ISO 14001 Gap Analysis Checklist

Use the ISO 14001 Gap Analysis Checklist to spot gaps, assess compliance, and plan actions to meet organizational environmental management system standards.

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ISO 14001 Gap Analysis Checklist

Context Of The Organization

Leadership

Planning

15. Is there evidence of planning actions to achieve environmental objectives, including: what will be done; what resources will be required; who will be responsible; when it will be completed; how results will be evaluated, including indicators for monitoring progress?

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Support

3. Does documented information support the awareness of persons working under your organization’s control of environmental policy; significant environmental aspects; their contribution toward an effective EMS; understanding the benefits of enhanced environmental performance and implications of not conforming with EMS and fulfilling compliance obligations?

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Operation

6. Does your organization: Have a process for how to prepare and respond to emergency situations? Plan actions to prevent/mitigate impacts from emergency situations? Provide relevant info regarding emergency preparedness and response to relevant interested parties? Maintain documentation to give confidence that processes are carried out as planned?

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Performance Evaluation

Improvement

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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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ISO 14001 Gap Analysis Checklist

Use the ISO 14001 Gap Analysis Checklist to spot gaps, assess compliance, and plan actions to meet organizational environmental management system standards.

1. Has your organization determined external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its EMS?

2. Is information on changes in the context systematically presented at the Management Review?

3. Have issues been considered as inputs to determine the scope and determination of risks and opportunities?

4. Has your organization determined: Interested parties relevant to the EMS; Relevant needs and expectations (i.e. requirements) of these interested parties; Those needs and expectations become compliance obligations.

5. Have both internal and external parties been considered?

6. Have they been considered as inputs for scope definition and for the determination of risks and opportunities?

7. Is the scope of the EMS documented and available to interested parties?

8. Are all activities, products, and services within the scope included (i.e. no exclusions)?

9. Does your organization use the knowledge gained from 4.1 and 4.2 to establish and maintain its EMS?

1. How does Top management demonstrate leadership and commitment with respect to the environmental management system?

2. Do they take an active and leading role and understand their duties in relation to the EMS and participate in promoting and supporting effective environmental management?

3. Is the environmental policy compatible with the strategic direction and the context of your organization?

4. Does it include (a) commitment(s) to the protection of the environment, including prevention of pollution, and (b) other specific commitments relevant to the context of your organization?

5. Has Top management ensured that all responsibilities, and authorities for relevant roles are assigned and communicated within your organization?

6. Has Top management assigned the roles, responsibilities, and authorities for ensuring conformance of the EMS?

7. Has Top management assigned the roles, responsibilities, and authorities for reporting on the performance of the EMS and its processes?

1. Are risks and opportunities that relate to environmental aspects, compliance obligations, and other issues identified and addressed?

2. Is sufficient documentation available to give confidence that the process has been carried out? Are potential emergency situations identified and documented?

3. Is there evidence that environmental aspects of your organization’s activities, products, and services that it has control over and which it can influence, along with environmental impacts, determined?

4. Is the life cycle perspective of the identified environmental aspects considered?

5. Has your organization established criteria that are documented and utilized to determine significant environmental aspects?

6. Are significant environmental aspects communicated among the various levels and functions of the organization?

7. Does your organization have access to, and determine which compliance obligations that apply to its environmental aspects?

8. Are compliance obligations considered when operating and improving the EMS?

9. Are compliance obligations documented?

10. Does your organization’s planning take into consideration actions to address: significant environmental aspects; compliance obligations; risks and opportunities?

11. Is there evidence that your organization’s planning process has the EMS integrated and implemented with other business processes?

12. Does your organization evaluate the effectiveness of its planned actions?

13. Has your organization established its environmental objectives that are consistent with the environmental policy, and which are measurable, monitored, communicated, and updated as appropriate?

14. Are the objectives compatible with the strategic direction and the context of your organization?

15. Is there evidence of planning actions to achieve environmental objectives, including: what will be done; what resources will be required; who will be responsible; when it will be completed; how results will be evaluated, including indicators for monitoring progress?

16. Is there evidence that your organization has integrated its environmental objectives into its business processes?

1. Does your organization determine and provide resources needed for the establishment, implementation, maintenance, and continual improvement of the EMS?

2. Does your organization operate a process to determine the necessary competence, training, and documented information to support the EMS?

4. Has your organization established and implemented processes for internal and external communications relevant to the EMS?

5. When planning its communications process, does your organization take into account its compliance obligations; and ensure that environmental information communicated is consistent with information generated within the EMS and is reliable?

6. Does the communication process enable employees or externals to contribute to continual improvement?

7. Does your organization communicate external information relevant to EMS, as established by its communication process and as required by its compliance obligations?

8. Does your organization’s EMS include all documented information required by the ISO 14001:2015 standard, and the information determined by the organization itself as necessary for the effectiveness of the EMS?

9. When creating and updating documented information, is it appropriately identified, formatted, and described?

10. Is the documented information reviewed and approved for suitability and adequacy?

11. Is the documented information controlled in order to ensure that it is available where needed and that it is suitable for use?

12. Is it adequately protected against improper use, loss of integrity, and loss of confidentiality?

13. Does your organization address the distribution, access, retrieval, and use of documented information?

14. Is there a process for control of changes (version control), storage and preservation (including preservation of legibility), and retention and disposition of documented information?

1. Does your organization plan, implement, and control the processes needed to meet EMS requirements and to implement the actions determined in 6.1 and 6.2?

2. Does your organization control planned changes, review the consequences of unintended changes, and take action to mitigate any adverse effects, as necessary?

3. Does your organization ensure that outsourced processes are controlled or influenced?

4. Does your organization control processes consistent with achieving a life cycle perspective?

5. Does your organization ensure that documented information is maintained to the extent necessary to give confidence that the processes have been carried out as planned?

1. Does your organization monitor, measure, analyze, evaluate, and communicate its environmental performance?

2. Does your organization have an effective process for the evaluation of compliance obligations fulfillment?

3. Does your organization retain appropriate documented information as evidence of the monitoring, measurement, analysis, and evaluation results?

4. Does your organization undertake programmed internal auditing to ensure that the EMS is implemented and maintained, and is compliant with our own requirements and those of ISO 14001:2015?

5. Does your organization retain documented information as evidence of the implementation of the audit program and the audit results?

6. Does your organization undertake scheduled management reviews to consider the items required by ISO 14001:2015?

7. Does the output include a conclusion related to the continued suitability, adequacy, and effectiveness of EMS?

1. Has your organization identified the improvement opportunities and taken necessary actions that will better enable the organization to achieve the intended outcome of its EMS?

2. Does your organization operate an effective process for taking action to correct non-conformities and the consequences of adverse environmental impacts?

3. Does your organization operate an effective process for continuous improvement of the EMS to enhance environmental performance?

4. Are corrective actions completed with evidence of closure?