Companies with Environmental, Health, and Safety (EHS) responsibilities typically conduct two types of environmental audits:
These audits review how well an environmental management system is working.
They measure performance against standards like ISO 14001.
The goal is to find gaps in system implementation.
These audits check compliance with environmental laws and regulations.
They may include:
Local and state regulations
Federal requirements
Policies set by agencies such as the U.S. Environmental Protection Agency (EPA)
This article focuses on environmental compliance audits and how audit protocols support them.
The EPA encourages companies to use environmental audits.
Audits help organizations:
Meet environmental laws and regulations
Find and fix compliance issues
Identify environmental risks that may not be regulated
According to the EPA, an environmental audit should be:
Systematic
Documented
Periodic
Objective
Audits should review facility operations and practices tied to environmental requirements.
An audit protocol helps plan and perform environmental compliance audits.
It defines site-specific audit activities and outlines what to review.
Audit protocols include tools that guide auditors through the process.
Guidance on key regulatory requirements
Definitions of regulatory terms
Summaries of applicable federal environmental laws
A detailed audit checklist
The checklist is the most actionable part of the audit protocol.
It tells auditors exactly what to evaluate.
Checklist responses may include:
Simple Yes / No answers
Scored responses
Linked questions with parent-child relationships
Despite different formats, many audit requirements are consistent across organizations.=
Most environmental compliance audits include three core activities:
Environmental permits
Management system documents
Hazardous material records
Facility walkthroughs
Cleanup and waste disposal areas
Manufacturing and processing equipment
Subject Matter Experts (SMEs)
Frontline employees
Supervisors and managers
After the audit, the protocol helps guide corrective actions.
Issues found during the audit are analyzed and documented.
Root cause analysis identifies why an issue occurred.
It focuses on preventing repeat problems, not just fixing symptoms.
Non-conformances are grouped into findings
Findings are assigned corrective action tasks
Actions are tracked until resolution
A structured audit process helps organizations improve compliance and reduce environmental risk over time.
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program, iv
When organizations follow a structured audit process, they see stronger compliance and better environmental performance.
The benefits often extend beyond a single site or department.
Improvements identified at one facility can be applied across the company.
For example:
An audit uncovers ways to reduce energy use
Waste reduction opportunities are identified
The same changes are rolled out at other locations
This approach helps organizations lower costs and improve performance at scale.
Because of these benefits, the EPA encourages companies to view compliance as a baseline, not the end goal.
Voluntary environmental audit programs help organizations go beyond minimum requirements.
One effective way to support this approach is through regular self-assessments.
Self-assessments allow organizations to:
Prepare for formal audits
Identify non-conformances early
Address issues before they become violations
Reduce risk to human health and the environment
Think of self-assessments as a low-risk way to test and improve compliance programs.
Audit management software simplifies and strengthens the audit process.
It helps teams work more efficiently and stay organized.
Centralized audit planning and scoping
Digital audit checklists and protocols
Automated findings and corrective action tracking
Audit report generation within the system or as PDFs
An automated system connects each step of the audit lifecycle in one place.
Whether audits are conducted internally or by third parties, managing audit protocols is essential.
Strong protocol management helps organizations:
Maintain regulatory compliance
Improve environmental management system performance
Ensure audits are consistent and repeatable
With the right tools and processes in place, audits become more effective and easier to manage over time.
[i] Protocol for Conducting Environmental Compliance Audits under CERCLA, ii
[ii] Protocol for Conducting Environmental Compliance Audits for Hazardous Waste Generators under RCRA, iii
[iii] Protocol for Conducting Environmental Compliance Audits under CERCLA, v
[iv] Protocol for Conducting Environmental Compliance Audits under the Stormwater Program, i