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ISO 14001 Gap Analysis Questionnaire - SF
ISO 14001 Gap Analysis Questionnaire - SF
ISO 14001 Gap Analysis Questionnaire - SF
Facility name:
Contact Person:
Facility Address:
Email:
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The EMS gap analysis is a self-evaluation. A series of questions will help you compare your organizations current environmental
management practices against the ISO 14001 Standard. This comparison provides a baseline assessment of your organization and helps you
to identify current systems in place for managing environmental issues, including existing policies and procedures, roles and responsibilities,
communication systems, training programs and others.
X
A numerical rating measuring your organizations conformance to the ISO 14001 Standard is determined from the responses on this
questionnaire. A numerical rating is given for each component response as follows:
Not in place = 0 points
points
In place = 2
The responses are totaled for the entire questionnaire resulting in your score. The highest score possible, 172, indicates all components of
the 17 elements are In place in your EMS (85 questions/components x 2 points for each component In place = 170 points). This baseline
assessment enables you to focus on continual improvement. In the electronic version of the EMS Gap Analysis Questionnaire provided with
the EMS Toolkit, the second tab titled "Summary Chart", contains a bar chart to give you a visual depiction of the degree to which you
conform to the ISO 14001 EMS Standard. This chart can be used in management presentations to show the progress of your EMS
implementation.
Hints
1) List of Required Documentation and Records: The ISO 14001 EMS Standard requires physical (or electronic) evidence of certain
documents and records. This includes, for example, the organization's environmental policy. There is a list at the end of this gap analysis
questionnaire that highlights which items require physical (or electronic) evidence in the form of documentation or records. The list is
organized by each of the 17 elements in the Standard. Elements of the ISO 14001 EMS Standard that require documentation are indicated in
bold text in the gap analysis questionnaire for easy reference to the requirements of the Standard.
2) List of Reference Material: The second part of the list at the end of this gap analysis questionnaire is a list of reference materials you
may already possess that could help you identify your current EMS status. This list is organized by each of the 17 elements of the Standard.
Question Category: Environmental Policy
EMS Element 1: Environmental Policy (ISO 14001:2004(E), Paragraph 4.2)
Status
Indicators of Conformity
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
Status subtotals:
Status Total:
Percentage complete:
0
0
16 points available
Statu
s
Not in
place
Partiall
In
y in
place
place
Finding / Corrective
Notes
Action
Status subtotals:
Status Total:
Percentage complete:
Is there a risk
assessment process to
determine significance or
priority of identified
environmental
aspects/impacts?
0
0
8 points available
EMS Element 3: Legal and Other Requirements (ISO 14001:2004(E), Paragraph 4.3.2)
Status
Indicators of Conformity
13. Does your procedure (process) for environmental legal and other
environmental requirements address:
Identifying applicable legal requirements related to your
organization's environmental aspects?
Not in
place
Partiall
In
y in
place
place
Finding / Corrective
Notes
Action
0
0
14 points available
EMS Element 4: Objectives, Targets and Programme(s) (ISO 14001:2004(E), Paragraph 4.3.3)
Status
Does your procedure (process) for Objectives, Targets and Programmes Indicators of Conformity
address:
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
Have specific
environmental
improvement objectives
been communicated to all
relevant business units
and employees,
contractors and
suppliers?
Determine whether the
facility has prepared and
implemented sufficient
written policies and
procedures to ensure
compliance with
applicable standards and
consistency in
implementation
practices, and to provide
guidance on how to meet
applicable standards.
Confirm that the
facility has
established
compliance standards
to be followed that
are reasonably
capable of reducing
the prospect of
Verify,
criminal where
conduct.
possible, that the
facility has taken
steps to achieve
compliance with its
environmental
standards.
Verify that the facility has
a program in place to
review the full range of
capital projects,
maintenance
modifications, process
changes, and R&D
initiatives to identify
potentially significant
consequences.
Status subtotals:
Status Total:
Percentage complete:
Determine if these
review are performed
in a timely manner,
by appropriately
trained professionals
and if a formal
methodology is
employed.
0
0
10 points available
EMS Element 5: Resources, roles, responsibility and authority (ISO 14001:2004(E), Paragraph 4.4.1)
Status
Does your procedure (process) for resources, roles, responsibility and
authority address:
Indicators of Conformity
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
Status subtotals:
Status Total:
Percentage complete:
0
0
8 points available
EMS Element 6: Competence, training and awareness (ISO 14001:2004(E), Paragraph 4.4.2)
Status
Does your procedure (process) for competence, training and
awareness address:
Indicators of Conformity
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
25. Making persons working for the organization or on its behalf aware
of:
The importance of conformity with the environmental policy and
procedures and with the requirements of the environmental
management system?
The significant environmental impacts, actual or potential, of
their work and the environmental benefits of improved personal
performance?
Their roles and responsibilities in achieving conformity with the
environmental policy and procedures and with the requirements of
the environmental management system, including emergency
preparedness and response requirements?
The potential consequences of departure from specified
operating procedures?
The scope of training
includes: Emergency
response and
preparedness; The
importance of complying
with established
performance criteria and
the potential
consequences of
departure from specified
environmental operating
procedures; Adequate
detail to motivate
personnel to prevent,
detect, and correct
violations; and, The
facility offers all staff an
opportunity to attend
internal environmental
training sessions.
Identify a sample of
facility personnel who
perform tasks that can
cause significant
environmental impact.
Verify that these
staff members have
received appropriate
environmental
training relative to
the job
functions/tasks
performed.
Status subtotals:
Status Total:
Percentage complete:
0
0
12 points available
Indicators of Conformity
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
Status subtotals:
Status Total:
Percentage complete:
0
0
8 points available
Statu
Not in
place
s
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
0
0
10 points available
Status
Partiall
Not in
place
y in
place
In
place
Finding / Corrective
Notes
Action
Status subtotals:
Status Total:
Percentage complete:
0
0
18 points available
Indicators of Conformity
Status
Partiall
Not in
place
y in
place
In
place
Finding / Corrective
Notes
Action
32. Identify those operations that are associated with the identified
significant environmental aspects consistent with your
organization's environmental policy, objectives and targets?
33. Establish and maintain documented procedures to control
situations for those operations where absence of
documented procedure(s) could lead to deviation from
your environmental policy, objectives and targets?
34. Plan these operations in order that they are carried out under
specific conditions, stipulate operating criteria, establish,
implement and maintain environmental procedures related to
goods and services used by the organization and communicate
applicable requirements to suppliers and contractors?
0
Status subtotals:
Status Total:
Percentage complete:
0
0
6 points available
EMS Element 11: Emergency preparedness and response (ISO 14001:2004(E), Paragraph 4.4.7)
Do you establish and maintain a procedure (process) for emergency
preparedness and response that addresses how to:
35. Identify potential emergency situations and potential accidents
that can have (an) impact(s) on the environment and how the
will respond?
36. organization
Respond to actual
emergency situations and accidents and
Indicators of Conformity
Status
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Action
Notes
Status subtotals:
Status Total:
Percentage complete:
0
0
8 points available
EMS Element 12: Monitoring and measurement (ISO 14001:2004(E), Paragraph 4.5.1)
Status
Do you establish and maintain a procedure (process) for monitoring
and measurement that ensures:
Indicators of Conformity
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
Status subtotals:
Status Total:
Percentage complete:
0
0
6 points available
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
0
0
2 points available
EMS Element 14: Nonconformity, corrective action and preventive action (ISO 14001:2004(E), Paragraph 4.5.3)
Indicators of Conformity
Status
Partiall
Not in
place
y in
place
In
place
Finding / Corrective
Notes
Action
0
0
12 points available
Status
Partiall
Not in
place
y in
place
In
place
Finding / Corrective
Notes
Action
0
0
6 points available
Indicators of Conformity
Not in
place
Partiall
y in
In
place place
Finding / Corrective
Notes
Action
Status subtotals:
Status Total:
Percentage complete:
0
0
18 points available
Indicators of Conformity
Status
Partiall
Not in
place
y in
place
In
place
Finding / Corrective
Notes
Action
57. Ensure that the outputs from the management review include any
decisions and actions related to possible changes to the
environmental policy, objectives and other elements of the
environmental management system, consistent with the
commitment to continual improvement?
Status subtotals:
Status Total:
Percentage complete:
Program Totals
Element subtotals:
Program Total:
Total Program percentage complete:
10 points available
0
0
0
0
0
0
172 points available
Reference Materials
- Environmental Policy
- Results of environmental aspects identification process
- List of critical business functions
- Laws, regulatory and other code requirements
- Voluntary standard agreements
-
Reference Materials
Element 7: Communication
- The organization's decision whether to communicate their environmental aspects externally
Key presentations
Newsletters
Town meeting presentations
PR releases
Web based information
Reference Materials
- Records of monitoring and measurements
- Reports of progress toward meeting objectives and targets
- Monitoring equipment calibrations
% Complete
100
80
60
40
20
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10
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12
13
14
15
16
17
Environmental Policy
Environmental Aspects
Legal and Other Requirements
Objectives, Targets and Programs
Resources, Roles, Responsibility and Authority
Competence, Training and Awareness
Communication
Documentation
Control of Documents
Operational Control
Emergency Preparedness and Response
Monitoring and Measurement
Evaluation of Compliance
Nonconformity, Corrective Action and Preventive Action
Control of Records
Internal Audit
Management Review