ISO 14001:2015 Stage 1 Audit & Transition Review / Audit Checklist Page 1 of 4

ISO 14001: 2015 Clause New Mandatory Documented Information or requirement Complies
requirement documentation Yes/No
4 Context of the organization Evidence of the consideration of:
4.1 Understanding the organization Environmental conditions
and its context Natural resource availability biodiversity, etc., that
The organization shall determine can either affect the organization’s purpose, or be
external and internal issues that are affected by its environmental aspects
relevant to its purpose and that affect its Yes Not specified in The external cultural, social, political, legal,
ability to achieve the intended this clause regulatory, financial, technological, economic,
outcome(s) of its environmental natural and
management system. Those issues competitive context, whether international, national,
include environmental conditions regional or local;
capable of affecting or being affected by The internal characteristics or conditions of the
the organization. organization, such as its activities, products and
services,
Strategic direction, culture and capabilities (people,
knowledge, processes, systems).
4.2 Understanding the needs and Customers
expectations of interested parties Contract/order requirements
The organization shall determine: Suppliers
The interested parties that are relevant information
to the environmental management Employees,
system Adequate job information/
The relevant needs and expectations environment/equipment/training
(i.e. requirements) of these interested Yes Not specified in Regulators
parties; this clause Evidence/records of conformity
which of these needs and expectations Neighbours/public
become compliance obligations Consideration of noise/emissions
Shareholders
Good return on investment
4.3 Determining the scope of the Documented scope to include, activities, products
environmental management system and services that can have significant environmental
The organization shall determine the Yes Yes aspects.
boundaries and applicability of the Should be made available to interested parties
environmental management system to
establish its scope.
4.4 Environmental management
system
The organization shall consider the The following processes need to be considered –
knowledge of its context when Not specified in Design – Procurement – Human resources – Sales
establishing and maintaining the EMS Yes this clause etc.
5 Leadership
5.1 Leadership and commitment
Top management shall demonstrate Top management need to demonstrate their
leadership and commitment with respect methods and commitment regarding, communication
Yes Not specified in of EMS requirements and their methods for
to the environmental management
this clause providing resources and support for relevant roles
system. Ensuring that policy and and responsibilities.
objectives are relevant to the strategic
direction and the context of the
organization. Ensuring the integration of
the environmental management system
requirements into the organization’s
business processes. Directing and
supporting persons to contribute to the
effectiveness of the environmental
management system. Supporting other
relevant management roles to
demonstrate their leadership as it
applies to their areas of responsibility.
5.2 – Environmental policy
Top management shall establish, Policy Statement.
implement and maintain an Yes Yes (Reference to reviewing objectives has been
environmental policy removed).
Made available to interested parties
5.3 Organizational roles, Not specified in Confirmation of the communication of roles and
responsibilities and authorities No this clause responsibilities
Top management shall ensure that the
responsibilities and authorities for In all but name an Environmental Management
relevant roles are assigned and Representative is still required
communicated. Ensuring that the
environmental management system
conforms to the requirements of this
International Standard and reporting on
the performance of the environmental
management system, to top
management
 ISO 14001:2015 Stage 1 Audit & Transition Review / Audit Checklist Page 2 of 4

ISO 14001: 2015 Clause New Mandatory Documented Information or requirement

requirement documentation
6 Planning The organization shall maintain documented
6.1 Actions to address risk information to the extent necessary to have
associated with threats and confidence that the process has been carried out as
opportunities planned.
6.1.1 General Yes/No Yes - Consideration of threats to the EMS,
The organization shall plan and - Aspects Register
implement a process to meet the - Legal Register
requirements in 6.1. - Objectives programme
When planning for the environmental
management system in 6.1 (i.e. 6.1.2 -
6.1.4), the organization shall consider
the issues referred to in 4.1 and the
requirements referred to in 4.2.
6.1.2 Significant environmental
aspects
Considering a life cycle perspective Yes Yes ‘Aspects Register’
Identified abnormal and potential
emergency situations The assessment criteria used, needs to be recorded
The organization shall communicate its
significant environmental aspects among
the various levels and functions of the
organization
6.1.3 Compliance obligations
The organization shall:
Identify and have access to the ‘Legal Register’
compliance obligations related to its Yes Yes
environmental aspects; To include how legislation applies to the company
Determine how these compliance
obligations apply to the organization.
The organization shall maintain
documented information of its
compliance obligations.
6.1.4 Risk associated with threats and Aspects Register
opportunities Legal Register
The organization shall determine the risk Objectives programme
associated with threats and opportunities
that needs to be addressed to: The objectives programme may need to contain
Give assurance that the environmental more evidence of the actions required to address
management system can achieve its Yes Yes risk to:
intended outcome(s); - Aspects
Prevent, or reduce, undesired effects, - The Business/organisation
including the potential for external or EMS
environmental conditions to affect the - Improvements
organization - Meeting legal requirements
Achieve continual improvement
6.1.5 Planning to take action
The organization shall plan: Plan/evaluate
To take actions to address risk Management review analysis – Internal audit reports
associated with threats and opportunities Yes Not specified in Objectives Programme –
(see 6.1.4), significant environmental this clause
aspects (see 6.1.2) and compliance Actions
obligations (see 6.1.3); Operational control procedures
How to: Emergency procedures
Integrate and implement the actions into EMS training/awareness
its environmental management system
processes and evaluate the
effectiveness of these actions.
6.2 Environmental objectives and
planning to achieve them
6.2.1 Environmental objectives
Considering the risk associated with
threats and opportunities. Yes Yes Possible objectives programme
Shall be communicated (The
consideration of the views of interested
parties has been removed)
6.2.2 Planning actions to achieve
environmental objectives Possible Objectives Programme
How the results will be evaluated,
including indicators for monitoring Yes Not specified
progress toward achievement of within this clause Management review
measurable environmental objectives
(see 9.1.1).I Operational control procedures
The organization shall consider how the Methods of working
actions to achieve environmental Employee responsibilities and/or
objectives can be integrated into the involvement/awareness
organization’s business processes
ISO 14001: 2015 Clause New Mandatory Documented Information or requirement
requirement documentation
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7 Support
7.1 Resources
7.2 Competence
The organization shall determine and Training requirements review
provide the resources needed for the No Yes General competency records-
establishment, implementation, Auditor training
maintenance and continual improvement Equipment requirements
of the environmental management
system
7. 3 Awareness
Persons doing work under the
organization’s control shall be aware of:
The environmental policy; Communication of
The significant environmental aspects - Policy
and related actual or potential impacts Yes Not specified in - Aspects/Impacts
associated with their work this clause - Legal requirements
Their contribution to the effectiveness of - Incidents
the environmental management system,
including the benefits of enhanced
environmental performance;
The implications of not conforming with
the environmental management system
requirements including compliance
obligations
7.4 Communication
7.4.1 General
The organization shall plan and
implement a process for internal and Yes Yes Evidence of communications
external communications. Internal and External
What it will communicate? (See next clause requirements)
When to communicate?
With whom to communicate?
How to communicate?
(Should consider Compliance
obligations)
7.4.2 Internal communication
Including changes to the environmental Could include-
management system, as appropriate
Ensure its communication process Notice-boards
enables any person doing work under Yes Not specified in Tool box talks
the organization's control to these clauses News Letters
Contribute to continual improvement. Bulletins
7.4.3 External communication Reviews
The organization shall externally Meetings
communicate information relevant to the Complaints
environmental management system, as Interested parties feedback
determined by its communication
process and as required by its
compliance obligations.
7.5 Documented information
7.5.1 General
7.5.2 Creating and updating As deemed necessary for the size and complexity of
When creating and updating No None specified in the organisation/activities and the competence of
documented information the organization these clauses persons
shall ensure appropriate:
identification and description (e.g. a title, Evidence that documentation is identified and
date, author, or reference number); controlled.
format (e.g. language, software version,
graphics) and media (e.g. paper,
electronic); review and approval for
suitability and adequacy
7.5.3 Control of documented
information
Documented information required by the No Not specified in Evidence that records are adequately stored etc.
environmental management system and this clause and documentation/changes are version controlled
by this International Standard shall be
controlled to ensure:
it is available and suitable for use, where
and when it is needed
8 Operation Controls can include engineering controls,
8.1 Operational planning and control procedures, documented procedure, etc. They can
The organization shall plan, implement As required. to be implemented following a hierarchy (e.g.
and control the processes needed to ensure that elimination, substitution, administrative) and can be
meet environmental management Yes processes have used singly or in combination
system requirements, and to implement been carried out
the actions determined in 6.1 and 6.2 as planned Could also be any monitoring results/data and
Consistent with a life cycle perspective internal audits
Requirements are considered in the
design process for the development,
 ISO 14001:2015 Stage 1 Audit & Transition Review / Audit Checklist Page 4 of 4

delivery, use and end-of-life treatment of

its products and services
8.2 Emergency preparedness and
response ‘Procedure’ required to be in place and subject to
The organization shall establish and review.
implement a procedure specifying how it No Not specified in
will respond to potential environmental this clause Periodic testing to be carried out
emergency situations and accident
ISO 14001: 2015 Clause New Mandatory Documented Information or requirement
requirement documentation
9 Performance evaluation
9.1 Monitoring, measurement, Criteria and indicators to be determined for
analysis and evaluation measuring EMS performance
9.1.1 General Yes Yes
9.1.2 Evaluation of compliance Records of all monitoring, measuring and evaluation
The organization shall determine what results, including, management review, compliance
needs to be monitored and measured and calibration
and when to it will monitor and measure
9.2 Internal Audit
9.2.1 – 9.2.2 Yes Yes Audit programme required, to consider risk
associated with threats and opportunities
The organization shall conduct internal
audits at planned intervals to provide
Audits to be recorded
information on the environmental
management system
9.3 Management Review Reviews to be recorded.
Top management shall review the Should include the significant environmental aspects
organization's environmental Yes Yes and risk associated with threats and opportunities
management system, at planned Outputs from the review to include:
intervals, to ensure its continuing Any implications for the strategic direction of the
suitability, adequacy and effectiveness. organization.
10 Improvement To include:
10.1 Nonconformity and corrective - Immediate action
action No Yes - Root cause
When a nonconformity occurs, the - Mitigation
organization shall react to the - Nature of the nonconformities and any
nonconformity subsequent actions taken
- The results of any corrective action.
10.2 Continual improvement General:
The organization shall continually New clause Not specified in - Objectives programme
improve the suitability, adequacy and but not really this clause - Management Review
effectiveness of the environmental any new - Data collection/analysis
management system to enhance requirements - Periodic testing/actions
environmental performance - Internal audits
- Evaluation of compliance
- Incident reporting