1.

ISO 14001:2004 transition checklist

Company

Reference number

AS Tallinna Sadam

BS 000032

Use and completion of the ISO 14001:2004 transition checklist for systems currently compliant to ISO14001:1996.
1. Use this checklist to record evidence of conformance to the new and enhanced requirements of ISO14001:2004. You may complete it during one or more visits.
2. Only make an entry in the checklist when you have examined a requirement and found it to be compliant. Record details of noncompliant issues in the
appropriate visit report.
3. You may record details to support c conformance either on this checklist or in the appropriate report, but cross-reference them appropriately by entering the visit
date and observation number (e.g. 06/2005 JB02) to give traceability.
4. If the transition is being conducted at a single visit and you are making a recommendation for approval, either
I.

sign and date the statement at the end of this checklist, or

II. make a clear statement in the visit report. that all requirements have been examined and found compliant .
When completed, send the checklist with the job pack for technical review.
NOTE The clause numbering has changed and no longer necessarily corresponds to the 1996 version.

Transition requirement

Clause

Supporting evidence

Signed

Date

4.1: General requirements

Evidence that the organisation has documented, implemented and
continually improved an EMS in accordance with the requirements in
ISO14001:2004.

4.1

OK

TK

25.10.2005

Evidence that the organization determined how it will fulfil these

requirements (those in ISO14001:2004).

4.1

OK

TK

25.10.2005

Form: MSBS43044/0 - 0205

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Page 1 of 9

Transition requirement
Evidence that the organisation has defined and documented the
scope of its EMS. Including consistency of application of the defined
scope in the EMS such as aspects, legal requirements etc.

Clause

Supporting evidence

Signed

Date

4.1

OK

TK

25.10.2005

Evidence that the policy is consistent with the organisations defined

scope.

4.2

OK

TK

25.10.2005

Evidence that the policy been communicated to all persons working

for or on behalf of the organization.

4.2

OK

TK

25.10.2005

4.3.1

OK

TK

25.10.2005

4.3.1

OK

TK

25.10.2005

4.2: Environmental Policy

4.3: Planning
Environmental aspects
A procedure(s) is / are established, implemented and maintained to
identify the environmental aspects of the activities, products and
services within the defined scope of the environmental management
system:

that it can control

and those that it can influence

Taking into account planned or new developments, or new or modified

activities, products and services.
A procedure(s) is / are established, implemented and maintained:

to determine those aspects that have or can have significant

impact(s) on the environment (i.e. significant environmental
aspects).

Form: MSBS43044/0 - 0205

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Transition requirement

Clause

Supporting evidence

Signed

Date

Is this information documented and kept up to date?

4.3.1

OK

TK

25.10.2005

Is there evidence that the significant environmental aspects are taken

into account in establishing, implementing and maintaining the
environmental management system?

4.3.1

OK

TK

25.10.2005

Legal and other requirements

4.3.2

OK

TK

25.10.2005

Is a procedure in place to determine how legal and other

requirements apply to the environmental aspects?

4.3.2

OK

TK

25.10.2005

Evidence that the applicable legal requirements and other

requirements to which the organization subscribes are taken into
account in establishing, implementing and maintaining its
environmental management system.

4.3.2

OK

TK

25.10.2005

Objectives, targets and programmes

4.3.3

OK

TK

25.10.2005

Evidence that the objectives are consistent with the policy

commitment of compliance with applicable legal requirements and
other requirements to which the organisation subscribes.

4.3.3

OK

TK

25.10.2005

Evidence that objectives are consistent with the policy commitment to

continual improvement.

4.3.3

OK

TK

25.10.2005

Has a procedure been established, implemented and maintained to

Identify and have access to applicable legal requirements and other
requirements to which the organisation subscribes?

Evidence that objectives and targets are measurable, where practical.

Form: MSBS43044/0 - 0205

Report: Error! Unknown document property name./Error! Unknown document property name. - 25 October 2005

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Transition requirement

Clause

Supporting evidence

Signed

Date

4.4: Implementation and operation

Resources, roles, responsibility and authority

4.4.1

OK

TK

25.10.2005

The management representative has within his / her defined and

documented role the responsibility and authority for reporting
recommendations for improvement.

4.4.1

OK

TK

25.10.2005

Competence, training and awareness

4.4.2

OK

TK

25.10.2005

Evidence that any person(s) performing tasks for or on behalf of the

organisation that have the potential to cause a significant
environmental impact(s) are competent on the basis of appropriate
education, training or experience, and are associated records
retained.

4.4.2

OK

TK

25.10.2005

Evidence that:

4.4.2

OK

TK

25.10.2005

Associated records are retained?

Evidence that procedure(s) are established, implemented and
maintained to make persons working for it or on its behalf aware of
4.4.2 a) to d) in the Standard.

4.4.2

OK

TK

25.10.2005

Communication

4.4.3

OK

TK

25.10.2005

Evidence that management has ensured the availability of resources.

Evidence that any person(s) performing tasks for or on behalf of the

organisation that have the potential to cause a significant
environmental impact(s) have been identified by the organization.

Training needs associated with the organisations

environmental aspects and its environmental management
system are identified?

This training has been provided or other action taken to meet

these needs?

The organization shall decide whether to communicate externally

about its significant environmental aspects, and shall document its
decision. If the decision is to communicate, is a method(s)
Form: MSBS43044/0 - 0205

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Page 4 of 9

Transition requirement

Clause

Supporting evidence

Signed

Date

established and implemented for this external communication?

Documentation
Note: The terms document and record have now been defined.

4.4.4

OK

TK

25.10.2005

4.4.5

OK

TK

25.10.2005

Can it be demonstrated that documents of external origin determined

by the organization to be necessary for the planning and operation of
the environmental management system are identified and their
distribution controlled?

4.4.5

OK

TK

25.10.2005

Operational control

4.4.6

OK

TK

25.10.2005

Evidence that a document procedure has been established,

implemented and maintained to control situations where their
absence could lead to deviations.

4.4.6

OK

TK

25.10.2005

Emergency preparedness and response

4.4.7

OK

TK

25.10.2005

Are the following documented within the EMS

The environmental policy?
The objectives and targets?
Description of the scope?
Description of the main elements and their interaction and
reference to related documents?
Documents including records required by the standard?
Documents, including records determined by the organisation
to ensure the effective planning, operation and control of
processes that relate to its significant environmental aspects?
Control of documents
Evidence that a procedure has been established, implemented and
maintained to ensure changes and the current revision status of
documents are identified.

Evidence that the organisation has planned those operations that are
associated with the significant environmental aspects.

Evidence that a procedure has been established, implemented and

maintained to identify potential accidents that can have an impact on
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Transition requirement

Clause

Supporting evidence

Signed

Date

the environment.

Evidence that organisation has system in place to respond to actual

emergency situations and accidents and prevent or mitigate
associated adverse environmental impact.

4.4.7

OK

TK

25.10.2005

Evidence that the organisation has carried out and has plans for
periodic review of its emergency preparedness and response
procedure.

4.4.7

OK

TK

25.10.2005

4.5.1

OK

TK

25.10.2005

4.5.2.1

OK

TK

25.10.2005

Evidence that there are records of the results of the periodic

evaluations of legal requirements.

4.5.2.1

OK

TK

25.10.2005

Evidence that the organization has evaluated compliance with other

requirements to which it subscribes.

4.5.2.2

OK

TK

25.10.2005

4.5: Checking
Monitoring and measurement
Evidence that measurement equipment is calibrated or verified.

Evaluation of compliance
Evidence that a procedure(s) for periodically evaluating compliance
with applicable legal requirements is / are established, implemented
and maintained, consistent with the commitment to compliance with
applicable legal requirements.

The organization may wish to combine this evaluation with the

evaluation of legal compliance referred to in 4.5.2.1 or to establish a
separate procedure(s).

Form: MSBS43044/0 - 0205

Report: Error! Unknown document property name./Error! Unknown document property name. - 25 October 2005

Page 6 of 9

Transition requirement

Clause

Supporting evidence

Signed

Date

Evidence that there are records of the results of the periodic

evaluations of other requirements.

4.5.2.2

OK

TK

25.10.2005

Nonconformity, corrective action and preventive action

4.5.3

OK

TK

25.10.2005

4.5.3

OK

TK

25.10.2005

4.5.5

OK

TK

25.10.2005

Evidence that audit procedures have been established, implemented

and maintained that determine audit criteria, scope, frequency and
methods.

4.5.5.

OK

TK

25.10.2005

Through the selection of auditors and the conduct of audits can the
objectivity and impartiality of the audit process be demonstrated?

4.5.5

OK

TK

25.10.2005

Evidence that a procedure(s) for dealing with actual and potential

nonconformity(ies) and for taking corrective action and preventive
action has been established, implemented and maintained.
Evidence that the procedure(s) defines requirements for

identifying and correcting nonconformity(ies),

determining their cause(s) and taking actions in order to avoid

their recurrence,

evaluating the need for action(s) to prevent

nonconformity(ies) and implementing appropriate actions
designed to avoid their occurrence,

recording the results of corrective action(s) and preventive

action(s) taken, and

reviewing the effectiveness of corrective action(s) and

preventive action(s) taken.

Internal audit
Evidence that audit procedures have been established, implemented
and maintained that address the responsibilities and requirements for
planning and conducting audits, reporting results and retaining
associated records.

Form: MSBS43044/0 - 0205

Report: Error! Unknown document property name./Error! Unknown document property name. - 25 October 2005

Page 7 of 9

Transition requirement

Clause

Supporting evidence

Signed

Date

4.6: Management review

Evidence that top management have reviewed the EMS at planned
intervals.

4.6

OK

TK

25.10.2005

Evidence that the management reviews include assessing

opportunities for improvement.

4.6

OK

TK

25.10.2005

Can the following be demonstrated to be part of the input to

management reviews?

4.6

OK

TK

25.10.2005

4.6

OK

TK

25.10.2005

results of internal audits and evaluations of compliance with

legal requirements and with other requirements to which the
organization subscribes?

communication(s) from external interested parties, including

complaints?

the environmental performance of the organization?

the extent to which objectives and targets have been met?

status of corrective and preventive actions?

follow-up actions from previous management reviews?

changing circumstances, including developments in legal and

other requirements related to its environmental aspects, and

recommendations for improvement?

Do the outputs from management reviews include any decisions and

actions related to possible changes to:

environmental policy?

objectives, targets and other elements of the environmental

Form: MSBS43044/0 - 0205

Report: Error! Unknown document property name./Error! Unknown document property name. - 25 October 2005

Page 8 of 9

Transition requirement

Clause

Supporting evidence

Signed

Date

management system?
Are they consistent with the commitment to continual improvement?

All items on the checklist have been reviewed and are in compliance with ISO 14001:2004
Signature

Name
Tonu Kumari

Form: MSBS43044/0 - 0205

Report: Error! Unknown document property name./Error! Unknown document property name. - 25 October 2005

Date
25-Oct-05

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