Comparing ISO/DIS 9001:2014 and ISO/DIS 14001:2014 at a glance

ISO/DIS 9001:2014

ISO/DIS 14001:2014

4.1 Understanding the organization and its context

4.1 Understanding the organization and its context

The organization shall determine external and internal issues that are relevant to its
purpose and its strategic direction and that affect its ability to achieve the intended
result(s) of its quality management system.

The organization shall determine external and internal issues that are relevant
to its purpose and that affect its ability to achieve the intended outcome(s) of its
environmental management system. Those issues include environmental conditions
capable of affecting or being affected by the organization.

The organization shall monitor and review the information about these external and
internal issues.
Note 1 Understanding the external context can be facilitated by considering issues
arising from legal, technological, competitive, market, cultural, social and economic
environments, whether international, national, regional or local.

(See Annex 4.1 for comparable 14001 guidance)

(See Annex 4.1 for comparable 14001 guidance)

Note 2 Understanding the internal context can be facilitated by considering issues

related to values, culture, knowledge and performance of the organization.

Improving performance,
reducing risk

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ISO/DIS 14001:2014

4.2 Understanding the needs and expectations of

interested parties

4.2 Understanding the needs and expectations of

interested parties

Due to their impact or potential impact on the organisations ability to consistently

provide products and services that meet customer and applicable statutory and
regulatory requirements, the organization shall determine:
a) the interested parties that are relevant to the quality management system; and
b) the requirements of these interested parties that are relevant to the quality
management system.

The organization shall determine:

- the interested parties thatv are relevant to the environmental management system;
and
- the relevant needs and expectations (i.e. requirements) of these interested parties,
and
- which of these needs and expectations become compliance obligations

The organization shall monitor and review the information about these interested
parties and their relevant requirements.

4.3 Determining the scope of the quality management

system

4.3 Determining the scope of the environmental

management system

The organization shall determine the boundaries and applicability of the quality
management system to establish its scope.

The organization shall determine the boundaries and applicability of the environmental
management system to establish its scope.

When determining this scope, the organization shall consider

a) the external and internal issues referred to in 4.1;
b) the requirements of relevant interested parties referred to in 4.2;
c) the products and services of the organization.

When determining this scope, the organization shall consider:

- the external and internal issues referred to in 4.1;
- the compliance obligations referred to in 4.2;
- its organizational unit(s), function(s), and physical boundaries;
- its activities, products and services; and
- its authority and ability to exercise control and influence.

Where a requirement of this International Standard within the determined scope can
be applied, then it shall be applied by the organization.
If any requirement(s) of this International Standard cannot be applied, this shall not
affect the organizations ability or responsibility to ensure conformity of products and
services.
The scope shall be available and be maintained as documented information stating the
- products and services covered by the quality management system;
- justification for any instance where a requirement of this International Standard
cannot be applied.

Once the scope is defined, activities, products and services that can have significant
environmental aspects (see 6.1.2) shall be included within the scope of the
environmental management system.
The scope shall be maintained as documented information and be available to
interested parties.

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4.4 Quality management system and its processes

4.4 Environmental management system

The organization shall establish, implement, maintain and continually improve a

quality management system, including the processes needed and their interactions, in
accordance with the requirements of this International Standard.

The organization shall establish, implement, maintain and continually improve an

environmental management system, including the processes needed and their
interactions, in accordance with the requirements of this International Standard, to
enhance its environmental performance.

The organization shall determine the processes needed for the quality management
system and their application throughout the organization, and shall determine;
a) the inputs required and the outputs expected from these processes;

The organization shall consider the knowledge of its context when establishing and
maintaining the environmental management system.

b) the sequence and interaction of these processes;

c) the criteria, methods, including measurements and related performance indicators
needed to ensure the effective operation, and control of these processes;
d) the resources needed and ensure their availability;
e) the assignment of the responsibilities and authorities for these processes;
f) the risks and opportunities in accordance with the requirements of 6.1, and plan
and implement the appropriate actions to address them;
g) the methods for monitoring, measuring, as appropriate, and evaluation of
processes and, if needed, the changes to processes to ensure that they achieve
intended results;
h) opportunities for improvement of these processes and the quality management
system.
The organization shall maintain documented information to the extent necessary to
support the operation of processes and retain documented information to the extent
necessary to have confidence that the processes are being carried out as planned.

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ISO/DIS 14001:2014

5.1 Leadership and commitment

5.1 Leadership and commitment

5.1.1 Leadership and commitment for the quality

management system

Top management shall demonstrate leadership and commitment with respect to the
environmental management system by:

Top management shall demonstrate leadership and commitment with respect to the
quality management system by:

- ensuring that the environmental policy and environmental objectives are established
and are compatible with the strategic direction and the context of the organization;

a) taking accountability of the effectiveness of the quality management system;

- ensuring the integration of the environmental management system requirements

into the organizations business processes;

b) ensuring that the quality policy and quality objectives are established for the quality
management system and are compatible with the strategic direction and the
context of the organization;
c) ensuring that the quality policy is communicated, understood and applied within
the organization;
d) ensuring the integration of the quality management system requirements into the
organizations business processes;
e) promoting awareness of the process approach;
f) ensuring that the resources needed for the quality management system are
available
g) communicating the importance of effective quality management and of conforming
to the quality management system requirements;
h) ensuring that the quality management system achieve its intended results;

- taking accountability for the effectiveness of the environmental management system

- ensuring that the resources needed for the environmental management system are
available;
- communicating the importance of effective environmental management and of
conforming to the environmental management system requirements;
- ensuring that the environmental management system achieves its intended
outcome(s);
- directing and supporting persons to contribute to the effectiveness of the
environmental management system;
- promoting continual improvement; and
- supporting other relevant management roles to demonstrate their leadership as it
applies to their areas of responsibility.

i) engaging, directing and supporting persons to contribute to the effectiveness of the

quality management system;
j) promoting continual improvement;
k) supporting other relevant management roles to demonstrate their leadership as it
applies to their areas of responsibility;
NOTE: Reference to business in this International Standard can be interpreted
broadly to mean those activities that are core to the purposes of the organizations
existence; whether the organization is public, private, for profit or not for profit.

NOTE: Reference to business in this International Standard can be interpreted

broadly to mean those activities that are core to the purposes of the organizations
existence.

5.1.2 Customer focus

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5.2 Quality Policy

5.2 Environmental Policy

5.2.1 Top management shall establish, review and maintain a quality policy that:

Top management shall establish, implement and maintain an environmental policy

that, within the defined scope of its environmental management system:
a) is appropriate to:
1. the purpose of the organization;
2. the organization`s context, including the nature, scale and environmental impacts
of its activities, products and services;
b) provides a framework for setting environmental objectives;
c) includes (a) commitment(s) to the protection of the environment, including
prevention of pollution and others specific to the context of the organization;

a) is appropriate to the purpose and context of the organization;

b) provides a framework for setting and reviewing quality objectives;
c) includes a commitment to satisfy applicable requirements;
d) includes a commitment to continual improvement of the quality management
system.

NOTE: Other specific commitment(s) to protect the environment can include

sustainable resource use, climate change mitigation and adaptation, and protection of
biodiversity and ecosystems, or other relevant environmental issues (see 4.1).
d) includes (a) commitment(s) to conform to compliance obligations; and
e) includes a commitment to continual improvement of the environmental
management system to enhance its environmental performance.

c) be available to relevant interested parties, as appropriate.

The environmental policy shall:

- be maintained as documented information;
- be communicated within the organization, including persons doing work under the
organizations control;
- be available to interested parties.

5.3 Organizational roles, responsibilities and authorities

5.3 Organizational roles, responsibilities and authorities

Top management shall ensure that the responsibilities and authorities for relevant roles
are assigned, communicated and understood within the organization.

Top management shall ensure that the responsibilities and authorities for relevant
roles are assigned and communicated within the organization, to facilitate effective
environmental management.

5.2.2 The quality policy shall:

a) be available as documented information;
b) be communicated, understood and applied within the organization;

Top management shall assign the responsibility and authority for:

a) ensuring that the quality management system conforms to the requirements of this
International Standard;
b) ensuring that the processes are delivering their intended outputs;
c) reporting on the performance of the quality management system, on opportunities
for improvement and on the need for change or innovation, and especially for
reporting to top management;

Top management shall assign the responsibility and authority for:

- ensuring that the environmental management system conforms to the requirements
of this International Standard; and
- reporting on the performance of the environmental management system, including
environmental performance, to top management.

d) ensuring the promotion of customer focus throughout the organization;

e) ensuring that the integrity of the quality management system is maintained when
changes to the quality management system are planned and implemented.

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6. Planning for the quality management system

6. Planning

6.1 Actions to address risks and opportunities

6.1 Actions to address risk associated with threats and

opportunities

6.1.1 When planning for the quality management system, the organization shall
consider the issues referred to in 4.1 and the requirements referred to in 4.2 and
determine the risks and opportunities that need to be addressed to:
- give assurance that the quality management system can achieve its intended result(s);
- prevent, or reduce, undesired effects;
- achieve continual improvement.

6.1.1 General
The organization shall plan and implement a process to meet the requirements in 6.1.
When planning for the environmental management system in 6.1 (I.e. 6.1.2-6.1.4), the
organization shall consider the issues referred to in 4.1, and the requirements referred to in 4.2.

(See 6.1.4 for equivalent text in ISO 14001)

The organization shall maintain documented information to the extent necessary to have
confidence that the process has been carried out as planned.

(See 8.3.6, Design and development changes for comparable 9001

requirements)

6.1.2 Significant Environmental aspects

(See the following clauses for comparable 9001 requirements:

- 8.2.2, Determination of requirements related to products and services
- 8.2.3 Review of requirements related to products and services)

6.1.3 Compliance obligations

The organization shall:
- identify and have access to the compliance obligations related to its environmental aspects; and
- to determine how these compliance obligations apply to the organization.

The organization shall maintain documented information of its compliance obligations.

NOTE: Compliance obligations can have the potential to result in risk associated with either
adverse impacts (threats) or beneficial impacts (opportunities) to the organization.

(See 6.1.1 for equivalent requirements in ISO 9001)

6.1.4 Risk associated with threats and opportunities

The organization shall determine the risk associated with threats and opportunities that needs
to be addressed to:
- give assurance that the environmental management system can achieve its intended
outcome(s);
- prevent or reduce undesired effects, including the potential of external environmental
conditions to affect the organization;
- achieve continual improvement.
The organization shall maintain documented information of the risk associated
with threats and opportunities that needs to be addressed.

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6.1.2

6.1.5 Planning to take action

6.1.2 The organization shall plan:

The organization shall plan:

a) actions to address these risks and opportunities;

b) how to:
1) integrate and implement the actions into its quality management system

processes (see 4.4);
2) evaluate the effectiveness of these actions.

a) to take actions to address risk associated with threats and opportunities (6.1.4),
significant environmental aspects (6.1.2) and compliance obligations (6.1.3), and
b) how to
- Integrate and implement the actions into its environmental management system
processes;
- Evaluate the effectiveness of these actions.

Actions taken to address risks and opportunities shall be proportionate to the potential
impact on the conformity of products and services.
NOTE: Options to address risks and opportunities can include: avoiding risk, taking risk
in order to pursue an opportunity, eliminating the risk source, changing the likelihood
or consequences, sharing the risk or retaining risk by informed decision.

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6.2 Quality objectives and planning to achieve them

6.2 Environmental objectives and planning to achieve them

6.2.1 The organization shall establish quality objectives at relevant functions, levels
and processes.

6.2.1 Environmental objectives

(see bullet c below for equivalent text in 9001)

The organization shall establish environmental objectives at relevant functions and

levels:

The quality objectives shall:

- taking into account the organizations significant environmental aspects and its
compliance obligations;

a) be consistent with the quality policy;

b) be measurable;

- considering the risk associated with threats and opportunities.

c) take into account applicable requirements;

When developing these objectives, the organization shall consider its technological
options and financial, operational and business requirements.

d) be relevant to conformity of products and services and the enhancement of

customer satisfaction;
e) be monitored;,
f) be communicated;
g) be updated as appropriate.

The environmental objectives shall:

a) be consistent with the environmental policy;
b) be measurable (if practicable); (see para 1, bullet 1 for equivalent text in 14001)
c) be monitored;
d) be communicated;
e) be updated as appropriate.

The organization shall retain documented information on the quality objectives.

6.2.2 When planning how to achieve its quality objectives, the organization shall
determine:
a) what will be done:
b) what resources will be required;
c) who will be responsible;
d) when it will be completed;
e) how the results will be evaluated.

The organization shall retain documented information on the environmental objectives.

6.2.2 Planning actions to achieve environmental objectives

When planning how to achieve its environmental objectives, the organization shall
determine:
- what will be done;
- what resources will be required;
- who will be responsible;,
- when it will be completed;
- how the results will be evaluated, including indicators for monitoring progress
towards achievement of measurable environmental objectives (see 9.1.1).
The organization shall consider how the actions to achieve environmental objectives
can be integrated into the organization`s business processes.

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6.3 Planning of changes

Where the organization determines the need for change to the quality management
system (see 4.4) the change shall be carried out in a planned and systematic manner.
The organization shall consider:
a) the purpose of the change and any of its potential consequences;
b) the integrity of the quality management system;
c) the availability of resources;
d) the allocation or reallocation of responsibilities and authorities.

7. Support

7. Support

7.1 Resources

7.1 Resources

7.1.1 General

The organization shall determine and provide the resources needed for the
establishment, implementation, maintenance and continual improvement of the
environmental management system.

The organization shall determine and provide the resources needed for the
establishment, implementation, maintenance and continual improvement of the
quality management system.
The organization shall consider
a) the capabilities of, and constraints on, existing internal resources;
b) what needs to be obtained from external providers.

7.1.2 People

(see Annex 7.1 Resources for comparable 14001 guidance)

7.1.3 Infrastructure

(see Annex 7.1 Resources for comparable 14001 guidance)

7.1.4 Environment for the operation of processes

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7.1.5 Monitoring and measuring devices

ISO/DIS 14001:2014
(see 9.1.1, General, for comparable 14001 requirements)

Where monitoring or measuring is used for evidence of conformity of products and

services to specified requirements the organization shall determine the resources
needed to ensure valid and reliable monitoring and measuring results.
The organization shall ensure that the resources provided:
a) are suitable for the specific type of monitoring and measurement activities being
undertaken;
b) are maintained to ensure their continued fitness for their purpose.
The organization shall retain appropriate documented information as evidence of
fitness for purpose of monitoring and measurement resources:
Where measurement traceability is: a statutory or regulatory requirement; a customer
or relevant interested party expectation; or considered by the organization to be
an essential part of providing confidence in the validity of measurement results;
measuring instruments shall be:
- verified or calibrated at specified intervals or prior to use against measurement
standards traceable to international or national measurement standards. Where no
such standards exist, the basis used for calibration or verification shall be retained
as documented information;
- identified in order to determine their calibration status;
- safeguarded from adjustments, damage or deterioration that would invalidate the
calibration status and subsequent measurement results.
The organization shall determine if the validity of previous measurement results
has been adversely affected when an instrument is found to be defective during its
planned verification or calibration, or during its use, and take appropriate corrective
action as necessary.

7.1.6 Organizational knowledge

(see Annex 7.1 Resources for comparable 14001 guidance)

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7.2 Competence

7.2 Competence

The organization shall:

The organization shall:

a) determine the necessary competence of person(s) doing work under its control that
affects its quality performance,

- determine the necessary competence of person(s) doing work under its control that
affects its environmental performance;

b) ensure that these persons are competent on the basis of appropriate education,
training, or experience;

- ensure that these persons are competent on the basis of appropriate education,
training, or experience;

c) where applicable, take actions to acquire the necessary competence, and evaluate
the effectiveness of the actions taken;

- where applicable, take actions to acquire the necessary competence, and evaluate
the effectiveness of the actions taken; and

d) retain appropriate documented information as evidence of competence

(see equivalent text in 14001 that was moved below)

NOTE: Applicable actions can include, for example, the provision of training to, the
mentoring of, or the re-assignment of currently employed persons; or the hiring or
contracting of competent persons.

NOTE: Applicable actions can include, for example, the provision of training to, the
mentoring of, or the re-assignment of currently employed persons; or the hiring or
contracting of competent persons.
The organization shall retain appropriate documented information as evidence of
competence.

7.3 Awareness

7.3 Awareness

Persons doing work under the organizations control shall be aware of:

Persons doing work under the organizations control shall be aware of:

a) the quality policy;

- the environmental policy;

b) relevant quality objectives,

- the significant environmental aspects and related actual or potential impacts

associated with their work;

c) their contribution to the effectiveness of the quality management system, including

the benefits of improved quality performance;
d) the implications of not conforming with the quality management system
requirements.

- their contribution to the effectiveness of the environmental management system,

including the benefits of enhanced environmental performance;
- the implications of not conforming with the environmental management system
requirements, including compliance obligations.

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7.4 Communication

7.4 Communication

The organization shall determine the need for internal and external communications
relevant to the quality management system including:

7.4.1 General

a) on what it will communicate;

b) when to communicate;

The organization plan and implement a process for internal and external
communications relevant to the environmental management system including:

c) with whom to communicate;

- on what it will communicate;

d) how to communicate.

- when to communicate;
- with whom to communicate;
- how to communicate.
When planning its communication process, the organization shall:
- take into account its compliance obligations, and
- ensure that environmental information communicated is consistent with information
generated within the environmental management system, and is reliable.
The organization shall respond to relevant communications on its environmental
management system.
The organization shall retain documented information of its communications, as
appropriate.

7.4.2 Internal communication

With regard to its environmental management system, the organization shall
a) communicate among the various levels and functions of the organization, including
changes to the environmental management system, as appropriate;
b) ensure its communication process enables any person doing work under the
organizations control to contribute to continual improvement.

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(see 8.2.1, Customer communication for comparable 9001 requirements)

ISO/DIS 14001:2014
7.4.3 External communication
The organization shall externally communicate information relevant to its
environmental management system, as determined by its communication process and
as required by its compliance obligations.

7.5 Documented information

7.5 Documented information

7.5.1 General

7.5.1 General

The organizations quality management system shall include:

The organizations environmental management system shall include:

a) documented information required by this International Standard;

- Documented information required by this International Standard;

b) documented information determined by the organization as being necessary for the

effectiveness of the quality management system.

- Documented information determined by the organization as being necessary for the

effectiveness of the environmental management system.

NOTE: The extent of documented information for a quality management system can
differ from one organization to another due to:

NOTE: The extent of documented information for an environmental management

system can differ from one organization to another due to:

a) the size of organization and its type of activities, processes, products and services;

- the size of organization and its type of activities, processes, products and services;

b) the complexity of processes and their interactions;

- the complexity of processes and their interactions;

c) the competence of persons.

- the competence of persons;

7.5.2 Creating and updating

7.5.2 Creating and updating

When creating and updating documented information the organization shall ensure
appropriate:

When creating and updating documented information the organization shall ensure
appropriate:

a) identification and description (e.g. a title, date, author, or reference number);

- Identification and description (e.g. a title, date, author, or reference number);

b) format (e.g. language, software version, graphics) and media (e.g. paper,
electronic);

- Format (e.g. language, software version, graphics) and media (e.g. paper, electronic);
- Review and approval for suitability and adequacy.

c) review and approval for suitability and adequacy.

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7.5.3 Control of documented Information

7.5.3 Control of documented Information

7.5.3.1 Documented information required by the quality management system and by

this International Standard shall be controlled to ensure:

Documented information required by the environmental management system and by

this International Standard shall be controlled to ensure:

a) it is available and suitable for use, where and when it is needed;

- It is available and suitable for use, where and when it is needed;

b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of

integrity).

- It is adequately protected (e.g. from loss of confidentiality, improper use, or loss of

integrity).

7.5.3.2 For the control of documented information, the organization shall address the
following activities, as applicable:

For the control of documented information, the organization shall address the
following activities, as applicable:

a) distribution, access, retrieval and use;

- distribution, access, retrieval and use;

b) storage and preservation, including preservation of legibility;

- storage and preservation, including preservation of legibility;

c) control of changes (e.g. version control);

- control of changes (e.g. version control);

d) retention and disposition.

- retention and disposition.

Documented information of external origin determined by the organization to be

necessary for the planning and operation of the quality management system shall be
identified as appropriate, and controlled.

Documented information of external origin determined by the organization to be

necessary for the planning and operation of the environmental management system
shall be identified as appropriate, and controlled.

NOTE: Access can imply a decision regarding the permission to view the documented
information only, or the permission and authority to view and change the documented
information.

NOTE: Access can imply a decision regarding the permission to review the documented
information only, or the permission and authority to view and change the documented
information

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8.1 Operational planning and control

8.1 Operational planning and control

The organization shall plan, implement and control the processes, as outlined in
4.4, needed to meet requirements for the provision of products and services and to
implement the actions determined in 6.1, by;

The organization shall plan, implement and control the processes needed to meet
environmental management system requirements, and to implement the actions
determined in 6.1 and 6.2, by:

a) determining requirements for the product and services;

- establishing criteria for the processes;

b) establishing criteria for the processes and for the acceptance of products and
services;

- implementing control of the processes, in accordance with the criteria, and to

prevent deviations from the environmental policy, environmental objectives, and
compliance obligations.

c) determining the resources needed to achieve conformity to product and service

requirements;
d) implementing control of the processes in accordance with the criteria;
e) retaining documented information to the extent necessary to have confidence that
the processes have been carried out as planned and to demonstrate conformity of
products and services to requirements.

NOTE: Controls can include engineering controls, procedures, documented procedures

etc. They can be implemented following a hierarchy (e.g.: elimination, substitution
administrative) and can be used singly or in combination.
(see equivalent 14001 text that was moved below)

The output of this planning process shall be suitable for the organizations operations.
The organization shall control planned changes and review the consequences of
unintended changes, taking action to mitigate any adverse effects, as necessary.
(See the following clauses for related 9001 requirements:
- 8.3.6, Design and development changes
- 8.5.6, Control of changes)

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The organization shall ensure that outsourced processes are controlled in accordance
with 8.4.

ISO/DIS 14001:2014

(See 8.4.2, Type and extent of control of external provision for comparable
9001 requirements)

The organization shall control planned changes and review the consequences of
unintended changes, taking action to mitigate any adverse effects, as necessary.
The organization shall ensure that outsourced processes are controlled or influenced.
The type and degree of control or influence to be applied to these processes shall be
defined within the environmental management system.

(See 8.4.1, General for comparable 9001 requirements)

Consistent with a life cycle perspective, the organization shall:

(See 8.3.4, Design and development controls for comparable 9001

requirements)
(See 8.4.3, Information for external providers for comparable 9001
requirements)
(See 8.5.5, Post-delivery activities for comparable 9001 requirements)
(see bullet e for equivalent 9001 text)

a) determine environmental requirements for the procurement of products and

services, as appropriate;
b) establish controls to ensure that environmental requirements are considered in the
design process for the development, delivery, use and end-of-life treatment of its
products and services, as appropriate;
c) communicate relevant environmental requirement(s) to external providers, including
contractors;
d) consider the need to provide information about potential significant environmental
impacts during the delivery of the products or services and during use and end-oflife treatment of the product.
The organization shall maintain documented information to the extent necessary to
have confidence that the processes have been carried out as planned.

8.2 Determination of requirements for products and

services

(see 7.4.3, External Communication for comparable 14001 requirements)

8.2.1 Customer Communication

(see 6.1.3, Compliance Obligations for comparable 14001 requirements)

8.2.2 Determination of requirements related to products

and services

(see 6.1.3, Compliance Obligations for comparable 14001 requirements)

8.2.3 Review of requirements related to products and

services
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8.3 Design and development of products and services
8.3.1 General

ISO/DIS 14001:2014
(See 8.1, Operational Planning and Controls for comparable 14001
requirements)

8.3.2 Design and development planning

8.3.3 Design and development inputs
8.3.4 Design and development controls
8.3.5 Design and development outputs

(See 6.1.2, Significant Environmental Aspects and 8.1, Operational Planning

and Control for comparable 14001 requirements (8.3.6))

8.3.6 Design and development changes

8.4 Control of externally provided products and services
8.4.1 General
The organization shall ensure that externally provided processes, products and services
conform to specified requirements.

(See 8.1, Operational Planning and Controls for comparable 14001

requirements)

The organization shall apply the specified requirements for the control of externally
provided products and services when:
a) products and services are provided by external providers for incorporation into the
organizations own products and services;
b) products and services are provided directly to the customer(s) by external providers
on behalf of the organization;
c) a process or part of a process is provided by an external provider as a result of a
decision by the organization to outsource a process or function.
The organization shall establish and apply criteria for the evaluation, selection,
monitoring of performance and re-evaluation of external providers based on their
ability to provide processes or products and services in accordance with specified
requirements.
The organization shall retain appropriate documented information of the results of
the evaluations, monitoring of the performance and re-evaluations of the external
providers.

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ISO/DIS 9001:2014
8.4.2 Type and extent of control of external provision

ISO/DIS 14001:2014
(See 8.1, Operational Planning and Controls for comparable 14001
requirements)

In determining the type and extent of controls to be applied to the external provision
of processes, products and services, the organisation shall take into consideration:
a) the potential impact of the externally provided processes, products and services on
the organizations ability to consistently meet customer and applicable statutory and
regulatory requirements;
b) the perceived effectiveness of the controls applied by the external provider.
The organization shall establish and implement verification or other activities necessary
to ensure the externally provided processes, products and services do not adversely
affect the organisations ability to consistently deliver conforming products and
services to its customers.
Processes or functions of the organization which have been outsourced to an external
provider remain within the scope of the organizations quality management system;
accordingly, the organization shall consider a) and b) above and define both the
controls it intends to apply to the external provider and those it intends to apply to the
resulting process output.

8.4.3 Information for external providers

(See 8.1, Operational Planning and Controls for comparable 14001

requirements)

The organization shall communicate to external providers applicable requirements for

the following:
a) the products and services to be provided or the process to be performed on behalf
of the organization;
b) approval or release of products and services, methods, processes or equipment;
c) competence of personnel, including necessary qualification;
d) their interactions with the organizations quality management system;
e) the control and monitoring of the external providers performance to be applied by
the organization;
f) Verification activities that the organization, or its customer, intends to perform at the
external providers premises.

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ISO/DIS 14001:2014
8.3 Emergency preparedness and response
The organization shall implement and maintain a procedure specifying how it will
respond to potential environmental emergency situations and potential accidents.
The organization shall:
a) respond to actual emergency situations and accidents;
b) take action to reduce the consequences of environmental emergency situations,
appropriate to the magnitude of the emergency or accident and the potential
environmental impact;
c) take action to prevent the occurrence of environmental emergency situations and
accidents;
d) periodically test the procedure, where practicable; and
e) periodically review and, where necessary, revise the procedure, in particular, after
the occurrence of accidents, emergency situations or tests.

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ISO/DIS 14001:2014

8.5 Production and service provision

8.5.1 Control of production and service provision
8.5.2 Identification and traceability
8.5.3 Property belonging to customers or external
providers
8.5.4 Preservation
8.5.5 Post-delivery activities
8.5.6 Control of changes
The organization shall review and control unplanned changes essential for production
or service provision to the extent necessary to ensure continuing conformity with
specified requirements.

(See 8.1, Operational Planning and Controls for comparable 14001

requirements)
(See 8.1, Operational Planning and Controls for comparable 14001
requirements)

The organization shall retain documented information describing the results of the
review of changes, the personnel authorizing the change, and any necessary actions.

8.6 Release of products and services

8.7 Control of nonconforming process outputs, products
and services

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ISO/DIS 9001:2014

ISO/DIS 14001:2014

9.1 Monitoring, measurement, analysis and evaluation

9.1 Monitoring, measurement, analysis and evaluation

9.1.1 General

9.1.1 General

The organization shall determine:

The organization shall determine:

a) what needs to be monitored and measured;

- what needs to be monitored and measured, related to:

b) the methods for monitoring, measurement, analysis and evaluation, as applicable,

to ensure valid results;

1) its operations that can have a significant environmental impact;

c) when the monitoring and measuring shall be performed;

3) operational controls;

d) when the results from monitoring and measurement shall be analysed and
evaluated;
(See 7.1.5, Monitoring and measuring devices for comparable 9001
requirements)

2) its compliance obligations;

4) progress towards the organizations environmental objectives, using indicators;
- the methods for monitoring, measurement, analysis and evaluation, as applicable, to
ensure valid results;
- the criteria against which the organization will evaluate its environmental
performance, using appropriate indicators;
- when the monitoring and measuring shall be performed;
- when the results from monitoring and measurement shall be analyzed and evaluated.

The organization shall ensure that monitoring and measurement activities are
implemented in accordance with the determined requirements and shall retain
appropriate documented information as evidence of the results.

The organization shall ensure that calibrated or verified monitoring and measurement
equipment is used and maintained as appropriate.
(see paragraph below for comparable 14001 requirement)

The organization shall evaluate the quality performance and the effectiveness of the
quality management system

The organization shall evaluate its environmental performance and provide input
to the management review (see 9.3) for the evaluation of the effectiveness of the
environmental management system.

(see paragraph above for comparable 9001 requirement)

The organization shall retain appropriate documented information as evidence of the
monitoring, measurement, analysis and evaluation results.
The organization shall communicate information relevant to its environmental
performance both internally and externally, as determined by its communication
process and as required by its compliance obligations.

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ISO/DIS 9001:2014

ISO/DIS 14001:2014
9.1.2 Evaluation of compliance
The organization shall plan and implement a process to evaluate conformity with its
compliance obligations.
The organization shall:
- determine the frequency that compliance will be evaluated;
- evaluate compliance and take action if needed;
- maintain knowledge and understanding of its status of conforming with compliance
obligations.
The organization shall retain documented information as evidence of the compliance
evaluation results.

9.1.2 Customer satisfaction

9.1.3 Analysis and evaluation
The organization shall analyse and evaluate appropriate data and information arising
from monitoring, measurement and other sources.
The output of analysis and evaluation shall be used to:
a) demonstrate conformity of products and services to requirements;
b) assess and enhance customer satisfaction;
c) ensure conformity and effectiveness of the quality management system;
d) demonstrate that planning has been successfully implemented;
e) assess the performance of processes;
f) assess the performance of external provider(s);
g) determine the need or opportunities for improvements within the quality
management system.
The results of analysis and evaluation shall also be used to provide inputs to
management review.

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9.2 Internal Audit

9.2 Internal Audit

9.2.1 The organization shall conduct internal audits at planned intervals to provide
information on whether the quality management system;

9.2.1 The organization shall conduct internal audits at planned intervals to provide
information on whether the environmental management system;

a) conforms to:

a) conforms to:

1) the organizations own requirements for its quality management system;

1) the organizations own requirements for its environmental management system;

2) the requirements of this International Standard;

2) the requirements of this International Standard;

b) is effectively implemented and maintained.

b) is effectively implemented and maintained.

9.2.2 The organization shall:

9.2.2 The organization shall:

a) plan, establish, implement and maintain an audit programme(s), including the

frequency, methods, responsibilities, planning requirements and reporting, which
shall take into consideration the quality objectives, the importance of the processes
concerned, customer feedback, changes impacting on the organization, and the
results of previous audits;

a) plan, establish, implement and maintain an audit programme(s), including the

frequency, methods, responsibilities, planning requirements, and reporting, which
shall take into consideration the environmental importance of the processes
concerned, risk associated with threats and opportunities and the results of previous
audits;

b) define the audit criteria and scope for each audit;

b) define the audit criteria and scope for each audit;

c) select auditors and conduct audits to ensure objectivity and the impartiality of the
audit process;

c) select auditors and conduct audits to ensure objectivity and the impartiality of the
audit process;

d) ensure that the results of the audits are reported to relevant management;

d) ensure that the results of the audits are reported to relevant management.

e) take necessary correction and corrective actions without undue delay;

f) retain documented information as evidence of the implementation of the audit
programme and the audit results.

The organization shall retain documented information as evidence of the

implementation of the audit programme and the audit results.

NOTE: See ISO 19011 for guidance.

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ISO/DIS 14001:2014

9.3 Management review

9.3 Management review

9.3.1 Top management shall review the organizations quality management system, at
planned intervals, to ensure its continuing suitability, adequacy, and effectiveness.

Top management shall review the organizations environmental management system,

at planned intervals, to ensure its continuing suitability, adequacy and effectiveness.

The management review shall be planned and carried out taking into consideration:

The management review shall include consideration of:

a) the status of actions from previous management reviews;

a) the status of actions from previous management reviews;

b) changes in external and internal issues that are relevant to the quality management
system including its strategic direction;

b) changes in:
- external and internal issues that are relevant to the environmental management
system;
- compliance obligations;
- its significant environmental aspects and risks associated with threats and
opportunities;

c) information on the quality performance, including trends and indicators for:

1) nonconformities and corrective actions;
2) monitoring and measurement results;
3) audit results;

c) the extent to which objectives have been met;

6) adequacy of resources required for maintaining an effective quality

management system;

d) information on the organizations environmental performance, including trends in:

- nonconformities and corrective actions;
- monitoring and measurement results;
- conformity to its compliance obligations;
- audit results;

7) process performance and conformity of products and services;

(see g below for equivalent 14001 text)

d) the effectiveness of actions taken to address risks and opportunities (see clause 6.1)

e) communication(s) from external interested parties;

e) new potential opportunities for continual improvement;

(see 6 above for equivalent 9001 requirement)

f) opportunities for continual improvement;

9.3.2 The outputs of the management review shall include decisions and actions
related to:

The outputs of the management review shall include:

4) customer satisfaction;
5) issues concerning external providers and other relevant interested parties;

g) the adequacy of resources required for maintaining an effective environmental

management system.

a) continual improvement opportunities;

a) conclusions on the continuing suitability, adequacy and effectiveness of the

environmental management system;

b) any need for changes to the quality management system, including resource needs.

b) decisions related to continual improvement opportunities;

c) any need for changes to the environmental management system, including resource
needs;
d) actions, if needed, when objectives have not been met;
e) any implications for the strategic direction of the organization.

The organization shall retain documented information as evidence of the results of

management reviews.

The organization shall retain documented information as evidence of the results of

management reviews.
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ISO/DIS 9001:2014
10 Improvement

ISO/DIS 14001:2014
10 Improvement

10.1 General
The organization shall determine and select opportunities for improvement and
implement necessary actions to meet customer requirements and enhance customer
satisfaction.
This shall include, as appropriate:
a) improving processes to prevent nonconformities;
b) improving products and services to meet known and predicted requirements;
c) improving quality management system results.
NOTE: Improvement can be effected reactively (e.g. corrective action), incrementally
(e.g. continual improvement), by step change (e.g. breakthrough), creatively (e.g.
innovation) or by reorganisation (e.g. transformation).

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Page 25 of 26

ISO/DIS 9001:2014

ISO/DIS 14001:2014

10.2 Nonconformity and corrective action

10.2 Nonconformity and corrective action

10.2.1 When a nonconformity occurs, including those arising from complaints, the
organization shall:

When a nonconformity occurs, the organization shall:

a) react to the nonconformity, and as applicable:

- take immediate action to control and correct it;

1) take action to control and correct it;

- mitigate adverse environmental impacts;

2) deal with the consequences;

- deal with the consequences.

b) evaluate the need for action to eliminate the cause(s) of the nonconformity, in order
that it does not recur or occur elsewhere, by:

b) evaluate the need for action to eliminate the causes of the nonconformity, in order
that it does not recur or occur elsewhere, by:

1) reviewing the nonconformity;

- reviewing the nonconformity;

2) determining the causes of the nonconformity;

- determining the causes of the nonconformity; and

3) determining if similar nonconformities exist, or could potentially occur;

- determining if similar nonconformities exist, or could potentially occur;

c) implement any action needed;

c) determine and implement any corrective action needed;

d) review the effectiveness of any corrective action taken;

d) review the effectiveness of any corrective action taken;

e) make changes to the quality management system, if necessary.

e) make changes to the environmental management system, if necessary.

Corrective actions shall be appropriate to the effects of the nonconformities

encountered.
NOTE 1: In some instances, it can be impossible to eliminate the cause of a nonconformity.
NOTE 2: Corrective action can reduce the likelihood of reoccurrence to an acceptable level.

Corrective actions shall be appropriate to the significance of the effects of the

nonconformities encountered, including the environment impact(s).

10.2.2 The organization shall retain documented information as evidence of

The organization shall retain documented information as evidence of:

a) the nature of the nonconformities and any subsequent actions taken;

- the nature of the nonconformities and any subsequent actions taken;

b) the results of any corrective action.

- the results of any corrective action.

10.3 Continual improvement

10.3 Continual improvement

The organization shall continually improve the suitability, adequacy and effectiveness
of the quality management system.

The organization shall continually improve the suitability, adequacy and effectiveness
of the environmental management system to enhance environmental performance.

a) react to the nonconformity, and as applicable:

The organization shall consider the outputs of analysis and evaluation, and the
outputs from management review, to confirm if there are areas of underperformance
or opportunities that shall be addressed as part of continual improvement.
Where applicable, the organization shall select and utilise applicable tools and
methodologies for investigation of the causes of underperformance and for
supporting continual improvement.

Page 26 of 26

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