Environmental management systems -- General guidelines on implementation

ISO 14004:2016 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 organization 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 environment, the organization itself and interested parties. Consistent with the organization's 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 environmental management system is not intended to manage occupational health and safety issues, these can be included when an organization seeks to implement an integrated environmental and occupational health and safety management system. ISO 14004:2016 is applicable to any organization, regardless of size, type and nature, and applies to the environmental aspects of its activities, products and services that the organization determines it can either control or influence, considering a life cycle perspective. The guidance in this International Standard can be used in whole or in part to systematically improve environmental management. It serves to provide additional explanation of the concepts and requirements. While the guidance in this International Standard is consistent with the ISO 14001 environmental management system model, it is not intended to provide interpretations of the requirements of ISO 14001.

Systèmes de management environnemental -- Lignes directrices générales pour la mise en application

ISO 14004:2016 donne ŕ un organisme des lignes directrices concernant l'établissement, la mise en ?uvre, la mise ŕ jour et l'amélioration d'un systčme de management environnemental robuste, crédible et fiable. Les lignes directrices fournies sont destinées ŕ un organisme cherchant ŕ gérer ses responsabilités environnementales de maničre systématique afin de contribuer au pilier environnemental du développement durable. La présente Norme internationale aide un organisme ŕ obtenir les résultats escomptés de son systčme de management environnemental, qui fournit de la valeur pour l'environnement, l'organisme lui-męme et les parties intéressées. En cohérence avec la politique environnementale de l'organisme, les résultats escomptés d'un systčme de management environnemental comprennent: - l'amélioration de la performance environnementale; - le respect des obligations de conformité; - l'atteinte des objectifs environnementaux. Les lignes directrices de la présente Norme internationale peuvent aider un organisme ŕ améliorer sa performance environnementale et permettent d'intégrer les éléments du systčme de management environnemental dans son processus métier de base. NOTE Bien que le systčme de management environnemental n'ait pas pour objet de traiter des questions relatives ŕ la santé et ŕ la sécurité au travail, ces derničres peuvent ętre incluses lorsque l'organisme cherche ŕ mettre en ?uvre un systčme de management intégré de l'environnement et de la santé et la sécurité au travail. ISO 14004:2016 est applicable ŕ tout organisme, indépendamment de sa taille, de son type et de sa nature, et s'applique aux aspects environnementaux de ses activités, produits et services que l'organisme considčre pouvoir maîtriser ou influencer, en adoptant une perspective de cycle de vie. Les lignes directrices de la présente Norme internationale peuvent ętre utilisées dans leur totalité ou en partie pour améliorer de façon systématique le management environnemental. Elles servent ŕ fournir une explication complémentaire des concepts et des exigences. Les lignes directrices de la présente Norme internationale sont cohérentes avec le modčle de systčmes de management environnemental de l'ISO 14001, mais n'ont pas pour objet de fournir une interprétation des exigences de l'ISO 14001.

General Information

Status

Published

Publication Date

28-Feb-2016

ICS

03.100.70 - Management systems

13.020.10 - Environmental management

Technical Committee

ISO/TC 207/SC 1 - Environmental management systems

Drafting Committee

ISO/TC 207/SC 1 - Environmental management systems

Current Stage

6060 - International Standard published

Start Date

09-Feb-2016

Completion Date

29-Feb-2016

Ref Project

RELATIONS

Revised

ISO 14004:2004 - Environmental management systems -- General guidelines on principles, systems and support techniques

Effective Date

12-Nov-2011

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INTERNATIONAL ISO
STANDARD 14004
Redline version
compares Third edition to
Second edition
Environmental management
systems — General guidelines on
implementation
Systèmes de management environnemental — Lignes directrices
générales pour la mise en application
Reference number
ISO 14004:redline:2016(E)
ISO 2016
---------------------- Page: 1 ----------------------
ISO 14004:redline:2016(E)
IMPORTANT — PLEASE NOTE
This is a mark-up copy and uses the following colour coding:
Text example 1 — indicates added text (in green)
Text example 2 — indicates removed text (in red)
— indicates added graphic figure
— indicates removed graphic figure
1.x ... — Heading numbers containg modifications are highlighted in yellow in
the Table of Contents
DISCLAIMER

This Redline version provides you with a quick and easy way to compare the main changes

between this edition of the standard and its previous edition. It doesn’t capture all single

changes such as punctuation but highlights the modifications providing customers with

the most valuable information. Therefore it is important to note that this Redline version is

not the official ISO standard and that the users must consult with the clean version of the

standard, which is the official standard, for implementation purposes.
COPYRIGHT PROTECTED DOCUMENT
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or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior

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the requester.
ISO copyright office
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ii © ISO 2016 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 14004:redline:2016(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

3.1 Terms related to organization and leadership ............................................................................................................ 5

3.2 Terms related to planning ............................................................................................................................................................. 6

3.3 Terms related to support and operation ........................................................................................................................... 8

3.4 Terms related to performance evaluation and improvement ........................................................................ 8

4 Context of the organization ....................................................................................................................................................................10

4.1 Understanding the organization and its context ....................................................................................................10

4.2 Understanding the needs and expectations of interested parties ...........................................................14

4.2.1 General...................................................................................................................................................................................14

4.2.2 Determining relevant interested parties ..................................................................................................14

4.2.3 Determining relevant needs and expectations of relevant interested parties ........14

4.2.4 Determining compliance obligations ..........................................................................................................15

4.2.5 Use and application of the needs and expectations of interested parties ...................15

4.3 Determining the scope of the environmental management system ......................................................15

4.4 Environmental management system ................................................................................................................................16

4.4.1 General...................................................................................................................................................................................16

4.4.2 Establishing, implementing, maintaining and continually improving an

environmental management system ...........................................................................................................17

5 Leadership ...............................................................................................................................................................................................................18

5.1 Leadership and commitment ..................................................................................................................................................18

5.2 Environmental policy .....................................................................................................................................................................19

5.3 Organizational roles, responsibilities and authorities.......................................................................................22

4 6 Environmental management system elements Planning .........................................................................................23

4.1 General ........................................................................................................................................................................................................23

4.1.1 The environmental management system model ...............................................................................23

4.1.2 Top management commitment and leadership .................................................................................24

4.1.3 Scope of the environmental management system ...........................................................................24

4.1.4 Initial environmental review ..............................................................................................................................25

4.2 Environmental policy .....................................................................................................................................................................26

4.3 6.1 Planning Actions to address risks and opportunities..........................................................................................28

6.1.1 General...................................................................................................................................................................................29

4.3.1 6.1.2 Environmental aspects ......................................................................................................................................33

4.3.2 6.1.3 Legal and other requirements Compliance obligations .........................................................39

4.3.3 6.1.4 Objectives, targets and programme(s) Planning action.........................................................43

4.4 Implementation and operation ..............................................................................................................................................44

4.4.1 Resources, roles, responsibility and authority ...................................................................................45

4.4.2 Competence, training and awareness .........................................................................................................46

4.4.3 Communication ..............................................................................................................................................................48

4.4.4 Documentation ...............................................................................................................................................................50

4.4.5 Control of documents ...............................................................................................................................................51

4.4.6 Operational control.....................................................................................................................................................51

4.4.7 Emergency preparedness and response ..................................................................................................53

4.5 6.2 Checking Environmental objectives and planning to achieve them........................................................56

4.5.1 Monitoring and measurement ..........................................................................................................................54

4.5.2 6.2.1 Evaluation of compliance General ............................................................................................................57

4.5.3 6.2.2 Nonconformity, corrective action and preventive action Establishing

environmental objectives ......................................................................................................................................58

4.5.4 Control of records ........................................................................................................................................................57

4.5.5 6.2.3 Internal audit Planning actions to achieve environmental objectives ......................60

6.2.4 Performance indicators...........................................................................................................................................61

4.6 Management review ........................................................................................................................................................................59

4.6.1 Review of the environmental management system .......................................................................59

4.6.2 Continual improvement ..........................................................................................................................................60

7 Support ........................................................................................................................................................................................................................64

7.1 Resources ..................................................................................................................................................................................................64

7.2 Competence ............................................................................................................................................................................................64

7.3 Awareness ................................................................................................................................................................................................66

7.4 Communication ...................................................................................................................................................................................67

7.4.1 General...................................................................................................................................................................................67

7.4.2 Internal communication .........................................................................................................................................68

7.4.3 External communication ........................................................................................................................................68

7.5 Documented information ............................................................................................................................................................69

7.5.1 General...................................................................................................................................................................................69

7.5.2 Creating and updating ..............................................................................................................................................70

7.5.3 Control of documented information ............................................................................................................70

8 Operation ..................................................................................................................................................................................................................71

8.1 Operational planning and control .......................................................................................................................................71

8.1.1 General guidance: Operational control ......................................................................................................71

8.1.2 Identifying needs for operational controls ............................................................................................72

8.1.3 Establishing operational controls ..................................................................................................................73

8.2 Emergency preparedness and response ........................................................................................................................73

9 Performance evaluation ............................................................................................................................................................................74

9.1 Monitoring, measurement, analysis and evaluation ............................................................................................74

9.1.1 General...................................................................................................................................................................................74

9.1.2 Evaluation of compliance ......................................................................................................................................76

9.2 Internal audit .........................................................................................................................................................................................77

9.3 Management review ........................................................................................................................................................................78

10 Improvement .........................................................................................................................................................................................................79

10.1 General ........................................................................................................................................................................................................79

10.2 Nonconformity and corrective action ..............................................................................................................................79

10.3 Continual improvement ...............................................................................................................................................................80

10.3.1 Opportunities for improvement ......................................................................................................................80

10.3.2 Implementation of continual improvement ..........................................................................................81

Annex A (informative) Examples of correspondence between environmental management

system elements activities, products and services and their associated
environmental aspects and environmental impacts, risks and opportunities,

and actions ...............................................................................................................................................................................................................82

Annex B (informative) Phased approach to implementing an environmental management

system (based on ISO 14005) ...............................................................................................................................................................92

Bibliography .............................................................................................................................................................................................................................94

iv © ISO 2016 – All rights reserved
---------------------- Page: 4 ----------------------
ISO 14004:redline:2016(E)
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 areThe procedures used to develop this document and 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 rules given ineditorial rules of the ISO/IEC Directives, Part 2 (see www.iso.

org/directives).

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. 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.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 terms and expressions related to conformity assessment,

as well as information about ISO’s 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.

ISO 14004 was prepared byThe committee responsible for this document is Technical Committee

ISO/TC 207, Environmental management, Subcommittee SC 1, Environmental management systems.

This secondthird edition cancels and replaces the firstsecond edition (ISO 14004:19962004), which has

been technically revised.
© ISO 2016 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO 14004:redline:2016(E)
Introduction

Achieving 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 generations to meet their

needs. Sustainable development is a goal achieved by balancing the three pillars of sustainability: the

environment, society and the economy.

As concern grows for continually improving the quality of the environment, organizations of all types

and sizes are increasingly turning their attention to the environmental impacts of their activities,

products and services. The environmental performance of an organization is of importance to internal

and external interested partiesOrganizations, whether public or private, large or small, in developed

or in emerging economies, have an impact on the environment and 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 organizational commitment to a

systematic approach and to continual improvement of an environmental management system (EMS).

The general purpose of this International Standard is to provide assistance to organizations that

wish to implement or improve an environmental management system and thereby improve their

environmental performance. This International Standard is consistent with the concept of sustainable

development and compatible with diverse cultural, social and organizational frameworks and systems

of managementSocietal expectations are driving the need for improved management of the resources

necessary to support human development, through greater efficiency, transparency and accountability

for all 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.

This International Standard can be used by organizations of all types, sizes and levels of maturity, and

in all sectors and geographic locations. The special needs of small and medium-sized enterprises (SMEs)

are incorporated, and this International Standard accommodates their needs and promotes their use of

an environmental management system.

This International Standard is part of the series of environmental management standards established

by ISO/TC 207. In this series, only ISO 14001 contains requirements that may be objectively audited

for certification/registration purposes or for self-declaration purposes. This International Standard

includes examples, descriptions and options that aid both in the implementation of an environmental

management system and in strengthening its relation to the overall management of an organization.

While the guidelines in this International Standard are consistent with the ISO 14001 environmental

management system model, they are not intended to provide interpretations of the requirements of

ISO 14001. For ease of use, the subclauses of Clause 4 of ISO 14001 have the same numbering as in

ISO 14004. However, the latter has extra subclauses (e.g. 4.3.1.1 or 4.3.3.3), where detailed or additional

guidance for an effective environmental management system implementation is considered useful.

Apart from this International Standard and ISO 14001, there are numerous other environmental

management standards in the series of International Standards established by ISO/TC 207. A reference

to and description of these International Standards can be found in the ISO publication The ISO 14000

Family of International Standards.

This International Standard describes the elements of an environmental management system and

provides organizations with guidance on how to establish, implement, maintain or improve an

environmental management system. Such a system can substantially enhance an organization’s ability

to anticipate, identify and manage its interactions with the environment, meet its environmental

objectives and ensure ongoing compliance with applicable legal requirements and with other

requirements to which the organization subscribes.

Examples and approaches are presented throughoutThe aim of 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 or improving an environmental

management system, organizations should select approaches that are appropriate to their own

circumstances. Environmental management is an integral part of an organization’s overall management

vi © ISO 2016 – All rights reserved
---------------------- Page: 6 ----------------------
ISO 14004:redline:2016(E)

system. The design of anis to provide organizations with guidance for a common framework, 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. The framework of a robust,

credible and reliable environmental management system is an ongoing and interactive process.

The structure, responsibilities, practices, procedures, processes and resources for implementing

environmental policies, objectives and targets can be coordinated with existing efforts in other areas

(e.gshown in Figure 1. operations, finance, quality, occupational health and safety).It includes:

For ease of reading and understanding this International Standard, practical help and general guidance

have been separated out and are shown as boxed text.

Key tasks for managers establishing, implementing, maintaining or improving an environmental

management system include the need to
— understanding the context in which the organization operates;

— recog nize t hat env ironment a l management is among t he highest organizat iona l pr ior it ies,determining

and understanding the relevant needs and expectations of interested parties, as they relate to the

environmental management system of the organization;

— establish and maintain communication and constructive relations with internal and external

interested parties,establishing and implementing an environmental policy and environmental

objectives;
— top management taking a leading role in improving environmental performance;

— identify the environmentalidentifying aspects of the organization’sorganization’s activities,

products and services, that can result in significant environmental impacts;

— identify the legal requirements and other requirements to which the organization subscribes, that

relate to the organization’s environmental aspects,

— ensure the commitment of management and all persons working for or on behalf of the

organization to the protection of the environment, with clear assignment of accountability and

responsibility,identifying the environmental conditions, including events, that can affect the

organization;
— encourage environmental planning throughout the product or service life cycle,
— establish a process for achieving environmental objectives and targets,

— provide appropriate and sufficient resources, including training, to comply with applicable legal

requirements and with other requirements to which the organization subscribes, and to achieve

environmental objectives and targets on an ongoing basis,considering the organization’s risks and

opportunities that need to be addressed in relation to its:
— environmental aspects;
— compliance obligations;
— other issues (see 4.1) and requirements (see 4.2);

— evaluate environmental performance against the organization’s environmental policy, objectives

and targets and seek improvement where appropriate,increasing awareness of the organization’s

interaction with the environment;

— establish a management process to audit and review the environmental management system and

to identify opportunities for improvement of the system and resulting environmental performance,

andestablishing operational controls, as appropriate, to manage the organization’s significant

environmental aspects and compliance obligations, and risks and opportunities that need to be

addressed;
© ISO 2016 – All rights reserved vii
---------------------- Page: 7 ----------------------
ISO 14004:redline:2016(E)

— encourage contractors and suppliers to establish an environmental management systemevaluating

environmental performance and taking actions, as necessary, for its improvement.

Organizations may use this International Standard, or related ISO documents, in various ways, including

— as guidance to establish, implement, maintain or improve its environmental management system,

knowing that this International Standard is not intended for self-declaration or other conformity

assessment purposes, and

— in support of the implementation or improvement of its environmental management system.

The choice will depend on factors such as
— an organization’s goals,

— the maturity of an organization’s management systems (i.e. whether the organization has a

management system in place that is capable of supporting the
...

INTERNATIONAL ISO
STANDARD 14004
Third edition
2016-03-01
Environmental management
systems — General guidelines on
implementation
Systèmes de management environnemental — Lignes directrices
générales pour la mise en application
Reference number
ISO 14004:2016(E)
ISO 2016
---------------------- Page: 1 ----------------------
ISO 14004:2016(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2016, Published in Switzerland

or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior

written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of

3.1 Terms related to organization and leadership ............................................................................................................ 2

3.2 Terms related to planning ............................................................................................................................................................. 3

3.3 Terms related to support and operation ........................................................................................................................... 4

3.4 Terms related to performance evaluation and improvement ........................................................................ 5

4 Context of the organization ....................................................................................................................................................................... 6

4.1 Understanding the organization and its context ....................................................................................................... 6

4.2 Understanding the needs and expectations of interested parties ...........................................................10

4.2.1 General...................................................................................................................................................................................10

4.2.2 Determining relevant interested parties ..................................................................................................10

4.2.3 Determining relevant needs and expectations of relevant interested parties ........10

4.2.4 Determining compliance obligations ..........................................................................................................11

4.2.5 Use and application of the needs and expectations of interested parties ...................11

4.3 Determining the scope of the environmental management system ......................................................11

4.4 Environmental management system ................................................................................................................................12

4.4.1 General...................................................................................................................................................................................12

4.4.2 Establishing, implementing, maintaining and continually improving an

environmental management system ...........................................................................................................13

5.1 Leadership and commitment ..................................................................................................................................................14

5.2 Environmental policy .....................................................................................................................................................................15

5.3 Organizational roles, responsibilities and authorities.......................................................................................18

6 Planning ......................................................................................................................................................................................................................19

6.1 Actions to address risks and opportunities ................................................................................................................19

6.1.1 General...................................................................................................................................................................................19

6.1.2 Environmental aspects ............................................................................................................................................23

6.1.3 Compliance obligations ...........................................................................................................................................27

6.1.4 Planning action ...............................................................................................................................................................29

6.2 Environmental objectives and planning to achieve them ...............................................................................29

6.2.1 General...................................................................................................................................................................................29

6.2.2 Establishing environmental objectives......................................................................................................30

6.2.3 Planning actions to achieve environmental objectives ................................................................30

6.2.4 Performance indicators...........................................................................................................................................31

7.4 Communication ...................................................................................................................................................................................35

7.4.1 General...................................................................................................................................................................................35

7.4.2 Internal communication .........................................................................................................................................36

7.4.3 External communication ........................................................................................................................................36

7.5 Documented information ............................................................................................................................................................37

7.5.1 General...................................................................................................................................................................................37

7.5.2 Creating and updating ..............................................................................................................................................38

7.5.3 Control of documented information ............................................................................................................38

8.1 Operational planning and control .......................................................................................................................................39

8.1.1 General guidance: Operational control ......................................................................................................39

8.1.2 Identifying needs for operational controls ............................................................................................40

8.1.3 Establishing operational controls ..................................................................................................................41

8.2 Emergency preparedness and response ........................................................................................................................41

9 Performance evaluation ............................................................................................................................................................................42

9.1 Monitoring, measurement, analysis and evaluation ............................................................................................42

9.1.1 General...................................................................................................................................................................................42

9.1.2 Evaluation of compliance ......................................................................................................................................44

9.3 Management review ........................................................................................................................................................................46

10.2 Nonconformity and corrective action ..............................................................................................................................47

10.3 Continual improvement ...............................................................................................................................................................48

10.3.1 Opportunities for improvement ......................................................................................................................48

10.3.2 Implementation of continual improvement ..........................................................................................49

Annex A (informative) Examples of activities, products and services and their associated

environmental aspects and environmental impacts, risks and opportunities,

Annex B (informative) Phased approach to implementing an environmental management

system (based on ISO 14005) ...............................................................................................................................................................57

iv © ISO 2016 – All rights reserved
---------------------- Page: 4 ----------------------
ISO 14004:2016(E)
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.

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 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, Part 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 the 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 terms and expressions related to conformity assessment,

as well as information about ISO’s 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 Committee 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.
© ISO 2016 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO 14004:2016(E)
Introduction

Achieving 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 generations 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 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 organizational 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 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

framework, 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. The

framework of a robust, credible and reliable environmental management system is shown in Figure 1.

It includes:
— understanding the context in which the organization operates;

— determining and understanding the relevant needs and expectations of interested parties, as they

relate to the environmental management system of the organization;

— establishing and implementing an environmental policy and environmental objectives;

— top management taking a leading role in improving environmental performance;

— identifying aspects of the organization’s activities, products and services that can result in significant

environmental impacts;

— identifying the environmental conditions, including events, that can affect the organization;

— considering the organization’s risks and opportunities that need to be addressed in relation to its:

— environmental aspects;
— compliance obligations;
— other issues (see 4.1) and requirements (see 4.2);
— increasing awareness of the organization’s interaction with the environment;

— establishing operational controls, as appropriate, to manage the organization’s significant

environmental aspects and compliance obligations, and risks and opportunities that need to be

addressed;

— evaluating environmental performance and taking actions, as necessary, for its improvement.

vi © ISO 2016 – All rights reserved
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ISO 14004:2016(E)
Figure 1 — Environmental management system model for this International Standard

The outcomes of 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 system 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, manufactured, 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 the organization’s 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 organization’s commitment 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;
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ISO 14004:2016(E)
— 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 organization’s control;
— 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 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, 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 © ISO 2016 – All rights reserved
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INTERNATIONAL STANDARD ISO 14004:2016(E)
Environmental management systems — General guidelines
on implementation
1 Scope

This 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 organization 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 environment, the organization itself and interested

parties. Consistent with the organization’s 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 environmental management system is not intended to manage occupational health and

safety issues, these can be included when an organization seeks to implement an integrated environmental and

occupational health and safety management system.

This International Standard is applicable to any organization, regardless of size, type and nature,

and applies to the environmental aspects of its activities, products and services that the organization

determines it can either control or influence, considering a life cycle perspective.

The guidance in this International Standard can be used in whole or in part to systematically

improve environmental management. It serves to provide additional explanation of the concepts and

requirements.

While the guidance in this International Standard is consistent with the ISO 14001 environmental

management system model, it is not intended to provide interpretations of the requirements of

ISO 14001.
2 Normative references
There are no normative references.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
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ISO 14004:2016(E)
3.1 Terms related to organization and leadership
3.1.1
management system

set of interrelated or interacting elements of an organization (3.1.4) to establish policies and objectives

(3.2.5) and processes (3.3.5) to achieve those objectives

Note 1 to entry: A management system can address a single discipline or several disciplines (e.g. quality,

environment, occupational health and safety, energy, financial management).

Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning

and operation, performance evaluation and improvement.

Note 3 to entry: The scope of a management system can include the whole of the organization, specific and

identified functions of the organization, specific and identified sections of the organization, or one or more

functions across a group of organizations.
3.1.2
environmental management system

part of the management system (3.1.1) used to manage environmental aspects (3.2.2), fulfil compliance

obligations (3.2.9), and address risks and opportunities (3.2.11)
3.1.3
environmental policy

intentions and direction of an organization (3.1.4) related to environmental performance (3.4.11), as

formally expressed by its top management (3.1.5)
3.1.4
organization

person or group of people that has its own functions with responsibilities, authorities and relationships

to achieve its objectives (3.2.5)

Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm,

enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated

or not, public or private.
3.1.5
top management

person or group of people who directs and controls an organization (3.1.4) at the highest level

Note 1 to entry: Top management has the power to delegate authority and provide resources within the

organization.

Note 2 to entry: If the scope of the management system (3.1.1) covers only part of an organization, then top

management refers to those who direct and control that part of the organization.
3.1.6
interested party

person or organization (3.1.4) that can affect, be affected by, or perceive itself to be affected by a

decision or activity

EXAMPLE Customers, communities, suppliers, regulators, non-governmental organizations, investors and

employees.

Note 1 to entry: To “perceive itself to be affected” means the perception has been made known to the organization.

2 © ISO 2016 – All rights reserved
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ISO 14004:2016(E)
3.2 Terms related to planning
3.2.1
environment

surroundings in which an organization (3.1.4) operates, including air, water, land, natural resources,

flora, fauna, humans and their interrelationships

Note 1 to entry: Surroundings can extend from within an organization to the local, regional and global system.

Note 2 to entry: Surroundings can be described in terms of biodiversity, ecosystems, climate or other

characteristics.
3.2.2
environmental aspect

element of an organization’s (3.1.4) activities or products or services that interacts or can interact with

the environment (3.2.1)

Note 1 to entry: An environmental aspect can cause (an) environmental impact(s) (3.2.4). A significant

environmental aspect is one that has or can have one or more significant environmental impact(s).

Note 2 to entry: Significant environmental aspects are determined by the organization applying one or more

criteria.
3.2.3
environmental condition

state or characteristic of the environment (3.2.1) as determined at a certain point in time

3.2.4
environmental impact

change to the environment (3.2.1), whether adverse or beneficial, wholly or partially resulting from an

organization’s (3.1.4) environmental aspects (3.2.2)
3.2.5
objective
result to be achieved
Note 1 to entry: An objective can be strategic, tactical, or operational.

Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and

environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product,

service and process (3.3.5)).

Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an

operational criterion, as an environmental objective (3.2.6), or by the use of other words with similar meaning

(e.g. aim, goal, or target).
3.2.6
environmental objective

objective (3.2.5) set by the organization (3.1.4) consistent with its environmental policy (3.1.3)

3.2.7
prevention of pollution

use of processes (3.3.5), practices, 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 impacts (3.2.4)

Note 1 to entry: 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; or

treatment.
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...

NORME ISO
INTERNATIONALE 14004
Troisième édition
2016-03-01
Systèmes de management
environnemental — Lignes directrices
générales pour la mise en application
Environmental management systems — General guidelines on
implementation
Numéro de référence
ISO 14004:2016(F)
ISO 2016
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ISO 14004:2016(F)
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ii © ISO 2016 – Tous droits réservés
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ISO 14004:2016(F)
Sommaire Page

Avant-propos ................................................................................................................................................................................................................................v

1 Domaine d’application ................................................................................................................................................................................... 1

2 Références normatives ................................................................................................................................................................................... 1

3 Termes et définitions ....................................................................................................................................................................................... 1

3.1 Termes relatifs à l’organisme et au leadership ........................................................................................................... 2

3.2 Termes relatifs à la planification ............................................................................................................................................. 3

3.3 Termes relatifs au support et à la réalisation des activités opérationnelles ..................................... 4

3.4 Termes relatifs à l’évaluation et à l’amélioration des performances........................................................ 5

4 Contexte de l’organisme ................................................................................................................................................................................ 6

4.1 Compréhension de l’organisme et de son contexte ................................................................................................. 6

4.2 Compréhension des besoins et attentes des parties intéressées .............................................................10

4.2.1 Généralités .........................................................................................................................................................................10

4.2.2 Détermination des parties intéressées pertinentes .......................................................................10

4.2.3 Détermination des besoins et attentes pertinents des parties

intéressées pertinentes ...........................................................................................................................................10

4.2.4 Détermination des obligations de conformité .....................................................................................11

4.2.5 Utilisation et application des besoins et attentes des parties intéressées ..................11

4.3 Détermination du domaine d’application du système de management environnemental 11

4.4 Système de management environnemental ................................................................................................................12

4.4.1 Généralités .........................................................................................................................................................................12

4.4.2 Établissement, mise en œuvre, tenue à jour et amélioration continue d’un

système de management environnemental...........................................................................................14

5.1 Leadership et engagement.........................................................................................................................................................14

5.2 Politique environnementale .....................................................................................................................................................15

5.3 Rôles, responsabilités et autorités au sein de l’organisme ............................................................................18

6 Planification ...........................................................................................................................................................................................................19

6.1 Actions à mettre en œuvre face aux risques et opportunités ......................................................................19

6.1.1 Généralités .........................................................................................................................................................................19

6.1.2 Aspects environnementaux .................................................................................................................................22

6.1.3 Obligations de conformité ....................................................................................................................................27

6.1.4 Planification d’actions ..............................................................................................................................................29

6.2 Objectifs environnementaux et planification pour les atteindre ..............................................................29

6.2.1 Généralités .........................................................................................................................................................................29

6.2.2 Établissement des objectifs environnementaux ................................................................................30

6.2.3 Planification d’actions pour atteindre les objectifs environnementaux .......................31

6.2.4 Indicateurs de performance ................................................................................................................................31

7.1 Ressources ...............................................................................................................................................................................................32

7.2 Compétences ..........................................................................................................................................................................................33

7.3 Sensibilisation ......................................................................................................................................................................................35

7.4 Communication ...................................................................................................................................................................................36

7.4.1 Généralités .........................................................................................................................................................................36

7.4.2 Communication interne ..........................................................................................................................................37

7.4.3 Communication externe .........................................................................................................................................38

7.5 Informations documentées .......................................................................................................................................................38

7.5.1 Généralités .........................................................................................................................................................................38

7.5.2 Création et mise à jour .............................................................................................................................................40

7.5.3 Maîtrise des informations documentées ..................................................................................................40

8 Réalisation des activités opérationnelles ................................................................................................................................40

8.1 Planification et maîtrise opérationnelles ......................................................................................................................40

8.1.1 Lignes directrices: maîtrise opérationnelle ...........................................................................................40

8.1.2 Identification des besoins de maîtrise opérationnelle .................................................................41

8.1.3 Mise en œuvre de la maîtrise opérationnelle .......................................................................................42

8.2 Préparation et réponse aux situations d’urgence ..................................................................................................43

9 Évaluation des performances ...............................................................................................................................................................44

9.1 Surveillance, mesure, analyse et évaluation ...............................................................................................................44

9.1.1 Généralités .........................................................................................................................................................................44

9.1.2 Évaluation de la conformité ................................................................................................................................46

9.2 Audit interne ..........................................................................................................................................................................................47

9.3 Revue de direction ............................................................................................................................................................................48

10 Amélioration ..........................................................................................................................................................................................................49

10.1 Généralités ...............................................................................................................................................................................................49

10.2 Non-conformité et actions correctives ............................................................................................................................49

10.3 Amélioration continue ...................................................................................................................................................................50

10.3.1 Axes d’amélioration ....................................................................................................................................................50

10.3.2 Mise en œuvre de l’amélioration continue .............................................................................................51

Annexe A (informative) Exemples d’activités, produits et services et les aspects et impacts

environnementaux, risques et opportunités, et actions qui leur sont associés ..............................53

Annexe B (informative) Approche par phases pour la mise en application d’un système de

management environnemental (basée sur l’ISO 14005) .........................................................................................61

Bibliographie ...........................................................................................................................................................................................................................64

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ISO 14004:2016(F)
Avant-propos

L’ISO (Organisation internationale de normalisation) est une fédération mondiale d’organismes

nationaux de normalisation (comités membres de l’ISO). L’élaboration des Normes internationales est

en général confiée aux comités techniques de l’ISO. Chaque comité membre intéressé par une étude

a le droit de faire partie du comité technique créé à cet effet. Les organisations internationales,

gouvernementales et non gouvernementales, en liaison avec l’ISO participent également aux travaux.

L’ISO collabore étroitement avec la Commission électrotechnique internationale (IEC) en ce qui

concerne la normalisation électrotechnique.

Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont

décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier de prendre note des différents

critères d’approbation requis pour les différents types de documents ISO. Le présent document a été

rédigé conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2 (voir www.

iso.org/directives).

L’attention est appelée sur le fait que certains des éléments du présent document peuvent faire l’objet de

droits de propriété intellectuelle ou de droits analogues. L’ISO ne saurait être tenue pour responsable

de ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails concernant

les références aux droits de propriété intellectuelle ou autres droits analogues identifiés lors de

l’élaboration du document sont indiqués dans l’Introduction et/ou dans la liste des déclarations de

brevets reçues par l’ISO (voir www.iso.org/brevets).

Les appellations commerciales éventuellement mentionnées dans le présent document sont données

pour information, par souci de commodité, à l’intention des utilisateurs et ne sauraient constituer un

engagement.

Pour une explication de la signification des termes et expressions spécifiques de l’ISO liés à

l’évaluation de la conformité, ou pour toute information au sujet de l’adhésion de l’ISO aux principes

de l’OMC concernant les obstacles techniques au commerce (OTC), voir le lien suivant: Avant-propos —

Informations supplémentaires.

Le comité chargé de l’élaboration du présent document est le Comité technique ISO/TC 207, Management

environnemental, sous-comité SC 1, Systèmes de management environnemental.

Cette troisième édition annule et remplace la deuxième édition (ISO 14004:2004), qui a fait l’objet d’une

révision technique.
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ISO 14004:2016(F)
Introduction

Atteindre un équilibre entre l’environnement, la société et l’économie est considéré comme essentiel

pour répondre aux besoins actuels, sans compromettre la capacité des générations futures à répondre à

leurs propres besoins. L’objectif de développement durable est atteint en équilibrant les trois piliers de

la durabilité: l’environnement, la société et l’économie.

Les organismes, qu’ils soient publics ou privés, de grande ou de petite taille, évoluant dans des économies

développées ou émergentes, ont un impact sur l’environnement et, en retour, peuvent être affectés par

l’environnement. On prend de plus en plus conscience que le développement et le bien-être de l’homme

sont subordonnés à la préservation et à la conservation de nos ressources naturelles, dont dépend

l’ensemble des activités et de la production humaines. Une bonne performance environnementale

implique que tout l’organisme s’engage dans une approche systématique doublée d’une volonté

d’amélioration continue du système de management environnemental.

Les attentes de la société imposent d’améliorer le management des ressources nécessaires au

développement humain en élevant le niveau d’efficacité, de transparence et de responsabilité pour tous

les organismes. Les pressions exercées sur l’environnement ne cessent de croître du fait du changement

climatique, de la surconsommation des ressources et des défis soulevés par la dégradation des

écosystèmes et la perte de biodiversité.

L’objectif de la présente Norme internationale est de fournir aux organismes des lignes directrices pour

un cadre commun afin d’établir, de mettre en œuvre, de tenir à jour et d’améliorer continuellement

un système afin de mieux soutenir le management environnemental. Il convient que ce cadre de

management environnemental contribue au succès à long terme de l’organisme et à l’objectif global du

développement durable. Le cadre d’un système de management environnemental robuste, crédible et

fiable est illustré à la Figure 1. Il comprend:
— la compréhension du contexte dans lequel opère l’organisme;

— la détermination et la compréhension des besoins et attentes pertinents des parties intéressées,

dans la mesure où ils se rapportent au système de management environnemental de l’organisme;

— l’élaboration et la mise en œuvre d’une politique environnementale et d’objectifs environnementaux;

— la nécessité pour la direction de jouer un rôle de premier plan dans l’amélioration de la performance

environnementale;

— l’identification des aspects des activités, produits et services de l’organisme pouvant avoir des

impacts environnementaux significatifs;

— l’identification des conditions environnementales, y compris les événements, susceptibles d’affecter

l’organisme;

— l’étude des risques et des opportunités pour l’organisme à prendre en compte en relation avec:

— ses aspects environnementaux;
— ses obligations de conformité;
— d’autres enjeux (voir 4.1) et exigences (voir 4.2);
— la sensibilisation à l’interaction de l’organisme avec son environnement;

— la mise en place de contrôles opérationnels, le cas échéant, pour gérer les aspects environnementaux

significatifs de l’organisme et les obligations de conformité, ainsi que les risques et opportunités à

prendre en compte;

— l’évaluation de la performance environnementale et, si nécessaire, la mise en œuvre d’actions en vue

de son amélioration.
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ISO 14004:2016(F)

Figure 1 — Modèle de système de management environnemental pour la présente Norme

internationale

Les résultats d’une approche systématique du management environnemental peuvent fournir à la

direction des données qualitatives et quantitatives permettant de prendre des décisions d’organisme

éclairées participant au succès à long terme et offrant des options pour contribuer au développement

durable. Le succès du système de management environnemental est lié à l’engagement à tous les

niveaux et de toutes les fonctions de l’organisme, sous l’impulsion de la direction. Les opportunités

comprennent:

— la protection de l’environnement, y compris la prévention ou la réduction des impacts

environnementaux négatifs;

— la maîtrise ou l’influence sur la manière dont les produits et services sont conçus, fabriqués,

distribués, utilisés et éliminés;

— l’adoption d’une perspective de cycle de vie afin de prévenir le décalage involontaire des impacts

environnementaux ailleurs dans le cycle;

— la réalisation de bénéfices financiers et opérationnels pouvant résulter de la mise en œuvre

d’alternatives respectueuses de l’environnement qui renforcent la position de l’organisme sur le

marché;
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ISO 14004:2016(F)

— la communication d’informations environnementales aux parties intéressées pertinentes.

Outre l’amélioration de la performance environnementale, les bénéfices potentiels dégagés par la mise

en place d’un système de management environnemental efficace comprennent:

— l’assurance donnée aux clients de la démonstration de l’engagement de l’organisme en matière de

management environnemental;
— le maintien de bonnes relations avec le public et avec les instances locales;

— le respect des critères des investisseurs et la facilitation d’accès aux fonds financiers;

— l’amélioration de l’image de marque et l’accroissement des parts de marché;
— l’amélioration de la maîtrise des dépenses;
— la prévention des incidents qui impliquent des responsabilités;
— la préservation des matières premières et de l’énergie;
— la conception de produits plus respectueux de l’environnement;

— la facilitation des démarches d’obtention des permis et des autorisations, tout en satisfaisant à leurs

exigences;

— le développement de la sensibilisation environnementale des prestataires externes et des autres

personnes effectuant un travail sous le contrôle de l’organisme;
— l’amélioration des relations entre l’industrie et les pouvoirs publics.

Il est possible pour un organisme de mettre en œuvre un système de management intégré permettant

de se conformer aux exigences de systèmes de management de la qualité, de management de la santé

et de la sécurité au travail et de management environnemental, par exemple. Cette approche offre des

opportunités de réduction des chevauchements et d’amélioration de l’efficacité.

Des exemples et approches sont présentés dans la présente Norme internationale à des fins

d’illustration. Ils ne sont pas censés représenter toutes les possibilités et ne s’adaptent pas forcément

à tous les organismes. Lors de la conception, de la mise en œuvre ou de l’amélioration d’un système

de management environnemental, il convient que l’organisme choisisse une approche adaptée à ses

propres circonstances. Les conseils pratiques en encadré sont destinés à fournir des informations

complémentaires aux lignes directrices contenues dans la présente Norme internationale.

viii © ISO 2016 – Tous droits réservés
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NORME INTERNATIONALE ISO 14004:2016(F)
Systèmes de management environnemental — Lignes
directrices générales pour la mise en application
1 Domaine d’application

La présente Norme internationale donne à un organisme des lignes directrices concernant

l’établissement, la mise en œuvre, la mise à jour et l’amélioration d’un système de management

environnemental robuste, crédible et fiable. Les lignes directrices fournies sont destinées à un

organisme cherchant à gérer ses responsabilités environnementales de manière systématique afin de

contribuer au pilier environnemental du développement durable.

La présente Norme internationale aide un organisme à obtenir les résultats escomptés de son système

de management environnemental, qui fournit de la valeur pour l’environnement, l’organisme lui-même

et les parties intéressées. En cohérence avec la politique environnementale de l’organisme, les résultats

escomptés d’un système de management environnemental comprennent:
— l’amélioration de la performance environnementale;
— le respect des obligations de conformité;
— l’atteinte des objectifs environnementaux.

Les lignes directrices de la présente Norme internationale peuvent aider un organisme à améliorer

sa performance environnementale et permettent d’intégrer les éléments du système de management

environnemental dans son processus métier de base.

NOTE Bien que le système de management environnemental n’ait pas pour objet de traiter des questions

relatives à la santé et à la sécurité au travail, ces dernières peuvent être incluses lorsque l’organisme cherche à

mettre en œuvre un système de management intégré de l’environnement et de la santé et la sécurité au travail.

La présente Norme internationale est applicable à tout organisme, indépendamment de sa taille, de son

type et de sa nature, et s’applique aux aspects environnementaux de ses activités, produits et services

que l’organisme considère pouvoir maîtriser ou influencer, en adoptant une perspective de cycle de vie.

Les lignes directrices de la présente Norme internationale peuvent être utilisées dans leur totalité ou en

partie pour améliorer de façon systématique le management environnemental. Elles servent à fournir

une explication complémentaire des concepts et des exigences.

Les lignes directrices de la présente Norme internationale sont cohérentes avec le modèle de systèmes

de management environnemental de l’ISO 14001, mais n’ont pas pour objet de fournir une interprétation

des exigences de l’ISO 14001.
2 Références normatives
Il n’y a pas de références normatives.
3 Termes et définitions

Pour les besoins du présent document, les termes et définitions suivants s’appliquent.

ensemble d’éléments corrélés ou en interaction d’un organisme (3.1.4), utilisés pour établir des

politiques, des objectifs (3.2.5) et des processus (3.3.5) de façon à atteindre lesdits objectifs

Note 1 à l’article: Un système de management peut traiter d’un seul ou de plusieurs domaines (par exemple

qualité, environnement, santé et sécurité au travail, énergie, management financier).

Note 2 à l’article: Les éléments du système comprennent la structure, les rôles et responsabilités, la planification

et le fonctionnement de l’organisme, ainsi que l’évaluation et l’amélioration des performances.

Note 3 à l’article: Le domaine d’application d’un système de management peut comprendre l’ensemble de

l’organisme, des fonctions ou des sections spécifiques et identifiées de l’organisme, ou une ou plusieurs fonctions

dans un groupe d’organismes.
3.1.2
système de management environnemental

composante du système de management (3.1.1) utilisée pour gérer les aspects environnementaux (3.2.2),

satisfaire aux obligations de conformité (3.2.9) et traiter les risques et opportunités (3.2.11)

3.1.3
politique environnementale

intentions et orientation d’un organisme (3.1.4) en matière de performance environnementale (3.4.11),

telles qu’elles sont officiellement formulées par sa direction (3.1.5)
3.1.4
organisme

personne ou groupe de personnes ayant un rôle avec les responsabilités, l’autorité et les relations lui

permettant d’atteindre ses objectifs (3.2.5)

Note 1 à l’article: Le concept d’organisme englobe sans s’y limiter, les travailleurs indépendants, les compagnies,

les sociétés, les firmes, les entreprises, les administrations, les partenariats, les organisations caritatives ou les

institutions, ou bien une partie ou une combinaison des entités précédentes, à responsabilité limitée ou ayant un

autre statut, de droit public ou privé.
3.1.5
direction

personne ou groupe de personnes qui oriente et dirige un organisme (3.1.4) au plus haut niveau

Note 1 à l’article: La direction a le pouvoir de déléguer son autorité et de fournir des ressources au sein de

l’organisme.

Note 2 à l’article: Si le domaine d’application du système de management (3.1.1) ne couvre qu’une partie de

l’organisme, alors la direction s’adresse à ceux qui orientent et dirigent cette partie de l’organisme.

3.1.6
partie intéressée

personne ou organisme (3.1.4) qui peut soit influer sur une décision ou une activité, soit être influencé

ou s’estimer influencée par une décision ou une activité

EXEMPLE Clients, collectivités, fournisseurs, régulateurs, organismes non gouvernementaux, investisseurs

et employés.

Note 1 à l’article: «S’estimer influencée» signifie que le point de vue a été porté à la connaissance de l’organisme.

milieu dans lequel un organisme (3.1.4) fonctionne, incluant l’air, l’eau, le sol, les ressources naturelles,

la flore, la faune, les êtres humains et leurs interrelations

Note 1 à l’article: Le milieu peut s’étendre de l’intérieur de l’organisme au système local, régional et mondial.

Note 2 à l’article: Le milieu peut être décrit en termes de biodiversité, d’écosystèmes, de climat ou d’autres

caractéristiques.
3.2.2
aspect environnemental

élément des activités, produits ou services d’un organisme (3.1.4) interagissant ou susceptible

d’interactions avec l’environnement (3.2.1)

Note 1 à l’article: Un aspect environnemental peut causer un ou plusieurs impacts environnementaux (3.2.4). Un

aspect environnemental significatif est un aspect environnemental qui a ou peut avoir un ou plusieurs impacts

environnementaux sign
...

NORMA ISO
INTERNACIONAL 14004
Tercera edición
Traducción oficial
2016-03-01
Official translation
Traduction officielle
Sistemas de gestión ambiental —
Directrices generales sobre la
implementación
Environmental management systems — General guidelines on
implementation
Systèmes de management environnemental — Lignes directrices
générales pour la mise en application
Publicado por la Secretaría Central de ISO en Ginebra, Suiza, como
traducción oficial en español avalada por el Grupo de Trabajo Spanish
Translation Task Force (STTF), que ha certificado la conformidad en
relación con las versiones inglesa y francesa.
Número de referencia
ISO 14004:2016 (traducción oficial)
ISO 2016
---------------------- Page: 1 ----------------------
ISO 14004:2016 (traducción oficial)
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© ISO 2016, Publicado en Suiza

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ISO 14004:2016 (traducción oficial)
Índice Página

Prólogo ...............................................................................................................................................................................................................................................v

Introducción ...............................................................................................................................................................................................................................vi

1 Objeto y campo de aplicación.................................................................................................................................................................. 1

2 Referencias normativas ................................................................................................................................................................................. 1

3 Términos y definiciones ................................................................................................................................................................................ 1

3.1 Términos relacionados con la organización y el liderazgo ............................................................................... 2

3.2 Términos relacionados con la planificación ................................................................................................................... 3

3.3 Términos relacionados con el apoyo y la operación ............................................................................................... 4

3.4 Términos relacionados con la evaluación y mejora del desempeño ......................................................... 5

4 Contexto de la organización ...................................................................................................................................................................... 6

4.1 Comprensión de la organización y de su contexto ................................................................................................... 6

4.2 Comprensión de las necesidades y expectativas de las partes interesadas ....................................10

4.2.1 Generalidades ..................................................................................................................................................................10

4.2.2 Determinación de las partes interesadas pertinentes ..................................................................10

4.2.3 Determinación de las necesidades y expectativas pertinentes de las partes

interesadas pertinentes ..........................................................................................................................................10

4.2.4 Determinación de los requisitos legales y otros requisitos .....................................................11

4.2.5 Uso y aplicación de las necesidades y expectativas de las partes interesadas ........11

4.3 Determinación del alcance del sistema de gestión ambiental ....................................................................12

4.4 Sistema de gestión ambiental .................................................................................................................................................12

4.4.1 Generalidades ..................................................................................................................................................................12

4.4.2 Establecimiento, implementación, mantenimiento y mejora continua del

sistema de gestión ambiental ............................................................................................................................14

5 Liderazgo ...................................................................................................................................................................................................................14

5.1 Liderazgo y compromiso .............................................................................................................................................................14

5.2 Política ambiental ..............................................................................................................................................................................16

5.3 Roles, responsabilidades y autoridades en la organización .........................................................................17

6 Planificación...........................................................................................................................................................................................................18

6.1 Acciones para abordar riesgos y oportunidades ....................................................................................................18

6.1.1 Generalidades ..................................................................................................................................................................18

6.1.2 Aspectos ambientales ...............................................................................................................................................21

6.1.3 Requisitos legales y otros requisitos ...........................................................................................................27

6.1.4 Planificación de acciones .......................................................................................................................................29

6.2 Objetivos ambientales y planificación para lograrlos ........................................................................................30

6.2.1 Generalidades ..................................................................................................................................................................30

6.2.2 Establecimiento de objetivos ambientales .............................................................................................30

6.2.3 Planificación de acciones para lograr los objetivos ambientales ........................................31

6.2.4 Indicadores de desempeño ..................................................................................................................................31

7 Apoyo .............................................................................................................................................................................................................................32

7.1 Recursos.....................................................................................................................................................................................................32

7.2 Competencia ...........................................................................................................................................................................................33

7.3 Toma de conciencia ..........................................................................................................................................................................35

7.4 Comunicación ........................................................................................................................................................................................36

7.4.1 Generalidades ..................................................................................................................................................................36

7.4.2 Comunicación interna ..............................................................................................................................................37

7.4.3 Comunicación externa..............................................................................................................................................38

7.5 Información documentada ........................................................................................................................................................38

7.5.1 Generalidades ..................................................................................................................................................................38

7.5.2 Creación y actualización .........................................................................................................................................40

7.5.3 Control de la información documentada .................................................................................................41

8 Operación ..................................................................................................................................................................................................................41

8.1 Planificación y control operacional ....................................................................................................................................41

8.1.1 Orientación general: Control operacional ...............................................................................................41

8.1.2 Identificación de necesidades para los controles operacionales ........................................42

8.1.3 Establecimiento de controles operacionales ........................................................................................43

8.2 Preparación y respuesta ante emergencias ................................................................................................................43

9 Evaluación del desempeño......................................................................................................................................................................45

9.1 Seguimiento, medición, análisis y evaluación ...........................................................................................................45

9.1.1 Generalidades ..................................................................................................................................................................45

9.1.2 Evaluación del cumplimiento .............................................................................................................................46

9.2 Auditoría interna ................................................................................................................................................................................48

9.3 Revisión por la dirección .............................................................................................................................................................48

10 Mejora ...........................................................................................................................................................................................................................50

10.1 Generalidades .......................................................................................................................................................................................50

10.2 No conformidad y acción correctiva ..................................................................................................................................50

10.3 Mejora continua ..................................................................................................................................................................................51

10.3.1 Oportunidades de mejora .....................................................................................................................................51

10.3.2 Implementación de la mejora continua ....................................................................................................52

Annexo A (informativo) Ejemplos de actividades, productos y servicios y sus aspectos e

impactos ambientales, riesgos y oportunidades y acciones asociados ....................................................53

Annexo B (informativo) Enfoque de fases para implementar un sistema de gestión

ambiental (basado en la Norma ISO 14005).........................................................................................................................65

Bibliografía ................................................................................................................................................................................................................................67

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ISO 14004:2016 (traducción oficial)
Prólogo

ISO (Organización Internacional de Normalización) es una federación mundial de organismos

nacionales de normalización (organismos miembros de ISO). El trabajo de preparación de las normas

internacionales normalmente se realiza a través de los comités técnicos de ISO. Cada organismo

miembro interesado en una materia para la cual se haya establecido un comité técnico, tiene el derecho

de estar representado en dicho comité. Las organizaciones internacionales, públicas y privadas, en

coordinación con ISO, también participan en el trabajo. ISO colabora estrechamente con la Comisión

Electrotécnica Internacional (IEC) en todas las materias de normalización electrotécnica.

En la parte 1 de las Directivas ISO/IEC se describen los procedimientos utilizados para desarrollar

esta norma y para su mantenimiento posterior. En particular debería tomarse nota de los diferentes

criterios de aprobación necesarios para los distintos tipos de documentos ISO. Esta norma se redactó

de acuerdo a las reglas editoriales de la parte 2 de las Directivas ISO/IEC. www.iso.org/directives.

Se llama la atención sobre la posibilidad de que algunos de los elementos de este documento puedan

estar sujetos a derechos de patente. ISO no asume la responsabilidad por la identificación de cualquiera

o todos los derechos de patente. Los detalles sobre cualquier derecho de patente identificado durante

el desarrollo de esta norma se indican en la introducción y/o en la lista ISO de declaraciones de patente

recibidas. www.iso.org/patents.

Cualquier nombre comercial utilizado en esta norma es información que se proporciona para comodidad

del usuario y no constituye una recomendación.

Para obtener una explicación sobre el significado de los términos específicos de ISO y expresiones

relacionadas con la evaluación de la conformidad, así como información de la adhesión de ISO a los

principios de la Organización Mundial del Comercio (OMC) respecto a los Obstáculos Técnicos al

Comercio (OTC), véase la siguiente dirección: http://www.iso.org/iso/foreword.html.

El comité responsable de esta norma es el ISO/TC 207, Gestión ambiental, Subcomité SC 1, Sistemas de

gestión ambiental.

Esta tercera edición anula y sustituye a la segunda edición (ISO 14004:2004) que ha sido revisada

técnicamente.
Prólogo de la versión en español

Esta Norma Internacional ha sido traducida por el Grupo de Trabajo Spanish Translation Task Force (STTF)

del Comité Técnico ISO/TC 207, Gestión ambiental, en el que participan representantes de los organismos

nacionales de normalización y representantes del sector empresarial de los siguientes países:

Argentina, Bolivia, Chile, Colombia, Costa Rica, Cuba, España, Estados Unidos de América, México, Perú

y Uruguay.

Igualmente, en el citado Grupo de Trabajo participan representantes de COPANT (Comisión

Panamericana de Normas Técnicas) e INLAC (Instituto Latinoamericano de la Calidad).

Esta traducción es parte del resultado del trabajo que el Grupo ISO/TC 207, viene desarrollando desde

su creación en el año [1999] para lograr la unificación de la terminología en lengua española en el

ámbito de la gestión ambiental.
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ISO 14004:2016 (traducción oficial)
Introducción

El logro de equilibrio entre el medio ambiente, la sociedad y la economía se considera esencial para

satisfacer las necesidades del presente sin poner en riesgo la capacidad de las generaciones futuras

para satisfacer sus necesidades. El desarrollo sostenible como objetivo se logra mediante el equilibrio

de los “tres pilares” de la sostenibilidad: el medio ambiente, la sociedad y la economía.

Las organizaciones, ya sean públicas o privadas, grandes o pequeñas, pertenecientes a economías

desarrolladas o emergentes, tienen un impacto sobre el medio ambiente y a su vez pueden verse

afectadas por el medio ambiente. Existe un entendimiento cada vez mayor de que el desarrollo y

bienestar humano están sujetos a la preservación y conservación de nuestros recursos naturales, de

los que depende toda la actividad y productividad humana. Lograr un desempeño ambiental sólido

requiere un compromiso de la organización hacia un enfoque sistemático y la mejora continua de un

sistema de gestión ambiental.

Las expectativas de la sociedad están llevando a la necesidad de mejorar la gestión de los recursos

necesarios para apoyar el desarrollo humano, mediante una mayor eficiencia, transparencia y

responsabilidad para todas las organizaciones. Hay presiones crecientes sobre el medio ambiente

provenientes del cambio climático, el consumo excesivo de recursos, y los retos creados por la

degradación de los ecosistemas y la pérdida de biodiversidad.

El propósito de esta Norma Internacional es proporcionar a las organizaciones orientación sobre un

marco de referencia común para establecer, implementar, mantener y mejorar de manera continua

un sistema que apoye una mejor gestión ambiental. Este marco de referencia de la gestión ambiental

debería contribuir al éxito a largo plazo de la organización y al objetivo global del desarrollo sostenible.

El marco de referencia de un sistema de gestión ambiental robusto, creíble y fiable se muestra en la

figura 1. Incluye:
— entender el contexto en el que opera la organización;

— determinar y entender las necesidades y expectativas pertinentes de las partes interesadas, ya que

se relacionan con el sistema de gestión ambiental de la organización;
— establecer e implementar una política ambiental y objetivos ambientales;
— liderar desde la alta dirección la mejora del desempeño ambiental;

— identificar los aspectos de las actividades, productos y servicios de la organización que puedan

tener como resultado impactos ambientales significativos;

— identificar las condiciones ambientales, incluyendo los eventos, que pueden afectar a la organización;

— considerar los riesgos y oportunidades de la organización que se necesita abordar en relación con sus:

— aspectos ambientales;
— requisitos legales y otros requisitos;
— otras cuestiones (véase 4.1) y requisitos (véase 4.2);

— aumentar la toma de conciencia de la interacción de la organización con el medio ambiente;

— establecer controles operacionales, cuando sea adecuado, para gestionar los aspectos ambientales

significativos y los requisitos legales y otros requisitos de una organización, y los riesgos y

oportunidades que se necesita abordar;

— evaluar el desempeño ambiental y tomar acciones, cuando sea necesario, para su mejora.

Figura 1 — – Modelo de sistema de gestión ambiental para esta Norma Internacional

Los resultados de un enfoque sistemático a la gestión ambiental pueden proporcionar información

cuantitativa y cualitativa a la alta dirección que posibiliten decisiones de negocio informadas que

construyan el éxito a largo plazo y creen opciones para contribuir a un desarrollo sostenible. El éxito del

sistema de gestión ambiental depende de un compromiso de todos los niveles y roles de la organización,

encabezado por la alta dirección. Las oportunidades incluyen:

— proteger el medio ambiente, incluyendo la prevención o reducción de impactos ambientales adversos;

— controlar o influir en la manera en que se diseñan, fabrican, distribuyen, consumen y disponen los

productos y servicios;

— utilizar una perspectiva de ciclo de vida que evite que los impactos ambientales se transfieran

involuntariamente a otras partes del ciclo;

— lograr beneficios financieros y operacionales que puedan resultar de la implementación de

alternativas ambientales sólidas que refuercen la posición de mercado de la organización;

— comunicar la información ambiental a las partes interesadas pertinentes.

Además de un desempeño ambiental mejorado, los beneficios potenciales asociados con un sistema de

gestión ambiental eficaz incluyen:

— asegurar a los clientes el compromiso de la organización con una gestión ambiental demostrable;

— mantener buenas relaciones con el público y con la comunidad;
— satisfacer los criterios de los inversionistas y mejorar el acceso al capital;
— mejorar la imagen y la cuota de mercado;
— mejorar el control de costos;
— prevenir los incidentes que den lugar a responsabilidades legales;
— conservar materiales y energía de entrada;
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ISO 14004:2016 (traducción oficial)
— diseñar productos más respetuosos con el medio ambiente;

— facilitar la obtención de permisos y autorizaciones y el cumplimiento de sus requisitos;

— fomentar la toma de conciencia ambiental entre los proveedores externos y todas las personas que

trabajan bajo el control de la organización;
— mejorar las relaciones entre la industria y el gobierno.

Para una organización, es posible operar un sistema de gestión integrado que puede estar en línea con

los requisitos de los sistemas de gestión de la calidad, de la seguridad y salud ocupacional y ambiental,

por ejemplo. Este enfoque proporciona oportunidades para reducir la duplicidad y aporta eficiencia.

A lo largo de esta Norma Internacional se presentan ejemplos y enfoques con fines ilustrativos. No se

pretende que representen las únicas posibilidades, ni son necesariamente adecuados para todas las

organizaciones. Al diseñar e implementar, o mejorar un sistema de gestión ambiental, las organizaciones

deberían seleccionar enfoques que sean apropiados a sus propias circunstancias. Los Cuadros de Ayuda

Práctica pretenden proporcionar información adicional para dar apoyo a la directriz contenida en esta

Norma Internacional.
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viii © ISO 2016 – Todos los derechos reservados
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NORMA INTERNACIONAL ISO 14004:2016 (traducción oficial)
Sistemas de gestión ambiental — Directrices generales
sobre la implementación
1 Objeto y campo de aplicación

Esta Norma Internacional proporciona orientación para una organización en el establecimiento,

implementación, mantenimiento y mejora de un sistema de gestión ambiental robusto, creíble y

fiable. La orientación proporcionada está pensada para una organización que busca gestionar sus

responsabilidades ambientales de una manera sistemática que contribuya al pilar ambiental de la

sostenibilidad.

Esta Norma Internacional ayuda a una organización a alcanzar los resultados previstos de su sistema

de gestión ambiental, con lo que aporta valor al medio ambiente, a la propia organización y a sus partes

interesadas. En coherencia con la política ambiental de la organización, los resultados previstos de un

sistema de gestión ambiental incluyen:
— mejora del desempeño ambiental;
— cumplimiento de los requisitos legales y otros requisitos;
— logro de los objetivos ambientales.

La orientación de esta Norma Internacional puede ayudar a una organización a mejorar su desempeño

ambiental, y permite que los elementos del sistema de gestión ambiental se integren en el proceso

central de negocio.

NOTA Aunque no está previsto que el sistema de gestión ambiental gestione asuntos de seguridad y salud

ocupacional, éstos pueden incluirse cuando una organización busque implementar un sistema integrado de

gestión ambiental y de seguridad y salud ocupacional.

Esta Norma Internacional es aplicable a cualquier organización, independientemente de su tamaño,

tipo y naturaleza, y aplica a los aspectos ambientales de sus actividades, productos y servicios que la

organización determina que puede controlar o influir, considerando una perspectiva de ciclo de vida.

La orientación de esta Norma Internacional puede utilizarse en su totalidad o en parte para mejorar

de forma sistemática la gestión ambiental. Sirve para proporcionar una explicación adicional de los

conceptos y los requisitos.

Aunque la orientación de esta Norma Internacional es coherente con el modelo de sistema de gestión

ambiental de la Norma ISO 14001, no se pretende proporcionar interpretaciones de los requisitos de la

Norma ISO 14001.
2 Referencias normativas
No se citan referencias normativas.
3 Términos y definiciones

Para el propósito de este documento, son aplicables los siguientes términos y definiciones.

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© ISO 2016 – Todos los derechos reservados 1
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ISO 14004:2016 (traducción oficial)
3.1 Términos relacionados con la organización y el liderazgo
3.1.1
sistema de gestión

conjunto de elementos de una organización (3.1.4) interrelacionados o que interactúan para establecer

políticas, y objetivos (3.2.5) y procesos (3.3.5) para el logro de estos objetivos

Nota 1 a la entrada: Un sistema de gestión puede abordar una sola disciplina o varias disciplinas (por ejemplo,

calidad, medio ambiente, salud y seguridad ocupacional, gestión de energía, gestión financiera).

Nota 2 a la entrada: Los elementos del sistema incluyen la estructura de la organización, los roles y las

responsabilidades, la planificación y la operación, la evaluación y la mejora del desempeño.

Nota 3 a la entrada: El alcance de un sistema de gestión puede incluir la totalidad de la organización, funciones

específicas e identificadas de la organización, secciones específicas e identificadas de la organización, o una o

más funciones dentro de un grupo de organizaciones.
3.1.2
sistema de gestión ambiental

parte del sistema de gestión (3.1.1) usada para gestionar aspectos ambientales (3.2.2), cumplir los

requisitos legales y otros requisitos (3.2.9), y abordar los riesgos y oportunidades (3.2.11)

3.1.3
política ambiental

intenciones y dirección de una organización (3.1.4), relacionadas con el desempeño ambiental (3.4.11),

como las expresa formalmente su alta dirección (3.1.5)
3.1.4
organización

persona o grupo de personas que tienen sus propias funciones y responsabilidades, autoridades y

relaciones para el logro de sus objetivos (3.2.5)

Nota 1 a la entrada: El concepto de organización incluye, entre otros, un trabajador independiente, compañía,

corporación, firma, empresa, autoridad, sociedad, organización benéfica o institución, o una parte o combinación

de éstas, ya estén constituidas o no, públicas o privadas.
3.1.5
alta dirección

persona o grupo de personas que dirige y controla una organización (3.1.4) al más alto nivel

Nota 1 a la entrada: La alta dirección tiene el poder para delegar autoridad y proporcionar recursos dentro de la

organización.

Nota 2 a la entrada: Si el alcance del sistema de gestión (3.1.1) comprende solo una parte de una organización,

entonces “alta dirección” se refiere a quienes dirigen y controlan esa parte de la organización.

3.1.6
parte interesada

persona u organización (3.1.4) que puede afectar, verse afectada, o percibirse como afectada por una

decisión o actividad

EJEMPLO Clientes, comunidades, proveedores, entes reguladores, organizaciones no gubernamentales,

inversionistas, empleados.

Nota 1 a la entrada: “Percibirse como afectado” significa que esta percepción se ha dado a conocer a la

ISO 14004:2016

Environmental management systems -- General guidelines on implementation

Environmental management systems -- General guidelines on implementation

Systèmes de management environnemental -- Lignes directrices générales pour la mise en application

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