FO8 Audit Report - 14001 - v3.0

06100-FO8-Audit Report_14001
Owner: CM
Classification: Confidential | ACL: MSECB Staff
Status: Released
MSECB Certification – ISO 14001:2015

Management System Audit Report
of Company ABC
Beyond Recognition
06100-FO8-Audit Report_14001 Approver: SBOD
Owner: CM Approval date: 2022-02-01
Classification: Confidential | ACL: MSECB Staff Version: 3.0
Status: Released Page 2 of 18
DISTRIBUTION
The content of this report must not be disclosed to a third party without the agreement of
the MSECB Client.
DISCLAIMER
This report has been prepared by MSECB in respect of a Client's application for
assessment by MSECB. The purpose of the report is to verify the Client's conformance
with the management system standard(s) or other criteria specified. The content of this
report applies only to matters, which were evident to MSECB at the time of the audit
within the audit scope. MSECB does not warrant or otherwise comment upon the
suitability of the contents of the report or the certificate for any particular purpose or use.
MSECB accepts no liability whatsoever for consequences to, or actions taken by, third
parties as a result of or in reliance upon information contained in this report or certificate.
This audit is based on a sampling process of the available information and the auditors
nor MSECB can guarantee that all, if any, non-conformities have been discovered.
1. Audit information
1.1. Organization information
1.2. Audit information
1.3. Audit Scope
2. Audit preparation and methodology
2.1. Audit objectives
2.2. Audit criteria
2.3. Audit methodology
2.4. Previous audit results
2.5. Audit planning
2.6. Key people interviewed
2.7. MSECB complaint and appeal process
3. Significant audit trails followed
4. Audit findings
4.1. Audit finding definition
4.2. Major nonconformities (see also Annex A)
4.3. Minor nonconformities (see also Annex A)
4.4. Observations
4.5. Opportunities for improvement
4.6. Agreed follow-up activities
4.7. Uncertainty / obstacles that could affect the reliability of audit conclusions
4.8. Unresolved diverging opinions between the audit team & auditee
5. Audit conclusions and audit recommendation
5.1. System management conformance and capability
5.2. Audit conclusions
5.3. Recommendation
6. Annex A: Nonconformity report
6.1. Nonconformity Report
7. Annex B: Certification Information
8. Annex C: Surveillance Plan
Place, and Date

To Mr. John Smith (example)
Organization Name
I have audited the Management System (MS) of Company ABC (Organization Name)
from May 12th to May 15th 2017. The main objective of this audit was to assess if the
MS has been successfully implemented and effecticve, as well as to evaluate the
conformance of the organization to the ISO 14001:2015 requirements. Based on these
assessments and evaluations, a decision has been made whether or not to recommend
your organization for certification against ISO 14001:2015.
The audit team has conducted the audit based on the organization’s defined processes
in correspondence with the audit plan. The audit conducted by a professional team was
a process-based audit with a focus on the significant aspects, risks and objectives. The
audit was conducted in accordance with the ISO/IEC 19011 and ISO/IEC 17021, which
are accepted worldwide. Those standards require our audit team to plan and perform the
audit in order to acquire reasonable assurance whether your company’s management
system is effective and all requirements of ISO 14001:2015 have been met.
During the course of the audit process, the management system has proven overall
conformity with the requirements of the standard. The audit team has concluded that
your organization has established and preserved its management system according to
the requirements of the standard and proved the ability of the system to consistently
achieve the approved requirements for the services within the scope of your organization
and also on your organization’s policy and objectives.
The conformance level with the standard can still be improved despite the fact that no
nonconformities or only one nonconformity has been found during the audit. This was a
sample based audit. Nonconformities and other opportunities for improvement can still
be found in the audited and non-audited areas.
Referring to the results of the audit process and the demonstration of the organization’s
development and maturity, the audit team recommends that your organization’s
management system should be certified to ISO 14001:2015.
Name Surname
Audit Team Leader
1. Audit information
1.1. Organization information
Company name:
Contract number:
Phone number:
Website:
Total number of employees:
Total number of employees within the
scope:
Please provide justification for the employees that are

not included in the certification scope.
Contact name:
Contact email:
Contact phone:
Sites:
# of
State, Em
Site # Street Address City Province, Zip Code plo
Country yee
s
1
(main)
2
3
4
1.2. Audit information
Audit standard(s):
Initial Audit Surveillance 1
Audit type: Recertification Surveillance 2
Other:
Date(s) of audit(s):
Duration:
Audit team leader:
Additional team member(s):
Additional attendees and roles:
Site # Sites Audited

1
(main)
2
3
4
1.3. Audit Scope
Certification audit scope:
Date and version of scope statement:

Has scope changed since last audit?
All scope exclusions are appropriate and
justified:
Important Note* Excluded clauses in the audited
Management System shall be put in the certificate
2. Audit preparation and methodology

2.1. Audit objectives
The main purpose of this audit is to evaluate the implementation and effectiveness of the
Environmental Management System (EMS), evaluation of conformity to the requirements of ISO
14001:2015.
The specific objectives of this audit are to confirm that:

 The organization has determined the boundaries and applicability of the MS in
scope;
 The management system conforms with all the requirements of the audit
standards (Clause 4 to 10 of ISO 14001:2015);
 The management system conforms with all applicable legal and regulatory
requirements;
 The management system is capable of achieving the objectives of the
organization`s policies;
 The organization has established, implemented, maintained and continually
improved its MS, including the processes needed and their interactions, in
accordance with the requirements of the ISO 14001:2015.
2.2. Audit criteria
The audit critearia (the set of requirements) for this audit are all normative clauses of ISO
9001:2015 and ISO 45001:2018:
 Clause 4 – Context of the organization

 Clause 5 – Leadership
 Clause 6 – Planning
 Clause 7 – Support
 Clause 8 – Operation
 Clause 9 – Performance evaluation
 Clause 10 – Improvement
 Additional requirements
o Use of logo and trademark
o Documentation and processes defined in the management system
developed by the client
2.3. Audit methodology
[Please explain the methodology used by the audit team to perform this audit, similar to the
sample below]
The audit team has conducted a process-based audit focusing on the significant aspects, risks
and objectives. The auditors have used audit procedures to collect evidence in sufficient quantity
and quality to validate the conformity of the management system of the organization. The use of
audit procedures in a systematic way reduces the audit risk and reinforces the objectivity of the
audit conclusions.
The audit team has used a combination of evidence collection procedures to create their audit
test plan. The audit methods used consisted of interviews, observations of activities, review of
documentation and records, technical tests and analysis of sampling.
The analysis procedure allows the audit team to draw conclusions concerning a whole by
examining a part. It allows the auditor to estimate characteristics of a population by directly
observing a part of the whole population. The sampling method used during this audit was a
systematic sampling (or interval sampling) technique with a margin error of 3 to 5 %.
Technical tests, including testing of the effectiveness of a process or control have not been
performed by the auditors themselves. The operations have always been performed by the
personnel of the auditee.
2.4. Previous audit results
The results of the last audit of this system have been reviewed, in preparation for this audit in
particular to assure appropriate correction and corrective action have been implemented to
address any nonconformity identified. This review has concluded that:
any nonconformity identified during previous audits has been corrected and the corrective
action continues to be effective
any nonconformity identified during previous audits hasn’t been addressed adequately and the
specific issue has been re-defined in the nonconformity section of this report
N/A (no previous audits or no nonconformities during the previous audit)
2.5. Audit planning
[Please describe how the audit was planned by the audit team. Please check the example below]
The team leader of the audit has established an initial contact with the auditee to make
arrangement for this audit, including scheduling the dates. The team leader has validated
the feasibility of the audit, the audit objectives, the audit scope, the location and the audit criteria.
The audit plan was sent to the auditee and it was confirmed before the opening meeting between
the audit team and the auditee.
The onsite audit was started with an opening meeting which has been attended by the general
manager and the EMS responsible. The MSECB profile, audit purpose, methodology, reporting
system, appeal process and confidentiality were briefly presented to the client during the opening
meeting.
2.6. Key people interviewed
Opening Closing
Meeting Meeting Date of
Name Title Department / Process
(Yes or (Yes or interviewing
No) No)
2.7. MSECB complaint and appeal process
Any client may appeal any decision made by the audit team. Appeals must be in writing and are
addressed using MSECB’ procedure for handling appeals and disputes. If MSECB fails to resolve
the appeal to the organization’s satisfaction, the appeal can be escalated to MSECB Advisory
Board.
MSECB Complaint and Appeal Procedure: www.msecb.com

3. Significant audit trails followed

Notes on usage by the auditor:
Under the column “Status”, please use the following key to record your assessment
result for each clause:
A = Acceptable,
N/A = Not Applicable (Out of Scope),
MaNC = Major Nonconformity
MiNC = Minor Nonconformity
OBS = Observation
OFI = Opportunity for improvement
*nonconformities are explained in “Section 4: Audit Findings”.
Evidence should be provided also for ‘Acceptable’ clauses.
If nonconformity is identified (Minor or Major), please include the number of the

nonconformity in the column “No. of NC”. Detailed description of the nonconformity
should be provided in Annex A – Nonconformity Report.
If OBS or OFI is identified, please explain in details the finding(s) in section 4.4 and 4.5.
Clause Statu No.

Audit Evidence
Requirement s of NC
Findings/justification of findings/specifics/notes
4 Context of the organization
Understanding the organization and
4.1
its context
Understanding the needs and
4.2
expectations of interested parties
Determining the scope of the
4.3
environmental management system
4.4 Environemental management system
5 Leadership
5.1 Leadership and commitment
5.2 Environmental policy

Organizational roles, responsibilities
5.3
and authorities
6 Planning
Actions to address risks and
6.1
opportunities
Environmental objectives and
6.2
planning to achieve them
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
Clause Statu No.

Audit Evidence
Requirement s of NC
7.4 Communication
7.5 Documented information

8 Operation
8.1 Operational planning and control
Emergency preparedness and
8.2
response
9 Performance evaluation
Monitoring, measurement, analysis
9.1
and evaluation
9.2 Internal audit
9.3 Management review

10 Improvement
10.1 General
10.2 Nonconformity and corrective action
10.3 Continual improvement
11. Additional requirements

Use of logo and trademark
List of documents included in the audited MS

Version: 3.0
Status: Released
Page 12 of 18
4. Audit findings
The audit findings were communicated to the senior management of the organization during
the closing meeting. The final conclusion of the audit results and recommendation by the
audit team was also communicated to the management during the meeting.
4.1. Audit finding definition
The evaluation of the audit findings is based on the following definitions:
Major Nonconformities (MaNC)
The absence or total failure of a system to meet a requirement. It may be either:

 A number of minor nonconformities against one requirement can represent a total failure
of the system and thus be considered a major nonconformance; or
 Any nonconformance that would result in the probable shipment of a nonconforming
product. A condition that may result in the failure or materially reduce the usability of the
products or services for their intended purpose; or
 A nonconformance that judgment and experience indicate is likely either to result in the
failure of the ISMS system or to materially reduce its ability to assure controlled
processes and products.
Minor Nonconformities (MiNC)
A nonconformance that judgment and experience indicate is not likely to result in the
failure of the ISMS system or reduce its ability to assure controlled processes or products. It
may be either:
 A failure in some part of the supplier's documented ISMS system relative to a
requirement; or
 A single observed lapse in following one item of a company’s ISMS system.
Observations (OBS)
Any issues which are likely to become a NC, if not treated until the next audit are marked as
observations (OBS). No response is required.
Opportunities for Improvement (OFI)
If certain aspects which generally comply with the requirements of the standard should be
improved, then they are marked as opportunities for improvement (OFI). These OFIs help to
improve the management system as a whole or named processes. No response is required.
4.2. Major nonconformities (see also Annex A)
Please explain if there are major non-conformities found during the audit.
4.3. Minor nonconformities (see also Annex A)
Please explain if there are minor non-conformities found during the audit.
4.4. Observations
Please list any noted observations or issues that can possibly turn to non-conformities.
4.5. Opportunities for improvement
Please list any noted opportunities for improvement without any specific recommendations for
correction.
4.6. Agreed follow-up activities
Nonconformities detailed here need to be addressed through the organization’s corrective action
process, in accordance with the relevant corrective action requirements of the audit standard,
including actions to analyze the cause of the nonconformity, prevent recurrence, and complete the
maintained records.
Corrective actions to address the identified major nonconformities, shall be carried out immediately
and MSECB shall be notified of the actions taken within 30 days. To confirm the actions taken,
evaluate their effectiveness, and determine whether certification can be granted or continued, a
MSECB auditor will perform a follow up visit within 90 days.
Corrective actions to address the identified minor nonconformities shall be documented on an action
plan and be sent for review by the client to the auditor within 30 days. If the actions are deemed to be
satisfactory, they will be followed up during the next scheduled visit.
Nonconformities shall be addressed through the client’s corrective action process, including:
 Actions taken to determine the extent of and contain the specific nonconformance.
 Root Cause (results of an investigation to determine the most basic cause(s) of the
nonconformance).
 Actions taken to correct the nonconformance and, in response to the root cause, to
eliminate recurrence of the nonconformance.
 Corrective action response shall be submitted to the MSECB Lead Auditor.
 Client must maintain corrective action records, including objective evidence, for at
least three (3) years.
4.7. Uncertainty / obstacles that could affect the reliability of audit conclusions
Please specify.
4.8. Unresolved diverging opinions between the audit team & auditee
Please specify.
5. Audit conclusions and audit recommendation

5.1. System management conformance and capability
[Please describe if the management system has proven conformity with the requirements of
the audit standard and provided adequate structure to support implementation and
maintenance of the management system
i.e:
 demonstration of effective implementation and maintenance of MS
 demonstration of established and tracking of proper key performance objectives
and targets
 implementation of internal audit programme etc. ]
5.2. Audit conclusions
Has there been any serious deviation from the audit plan? (If yes, please Yes No
specify)
Are there any significant issues impacting the audit program? (If yes, Yes No
please specify)
Are there any significant changes affecting the management system since Yes No N/A
last audit took place? (If yes, please list the significant changes)
Are there any unresolved issues affecting the management system since Yes No N/A
last audit took place? (If yes, please list the unresolved issues)
The verification of the effectiveness of the corrective action taken Yes No N/A
regarding previously identified nonconformities has been performed and is
satisfactory (please list any comments if needed)
The management system is designed to achieve the organization’s policy Yes No

objectives
The management system is designed to meet statutory, regulatory and Yes No

contractual requirements
The internal audit and management review processes are in place and Yes No
adequate
The audit was successful in meeting the stated objectives Yes No
5.3. Recommendation
Lead Auditor Recommendation:
[Please recommend whether the management system of the organization being audited,
should be certified or not certified)
6. Annex A: Nonconformity report

6.1. Nonconformity Report
Note: If more than one nonconformity identified, please add additional nonconformity reports
NON CONFORMITY REPORT

DATE ORGANIZATION NC ID
TO BE COMPLETED BY AUDITOR
STANDARD: ISO/IEC 14001:2015

NON CONFORMITY OBSERVED IN
PROCESS/ AREA
REQUIREMENT OF THE STANDARD: CLAUSE:
NON CONFORMITY – DESCRIPTION OF OBJECTIVE EVIDENCE
BUSINESS
GRADE (Major/ Minor) LEAD AUDITOR AUDITOR
PROCESS REP.
TO BE COMPLETED
BEFORE
ROOT CAUSE ANALYSIS (What failed in the system to allow this NC to occur ?)
TO BE COMPLETED BY THE
CORRECTION & CORRECTIVE ACTION (What is done to solve this problem and to prevent
recurrence)
ORGANIZATION
CORRECTION:
CORRECTIVE ACTION:
DATE OF
VERIFICATION OF COMPLETION
CORRECTIVE ACTIONS ORGANIZATION
REPRESENTATIVE
VERIFICATION OF DATE STATUS LEAD AUDITOR
TO BE COMPLETED
CORRECTIONS /
BY AUDITOR
CORRECTIVE ACTIONS
AUDITOR COMMENTS
(including evidences verified
to accept the corrections/
correcive actions)
7. Annex B: Certification Information

GENERAL INFORMATION
Number of Certificates (for
hardcopy)
Languages English French
Name of the company (to be put
in the certificate)
Address (to be put in the
certificate)
Certification Scope Statement (to
be put in the certificate)
Important Note*
Scope Statement should be
concise and shall indicate only the
processes and procedures within
the management system that were
assessed during the audit.
Company’s name or address

should not be written in this
statement as they are mentioned in
dedicated spaces.
Excluded clauses in the audited
Management System (to be put in
the certificate)
DELIVERY ADDRESS
Title (Mr., Ms.)
First name
Last name
Address
City
Country
Province/State/Region
ZIP/Postal code
Email address
Version: 3.0
Status: Released
Page 17 of 18
8. Annex C: Surveillance Plan

Surveillance Plan
ISO 14001:2015
1: Initial Audit
2: Surveillance 1 Audit Plan
3: Surveillance 2 Audit 1 2 3 4
4: Recertification Audit (202X) (202X) (202X) (202X)
ISO/IEC 14001:2015 Clauses
4 Context of the organization
4.1 Understanding the organization and its context
Understanding the needs and expectations of interested
4.2
parties
Determining the scope of the environmental
4.3
management system
4.4 Environmental management system
5 Leadership
5.1 Leadership and commitment
5.2 Environmental policy
5.3 Organizational roles, responsibilities and authorities
6 Planning
6.1 Actions to address risks and opportunities
6.2 Environmental objectives and planning to achieve them
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
8 Operation
8.1 Operational planning and control
8.2 Emergency preparedness and response
9 Performance Evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.2 Internal audit
9.3 Management review
10 Improvement
10.1 General
10.2 Nonconformity and corrective action

10.3 Continual improvement
11. Additional requirements
Use of Logo
List of documents included in the audited MS
Notes and comments:
For completed visits, mark “X” in the box for each clause/process covered.
For planned visits, mark “O” in the box for each clause/process to be covered.

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06100-FO8-Audit Report_14001

MSECB Certification – ISO 14001:2015

Place, and Date

Please provide justification for the employees that are

1.2. Audit information

Site # Sites Audited

1.3. Audit Scope

Certification audit scope:

Date and version of scope statement:

2. Audit preparation and methodology

The specific objectives of this audit are to confirm that:

2.2. Audit criteria

 Clause 4 – Context of the organization

2.3. Audit methodology

2.4. Previous audit results

2.5. Audit planning

2.6. Key people interviewed

2.7. MSECB complaint and appeal process

MSECB Complaint and Appeal Procedure: www.msecb.com

3. Significant audit trails followed

Evidence should be provided also for ‘Acceptable’ clauses.

If nonconformity is identified (Minor or Major), please include the number of the

Clause Statu No.

4.4 Environemental management system

5.2 Environmental policy

Clause Statu No.

7.5 Documented information

9.3 Management review

10.2 Nonconformity and corrective action

10.3 Continual improvement

11. Additional requirements

List of documents included in the audited MS

4.1. Audit finding definition

The evaluation of the audit findings is based on the following definitions:

Major Nonconformities (MaNC)

The absence or total failure of a system to meet a requirement. It may be either:

Opportunities for Improvement (OFI)

4.2. Major nonconformities (see also Annex A)

4.3. Minor nonconformities (see also Annex A)

4.5. Opportunities for improvement

4.6. Agreed follow-up activities

5. Audit conclusions and audit recommendation

5.2. Audit conclusions

The management system is designed to achieve the organization’s policy Yes No

The management system is designed to meet statutory, regulatory and Yes No

The audit was successful in meeting the stated objectives Yes No

Lead Auditor Recommendation:

6. Annex A: Nonconformity report

NON CONFORMITY REPORT

STANDARD: ISO/IEC 14001:2015

NON CONFORMITY – DESCRIPTION OF OBJECTIVE EVIDENCE

7. Annex B: Certification Information

Company’s name or address

8. Annex C: Surveillance Plan

10.2 Nonconformity and corrective action

Notes and comments:

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