Implementation Checklist for ISO 14001 2015 Transition

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Implementation checklist for ISO 14001:2015 transition Companies that implemented the 2004 version of ISO of ISO 14001 must make the transition to the 2015 version by September 2018. The new version of the standard brings a lot of changes, and all of them need to be identified and understood before the transition project can begin. For more information about the changes, see: Infographic: ISO 14001:2015 vs. 2004 revision – revision – What What has changed? Identifying changes is only the beginning; all of them need to be translated into a series of tasks and activities to be completed in order to achieve full compliance with ISO 14001:2015 (see also: 12 steps to make the transition from ISO 14001:2004 to 2015 revision) revision). Keeping an eye on what is done and what steps are ahead is crucial for the success of such projects – projects – therefore, we hope you’ll find this checklist useful .

What needs to be done?

Completed

Note

1) Define context of the organization Determine how to identify internal and

Determining context of the organization requires identifying all internal and

external issues.

external issues relevant to the EMS. Depending on size and complexity of the ☐

organization, you will need to decide who will be involved and how often the context shall be examined. For more information, see: Determining the context of the organization in ISO 14001. 14001.

Make a decision about documenting the requirement.

Considering that this is a new requirement, it can be beneficial to document the ☐

Procedure for Determining Context of the Organization and Interested Parties, Parties, which will define those elements of the context to be analyzed, who will take part in it, and how often the review will be conducted.

Identify internal and external issues.

The organization needs to determine internal and external issues that can affect ☐

the ability of the company to achieve its objectives; this can include the condition of the environment, environmental legislation, and customer requirements regarding environmental protection.

2) List all interested parties Identify interested parties relevant to the Implementation checklist for ISO 14001:2015 transition

☐

Interested parties can have a great impact on the organization, and it is ver [version] from [date]

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EMS.

important to determine who the interested parties are, as well as their needs and expectations regarding the organization’s EMS.

Determine relevant needs and expectations of the interested parties.

Interested parties can have different requirements regarding different aspects of ☐

the company. In regards to ISO 14001, it i s important only to identify needs and expectations that relate to the Environmental Management System.

Decide which of these needs and

Interested parties and their needs and expectations that the organization

expectations will become compliance

determines to be relevant to its EMS become compliance obligations, which the

obligations for the organization.

☐

organization must fulfill. These usually include environmental legislation and requirements of the customers. For more information about interested parties, see: How to determine interested parties according to ISO 14001:2015.

Make a decision about documenting interested parties and their needs and expectations.

The organization must monitor and review information about the interested ☐

parties and their relevant requirements. This is usually done by documenting a List of Interested Parties, Legal and Other Requirements and additionally, the organization can document the procedure that will describe the process in detail.

3) Review the scope of EMS Determine whether the changes in the

If the organization implemented the previous version of the standard several

company locations, processes, and products

years ago, it is possible that the document about the scope of the EMS has not

are reflected in the scope of the EMS.

been revised since, and the company o pened new branches, developed new ☐

products, or introduced new technologies. The transition is a good chance to review the scope and adapt it to the organization’s current needs. For more information, see: How to determine the scope of the EMS according to ISO 14001:2015.

Revise the document about the scope if necessary.

If there were any changes to the scope of the EMS, they need to be documented. ☐

The scope is usually documented in the EMS Manual, or in a separate document called the Scope of the Environmental Management System defining all activities, products, and services of the organization within the scope.

4) Leadership and review of the Environmental Policy The top management demonstrates Implementation checklist for ISO 14001:2015 transition

☐

Getting the top management involved in the EMS is one of the biggest challenges ver [version] from [date]


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commitment and leadership by taking

in the implementation and maintenance of the system. If the top management is

accountability for EMS effectiveness.

familiar with the benefits of ISO 14001 and knows what their responsibilities are, they are more willing to actively participate and commit to the EMS. For more information, see: What are the responsibilities of top management in the EMS according to ISO 14001:2015?

The EMS is integrated into the organization’s business processes.

The only way to ensure that the EMS is really implemented and applied is to ☐

integrate its activities with ev eryday business activities. The transition is a great opportunity to review existing EMS activities and see how to make them more simple and natural to the employees to ensure they are performed as defined.

Resources needed for EMS functioning are

The biggest problem with requirements regarding the leadership is that they

available.

cannot be met by simply writing the policy or procedure; they must be met by ☐

taking actions. The top management must provide sufficient resources in terms of human and financial resources for the operational controls that require them in order to ensure the effectiveness of the EMS.

Top management supports persons to

One of the most important roles of the top management in the EMS is to raise

contribute to the EMS and promotes

awareness and demonstrate to its employees that the EMS is important for the

continual improvement.

☐

company. If the top management doesn’t care abou t the EMS, neither will the employees. The top management must also support relevant management roles to demonstrate leadership in their areas of responsibility.

The Environmental Policy is appropriate to the purpose and context of the o rganization and provides a framework for setting EMS

The existing Environmental Policy needs to be updated to reflect the purpose and ☐

context of the organization and to provide a framework for setting the Environmental Objectives.

objectives. The Environmental Policy includes a

Requirements regarding the Environmental Policy haven’t changed significantly,

commitment to the protection of the

but the policy must be reviewed to ensure it contains a commitment to the

environment, including prevention of

☐

prevention of pollution, commitment to fulfillment of compliance obligations and

pollution, fulfillment of compliance

continual improvement. For more information about the policy, see: How to

obligations, and continual improvement.

write an ISO 14001 environmental policy.

Implementation checklist for ISO 14001:2015 transition

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The Environmental Policy is documented,

Once the policy is documented or the new version is published, it must be

communicated, and available to interested

communicated within the company so that the employees are aware of it, and it

parties.

☐

must be made available to interested parties. Making the policy available to interested parties includes publishing it on the company’s website or providing it to the interested party by request.

5) Align EMS objectives with the company’s strategy EMS objectives are established at relevant

The top management should be involved in defining environmental objectives.

functions and levels, taking into

The objectives should take into consideration the significant environmental

consideration significant environmental aspects, compliance obligations, and risks

☐

and opportunities.

aspects, compliance obligations, and risk and opportunities in order to be appropriate to the company and realistic. They should be defined at appropriate levels and functions in the company. For more information, see: Ensuring that environmental objectives are aligned with the company’s strategic direction .

EMS objectives are consistent with the

In order to contribute to the improvement of the EMS, the objectives need to be

Environmental Policy and the S.M.A.R.T.

aligned with the policy. They also need to be specific, measurable, achievable,

principle.

☐

realistic, and timed in order to enable the organization to evaluate whether they are achieved. For more information about the objectives, see: How to Use Good Environmental Objectives.

Actions to achieve the objectives are defined

Once the objectives are defined, the organization must define actions to e nsure

and the objectives are documented.

that the objectives will be achieved. Planning actions includes defining what will ☐

be done, who will do it, what resources are needed, and what the deadlines are. Plans for achieving the objectives are often documented in the record Environmental Objectives and Plans for Achieving Them.

6) Assess risks and opportunities Make a decision on the methodology for

The organization needs to determine risks and opportunities related to

identification of risks and opportunities.

environmental aspects, compliance obligations, and context of the organization. ☐

The standard doesn’t require the organization to adopt a methodology for risk assessment; however, it can be beneficial for bigger companies with more complex products, services, or processes. For more information about risks and




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opportunities, see: Risks and opportunities in ISO 14001:2015 – What they are and why they are important. Identify risks and opportunities.

Identification of risks and opportunities is not the same as identification of environmental aspects. The risks and opportunities should be observed on an organizational level of the company and its processes. The key is to determine ☐

what can jeopardize or enhance the environmental performance regarding environmental aspects, compliance obligations, or context of the organization. For more information, see: ISO 14001 risks and opportunities vs. environmental aspects.

Take actions to address risks and

The organization needs to take actions to address risks and opportunities in order

opportunities.

☐

to provide assurance that the EMS will deliver the intended results, prevent or reduce undesired effects, and continually improve the EMS. The actions should be integrated with EMS processes and evaluated for their effectiveness.

Make a decision on documenting risks and

The organization needs to document risks and opportunities to be addressed and

opportunities.

information about the process of i dentifying and addressing them. Depending on ☐

the methodology the company selected, different levels of documented information will be required. For small and mid-size organizations, it can be merged with the Procedure for Identification and Evaluation of Environmental Aspects and Risks.

7) Identify and evaluate environmental aspects Review existing methodology for

If the standard was implemented a long time ago, the transition can be a good

identification and evaluation of

chance to review the existing methodology for identification and evaluation of

environmental aspects.

☐

environmental aspects and see if it can be improved. Adopting a new methodology can help the organization to decrease the amount of documentation and create a more efficient process. For more information, see:4 steps in identification and evaluation of environmental aspects.

Examine lifecycles of products and services and identify environmental aspects in e ach Implementation checklist for ISO 14001:2015 transition

☐

The organization must examine the lifecycles of its products and services, determine environmental aspects, and define operational controls considering ver [version] from [date]


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phase of the cycle.

the influence the company has at different lifecycle stages. For more information, see: Lifecycle perspective in ISO 14001:2015 – What does it mean?

Document environmental aspects and

The organization is required to document criteria for determining significant

associated impacts, criteria for determining significant environmental aspects, and

aspects, and this is done with the Procedure for Identification and Evaluation of ☐

significant environmental aspects.

Environmental Aspects and Risks. Significant environmental aspects and the aspect evaluation are usually recorded in a document like this Process Aspects Chart.

8) Determine compliance obligations Determine and provide access to relevant

Identification of compliance obligations can be done as a part of identifying

compliance obligations.

interested parties and their needs and expectations, whereas the interested party will be the legislative authority, and needs and expectations will be ☐

compliance obligations. The organization also must provide access to the relevant compliance obligations, and this can be done by providing links to the relevant people of the relevant legislation. To find out more about legal requirements, see: Demystification of legal requirements in ISO 14001.

Determine how these compliance obligations apply to the organization.

As a part of determining compliance obligations, the organization will also have ☐

to determine how these obligatio ns apply to the organization and what processes and elements of the EMS must be updated to be aligned with the obligations. For more information, see: How to achieve regulatory compliance in ISO 14001.

Document the compliance obligations.

The organization needs to maintain documented information on its compliance ☐

obligations, and the easiest way to do it is through a List of Interested Parties, Legal and Other Requirements.

9) Control documented information Identify all requirements for documents and

With the change of the standard came the change in documentation

records.

requirements. Most of the existing documentation can still be used in t he EMS, ☐

but it is important to identify the documents that are not mandatory anymore and to make a decision on whether to keep them as a part of your EMS. At the same time, there are some new documentation requirements, and they also




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need to be taken into account when making the transition. For more information about documentation requirements, see: List of mandatory documents required by ISO 14001:2015. Revise and update the existing document and

The new version of the standard has more precise requirements regarding

record control process.

document and record control. It defines requirements for creating and updating ☐

documents, and the retention and disposition of the documents. The existing document and record control process needs to be reviewed to determine whether it is compliant with the new version of the standard. For more information, see: A new approach to documented information i n ISO 14001:2015.

Revise and update existing EMS

All documentation must be updated; some of it will require comprehensive

documentation.

changes, but others will only need a change in reference to the clause of the standard. Regardless of the level of changes required, it is also beneficial to ☐

review all documents and discard redundant parts of the documentation. Download a free preview of the ISO 14001:2015 Transition Toolkit to gain some perspective on the amount of changes needed on the existing EMS documentation.

10) Operational control Review and update existing operational

The organization needs to review existing operational controls to determine

controls.

whether they are aligned with the new requirements of the standard, and update ☐

them accordingly. Also, if a new methodology for identification and evaluation of environmental aspects is adopted, and new significant aspects emerge, the company needs to establish controls for those aspects. For more information, see: Defining and implementing operational control in ISO 14001:2015.

Control or influence outsourced processes.

Outsourced processes also need to be under control. Depe nding on the ☐

relationships with the suppliers or subcontractors, the type and extent of the controls may vary, but they must be established.

Establish operational controls consistent with the lifecycle perspective. Implementation checklist for ISO 14001:2015 transition

☐

The organization must establish operational controls at appropriate stages of the lifecycle to prevent or reduce environmental impact. In some stages, the ver [version] from [date]


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company has the full control, but when the product reaches the customer, the control is significantly reduced. In any case, the company has to do its best to decrease the impact on the environment. For more information, see: Defining and implementing operational control in ISO 14001:2015. Communicate relevant environmental

Once the company has established the control of outsourced processes,

requirements to suppliers and contractors.

products, and services, it needs to communicate its requirements to suppliers ☐

and contractors to make sure they are received and understood. This can be done by contract, training, or awareness-raising sessions for suppliers and contractors.

Make a decision on documenting operational controls.

Documenting operational controls can be done in different ways: the company ☐

can either document the Procedure for Operational Control of Significant Environmental Aspects, or amend the process procedures with requirements fo r operational controls.

11) Environmental performance Establish Key Performance Indicators (KPIs)

The company needs to monitor, measure, analyze, and e valuate its

for the EMS.

environmental performance. To do so, t he company must determine the Key ☐

Performance Indicators that will show the condition o f the EMS and point out the weaknesses of the system. For more information, see: How to define EMS key performance indicators (KPIs) according to ISO 14001.

Determine methods for monitoring and measuring.

When the KPIs are defined, the company must determine how those KPIs will be ☐

monitored, measured, and evaluated. For more information, see: Environmental performance evaluation.

Monitor the KPIs.

As part of monitoring and measuring, the company must determine their frequency. The results of monitoring and measuring o f the KPIs are important ☐

inputs for later management review and improvement of the EMS. For more information, see: 5 Tips to improve your environmental management system performance.

12) Measuring and reporting Implementation checklist for ISO 14001:2015 transition



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Conduct an internal audit.

The internal audit process will be the same as it was in the previous version of the standard, but the requirements to be audited will be different. The standard ☐

doesn’t require internal auditors to get additional certificates for ISO 14001:2015 , but it can be beneficial for internal auditors to take an ISO 14001:2015 Internal Auditor Course to become familiar with the standard and refresh their knowledge on auditing.

Conduct the management review.

The management review process will stay the same; the only difference is that the inputs and outputs of the management review have changed. There are now additional requirements for reviewing context of the organization, as well as the ☐

effectiveness of actions taken to address ri sks and opportunities, define opportunities for improvement, and improve integration of the EMS with other business processes. For more information on management revie w, see:The importance of management review i n the ISO 14001:2015 process.

Conduct corrective actions.

In case of nonconformities during the internal audit, or if the management review resulted in opportunities for improvement, the corrective actions need to be ☐

initiated and conducted to achieve full compliance with the standard and improve the EMS. For more information, see: How to proceed once a corrective action is initiated in the EMS.

Sample documentation You can download an ISO 14001:2015 Transition Documentation Toolkit. This will allow you to see a sample of the policies and procedures required to make the transition to the ISO 14001:2015 standard and see what changes should be made to your existing documentation.




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Implementation Checklist for ISO 14001 2015 Transition

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