ISO 14001:2015 Environmental management systems – Requirements with guidance for use
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
The organization shall monitor, measure, analyze and evaluate its environmental performance.
The organization shall determine:
The organization shall ensure that calibrated or verified monitoring and measurement equipment is used and maintained, as appropriate.
The organization shall evaluate its environmental performance and the effectiveness of the environmental management system.
The organization shall communicate relevant environmental performance information both internally and externally, as identified in its communication process(es) and as required by its compliance obligations.
The organization shall retain appropriate documented information as evidence of the monitoring, measurement, analysis and evaluation results.
A.9 Performance evaluation
A.9.1 Monitoring, measurement, analysis and evaluation
When determining what should be monitored and measured, in addition to progress on environmental objectives, the organization should take into account its significant environmental aspects, compliance obligations and operational controls.
The methods used by the organization to monitor and measure, analyze and evaluate should be defined in the environmental management system, in order to ensure that:
The environmental performance analysis and evaluation results should be reported to those with responsibility and authority to initiate appropriate action.
For additional information on environmental performance evaluation, see ISO 14031.
9.1.2 Evaluation of compliance
The organization shall establish, implement and maintain the processes needed to evaluate fulfillment of its compliance obligations.
The organization shall:
The organization shall retain documented information as evidence of the compliance evaluation result(s).
A.9.1.2 Evaluation of compliance
The frequency and timing of compliance evaluations can vary depending on the importance of the requirement, variations in operating conditions, changes in compliance obligations and the organization’s past performance. An organization can use a variety of methods to maintain its knowledge and understanding of its compliance status, however, all compliance obligations need to be evaluated periodically.
If compliance evaluation results indicate a failure to fulfill a legal requirement, the organization needs to determine and implement the actions necessary to achieve compliance. This might require communication with a regulatory agency and agreement on a course of action to fulfill its legal requirements. Where such an agreement is in place, it becomes a compliance obligation.
A non-compliance is not necessarily elevated to a nonconformity if, for example, it is identified and corrected by the environmental management system processes. Compliance-related nonconformities need to be corrected, even if those nonconformities have not resulted in actual non-compliance with legal requirements.
9.2 Internal audit
The organization shall conduct internal audits at planned intervals to provide information on whether the environmental management system:
9.2.2 Internal audit programme
The organization shall establish, implement and maintain an internal audit programme(s), including the frequency, methods, responsibilities, planning requirement s and reporting of its internal audits.
When establishing the internal audit programme, the organization shall take into consideration the environmental importance of the processes concerned, changes affecting the organization and the results of previous audits.
The organization shall:
The organization shall retain documented information as evidence of the implementation of the audit programme and the audit results.
A.9.2 Internal audit
Auditors should be independent of the activity being audited, wherever practicable, and should in all cases act in a manner that is free from bias and conflict of interest.
Nonconformities identified during internal audits are subject to appropriate corrective action.
When considering the results of previous audits, the organization should include:
For additional information on establishing an internal audit programme, performing environmental management system audits and evaluating the competence of audit personnel, see ISO 19011. For information on internal audit programme as part of managing change, see Clause A.1.
9.3 Management review
Top management shall review the organization’s environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness.
The management review shall include consideration of:
The outputs of the management review shall include:
The organization shall retain documented information as evidence of the results of management reviews.
A.9.3 Management review
The management review should be high-level; it does not need to be an exhaustive review of detailed information. The management review topics need not be addressed all at once. The review may take place over a period of time and can be part of regularly scheduled management activities, such as board or operational meetings; it does not need to be a separate activity.
Relevant complaints received from interested parties are reviewed by top management to determine opportunities for improvement.
For information on management review as part of managing change, see Clause A.1.
“Suitability” refers to how the environmental management system fits the organization, its operations, culture and business systems. “Adequacy” refers to whether it meets the requirements of this International Standard and is implemented appropriately. “Effectiveness” refers to whether it is achieving the desired results.