LRQA Report Front Sheet

1. ISO 14001:2004 transition checklist

CompanyReference number

AS Tallinna SadamBS 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 requirementClauseSupporting evidenceSignedDate

4.1: General requirements

Evidence that the organisation has documented, implemented and continually improved an EMS in accordance with the requirements in ISO14001:2004.4.1OKTK25.10.2005

Evidence that the organization determined how it will fulfil these requirements (those in ISO14001:2004).

4.1OK TK25.10.2005

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.

4.1OKTK25.10.2005

4.2: Environmental Policy

Evidence that the policy is consistent with the organisations defined scope.4.2OKTK25.10.2005

Evidence that the policy been communicated to all persons working for or on behalf of the organization.4.2OKTK25.10.2005

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.

4.3.1OKTK25.10.2005

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).

4.3.1OKTK25.10.2005

Is this information documented and kept up to date?4.3.1OKTK25.10.2005

Is there evidence that the significant environmental aspects are taken into account in establishing, implementing and maintaining the environmental management system?4.3.1OKTK25.10.2005

Legal and other requirements

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?4.3.2OKTK25.10.2005

Is a procedure in place to determine how legal and other requirements apply to the environmental aspects?4.3.2OKTK25.10.2005

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.

4.3.2OKTK25.10.2005

Objectives, targets and programmes

Evidence that objectives and targets are measurable, where practical.4.3.3OKTK25.10.2005

Evidence that the objectives are consistent with the policy commitment of compliance with applicable legal requirements and other requirements to which the organisation subscribes.

4.3.3OKTK25.10.2005

Evidence that objectives are consistent with the policy commitment to continual improvement.4.3.3OKTK25.10.2005

4.4: Implementation and operation

Resources, roles, responsibility and authority

Evidence that management has ensured the availability of resources.4.4.1OKTK25.10.2005

The management representative has within his / her defined and documented role the responsibility and authority for reporting recommendations for improvement.4.4.1OKTK25.10.2005

Competence, training and awareness

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.4.4.2OKTK25.10.2005

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.4.4.2OKTK25.10.2005

Evidence that:

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?

Associated records are retained?4.4.2OKTK25.10.2005

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.4.4.2OKTK25.10.2005

Communication

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) established and implemented for this external communication?4.4.3OKTK25.10.2005

Documentation

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

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?4.4.4OKTK25.10.2005

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.4.4.5OKTK25.10.2005

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?4.4.5OKTK25.10.2005

Operational control

Evidence that the organisation has planned those operations that are associated with the significant environmental aspects.4.4.6OKTK25.10.2005

Evidence that a document procedure has been established, implemented and maintained to control situations where their absence could lead to deviations.4.4.6OKTK25.10.2005

Emergency preparedness and response

Evidence that a procedure has been established, implemented and maintained to identify potential accidents that can have an impact on the environment.

4.4.7OKTK25.10.2005

Evidence that organisation has system in place to respond to actual emergency situations and accidents and prevent or mitigate associated adverse environmental impact.4.4.7OKTK25.10.2005

Evidence that the organisation has carried out and has plans for periodic review of its emergency preparedness and response procedure.4.4.7OKTK25.10.2005

4.5: Checking

Monitoring and measurement

Evidence that measurement equipment is calibrated or verified.4.5.1OKTK25.10.2005

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.4.5.2.1OKTK25.10.2005

Evidence that there are records of the results of the periodic evaluations of legal requirements.4.5.2.1OKTK25.10.2005

Evidence that the organization has evaluated compliance with other requirements to which it subscribes.

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).4.5.2.2OKTK25.10.2005

Evidence that there are records of the results of the periodic evaluations of other requirements.4.5.2.2OKTK25.10.2005

Nonconformity, corrective action and preventive action

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. 4.5.3OKTK25.10.2005

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.4.5.3OKTK25.10.2005

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.4.5.5OKTK25.10.2005

Evidence that audit procedures have been established, implemented and maintained that determine audit criteria, scope, frequency and methods.4.5.5.OKTK25.10.2005

Through the selection of auditors and the conduct of audits can the objectivity and impartiality of the audit process be demonstrated?4.5.5OKTK25.10.2005

4.6: Management review

Evidence that top management have reviewed the EMS at planned intervals.4.6OKTK25.10.2005

Evidence that the management reviews include assessing opportunities for improvement.4.6OKTK25.10.2005

Can the following be demonstrated to be part of the input to management reviews?

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?

4.6OKTK25.10.2005

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 management system?Are they consistent with the commitment to continual improvement?4.6OKTK25.10.2005

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

SignatureNameDate

Tonu Kumari23-Oct-05

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