ISO 14001:2015

CLIENT TRANSITION CHECKLIST

Instructions for Client: Please complete the checklist below and one full internal audit against the ISO 14001:2015 requirements prior to
your organizations audit. Once the form is completed, forward it to your Auditor and admin@cacs.net.au as a word document prior to the
assessment. Please ensure that the completed checklist and internal audit records are available to your auditor prior to commencement of
your assessment.

If you are not able to complete this document, it is a strong indicator that your organization may not be ready to transition to ISO 14001:2015.
In this case, please inform both your auditor and CACS admin that you need additional time and resources to prepare for the transition
and they will work with you. It may be of benefit to select a mutually agreeable date for a CACS auditor to conduct a gap analysis and
complete the transition checklist for you on site at a greatly reduced daily rate of $700.
New Concepts & Themes: Please complete the tables below which highlight some of the new concepts and themes present in ISO
14001:2015. These concepts will bridge multiple processes, clauses and functional areas. Ensure that these new concepts have been
deployed in a manner that supports the process approach and risk based thinking.
IMPORTANT NOTE! Please attach and submit (together with this completed checklist) all relevant documentation and or records to
support any conformity claims including reference where applicable.

1: Significant New Requirements Checklist:

Concept/ Phase New Clause Activity Evidence to Support Conformance -
Theme Requirement Reference & attach documents & or
Records
Plan Understanding 4.1 Has the organization determined
The internal and external issues relevant
organization to its purpose; including
and its context environmental conditions affected
by or capable of affecting the
organization?
Plan Understanding 4.2 Has the organization determined
the needs and which interested parties are relevant
expectations to the EMS; including the relevant
of interested needs and expectations of these
parties parties it will adopt as compliance
Strategic obligations?
environmental Plan do Leadership 5.1 Is the strategic direction and context
planning, check commitment 5.2 of the organization being utilized as
business 6.1.1 an input to the Environmental Policy
process 6.1.4 / Objectives / Addressing Risks and
integration 6.2.2 Opportunities/Planning and
and intended 9.3 Management Review processes?
outcomes Act Improvement 4.1 Are actions to achieve
-General; 6.2.1 environmental objectives and
continual 10.1 intended outcomes incorporated
improvement 10.3 into business processes, and being
updated as necessary in response
to changes?
Plan do Understanding 6.1.1 When establishing the EMS and
check the 6.1.4 managing change, have risks to
organization 9.3 achieving intended outcomes been
and its context 6.1.1 identified? Has the org planned
6.1.4 actions to address its risks and
9.3 opportunities?
Plan do Understanding 6.1.1 Has the organization established
the needs and 8.1 necessary controls needed to meet
expectations identified EMS requirements (8.1),
of implemented actions to address
interested risks (6.1.1), while considering the
parties life cycle perspective?
Act Leadership 10.1 Following analysis and corrective
commitment 10.3 action is there evidence that
process risks have been updated?
Strategic Plan Do Environmental 5.2 Does the policy include a commitment
environmental policy; 6.1.2 to the protection of the environment &
planning, Aspect 8.1 is it available to interested parties? Is
business determination; the organization considering a life
process Operational cycle perspective when determining
integration and planning and the aspects & the associated
intended control operational controls for its activities,
outcomes products / services (including those
outsourced), which it can control or
influence?
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Control of this document is done electronically via head office and is the responsibility of the Managing Director and when printed is to be treated as uncontrolled.
 ISO 14001:2015
CLIENT TRANSITION CHECKLIST

2: Significant Clause Requirements Change Checklist:

Description 2004 2015 Description of Change Evidence to Support Conformance -
Reference & attach documents & or
Records
General 4.1 4.3, The Scope has been assigned its own clause
Requirements 4.4 with specific requirements, including being
& Scope available to interested parties. The
environmental Management system shall
consider knowledge gained in 4.1 & 4.2 when
being established and maintained.
Environmental 4.2 5.2 Does the policy support the strategic direction
Policy of the organization? Does it commit to the
protection of the environment? Is it available to
interested parties?
Legal and 4.3.2 6.1.3 Gives equal weighting to voluntary and
other mandatory compliance obligations.
requirements
Objectives, 4.4.3 6.2.2 The organization shall consider how actions to
Targets achieve environmental objectives can be
and programs integrated into the organizations business
processes and consider risks and
opportunities.
Communication 4.4.3 7.4.1, Has the organization established a
7.4.2, communication process according to the
7.4.3 requirements of 7.4?
Operational 4.4.6 8.1 Have controls or influence been applied to
Planning outsourced processes as defined within the
and control EMS? A.8.1 defines an outsourced process.
Have controls been established which consider
each stage of a product or service life cycle?
Does the EMS include controls for planned
changes & mitigate adverse effects of
unintended changes?
Monitoring, 4.5.1, 9.1 Does retained documentation include evidence
measurement, 4.5.2 of analysis and evaluation of its environmental
analysis and performance, as applicable?
evaluation

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 ISO 14001:2015
CLIENT TRANSITION CHECKLIST

3: Minimum Documentation Requirements Checklist:

(Documented information is new term and is defined in 3.3.2) - Documentation requirements are defined in Section 7.5
Clause Statement of Requirement Evidence to Support Conformance
Reference & attach documents & or Records
4.3 The Scope shall be maintained as documented information and available
to interested parties.
5.2 The environmental Policy shall be maintained as documented information

6.1.1 The organization shall maintain documented information of its:

1. Risks and opportunities that need to be addressed
2. Processes needed in Section 6 to the extent necessary to have
confidence they are carried out as planned.
6.1.2 The organization shall maintain documented information of its:
1. Environmental aspects and associated environmental impacts
2. Criteria used to determine its significant environmental aspects
3. Significant environmental aspects
6.1.3 The organization shall maintain documented information of its compliance
obligations
6.2.1 The organization shall maintain documented information on the
environmental objectives
7.2 The organization shall retain appropriate documented information as
evidence of competence
7.4.1 The organization shall retain documented information as evidence of its
communication as appropriate
7.5.1 The organizations environmental management system shall include:
a. Documented information required by this (14001:2015) international std
b. Documented information determined by the organization as being
necessary for the effectiveness of the environmental management system
8.1 The organization shall maintain documented information to the extent
necessary to have confidence that processes have been carried out as
planned.
8.2 The organization shall maintain documented information to the extent
necessary to have confidence that process(es) is (are) carried out as planned
9.1.1 The organization shall retain appropriate documented information as
evidence of the monitoring, measurement, analysis and evaluation results.
9.1.2 The organization shall retain documented information as evidence of the
compliance evaluation result(s)
9.2.2 The organization shall retain documented information as evidence of the
implementation of the audit program and the audit results.
9.3 The organization shall retain documented information as evidence of the
results of management reviews.
10.2 The organization shall retain documented information as evidence of:
1. The nature of the non-conformities and any subsequent action taken
2. The results of any corrective action.

Organisation Name Completed by Contact details Date

Additional Client comments:

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Control of this document is done electronically via head office and is the responsibility of the Managing Director and when printed is to be treated as uncontrolled.
 ISO 14001:2015
CLIENT TRANSITION CHECKLIST

OFFICE USE ONLY

This self-assessment checklist must be reviewed by a competent CACS assessor prior to attending site
to conduct a certification upgrade assessment. This review must be done in combination with the
review of the clients internal audit completed against the requirements of ISO 14001:2015. If
deficiencies are detected these must be validated on site before a certification upgrade is made. Both
this self-assessment checklist and internal audit is to be utilised during the any upgrade assessments.

Auditor/Team Evaluation Summary

Have all appropriate Are there any deficiencies Senior Management Management System
ISO 14001:2015 Clauses detected requiring additional committed development
been considered. time on site

CHOOSE OPTION CHOOSE OPTION CHOOSE OPTION CHOOSE OPTION

Auditor Signoff

Auditor Signature Date Comments

Position
Lead Auditor
[Date] select certification recommendation
Select Name

Reviewer Signoff
Recommendation to Upgrade to:

[Select Standard]

is CHOOSE OPTION

Approver Signature Date Comments

Position
Select Position
[Date] Process as per Certification Approval CA P 40
Select Name
General Manager Checklist and supplied records and Associated
[Date]
James Alister Documentation Complies with CACS Req.

Deficiencies Detected for review during the on-site upgrade assessment.

Important Note!
Areas of Concern as detailed below are to be validated on site before an upgrade recommendation is made.
Standard Details
Reference
Environment 2015

Environment 2015

Environment 2015

Environment 2015

Additional Auditor Comments:

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Effective 05-06-2016 Rev A C 02 - Approved by Managing Director
Control of this document is done electronically via head office and is the responsibility of the Managing Director and when printed is to be treated as uncontrolled.