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The ISO 14001 Standard is internationally recognized and used by industry and government organizations to enhance
performance. Conducting an EMS gap analysis is a key step in developing and implementing an ISO 14001 EMS. T
Assisting select Areas and facilities in determining how their environmental management system compares to th
Improving EMS assessment tools and guidance to ensure practicality and compliance with environmental requi
The EMS gap analysis is a self-evaluation. A series of questions will help you compare your organizations current en
Standard. This comparison provides a baseline assessment of your organization and helps you to identify current syste
existing policies and procedures, roles and responsibilities, communication systems, training programs and others. A
weaknesses of your organizations present environmental operations and determine the extent to which your operation
Upon completion of the analysis, you should be able to identify which of the 17 EMS elements are already in place an
the gap analysis will also help familiarize you with the ISO 14001 EMS Standard and the elements critical to develop
continual basis.
The EMS Gap Analysis Questionnaire is a tool to help you conduct an EMS gap analysis assessment on your organiza
who have direct knowledge of as many environmental and operational functions as possible. This is important so tha
also because each employee brings specific knowledge about environmental practices from his or her functional area.
The questionnaire first asks for basic organizational information and background information about the respondent w
and responsibilities, and telephone number.
The bulk of the questionnaire addresses the ISO 14001 requirements. There are 17 short sections of questions that co
the five main EMS categories of environmental policy; planning; implementation and operations; corrective action; an
the EMS element number so you can easily reference additional information about the 17 elements of the Standard.
There are three check boxes to the right of each of the questions on the Gap Analysis Questionnaire. After you respon
best describes the status of the component as it relates to your EMS. The status blocks in the gap analysis tool are rep
Not in place
Status
Partially in place
In Place
X
A numerical rating measuring your organizations conformance to the ISO 14001 Standard is determined from the res
each component response as follows:
In place = 2 p
The responses are totaled for the entire questionnaire resulting in your score. The highest score possible, 172, indicat
EMS (85 questions/components x 2 points for each component In place = 170 points). This baseline assessment ena
electronic version of the EMS Gap Analysis Questionnaire provided with the EMS Toolkit, the second tab titled "Sum
depiction of the degree to which you conform to the ISO 14001 EMS Standard. This chart can be used in managemen
implementation.
Hints
1) List of Required Documentation and Records: The ISO 14001 EMS Standard requires physical (or electronic)
for example, the organization's environmental policy. There is a list at the end of this gap analysis questionnaire that
evidence in the form of documentation or records. The list is organized by each of the 17 elements in the Standard. E
documentation are indicated in bold text in the gap analysis questionnaire for easy reference to the requirements of th
2) List of Reference Material: The second part of the list at the end of this gap analysis questionnaire is a list of ref
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)
Indicators of Conformity
1. Has top management defined the organization's environmental policy?
2. Does your procedure (process) for the environmental policy ensure that the
policy is appropriate to the nature, scale and environmental impacts of its
activities, products, and services that are within the defined scope of your
environmental management system?
3. Does your environmental policy within the defined scope of your EMS
commit to continual improvement and prevention of pollution?
4. Does your environmental policy within the defined scope of your EMS
commit to complying with applicable environmental legal requirements and
other environmental requirements?
5. Does your procedure (process) for the environmental policy provide a
framework for setting and reviewing environmental objectives and targets?
6. Does your procedure ensure that the environmental policy is
documented, implemented, and maintained?
7. Does your procedure (process) for the environmental policy communicate
the policy to all persons working for or on behalf of the organization?
8. Does your procedure (process) for the environmental policy make the policy
available to the public?
Is the policy consistent with
other corporate policies
affecting the business?
Status subtotals:
Status Total:
Percentage complete:
10. Determining those aspects that have or can have significant impact on the
environment?
11. Maintaining a documented up-to-date list of all aspects including those
that are significant?
12. Ensuring that significant environmental aspects are considered in
developing, implementing and maintaining the EMS?
Is there a risk assessment
process to determine
significance or priority of
identified environmental
aspects/impacts?
Status subtotals:
Status Total:
Percentage complete:
EMS Element 3: Legal and Other Requirements (ISO 14001:2004(E), Paragraph 4.3.2)
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?
Accessing applicable legal requirements related to your organization's
environmental aspects?
Determining how the legal requirements apply to your organization's
aspects?
Identifying other environmental requirements to which your organization
subscribes?
Accessing other environmental requirements to which your organization
subscribes?
Determining how other environmental requirements to which your
organization subscribes apply to your organization's aspects?
14. Does your procedure ensure that environmental legal and other
environmental requirements to which the organization subscribes are
considered in developing, implementing and maintaining your organization's
environmental management system?
Status subtotals:
Status Total:
Percentage complete:
EMS Element 4: Objectives, Targets and Programme(s) (ISO 14001:2004(E), Paragraph 4.3.3)
Does your procedure (process) for Objectives, Targets and Programmes
address:
15. Establishing and maintaining documented environmental objectives
and targets at relevant functions and levels within the organization?
Indicators of Conformity
16. Establishing measurable objectives and targets, where practicable, that are
consistent with the environmental policy, including the commitments to
prevention of pollution, compliance with legal and other environmental
requirements and continual improvement?
17. The legal and other environmental requirements, its significant
environmental aspects, its technology options and its financial, operational
and business requirements and the views of interested parties when
establishing and reviewing objectives and targets?
18. Does your procedure (process) address establishing and maintaining
programs for achieving your organization's objectives and targets, including
designating responsibility for achieving objectives and targets at relevant
functions and levels of your organization?
19. Does your procedure (process) address establishing and maintaining
programs for achieving your organization's objectives and targets, including
the means and time-frame by which the objectives and targets are to be
achieved?
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 criminal conduct.
Verify, where
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.
Determine if these
review are performed
in a timely manner, by
appropriately trained
professionals and if a
formal methodology is
employed.
Status subtotals:
Status Total:
Percentage complete:
Indicators of Conformity
EMS Element 6: Competence, training and awareness (ISO 14001:2004(E), Paragraph 4.4.2)
Does your procedure (process) for competence, training and awareness address:
Indicators of Conformity
23. Identifying training needs to ensure that any person(s) performing tasks on
the organization's behalf that have the potential to cause (a) significant
environmental impact(s) identified by the organization is/are competent on
the basis of appropriate education, training, or experience?
24. Identifying training needs associated with the organization's environmental
aspects and its EMS? Providing training or taking other actions to meet
these needs?
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?
Indicators of Conformity
Status subtotals:
Status Total:
Percentage complete:
EMS Element 11: Emergency preparedness and response (ISO 14001:2004(E), Paragraph 4.4.7)
Indicators of Conformity
Indicators of Conformity
EMS Element 14: Nonconformity, corrective action and preventive action (ISO 14001:2004(E), Paragraph 4.5
Indicators of Conformity
Indicators of Conformity
43. Do you establish and maintain a procedure (process) for controlling nonconformities and taking corrective and preventive actions?
44. Does the procedure for controlling non-conformities and taking corrective
and preventive action ensure that:
Actual non-conformity(-ies) are identified and corrected and their
environmental impact(s) are mitigated?
Actions are taken to investigate and eliminate the causes of
nonconformities so that they do not occur again?
Actions are determined to eliminate the causes of potential nonconformities and to prevent their recurrence?
45. Are any measures taken to identify, correct, mitigate, prevent or eliminate
the nonconformity(-ies) consistent with the magnitude of the problems and
the environmental impacts encountered?
46. After corrective and preventive actions have been taken, are they
reviewed and the program adjusted accordingly by implementing and
documenting any new changes that result from the findings?
Status subtotals:
Status Total:
Percentage complete:
Indicators of Conformity
Element subtotals:
Program Total:
Total Program percentage complete:
Element 8: Documentation
- Documents and records determined by the organization to be necessary to ensure the effective planning, operation
and control of processes that relate to its significant environmental aspects
- Description of the main elements of the EMS and their interaction and reference to related documents
Element 9: Document Control
aire
Area:
Facility Name:
Facility Type:
S Gap Analysis
nt system compares to the 17 elements of the ISO 14001 EMS Standard, and
nd
ts are already in place and which you need to develop or further refine. Conducting
ments critical to developing, implementing, checking, and improving the EMS on a
ions of questions that correspond to the 17 EMS elements. The 17 sections fall under
ons; corrective action; and management review. Each of the sections are labeled with
ments of the Standard.
nnaire. After you respond to each question, place an "X" or a check in the block that
gap analysis tool are represented as follows:
determined from the responses on this questionnaire. A numerical rating is given for
In place = 2 points
ore possible, 172, indicates all components of the 17 elements are In place in your
baseline assessment enables you to focus on continual improvement. In the
he second tab titled "Summary Chart", contains a bar chart to give you a visual
an be used in management presentations to show the progress of your EMS
s physical (or electronic) evidence of certain documents and records. This includes,
alysis questionnaire that highlights which items require physical (or electronic)
ments in the Standard. Elements of the ISO 14001 EMS Standard that require
to the requirements of the Standard.
estionnaire is a list of reference materials you may already possess that could help
e Standard.
Status
Not in
place
Partially
in place
0
0
In
place
Finding / Corrective
Action
Notes
0
16 points available
Status
Not in
place
Partially
in place
In
place
8 points available
Status
Partially
in place
0
0
Notes
0
0
Not in
place
Finding / Corrective
Action
In
place
Finding / Corrective
Action
Notes
0
14 points available
0
Status
Not in
place
Partially
in place
In
place
Finding / Corrective
Action
Notes
0
0
10 points available
aragraph 4.4.1)
Status
Not in
place
Partially
in place
In
place
Finding / Corrective
Action
Notes
0
0
8 points available
Status
Not in
place
Partially
in place
In
place
Finding / Corrective
Action
Notes
0
0
0
0
12 points available
Status
Not in
place
Partially
in place
In
place
8 points available
Status
Partially
in place
In
place
Notes
10 points available
Status
Partially
in place
Finding / Corrective
Action
0
0
Not in
place
Notes
0
0
Not in
place
Finding / Corrective
Action
In
place
Finding / Corrective
Action
Notes
0
0
18 points available
Status
Not in
place
Partially
in place
0
0
0
In
place
Finding / Corrective
Action
Notes
0
6 points available
aph 4.4.7)
Status
Not in
place
Partially
in place
In
place
8 points available
Status
Partially
in place
In
place
Notes
6 points available
Status
Partially
in place
Finding / Corrective
Action
0
0
Not in
place
Notes
0
0
Not in
place
Finding / Corrective
Action
0
0
0
In
place
Finding / Corrective
Action
Notes
0
2 points available
Finding / Corrective
Action
Notes
Not in
place
Partially
in place
In
place
12 points available
Status
Partially
in place
In
place
Notes
6 points available
Status
Partially
in place
Finding / Corrective
Action
0
0
Not in
place
Notes
0
0
Not in
place
Finding / Corrective
Action
In
place
Finding / Corrective
Action
Notes
0
0
18 points available
Status
Not in
place
Partially
in place
0
0
0
In
place
Finding / Corrective
Action
Notes
0
10 points available
rogram Totals
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
- List of performance measures for decontaminations process
- List of programs associated with significant aspects
- Wastewater management plan
- Hazardous management plan
- Chemical management plan
- Process Safety management
- Bloodborne pathogens program
- Communications program
- Job descriptions for key on site staff for programs to address
significant aspects
- Budgets
- Work schedules
- Organizational charts
- Staffing assignments
- Training material and sign up sheets
- Shift change meeting notes
- Training records
- Resumes of staff responsible for key programs
- Roster of fully equipped and trained emergency personnel with the
authority to perform essential functions and activities
Reference Materials
- Key presentations
- Newsletters
- Town meeting presentations
- PR releases
- Web based information
- Communications with customers, suppliers, contractors and other
external parties
- Correspondence with management
- Master call list for employees
- Internal communication procedure
- External communication procedure
- Sample script
anning, operation
ents
- List of key documents
- Legal documents
- Permits
- Procedures for different media
- Contactor environmental plans
- Operational controls
- Sampling procedures
- Preventative maintenance plan for equipment
- Site emergency response plan
- Incident notification procedure
- Organization evacuation procedure
- Employee meeting and disbursement procedure
Reference Materials
- Records of monitoring and measurements
- Reports of progress toward meeting objectives and targets
zation's
ve been taken
national Standard.
- Training, environmental management audit and management review
- Sampling and monitoring data
- Equipment maintenance records
- Record retention policy
- Vital legal and financial records (accounts receivable; contracting and
acquisition files; official personnel files: social security, payroll,
retirement, and insurance records; and property management and
inventory records)
- Logs and notes for emergency response exercises
- Self assessments
- Environmental management audit reports
100
80
% Complete
60
40
20
0
ments
1 Environmental Policy
2 Environmental Aspects
3 Legal and Other Requirements
4 Objectives, Targets and Programs
5 Resources, Roles, Responsibility and Authority
6 Competence, Training and Awareness
7 Communication
8 Documentation
9 Control of Documents
10 Operational Control
11 Emergency Preparedness and Response
12 Monitoring and Measurement
13 Evaluation of Compliance
14 Nonconformity, Corrective Action and Preventive Action
15 Control of Records
16 Internal Audit
17 Management Review
and Authority