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New ISO Standards
Transition Workshop (Auditors)

ISO 14001:2015
J.P.NARAIN
LEAD AUDITOR
What has changed?
• new concepts are considered - more risk based thinking
• a new common ISO format has been developed for use
across all Management System Standards
• a significant re-ordering of the key clauses.
What else?
• Strategic Environmental Management
▫ increased emphasis on strategic planning
▫ new requirement to understand the organisation’s context
▫ aim to identify and leverage opportunities for the benefit of both the
organisation and the environment
▫ issues or changing circumstances related to the needs and
expectations of interested parties and local, regional or global
environmental conditions that can affect, or be affected by, the
organisation
▫ if identified as a priority, actions to mitigate adverse risk or exploit
beneficial opportunities are integrated in the operational planning of
EMS.
2015 – Annex A
And more…….
• Leadership
▫ a new clause that assigns specific responsibilities for those in leadership
roles to promote environmental management
• Protecting the environment

▫ expectation on organisations has been expanded to commit to proactive
initiatives to protect the environment from harm and degradation,
consistent with the context of the organisation
▫ ‘protect the environment’ is not defined but it notes that it can include
prevention of pollution, sustainable resource use, climate change
mitigation and adaptation, protection of biodiversity and ecosystems, etc. ..
2015 – Annex A
And more……….
• Environmental performance
▫ emphasis with regard to continual improvement now improving
environmental performance
▫ Note - consistent with the organisation’s policy commitments
• Life-cycle thinking
▫ need to extend control and influence to the environmental impacts
associated with product use and end-of-life treatment or disposal
▫ Note - does not imply a requirement to do a life cycle assessment.
2015 – Annex A
And more!
• Communication
▫ must develop communications strategy with equal emphasis on
external and internal communication
▫ requirement to communicate consistent and reliable information
▫ establish mechanisms for persons working under the organisation's
control to make suggestions on improving the EMS
▫ Note - the organisation decides whether to communicate externally
but it must consider regulatory requirements and expectations of
interested parties
• Documentation
▫ term ‘documented information’ instead of ‘documents’ and ‘records’
▫ flexibility to determine when ‘procedures’ are needed.
2015 – Annex A
High Level Structure
• the new standard adopts the high-level structure and terminology of
Annex SL (used for the development of all new ISO standards)
• High Level Structure - identical core text and common terms and
core definitions for use in all Management System Standards:
▫ purpose - enhance the consistency and alignment of different
management system standards
▫ organisations that integrate multiple standards (eg QMS, EMS,
OHS) will see the most benefit
▫ uses simplified language and writing styles to aid understanding
and consistent interpretations of requirements.
Common structure for MSS
Introduction
1. Scope
2. Normative references
3. Terms and definitions
4. Context of the organisation
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance evaluation
10. Improvement.
Clause structure (4-6)
4. Context of the organisation
▫ Understanding the organisation and its context
▫ Understanding the needs and expectations of interested parties
▫ Determining the scope of the XXX management system
▫ XXX management system
5. Leadership
▫ Leadership and commitment
▫ Policy
▫ Organisational roles, responsibilities and authorities
6. Planning
▫ Actions to address risks and opportunities
▫ Objectives and plans to achieve them.
Clause structure (7-10)
7. Support
▫ Resources
▫ Competence
▫ Awareness
▫ Communication
▫ Documented information
8. Operation
▫ Operational planning and control
9. Performance evaluation
▫ Monitoring, measurement, analysis and evaluation
▫ Internal audit
▫ Management review
10. Improvement
▫ Nonconformity and corrective action
▫ Continual improvement.
ISO 14004???
• Environmental management systems - General
guidelines on principles, systems and support
techniques
• currently ISO DIS 14004
• expected late 2015.
ISO 14001:2015
Environmental management systems –
Requirements with guidance for use.
Introduction
• 0.1 Background
Introduces the rationale for
• 0.2 Aim of an environmental the Standard - more
management system formally structured.
• 0.3 Success factors
• 0.4 PDCA model
• 0.5 Contents
2004 – Introduction
0.1 Background
• sustainable development is achieved by balancing the

environment, society and the economy
• systemic approach to environmental management is
becoming the norm.
0.2 Aim of an EMS pr o t ect th e
a f r am e work to
s t o p rov id e
S t an dard i
• aim o f t h e
t
environmen
ap p ro a ch to: pacts
• syst e m i c on me n tal im
verse envir
ig ating ad
n t in g o r m it o n diti ons
re v e ta l c
▫ p
v e r s e e n v ironmen
tin g p o te n tial ad
▫ mitiga t ions
c e o b lig a
e e tin g c o mplian
▫ m e r fo r mance
n ta l p
g e n v ironme
▫ enha n c in
c ts a n d s e rvices
p e c tiv e fo r p r o du
ers
▫ life cycle p r a tio n a l b enefits
ia l and op e
g fin a n c
▫ achievin d p a r ties.
r e s t e
m u ni c a tin g to inte
▫ com
0.3 Success factors
• success of an EMS depends on commitment from top
management and all levels of the organisation
• application of ISO 14001 can differ due to context of the
organisation
• EMS may vary depending on:
▫ context of the organisation
▫ scope of EMS
▫ compliance obligations
▫ nature of activities, products and services
▫ including environmental and associated environmental impacts.
2004 –No Equivalent clause

0.4 Plan-Do-Check-Act model
0.5 Contents of this International
Standard
• ISO 14001: 2015 conforms to the high level structure
(identical core text and common terms with core definitions)
• facilitates integrating multiple systems
• embraces risk based thinking.
2004 – clause 1
Section 1 - Scope
• minor change
• applicable to any organisation
• does not state specific environmental performance
criteria.
2004 – clauses 1.1 & 1.2

Section 2 – Normative references
• nil!
• maintains clause numbering consistency.
2004 – clause 2
Section 3 – Terms and Definitions
• environmental aspect – element of an organisation’s
activities, products or services that interacts or can
interact with the environment – the activity
• environmental impact – change to the environment
(adverse or beneficial), wholly or partly resulting from the
organisation’s environmental aspects – potential
change or harm.
2004 – clause 3
Some more terms
• environmental performance – performance related to
the management of environmental aspects
• life cycle – consecutive and interlinked stages of a
product (or service) system, from raw material acquisition
or generation from natural resources to final disposal.
2004 – clause 3
Section 4 – Context of the organisation
2004 – No direct equivalent

Section 4 – Context of the Organisation
• 4.1 Understanding the • this is a new clause and

organisation and its context
provides a key insight
• 4.2 Understanding the needs into the organisation
and expectations of
interested parties
What constitutes the
• 4.3 Determining the scope of
the environmental
organisation’s
management system environmental
management system.
• 4.4 Environmental
management system

• 4.1 Understanding the organisation and its context
• 4.2 Understanding the needs and expectations of interested parties
• 4.3 Determining the scope of the environmental management
system
• 4.4 environmental management system and its processes
• determine external and internal issues relevant to the EMS
• including possible environmental conditions.

• 4.1 Understanding the organisation and list context
• 4.2 Understanding the needs and expectations of interested
parties
• 4.3 Determining the scope of the environmental management system
• 4.4 Environmental management system
• determine interested parties relevant to the EMS
• determine their needs and expectations
• which ones are compliance obligations.

system
• establish scope by determining boundaries and applicability of the

EMS
• consider external/internal issues, compliance obligations, function and

physical boundaries, activities, products and services, ability to control
• scope must be documented and available to interested parties.
2004 – clause 4.1

system
• same as previous version but introduces interactions between

processes
• EMS must include external/internal issues and compliance

obligations.
2004 – clause 4.1

Section 5 - Leadership

• 5.1 Leadership an • top management to now

commitment have a greater involvement
• 5.2 Environmental policy in the EMS
• 5.3 Organisational roles,
responsibilities and What is required by top
authorities management.
• 5.1 Leadership and commitment
• 5.2 Environmental policy
• 5.3 Organisational roles, responsibilities and authorities
• new clause
• must take accountability for the EMS’ effectiveness
• ensure environmental policy and environmental objectives are

established
• ensure EMS is integrated into business processes
• ensure resources are available;

• 5.1 Leadership and commitment…cont
• communicate importance of effective EMS and conformance

• ensure EMS achieves outcomes
• support contribution of EMS effectiveness
• promote continual improvement
• support other management to demonstrate leadership.

Section 5 – Leadership
• same as previous version
• removes confusion about previous version sub-clauses e, f, g being

included in the actual policy.
2004 – clause 4.2

Section 5 – Leadership
• removes resources (now at Clause 5.1)
• no requirement for a specific management representative
• however those duties must be assigned.
2004 – clause 4.4.1

Section 6 – Planning
2004 – clause 4.3

Section 6 - Planning
• introduces risk based
• 6.1 Actions to address and approach to planning
opportunities
• addresses environmental
• 6.2 environmental objectives aspects, environmental
and planning to achieve them impacts, compliance
obligations & environmental
objectives
How environmental
management is planned.
2004 – Clause 4.3

• 6.1 Actions to address risks and opportunities
• 6.1.1 General
• 6.1.2 Environmental aspects
• 6.1.3 Compliance obligations
• 6.1.4 Planning action
• when planning, must consider external/internal issues and interested

parties and scope of EMS
• determine the risks related to environmental aspects, compliance
obligations and other issues
• assurance that EMS can work, prevent undesired effects and achieve
continual improvement
• must document risks and processes considered important.

• 6.1.1 General
• enhances previous Clause 4.3.1
• requires criteria for significant environmental aspects to be

established
• environmental aspects must be communicated within the organisation
• environmental aspects and associated environmental impacts must

be documented.
2004 – Clause 4.3.1
• 6.1.1 General
• very similar to previous Clause 4.3.2
• “compliance obligations” in lieu of legal and other requirements
• compliance obligations must be documented.
2004 – Clause 4.3.1

• 6.1.1 General
• new clause
• organisations must plan to take action to address significant

environmental aspects, compliance obligations and risks/opportunities
• must also plan to implement actions into the EMS and evaluate
effectiveness of the actions.
2004 – Clause 4.3.1

• 6.2 Environmental objectives and planning to achieve them
• 6.2.1 Environmental objectives
• 6.2.2 Planning actions to achieve environmental objectives
• similar to previous Clause 4.3.3
• only really requires objectives for significant environmental aspects

and associated compliance obligations
• environment objectives must be updated
• they must be documented.
2004 – clause 4.3.3

• 6.2 Environmental objectives and planning to achieve them
• 6.2.1 Environmental objectives
• 6.2.2 Planning actions to achieve environmental objectives
• requires planning to determine what, how, who, when, how the

objectives will be monitored and how the results will be evaluated
• must consider how environmental objectives can be integrated into

the organisations processes.
2004 – clause 4.3.3

Section 7 - Support
2004 – clause 4.4

Section 7 - Support
• 7.1 Resources • much of the previous Clause

• 7.2 Competence 4.4 has been written into this
newly constructed clause
• 7.3 Awareness
• 7.4 Communication The support required to

meet the organisation’s
• 7.5 Documented information
environmental goals.
2004 – clause 4.4

Section 7 - Support
• 7.1 Resources
• 7.2 Competence
• 7.3 Awareness
• 7.4 Communication
• no change to previous Clause 4.4.1.
2004 – clause 4.4.1

Section 7 - Support
• 7.1 Resources
• 7.2 Competence
• 7.3 Awareness
• very similar to previous Clause 4.4.2
• must now evaluate the effectiveness of action taken to address

competence
• documented information (records) must be retained of competence.
2004 – Clause 4.4.2

Section 7 - Support
• 7.1 Resources
• 7.2 Competence
• 7.3 Awareness
• specific clause regarding awareness but not otherwise difference

from previous Clause 4.4.2.
2004 – clause 4.4.2

Section 7 - Support
• 7.4.1 General
• 7.4.2 Internal communication
• 7.4.3 External communication
• much expanded clause for communication
• must now determine what will be communicated internally and

externally, when, to whom and how
• must comply legally
• communication must be documented.
2004 – Clause 4.4.3

Section 7 - Support
• 7.4.1 General
• specific clause for internal communication but no other changes.
2004 – clause 4.4.3

Section 7 - Support
• 7.4.1 General
• specific clause for external communication but no other changes.
2004 –Clause 4.4.3

Section 7 - Support
• 7.5.1 General
• 7.5.2 Creating and updating
• 7.5.3 Control of documented information
• the EMS needs documented information required by the Standard

and as determined by the organisation
Note: the extent of documented information can differ from one

organisation to another due to its size, activities, processes,
products and services complexity of processes and their
interactions and the competence of persons.
2004 – clause 4.4.4

Section 7 - Support
• 7.5.1 General
• documented information requires:
▫ identification and description
▫ format and media
▫ review and approval.
2004 – Clauses 4.4.5

Section 7 - Support
• 7.5.1 General
• combines previous Clauses 4.4.5 (documentation) and 4.5.4

(records).
2004 – clauses 4.4.5 & 4.5.4

Section 8 - Operation
2004 – clause 4.4

• 8.1 Operational planning and • specific section created for
control operational planning and
• 8.2 Emergency preparedness dealing with emergencies
and response
How to control operations
and react to emergencies.
2004 – clauses 4.4.6 & 4.4.7

• 8.1 Operational planning and control
• 8.2 Emergency preparedness and response
• expanded clause from previous Clause 4.4.6

• similar intent but also includes controlling changes
• also addresses outsourcing processes are controlled
• introduces lifecycle perspective to ensure organisation controls
environmental requirements for the lifecycle of products and
services
• must communicate these requirements
• consider transport, delivery, use and final disposal
• documented information is to be maintained as considered
necessary by the organisation.
2004 – clause 4.4.6

• 8.1 Operational planning and control
• 8.2 Emergency preparedness and response
• no change from previous Clause 4.4.7
• documented information is to be maintained as considered

necessary by the organisation.
2004 – Clause 4.4.7

Section 9 – Performance Evaluation
2004 – clause 4.5

Section 9 – Performance evaluation
• 9.1 Monitoring, measurement, • environment performance is to be
analysis and evaluation monitored and analysed including
evaluation of compliance,
• 9.2 Internal audit conducting internal audits and
management review
• 9.3 Management review
How environment performance is

evaluated.
2004 – clause 4.5

• 9.1 Monitoring, measurement, analysis and evaluation
• 9.1.1 General
• 9.1.2 Evaluation of compliance
• need to determine what, how, when environmental performances to be

measured, against what criteria and how the results are analysed and
evaluated
• environmental performance and effectiveness of the EMS is to be

evaluated
• environmental performance is to be communicated internally and

externally
• evidence of monitoring and evaluation is to be documented.

2004 – Clause 4.5.1
• 9.1.1 General
• 9.1.2 Evaluation of compliance
• frequency of compliance evaluation must be determined
• must understand compliance status
• evidence of compliance evaluation is to be documented.
2004 – clause 4.5.2

• 9.2 Internal audit
• same as previous Clause 4.5.5
• separate sub-clause for internal audit program
• still at planned intervals
• evidence of internal audits and results must be documented.
2004 – Clause 4.5.5

• 9.2 Internal audit
• expanded clause from previous Clause 4.6
• stilled at planned intervals
• clearer agenda considerations
• evidence of management review results must be documented.
2004 – clause 4.6

Section 10 - Improvement
2004 – Clause 4.5.3

Section 10 - Improvement
• 10.1 General • EMS must continually

improve to enhance
• 10.2 Nonconformity and
corrective action
environmental performance
• nonconformities must be
• 10.3 Continual improvement identified and reacted to
• corrective action must be
considered
Continual improvement
remains a core focus of
the EMS.
2004 – clause 4.5.3

Section 10 – Improvement
• 10.1 General
• 10.2 Nonconformity and corrective action
• 10.3 Continual improvement
• expanded clause from previous Clause 4.5.3
• opportunities for improvement must be determined
• action must be taken to achieve intended outcomes of EMS.
2004 – Clause 4.5.3

• 10.1 General
• nonconformities must be reacted to, applicable action taken and

deal with any mitigation
• root cause analysis must be considered based on its significance
• effectiveness of corrective action must be reviewed
• change EMS if required
• evidence of action taken from nonconformities must be documented
• evidence of results of corrective action must be documented.

2004 – clause 4.5.3
• 10.1 General
• organisations must continually improve the suitability, adequacy and

effectiveness of the EMS to enhance environmental performance.
2004 – Clause 4.5.3

Annex A – Guidance (informative)
Explanatory information intended to prevent
misinterpretation of the requirements of ISO 14001.
2004 – Annex A
Annex B – Correlation (informative)
Correlation between ISO 14001:2015 and

ISO 14001:2004 in table format.
2004 – Annex B
Summary of Changes
• better format and ease for integration
• strategic planning
• enhanced leadership requirements
• protect the environment
• environmental performance
• life-cycle thinking
• communication
• documentation.
Any Questions?

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New ISO Standards

Transition Workshop (Auditors)

• Protecting the environment

• 0.4 PDCA model

• sustainable development is achieved by balancing the

2004 –No Equivalent clause

2004 – clauses 1.1 & 1.2

2004 – No direct equivalent

• 4.1 Understanding the • this is a new clause and

2004 – No direct equivalent

• determine external and internal issues relevant to the EMS

• including possible environmental conditions.

2004 – No direct equivalent

• determine interested parties relevant to the EMS

• determine their needs and expectations

• which ones are compliance obligations.

2004 – No direct equivalent

• establish scope by determining boundaries and applicability of the

• consider external/internal issues, compliance obligations, function and

• scope must be documented and available to interested parties.

2004 – clause 4.1

• same as previous version but introduces interactions between

• EMS must include external/internal issues and compliance

2004 – clause 4.1

2004 – No direct equivalent

• 5.1 Leadership an • top management to now

• must take accountability for the EMS’ effectiveness

• ensure environmental policy and environmental objectives are

• ensure EMS is integrated into business processes

• ensure resources are available;

2004 – No direct equivalent

• communicate importance of effective EMS and conformance

2004 – No direct equivalent

• same as previous version

• removes confusion about previous version sub-clauses e, f, g being

2004 – clause 4.2

• removes resources (now at Clause 5.1)

• no requirement for a specific management representative

• however those duties must be assigned.

2004 – clause 4.4.1

2004 – clause 4.3

2004 – Clause 4.3

• when planning, must consider external/internal issues and interested

2004 – No direct equivalent

• enhances previous Clause 4.3.1

• requires criteria for significant environmental aspects to be

• environmental aspects must be communicated within the organisation

• environmental aspects and associated environmental impacts must

• very similar to previous Clause 4.3.2

• “compliance obligations” in lieu of legal and other requirements

• compliance obligations must be documented.

2004 – Clause 4.3.1

• organisations must plan to take action to address significant

2004 – Clause 4.3.1

• similar to previous Clause 4.3.3

• only really requires objectives for significant environmental aspects

• environment objectives must be updated

• they must be documented.

2004 – clause 4.3.3

• similar to previous Clause 4.3.3

• requires planning to determine what, how, who, when, how the

• must consider how environmental objectives can be integrated into