Table of

Contents &
Instructions

Instructions:
1.       Highlighted areas of sheets (use navigation at bottom) 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 has been provided at the end of this document for information and reference purposes only,
and includes a comparison of ISO 14001 and RC14001 versions (Annex I) and the Process & Product Safety
Codes (Annex II).
3.       Completion by the Client Organization should include the final statement of readiness for Upgrade by
the Top Management of the Client Organization.
4. Items in black font correspond to ISO 14001:2015 and those in blue correspond with special requirements
associated with RC 14001:2015.
5.       The columns for “Planned Completion Date” and “Responsibility” may be used by the Client
Organization to develop their plan for upgrading to the requirements of RC14001:2015.
6.       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 RC14001:2015 Management System.
7.       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
RCMS in meeting the requirements of RC14001:2015 (during the on-site Upgrade Audit)
8.       This checklist shall be submitted by the NSF-ISR Lead Auditor as one of the records of the
RC14001:2015 Upgrade for the Client Organization.

Contents
(hyperlinks)

Overview of RC14001
General Information about your Organization Info needed

RC14001 Checklist Info needed

Approvals Info needed

Annex I - Comparison of Standard Versions

Annex II - Responsible Care Member Info
 General Information Back to CONTENTS

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

Other locations included in this

registration:

Size of Facility:
Management Representative:
Name and Revision Status of
RC14001 documentation:
Risk Category:
FRS Number:
Audit type:
Off-site Review Date (Desk
Audit):
Audit Dates (on-site):
Lead Auditor / Audit Team:
Scope of Registration:
American Chemistry Council (ACC)
Responsible Care Member or Partner?

If yes to above, your organization must implement the RC 14001:2015, Product, and Processs Safety Codes as an obligation of membership.
(see tabs below for Process and Product Safety)
Significant Environmental
Aspects:
Occupational Health & Safety
Hazards & Risks:
Process Safety Hazards & Risks:
Security Issues:
The interval between the client Delta Review and the Upgrade Audit should not exceed 90 days.

After this page, please go to the RC14001 Checklist tab

RC 14001:2015 specific requirements are in shaded cells. The Technical specification includes all

Question / Requirement
Environmental Occupational Health &
Evidence of determination Considerations Safety Considerations
of:

Did you identify the internal &

Did you identify the internal &
4.1 Understanding the external occupational health &
external environmental conditions
Organization and its CONTEXT safety conditions that are relevant
that are relevant to the organization?
to the organization?

4.2 Understanding Needs & Did you identify those who are Did you identify those who are
Expectations of Interested interested in your environmental interested in your OH&S
Parties: performance performance

relevant to environmental
Did you determine the needs and relevant to OH&S performance
performance
expectations of your interested
parties?

Did you identify those that have Environmental OH&S

become compliance obligations
(requirements)?

4.3 Determining the scope of the Boundaries, products, services and Boundaries, products, services and
environmental management activities from an environmental activities from a OH&S
system: perspective? perspective?

Did you define and document the applies applies

scope of your environmental
management system (EMS)?

5.1 Leadership and Commitment:

Evidence of Leadership and environmental focus occupational health & safety focus
Commitment of TOP
MANAGEMENT (5.1)

j) recognizing the Responsible Care

environmental focus occupational health & safety focus
related performance of employees

Evidence Environmental POLICY

has been reviewed and is
protection of environment, prevention any specific commitments related
consistent with intent of both ISO
of pollution to OH&S
14001:2015 and RC14001:2015
(5.2)

5.2 Environmental Policy

promote openness with interested promote openness with interested
f) promote openness with
parties parties
interested parties
The Technical specification includes all requirements of ISO 14001

Process Safety &

Product Safety Security Considerations
Considerations

Did you identify the internal &

Did you identify the internal &
external process safety &
external security conditions that
product safety conditions that
are relevant to the organization?
are relevant to the organization?

Did you identify those who are Did you identify those who are
interested in your process safety interested in your security
& product safety performance performance?

relevant to Process Safety &

relevant to security performance
Product Safety performance

Process Safety & Product Safety

Security
Considerations

Boundaries, products, services

Boundaries, products, services
and activities from a Process
and activities from a security
Safety & Product Safety
perspective?
perspective?

applies applies

Process Safety & Product Safety

security focus
Considerations

Process Safety & Product Safety

security focus
Considerations

any specific commitments

any specific commitments related
related to Process Safety and
to security
Product Safety

promote openness with promote openness with

interested parties interested parties as appropriate
uirements of ISO 14001 Back to CONTENTS

Level of Completion
0=Not Started to
10=Complete Reference
E=Environmental (0-10) Planned Document
OHS=Occupational Health & Completion Responsibility (Name / Rev. Level)
Safety (0-10) Date OR
PPS=Process Safety & Records
Product Safety (0-10)
SC=Security (0-10)

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

CEO Attestation -- Executive Contact Affirmation Statement of Product Safety Code Implementation, signed/dated statement by ACC Executive Contact AND Responsible Care
"In accordance with the implementation schedule, our company attests that the following management practices are in place as part of our processes and systems related to
stewardship performance" -- Auditor needs to get copies between 2014-2016 (ACC Webinar July 2013 -double check date and title here)

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=
 NSF-ISR Lead Auditor Review Comments

E=
OHS=
PPS=
SC=

E=
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PPS=
SC=

E=
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PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

ned/dated statement by ACC Executive Contact AND Responsible Care Coordinator, stating
t practices are in place as part of our processes and systems related to product safety and
16 (ACC Webinar July 2013 -double check date and title here)

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=
5.2 Environmental Policy
g) reflect a commitment to the any specific commitments related
may use other words
Responsible Care Guiding to OH&S
Principles

Evidence that organizational

ROLES, RESPONSIBILITIES &
reporting on your organization's
AUTHORITIES have been reporting on OH&S performance
environmental performance
appropriately assigned, resourced
and communicated. (5.3)

6.1 ACTIONS TO ADDRESS RISK

& OPPORTUNITIES

Evidence that RISKS AND

OPPPORTUNITIES related to Document environmental risks and Documented OH&S hazards, risks
environmental aspects, compliance opportunities and associated impacts
obligations and other issues have
been identified and addressed.
(6.1.1)

Within the scope of the EMS,

determine potential emergency
Environmental focus OH&S focus
situations, including those that can
have an environmental impact

Monitor emerging occupational

6.1 Actions to address risk and
opportunities
The organization shall monitor
emerging concerns relevant to the
organization’s business
health & safety concerns relevant
to the organization’s business for
environmental concerns
on-going proactive identification of
hazards arising from routine and
non-routine activities and situations

6.1.2 Evidence that

ENVIRONMENTAL ASPECTS of
organizations activities, products Documented environmental aspects
Documented OH&S hazards, risks
and services that it has control over and associated environmental
and associated impacts
and it can influence along with impacts
environmental impacts have been
determined (6.1.2)

SIGNIFICANT environmental
aspects have been applies applies
COMMUNICATED among the
various levels and functions of the
organization (6.1.2)

A LIFE CYCLE perspective of the

environmental aspects has been applies applies
considered (6.1.2)

Established CRITERIA is
Document criteria and
documented and utilized to Document criteria and organization's
organization's significant OH&S
determine significant environmental significant environmental aspects
aspects
aspects (6.1.2)
any specific commitments
any specific commitments related
related to Process Safety and
to security
Product Safety

reporting on process safety and reporting on security

product safety performance performance

Documented Process Safety &

Document security risks and
Product Safety hazards, risks
opportunities
and associated impacts

Process Safety & Product Safety Security focus

Monitor emerging
process/product safety concerns
relevant to the organization’s
business for on-going proactive Security concerns
identification of hazards arising
from routine and non-routine
activities and situations

RC 14001 Interpretive Notes (e):

Documented process/product
safety hazards, risks and
associated impacts
Security/Security Sensitive
Information - (General) Security
Related information may be
subject to access controls, either
regulatory or voluntary.
Organizations ensure that
sufficient access to security
information, subject to proper
control and supervision is
provided during required internal
and/or external audits of the
management system.

applies applies

applies applies

Document criteria and Document criteria and

organization's for Process Safety organization's significant
& Product Safety environmental aspects
E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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PPS= PPS= PPS= PPS=
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E= E= E= E=
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PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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PPS= PPS= PPS= PPS=
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E= E= E= E=
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PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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Change, including planned or new
or modified activities, products & include environmental
Services

Abnormal conditions and

include environmental include OH&S
emergency situations

6.1.2 Environmental Aspects

The organization shall: OH&S risks for community
Ø  Assess & prioritize Environmental risks
associated with transportation risk
transportation risk

6.1.2 Environmental Aspects

The organization shall maintain
current information related to
hazards and risks for: applies applies
o Products; Chemical-related
processes; and Activities
associated with its operations

6.1.2 Environmental Aspects

The organization shall take into account
Operational energy efficiency and
waste minimization, reuse, and applies applies
recycling when identifying its aspects
and impacts

6.1.3 Evidence that COMPLIANCE Documented information of

Documented information of OH&S
OBLIGATIONS are determined environmental compliance
compliance obligations
related to environmental aspects obligations

6.1.4 - Planning: Evidence that the

organizations planning takes into
How to ensure that the EMS How to ensure that the RC-14001
consideration actions to address:
achieves its intended outcomes - achieves its intended outcomes -
significant environmental aspects;
environmental OH&S
compliance obligations; risks and
opportunities

Evidence that the organization’s

planning process has the EMS
How these actions are integrated How these actions are integrated
INTEGRATED and implemented
with business processes with business processes
with other business processes
(6.1.4.b)

6.2.1- Evidence that

ENVIRONMENTAL OBJECTIVES
have been established that are
consistent with the environmental Environmental objectives OH&S objectives
policy, are MEASURABLE,
MONITORED, COMMUNICATED &
UPDATED as appropriate

6.2.2 -Evidence of planning actions

to achieve ENVIRONMENTAL
OBJECTIVES, including: WHAT
will be done; what RESOURCES
Documented plans to achieve your Documented plans to achieve your
will be required; WHO will be
environmental objectives OH&S objectives
responsible; WHEN it will be
completed; HOW results will be
evaluated, including indicators for
monitoring progress
include Process Safety &
include security
Product Safety

Process Safety/Product Safety

Process Safety/Product Safety
transportation risks for
risks for community associated
community associated with
with transportation risk
Security

applies applies

applies applies

Documented information of
Documented information of
process and product safety
Security compliance obligations
compliance obligations

How to ensure that the RC-

How to ensure that the RC-
14001 achieves its intended
14001 achieves its intended
outcomes - Process Safety &
outcomes - security
Product Safety

How these actions are integrated How these actions are integrated
with business processes with business processes

Process Safety & Product Safety

Security objectives
objectives

Documented plans to achieve

Documented plans to achieve
your Process Safety & Product
your security objectives
Safety objectives
E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
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E= E= E= E=
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E= E= E= E=
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E= E= E= E=
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E= E= E= E=
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7.1 Evidence that the organization
has determined and provided
RESOURCES needed for the
environmental included OH&S included
establishment, implementation,
maintenance and continual
improvement of EMS

7.2 Evidence organization has a

process in place to determine
necessary COMPETENCE, Did you clarify and document your Did you clarify and document your
necessary training and documented organization's environmental organization's OH&S competence
information to support competence competence requirements requirements
supporting requirements of RC
14001:2015.

7.3 Information supporting

AWARENESS of persons working
under the organizations control of
environmental policy; significant
environmental aspects; their
contribution toward an effective environmental included OH&S included
EMS; understanding the benefits of
enhanced environmental
performance and implications of not
conforming with EMS and fulfilling
compliance obligations

7.4.1 Evidence that process for

INTERNAL & EXETERNAL Process for internal and external
COMMUNICATIONS has been communication and retention of applies
established consistent with RC documented information.
14001:2015

7.4 .1 Communications:
The organization shall establish
and maintain dialogue with
employees and other interested
parties about its impact on the
applies applies
environment, its Responsible Care
Management System performance,
plans for improving the
organization’s performance and
management for relevant risks for:

Ø  Products applies applies

Ø  Chemical-related
applies applies
processes

Ø  Activities associated with

applies applies
its operations

7.4.3 External Communications

The organization shall make
relevant product safety and product applies applies
stewardship information publicly
available.
process safety & product safety
Security included
included

Did you clarify and document

Did you clarify and document
your organization's
your organization's security
Process/Product Safety
competence requirements
competence requirements?

process safety & product safety

Security included
included

applies applies

applies applies

applies applies

applies applies

applies applies

applies applies
E= E= E= E=
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PPS= PPS= PPS= PPS=
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E= E= E= E=
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E= E= E= E=
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E= E= E= E=
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E= E= E= E=
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7.5 Evidence that DOCUMENTED
INFORMATION is consistent with environmental included OH&S included
RC 14001:2015

8.1 Evidence that organization has

established processes needed to
Environmental requirements that the OH&S requirements that the
meet EMS requirements by -
processes must meet processes must meet
establishing operating criteria and
controls

8.1 Evidence organization has

environmental requirements and
impacts associated with
Did you determine the environmental Did you determine the OH&S
established operational control for
requirements that outsourced requirements that outsourced
planned changes and outsources
processes must meet? processes must meet?
processes considering each life
cycle stage of products, services
and activities

Controls have been established to

ensure Environmental requirements
Do you specify environmental Did you specify OH&S
established for design,
requirements for procurement requirements for procurement
development processes for
processes processes?
products, service, procurement of
products and services (8.1. a & b)

Communicated to external
providers and contractors relevant
environmental included OH&S included
environmental requirements?
(8.1.c)

Considered need to provide

information about potential
significant environmental impacts
associated with transportation, environmental included OH&S included
delivery, use, end of life treatment
and final disposal of it products and
services (8.1.d)

8.1 Operational Planning &

Control
The organization shall establish
and maintain: environmental included OH&S included
e) safe operations & maintenance
systems sufficient to achieve its
policy and objectives

8.1 Operational Planning &

Control: The organization shall
establish and maintain:
f) Systems to manage change for
products, processes and activities
associated with its operations,
commensurate with risk;
f) Systems to manage change for
products, processes and activities
associated with its operations,
commensurate with risk [with a
specific focus on Environmental
Aspects, Risks, Potential Impacts];
f) Systems to manage change for
products, processes and activities
associated with its operations,
commensurate with risk [with a
specific focus on Occupational
Health and Safety Hazard
Identification and assessment of
OH&S Risks];
process safety & product safety
Security included
included

Process Safety & Product Safety

Security requirements that the
requirements that the processes
processes must meet
must meet

Did you determine the Process

Did you determine the security
Safety & Product Safety
requirements that outsourced
requirements that outsourced
processes must meet?
processes must meet?

Did you specify Process Safety Did you determine security

& Product Safety requirements requirements for procurement
for procurement processes? processes?

process safety & product safety

Security included
included

process safety & product safety

Security included
included

process safety & product safety

Security included
included

f) Systems to manage change f) Systems to manage change for

for products, processes and
activities associated with its
operations, commensurate with
risk [with a specific focus on
Process Safety and Product
Safety assessment, risk and risk
management];
products, processes and
activities associated with its
operations, commensurate with
risk [with a specific focus on
security assessment, risk
identification and risk
management];
E= E= E= E=
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8.1 Operational Planning &
Control: The organization shall
establish and maintain: g) Systems to protect the
g) Systems to protect the environment, conserve resources -
environment, conserve resources, emphasis on environmental
protect worker health and create a
safe and secure work environment
8.1 Operational Planning &
Control
The organization shall establish
and maintain:
h) Systems to facilitate the flow of
hazard and safe handling
information, appropriate guidance
and appropriate training along the
value chain to support risk
evaluation and risk management of
its products and for receiving such
information from suppliers on
goods and services used by the
organization.
8.1 Operational Planning &
Control
i) commensurate with risk, a
process to work with as
appropriate, review and assess
customers, suppliers, contract
manufactures, carriers, distributors,
contractors, logistics management
providers and third-party providers
based on Responsible Care
environmental performance criteria
that have been established by the
organization.
h) Systems to facilitate the flow of
hazard and safe handling
information, appropriate guidance
and appropriate training along the
value chain to support risk evaluation
and risk management of its products
and for receiving such information
from suppliers on goods and services
used by the organization [with a
specific focus on Environmental
Aspects, Risk, potential
environmental impacts]
i) commensurate with risk, a process
to work with as appropriate, review
and assess customers, suppliers,
contract manufactures, carriers,
distributors, contractors, logistics
management providers and third-
party providers based on
Responsible Care or other health,
safety, security and environmental
performance criteria that have been
established by the organization.
EMPHASIS ON POTENTIAL
ENVIRONMENTAL IMPACTS/RISKS
g) Systems to protect worker
health and create a safe work
environment
h) Systems to facilitate the flow of
hazard and safe handling
information, appropriate guidance
and appropriate training along the
value chain to support risk
evaluation and risk management of
its products and for receiving such
information from suppliers on
goods and services used by the
organization [with a specific focus
on Occupational Health & Safety
hazards and risk]
i) commensurate with risk, a
process to work with as
appropriate, review and assess
customers, suppliers, contract
manufactures, carriers, distributors,
contractors, logistics management
providers and third-party providers
based on Responsible Care or
other health, safety, security and
environmental performance criteria
that have been established by the
organization. EMPHASIS ON
OCCUPATIONAL HEALTH &
SAFETY HAZARDS/RISKS
g) Systems to protect worker g) Systems to protect worker
health and create a safe health, business integrity &
environment - emphasis on community safety via security
Process Safety & Product Safety focus

h) Systems to facilitate the flow

of hazard and safe handling
h) Systems to facilitate the flow
information, appropriate
of hazard and safe handling
guidance and appropriate
information, appropriate
training along the value chain to
guidance and appropriate
support risk evaluation and risk
training along the value chain to
management of its products and
support risk evaluation and risk
for receiving such information
management of its products and
from suppliers on goods and
for receiving such information
services used by the
from suppliers on goods and
organization [with a specific
services used by the
focus on Process Safety/Product
organization [with a specific
Safety Hazard, Risk
focus on Security]
Identification and management
plan]

i) commensurate with risk, a

i) commensurate with risk, a
process to work with as
process to work with as
appropriate, review and assess
appropriate, review and assess
customers, suppliers, contract
customers, suppliers, contract
manufactures, carriers,
manufactures, carriers,
distributors, contractors, logistics
distributors, contractors, logistics
management providers and
management providers and third-
third-party providers based on
party providers based on
Responsible Care or other
Responsible Care or other
health, safety, security and
health, safety, security and
environmental performance
environmental performance
criteria that have been
criteria that have been
established by the organization.
established by the organization.
EMPHASIS ON PROCESS
EMPHASIS ON POTENTIAL
SAFETY/PRODUCT SAFETY
SECURITY ISSUES/RISKS
RISKS
E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=
E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=
8.1 Operational Planning &
Control: The organization shall
establish and maintain:
j) Participation in mutual assistance
programs and sharing activities as
embodied in Responsible Care
Evidence organization has
emergency preparedness and
response plans in place per ISO
14001:2015 and RC 14001:2015,
(8.2)
8.2 Emergency Preparedness &
Response: The organization’s
documented emergency response
information shall:
g) include appropriate
consideration of communications
and community recovery needs
8.2 Emergency Preparedness & h) include appropriate participation in
Response
h) include appropriate participation emergency preparedness plans,
in the development, implementation emphasis on potential
and maintenance of community
emergency preparedness plans
i) take into account, raw material,
product, waste material and
transportation incidents
9.1 Evidence that organization is
MONITORING, MEASURING,
ANALYZING AND EVALUATING
environmental performance
9.1.1 General
The organization shall periodically
evaluate the effectiveness of its
communications programs with its
interested parties referred to in 4.2.
9.1.2 Evidence that organization
has an effective process for
evaluation of compliance
obligations fulfillment
Internal Audit Results (9.2)
(using process-approach)
Full internal Audit to both ISO
14001:2015 and RC 14001: 2015
-inputs, outputs, performance to
targets, process linkages /
interactions.
j) Participation in mutual assistance
programs and sharing activities as
embodied in Responsible Care,
Environmental Focus
environmental included
g) include appropriate consideration
of communications and community
recovery needs [with a specific focus
on Environmental Aspects, Potential
risks, impacts & mitigation];
the development, implementation
and maintenance of community
ENVIRONMENTAL RISKS,
IMPACTS, MITIGATION
i) take into account, raw material,
product, waste material and
transportation incidents [with a
specific focus on ENVIRONMENTAL
RISKS, IMPACTS, MIGITATION];
Environmental Performance
Environmental Performance:
effectiveness of its communications
programs with its interested parties
referred to in 4.2
retention of documented information retention of documented
as evidence - environmental information as evidence - OH&S
compliance compliance
must include environmental
j) Participation in mutual assistance
programs and sharing activities as
embodied in Responsible Care,
Occupational Health & Safety
Focus
OH&S included
g) include appropriate
consideration of communications
and community recovery needs
[with a specific focus on
Occupational Health and Safety
Hazard Identification and
assessment of OH&S Risks]
h) include appropriate participation
in the development, implementation
and maintenance of community
emergency preparedness plans,
emphasis on OCCUPATIONAL
HEALTH & SAFETY HAZARDS,
RISKS AND MITIGATION
i) take into account, raw material,
product, waste material and
transportation incidents [with a
specific focus on Occupational
Health and Safety Hazard
Identification and assessment of
OH&S Risks];
OH&S Performance
OH&S Performance:
effectiveness of its communications
programs with its interested parties
referred to in 4.2
must include OH&S
j) Participation in mutual
assistance programs and
sharing activities as embodied in
Responsible Care, Process
Safety & Product Safety Focus
j) Participation in mutual
assistance programs and sharing
activities as embodied in
Responsible Care, Security
Focus

process safety & product safety

Security included
included

g) include appropriate g) include appropriate

consideration of communications consideration of communications
and community recovery needs and community recovery needs
[with a specific focus on Process [with a specific focus on
Safety & Product Safety]; Security];

h) include appropriate
h) include appropriate
participation in the development,
participation in the development,
implementation and
implementation and maintenance
maintenance of community
of community emergency
emergency preparedness plans,
preparedness plans, emphasis
emphasis on PROCESS
on SECURITY
SAFETY & PRODUCT SAFETY

i) take into account, raw

material, product, waste material
and transportation incidents
[with a specific focus on
PROCESS SAFETY &
PRODUCT SAFETY];
i) take into account, raw material,
product, waste material and
transportation incidents [with a
specific focus on SECURITY];

Process Safety & Product Safety

Security Performance
Performance

Process Safety & Product Safety

Security Performance:
Performance:
effectiveness of its
effectiveness of its
communications programs with
communications programs with
its interested parties referred to
its interested parties referred to
in 4.2
in 4.2

retention of documented
retention of documented
information as evidence -
information as evidence -
Process & Product Safety
security compliance
Compliance

Must include Process & Product

Must include Security
Safety
E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=
E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=
Internal Audit Corrective Actions
(10.2.d) completed. (including environmental included OH&S included
evidence of closure)

Records of Management Review

(9.3) Completed to both ISO
14001:2015 and RC 14001: 2015 environmental included OH&S included
requirements after completion of
the Internal Audit.

10.2 Evidence of an effective

process for taking actions to correct
environmental included OH&S included
nonconformity and make changes
to the EMS
process safety & product safety
Security included
included

process safety & product safety

Security included
included

process safety & product safety

Security included
included
E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=
E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=
 10.2 Nonconformity and
corrective action: The
organization shall
Ø  Identify and investigate Identify and investigate cause(s) of Identify and investigate cause(s) of
cause(s) of accidents and Environmental releases OH&S Incidents
incidents (including
environmental releases and
incidents)

Ø  Assign significance

Ø  Take appropriate
corrective action(s) to applies applies
prevent reoccurrence;

Ø Share key findings and

associated corrective
actions with relevant
interested parties

Other Client Organization- Other Client Organization-specific Other Client Organization-

specific information about the information about the EMS (as specific information about the
EMS (as determined by the Client determined by the Client OH&S (as determined by the Client
Organization) Organization) 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
RC 14001: 2015 Standard.
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 RC 14001: 2015
Standard.
Note: This section is optional, and
may be completed if there are
unique aspects of the OH&S that
the Client deems important in
demonstrating compliance to the
RC 14001: 2015 Standard.

Evidence of effective continuous Evidence of effective continuous Evidence of effective continuous

improvement of RESPPONSIBLE
CARE MANAGEMENT SYSTME to
enhance environmental,
occupational health/safety,
process/product safety & security
performance (10.2)
improvement of RESPPONSIBLE improvement of RESPPONSIBLE
CARE MANAGEMENT SYSTME to CARE MANAGEMENT SYSTME to
enhance environmental performance enhance occupational
(10.2) health/safety performance (10.2)
Identify and investigate cause(s)
Identify and investigate cause(s)
of Process Safety & Product
of Security Incidents
Safety incidents

applies applies

Other Client Organization-

Other Client Organization-
specific information about the
specific information about
Process Safety & Process
Security (as determined by the
Security (as determined by the
Client Organization)
Client Organization)

Note: This section is optional,

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

Evidence of effective continuous

Evidence of effective continuous
improvement of RESPONSIBLE
improvement of RESPPONSIBLE
CARE MANAGEMENT SYSTEM
CARE MANAGEMENT SYSTME
to enhance PROCESS/
to enhance security
PRODUCT SAFETY
performance (10.2)
performance (10.2)
E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=

E= E= E= E=
OHS= OHS= OHS= OHS=
PPS= PPS= PPS= PPS=
SC= SC= SC= SC=
E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=

E=
OHS=
PPS=
SC=
 Approvals Back to Contents

Environmental Review and Approval

Approval Name / Title Signature Date

Client Organization
Top Management
attests readiness for
Upgrade to RC14001:
2015

NSF-ISR Lead
Auditor Approval of
Desk Audit
information.
NSF-ISR Lead
Auditor Approval of
Compliance to
RC14001: 2015 at
On-site Upgrade
Audit.

The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement
to the RC14001:2015 Audit Report

Occupational Health Review and Approval

Approval Name / Title Signature Date

Client Organization
Top Management
attests readiness for
Upgrade to RC14001:
2015

NSF-ISR Lead
Auditor Approval of
Desk Audit
information.
NSF-ISR Lead
Auditor Approval of
Compliance to
RC14001: 2015 at
On-site Upgrade
Audit.

The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement
to the RC14001:2015 Audit Report

Safety/Stewardship Review and Approval

Approval Name / Title Signature Date

Client Organization
Top Management
attests readiness for
Upgrade to RC14001:
2015

NSF-ISR Lead
Auditor Approval of
Desk Audit
information.
NSF-ISR Lead
Auditor Approval of
Compliance to
RC14001: 2015 at
On-site Upgrade
Audit.

The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement
to the RC14001:2015 Audit Report

Security Review and Approval

Approval Name / Title Signature Date

Client Organization
Top Management
attests readiness for
Upgrade to RC14001:
2015

NSF-ISR Lead
Auditor Approval of
Desk Audit
information.
NSF-ISR Lead
Auditor Approval of
Compliance to
RC14001: 2015 at
On-site Upgrade
Audit.

The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement
to the RC14001:2015 Audit Report

Product Safety Code Review and Approval

Approval Name / Title Signature Date

Client Organization
Top Management
attests readiness for
Upgrade to RC14001:
2015

NSF-ISR Lead
Auditor Approval of
Desk Audit
information.

NSF-ISR Lead
Auditor Approval of
Compliance to
RC14001: 2015 at
On-site Upgrade
Audit.

The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement
to the RC14001:2015 Audit Report

Process Safety Code Review and Approval

Approval Name / Title Signature Date
Client Organization
Top Management
attests readiness for
Upgrade to RC14001:
2015

NSF-ISR Lead
Auditor Approval of
Desk Audit
information.

NSF-ISR Lead
Auditor Approval of
Compliance to
RC14001: 2015 at
On-site Upgrade
Audit.

The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement
to the RC14001:2015 Audit Report

Back to Contents
Back to Contents
 Comparing RC14001:2015 to RC14001:2013
New or Different in RC14001:2015 RC14001:2013

Old
RC14001:2015 New Section RC14001:2013
Section
RC 14001 Introduction
RC Interpretive Notes

Introduction

Background 0.1 Purpose

Aim of Environmental 0.2
Management System

Success Factors 0.3

Plan-Do-Check-Act Model 0.4

Contents of this 0.5
International Standard
Scope 1 2 Scope

Normative References 2

Definitions
Terms & Definitions 3 3
Appendix 1
Terms Related to 3.1
Organization & Leadership
Terms Related to Planning 3.2
Terms Related to Support & 3.3
Operations
Terms Related to
Performance Evaluation & 3.4
Improvement
Context of the Organization 4
Understanding the Context of the 4.1
Organization
Understanding the Needs &
Expectations of Interested 4.2
Parties
Determining Scope of the
Environmental Management 4.3
Systems

Environmental Management 4.4 4.4.3 Responsibilities

System

Leadership 5

Leadership & Commitment 5.1 4.2

Environmental Policy 5.2

Organizational Roles,
Responsibilities & 5.3 4 Responsibilities
Authorities
Planning 6
 Actions to address risk & 6.1
opportunities

General 6.1.1
Environmen 6.1.2 4.3.1
tal Aspects
Compliance 6.1.3
Obligations
Planning 6.1.4
Action
Environmental Objectives & 6.2
Planning to achieve them
Environmen
tal 6.2.1
Objectives
Planning Actions to achieve 6.2.2
environmental objectives
Support 7
Resources 7.1 4.4.1/5.1
Competence 7.2
Awareness 7.3
Communication 7.4
General 7.4.1 4.4.3
Internal
Communica 7.4.2
tions
External
Communica 7.4.3 4.4.3
tions
Documented Information 7.5
General 7.5.1
Creating & 7.5.2
Updating
Control of
documente
d 7.5.3
information
Operation 8

4.4.6
Operational Planning &
Control 8.1 4.4.3
4.4.6
Emergency Preparedness & 8.2 4.4.7
Response
Performance Evaluation 9
Monitoring, measurement, 9.1
analysis and evaluation
4.4.3
General 9.1.1
4.5.1
Evaluation
of 9.1.2
Compliance
Internal Audit 9.2

General 9.2.1
Internal
Audit 9.2.2
Planning
 Management Review 9.3

Improvement 10
General 10.1
Nonconformity and 10.2 4.5.3
corrective action
Continual Improvement 10.2
Annex A Guidance on the use of this
International Standard
Annex B Correspondence between ISO
14001:2015 & ISO 14001:2004
Annex C Responsible Care Organization &
Contact Information
Annex D The Nature and Purpose of RC
14001 Technical Specifications
Appendix References and Resources
Bibliography 3
Alphabetical Index of Terms
Document Control Information Document Control
Appendix ACC Responsible Care Initiative Requirement
2

Back to Contents
Comparing ISO 14001:2015 to ISO 14001:2004
New or Different in ISO 14001:2015 to ISO Covered in ISO 14001:2004
14001:2004
New Old
ISO 14001:2015 ISO 14001:2004
Section Section
Introduction 0
Background 0.1
Aim of Environmental Management 0.2
systems
Success Factors 0.3

Plan-do-Check-Act Model 0.4

Contents of this International Standard 0.5

Scope 1 1 Scope

Normative References 2 2 Normative References

Terms & Definitions 3 3 Terms & Definitions

Term Related to Organization & 3.1
Leadership
Terms Related to Planning 3.2
Terms Related to Support & Operation 3.3
Terms Related to Performance Evaluation 3.4
& Improvement
Context of the Organization 4
Understanding the organization & its 4.1
Context
Understanding the needs & Expectation 4.2
of Interested parties
4.3 Planning
Determining the scope of the 4.3 General Requirements
environmental management system A.1

Environmental Management System 4.4 4.1 General Requirements

Leadership (Title only) 5

Leadership & Commitment 5.1

Environmental Policy 5.2 4.2 Environmental Policy
Organizational roles, responsibilities & 5.3 4.4.1 Resources, Roles, responsibility &
authorities 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 Aspects

Compliance Obligations 6.1.3 4.3.2 Legal & Other Requirements

Actions to address Risks associated with 6.1.4

threats & Opportunities
Planning to take Action 6.1.5
Environmental Objectives & Planning to 6.2 4.3.3 Objectives, targets & programme(s)
achieve them
Environmental Objectives 6.2.1 4.3.3 Objectives, targets & programme(s)
Planning Actions to achieve 6.2.2 4.3.3 Objectives, targets & programme(s)
environmental objectives

Support (title only) 7 4.4 Implementation & Operation (title only)

Resources, Roles, responsibility &

Resources 7.1 4.4.1 authority
Competence 7.2 4.4.2 Competence, training & awareness
Awareness 7.3 4.4.2 Competence, training & awareness
Communications (title only) 7.4 4.4.3 Communication
General 7.4.1 4.4.3 Communication
Internal Communication 7.4.2 4.4.3 Communication
External Communication 7.4.3 4.4.3 Communication

Documented Information (Title Only) 7.5 4.4.4 Documentation

General 7.5.1 4.4.4 Documentation

Creating & Updating 7.5.2 4.4.4 Control of Documentation

4.5.4 Control of Records
Control of documented Information 7.5.3 4.4.5 Control of Documentation

4.5.4 Control of Records

Operation (Title Only) 8 4.4 Implementation & Operation (title only)

Operational Planning & Control 8.1 4.4.6 Operational Control

Emergency Preparedness & Response 8.2 4.4.7 Emergency Preparedness & Response
Performance Evaluation (Title only) 9 4.5 Checking (Title Only)
Monitoring, Measurement, analysis & 9.1 4.5.1 Monitoring & Measurement
evaluation (title only)
General 9.1.1 4.5.1 Monitoring & Measurement

Evaluation of Compliance 9.1.2 4.5.2 Evaluation of Compliance

Internal Audit 9.2 4.5.5 Internal Audit

Management Review 9.3 4.6 Management Review

Improvement (Title only) 10

Non conformity, corrective action &

Nonconformity & Corrective action 10.1 4.5.3 preventive action
Continual Improvement 10.2
Annex A: Guidance on the use of this
Annex A: Guidance on the use of this Inte A A International Standard
Annex B: Correspondence between ISO Correspondence between ISO 14001:2004
B B
14001:2015 and ISO 14001:2004 & ISO 9001:2000
Bibliography Bibliography
Alphabetical Index of Terms
 Responsible Care Member Annex
Slides from required ACC Responsible Care Management training in 2013 and 2014.
Product Safety & Process Safety Delta Checklist tabs derived from these presentation
For access to the presentations, contact Dan Rocznik at the American Chemistry Council.

Click below to open the Click below to open the

Process Safety Code Product Safety Code