ISO 14001 All-in-One Package PDF

ISO 14001:2004 Environmental Management System - The Gap Analysis
Checklist
GUIDELINES FOR USE OF THE GAP ANALYSIS CHECKLIST

_____________________________________________________________________
This gap analysis checklist is prepared for use in evaluating your Environmental
Management System against the requirements of ISO 14001.
Each requirement is expressed as a question that the auditor can use to evaluate your EMS
capabilities. Along with the checklist, you will need to have a copy of the
ISO 14001:2004 standard so that you can see exactly what the requirements are and can
refer to the guidance section in Annex A.
After you have prepared an audit schedule, and assigned responsibility to the auditors for
different areas to audit, copy each section of the checklist for the auditors working with that
section. As the auditors work through the checklist, they need to take notes on what is in
place, and what needs to be developed.
Reference the procedures or other documents that are reviewed and that will provide
information for the new EMS. Take notes on the status of the documents, will they need to be
revised for the new system, or can they be used as is? Also note where processes are in
place, but documentation is needed.
Focus on what is in place, and what needs to be developed. While you do want to know if
procedures and processes are being complied with, compliance is not your main focus for
this audit.
Remember that the final outcome of this audit should be a list of things that your organization
needs to do to comply with ISO 14001:2004.
Copyright©2009 14000Store.com Page 1

Environmental
Management System
Manual
ISO 14001:2004
Type Your
Company Name,
Address,
City, State, Zip
Here
*This manual is to be used as a template in developing your ISO 14001 Environmental
Manual.
Review the text; replace text to match your Environmental system requirements.
At a minimum, the blue text should be replaced with your information. “Your Company”
indicates that you should use your company name in that spot.
Replace the ISO 14000 Store name and logo with your company name and logo.
NOTES: DELETE AFTER EACH TASK IS COMPLETED.
• USE REPLACE FUNCTION – ENTER “YOUR COMPANY” IN FIND SPACE, ENTER

YOUR COMPANY NAME IN REPLACE SPACE – SYSTEM SHOULD MAKE
CHANGES THROUGHOUT THE ENTIRE DOCUMENT.
• (IF ANY OTHER INFORMATION IS AVAILABLE, THAT WOULD FURTHER

ENHANCE THE COMPANY INTRODUCTION, PREFERABLY ELECTRONICALLY,
THIS IS THE AREA IN THE MANUAL TO INSERT THAT INFORMATION)
Environmental Manual
Introduction
Your Company developed and implemented an Environmental Management System in

order to document the company’s best environmental business practices, better satisfy the
requirements and expectations of its stakeholders and improve the overall management of
the company.
The Environmental Management System of Your Company meets the requirements of the
international standard ISO 14001:2004 and addresses the environmental issues associated
with YOUR COMPANY’s activities, operations, services and products.
The manual is divided into ten sections that correlate to the Environmental Management
System sections of ISO 14001:2004. Sections begin with a statement expressing Your
Company’s obligation to implement the basic requirements of the referenced Environmental
Management System section. Each statement is followed by specific information pertaining
to the procedures that describe the methods used to implement the necessary
requirements.
This manual describes the Environmental Management System, delineates authorities, inter
relationships and responsibilities of the personnel responsible for performing within the
system. The manual also provides procedures or references for all activities comprising the
Environmental Management System to ensure compliance to the necessary requirements of
the standard.
The manual is used internally to guide the company’s employees through the various
requirements of the ISO standard that must be met and maintained in order to ensure
environmental stewardship, customer satisfaction, continual improvement and provide the
necessary instructions that create an empowered work force.
This manual is used externally to introduce our Environmental Management System to our
customers and other external organizations or individuals. The manual is used to familiarize
them with the controls that have been implemented and to assure them that the integrity of
the Environmental Management System is maintained and focused on environmental
stewardship, customer satisfaction and continuous improvement.
President: Date: _______________
EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 3 of 25

Copyright ©2010 the 14000 Store
Environmental Manual
4.4.6 Operational Control

YOUR COMPANY establishes, implements, documents and maintains a system for the
identification of the critical functions related to the policy, significant aspects, the legal and
other requirements, and objectives and targets. Operational controls describe operations
and activities where it is deemed that their absence could lead to deviations from the
environmental policy and the objectives and targets.
The procedure MP-446 is used to establish, implement and maintain a system of operational
control to ensure that the processes that affect the environment are carried out under
controlled conditions. The required instructions provide sufficient details so that the
company can conform to the policy, objectives and targets, the legal and other
requirements, address any impacts from significant aspects and ensure that deviations from
planned arrangements do not occur.
The applicable system requirements are communicated to employees and to persons that
are required to perform tasks on behalf of the company or are required for temporary short-
term activities.
Depending on the nature of your business, operational controls may include work
instructions and systems for activities such as Design and development, Outsourcing and
purchasing, Maintenance of infrastructure, Gage control / Equipment calibration, Incoming
inspection, etc as required.
Design and development.

If you are a developer, a designer or an inventor of products or services, the design and
development instruction WI-446-010 outlines the controls for the design and development
process. The instruction applies to the design control activities where environment-friendly
materials and products are used and industry standard requirements incorporated.
Outsourcing and purchasing.
If you purchase goods and sub-contracted services, the outsourcing and purchasing
instruction WI-446-020 outlines the controls for the purchasing process. Providers /
Contractors / Persons that are required to perform tasks on behalf of the company that have
the potential to cause a significant environmental impact are qualified on the basis of
education, training, or experience. Selected candidates are engaged through a business
agreement and added to the list of acceptable sources after the satisfactory completion and
return the environmental survey checklist.
Infrastructure.
If your facilities include physical infrastructure, the instruction WI-446-030 outlines the
system where environmental controls are enhanced with properly maintained resources.
Facilities resources incorporate the overall physical infrastructure aspects such as buildings,
offices, laboratories, work areas, transport systems, equipment, telecommunications
systems, storage, communication services, and other facilities.
Control of measuring and monitoring equipment.

If you make use of measuring and monitoring equipment, whether employee owned,
customer owned or company supplied, the instruction WI-446-040 outlines the system
where the control and calibration of such equipment enhance environmental controls
through credible monitoring and measurement (4.5.1) results.
EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 18 of 25

Copyright ©2010 the 14000 Store
4 Environmental Management System
4.1 General Requirements Observation/Comments Results
Has the organization established and maintained an

environmental management system as required by clause 4 of
ISO 14001:2004?
Has the organization defined and documented the scope of the

EMS?
Are the boundaries to which the EMS applies clearly defined?
Are all activities, products and services within the scope

addressed by the EMS?
Additional questions
To prove that the organization ‘Does what it says it does’, what
records are completed for this section?
4.2 Environmental Policy
Has the environmental policy been formulated by the top

management?
Is the environmental policy aligned with the defined scope of

the EMS?
Does the policy express commitment to compliance to legal

and other requirements which relate to the environmental
aspects?
Has the environmental policy been communicated to all

persons working on behalf of the organization?
Additional questions
To prove that the organization ‘Does what it says it does’, what
records are completed for this section?
4.3 Planning
4.3.1 Environmental Aspects Observation/Comments Results
Has the organization established and maintained a procedure to

identify the environmental aspects for its activities, products or
services?
Can the organization control and have an influence on those
activities, products or services?
Has the organization determined which of those environmental

aspects have significant impacts on the environment?
Do the environmental aspects take into account the planning of

existing conditions or new developments that are within the
scope of the EMS?
Audit Conducted by: ___________________________________ Date: ____________________ 2
Copyright©2008 Lorne Duquette Distributed by the9000store.com

The Do-It-Yourself
ISO 14001 Workbook
Rev. 2
Copyright©2010 Lorne Duquette Distributed by www.14000store.com
1
Environmental Management System Workbook
Workbook cover page
Workbook contents page
Section 1: The Preparation Phase
Section 2: The Development Phase
Section 3: The Implementation and Registration

Phase
Note:
1. This Environmental Management System Workbook is suitable for use with

the ISO 14001:2004 standards for environmental management systems.
2. This Environmental Management System Workbook is best utilized with ISO

implementation training tools as provided in a series of PPT presentations.
Visit http://www.14000store.com for the presentation package that matches
the workbook sections.
Rev. 2
2
Environmental Management System Workbook
Comments and Instructions:
Congratulations on the management decision to implement the ISO 14001:2004 Environmental

management system. This commitment and your participation say a lot about you and show
that you are interested in learning, in growing, and in improving your business.
This ISO 14001 Workbook becomes an implementation tool and is intended to make your ISO
project as organized as possible when executing a set of tasks in the sequence that they are
normally required on the journey to ISO 14001certification.
An important first activity or prerequisite, as the Environmental program is launched, is for the
ISO Management Representative to become as familiar as possible with the ISO 14001
Workbook format and content.
The Workbook:
The workbook is presented in four sections where the ISO tasks and Exercises are introduced,
initiated and completed. You will find that your workbook can be used and marked up to develop
and detail the information required for each task and exercise.
The Workbook Forms:
However, since more than one person will be involved in the ISO project, the workbook forms
that represent the tasks and the exercises are provided in word format for distribution to the staff
that will be participating and providing inputs.
The Workbook Presentations:
The ISO 14001 workbook is best utilized with ISO implementation training tools as provided in a
series of PPT presentations that match the workbook sections.
The presentations become very effective tools that the ISO Management Representative, as the
project manager, can use to keep the momentum moving toward a target registration date.
Good Luck with this important initiative.
Rev. 2
3
Building your ISO 14001
Environmental Management System
Rev. 2
4
Responsibility: Management
ISO 14001 Steering Team
Environmental Safety Team
1) Management must identify the ISO 14001 steering team for the environmental project. It
should be made up of managers from the different areas of the organization. The purpose of this
team will be to assign resources and responsibilities for the project as well as providing
leadership for the project. Include top management on the team.
2) Once the steering team has been identified, the team can work together to complete the
assigned tasks for the workbook section 1. This section helps you prepare for the project and
put together the project plan and timeline.
Task 1: Management Describe your company
Task 2: Management Choose your ISO Management System
Task 3: Management Obtain the latest ISO 14001 standard
Task 4: Management Select the Management Representative

and the ISO 14001Steering Team
Task 5: ISO Steering Team Prepare an Organizational Chart
Task 6: ISO Steering Team Establish the Environmental Safety Team
Task 7: Environmental Safety Team Conduct First Team Meeting
Task 8: ISO Steering Team Formulate the Environmental Policy
Task 9: ISO Steering Team State the scope of the EMS
Task10: ISO Steering Team Provide Communication Tools
Task11: Environmental Safety Team Prepare the process flow diagrams
Task 12: ISO Steering Team Perform initial environmental review
Task 13: ISO Steering Team Assign Improvement Actions for EMS
Rev. 2
5
Task 12 Perform the INITIAL ENVIRONMENTAL REVIEW
The current position with regard to the environment is established by means of an initial review
and recorded from the review areas / questions tabled below.
Review Areas
Organization Structure (Department personnel and structure chart)
1. General Information Comments OK Needs

Attention
Current activities / processes / products (List activities or provide process

flow)
No. of employees
Environmental coordinator
Type of facilities (Office / lab / workshop /

warehouse / others)
Type of plant(s) / machinery
(List of plant / machinery utilised)
Types of goods provided by major (List of major suppliers and their

suppliers product type)
Types of services provided by major (List of major contractors and their

contractors product type)
Any future activities / services
Rev. 2
18
Assign IMPROVEMENT ACTIONS needed to increase your Environmental
Capabilities - Ref Task 13
Assessments and reviews, Tasks 12, 15, 16 & 18 highlight areas that need attention and provide
focus on high significance environmental impacts and legal requirements.
The areas that require follow up and action by the ISO steering team are identified as:
• ___ Short Term, where improvements can be implemented within 1 month.

• ___ Medium Term, where improvements can be implemented within 2 to 6 months.
• ___ Long Term, where improvements can be implemented within 7 to 12 months.
SHORT TERM IMPROVEMENT ACTIONS – To be implemented within 1 month
# Improvement Action Assigned to Promise Actual Comments

Date Date
1
2
3
4
MEDIUM TERM IMPROVEMENT ACTIONS – To be implemented within 2 to 6 months

Date Date
1
2
3
4
LONG TERM IMPROVEMENT ACTIONS - To be implemented within 6 to 12 months

Date Date
1
2
3
4
Comments:
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Rev. 2
51
Trainer’s Guide
Copyright ©2009 Lorne Duquette for the 14001 Store

Overview
These course materials are meant to train people to conduct internal environmental audits
within your organization, which are necessary to meet the internal audit requirements of the
ISO 14001:2004 standard.
The course is divided into two sections:
1. The first section will familiarize the students with the requirements ISO 14001
environmental management system.
• Allow 4 hours for this section.
2. The second section is devoted to the auditing process. The students will go through
all the steps required for an audit, with hands on involvement in performing each
step by conducting a mock audit of a fictitious company.
• Allow 8 hours for this section.
This guide contains everything the instructor needs to lead the class. We recommend that
you print this guide as you’ll need the PowerPoint speaker notes to lead the class.
Notes:
• It is assumed that the instructor has certified Lead Auditor credentials or equivalent
experience. This is not meant as a self study course.
• It is recommended that the first audit the student is involved with be under the
leadership of a lead auditor who has audit experience.

Course Materials
The supplies you will need are:
• PowerPoint: ISO 14001 Guide to Internal Audits (included).
• PowerPoint: Requirements of ISO 14001 (included).

• A complete version with Speaker Notes is in this Trainer’s Guide
• PowerPoint: Steps of Internal Audit (included).

• A complete version with Speaker Notes is in this Trainer’s Guide
• Student Manual (included).

• Print one copy for each student
• You may wish to have extra copies of the CPAR form
• It includes reduced versions of all the PowerPoints
• The ISO 14001:2004 Standard (NOT Included*)

• One copy for every 2-3 students.
• Standards are available electronically from
http://www.14000store.com/Buy_standards.aspx
*The ISO 14001:2004 Standard is a copyrighted document and we are unable to include it.
• Eco Toy Company (ETC) Documents and Records (included).

• Print one copy for each team of two or three students.
• See contents table (next page)
The purpose of the internal audit is to demonstrate that ETC is doing what the company
says it does. Documents and records are required to prove that systems are in place.
These copies are provided in the Eco Toy Company (ETC) Documents and Records file.
Pages 3 through 14 in ETC Documents and Records contain the documentation that
makes up the introductory section of the ETC Environmental Management System. The
remaining pages contain the ETC Documentation and Records required for the Internal
Audit training.
Copyright ©2009 14001 Store

Eco Toy Company Documents and Records
Qty. Documents and Records # of Pages
1 Environmental Management System – EMS Manual …………. 12

Includes Organization Chart and Master Document List
1 Internal Audit Master Schedule ………………………………………..… 1
1 MSP-431 Environmental aspects procedure …………………………… 2
1 Form #431-1 Initial environmental review ……………………………… 2
1 Form #431-1 Environmental assessment worksheet …………………. 2
1 WI-EP-1, WI-EP-2, WI-EP-3 Environmental programs …………….….. 3
1 MSP-442 Competence, training and awareness procedure …….……. 3
1 Form #442-2 Job interview evaluation worksheet ……………………… 1
2 Form #442-3 Personnel training / evaluation record ………………. .... 2
2 Certificate of completion ……………………………………………….….. 2
1 Form #442-4 employee capability – competence matrix………………. 1
1 MSP-453 Nonconformity, corrective and preventive action …………… 3
1 R-451 Nonconformity register ………………………………………….… 1
1 Form #443-1 Public response report ……………………………………. 1
2 Form #447-1 Spill investigation report …………………………………... 2
1 Form #453-1 Environmental non-conformance report …………………. 2
1 Form #453-2 Corrective action report –operations ……………………… 1
1 MSP-460 Management review procedure ……………………………….. 2
1 Form #460-1 Meeting agenda - management review …………………... 1
1 Minutes of management review …………………………………………… 2

Agenda
I. The Standard
Introduction to auditing
0:15 Presentation: 14001 Internal Auditing Guide
0:15 Review Document: ISO 14001:2004
0:30 Exercise – Is it a requirement?
2:00 Presentation: Requirements of ISO 14001:2004
0:45 Exercise - Find the requirement
0:15 Questions
II. The Audit

0:30 Scheduling the audit
0:30 Planning the audit
0:45 Opening meeting
0:45 Audit 4.2 Environmental policy
0:45 Audit 4.3.1 Environmental aspects
0:45 Audit 4.4.2 Competence, training and awareness
0:45 Audit 4.5.3 Nonconformity, corrective action and
preventive action
0:45 Audit 4.6 Management review
0:30 Auditors Document the Findings
0:30 Final Audit Report
0:30 Closing Meeting
0:30 Creating the Audit File

The Standard
Introduction to Auditing
This section will familiarize the students with the requirements ISO 14001:2004
environmental management system (EMS).
1. Review the “ISO 14001 Internal Auditing Guide” Power Point Presentation with the
group.
2. Review and discuss the organization of the ISO 14001:2004 document so the
students can familiarize themselves with how the standard is structured.
3. Complete the exercise “Is it a Requirement?”
Exercise: Is it a Requirement?
Have the students open to “Is it a Requirement” in the student manual.

Working in groups of 2 or 3, have them determine whether or not:
• The statement is true or false
• Write down the clause of the standard where they found it.
Notes:
• This is not a test, but an exercise to get them familiar with the standard, so the
trainer can go around and help the teams, particularly the slower teams.
• This can be done individually ahead of time to reduce class time
After one or two teams finish, or after a maximum of about 45 minutes, you can go through
the statements and discuss the answers.
• An answer key is on the next page.
• Remind the students that there are some things that are mentioned in more that one
place in the standard, so there could be more than one correct answer in some
cases.

Is it a Requirement? (Answer Key)
The standard requires that:
If the requirement is true, circle True and list the True False
clause.
If it is false, circle False and list the clause used.
1. The ISO 14001 Environmental management system T F

(EMS) must be established, documented, implemented Clause:4.1 Clause:
and maintained to continually improve the system
2. The environmental policy as defined by top T F
management is required to be communicated to all Clause:4.2.f Clause:
persons working for or on behalf of the company.
3. Top management must appoint a representative to T F
ensure that the EMS is established, implemented and Clause:4.4.1.a Clause:
maintained.
4. The management representative is not required to T F
report on the performance of the EMS to top Clause: Clause:
management. 4.4.1.b
5. Internal and external communication regarding T F
environmental matters must be maintained. Clause:4.4.3 Clause:
6. Management must review the environmental T F
management system every quarter. Clause: Clause:4.6
7. A written procedure is needed to identify the T F
environmental aspect(s) of the company activities and to Clause:4.3.1 Clause:
determine the aspect(s) that have significant impact(s)
on the environment.
8. Persons performing tasks for the company or on T F
behalf of the company that may have potential Clause:4.4.2 Clause:
environmental impacts must be competent.
9. Employee training must include the awareness of the T F
consequences of departure from specified procedures. Clause:4.4.2.d Clause:
10. The scope of the environmental management T F
system is required to be defined and documented. Clause: 4.1 Clause:
4.4.4.b
11. A documented procedure is required to deal with T F
actual and potential nonconformities and taking Clause:4.5.3 Clause:
corrective and preventive actions.
12. A documented procedure is required to handle T F
emergency preparedness and response. Clause:4.4.7 Clause:
13. The results of corrective and preventive actions T F
taken do not need to be recorded. Clause: Clause:4.5.3.d
14. An operational procedure may be required to ensure T F
that monitoring and measuring equipment is calibrated. Clause:4.5.1 Clause:

ISO 14001:2004 Requirements
Now that the students are familiar with the organization of the standard, this section will
outline the requirements of each section – what it is really asking them to do?
Requirements of ISO 14001:2004 Power Point presentation
First, there is a brief 6-page introduction to serve as a review:

• What is ISO 14001?
• The Process Model/Process Approach
Second, the rest of this presentation outlines the requirements of ISO 14001.
• If you use the speaker’s notes this review could take about 2 hours
• Students can take notes in their manual.
• We’ve included the presentation in this Trainer’s Guide so you can review the notes
while presenting.
1. Review “Requirements of ISO 14001:2004” Power Point presentation

2. Complete the exercise “Find the Requirement” (following presentation speaker notes.)
3. Answer questions about ISO 14001:2004 to ensure they understand the material.
Exercise: Find the Requirement.
1. Introduce the 2nd exercise “Find the Requirement” in the student manual.
2. Have them find the clause in the standard that applies.
3. Have them work in groups as in the previous exercise.
4. Discuss the answers together.
To conclude this first section of the course, open it up to questions and answers on the
standard.

4.1 General Requirements
• Introduces the requirements for the overall
Environmental Management System
• The standard requires that your organization has
an Environmental Management System in place
that meets the requirements outlined in the
standard.
• The scope of the EMS needs to be defined.
+ More details ..
ENVIRONMENTAL MANAGEMENT SYSTEM

YOUR COMPANY executive management is responsible to establish,
implement and maintain the ENVIRONMENTAL MANAGEMENT
SYSTEM and to define and document the policy and objectives for and
commitment to the environment as described in this EMS Manual.
YOUR COMPANY defines and documents the scope of its
Environmental Management System and includes what activities,
operations, services and products are included in the EMS.
For example:
The scope of the Environmental Management System includes the
major product and service categories associated with the primary
functions of manufacturing toys and preparing the product for the public
at large.
While it is every one’s job to protect the environment, the overall

leadership for the EMS is provided by the top ranking official, such as
the President.
The prime responsibility for the EMS procedures and instructions is
delegated and assigned and shared with the managers and supervisors
of the relevant functions.
8
Management reviews are needed to ensure that the
EMS continues to be adequate, suitable and effective.
At planned intervals reviews are required to review,
For example:
• the Environmental Policy
• the performance data for EMS processes
• the opportunities for improvement & need for changes
+ More details ..
+ More details ..
MANAGEMENT REVIEW
A procedure is required to provide for a system of assigning
responsibilities for scheduling, conducting and recording
management review of the Environmental Management
System at YOUR COMPANY.
Management reviews of the EMS is intended to improve the
quality of the environmental activities that lead to improved
performance by the company for interested parties.
The executive management reviews the EMS at planned
intervals.
The President has the prime responsibility for management

reviews.
33
Find the Requirement
Clause:
19. Current versions of documents must be available at the

relevant points of use. 4.4.5.c.d
20. Have a system to monitor on a regular basis the key 4.5.1

characteristic that can have a significant impact and ensure that
monitoring and measuring equipment is verified, calibrated and
maintained.
21. Responsibility and authority of personnel are defined, 4.4.1
documented and communicated.
22. Operational procedures for situation where their absence could 4.4.6.a
lead to deviation from planned arrangements.
23 Review the environmental system at planned intervals and take 4.6
into consideration a set of inputs with resulting outputs.
24. Resources need to be available to establish, implement, 4.4.1
maintain and improve the EMS.
25. Environmental programs with objectives and targets at the 4.3.3
relevant functions and levels within the organization.
26. Document a procedure to deal with actual and potential 4.5.3
nonconformity and taking corrective action and preventive action.
27. Document a procedure to deal with potential emergencies and 4.4.7
potential accidents and how to respond to them.
28. Periodic evaluation of compliance to the applicable legal 4.5.2
requirements and other requirements to which the company
subscribes.
29. Internal audits take into consideration the environmental 4.5.5
importance of the operations and the results of previous audits.
30. The Environmental Management System documentation 4.4.4.a
includes documents for the environmental policy, objectives, to
targets, scope, and other procedures and records necessary to 4.4.4.e
ensure that it is effective.

The Audit
The second section is devoted to the auditing process. Normally the class size will vary
from 4 to 12, and it is recommended that you divide the class into teams of 2-3. It works
best to have an even number of teams for holding opening and closing meetings.
Allow 8 hours for this section.
The students will go through all the steps required for an audit, with hands on involvement
in performing each step by conducting an audit of a fictitious company, the Eco Toy
Company (or ETC) including:
• Scheduling the Audit
• Planning the Audit
• Opening Meeting
• Audit sections of the ETC Company’s EMS:
• 4.2 Environmental Policy
• 4.3.1 Environmental Aspects
• 4.4.2 Competence, training and awareness
• 4.5.3 Nonconformity, corrective action and preventive action
• 4.6 Management review.
• Auditors Document Findings
• Final Audit Report
• Closing Meeting
• Creating the Audit File
Note: The trainer plays the part of Joe Sample, the ETC Quality Manager / EMS
Management Representative and the students act as ETC personnel as required.
Each team should have:

1. A copy of the ISO 14001:2004 Standard.
2. A copy of the Eco Toy Company (ETC) Documents & Records.
3. The Student Manual which allows them to:
• Follow the presentation and take notes
• View sample forms (which are presented in the PowerPoint)
• Use blank forms (CPAR, etc.) to conduct their audit.
You will lead this section using the “Steps of ISO 14001:2004 Internal Audit” Power Point
presentation the entire time, using the materials in this package. The Speaker Notes in the
PowerPoint will guide you along as an outline.

Audit of the Eco Toy Company
1
Schedule the Audit
Memo
To: Expert Audit Assistance
From: J. Sample
Date: Jan 5, 2009
Subject: Request for Internal Audit
As we discussed on the phone, our company will be having a

registration audit in September 2009. We have developed and are
implementing our environmental management system and are ready
for our first of a group of planned internal audits and would like your
group of expert auditors to perform the audits for us before our
registration audit.
During the first audit we would like the auditors to audit a minimum
of one section for each of the five clauses (4.2, 4.3.1, 4.4.2, 4.5.3, 4.6)
of the standard. The remaining clauses of the ISO 14001:2004
standard will be audited during subsequent internal audits.
I would like you to come in on January 8th to review our audit files
and prepare your audit plan. We will schedule the audit for the
morning of January 15th.
Best regards
Joe
QA Manager / EMS Management representative
Review the MEMO from Joe Sample, the Eco Toy Company’s Quality Manager /
EMS Representative to “Expert Audit Assistance”.
The class is “Expert Audit Assistance”.
It is now September 12th, and the class is going to perform an internal audit of Eco
Toy Company’s management’s area.
6
• The environmental policy has not been communicated to
all persons working on behalf of the organization
• The environmental policy was not formulated by the top

management
• The environmental policy is not aligned with the defined

scope of the EMS
• The policy does not express commitment to compliance to

legal and other requirements to which the organization
subscribes to.
Nonconformances: 4.2 Environmental policy
•The environmental policy was not formulated by the top management

•The environmental policy is not aligned with the defined scope of the EMS
•The policy does not express commitment to compliance to legal and other
requirements to which the organization subscribes to.
•The environmental policy has not been communicated to all persons working
on behalf of the organization
27
Conclusion
After the students have completed their presentations, you can:
1. Show them the final slides in the “Steps of ISO 14001:2004 Internal Audit” Power
Point presentation outlining the non conformances for each section.
• Remember, there is often more than one way to look at a situation, especially in
a fictitious setting like ETC. Therefore, encourage open discussion on why they
consider items a non conformance.
• You may want to add their suggestions to the course material for next time.
2. If you feel that the student has satisfactorily understood the material, you may issue
them a certificate (this is a separate MS Word file in your package). Use your
judgment to issue this based upon:
• Participation
• Ideas
• Leadership
• Approach
• Etc.
3. Schedule an audit of your facility to reinforce the material.

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ISO 14001 All-in-One Package PDF

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ISO 14001:2004 Environmental Management System - The Gap Analysis

GUIDELINES FOR USE OF THE GAP ANALYSIS CHECKLIST

Copyright©2009 14000Store.com Page 1

NOTES: DELETE AFTER EACH TASK IS COMPLETED.

• USE REPLACE FUNCTION – ENTER “YOUR COMPANY” IN FIND SPACE, ENTER

• (IF ANY OTHER INFORMATION IS AVAILABLE, THAT WOULD FURTHER

Your Company developed and implemented an Environmental Management System in

President: Date: _______________

EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 3 of 25

4.4.6 Operational Control

Design and development.

Control of measuring and monitoring equipment.

EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 18 of 25

Has the organization established and maintained an

Has the organization defined and documented the scope of the

Are the boundaries to which the EMS applies clearly defined?

Are all activities, products and services within the scope

4.2 Environmental Policy

Has the environmental policy been formulated by the top

Is the environmental policy aligned with the defined scope of

Does the policy express commitment to compliance to legal

Has the environmental policy been communicated to all

Has the organization established and maintained a procedure to

Has the organization determined which of those environmental

Do the environmental aspects take into account the planning of

Audit Conducted by: ___________________________________ Date: ____________________ 2

Copyright©2008 Lorne Duquette Distributed by the9000store.com

ISO 14001 Workbook

Workbook cover page

Workbook contents page

Section 1: The Preparation Phase

Section 2: The Development Phase

Section 3: The Implementation and Registration

1. This Environmental Management System Workbook is suitable for use with

2. This Environmental Management System Workbook is best utilized with ISO

Comments and Instructions:

Congratulations on the management decision to implement the ISO 14001:2004 Environmental

The Workbook Forms:

The Workbook Presentations:

Good Luck with this important initiative.

Environmental Management System

Section 1: The Preparation Phase

Task 1: Management Describe your company

Task 2: Management Choose your ISO Management System

Task 3: Management Obtain the latest ISO 14001 standard

Task 4: Management Select the Management Representative

Task 5: ISO Steering Team Prepare an Organizational Chart

Task 6: ISO Steering Team Establish the Environmental Safety Team

Task 7: Environmental Safety Team Conduct First Team Meeting

Task 8: ISO Steering Team Formulate the Environmental Policy

Task 9: ISO Steering Team State the scope of the EMS

Task10: ISO Steering Team Provide Communication Tools

Task11: Environmental Safety Team Prepare the process flow diagrams

Task 12: ISO Steering Team Perform initial environmental review

Organization Structure (Department personnel and structure chart)

1. General Information Comments OK Needs

Current activities / processes / products (List activities or provide process

Type of facilities (Office / lab / workshop /

Types of goods provided by major (List of major suppliers and their

Types of services provided by major (List of major contractors and their

• ___ Short Term, where improvements can be implemented within 1 month.

SHORT TERM IMPROVEMENT ACTIONS – To be implemented within 1 month

# Improvement Action Assigned to Promise Actual Comments

Audit Conducted by: _______________ Date: 2