14001:2015 Guidance document for

approved companies -
Annex A: Transition checklist

February 2017

National Security Inspectorate

Sentinel House,
5 Reform Road
Maidenhead
SL6 8BY
Website: nsi.org.uk

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ISO 14001:2015 transition checklist

Instructions for use

This document is intended to provide a framework to assist you make the transition to
BS EN ISO 14001:2015 (ISO 14001:2015). It will help you to evaluate your readiness to undergo
your transition audit. The questions relate to where the standard has been changed either with
a new clause or an amended clause.
The document is to ensure you have asked and answered all the relevant questions for the
transition to take place.
Please complete each table, recording brief details of the evidence you would show to your
auditor to demonstrate how you have addressed the clauses.

Part 1: ISO 14001:2015 requirements

Please ensure you can evidence each requirement of ISO 14001:2015 has been addressed
within your environmental management system (EMS).

Clause Y/N Evidence / Documents

4 Context of the organization

4.1 Understanding the organization and its context

Need to establish context and identify interested parties. These groups can include shareholders, customers,
regulatory groups etc.

Have you identified the internal and external issues?

Have you identified and implemented ways of

monitoring these issues?

Have you considered the impact of any changes to

these issues?

Comments:

4.2 Understanding the needs and expectations of interested parties

Have you identified interested parties who could

affect the EMS?

Have you understood their needs and expectations?

Have you identified any compliance obligations?

How will you monitor and review this?

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Clause Y/N Evidence / Documents

Comments:

4.3 Determining the scope of the environmental management system

You’ll need to identify any boundaries and include what’s relevant to the business. This could include the whole
organization or specific functions.

Have you been clear on what’s relevant in the scope?

Have you included the products and/or services

included in your management system?

Have you amended the scope and highlighted the

change?

Have you considered clauses 4.1 & 4.2 in determining

the scope of the EMS

Comments:

4.4 Environmental management system

There is a requirement is for you to establish, implement, maintain and continually improve your EMS. Although
every organization is different, documented information such as process diagrams and/or written procedures
could support this.

Have you identified all your processes?

Have you defined a sequence of how these processes

interact?

Do you have the resources to support the processes?

Have you allocated responsibilities to each process?

Have you identified all risks and opportunities/

Aspects and Impacts associated with each process?

Comments:

5. Leadership
Top management are now required to have a greater involvement in the EMS and ultimate responsibility.

Are the policy and objectives compatible with the

strategic direction of the organization?

Are the strengths and weaknesses of the organization

understood?

Have EMS responsibilities been allocated to all the

team?

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Clause Y/N Evidence / Documents

Comments:

5.1 Leadership and commitment

Is the EMS compatible with the strategic direction
and context of the organization?

Is support provided for staff with EMS

responsibilities?

Have you ensured the EMS requirements are

integrated into the business processes?

Are resources needed for the environmental

management systems available?

Is the importance of effective environmental

management and conforming to the environmental
management system requirements communicated?

Improvement processes in place?

Comments:

5.2 Environmental policy

Top management need to establish, implement and maintain an environmental policy.

Do you have a clear environmental policy that

considers interested parties and compliance
obligations?

Is there a commitment to environmental protection

in the policy?

When was your policy reviewed/amended?

Is it effectively communicated to the organization

and interested parties?

Comments:

5.3 Organizational roles, responsibilities and authorities

Are all roles defined and allocated in the

organization?

Are all roles effectively communicated and

understood?

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Clause Y/N Evidence / Documents

Are responsibilities and authorities for EMS
understood?

Comments:

6. Planning
Planning has an increased focus on ensuring it is considered with the ‘context of the organization’ and ‘interested
parties’.

Have you identified risk and opportunities, Aspects

and Impacts and compliance obligations across the
organization for the product(s) and service(s) you
offer?

Have you considered how to manage these risks and

opportunities / Aspects & Impacts?

Have you identified the impact of interested parties?

Has planning being considered in a systematic way?

Comments:

6.1.1 General

Does the organization understand risk based

thinking and has this been introduced?

Have the organization’s risks &opportunities related

to its environmental aspects and compliance
obligations been identified and managed?

Within the scope of the EMS has the organization

determined potential emergency situations,
including those that can have an environmental
Impact?

Comments:

6.1.2 Environmental aspects

Have environmental aspects been determined by the

organization and do they meet the requirements of
14001:2015 in all situations?

Is documented information maintained for its:

- Aspects and associated environmental
impacts

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Clause Y/N Evidence / Documents

- Criteria used to determine its significant
environmental aspects
- the criteria used to determine its significant
environmental aspects
- Significant environmental aspects

Have significant environmental aspects been

communicated appropriately throughout the
organization

Has the lifecycle perspective been considered

Comments:

6.1.3 Compliance obligations

Has the organization determined its compliance

obligations related to its environmental impacts?

Determined how these compliance obligations apply

to the organization?

How does the organization take compliance

obligations into account when establishing,
implementing, maintaining and continually
improving it environmental management system?

Has the organization maintained documented

information of it compliance obligations

Comments:

6.1.4 Planning action

Has the organization established plans to address

significant environmental aspects, compliance
obligations, risks and opportunities?

Has the organization established plans on how to

integrate and implement the actions into its
environmental management system processes or
other business processes?

Comments:

6.2 Environmental objectives and planning to achieve them

6.2.1 Environmental objectives

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Clause Y/N Evidence / Documents

Are the environmental objectives in line with the
environmental policy?

Are environmental objectives consistent with the

aspects, impacts compliance obligations, risks and
opportunities of the business?

Are the environmental objectives measurable (if

practical)?

Are the objectives defined, monitored,

communicated and updated?

Comments:

6.2.2 Planning actions to achieve environmental objectives

How do you manage and implement change?

Have you considered consequences, resources and

responsibilities when making the change?

Comments:

7 Support

7.1 Resources

How are internal and external resource requirements

considered?

Have resources been determined and provided for

the establishment, implantation, maintenance and
continual improvement of the environmental
management system?

Comments:

7.2 Competence

Have you determined competencies for your

organization’s team?

Do they have the necessary education, training or

experience?

Has the competency of contractors been determined

and understood?

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Clause Y/N Evidence / Documents

Have you determined how the EMS will be
implemented and managed effectively?

Do you have the necessary documented information

to support this?

Comments:

7.3 Awareness

How you have raised awareness of the policy and

EMS requirements?

For persons doing work under the organization’s

control (including subcontractors) have you raised:
- Awareness of significant environmental
aspects and related actual or potential
environmental impacts associate with their
work?
- Their contribution to the effectiveness of
the EMS?
The implications of not conforming to EMS
requirements including not fulfilling the
organization’s compliance obligations?

Comments:

7.4 Communication

7.4.1 General

Have you considered all communication methods to

include internal and external parties?

Are your communications consistent with the

information generated by the ems and reliable?

When appropriate have you retained documented

information as evidence of the organization’s
communications?

Comments:

7.4.2 Internal communication

How do you internally communicate information

relevant to the EMS among the various levels and

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functions of the organization, including changes to
the EMS?

How do you ensure that person(s) doing work under

the organization’s control can contribute to continual
improvement of the EMS

Comments:

7.4.3 External communication

Have you externally communicated information

relevant to the EMS as established by the
organization’s communication process(es) and
required by its compliance obligations?

Comments:

7.5 Documented information

How do you control the distribution of necessary

documentation?

Comments:

7.5.1 Creating and updating

How do you ensure that the documentation is

identified and that appropriate format and media are
used?

Comments:

7.5.2 Control of documented information

Are suitable controls in place to ensure information is

suitably protected and controlled?

Comments:

8 Operation

8.1 Operational planning and control

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Clause Y/N Evidence / Documents

How are processes planned implemented and
controlled in accordance with criteria and actions
identified in clauses 6.1 & 6.2 (actions to address risks
and opportunities, environmental objectives and
planning to achieve them)

How are planned changes including the review of any

unintended changes controlled?

Has the need to provide information on products and

services in transportation, delivery, use, end of life
and final disposal been considered?

Where this is outsourced (e.g. subcontractors) how is

this managed and controlled?

Comments:

8.2 Emergency preparedness and response

Has the organization established, implemented and

maintained the processes needed to prepare for,
prevent and respond to potential emergency
situations identified?

Are the responses to emergency situations

proportional?

Are emergency response processes periodically

reviewed and where practical tested?

Has the organization maintained documented

information to the extent necessary to have
confidence that the processes are carried out as
planned?

Comments:

9 Performance evaluation &

9.1 Monitoring, measurement, analysis and evaluation

9.1.1 General

Have you determined what and how you will monitor

and measure performance?

Have you implemented analysis and evaluation

methods?

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Clause Y/N Evidence / Documents

Have you determined what evidence you will retain
relating to performance?

Comments:

9.1.2 Evaluation of compliance

Has the organization determined how frequently

compliance is evaluated?

When evaluating compliance how will you ensure the

required actions are taken?

How do you maintain knowledge and understanding

of the organization’s compliance status?

Have you determined what evidence you will retain

relating to evidence of compliance evaluation?

Comments:

9.2 Internal audit

9.2.1 General

Are internal audits carried out at planned intervals to

provide information on whether the environmental
management system conforms to its own
requirements and the international standard?

Is the internal audit effectively implemented and

maintained?

Comments:

9.2.2 Internal audit programme

Has the audit criteria been defined?

Are results reported to ‘relevant’ management?

Comments:

9.3 Management review

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Clause Y/N Evidence / Documents

Does your management review take into
consideration the external and internal issues?

Does your management review ensure changes with

risks and opportunities are considered, including
trends in non-conformities, corrective action,
monitoring and measurement results, conformity
with compliance obligations and audit results?

Comments:

10 Improvement

10.1 General

How does the organization determine and actively

implement opportunities to achieve the intended
outcomes of the EMS?

How does the organization consider future needs

and expectations?

Comments:

10.2 Nonconformity and corrective action

Does the organization make changes to the EMS

when a nonconformity identifies a change is needed?

Does the organization determine if similar non

conformities exist or could potentially occur?

Does the organization ensure the retention of

documents recording non conformities and actions
taken?

Comments:

10.3 Continual improvement

Does the organization understand that they need to

ensure the EMS remains ‘suitable’ and ‘adequate’?

Does the organization understand that they need to

continually improve the EMS and to enhance the
environmental performance??

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Clause Y/N Evidence / Documents

Comments:

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