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www.iso-9001-checklist.co.ukISO 14001:2015Internal AuditChecklistSystem & Process Compliance Auditing
Insert your company’s name or logo.ISO 14001:2015 Audit ChecklistSystem & Process Compliance AuditingTable of ContentsAudit Checklist – Part 1 3Section 4.0 Context of the Organization 3Audit Findings Summary 6Audit Checklist – Part 2 7Section 5.0 Leadership 7Audit Findings Summary 11Audit Checklist – Part 3 12Section 6.0 Planning 12Audit Findings Summary 18Audit Checklist – Part 4 19Section 7.0 Support 19Audit Findings Summary 25Audit Checklist – Part 5 27Section 8.0 Operation 27Audit Findings Summary 30Audit Checklist – Part 6 31Section 9.0 Performance Evaluation 31Audit Findings Summary 37Audit Checklist – Part 7 38Section 10.0 Improvement 38Audit Findings Summary 41www.iso-9001-checklist.co.ukPage 2 of 41
ISO 14001:2015 Audit ChecklistInsert your company’s name or logo.System & Process Compliance AuditingAudit Checklist – Part 1Section 4.0 Context of the OrganizationClause No.Question No.Audit FindingsAudit Question4.11Has your organization determined external and internalissues relevant to its purpose that could affect its ability toachieve the intended result(s) of its EMS?4.12Does your organization monitor and review external andinternal environmental conditions which could affect theorganization, and which the organization could affect?4.23Does the organisation determine the interested partiesthat are relevant to the EMS?4Does the organisation determine the requirements ofthese interested parties that are relevant to the EMS,which may include regulatory requirements, local, regionalor global environmental conditions that can affect, or beaffected by, your organization?5Does your organization determine which of thoserequirements are to be managed as complianceobligations in order to mitigate adverse risk or exploitbeneficial opportunities that can be integrated in theoperational planning of the EMS?4.24.2www.iso-9001-checklist.co.ukMajor N/CMinor N/COFICompliant(Score ‘1’ per box)Audit EvidenceOpportunities forImprovement (OFI)Provide reference to documentedinformation to justify the findingProvide suggestions forprocess improvementPage 3 of 41
ISO 14001:2015 Audit ChecklistInsert your company’s name or logo.System & Process Compliance AuditingClause No.Question No.Audit Findings4.36Does your organization determine the boundaries andapplicability of the EMS to establish its scope?4.37When determining this scope, has your organizationconsidered the external and internal issues referred to in4.1?4.38When determining this scope, has your organizationconsidered the requirements and compliance obligationsof its interested parties referred to in 4.2?4.39When determining this scope, has your organizationdefined its operational units, functions and physicalboundaries?Major N/CMinor N/COFIAudit QuestionCompliant(Score ‘1’ per box)Audit EvidenceOpportunities forImprovement (OFI)Provide reference to documentedinformation to justify the findingProvide suggestions forprocess improvementWhen determining this scope, has your organizationconsidered its activities, products and services in order tomitigate adverse risk or exploit beneficial opportunitiesthat can be integrated into system, process and productlifecycles, such as:4.3101.2.3.4.5.6.Raw material ry;Use;End of life treatment;Final disposal.www.iso-9001-checklist.co.ukPage 4 of 41
ISO 14001:2015 Audit ChecklistSystem & Process Compliance AuditingAudit FindingsQuestion No.4.311When determining this scope, has your organizationconsidered and documented its ability and authority tocontrol and influence factors relating to external andinternal issues?4.312Does your organization ensure that is EMS scope isavailable to interested parties and is maintained asdocumented information (See 7.5.1)?4.413Has your organization established, implemented,maintained and continually improved its EMS, includingthe processes needed and their interactions, in accordancewith the requirements of ISO 14001:2015?4.414Has your organization has considered the knowledge andinformation obtained by 4.1 and 4.2 when implementingand operating it EMS?www.iso-9001-checklist.co.ukMajor N/CMinor N/CAudit QuestionOFI(Score ‘1’ per box)CompliantClause No.Insert your company’s name or logo.Audit EvidenceOpportunities forImprovement (OFI)Provide reference to documentedinformation to justify the findingProvide suggestions forprocess improvementPage 5 of 41
ISO 14001:2015 Audit ChecklistInsert your company’s name or logo.System & Process Compliance AuditingAudit Findings SummaryManually transfer the audit findings from the audit checklist above into the audit findings summary table below. At the end of the audit, you should transferMajor N/CMinor N/COFIAudit FindingsCompliantQuestion No1314Major N/CMinor N/COFICompliantQuestion No101112Major N/CMinor N/COFICompliantQuestion No78www.iso-9001-checklist.co.uk419Major N/CMinor N/COFICompliantAudit Findings5Question NoAudit Findings6Major N/CMinor N/COFIAudit Findings2CompliantAudit Findings3Question Noany adverse findings into the EMS Action Tracker to create charts, summary tables and trend data to paste into your audit report.Page 6 of 41
ISO 14001:2015 Audit Checklist System & Process Compliance Auditing www.iso-9001-checklist.co.uk Page 5 of 41 . Audit Question Audit Findings (Score ‘1’ per box) Audit Evidence Opportunities for Improvement (OFI) ant I C C Provide reference to documented information to justify the finding Provide suggestions for process improvement 4.3 11
