]
3.8
environmental aspect

element of an organization’s activities or products or services that can interact with the environment

NOTE A significant environmental aspect has or can have a significant environmental impact.

[ISO 14001:2004, 3.6]
© ISO 2008 – All rights reserved 7
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
3.9
environmental impact

any change to the environment, whether adverse or beneficial, wholly or partially resulting from an

organization’s environmental aspects
[ISO 14001:2004, 3.7]
3.10
environmental management system EMS

part of an organization’s management system used to develop and implement its environmental policy and

manage its environmental aspects

NOTE 1 A management system is a set of interrelated elements used to establish policy and objectives and to achieve

those objectives.

NOTE 2 A management system includes organizational structure, planning activities, responsibilities, practices,

procedures, processes and resources.
[ISO 14001:2004, 3.8]
3.11
environmental objective

overall environmental goal, consistent with the environmental policy, that an organization sets itself to achieve

[ISO 14001:2004, 3.9]
3.12
environmental performance
measurable results of an organization’s management of its environmental aspects

NOTE In the context of environmental management systems, results can be measured against the organization's

environmental policy, environmental objectives, environmental targets and other environmental performance

requirements.
[ISO 14001:2004, 3.10]
3.13
environmental performance evaluation EPE

process to facilitate management decisions regarding an organization’s environmental performance by

selecting indicators, collecting and analysing data, assessing information against environmental performance

criteria, reporting and communicating, and periodically reviewing and improving this process.

[ISO 14031:1999, 2.9]
3.14
environmental performance indicator EPI

specific expression that provides information about an organization’s performance

[ISO 14031:1999, 2.10]
3.15
environmental policy

overall intentions and direction of an organization related to its environmental performance as formally

expressed by top management

NOTE The environmental policy provides a framework for action and for the setting of environmental objectives and

environmental targets.
[ISO 14001:2004, 3.11]
8 © ISO 2008 – All rights reserved
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
3.16
environmental target

detailed performance requirement, applicable to the organization or part thereof, that arises from the

environmental objectives and that needs to be set and met in order to achieve those objectives

[ISO 14001:2004, 3.12]
3.17
interested party

person or group concerned with or affected by the environmental performance of an organization

[ISO 14001:2004, 3.13]
3.18
internal audit

systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to

determine the extent to which the environmental management system audit criteria set by the organization are

fulfilled

NOTE In many cases, particularly in smaller organizations, independence can be demonstrated by the freedom from

responsibility for the activity being audited.
[ISO 14001:2004, 3.14]
3.19
management performance indicator MPI

environmental performance indicator that provides information about the management efforts to influence an

organization’s environmental performance
[ISO 14031:1999, 2.10.1]
3.20
nonconformity
non-fulfilment of a requirement
[ISO 9000:2005, 3.6.2]
3.21
operational performance indicator OPI

environmental performance indicator that provides information about the environmental performance of an

organization’s operation
[ISO 14031:1999, 2.10.2]
3.22
organization

company, corporation, firm, enterprise, authority or institution, or part or combination thereof, whether

incorporated or not, public or private, that has its own functions and administration

NOTE For organizations with more than one operating unit, a single operating unit may be defined as an

organization.
[ISO 14001:2004, 3.16]
3.23
phased implementation

Implementation in more than one phase, as determined by the users to suit their needs and resources.

NOTE Phases are likely to be delivered in a sequential way to implement the EMS.
© ISO 2008 – All rights reserved 9
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oSIST prEN ISO 14005:2009
ISO/DIS 14005
3.24
Phase

A phase is a logical combination of steps that when implemented will lead to measurable outputs which

demonstrate progress towards the successful implementation of an EMS.
3.25
preventive action
action to eliminate the cause of a potential nonconformity
[ISO 14001:2004, 3.17]
3.26
prevention of pollution

use of processes, techniques, materials, products, services or energy to avoid, reduce or control (separately

or in combination) the creation, emission or discharge of any type of pollutant or waste, in order to reduce

adverse environmental aspects.

NOTE Prevention of pollution can include source reduction or elimination, process, product or service changes,

efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and treatment.

[ISO 14001:2004, 3.18]
3.27
procedure
specified way to carry out an activity or a process
NOTE 1 Procedures can be documented or not.

NOTE 2 When a procedure is documented, the term “written procedure” or “documented procedure” is frequently used.

The document that contains a procedure can be called a “procedure
[ISO 9000:2005, 3.4.5]
3.28
record
document stating results achieved or providing evidence of activities performed

NOTE 1 Records can be used, for example, to document traceability (3.5.4) and to provide evidence of verification,

preventive action and corrective action.
NOTE 2 Generally records need not be under revision control.
[ISO 9000:2005, 3.7.6]
4 Phased implementation process
4.1 General

An organization can decide to apply a systematic approach to managing its environmental aspects. This may

be triggered by the need to solve an individual problem or to capitalize upon a specific opportunity.

Alternatively the organization may be seeking to implement an environmental management system (EMS) that

enables it to manage its full range of environmental aspects, in order to meet the requirements of ISO 14001.

There are many potential benefits to be gained by an organization from managing its environmental aspects.

Organizations may however be deterred from applying a systematic approach to environmental management

because they wrongly perceive this as being an inflexible, limiting, bureaucratic or costly process. They may

also be overwhelmed by the apparent size of the task.
10 © ISO 2008 – All rights reserved
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oSIST prEN ISO 14005:2009
ISO/DIS 14005

The model outlined in this standard has been developed to help an organization to implement an EMS in a

logical, step-by-step way whilst growing the extent and scope of the system, through time, in line with the

objectives of the organization and the resources available.

4.2 The importance of support, commitment and involvement from management and staff

In order to successfully implement an effective EMS which adds value to the organization’s activities, it is

essential to ensure and maintain support, commitment and involvement from management, including top

management, and staff. However, this is rarely achieved in one step. More usually, support and commitment

grows as people become involved in the process and
...

SLOVENSKI STANDARD
oSIST prEN ISO 14005:2009
01-november-2009
6LVWHPLUDYQDQMD]RNROMHP6PHUQLFH]DID]QRL]YDMDQMHVLVWHPRYUDYQDQMD]
RNROMHPYNOMXþQR]XSRUDERYUHGQRWHQMDXþLQNRYUDYQDQMD]RNROMHP ,62',6


Environmental management systems - Guidelines for the phased implementation of an

environmental management system, including the use of environmental performance
evaluation (ISO/DIS 14005:2009)
Umweltmanagementsysteme - Anleitung für eine stufenweise Einführung eines
Umweltmanagementsystems - Unter Einbeziehung der Umweltleistungsbewertung
(ISO/DIS 14005:2009)
Systèmes de management environnemental - Lignes directrices pour la mise en
application échelonnée d'un système de management environnemental, incluant

l'utilisation d'une évaluation de performance environnementale (ISO/DIS 14005:2009)

Ta slovenski standard je istoveten z: prEN ISO 14005
ICS:
13.020.10 Ravnanje z okoljem Environmental management
oSIST prEN ISO 14005:2009 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
oSIST prEN ISO 14005:2009
---------------------- Page: 2 ----------------------
oSIST prEN ISO 14005:2009
EUROPEAN STANDARD
DRAFT
prEN ISO 14005
NORME EUROPÉENNE
EUROPÄISCHE NORM
October 2009
ICS 13.020.10
English Version
Environmental management systems - Guidelines for the
phased implementation of an environmental management
system, including the use of environmental performance
evaluation (ISO/DIS 14005:2009)

Systèmes de management environnemental - Lignes Umweltmanagementsysteme - Anleitung für eine

directrices pour la mise en application par phases d'un stufenweise Einführung eines Umweltmanagementsystems

système de management environnemental, incluant - Unter Einbeziehung der Umweltleistungsbewertung

l'utilisation d'une évaluation de performance (ISO/DIS 14005:2009)
environnementale (ISO/DIS 14005:2009)

This draft European Standard is submitted to CEN members for second parallel enquiry. It has been drawn up by the Technical Committee

CEN/SS S26.

If this draft becomes a European Standard, CEN members are bound to comply with the CEN/CENELEC Internal Regulations which

stipulate the conditions for giving this European Standard the status of a national standard without any alteration.

This draft European Standard was established by CEN in three official versions (English, French, German). A version in any other language

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Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are aware and to

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Warning : This document is not a European Standard. It is distributed for review and comments. It is subject to change without notice and

shall not be referred to as a European Standard.
EUROPEAN COMMITTEE FOR STANDARDIZATION
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EUROPÄISCHES KOMITEE FÜR NORMUNG
Management Centre: Avenue Marnix 17, B-1000 Brussels

© 2009 CEN All rights of exploitation in any form and by any means reserved Ref. No. prEN ISO 14005:2009: E

worldwide for CEN national Members.
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oSIST prEN ISO 14005:2009
prEN ISO 14005:2009 (E)
Contents Page

Foreword ..............................................................................................................................................................3

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oSIST prEN ISO 14005:2009
prEN ISO 14005:2009 (E)
Foreword

This document (prEN ISO 14005:2009) has been prepared by Technical Committee ISO/TC 207

"Environmental management".
This document is currently submitted to the second parallel Enquiry.
Endorsement notice

The text of ISO/DIS 14005:2009 has been approved by CEN as a prEN ISO 14005:2009 without any

modification.
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oSIST prEN ISO 14005:2009
DRAFT INTERNATIONAL STANDARD ISO/DIS 14005.2
ISO/TC 207/SC 1 Secretariat: BSI
Voting begins on: Voting terminates on:
2009-10-08 2009-12-08

INTERNATIONAL ORGANIZATION FOR STANDARDIZATION • МЕЖДУНАРОДНАЯ ОРГАНИЗАЦИЯ ПО СТАНДАРТИЗАЦИИ • ORGANISATION INTERNATIONALE DE NORMALISATION

Environmental management systems — Guidelines for the
phased implementation of an environmental management
system, including the use of environmental performance
evaluation

Systèmes de management environnemental — Lignes directrices pour la mise en application par phases d'un

système de management environnemental, incluant l'utilisation d'une évaluation de performance

environnementale
ICS 13.020.10
ISO/CEN PARALLEL PROCESSING

This draft has been developed within the International Organization for Standardization (ISO), and

processed under the ISO-lead mode of collaboration as defined in the Vienna Agreement.

This draft is hereby submitted to the ISO member bodies and to the CEN member bodies for a parallel

five-month enquiry.

Should this draft be accepted, a final draft, established on the basis of comments received, will be

submitted to a parallel two-month approval vote in ISO and formal vote in CEN.

In accordance with the provisions of Council Resolution 15/1993 this document is circulated in

the English language only.

Conformément aux dispositions de la Résolution du Conseil 15/1993, ce document est distribué

en version anglaise seulement.

To expedite distribution, this document is circulated as received from the committee secretariat.

ISO Central Secretariat work of editing and text composition will be undertaken at publication

stage.

Pour accélérer la distribution, le présent document est distribué tel qu'il est parvenu du

secrétariat du comité. Le travail de rédaction et de composition de texte sera effectué au

Secrétariat central de l'ISO au stade de publication.

THIS DOCUMENT IS A DRAFT CIRCULATED FOR COMMENT AND APPROVAL. IT IS THEREFORE SUBJECT TO CHANGE AND MAY NOT BE

REFERRED TO AS AN INTERNATIONAL STANDARD UNTIL PUBLISHED AS SUCH.

IN ADDITION TO THEIR EVALUATION AS BEING ACCEPTABLE FOR INDUSTRIAL, TECHNOLOGICAL, COMMERCIAL AND USER PURPOSES, DRAFT

INTERNATIONAL STANDARDS MAY ON OCCASION HAVE TO BE CONSIDERED IN THE LIGHT OF THEIR POTENTIAL TO BECOME STANDARDS TO

WHICH REFERENCE MAY BE MADE IN NATIONAL REGULATIONS.

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.
International Organization for Standardization, 2009
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oSIST prEN ISO 14005:2009
ISO/DIS 14005.2
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ii ISO 2009 – All rights reserved
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ISO/DIS 14005.2
Contents Page

Foreword ............................................................................................................................................................iv

Introduction.........................................................................................................................................................v

1 Scope......................................................................................................................................................6

2 Terms and definitions ...........................................................................................................................6

3 Phased implementation process .......................................................................................................10

3.1 General .................................................................................................................................................10

3.2 The importance of support, commitment and involvement from management and staff ...........11

3.3 Description of the standard................................................................................................................11

3.4 The phased implementation process of an EMS .............................................................................12

4 Undertaking an environment-related project to secure management support and

commitment to begin the phased implementation of an EMS........................................................13

4.1 Intention ...............................................................................................................................................13

4.2 Methodology ........................................................................................................................................13

5 Elements that support the EMS .........................................................................................................16

5.1 Environmental communications........................................................................................................16

5.2 Resources, roles, responsibility and authority................................................................................19

5.3 Competence, training and awareness...............................................................................................20

5.4 Records ................................................................................................................................................21

5.5 Documentation ....................................................................................................................................22

5.6 Document control................................................................................................................................23

6 Developing and implementing an EMS.......................................................................................24

6.1 Identifying your significant environmental aspects ........................................................................24

6.2 Identifying your legal and other requirements.................................................................................26

6.3 Evaluating compliance with your legal and other requirements....................................................27

6.4 Preparing and implementing an environmental policy ...................................................................28

6.5 Setting objectives and targets and establishing program(s)..........................................................29

6.6 Operational control .............................................................................................................................31

6.7 Planning for and responding to emergencies..................................................................................33

6.8 Environmental performance evaluation including monitoring and measurement.......................34

6.9 Internal audits ......................................................................................................................................36

6.10 Managing when things do not go as planned ..................................................................................38

6.11 Management review of progress and performance .........................................................................39

Annex A (informative) Overview of activities ...............................................................................................41

Annex B (informative) Example of implementation in 5 phases ................................................................46

Annex C (informative) Example of phased implementation in 3 phases...................................................47

Annex D (informative) Example of a working EMS project.........................................................................49

Annex E (informative) Cross Reference Table .............................................................................................57

Bibliography......................................................................................................................................................60

© ISO 2009 – All rights reserved iii
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ISO/DIS 14005.2
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 14005 was prepared by Technical Committee ISO/TC 207, Environmental management, Subcommittee

SC 1, Environmental management system, in collaboration with Technical Committee CEN/SS 26.

This second/third/... edition cancels and replaces the first/second/... edition (), [clause(s) / subclause(s) /

table(s) / figure(s) / annex(es)] of which [has / have] been technically revised.

iv © ISO 2009 – All rights reserved
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Introduction

The purpose of this standard is to encourage and guide organizations, especially small and medium-sized

enterprises (SMEs), to develop and implement an environmental management system (EMS) that meets the

requirements of ISO 14001[8]. The guidance does not go beyond ISO 14001[8], except for the inclusion of

environmental performance evaluation.

Many organizations have profited from having a formal environmental management system. But many more

organizations, especially small to medium-sized enterprises (SMEs), do not have such a system even though

it could benefit them greatly. This international standard uses a phased approach to implement an

environmental management system that can grow, if necessary to meet the requirements of the international

standard for environmental management systems, ISO 14001[8].

A phased approach offers several advantages. Users can readily evaluate how the time and money put into

an EMS provides a return. They can see how environmental improvements help to reduce costs, improve their

community relations, assist them in demonstrating compliance with legal and other requirements, and help

them live up to customer expectations. They can track the benefits of their EMS while they implement their

system step by step, adding or expanding elements as they provide value to the organization. When the

scope of the EMS includes all of the organization’s activities, products and services that it wishes to cover and

these are addressed using all the elements of ISO 14005 to their full extent, the organization will have

developed and implemented a system that meets the requirements of ISO 14001[8].

ISO 14001[8], the most widely accepted international EMS standard, is a structured approach to managing an

organization’s environmental matters. It is consistent with, and forms the basis of, many other regional

management system approaches.
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ISO/DIS 14005.2
Environmental management system — Guidelines for the
phased implementation of an environmental management
system, including the use of environmental performance
evaluation
1 Scope

This International Standard provides guidance for all organizations, but particularly small and medium-sized

enterprises, on the phased development, implementation, maintenance and improvement of an environmental

management system. It also includes advice on:
⎯ the integration and use of environmental performance evaluation techniques,

This International Standard is applicable to any organization regardless of its level of development, the nature

of the activities undertaken or the location at which they occur.
This standard cannot be used for interpretation of ISO 14001[8].
2 Terms and definitions
For the purpose of this document, following terms and definitions apply,
2.1
auditor

person with the demonstrated personal attributes and competence to conduct an audit

NOTE The relevant personal attributes for an auditor are described in ISO 19011.
[ISO 19011:2002, 3.8]
2.2
audit findings
results of the evaluation of the collected audit evidence against audit criteria

NOTE Audit findings can indicate either conformity or nonconformity with audit criteria or opportunities for

improvement.
[ISO 19011:2002, 3.4]
2.3
audit program

set of one or more audits planned for a specific time frame and directed towards a specific purpose

NOTE An audit program includes all activities necessary for planning, organizing and conducting the audits.

[ISO 19011:2002, 3.11]
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2.4
continual improvement

recurring processes of enhancing the environmental management system in order to achieve improvements in

overall environmental performance consistent with the organization’s environmental policy

NOTE The process need not take place in all areas of activity simultaneously.
[ISO 14001:2004, 3.2]
2.5
corrective action
action to eliminate the cause of a detected nonconformity (3.15)
[ISO14001:2004, 3.3]
2.6
document
information and its supporting medium
EXAMPLE Record, specification, procedure, document, drawing, report, standard.

NOTE 1 The medium can be paper, magnetic, electronic or optical computer disc, photograph or master sample, or a

combination thereof.

NOTE 2 A set of documents, for example specifications and records, is frequently called “documentation”.

NOTE 3 Some requirements (e.g. the requirement to be readable) relate to all types of documents, however there can

be different requirements for specifications (e.g. the requirement to be revision controlled) and records (e.g. the

requirement to be retrievable).
[ISO 14001:2004, 3.4]
2.7
environment

surroundings in which an organization operates, including air, water, land, natural resources, flora, fauna,

humans and their interrelation

NOTE Surroundings in this context extend from within an organization to the global system.

[ISO 14001:2004, 3.5]
2.8
environmental aspect

element of an organization’s activities or products or services that can interact with the environment

NOTE A significant environmental aspect has or can have a significant environmental impact.

[ISO 14001:2004, 3.6]
2.9
environmental impact

any change to the environment, whether adverse or beneficial, wholly or partially resulting from an

organization’s environmental aspects
[ISO 14001:2004, 3.7]
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2.10
environmental management system EMS

part of an organization’s management system used to develop and implement its environmental policy and

manage its environmental aspects

NOTE 1 A management system is a set of interrelated elements used to establish policy and objectives and to achieve

those objectives.

NOTE 2 A management system includes organizational structure, planning activities, responsibilities, practices,

procedures, processes and resources.
[ISO 14001:2004, 3.8]
2.11
environmental objective

overall environmental goal, consistent with the environmental policy, that an organization sets itself to achieve

[ISO 14001:2004, 3.9]
2.12
environmental performance
measurable results of an organization’s management of its environmental aspects

NOTE In the context of environmental management systems, results can be measured against the organization's

environmental policy, environmental objectives, environmental targets and other environmental performance

requirements.
[ISO 14001:2004, 3.10]
2.13
environmental performance evaluation EPE

process to facilitate management decisions regarding an organization’s environmental performance by

selecting indicators, collecting and analysing data, assessing information against environmental performance

criteria, reporting and communicating, and periodically reviewing and improving this process.

[ISO 14031:1999, 2.9]
2.14
environmental performance indicator EPI

specific expression that provides information about an organization’s performance

[ISO 14031:1999, 2.10]
2.15
environmental policy

overall intentions and direction of an organization related to its environmental performance as formally

expressed by top management

NOTE The environmental policy provides a framework for action and for the setting of environmental objectives and

environmental targets.
[ISO 14001:2004, 3.11]
2.16
environmental target

detailed performance requirement, applicable to the organization or part thereof, that arises from the

environmental objectives and that needs to be set and met in order to achieve those objectives

[ISO 14001:2004, 3.12]
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2.17
interested party

person or group concerned with or affected by the environmental performance of an organization

[ISO 14001:2004, 3.13]
2.18
internal audit

systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to

determine the extent to which the environmental management system audit criteria set by the organization are

fulfilled

NOTE In many cases, particularly in smaller organizations, independence can be demonstrated by the freedom from

responsibility for the activity being audited.
[ISO 14001:2004, 3.14]
2.19
management performance indicator MPI

environmental performance indicator that provides information about the management efforts to influence an

organization’s environmental performance
[ISO 14031:1999, 2.10.1]
2.20
nonconformity
non-fulfilment of a requirement
[ISO 9000:2005, 3.6.2]
2.21
operational performance indicator OPI

environmental performance indicator that provides information about the environmental performance of an

organization’s operation
[ISO 14031:1999, 2.10.2]
2.22
organization

company, corporation, firm, enterprise, authority or institution, or part or combination thereof, whether

incorporated or not, public or private, that has its own functions and administration

NOTE For organizations with more than one operating unit, a single operating unit may be defined as an

organization.
[ISO 14001:2004, 3.16]
2.23
phased implementation

Implementation in more than one phase, as determined by the users to suit their needs and resources.

NOTE Phases are likely to be delivered in a sequential way to implement the EMS.
2.24
Phase
logical combination of steps

NOTE When implemented in an EMS, a phase is intended to lead to measurable outputs which demonstrate

progress towards the successful implementation of an EMS.
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2.25
preventive action
action to eliminate the cause of a potential nonconformity
[ISO 14001:2004, 3.17]
2.26
prevention of pollution

use of processes, techniques, materials, products, services or energy to avoid, reduce or control (separately

or in combination) the creation, emission or discharge of any type of pollutant or waste, in order to reduce

adverse environmental aspects

NOTE Prevention of pollution can include source reduction or elimination, process, product or service changes,

efficient use of resources, material and energy substitution, reuse, recovery, recycling, reclamation and treatment.

[ISO 14001:2004, 3.18]
2.27
procedure
specified way to carry out an activity or a process
NOTE 1 Procedures can be documented or not.

NOTE 2 When a procedure is documented, the term “written procedure” or “documented procedure” is frequently used.

The document that contains a procedure can be called a “procedure.
[ISO 14001:2004, 3.19]
2.28
record
document stating results achieved or providing evidence of activities performed

NOTE 1 Records can be used, for example, to document traceability (3.5.4) and to provide evidence of verification,

preventive action and corrective action.
NOTE 2 Generally records need not be under revision control.
[ISO 14001:2004, 3.20]
3 Phased implementation process
3.1 General

An organization may decide to apply a systematic approach to managing its environmental aspects to solve

an individual problem, or capitalize on a specific opportunity. Alternatively, the organization may seek to

implement an environmental management system (EMS) that enables it to manage its full range of

environmental aspects, in order to meet the requirements of ISO 14001[8].

There are many potential benefits to be gained by an organization from managing its environmental aspects.

However, organizations may be deterred from applying a systematic approach to environmental management

if they perceive this as being an inflexible, limiting, bureaucratic or costly process. They may also be

overwhelmed by the apparent size of the task.

The model outlined in this standard has been developed to help an organization to implement an EMS in a

logical, step-by-step way while growing the extent and scope of the system, through time, in line with the

objectives of the organization and the resources available.
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ISO/DIS 14005.2

3.2 The importance of support, commitment and involvement from management and staff

In order to successfully implement an effective EMS which adds value to the organization’s activities, it is

essential to ensure and maintain support, commitment and involvement from management, including top

management and staff. If this is not the case in a particular organisation, clause 4 of this standard outlines a

possible approach that could be applied to gain sufficient support and commitment to begin implementing an

EMS. More usually, support and commitment grows as people become involved in the process and begin to

benefit from the rewards that can come from managing their aspects on the environment.

Management commitment may be reflected in statements of support, such as a policy, but should be followed

up by making available the necessary human, financial and other resources to support effective EMS

implementation. Those working on the organization's' behalf should be motivated to participate in and

contribute to the implementation process. Part
...

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