Implementation Guidance
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Purpose of this document
This document should be used to assess the level of conformity of an organization against the ISO14001 standard. It may be used by a consultant on behalf of a client or by an organization directly.
Areas of the standard addressed
All areas of the ISO14001 standard are covered.
General guidance
This tool allows you to perform a gap assessment against the ISO14001 standard. The questions asked are based on the contents of the relevant standard and are designed to give a reasonable assessment of the degree to which the relevant requirements are met. In all cases a "Yes" answer is taken as a positive indication. The results are summarised in a series of tables and in a selection of charts.
If you would prefer to assess your conformity directly against the requirements of the standard, CertiKit also offers as a separate chargeable product, the CertiKit ISO14001 Enhanced Gap Assessment Tool which lists the exact requirements from the standard, line by line. Because this second option contains the full text from the standard, it is subject to a licensing agreement that CertiKit maintains with the ISO via BSI. The Enhanced Gap Assessment Tool is available for purchase from our website.
Review frequency
It is a good idea to revisit this assessment on a regular basis throughout your project to obtain an indication of progress and as a final check prior to an external audit.
Version number
ISO14001 Toolkit Version 3
Copyright notice
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Licence terms
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Assessment Details
Standard assessed:
Date(s) of assessment:
Location of assessment:
Assessor:
Assessment participants:
Purpose of assessment:
Scope of assessment:
ISO14001 Gap Assessment Tool
4.1 Understanding the organization and its context
1 Have the external and internal issues relevant to the EMS been determined?
2 Do these issues include relevant environmental conditions?
4.2 Understanding the needs and expectations of interested parties
1 Have the interested parties and their requirements been identified?
2 Has it been determined which of these requirements represent compliance obligations?
4.3 Determining the scope of the environmental management system
1 Has the scope of the EMS been determined and documented?
2 Are the boundaries and applicability of the EMS clearly defined and justified?
3 Have the external and internal issues, requirements of interested parties, the organization's activities, products and services and its degree of influence been considered in determining the scope?
4.4 Environmental management system
1 Is an EMS in place and being continually improved?
2 Are the processes
5.1 Leadership and commitment
1 Does top
2 Are leadership actions taken by top management
5.2 Environmental Policy
1 Has an appropriate environmental policy been established, implemented and maintained?
2 Does it include the required framework for setting environmental objectives and commitments to the protection of the environment, satisfying compliance obligations and continual improvement?
3 Is the environmental policy documented?
4 Is it communicated internally and where appropriate, externally?
5.3 Roles, responsibilities and authorities
1 Are relevant roles, responsibilities and authorities assigned, communicated and understood?
2 Have the required specific responsibilities and authorities been assigned for EMS conformance and performance reporting?
6.1 Actions to address risks and opportunities
1 Are all of the relevant risks and opportunities determined and documented with respect to the EMS?
2 Have potential emergency situations been determined?
3 Have the environmental aspects of the organization's activities, products and services been determined?
4 Are the significant environmental aspects identified?
5 Have the significant environmental aspects been communicated within the organization?
6 Are the aspects, impacts and criteria used to decide significance, documented?
7 Are the compliance obligations of the organization determined and documented?
8 Is there a plan in place to address risks, opportunities, significant aspects and compliance obligations?
6.2
Environmental objectives and planning to achieve them
1 Have measurable environmental objectives been established, documented and communicated?
2 Is there a plan to achieve the defined environmental objectives?
3 Is success against the objectives reviewed and updated regularly?
6.3 Planning of changes
1 Is there a process in place to raise, assess and implement changes to the EMS?
2 Is evidence available that changes have been through this process?
7 Support
7.1 Resources
1 Are appropriate resources provided for the EMS, both internally and where necessary, externally?
7.2 Competence
1 Have the necessary competence levels been determined for the roles within the EMS?
2 Are all of the relevant people sufficiently competent to perform their roles?
3 Where necessary, is action taken to improve competence and are records kept?
7.3 Awareness
1 Are all relevant people aware of the environmental policy and their role in fulfilling environmental objectives?
2 Is everyone aware of the significant environmental aspects of their work?
7.4 Communication
1 Is effective internal and external communication in place?
2 Are communications about the EMS responded to?
3 Is external communication undertaken in accordance with compliance obligations?
7.5 Documented information
1 Is all of the documented information required by the standard in place?
2 Are standards used for documentation such as titles, references, format, review and approval?
3 Is the lifecycle of documented information controlled, including that from outside the organization?
4 Is documented information adequately protected?
8 Operation
8.1 Operational planning and control
1 Are all of the processes needed to meet requirements planned, implemented and controlled?
2 Are planned changes controlled and the consequences of unplanned changes mitigated?
3 Are externally provided processes identified and controlled?
4 Are environmental requirements addressed in the design and development of products and services?
5 Do procurement methods consider environmental requirements?
6 Are suppliers made aware of environmental requirements?
7 Are environmental impacts considered during transportation and disposal of products?
8.2 Emergency preparedness and response
1 Are processes and plans in place to respond to potential emergency situations?
2 Are emergency plans tested on a regular basis?
3 Are the plans continually improved?
4 Are the relevant people trained in enacting the plans?
9 Performance evaluation
9.1 Monitoring, measurement, analysis and performance evaluation
1 Is it clearly defined what needs to be monitored and measured to determine the effectiveness of the EMS?
2 Are the methods for monitoring, measurement, analysis and evaluation clearly defined and the results documented?
3 Is monitoring and measuring equipment calibrated or verified regularly where relevant?
4 Are results of monitoring and measurement analysed to evaluate key factors such as levels of conformity, fulfilment of compliance obligations and need for improvement?
9.2 Internal audit
1 Are appropriate internal audits being carried out by suitably qualified and impartial people?
2 Are the audit results being documented and communicated to management so that action can be taken?
9.3 Management review
1 Are documented management reviews being held regularly?
2 Are all of the required topics (such as changes, trends, achievement of objectives, resources, risks and improvements) covered in each management review?
3 Do the outputs from the management review cover the required areas e.g. improvements, changes and required actions?
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Improvement 10.1 Continual improvement
1 Is the suitability, adequacy and effectiveness of the EMS being continually improved?
10.2 Nonconformity and corrective action
1 Are nonconformities being identified, documented, evaluated and addressed?
2 Is the effectiveness of corrective actions reviewed and the EMS changed if necessary?
ISO14001 Gap Asessment dashboard (summary)
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