14001:2015 Gap Analysis

Ask yourselves the following questions to assess your progress towards achieving ISO
14001:2015 :

Do we have and maintain the following documentation and records?

 Documented scope of the system (as per 4.3)

 Environmental Policy (as per 5.2)

 Risks and opportunities that need to be addressed (6.1.1)

 Environmental Aspects and Impacts, criteria for determining significance and significant environmental
aspects (6.1.2).

 Compliance obligations (6.1.3)

 Environmental Objectives (6.2.1)

 Competency evidence(7.2)

 Communications (7.4.1)

 Operational planning and control (8.1)

 Emergency Preparedness and Response (8.2)

 Evaluation, Measurement, Analysis and Evaluation results (9.1.1)

 Evaluation of Compliance (9.1.2)

 Internal audit (9.2.2)

 Management Review (9.3)

 Nonconformity and Corrective Action (10.1)

Do we comply? Y/N
4. Context of The Organisation
4.1 Understanding the organisation and its context
Have we determined internal and external issues relevant to us?
4.2 Understanding the needs and expectations of interested parties
Have we determined:
a. Those interested parties relevant to us?
b. The needs and expectations of them?
c. Which needs are compliance obligations?
4.3 Determining the scope of the EMS
a. Have we defined the processes, people and places covered by the scope, including

Page 1 of 8
 14001:2015 Gap Analysis
Do we comply? Y/N
the external and internal issues and compliance obligations, our products and our
ability to exercise influence and control?
b. Is the scope documented information and available to interested parties?

5. Leadership
5.1 Leadership and commitment
Do our leaders demonstrate leadership and commitment to the EMS including:
a. Taking accountability for its effectiveness?
b. Establishing policy and objectives that are compatible with the strategic direction
and the context of the organisation?
c. Integrating the EMS into our processes?
d. Ensuring resources are available?
e. Communicating the importance and requirements?
f. Ensuring the EMS achieves its outcomes?
g. Providing direction and support?
h. Promoting continual improvement?
5.2 Environmental policy
Do we have a documented information policy that:
a. Is appropriate to the purpose and context of the organisation?
b. Provides a framework for setting and environmental objectives?
c. includes a commitment to the protection of the environment, including prevention of
pollution and other commitments?
d. Has a commitment to comply with compliance obligations?
e. Has a commitment to continually improve the environmental management system
and environmental management performance?
Is the policy:
a. Documented information?
b. Communicated?
c. Available to Interested parties?
5.3 Organizational roles, responsibilities and authorities
Has our organisation assigned all relevant roles, responsibilities and authorities to:
a. Ensure the management system is established, implemented and maintained in
accordance with the requirements of the standard?
b. Report on environmental performance to top management?
6. Planning
6.1 Actions to address risks and opportunities
6.1.1 General

Page 2 of 8
 14001:2015 Gap Analysis
Do we comply? Y/N
a. Have we determined the risks and opportunities related to our environmental
aspects, compliance obligations the context of the organisation?
b. Have we determined potential emergency situations?
6.1.2 Environmental aspects
a. Have we identified the environmental aspects of our activities, product and services
within the scope, that we can control and influence?
b. Have we determined the aspects that may have a significant impact?
c. Do we communicate our significant environmental aspects internally as
appropriate?
d. Do we have documented information on our environmental aspects and impacts,
criteria for determining significance and significant environmental aspects?
6.1.3 Compliance obligations
a. Have we determined our compliance obligations and how they apply to us?
b. Do we consider these when improving our EMS?
c. Are our compliance obligations documented information?
6.1.4 Planning action
Have we planned actions (considering technological, financial and business requirements)
to address our:
a. Significant environmental aspects?
b. Compliance obligations?
c. Risks and opportunities?
Have we planned how to integrate and implement actions into EMS and evaluate
effectiveness?
6.2.1 Environmental objectives
Are our objectives:
a. Consistent with the policy?
b. Measurable (if practicable)?
c. Monitored?
d. Communicated?
e. Updated?
f. Do we have documented information?

Page 3 of 8
 14001:2015 Gap Analysis
Do we comply? Y/N
6.2.2 Planning actions to achieve environmental objectives
Have we determined:
a. What will be done?
b. What resources will be required?
c. Who will be responsible?
d. When it will be completed?
e. How the results will be evaluated, including indicators?
7. Support
7.1 Resources
Have we determined and provided the resources needed for the EMS?
7.2 Competence
Do we:
a. Determine necessary competence for personnel?
b. Ensure they are competent through training, education or experience?
c. Determine training needs and take action?
d. Maintain documented information of competence?
7.3 Awareness
Do we ensure staff are aware of:
a. Our policy?
b. Significant environmental aspects?
c. Their contribution to the EMS?
d. Implications of not conforming to the EMS?
7.4 Communication
7.4.1 General
Have we established processes for internal and external communication including:
a. What, when, with whom and how to communicate?
b. Consideration of our compliance obligations?
c. Ensuring information is consistent with the EMS and is reliability?
Have we established processes to respond to communication on our EMS Do we retain
documented records of appropriate communications?
7.4.2 Internal communication
Do we internally communicate information about the EMS in such a way to ensure
continual improvement?

Page 4 of 8
 14001:2015 Gap Analysis
Do we comply? Y/N
7.4.3 External communication
Do we communicate EMS information externally including that required by our compliance
obligations?
7.5 Documented information
7.5.1 General
Does our EMS include documented information required:
a. By 14001:2015?
b. In order for our EMS to be effective?
7.5.2 Creating and updating documents
Do we ensure new documents and updated documents include:
a. Identification?
b. Consider language and media?
c. A review for suitability and adequacy?
7.5.3 Control of documented information
Do processes for control of documents ensure they are:
a. Available and suitable for use?
b. Protected from loss, improper use, or loss of integrity?
Do our processes address:
a. Distribution, access, retrieval and use?
b. Storage and preservation ?
c. Version control?
d. Retention and disposition?
e. The identification and control of external documents?
8. Operation
8.1 Operational planning and control
a. Have we established and maintained procedures to meet the requirements of the
EMS and implemented control over processes?
b. Are changes planned?
c. Do we maintain control and influence over outsourced processes?
Consistent with a life cycle perspective do we:
a. Ensure that environmental requirements are addressed in the design and
development process?
b. Determine environmental requirements for the procurement of products and
services, as appropriate?
c. Communicate our environmental requirements to external providers, including
contractors?
d. Consider the need to provide information about potential significant environmental

Page 5 of 8
 14001:2015 Gap Analysis
Do we comply? Y/N
impacts associated with the transportation or delivery, use, end-of-life treatment
and final disposal of our products and services?
Do we maintain documented information on this?
8.2 Emergency preparedness and response
Do we have processes for preparing for and responding to potential emergency situations?
Have we:
a. Planned how we will respond in these situations?
b. Established a process to periodically test these responses (where practicable)?
c. Established a process to periodically review and revise these responses?
d. Provided relevant information and training?
Do we have documented information?
9. Performance Evaluation
9.1.1 General
Do we monitor, measure, analyze and evaluate our environmental performance?
Have we determined:
a. What needs to be monitored and measured?
b. The methods?
c. The criteria and appropriate indicators?
d. When the monitoring and measuring shall be performed?
e. When the results from monitoring and measurement shall be analysed and
evaluated?
Do we ensure that equipment used is calibrated or verified?
Do we evaluate our EMS performance?
Do we communicate relevant environmental performance both internally and externally, as
identified in our communication processes and as required by our compliance obligations?
Do we retain appropriate documented information?
9.1.2 Evaluation of compliance
Have we established a procedure for evaluating fulfillment of our compliance obligations,
including:
a. The frequency that compliance will be evaluated?
b. Taking action if needed?
c. Maintaining knowledge and understanding of our compliance status?
Do we retain appropriate documented information?
9.2 Internal audit
Do we conduct internal audits at planned intervals to determine whether the EMS:
a. Conforms to 14001:2015?
b. Conforms to our requirements?

Page 6 of 8
 14001:2015 Gap Analysis
Do we comply? Y/N
c. Is effectively implemented?
Have we developed a suitable audit programme?
Are our auditors objective and impartial?
Are audit results reported to the relevant level of management?
Do we retain appropriate documented information?
9.2 Management review
Does top management review the EMS at planned intervals?
Does the management review consider:
a. Actions from previous management reviews?
b. Changes in internal and external issues?
c. Changes in the needs and expectations of interested parties?
d. Changes to our significant environmental aspects?
e. Changes to risks and opportunities?
f. Achievement of environmental objectives?
g. Information on environmental performance?
h. Adequacy of resources?
i. Relevant communication(s) from interested parties, including complaints?
j. Opportunities for continual improvement?
Do the outputs from the management review include:
a. Conclusions on the continuing suitability, adequacy and effectiveness of the
environmental management system?
b. Decisions related to continual improvement?
c. Decisions related to any need for changes to the EMS?
d. Actions, if needed, when environmental objectives have not been achieved?
e. Opportunities to improve integration of the EMS within the business?
f. Any implications for the strategic direction?
Do we retain documented information ?
10. Improvement
10.1 General
Do we determine opportunities for improvement and implement the necessary actions to
achieve the intended outcomes of our EMS?
10.2 Non-conformity and corrective action
Do we:
a. Take action to control and correct nonconformity?
b. Deal with consequences?
c. Evaluate the need for action to eliminate causes?

Page 7 of 8
 14001:2015 Gap Analysis
Do we comply? Y/N
d. Review and implement actions?
e. Review effectiveness?
f. Make changes to EMS as required?
g. Do we retain documented information?
10.2 Continual improvement
Do we continually improve the EMS?

Page 8 of 8