ISO 14001 Gap Analysis Questionnaire

ISO 14001 Gap Analysis Questionnaire
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Conducting the EMS Gap Analysis

Objectives
The ISO 14001 Standard is internationally recognized and used by industry and government organizations to enhance environmental and
operational effectiveness, efficiency, and performance. Conducting an EMS gap analysis is a key step in developing and implementing an
ISO 14001 EMS. The objectives of this step include:
Assisting select Areas and facilities in determining how their environmental management system compares to the 17 elements of the
ISO 14001 EMS Standard, and
Improving EMS assessment tools and guidance to ensure practicality and compliance with environmental requirements and other
relevant requirements.
Gap Analysis Background
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.
Gap Analysis Questionnaire Description and Directions

The bulk of the questionnaire addresses the ISO 14001 requirements. There are 17 short sections of questions that correspond to the 17
EMS elements. The 17 sections fall under the five main EMS categories of environmental policy; planning; implementation and operations;
corrective action; and management review. Each of the sections are labeled with 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 respond to each question,
place an "X" or a check in the block that best describes the status of the component as it relates to your EMS. The status blocks in the gap
analysis tool are represented as follows:
Status
Not in
Partially in place
In Place
place
This is a controlled document DO NOT reproduce or distribute.
Draft 2008 PPI 1
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
Partially in place = 1 point
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
1. Has top management defined the organization's environmental

2. policy?
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
4. pollution?
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
targets? ensure that the environmental policy
6. Does
yourand
procedure
is documented, implemented, and maintained?
Draft 2008 PPI 2
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?
Question Category: Planning
Status subtotals:
Status Total:
Percentage complete:
0
0
EMS Element 2: Environmental Aspects (ISO 14001:2004(E), Paragraph 4.3.1)

16 points available
Statu
s
Not in
place
Partiall
In
y in
place
place
Notes
Action
9. Does your procedure (process) for environmental aspects address:

Identifying environmental aspects of activities, products, and
services within the defined scope of the EMS that it can control
and those which it can influence taking into account planned or
new developments, or new or modified activities, products and
services?
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?
Status subtotals:
Status Total:
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
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
Notes
Action
Draft 2008 PPI 3
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:
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
Notes
Action
15. Establishing and maintaining documented environmental

objectives and targets at relevant functions and levels
within the organization?
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?
Draft 2008 PPI 4
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.
Draft 2008 PPI 5
Status subtotals:
Status Total:
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
Question Category: Implementation and Operation
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:
Not in
place
Partiall
y in
In
place place
Notes
Action
20. Management ensuring the availability of resources (human

resources & specialized skills, internal infrastructure, technology
and financial resources) essential for the implementation and
control of the environmental management system?
21. Defining, documenting and communicating the roles,
responsibilities and authorities to facilitate effective
environmental management?
22. Top management appointing a specific management
representative who, irrespective of other responsibilities, has
defined responsibilities and authority for:
Ensuring that an environmental management system is
established, implemented, and maintained in accordance with the
requirements of ISO 14001?
Reporting on the performance of the environmental
management system to top management for review and as the
basis for improvement?
Draft 2008 PPI 6
Verify if the roles and

responsibilities cover:
Legal/regulatory tracking;
Updating/reviewing
documentation control
procedures; Training;
Policy and procedure
development; Contractor
oversight; Follow-up to
inspections/audits/periodi
c reviews; Updating the
environmental policy;
Identifying environmental
aspects/impacts of onsite operations; and,
Responding to external
requests for information.
Status subtotals:
Status Total:
Verify that the roles are

clearly defined,
documented, and
understood and that
there are no
redundancies or gaps in
the coverage.
Interview staff from
various operating
departments to confirm
that environmental roles
and responsibilities are
clearly understood within
the facility.
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:
Not in
place
Partiall
y in
In
place place
Notes
Action
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?
Draft 2008 PPI 7
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.
Draft 2008 PPI 8
Confirm that the facility

promotes environmental
awareness through
periodic memoranda, use
of bulletin boards,
environmental
Confirm
whether
staff
newsletters,
award
with
environmental
programs,
etc.
responsibilities have the
relevant background,
training, and capabilities
to effectively carry out
their responsibilities.
0
Status subtotals:
Status Total:
0
0
12 points available
EMS Element 7: Communication (ISO 14001:2004(E), Paragraph 4.4.3)

Status
Does your procedure (process) for Communication address:
Not in
place
Partiall
y in
In
place place
Notes
Action
26. Establishing and maintaining procedures for internal

communication between the various levels and functions of your
organization with regard to your organization's environmental
aspects and environmental management system?
27. Establishing and maintaining procedures for receiving,
documenting, and responding to relevant communication from
external interested parties with regard to your organization's
environmental aspects and environmental management system?
28. The organization's decision on whether to communicate
externally on its significant environmental aspects and the
documentation of that decision?
If the decision is to communicate externally on its significant
environmental aspects, does the organization have a method(s)
for this external communication?
0
Status subtotals:
Status Total:
0
0
EMS Element 8: Documentation (ISO 14001:2004(E), Paragraph 4.4.4)

8 points available
Statu
Not in
place
s
Partiall
y in
In
place place
Notes
Action
29. Does your environmental management system

documentation include:
An environmental policy, objectives and targets for your
organization?
Draft 2008 PPI 9
- a description of the scope of the environmental

management system?
A description of the main elements of the environmental
management system and their interaction and reference to
related documents?
Documents and records required by the ISO 14001
Standard (at minimum those bolded in this gap analysis
tool)?
Documents and records the organization determined
necessary to ensure the effective planning, operation and
control of processes that relate to its significant
environmental aspects?
Status subtotals:
Status Total:
0
0
10 points available
EMS Element 9: Control of Documents (ISO 14001:2004(E), Paragraph 4.4.5)

Status
Partiall
Not in
place
y in
place
In
place
Notes
Action
30. Does your document control procedure(s) address the need to

control documents required by the environmental management
system and by the International Standard?
31. Does your document control procedure(s) address the need to:
Approve documents before they are issued?
Review and update them as necessary, and re-approve them
before reissuing them?
Ensure changes and the current revision status of documents are
identified?
Ensure current documents are available at points of use?
Ensure documents are legible and easily identifiable?
Ensure that external documentation you deem necessary for the
planning and operation of the environmental management system
are identified and their distribution controlled?
Ensure obsolete documentation is not unintentionally used?
Identify obsolete documentation if it needs to be retained for any
purpose?
Draft 2008 PPI 10
Evaluate whether: There

are systems in place to
ensure that all required
reports are sent to
regulators in a timely
fashion; The
documentation/records
system clearly identifies
the maintenance
retention period, and
disposition of records;
and, Employees have
access to environmental
documents they need to
conduct job activities.
0
Status subtotals:
Status Total:
0
0
18 points available
EMS Element 10: Operational Control (ISO 14001:2004(E), Paragraph 4.4.6)

Does your procedure (process) for Operational Controls:
Status
Partiall
Not in
place
y in
place
In
place
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:
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
Status
Not in
place
Partiall
y in
In
place place
Action
Notes
prevent or mitigate associated environmental impacts?
Draft 2008 PPI 11
37. Does your organization periodically review and, where necessary,

revise the emergency preparedness and response procedures, in
particular, after the occurrence of accidents or emergency
38. situations?
Does your organization periodically test the emergency
preparedness and response procedures where practicable?
Confirm that the
procedures have been
updated, as appropriate,
in response to new
information or program
reviews.
Question Category: Checking
Status subtotals:
Status Total:
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:
Not in
place
Partiall
y in
In
place place
Notes
Action
39. Key characteristics of your operations (that can have a significant

environmental impact) are monitored and measured on a regular
basis?
40. Information
is documented to monitor performance,
applicable operational controls, and conformity with the
objectives and targets of your organization?
41. Monitoring and measurement equipment is calibrated and
maintained and all associated records are retained?
0
Status subtotals:
Status Total:
0
0
6 points available
EMS Element 13: Evaluation of compliance (ISO 14001:2004(E), Paragraph 4.5.2)

Status
42. Does your procedure (process) to meet the organization's
commitment to compliance ensure that you periodically evaluate
compliance with applicable environmental legal requirements and
other environmental requirements to which the organization
subscribes?
Status subtotals:
Status Total:
Not in
place
Partiall
y in
In
place place
Notes
Action
0
0
2 points available
EMS Element 14: Nonconformity, corrective action and preventive action (ISO 14001:2004(E), Paragraph 4.5.3)
Status
Partiall
Not in
place
y in
place
In
place
Notes
Action
Draft 2008 PPI 12
43. Do you establish and maintain a procedure (process) for

controlling non-conformities and taking corrective and preventive
44. actions?
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:
0
0
12 points available
EMS Element 15: Control of Records (ISO 14001:2004(E), Paragraph 4.5.4)

Status
Partiall
Not in
place
y in
place
In
place
Notes
Action
47. Has your organization created and maintained records as

necessary that demonstrate compliance with the EMS and
conformance to the requirements of the ISO 14001
Standard, including evaluation of compliance with
environmental legal requirements and other environmental
requirements to which the organization subscribes and the
implementation of procedures and results achieved?
48. Does your procedure (process) for records management describe
how the records will be identified, stored, protected, retrieved,
retained, and disposed?
49. Are the records themselves legible, identifiable, and traceable?
Status subtotals:
Status Total:
0
0
6 points available
EMS Element 16: Internal audit (ISO 14001:2004(E), Paragraph 4.5.5)

Status
Does your procedure (process) for an internal environmental
management system audit:
50. Ensure that internal environmental management system audits
are conducted at planned intervals?
Not in
place
Partiall
y in
In
place place
Notes
Action
Draft 2008 PPI 13
Determine whether the environmental management system

conforms to planned arrangements for environmental
management including the requirements of the ISO 14001
Standard?
Determine whether the environmental management system has
been properly implemented and is maintained?
Determine whether the environmental management system
provides information on the results of audits to management?
51. Plan, establish and maintain the environmental management audit
program taking into consideration the environmental importance
of the operation(s) concerns and the results of previous audits?
52. State the responsibilities and requirements for planning and
conducting audits?
State the responsibilities and requirements for reporting results?
Define the audit criteria, scope, frequency and methods and
explain how you have determined them?
53. Ensure that the selection of auditors and the conduct of the audits
maintains the objectivity and impartiality of the audit process?
0
Status subtotals:
Status Total:
0
0
18 points available
Question Category: Management Review

EMS Element 17: Management review (ISO 14001:2004(E), Paragraph 4.6)
Does your procedure (process) for Management Review:
Status
Partiall
Not in
place
y in
place
In
place
Notes
Action
54. Ensure continuing suitability, adequacy, and effectiveness of the

environmental management system through top management
review of it at planned intervals?
55. Ensure that opportunities are assessed for improvement and the
need for changes to the environmental management system
including the environmental policy and environmental objectives
and targets are assessed?
Ensure that the results of the management reviews are
documented?
56. Contain input which includes the following: results of
environmental management system audits, communication from
external interested parties, the performance of the environmental
management system, the extent to which objectives and targets
have been met, status of corrective and preventive actions, followup actions from previous management reviews, changing
circumstances, and recommendations for improvement?
Draft 2008 PPI 14
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?
Confirm that a review

process exists to update
the policy and to
communicate changes to
appropriate stakeholders.
0
Status subtotals:
Status Total:
Program Totals
Element subtotals:
Program Total:
Total Program percentage complete:
- List of significant aspects

- List of all aspects
Element 3: Legal and Other Requirements
Element 4: Objectives and Targets

- Environmental objectives and targets
Element 5: Resources, roles, responsibility and authority

- Roles, responsibilities, and authorities for the environmental management system
10 points available
0
0
0
Required Documents and Records

Element 1: Environmental Policy
- Organization's Environmental Policy
Element 2: Environmental Aspects
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
Element 6: Competence, training and awareness

- Training material and sign up sheets
Draft 2008 PPI 15
- 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
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
- 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
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
- List of key documents
- Legal documents
- Permits
Element 10: Operational Control
- Operational Control Procedures
(where the absence of documented procedures could lead to deviation from the
environmental policy and the objectives and targets)
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
Element 11: Emergency preparedness and response

Element 12: Monitoring and measurement
- Records associated with calibration and maintenance of monitoring and measurement equipment
- Information to monitor performance, applicable operational controls and conformity with the
organization's environmental objectives and targets
Reference Materials
- Records of monitoring and measurements
- Reports of progress toward meeting objectives and targets
- Monitoring equipment calibrations
Draft 2008 PPI 16
- Accident investigation reports

- Injury and illness reports
- Permits, licenses and other approvals
Element 13: Evaluation of legal compliance
- EMS audit and regulatory compliance audit reports
Element 14: Nonconformity and preventative and corrective action
- New changes to the program resulting from findings once the corrective and preventive actions have
been taken
- Reports of identified nonconformance, corrective action

plans and corrective action tracking
- Reports of hazardous material spills or other environmental
incidents
Element 15: Records

- Records as necessary to demonstrate conformity to the requirements of the EMS and of the
International 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
Element 16:Internal environmental management system audit

- Self assessments
- Environmental management audit reports
Element 17: Management review
- Results of management reviews
- Senior managers meeting minutes

- Change to environmental management system
- Results of management review
Draft 2008 PPI 17
% Complete
100
Facility Name and Type
80
60
40
20
ISO 14001:2004 EMS Elements
1
2
3
4
5
6
7
8
9
10
11
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

ISO 14001 Gap Analysis Questionnaire - SF

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Conducting the EMS Gap Analysis

Gap Analysis Background

Gap Analysis Questionnaire Description and Directions

This is a controlled document DO NOT reproduce or distribute.

Draft 2008 PPI 1

Partially in place = 1 point

1. Has top management defined the organization's environmental

This is a controlled document DO NOT reproduce or distribute.

Draft 2008 PPI 2

7. Does your procedure (process) for the environmental policy

Question Category: Planning

EMS Element 2: Environmental Aspects (ISO 14001:2004(E), Paragraph 4.3.1)

9. Does your procedure (process) for environmental aspects address:

This is a controlled document DO NOT reproduce or distribute.

Draft 2008 PPI 3

Accessing applicable legal requirements related to your

15. Establishing and maintaining documented environmental

This is a controlled document DO NOT reproduce or distribute.

Draft 2008 PPI 4

This is a controlled document DO NOT reproduce or distribute.

Draft 2008 PPI 5

Question Category: Implementation and Operation

20. Management ensuring the availability of resources (human

This is a controlled document DO NOT reproduce or distribute.

Draft 2008 PPI 6

Verify if the roles and

Verify that the roles are

23. Identifying training needs to ensure that any person(s) performing

This is a controlled document DO NOT reproduce or distribute.

Draft 2008 PPI 7

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Draft 2008 PPI 8

Confirm that the facility

EMS Element 7: Communication (ISO 14001:2004(E), Paragraph 4.4.3)

26. Establishing and maintaining procedures for internal

EMS Element 8: Documentation (ISO 14001:2004(E), Paragraph 4.4.4)

29. Does your environmental management system

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Draft 2008 PPI 9

- a description of the scope of the environmental

EMS Element 9: Control of Documents (ISO 14001:2004(E), Paragraph 4.4.5)

30. Does your document control procedure(s) address the need to

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Draft 2008 PPI 10

Evaluate whether: There

EMS Element 10: Operational Control (ISO 14001:2004(E), Paragraph 4.4.6)

prevent or mitigate associated environmental impacts?

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Draft 2008 PPI 11

37. Does your organization periodically review and, where necessary,

Question Category: Checking

39. Key characteristics of your operations (that can have a significant

EMS Element 13: Evaluation of compliance (ISO 14001:2004(E), Paragraph 4.5.2)

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Draft 2008 PPI 12

43. Do you establish and maintain a procedure (process) for

EMS Element 15: Control of Records (ISO 14001:2004(E), Paragraph 4.5.4)

47. Has your organization created and maintained records as

EMS Element 16: Internal audit (ISO 14001:2004(E), Paragraph 4.5.5)

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Draft 2008 PPI 13

Determine whether the environmental management system