The document provides guidelines for conducting audits within the ISO 14001:2015 framework, emphasizing the importance of preparation, structured checklists, and thorough evidence gathering. It outlines the audit process phases, types of checks needed, and the necessity of engaging management and personnel to obtain valuable insights. Key recommendations include maintaining clear communication and time management throughout the audit to ensure efficient and effective evaluations.

1. Performing an Audit and Audit Checklist
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Performing an Audit
(gathering objective
evidence)
& Audit Checklist
1
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING

2. AUDITS
 Audits are expensive
 Audits must be well managed
 Audits must not be carried out ‘by
surprise’
 Always agree mutually convenient
dates well in advance
Performing an Audit and Audit Checklist
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MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING

3. TYPICAL TIMEALLOCATION
Four Phases
40%
PREPARATION
10%
FOLLOW
10%
REPORT 4
0
4
%
0
%
PERFORMANCE
Performing an Audit and Audit Checklist
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MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING

4. Performing an Audit and Audit Checklist
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• Reviewing documents
• Looking at records
• Interviewing people at all
levels
• Observing practices and
physical environment
How do auditor find evidence ?
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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5. Performing an Audit and Audit Checklist
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Checklist Format
 Leave space for notes
 Allow space for time control and
recording
 Reference the requirements of a
u
d
i
t
criteria
 Reference the control documents
 Reference verifying documents (records)
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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6. Performing an Audit and Audit Checklist
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Checklists should:
 Be specific for a given EMS.
 Be prepared using EMS
documentation.
 Be clear about evaluation
criteria.
 Note documents to review.
 Identify records to sample (and
sample size).
 Identify key people to interview.
 Include some key questions for
interviews.
 Note physical evidence you
expect to see.
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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Checklists should NOT:
• Narrow the vision or limit
evaluation.
• Obstruct communication.
• Be too strict or constraining.
• Be a script of exact questions.
• Restrict auditor’s inquiry.
• Be yes/no lists.
• Be completely generic.

7. Performing an Audit and Audit Checklist
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What documents should be reviewed for
Document review?
 Environmen
tal manual
Procedures
 W o r k instructions
 O t h e r documents
Records
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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8. Performing an Audit and Audit Checklist
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 Posted Procedures
 Actual Operations
 Emissions Points
 Operating Logs
 Instruments with Process
Measurements
 Alarms
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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 Cleanliness & Organization
 Communications Postings
 Awareness Reminders
 Calibration Tags
 Warning Signs
Observations
 Keep observing the physical evidence:
• aspects
• equipment, instruments
• conditions, operational control
Observation – What to Look for

9. Performing an Audit and Audit Checklist
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 production line, or wherever
environmental aspects are
generated;
 waste management;
 wastewater system, including
treatment and discharge;
 air pollution: check the
controls, not necessarily
climbing smokestacks;
 fences and borders - can you
hear the organizations noise
there?;
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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Observation!
 talk to people on the field - if
you can hear them!;
 wear proper clothes and
safety equipment's - be
prepared to get dirty
sometimes!
 Look for environmental
aspects, operational
controls, potential
emergencies, spills,
monitoring equipment's…
 Ask what the dials and
meters are indicating about
operational control and
measures.

10. Performing an Audit and Audit Checklist
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Spell out 3 types of approach for Auditing
 Aspect based approach
 Process based approach
 System based approach
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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11. Performing an Audit and Audit Checklist
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Follow Audit Trails
As you audit you will find
interesting opportunities for
follow-up (audit trails).
Pick promising audit trails:
Follow itthrough
Interact withteam
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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12. Performing an Audit and Audit Checklist
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Interview Top Management
Obtain evidence of leadership and commitment
 Observe attendance and interest in opening, closing and
feedback meetings
 Review documents:
Environmental policy
Objectives
Management reviews records
 Interview members of top management:
Do they know “their” system?
Do they monitor, analyse data, draw conclusions, define actions?
 Interview personnel at other levels:
Do they understand what top management is trying to communicate?
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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13. Performing an Audit and Audit Checklist
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Always take notes
Explain the need to taken
o
te
s
to auditee
 M a k e yournotes:
• Comprehensive
• Accurate
• Precise
• Legible
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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14. Performing an Audit and Audit Checklist
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Time management
 T i m e is always short
 P l a n well
 D o not allow your audit to g
e
t
side-tracked
 D o not dig too much (beware
false audit trails)
 D o not focus on trivia
Remember an audit is
a sampling
MMC/INTAS ISO 14001:2015 EMS INTERNAL AUDITOR TRAINING
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