Iso 14001-2015 Audit Check Sheets-H1507

COMPANY: _______________
Internal Audit Check Sheets

ISO 14001:2015
Company: ________________________
Location: __________________________
Date: ______________
Lead Auditor: ______________________
ISO 14001-2015 AUDIT CHKSHEETS-2.2.16 BOLD FACE = NEW REQUIREMENTS ISO 14001:2015 Page 1 of 39
COMPANY: _______________
Internal Auditing Check Sheet- Guidelines

ISO 14001:2015
The Check Sheets provide questions the Internal Auditors can use in auditing conformance to the
Environmental Management System, ISO 14001 at the 2015 revision. The questions are built around an
organization with high environmental impact. When auditing organizations with low impact, the auditor
should designate status as “not applicable” where requirements do not apply. Examples would be in
clause 6.1.3 Compliance Obligations: If the organization does not have oil storage at the regulated
quantity, the Federal Oil Pollution Act of (OPA) would not apply.
Guidelines for completing the Check Sheets:
1. The “Audit Schedule” should be approved by a member of the organization’s management at

the start of the audit cycle. When changes are made in timing or auditors, records with
justification for changes should be maintained.
2. An “Audit Report” should be prepared at the close of the audit. The report should include a
summary of what was audited, the findings and plans for follow-up.
3. Objective evidence of documents, records audited need to be maintained; can be attachments
or notations on the Check Sheets. When using the Check Sheets, the revision level of the
procedure, date of record or report, individual interviewed needs to be listed.
4. When sampling or interviewing employees, the auditor needs to decide on how many samples
to take. Best approach is to start with 2 or 3 samples. If uncertainty or errors, then take
additional samples.
5. Auditors should have the Lead Auditor clearly define the process for identifying non-
conformances. In general, if there is nonconformity to a requirement of the ISO14001 standard -
a statement in the standard that includes a “shall”, then the potential exists to record a
nonconformance. (NOTE: In the cksheets, “needs to” or “should” is the same as “shall”).
Additionally, if the organization has committed to a requirement in their documentation, then
evidence needs to exist that the organization conforms to their planned arrangement.
6. Nonconformances should include: what’s the requirement; what’s the nonconformance; and
what’s the supporting evidence.
7. When an auditor provides an “Opportunity for Improvement”, the auditor (or Lead Auditor)
should review whether the process owner accepts the suggestion and the plan for dealing with
the suggestion.
8. While “positive comments” are not specified on the Check Sheets, it is always good policy to
include positive comments in the Audit Report Summary.
9. Recall from the Internal Auditor training, an auditor should:
- Be objective
- Be open minded
- Listen
- Communicate clearly
- Report fairly without bias.
COMPANY: _______________
Process: Understanding the organization and its Clauses: 4.1-4.4

context (Context, Scope, Boundaries,
Interested parties)
Date:
Auditor: Auditees:
C = conforming; NC= nonconforming; O= Opportunity
4.1: Understanding the organization and its context: The organization needs to determine external and
internal issues that are relevant to its purpose and that affect its ability to achieve the intended
outcomes of its environmental management system. Such issues should include environmental
conditions being affected by or capable of affecting the organization. C/NC/O
4.1 What are the important issues that
can affect, either positively or
negatively, the way the organization
manages its environmental
responsibilities?
Examples would be:
- Air emissions; climate change
- Existing land contamination
- Neighboring waterways
- Biodiversity (local flora-fauna)
4.2 What are the issues related to
interested parties (customers,
community, neighbors) related to the
organization’s environmental
management and environmental
compliance obligations?
Examples would be:
- End of Life product disposal
- Voluntary labelling on products
- Reduction of unregulated materials
(Styrofoam- PVC)
- Sustainable resources
- Commitments to maintain adjacent
community land or water ways
4.3 Has the organization defined and Record scope:
documented the scope of its
environmental management system?
(Scope is defined as activities, products and
services of the organization to include all site
addresses and buildings).
Where is the scope defined? If the
organization has a Quality Management
System, are the scopes the same?
COMPANY: _______________
4.1 External and internal issues that are

relevant to the EMS (cont.)
Does the organization own the Record Lease Agreement (if applicable):
property? If not, ensure environmental
responsibilities are defined.
Verify boundaries on exterior of site. Describe renter’s activities (if applicable):

If organization leases areas of the site to
other company(s), determine how the
organization ensures the renter’s
activities do not have negative impact on Potential impact on EMS:
the organization’s EMS.
Comments/ NCs/ Opportunities
COMPANY: _______________
Process: Leadership and commitment Clauses: 5.1

Date:
Auditor: Auditees:
5.1: Leadership and commitment: Top management needs to demonstrate leadership and commitment
with respect to the environmental management system.
How has Top Management supported the
establishment of the environmental policy
and environmental objectives?
How has Top Management integrated the

environmental policy and objectives with
the strategic direction, business processes
and the context of the organization?
What is the evidence to indicate Top EMS staff:

management provides resources to support
the environmental management system?
New equipment:
COMPANY: _______________
Process: Environmental Policy Clause: 5.2

Date:
Auditor: Auditees:
5.2: Environmental Policy: Top management needs to establish, implement and maintain an
environmental policy that, within the defined scope of its environmental management system:
What is the organization’s Environmental policy? Record Environmental Policy:
Does the policy include?

-Commitment to continual improvement
-Commitment to the protection of the

environment, including prevention of pollution
and other specific commitments relevant to the
context of the organization;
-A commitment to comply with applicable
compliance obligations?
- A commitment to comply with “other”

requirements; (customer, industry, corporate)
How is the policy documented- signed and dated?
How is it communicated to employees- temporary

help-contractors?
How is it made available to the public?
COMPANY: _______________
Process: Organizational roles, responsibilities Clauses: 5.3

and authorities
Date:
Auditor: Auditees:
5.3: Organizational roles, responsibilities and authorities: Top management needs to ensure that the
responsibilities and authorities for relevant roles are assigned and communicated within the
organization. Top management should assign the responsibility and authority for: ensuring that the
environmental management system conforms to the requirements of this International Standard;
reporting on the performance of the environmental management system, including environmental
performance, to top management.
How does Top Management ensure that the
environmental management system conforms to the
requirements of this International Standard?
(interview Top Management)
Describe authorities as applicable:

-Communicating with Regulatory bodies and the
public.
-Releasing Hazardous waste manifests (if applicable)
-Approving reports to Regulatory bodies
-Other authorities?
What individual (title) has the responsibility to

report the performance of the environmental
management system to top management?
How is the reporting done?
COMPANY: _______________
Process: Environmental Aspects Clauses: 6.1.2
Date:
Auditor: Auditees:
6.1.2: Environmental Aspects: Within the defined scope of the environmental management system, the
organization needs to determine the environmental aspects of its activities, products and services that it
can control and those that it can influence, and their associated environmental impacts, considering a
life cycle perspective.
How has the organization identified and Procedure:
documented the environmental aspects of its
activities, products and services within the defined
scope of the Environmental management system
that it can control? Process used?
What are the manufacturing processes?
Sources for air discharges?
Sources of waste water?
Storage/ Handling of Chemicals?
Types of Waste at site?
Utilities at site?
What are the aspects related to the plant exterior?
What are the aspects related to maintenance?
COMPANY: _______________
Environmental aspects (continued)
How does the organization keep the Aspects List up-

to- date?
How has the organization considered the external

and internal issues that are relevant to its purpose;
the needs and expectations of interested parties;
Identified abnormal and potential emergency
situations when establishing its environmental
aspects?
Examples:
-Reduction of fossil based fuel sources
-Eco-friendly packaging
-Neighbors
-Community
How are new developments, or new or modified

activities, products and services reviewed as
potential new aspects?
How does the organization determine which aspects

have a significant impact on the environment?
What are current Significant Environmental Aspects?
COMPANY: _______________
Process: Compliance Obligations Clauses: 6.1.3

Date:
Auditor: Auditees:
6.1.3 Compliance obligations: The organization needs to: determine and have access to the compliance
obligations related to its environmental aspects; determine how these compliance obligations apply to
the organization; take these compliance obligations into account when establishing, implementing,
maintaining and continually improving its environmental management system
How has the organization determined and Procedure:
documented the legal and other requirements
(compliance obligations) applicable to their
processes and environmental aspects?
How are the Legal requirements connected or

linked to the defined environmental aspects?
Is the relevant Federal or state regulation listed

(strictest regulation)?
Does the list define the organization’s status for

each regulation- or reason why the regulation is
not applicable to its operations?
What are the Federal, State or Local permits

applicable to the site?
Are there any “legacy issues” (former site owner)

active for the site? Define if applicable.
How is the list maintained and kept up-to-date?
What is the process for ensuring the list is

updated when regulations change?
What customer, industry or corporate

requirements are applicable to the site?
COMPANY: _______________
6.1.3 Compliance Obligations (cont.)
Federal Environmental Laws that may apply (EPA)
Clean Air Act (CAA)

Regulates air emissions from area, stationary and
mobile sources.
Clean Water Act (CWA)
Storm water pollution prevention
Resource Conservation and Recovery Act (RCRA)

Regulates Hazardous waste generators
Emergency Planning & Community Right-To-Know Act

(EPCRA)
Hazardous chemical storage reporting requirements
Federal Insecticide, Fungicide and Rodenticide Act

(FIFRA)
Regulates manufacture and use of pesticides
Oil Pollution Act of (OPA)

Regulates storage of petroleum products
Toxic Substances Control Act (TSCA)

Tracks 75,000 industrial chemicals
Universal Waste
Regulates disposal of fluorescent tubes, batteries,
electronic waste
Ozone-depleting Substances (ODS)

Regulates use of substances that can deplete ozone
layer
Other Regulations?
COMPANY: _______________
Process: Planning action (risks) Clauses: 6.1.4

Date:
Auditor: Auditees:
6.1.4 Planning action: The organization should plan: to take actions to address its: significant
environmental aspects; compliance obligations; and risks and opportunities identified- how to:
integrate and implement the actions into its environmental management system processes or other
business processes; evaluate the effectiveness of these actions. When planning these actions, the
organization needs to consider its technological options and its financial, operational and business
requirements.
How does the organization integrate the
environmental aspects and compliance obligations
into the business of the organization and provide
risk evaluation and planning to mitigate the risks?
What process does the organization use to assess

risk related to its identified environmental aspects
and compliance obligations?
Examples:
-FMEA (failure mode effect analysis)
- Significant Aspects ranking criteria?
How does the organization evaluate the risks
related to not meeting its compliance obligations?
-Example:
How are risks related to ensuring controls related to
regulated aspects analyzed?
When planning actions to address risks and
opportunities how does the organization indicate it
has considered its technological options and its
financial, operational and business requirements?
Examples:
-Do improvement projects consider new
technologies; cost benefits; changing regulatory
laws?
COMPANY: _______________
Process: Environmental objectives Clauses: 6.2.1

Date:
Auditor: Auditees:
6.2.1 Environmental objectives: The organization needs to establish environmental objectives at

relevant functions and levels, taking into account the organization's significant environmental aspects
and associated compliance obligations, and considering its risks and opportunities
How were the environmental objectives Procedure:
determined?
What are the current objectives?
Are the objectives measureable with a

quantifiable target (goal)?
When selecting objectives, how did the
organization record its consideration of:
- significant environmental aspects
- technological options
- financial, operational and business
requirements,
- compliance obligations
- risks and opportunities
How are the objectives related to:

Prevention of pollution?
Reduction of waste?
COMPANY: _______________
6.2.1 Environmental Objectives (cont.)
Reduction of utility use?
Do the objectives have a measureable

target (goal)?
How are objectives supported throughout

various levels in the organization?
COMPANY: _______________
Process: Planning actions to achieve environmental Clauses: 6.2.2

objectives
Date:
Auditor: Auditees:
:
6.2.2 Planning actions to achieve environmental objectives: When planning how to achieve its
environmental objectives, the organization should determine: what will be done; what resources will be
required; who will be responsible; when it will be completed; how the results will be evaluated,
including indicators for monitoring progress toward achievement of its measurable environmental
objectives. The organization needs to consider how actions to achieve its environmental objectives
can be integrated into the organization’s business processes.
What process does the organization use to Procedure:
plan actions (programs) to achieve
environmental objectives? How is the
planning process documented?
How do environmental programs record the

target, responsibilities, timeline and means
to achieve?
How does the organization integrate

environmental programs to achieve its
environmental objectives into the
organization’s business processes?
Examples:
-Are environmental objectives included in
the organizations business metrics or KPIs
(key process indicators)?
- Do the environmental objects link to
quality or business objectives? Example?
How are the objectives tracked and results

evaluated?
COMPANY: _______________
6.2.2 Planning actions to achieve

environmental objectives (cont.)
Describe examples of current programs:
COMPANY: _______________
Process: Competence Clauses: 7.2

Date:
Auditor: Auditees:
:
7.2 Competence: The organization needs to: determine the necessary competence of persons doing
work under its control that affects its environmental performance and its ability to fulfil its compliance
obligations; ensure that these persons are competent on the basis of appropriate education, training or
experience; determine training needs associated with its environmental aspects and its environmental
management system; where applicable, take actions to acquire the necessary competence, and evaluate
the effectiveness of the actions taken.
What process has the organization Procedure:
established to determine the competence
for persons doing work under its control
that affect the organization’s
environmental performance?
Does the process include:
-the importance of conformity with the
requirements of the environmental
management system.
-the environmental aspects and related
actual or potential impacts associated with
their work.
-their roles and responsibilities in achieving
conformity with the requirements of the
environmental management system.
-the potential consequences of departure
from specified procedures
How has the organization identified training

needs associated with its environmental
aspects and its environmental management
system?
What are the tasks requiring training in the
EMS?
- Waste water treatment
- Handling Hazardous waste
- Operation of air controls
- Storm Water
- Spill Plans
-
COMPANY: _______________
7.2 Competence (cont.)

- Other Tasks in EMS?
Describe tasks with external training

requirements with certificates or license.
Sample several employees’ records for

documentation of their competence/
training to perform assigned tasks.
-Job descriptions;
-Training Records and licenses;
How are contractors or temporary

employees made aware of the
organization’s environmental requirements
and the potential consequences of
departure from specified procedures?
Sample several contractors (or records) for
their awareness of the organization’s
environmental requirements.
COMPANY: _______________
Process: Awareness Clauses: 7.3

Date:
Auditor: Auditees:
7.3 Awareness The organization need to ensure that persons doing work under the organization's
control are aware of: the environmental policy; the significant environmental aspects and related
actual or potential environmental impacts associated with their work; their contribution to the
effectiveness of the environmental management system, including the benefits of enhanced
environmental performance; the implications of not conforming with the environmental management
system requirements, including not fulfilling the organization's compliance
How does the organization make persons
working under its control aware of the
elements of its environmental
management system?
NOTE: some overlap of Awareness
requirements with Communications and
Training. For Awareness, the following
notes can be observed:
How does the organization make the
workers aware of the intent and results of
the environmental management system?
Examples:
-Employee meetings
-Bulletin boards
Interview several employees.
Are they aware of the environmental
policy, the organization’s objectives; their
role in achieving the objectives and
maintaining compliance with regulatory
obligations?
COMPANY: _______________
Process: Communication Clauses: 7.4

Date:
Auditor: Auditees:
7.4.1 General: The organization should establish, implement and maintain the processes needed for
internal and external communications relevant to the environmental management system, including: on
what it will communicate; when to communicate; with whom to communicate; how to communicate
7.4.2 Internal Communications: Procedure:
How does the organization provide
communications to the various levels and
functions of the organization?
How are changes affecting the
environmental management system
communicated to impacted employees?
Examples:
-Revisions to work instructions
-Performance against goals
7.4.3 External Communications:
How does the organization receive,
document and respond to relevant
communication from external interested
parties? Is the Environmental Policy
available to the public? How?
-Regulatory bodies:
-Neighbors or other interested parties:
COMPANY: _______________
Process: Documentation Clauses: 7.5.1

Date:
Auditor: Auditees:
7.5.1 General: The organization's environmental management system should include: documented
information required by this International Standard; documented information determined by the
organization as being necessary for the effectiveness of the environmental management system
Where are the following documented? Procedure:
-The environmental policy, objectives and

targets
-Description of the scope, boundaries and
context of the environmental management
system
How does the organization describe the main
elements of the environmental management
system and their relationship with ISO14001?
What documented information of the
environmental management system is
necessary for the organization to maintain
the effectiveness of the environmental
management system?
Which elements require a procedure or

documented instruction to ensure the
effective planning, operation and control of
processes that relate to its environmental
aspects?
How does the organization provide linkage or

reference to lower level documentation?
How are external documents maintained?

(regulatory permits, licenses )
Comments/ NC/ Opportunities:
COMPANY: _______________
Process: Creating and Updating Clauses: 7.5.2

Date:
Auditor: Auditees:
7.5.2 Creating and Updating: When creating and updating documented information, the organization
needs to ensure appropriate: identification and description (e.g. a title, date, author, or reference
number); format (e.g. language, software version, graphics) and media (e.g. paper, electronic); review
and approval for suitability and adequacy.
NOTE: ISO14001: 2015 has some overlap in clause 7.5.2, Creating and Updating and 7.5.3, Control of
documented information. Suggest the auditors use 7.5.2 to cover how the organization CREATES
documents and 7.5.3 for how the organization CONTROLS documents, including what have been
ENVIRONMENTAL RECORDS in previous ISO14001 revisions.
When creating or updating documented Procedure:
information, how does the organization define the
process for:
-the identification and description (e.g. a title, date,
author, or reference number) for each document.
-the format (e.g. language, software version,

graphics) and media (e.g. paper, electronic) for
each document.
-the process to approve of documents for adequacy

prior to issue?
Comments/ NCs/ Opportunities:
COMPANY: _______________
Process: Control of documented information Clauses: 7.5.3

(including Environmental Records):
Date:
Auditor: Auditees:
7.5.3 Control of documented information: Documented information required by the environmental

management system and by this International Standard should be controlled to ensure: it is available
and suitable for use, where and when it is needed; it is adequately protected (e.g. from loss of
confidentiality, improper use, or loss of integrity)
How does the Document Control procedure define : Procedure:
-process to change documents and provide revision
control and record of change?
-process to ensure relevant versions of applicable

documents are available at points of use
-the process to review and update procedures and

work instructions to ensure they are being used by
employees as documented?
-process to prevent the unintended use of obsolete

documents and that the documents remain legible
and readily identifiable?
-process to ensure documents of external origin
required for the environmental management
system are identified and their distribution
controlled?
If control of environmental management system
documentation is combined with quality
management system documentation, describe how
the quality documentation is referenced in the EMS.
COMPANY: _______________
7.5.1/7.5.3 -Environmental RECORDS (cont.):
7.5.1 General :The organization's environmental management system needs to include: documented
information required by this International Standard; documented information determined by the
organization as being necessary for the effectiveness of the environmental management system
7.5.3 Control of documented information: For the control of documented information, the
organization needs to address the following activities as applicable: distribution, access, retrieval and
use; storage and preservation, including preservation of legibility; control of changes (e.g. version
control); retention and disposition.
How does the organization identify, store and Procedure:
protect records required to demonstrate conformity
to its environmental management system?
-Where are the environmental records identified?
(records list, procedure, work instruction)
-How are the records accessed?
-Is the retention time for records defined?
-What is the process used to dispose of records?
Environmental Records Review: Applicable? Sample during audit

- Plant Inspections
- Environmental Incident Report
- Management Review Notes
- Compliance Audit Reports
- Corrective/ Preventive Actions
- Internal Audit Reports
- Communications Log
- EMS Training Records
- Contractor Awareness
- Hazardous Waste Manifests
- Maintenance Check Lists
- Other?
COMPANY: _______________
Process: Operational planning and control Clause: 8.1

Date:
Auditor: Auditees:
8.1 Operational planning and control: The organization needs to establish, implement, control and
maintain the processes needed to meet environmental management system requirements, and to
implement the actions identified in 6.1 (environmental aspects and 6.2(compliance obligations) by:
establishing operating criteria for the process(es); implementing control of the process(es), in
accordance with the operating criteria.
What are the environmental aspects or Define operating controls as applicable for each
activities that require operational controls? aspect. Include records and names of employees
interviewed
- - Handling hazardous waste
- - Disposal of universal waste
- - Control of air emissions
- - Process water treatment
- - Maintenance
- - Chemical handling
- - Plant support equipment

- (Air compressors, chillers, cooling towers,
etc.)
-
COMPANY: _______________
8.1 Operational Planning and Control

(cont.)
Define the operating controls in place
related to outsourced processes -suppliers
and contractors (as applicable).
Examples:
-Cleaning services
-Waste removal
-Maintenance
-Construction
-Other?
How does the organization include

environmental controls during the design/
development process (if applicable)?
List the operational controls related to

delivery of the products or services and
during use and end-of-life treatment of the
product (if applicable).
COMPANY: _______________
Process: Emergency preparedness and response Clause: 8.2

Date:
Auditor: Auditees:
8.2 Emergency preparedness and response: The organization needs to establish, implement and
maintain the processes needed to prepare for and respond to potential emergency situations identified
in Planning Actions to Address Risks (6.1.1).
How has the organization documented the Procedure:
emergency planning related to situations
that can impact the environment?
If the Emergency Procedures are combined
with Hazardous Waste Contingency Plans,
Storm Water Plans and Spill Plans, review
how the Integrated Plans are controlled and
maintained.
How has the organization outlined its
response to:
- A fire?
-Inclement weather?
-Liquid spills?
-Unintended release of gases?
-Other accidents/ situations?
How are the emergency procedures

reviewed and revised following the
occurrence of accidents or emergency
situations?
How has coordination with the local fire
department and other authorities been
considered (if applicable)?
COMPANY: _______________
8.2 Emergency preparedness and

response (cont.)
What are the plans to test the emergency

response plans, if practicable? Frequency
defined?
If testing is not done, how does the

organization ensure the emergency
responses will be effective if needed?
How are deficiencies discovered during

testing responded to and resolved?
Examples?
Define how the emergency support devices

are maintained (sprinklers, fire pumps,
alarms, etc.).
Records?
COMPANY: _______________
Process: Monitoring and measurement Clause: 9.1.1

Date:
Auditor: Auditees:
9.1.1 General: Monitoring and measurement: The organization needs to monitor, measure, analyze and
evaluate its environmental performance. The organization should determine: what needs to be
monitored and measured; the methods for monitoring, measurement, analysis and evaluation, as
applicable, to ensure valid results; the criteria against which the organization will evaluate its
environmental performance, and appropriate indicators; when the monitoring and measuring should be
performed; when the results from monitoring and measurement should be analyzed and evaluated.
How is each Significant Environmental
Aspects monitored or measured?
How are the other Environmental

Aspects monitored or measured?
Examples as applicable:
-Air discharges
-Waste
-Water discharges
-Chemical handling
-Recycle
-Resource use
COMPANY: _______________
Monitoring and measurement (cont.)

How are Environmental Objectives and
Targets monitored or measured?
How are devices used to measure

regulated parameters calibrated or
verified?
Examples:
-Flow meters
-pH devices
-Air discharges
-Gas analyzers
-Controllers
-Gages
COMPANY: _______________
Process: Evaluation of compliance Clause: 9.1.2

Date:
Auditor: Auditees:
9.1.2 Evaluation of compliance: The organization needs to establish, implement and maintain the
processes needed to evaluate fulfilment of its compliance obligations
How does the organization audit the Procedure:
Legal and Regulatory requirement as
listed in section 6.1.3
Where is the Compliance Plan

documented? Frequency?
Who conducts Compliance Audits and

how were they qualified?
Review current Compliance Audit: Record date of recent Compliance Audit
- Legal List up-to-date?
- Permits current?
- Notifications to Regulatory
agencies current?
- Evidence of required inspections

reviewed?
How are deficiencies discovered

during Compliance Audits responded
to and resolved?
Examples?
COMPANY: _______________
9.1.2 Evaluation of compliance (cont.)

What are the “other”
environmental requirements
related to Customers, Industry or
Corporate?
How does the organization audit

compliance to “other”
requirements?
COMPANY: _______________
Process: Internal audit programme Clause: 9.2.1/9.2..2

Date:
Auditor: Auditees:
9.2.2 Internal audit programme: The organization needs to establish, implement and maintain an
internal audit programme, including the frequency; methods; responsibilities; planning requirements
and reporting of its internal audits.
How does the organization plan and Procedure:
schedule internal audits of the
What is the frequency of conducting
internal audits?
How are the internal auditors trained and

qualified to perform internal audits?
Record of training?
How does the organization ensure the

internal audits are conducted with
objectivity and the impartiality?
List which functional areas are

represented by internal auditors:
What methods are used by the internal

auditors to collect information regarding
the environmental aspects, processes,
procedures, instructions and requirements
related to the environmental management
system?
COMPANY: _______________
9.2.2 Internal audit (cont.)

Sample several internal auditor reports:
How are discrepancies or nonconformities

(findings) discovered when conducting
internal audits of the environmental
management system recorded?
Sample several internal audit findings.
Review follow-up and closure of findings.
COMPANY: _______________
Process: Management review Clause: 9.3

Date:
Auditor: Auditees:
9.3 Management review: Top management needs tol review the organization’s environmental
management system, at planned intervals, to ensure its continuing suitability, adequacy and
effectiveness.
How frequent does the organization review Date of most recent Management Review:
suitability, adequacy and effectiveness of its
How does the organization’s Management
Review cover the following:
- Results of internal audits.
- Evaluations of compliance with regulatory

obligations and with other requirements
(corporate, customer, industry).
- Communications from external interested
parties, including complaints.
- The environmental performance of the

organization (use of resources, cost of waste,
cost of utilities).
- The extent to which objectives and targets

have been met.
- Status of corrective and preventive actions
- Follow-up actions from previous

management reviews.
COMPANY: _______________
9.3 Management review (cont.)

Changing circumstances, including
- the needs and expectations of interested
parties,
- compliance obligations related to its
environmental aspects;
- its significant environmental aspects;
- risks and opportunities;
- Recommendations for improvement.
- Need for additional resources
How does the organization record decisions

regarding changes made during Management
Review meetings?
- Environmental policy
- Objectives, targets
What evidence supports the organization’s

commitment to continual improvement?
How does the organization summarize the

suitability, adequacy and effectiveness of its
- Suitable= is the environmental management
system appropriate to the organization’s
environmental aspects and impacts?
- Effective= has the organization met the
objectives and targets established in support
of its environmental management system?
- Adequate= does the organization’s
environmental management system satisfy
the requirements of ISO14001:2015
COMPANY: _______________
Process: Nonconformity and corrective action Clause: 10.2

Date:
Auditor: Auditees:
10.2 Nonconformity and corrective action: When nonconformity occurs, the organization needs to:
react to the nonconformity and, as applicable take action to control and correct it.
How are nonconformities identified Procedure:
that could have an environmental
impact?
How does the organization identify the

need for actions to correct
nonconformities?
- Plant inspections
- Results of audits
- Results of drills or emergency

situations
Record evidence of changes to

environmental management system
documentation as a result of
corrective actions.
COMPANY: _______________
10,2 Nonconformity corrective action

(cont.)
Record samples of Corrective Actions
to review effectiveness of analysis of
causes; timely closure and measure of
effectiveness.
COMPANY: _______________
Process: Continual improvement Clause: 10.3

Date:
Auditor: Auditees:
10.3 Continual improvement: The organization should continually improve the suitability, adequacy
and effectiveness of the environmental management system to enhance environmental performance.
Describe programs or initiatives employed by
the organization to improve the effectiveness
of the environmental management system.
Examples:
- Environmental Programs
- Employee Teams
- Other Initiatives
Review the trends in:
- Resource use (utilities)
- Waste Reduction
- Hazardous Waste
- Recycle
- Environmental Incidents
- Complaints

Iso 14001-2015 Audit Check Sheets-H1507

Uploaded by

Document Informationclick to expand document informationAUDIT CHECK LIST

Document Informationclick to expand document information

Copyright:

Available Formats

Iso 14001-2015 Audit Check Sheets-H1507

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Iso 14001-2015 Audit Check Sheets-H1507

Uploaded by

Copyright:

Available Formats

COMPANY: _______________

Internal Audit Check Sheets

Lead Auditor: ______________________

Internal Auditing Check Sheet- Guidelines

Guidelines for completing the Check Sheets:

1. The “Audit Schedule” should be approved by a member of the organization’s management at

Process: Understanding the organization and its Clauses: 4.1-4.4

4.1 External and internal issues that are

Verify boundaries on exterior of site. Describe renter’s activities (if applicable):

Comments/ NCs/ Opportunities

Process: Leadership and commitment Clauses: 5.1

C = conforming; NC= nonconforming; O= Opportunity

How has Top Management integrated the

What is the evidence to indicate Top EMS staff:

Comments/ NCs/ Opportunities

Process: Environmental Policy Clause: 5.2

C = conforming; NC= nonconforming; O= Opportunity

Does the policy include?

-Commitment to the protection of the

- A commitment to comply with “other”

How is the policy documented- signed and dated?

How is it communicated to employees- temporary

How is it made available to the public?

Comments/ NCs/ Opportunities

Process: Organizational roles, responsibilities Clauses: 5.3

C = conforming; NC= nonconforming; O= Opportunity

Describe authorities as applicable:

-Releasing Hazardous waste manifests (if applicable)

-Approving reports to Regulatory bodies

What individual (title) has the responsibility to

Comments/ NCs/ Opportunities

Process: Environmental Aspects Clauses: 6.1.2

What are the manufacturing processes?

Sources for air discharges?

Sources of waste water?

Storage/ Handling of Chemicals?

Types of Waste at site?

What are the aspects related to the plant exterior?

What are the aspects related to maintenance?

Environmental aspects (continued)

How does the organization keep the Aspects List up-

How has the organization considered the external

How are new developments, or new or modified

How does the organization determine which aspects

What are current Significant Environmental Aspects?

Comments/ NCs/ Opportunities

Process: Compliance Obligations Clauses: 6.1.3

C = conforming; NC= nonconforming; O= Opportunity

How are the Legal requirements connected or

Is the relevant Federal or state regulation listed

Does the list define the organization’s status for

What are the Federal, State or Local permits

Are there any “legacy issues” (former site owner)

How is the list maintained and kept up-to-date?

What is the process for ensuring the list is

What customer, industry or corporate

6.1.3 Compliance Obligations (cont.)