This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI 1 EMS Gap Analysis Questionnaire Name: Area:Title: Facility Name:Phone: Facility Type: Roles and Responsibilities:Conductin the EMS Gap Analysis ObjectivesPlease return a hard copy of this questionnaire to __________________________________ at ___________________________________ OREmail electronic copy to ___________________________________at ___________________________________ by 00/00/00.This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI 2 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 g!idance to ens!re practicality and compliance with environmental re"!irements and other relevant re"!irements#Gap Analysis Questionnaire Description and Directions$he ISO 14001 Standard is internationally recogni%ed and !sed &y ind!stry and government organi%ations to enhance environmental and operational effectiveness efficiency and performance#'ond!cting an EMS gap analysis is a (ey step in developing and implementing an ISO 14001 EMS#$he o&)ectives of this step incl!de* Gap Analysis Background$he EMS gap analysis is a self+eval!ation#A series of "!estions will help yo! compare yo!r organi%ation,s c!rrent environmental management practices against the ISO 14001 Standard# $his comparison provides a &aseline assessment of yo!r organi%ation and helps yo! to identify c!rrent systems in place for managing environmental iss!es incl!ding e-isting policies and proced!res roles and responsi&ilities comm!nication systems training programs and others# As yo! cond!ct the analysis yo! will recogni%e strengths and wea(nesses of yo!r organi%ation,s present environmental operations and determine the e-tent to which yo!r operations conform to the ISO 14001 EMS Standard#.pon completion of the analysis yo! sho!ld &e a&le to identify which of the 17 EMS elements are already in place and which yo! need to develop or f!rther refine#'ond!cting the gap analysis will also help familiari%e yo! with the ISO 14001 EMS Standard and the elements critical to developing implementing chec(ing and improving the EMS on a contin!al &asis# $he EMS /ap Analysis 0!estionnaire is a tool to help yo! cond!ct an EMS gap analysis assessment on yo!r organi%ation#1hen !nderta(ing this assessment incl!de people who have direct (nowledge of as many environmental and operational f!nctions as possi&le#$his is important so that several employees gain e-pos!re to the EMS process and also &eca!se each employee &rings specific (nowledge a&o!t environmental practices from his or her f!nctional area#$he "!estionnaire first as(s for &asic organi%ational information and &ac(gro!nd information a&o!t the respondent who will &e completing the s!rvey s!ch as name title roles and responsi&ilities and telephone n!m&er#$he &!l( of the "!estionnaire addresses the ISO 14001 re"!irements#$here are 17 short sections of "!estions that correspond to the 17 EMS elements# $he 17 sections fall !nder the five main EMS categories of environmental policy2 planning2 implementation and operations2 corrective action2 and management review#Each of the sections are la&eled with the EMS element n!m&er so yo! can easily reference additional information a&o!t the 17 elements of the Standard# This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPIStatus3ot in place 4artially in place In 4lace5HintsQuestion Cateory:En!ironmental Policy EMS Element ":En!ironmental Policy #$S% "&''":(''E)* Pararaph &+()$ndicators o, Con,ormityStatusNotes1. !as top mana"ement defined the or"ani#ation$s en%ironmental polic&'2.$here are three chec( &o-es to the right of each of the "!estions on the /ap Analysis 0!estionnaire#After yo! respond to each "!estion place an 656 or a chec( in the &loc( that &est descri&es the stat!s of the component as it relates to yo!r EMS#$he stat!s &loc(s in the gap analysis tool are represented as follows*A n!merical rating meas!ring yo!r organi%ation,s conformance to the ISO 14001 Standard is determined from the responses on this "!estionnaire#A n!merical rating is given for each component response as follows*Not in place = 0 points artially in place = ! point "n place = # points$he responses are totaled for the entire "!estionnaire res!lting in yo!r score#$he highest score possi&le 177 indicates all components of the 17 elements are 8In place, in yo!r EMS 9:; "!estions#$his &aseline assessment ena&les yo! to foc!s on contin!al improvement#In the electronic version of the EMS /ap Analysis 0!estionnaire provided with the EMS $ool(it the second ta& titled 6S!mmary 'hart6 contains a &ar chart to give yo! a vis!al depiction of the degree to which yo! conform to the ISO 14001 EMS Standard#$his chart can &e !sed in management presentations to show the progress of yo!r EMS implementation#1>$ist o% &e'uired Docu(entation and &ecords)$he ISO 14001 EMS Standard re"!ires physical 9or electronic> evidence of certain doc!ments and records#$his incl!des for e-ample the organi%ation?s environmental policy#$here is a list at the end of this gap analysis "!estionnaire that highlights which items re"!ire physical 9or electronic> evidence in the form of doc!mentation or records#$he list is organi%ed &y each of the 17 elements in the Standard#Elements of the ISO 14001 EMS Standard that re"!ire doc!mentation are indicated in bold te*t in the gap analysis "!estionnaire for easy reference to the re"!irements of the Standard# 7>$ist o% &e%erence +aterial)$he second part of the list at the end of this gap analysis "!estionnaire is a list of reference materials yo! may already possess that co!ld help yo! identify yo!r c!rrent EMS stat!s# $his list is organi%ed &y each of the 17 elements of the Standard# Findin - Correcti!e ActionNot in placePartially in place$n placeDoes &our procedure (process) for the en%ironmental polic& ensure that the polic& is appropriate to the nature* scale and en%ironmental impacts of its acti%ities* products* and ser%ices that are +ithin the defined scope of &our en%ironmental mana"ement s&stem'This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI , .,.-.../.8.0tatus subtotals1 0 0 00tatus Total1 ' 1. points a%ailablePercenta"e complete1'Question Cateory:Plannin EMS Element (:En!ironmental Aspects #$S% "&''":(''E)* Pararaph &+.+")$ndicators o, Con,ormityStatusNotes2.10.11.12.0tatus subtotals1 0 0 0Does &our en%ironmental polic& +ithin the defined scope of &our 340 commit to continual impro%ement and pre%ention of pollution' Does &our en%ironmental polic& +ithin the defined scope of &our 340 commit to compl&in" +ith applicable en%ironmental le"al re5uirements and other en%ironmental re5uirements' Does &our procedure (process) for the en%ironmental polic& pro%ide a frame+or6 for settin" and re%ie+in" en%ironmental ob7ecti%es and tar"ets'/oes your procedure ensure that the en!ironmental policy is documented* implemented* and maintained0Does &our procedure (process) for the en%ironmental polic& communicate the polic& to all persons +or6in" for or on behalf of the or"ani#ation'Does &our procedure (process) for the en%ironmental polic& ma6e the polic& a%ailable to the public'Is the policy consistent with other corporate policies affecting the business?Findin - Correcti!e ActionNot in placePartially in place$n placeDoes &our procedure (process) for en%ironmental aspects address1 Identif&in" en%ironmental aspects of acti%ities* products* and ser%ices +ithin the defined scope of the 340 that it can control and those +hich it can influence ta6in" into account planned or ne+ de%elopments* or ne+ or modified acti%ities* products and ser%ices'Determinin" those aspects that ha%e or can ha%e si"nificant impact on the en%ironment'Maintainin a documented up1to1date list o, all aspects includin those that are sini,icant03nsurin" that si"nificant en%ironmental aspects are considered in de%elopin"* implementin" and maintainin" the 340'Is there a risk assessment process to determine significance or priority of identified environmental aspects/impacts?This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI - 0tatus Total1 ' 8 points a%ailablePercenta"e complete1'EMS Element .:2eal and %ther Re3uirements #$S% "&''":(''E)* Pararaph &+.+()$ndicators o, Con,ormityStatusNotes1.1,.0tatus subtotals1 0 0 00tatus Total1 ' 1, points a%ailablePercenta"e complete1'EMS Element &:%b4ecti!es* Tarets and Proramme#s) #$S% "&''":(''E)* Pararaph &+.+.)$ndicators o, Con,ormityStatusNotes1-.1..1/.Findin - Correcti!e ActionNot in placePartially in place$n placeDoes &our procedure (process) for en%ironmental le"al and other en%ironmental re5uirements address1 Identif&in" applicable le"al re5uirements related to &our or"ani#ation$s en%ironmental aspects'

8ccessin" applicable le"al re5uirements related to &our or"ani#ation$s en%ironmental aspects' Determinin" ho+ the le"al re5uirements appl& to &our or"ani#ation$s aspects' Identif&in" other en%ironmental re5uirements to +hich &our or"ani#ation subscribes' 8ccessin" other en%ironmental re5uirements to +hich &our or"ani#ation subscribes' Determinin" ho+ other en%ironmental re5uirements to +hich &our or"ani#ation subscribes appl& to &our or"ani#ation$s aspects'Does &our procedure ensure that en%ironmental le"al and other en%ironmental re5uirements to +hich the or"ani#ation subscribes are considered in de%elopin"* implementin" and maintainin" &our or"ani#ation$s en%ironmental mana"ement s&stem'Findin - Correcti!e ActionDoes &our procedure (process) for Ob7ecti%es* Tar"ets and Pro"rammes address1 Not in placePartially in place$n placeEstablishin and maintainin documented en!ironmental ob4ecti!es and tarets at rele!ant ,unctions and le!els 5ithin the orani6ation03stablishin" measurable ob7ecti%es and tar"ets* +here practicable* that are consistent +ith the en%ironmental polic&* includin" the commitments to pre%ention of pollution* compliance +ith le"al and other en%ironmental re5uirements and continual impro%ement'The le"al and other en%ironmental re5uirements* its si"nificant en%ironmental aspects* its technolo"& options and its financial* operational and business re5uirements and the %ie+s of interested parties +hen establishin" and re%ie+in" ob7ecti%es and tar"ets'This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI . 18.12.Does &our procedure (process) address establishin" and maintainin" pro"rams for achie%in" &our or"ani#ation$s ob7ecti%es and tar"ets* includin" desi"natin" responsibilit& for achie%in" ob7ecti%es and tar"ets at rele%ant functions and le%els of &our or"ani#ation'Does &our procedure (process) address establishin" and maintainin" pro"rams for achie%in" &our or"ani#ation$s ob7ecti%es and tar"ets* includin" the means and time9frame b& +hich the ob7ecti%es and tar"ets are to be achie%ed' Have specific environmental improvement objectives been communicated to all relevant business units and employees, contractors and suppliers? Determine whether the facility has prepared and implemented sufficient written policies and procedures to ensure compliance with applicable standards and consistency in implementation practices, and to provide guidance on how to meet applicable standards.:onfirm that the facility has established compliance standards to be followed that are reasonably capable of reducing the prospect of criminal conduct.!"erify, where possible, that the facility has taken steps to achieve compliance with its environmental standards.This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI / 0tatus subtotals1 0 0 00tatus Total1 ' 10 points a%ailablePercenta"e complete1'Question Cateory:$mplementation and %perationEMS Element 7:Resources* roles* responsibility and authority #$S% "&''":(''E)* Pararaph &+&+")$ndicators o, Con,ormityStatusNotes20.21.22."erify that the facility has a program in place to review the full range of capital projects, maintenance modifications, process changes, and #$D initiatives to identify potentially significant conse%uences.!Determine if these review are performed in a timely manner, by appropriately trained professionals and if a formal methodology is employed.Findin - Correcti!e ActionDoes &our procedure (process) for resources* roles* responsibilit& and authorit& address1Not in placePartially in place$n place4ana"ement ensurin" the a%ailabilit& of resources (human resources ; speciali#ed s6ills* internal infrastructure* technolo"& and financial resources) essential for the implementation and control of the en%ironmental mana"ement s&stem'/e,inin* documentin and communicatin the roles* responsibilities and authorities to ,acilitate e,,ecti!e en!ironmental manaement0Top mana"ement appointin" a specific mana"ement representati%e +ho* irrespecti%e of other responsibilities* has defined responsibilities and authorit& for1 3nsurin" that an en%ironmental mana"ement s&stem is established* implemented* and maintained in accordance +ith the re5uirements of I0O 1,001' ternal interested parties +ith re"ard to &our or"ani#ation$s en%ironmental aspects and en%ironmental mana"ement s&stem'The orani6ation;s decision on 5hether to communicate eternall& on its si"nificant en%ironmental aspects* does the or"ani#ation ha%e a method(s) for this e>ternal communication'Findin - Correcti!e ActionNot in placePartially in place$n place/oes your en!ironmental manaement system documentation include:= An en!ironmental policy* ob4ecti!es and tarets ,or your orani6ation0

This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI 11 0tatus subtotals1 0 0 00tatus Total1 ' 10 points a%ailablePercenta"e complete1'EMS Element >:Control o, /ocuments #$S% "&''":(''E)* Pararaph &+&+7)$ndicators o, Con,ormityStatusNotes0.1. 3nsure current documents are a%ailable at points of use' 3nsure documents are le"ible and easil& identifiable' 3nsure obsolete documentation is not unintentionall& used' 1 a description o, the scope o, the en!ironmental manaement system0= A description o, the main elements o, the en!ironmental manaement system and their interaction and re,erence to related documents0= /ocuments and records re3uired by the $S% "&''" Standard #at minimum those bolded in this ap analysis tool)0= /ocuments and records the orani6ation determined necessary to ensure the e,,ecti!e plannin* operation and control o, processes that relate to its sini,icant en!ironmental aspects0Findin - Correcti!e ActionNot in placePartially in place$n placeDoes &our document control procedure(s) address the need to control documents re5uired b& the en%ironmental mana"ement s&stem and b& the International 0tandard'Does &our document control procedure(s) address the need to1 8ppro%e documents before the& are issued' tent to +hich ob7ecti%es and tar"ets ha%e been met* status of correcti%e and pre%enti%e actions* follo+9up actions from pre%ious mana"ement re%ie+s* chan"in" circumstances* and recommendations for impro%ement'This is a controlled document DO NOT reproduce or distribute. Draft 2008 PPI 1. -/.0tatus subtotals1 0 0 00tatus Total1 ' 10 points a%ailablePercenta"e complete1'Proram Totals 3lement subtotals1 0 0 0Pro"ram Total1 ' 1/2 points a%ailableTotal Pro"ram percenta"e complete1'Re3uired /ocuments and Records Re,erence MaterialsElement ": En!ironmental Policy9 Or"ani#ation$s 3n%ironmental Polic&Element (: En!ironmental Aspects9 Aist of si"nificant aspects9 Aist of all aspects 9 Aist of critical business functionsElement .: 2eal and %ther Re3uirements9 Aa+s* re"ulator& and other code re5uirements9 Boluntar& standard a"reementsElement &: %b4ecti!es and Tarets9 3n%ironmental ob7ecti%es and tar"ets 9 Aist of performance measures for decontaminations process9 Aist of pro"rams associated +ith si"nificant aspects9 Caste+ater mana"ement plan9 !a#ardous mana"ement plan9 ?hemical mana"ement plan9 Process 0afet& mana"ement9 Dloodborne patho"ens pro"ram9 ?ommunications pro"ramElement 7: Resources* roles* responsibility and authority 9