ISO 14001 Upgrade Planner & Delta Checklist

Printed: May 3, 2023

Only those documents viewed through the AESOP system are officially controlled. All other copies, whether viewed through another computer program or a printed version, are not controlled and therefore NSF-ISR assumes no responsibility for accuracy of the document.

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ISO 14001 Environmental Management Systems registration is an internationally recognized standard that enables an organization to identify and control the environmental impact of its activities, products or services, improve its environmental performance continually. It provides a systematic approach to setting environmental objectives and targets to achieve these goals and to demonstrate that they met them.

Key Improvements to ISO 14001:2015

ISO 14001:2015 was published on September 15, 2015 and is available for purchase from the NSF Bookstore.

– Utilizing ISO 14001:2015 as the environmental pillar of sustainability– A greater commitment from leadership– An increased alignment with strategic direction– Greater protection for the environment, with a focus on proactive

initiatives

– More effective internal and external communication, driven through a communications strategy

– Life-cycle thinking, considering each stage of a product or service, from development to end of life

– Emphasis on environmental performance and measurementISO 14001:2015 Transition

NSF-ISR will be working with each of you (our clients) to provide a smooth transition over the next three years to the new International Standard for Environmental Management. We are committed to ensuring that your organization understands the updated requirements and what steps your organization may need to take to achieve conformance. We have a number of resources available to help you through the transition:

– ISO 14001 Readiness Assessment – NSF-ISR ISO 14001 Webpage - keep up on the latest information regarding the standard and the transition process– ISO 14001:2015 Transition Webinars – NSF-ISR Guide to the ISO 14001:2015 Transition

ISO 14001:2004 certificates will not be valid after the 3-year transition period. Organizations looking for first-time ISO 14001 certification are encouraged to certify to ISO 14001:2015. Existing ISO 14001:2004 users encouraged to transition early to avoid a bottleneck at the end of the 3-year transition period, or any unforeseen challenges with maintaining certification.

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ISO 14001:2015 Upgrade Planner and Delta ChecklistInstructions:

1. Highlighted areas are to be completed by the Client Organization prior to the off-site review, or on-site Gap Analysis or Upgrade Audit, and submitted to the NSF-ISR Lead Auditor for review.

2. The Annex A - ISO 14001: 2015 vs. ISO 14001: 2004 Comparison Table has been provided at the end of this document for information and reference purposes only.3. Completion by the Client Organization should include the final statement of readiness for Upgrade by the Top Management of the Client Organization.4. The columns for “Planned Completion Date” and Responsibility” may be used by the Client Organization to develop their plan for upgrading their EMS to the requirements of ISO

14001: 2015.5. All other areas of the Checklist are required to be completed by the NSF-ISR Lead Auditor to confirm the effective implementation of the Client Organization’s ISO 14001: 2015

Environmental Management System.6. The Lead Auditor shall sign the appropriate sections at the end of the Checklist to indicate: whether the Client Organization is Ready/Not Ready for Upgrade Audit (Off-site review),

AND the final approval of the EMS in meeting the requirements of ISO 14001: 2015 (during the on-site Upgrade Audit)7. This checklist shall be submitted by the NSF-ISR Lead Auditor as one of the records of the ISO 14001: 2015 Upgrade for the Client Organization.

Organization Name:

Organization Address:

Number of Personnel:1st Shift:2nd Shift:3rd Shift:Temp./Part-time :

Other locations included in this registration:

Size of Facility:

Management Representative:

Name and Revision Status of EMS documentation:

Risk Category:

FRS Number:

Audit type:

Off-site Review Date (Desk Audit):

Audit Dates (on-site):

Lead Auditor / Audit Team:

Scope of Registration:

Environmental Aspects:The interval between the client Delta Review and the Upgrade Audit should not exceed 90 days.

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Question / RequirementLevel of

Completion0=Not Started10=Complete

Planned Completion

DateResponsibility

Reference Document(Name / Rev. Level)

ORRecords

NSF-ISR Lead Auditor Review Comments

4. CONTEXT OF ORGANIZATIONEvidence of determination of Understanding the Organization and its CONTEXT (4.1)Evidence of determination of INTERESTED PARTIES and their requirements (4.2)Did you determine the needs and expectations of your interested parties?Did you identify those that have become compliance obligations (requirements)?Evidence of review and verification for SCOPE of environmental management system (4.3)Did you define and document the scope of your environmental management system (EMS)?Evidence demonstrating environmental management system reflects requirements (4.4)5. LEADERSHIPEvidence of Leadership and Commitment of TOP MANAGEMENT (5.1)Evidence Environmental POLICY has been reviewed and is consistent with intent of ISO14001:2015 (5.2)Evidence that organizational ROLES, RESPONSIBILITIES & AUTHORITIES have been appropriately assigned, resourced and communicated. (5.3)6. PLANNING6.1 ACTIONS TO ADDRESS RISK & OPPORTUNITIESEvidence that RISKS AND OPPPORTUNITIES related to environmental aspects, compliance obligations and other issues have been identified and addressed. (6.1.1)Evidence that ENVIRONMENTAL ASPECTS of organizations activities, products and services that it has control over and it can influence along with environmental impacts have been determined (6.1.2)A LIFE CYCLE perspective of the

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Only those documents viewed through the AESOP system are officially controlled. All other copies, whether viewed through another computer program or a printed version, are not controlled and therefore NSF-ISR assumes no responsibility for accuracy of the document.

Question / RequirementLevel of

Completion0=Not Started10=Complete

Planned Completion

DateResponsibility

Reference Document(Name / Rev. Level)

ORRecords

NSF-ISR Lead Auditor Review Comments

environmental aspects has been considered (6.1.2)Established CRITERIA is documented and utilized to determine significant environmental aspects (6.1.2)SIGNIFICANT environmental aspects have been COMMUNICATED among the various levels and functions of the organization (6.1.2)Evidence that COMPLIANCE OBLIGATIONS relating to environmental aspects meet requirements of ISO 14001:2015 (6.1.3)Evidence that the organizations planning takes into consideration actions to address: significant environmental aspects; compliance obligations; risks and opportunities (6.1.4.a)Evidence that the organization’s planning process has the EMS integrated and implemented with other business processes (6.1.4.b)Evidence that ENVIRONMENTAL OBJECTIVES have been established that are consistent with the environmental policy, are MEASURABLE, MONITORED, COMMUNICATED & UPDATED as appropriate (6.2.1)Evidence of planning actions to achieve ENVIRONMENTAL OBJECTIVES, including: WHAT will be done; what RESOURCES will be required; WHO will be responsible; WHEN it will be completed; HOW results will be evaluated, including indicators for monitoring progress (6.2.2)Evidence that the organization has INTEGRATED its environmental objective into the organizations business processes. (6.2.2)7 SUPPORTEvidence that the organization has determined and provided RESOURCES needed for the establishment, implementation, maintenance and continual improvement of EMS (7.1)Evidence organization has a process in

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Only those documents viewed through the AESOP system are officially controlled. All other copies, whether viewed through another computer program or a printed version, are not controlled and therefore NSF-ISR assumes no responsibility for accuracy of the document.

Question / RequirementLevel of

Completion0=Not Started10=Complete

Planned Completion

DateResponsibility

Reference Document(Name / Rev. Level)

ORRecords

NSF-ISR Lead Auditor Review Comments

place to determine necessary COMPETENCE, necessary training and documented information to support competence supporting requirements of ISO 14001:2015. (7.2)Documented information supporting AWARENESS of persons working under the organizations control of environmental policy; significant environmental aspects; their contribution toward an effective EMS; understanding the benefits of enhanced environmental performance and implications of not conforming with EMS and fulfilling compliance obligations (7.3)Evidence that process for INTERNAL & EXETERNAL COMMUNICATIONS has been established consistent with ISO 14001:2015 (7.4)Evidence that DOCUMENTED INFORMATION is consistent with ISO 14001:2015 (7.5)8 OPERATIONEvidence that organization has established processes needed to meet EMS in operating process criteria and control of operating processes (8.1)Evidence organization has environmental requirements and impacts associated with established operational control for planned changes and outsources processes considering each life cycle stage of products, services and activities (8.1)Controls have been established to ensure Environmental requirements established for design, development processes for products, service, procurement of products and services (8.1. a & b)Communicated to external providers and contractors relevant environmental requirements? (8.1.c)Considered need to provide information about potential significant environmental impacts associated with transportation, delivery, use, end of life treatment and final disposal of it products and services (8.1.d)Evidence organization has emergency

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Only those documents viewed through the AESOP system are officially controlled. All other copies, whether viewed through another computer program or a printed version, are not controlled and therefore NSF-ISR assumes no responsibility for accuracy of the document.

Question / RequirementLevel of

Completion0=Not Started10=Complete

Planned Completion

DateResponsibility

Reference Document(Name / Rev. Level)

ORRecords

NSF-ISR Lead Auditor Review Comments

preparedness and response plans in place per ISO 14001:2015, (8.2)9 PERFROMANCE EVALUATIONEvidence that organization is MONITORING, MEASURING, ANALYZING AND EVALUATING environmental performance (9.1)Evidence that organization has an effective process for evaluation of compliance obligations fulfillment (9.1.2)Internal Audit Results (9.2)(using process-approach)- Full internal Audit to ISO 14001: 2015-inputs, outputs, performance to targets, process linkages / interactions.Records of Management Review (9.3) Completed to ISO 14001: 2015 requirements after completion of the Internal Audit.10 IMPROVEMENTEvidence of an effective process for taking action to correct nonconformity and the consequences of adverse environmental impacts (10.2)Evidence of effective continuous improvement of EMS to enhance environmental performance (10.2)Internal Audit Corrective Actions (10.2 d) completed. (including evidence of closure)Other Client Organization-specific information about the EMS (as determined by the Client Organization)

Note: This section is optional, and may be completed if there are unique aspects of the EMS that the Client deems important in demonstrating compliance to the ISO 14001:2015 Standard.

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Approval Name / Title Signature DateClient Organization Top Management attests readiness for Upgrade to ISO 14001: 2015NSF-ISR Lead Auditor Approval of Desk Audit information.NSF-ISR Lead Auditor Approval of Compliance to ISO 14001: 2015 at On-site Upgrade Audit.

The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement to the ISO 14001:2015 Audit Report

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New or Different in ISO 14001:2015 to ISO 14001:2004 Covered in ISO 14001:2004

ISO 14001:2015 New Section

Old Section ISO 14001:2004

Introduction 0 Background 0.1 Aim of Environmental Management systems 0.2

Success Factors 0.3 Plan-do-Check-Act Model 0.4 Contents of this International Standard 0.5 Scope 1 1 ScopeNormative References 2 2 Normative ReferencesTerms & Definitions 3 3 Terms & Definitions Term Related to Organization & Leadership 3.1 Terms Related to Planning 3.2 Terms Related to Support & Operation 3.3 Terms Related to Performance Evaluation & Improvement 3.4

Context of the Organization 4 Understanding the organization & its Context 4.1

Understanding the needs & Expectation of Interested parties 4.2

Determining the scope of the environmental management system 4.3 4.3

A.1Planning General Requirements

Environmental Management System 4.4 4.1 General Requirements Leadership (Title only) 5 Leadership & Commitment 5.1 Environmental Policy 5.2 4.2 Environmental PolicyOrganizational roles, responsibilities & authorities 5.3 4.4.1 Resources, Roles, responsibility & authority

Planning (title only) 6 4.3 Planning (title only)Actions to address risks & opportunities 6.1 General 6.1.1 Significant environmental aspects 6.1.2 4.3.1 Environmental AspectsCompliance Obligations 6.1.3 4.3.2 Legal & Other RequirementsActions to address Risks associated with threats & Opportunities 6.1.4

Planning to take Action 6.1.5 Environmental Objectives & Planning to achieve them 6.2 4.3.3 Objectives, targets & programme(s)

Environmental Objectives 6.2.1 4.3.3 Objectives, targets & programme(s)Planning Actions to achieve environmental objectives 6.2.2 4.3.3 Objectives, targets & programme(s)

New or Different in ISO 14001:2015 to ISO 14001:2004 Covered in ISO 14001:2004

ISO 14001:2015 New Section Old Section ISO 14001:2004Support (title only) 7 4.4 Implementation & Operation (title only)Resources 7.1 4.4.1 Resources, Roles, responsibility & authorityCompetence 7.2 4.4.2 Competence, training & awarenessAwareness 7.3 4.4.2 Competence, training & awarenessCommunications (title only) 7.4 4.4.3 CommunicationGeneral 7.4.1 4.4.3 CommunicationInternal Communication 7.4.2 4.4.3 CommunicationExternal Communication 7.4.3 4.4.3 CommunicationDocumented Information (Title Only) 7.5 4.4.4 DocumentationGeneral 7.5.1 4.4.4 DocumentationCreating & Updating 7.5.2 4.4.4 Control of Documentation 4.5.4 Control of RecordsControl of documented Information 7.5.3 4.4.5 Control of Documentation 4.5.4 Control of RecordsOperation (Title Only) 8 4.4 Implementation & Operation (title only)Operational Planning & Control 8.1 4.4.6 Operational ControlEmergency Preparedness & Response 8.2 4.4.7 Emergency Preparedness & ResponsePerformance Evaluation (Title only) 9 4.5 Checking (Title Only)Monitoring, Measurement, analysis & evaluation (title only) 9.1 4.5.1 Monitoring & Measurement

General 9.1.1 4.5.1 Monitoring & MeasurementEvaluation of Compliance 9.1.2 4.5.2 Evaluation of ComplianceInternal Audit 9.2 4.5.5 Internal AuditManagement Review 9.3 4.6 Management ReviewImprovement (Title only) 10

Nonconformity & Corrective action 10.1 4.5.3 Non conformity, corrective action & preventive action

Continual Improvement 10.2 Annex A: Guidance on the use of this International Standard A A Annex A: Guidance on the use of this

International StandardAnnex B: Correspondence between ISO 14001:2015 and ISO 14001:2004 B B Correspondence between ISO 14001:2004 &

ISO 9001:2000Bibliography BibliographyAlphabetical Index of Terms

Amendment Record

Version # Submitted Date Summary of Changes1 10/2015 Initial issue2 mm/yyyy Brief summary of item #’s and “changed from” and “changed to”3 07/2016 Added needs and expectations of interested parties, compliance obligations, and scope of EMS