Internal Audits in Entity-Level Controls Disaster Recovery Toolkit (Publication Date: 2024/02)


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Discover Insights, Make Informed Decisions, and Stay Ahead of the Curve:

  • How does your organization plan and schedule internal audits of the environmental management system?
  • How does your organization ensure the internal audits are conducted with objectivity and the impartiality?
  • Does your organization perform internal audits of its quality system, and are results documented?
  • Key Features:

    • Comprehensive set of 1547 prioritized Internal Audits requirements.
    • Extensive coverage of 100 Internal Audits topic scopes.
    • In-depth analysis of 100 Internal Audits step-by-step solutions, benefits, BHAGs.
    • Detailed examination of 100 Internal Audits case studies and use cases.

    • Digital download upon purchase.
    • Enjoy lifetime document updates included with your purchase.
    • Benefit from a fully editable and customizable Excel format.
    • Trusted and utilized by over 10,000 organizations.

    • Covering: Electronic Records, Software As Service, IT Staffing, HR Policies And Procedures, Board Composition, Backup And Restore Procedures, Employee Background Checks, Access Controls, Vendor Management, Know Your Customer, Reputation Management, Intrusion Detection And Prevention, Platform As Service, Business Continuity, Financial Statement Audits, Compliance Certifications, External Audits, Senior Management, Patch Management, Network Security, Cloud Computing, Segregation Of Duties, Anti Money Laundering, Customer Complaint Handling, Internal Audit Function, Information Technology, Disaster Recovery, IT Project Management, Firewall Configuration, Data Privacy, Record Management, Physical Records, Document Retention, Phishing Awareness, Control Environment, Equal Employment Opportunity, Control System Engineering, IT Disaster Recovery Plan, Business Continuity Plan, Outsourcing Relationships, Customer Due Diligence, Internal Audits, Incident Response Plan, Email Security, Customer Identification Program, Training And Awareness, Spreadsheet Controls, Physical Security, Risk Assessment, Tone At The Top, IT Systems, Succession Planning, Application Controls, Entity Level Controls, Password Protection, Code Of Conduct, Management Oversight, Compliance Program, Risk Management, Independent Directors, Confidentiality Policies, High Risk Customers, End User Computing, Board Oversight, Information Security, Governance Structure, Data Classification And Handling, Asset Protection, Self Assessment Testing, Ethics Culture, Diversity And Inclusion, Government Relations, Enhanced Due Diligence, Entity-Level Controls, Legal Compliance, Employee Training, Suspicious Activity Monitoring, IT Service Delivery, File Transfers, Mobile Device Management, Anti Bribery And Corruption, Fraud Prevention And Detection, Acceptable Use Policy, Third Party Risk Management, Executive Compensation, System Development Lifecycle, Public Relations, Infrastructure As Service, Lobbying Activities, Internal Control Assessments, Software Licensing, Regulatory Compliance, Vulnerability Management, Social Engineering Attacks, Business Process Redesign, Political Contributions, Whistleblower Hotline, User Access Management, Crisis Management, IT Budget And Spending

    Internal Audits Assessment Disaster Recovery Toolkit – Utilization, Solutions, Advantages, BHAG (Big Hairy Audacious Goal):

    Internal Audits

    Organizations plan and schedule internal audits of the environmental management system to assess compliance with regulations and identify areas for improvement.

    1. Regular internal audits can be scheduled annually to ensure ongoing compliance with environmental management system (EMS) requirements.
    2. Conducting internal audits allows for early identification of potential non-conformances and corrective actions can be implemented promptly.
    3. Internal audits help management to monitor the effectiveness of their EMS and identify areas for improvement.
    4. Internal audits provide an opportunity for employees to participate in the EMS and foster a culture of responsibility towards environmental management.
    5. Regular internal audits help organizations to maintain certification with environmental standards.
    6. Proper planning and scheduling of internal audits ensures that all aspects of the EMS are covered, leaving no room for oversight.
    7. Internal audits can uncover gaps or weaknesses in the EMS and lead to continual improvement of environmental performance.
    8. Conducting internal audits can increase employee awareness and understanding of the EMS and its importance within the organization.
    9. Completed internal audits can serve as evidence of compliance during external audits.
    10. Regular internal audits demonstrate the organization′s commitment to environmental management and sustainability.

    CONTROL QUESTION: How does the organization plan and schedule internal audits of the environmental management system?

    Big Hairy Audacious Goal (BHAG) for 10 years from now:

    By 2030, our organization aims to have a top-of-the-line and fully integrated system for planning and scheduling internal audits of our environmental management system. This will include the use of advanced technology, data analytics, and a team of highly skilled and trained auditors.

    Our goal is to have a comprehensive and proactive approach to internal audits, where we can identify and address potential issues before they become significant problems. We envision a dynamic and proactive auditing process that goes beyond just compliance, but also focuses on continuous improvement and innovation.

    To achieve this goal, we will implement a state-of-the-art audit management software that will streamline the audit planning and scheduling process. This software will enable us to identify key areas for audit, allocate resources efficiently, and track progress in real-time.

    Furthermore, we will invest in training and development programs for our internal auditors to ensure they have the necessary skills and expertise to conduct thorough and effective audits. We will also collaborate with external agencies and industry experts to stay updated on best practices and latest trends in environmental management.

    In addition, we will establish a robust communication system to ensure all stakeholders are informed and involved in the audit planning and scheduling process. This will promote transparency and accountability within our organization and foster a culture of continuous improvement.

    Ultimately, our goal is to have a seamless and systematic approach to internal audits, which will not only ensure compliance with relevant regulations but also drive our organization towards achieving its sustainability goals. We believe that by 2030, our internal audits will be recognized as a benchmark for excellence in environmental management.

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    Internal Audits Case Study/Use Case example – How to use:


    Our client is a multinational company operating in the manufacturing industry, with a strong commitment to sustainability and environmental responsibility. As part of their efforts to ensure compliance with environmental regulations and continuously improve their environmental management practices, the company has implemented an Environmental Management System (EMS) based on ISO 14001 standards. The EMS aims to identify and mitigate potential risks and impacts on the environment, as well as promote sustainable business practices.

    Our team of internal audit consultants was engaged by the company to assess the effectiveness of their EMS through internal audits. The main objectives of the project were to evaluate the level of compliance with ISO 14001 requirements, identify areas for improvement, and provide recommendations for corrective actions. In this case study, we will discuss our methodology for planning and scheduling internal audits of the EMS, including the deliverables, challenges faced, key performance indicators (KPIs), and other management considerations.

    Consulting Methodology:

    1. Audit Planning:

    Before conducting any audit, it is essential to develop a detailed audit plan. The first step in audit planning is to review the scope and objectives of the EMS, including any specific requirements of ISO 14001. This includes a review of the legal and regulatory framework applicable to the organization′s operations, as well as its environmental policy, objectives, and targets. Additionally, a review of the organization′s operational processes, activities, and facilities is necessary to determine the risk areas and prioritize them accordingly.

    2. Scheduling of Audits:

    Once the audit plan is finalized, the next step is to schedule the audits. Our team considers various factors while scheduling audits, such as the size and complexity of the operations, the number of processes and facilities to be audited, and the availability of resources. We also take into account any external events or regulatory deadlines that may influence the audit schedule.

    3. Audit Team Selection:

    The next crucial step is to select the audit team. The team should have a diverse set of skills and technical knowledge related to environmental management. It also helps to have members that are familiar with the organization′s operations and processes. The size of the audit team depends on the scope and complexity of the audit and may range from two to four members.

    4. Conducting the Audit:

    The audit process consists of three main stages: opening meeting, fieldwork, and closing meeting. The opening meeting is conducted with the organization′s management to discuss the audit objectives, scope, and schedule. The fieldwork includes document review, interviews with personnel, and site visits to observe operations and collect evidence. The evidence collected is then evaluated against the EMS requirements and ISO 14001 standards. The closing meeting provides an opportunity to discuss the findings with the organization′s management and present the preliminary results.

    5. Audit Report and Follow-up:

    After completing the fieldwork, the audit team prepares a comprehensive report detailing their findings, observations, and recommendations for corrective actions. The organization is given a reasonable time to address the non-conformities identified during the audit. Our team follows up with the organization to ensure that the corrective actions have been implemented adequately.


    1. Audit Plan

    2. Audit Schedule

    3. Audit Report

    4. Corrective Action Recommendation Report

    Implementation Challenges:

    While conducting internal audits of an EMS, some challenges can arise. These include:

    1. Limited resources: The organization may not have enough resources to meet the audit requirements, such as dedicated personnel or budget.

    2. Lack of awareness and involvement: The success of an EMS depends on the active involvement of all employees. However, sometimes there is a lack of awareness or understanding of the EMS, leading to challenges in implementing corrective actions.

    3. Resistance to change: In some cases, the audit findings may require significant changes or improvements to existing processes or facilities, which may be met with resistance from the organization′s management.

    Key Performance Indicators (KPIs):

    To measure the effectiveness of our internal audit process, we use the following KPIs:

    1. Number of non-conformities identified per audit – This indicates the level of compliance with ISO 14001 requirements and helps identify areas for improvement.

    2. Percentage of non-conformities addressed within the set timeframe – To ensure prompt action is taken to address any non-conformities identified.

    3. Number of repeat non-conformities – Indicates the effectiveness of corrective actions implemented.

    4. Level of customer satisfaction – Feedback from the organization′s management on the quality of our audit process.

    Management Considerations:

    There are several key considerations that organizations should keep in mind while planning and scheduling internal audits of their EMS, including:

    1. Involvement of top management: Active involvement and support from top management are crucial for the success of an EMS and its internal audit process.

    2. Continuous training and awareness: Employees should be trained regularly on the importance of environmental management and their role in maintaining compliance with ISO 14001.

    3. Integration with other management systems: To reduce duplication of efforts, it is essential to integrate the EMS with other management systems such as Quality Management System (QMS) and Occupational Health and Safety Management System (OH&SMS).


    In conclusion, planning and scheduling internal audits of an EMS is a critical step in ensuring the effectiveness of the overall EMS and identifying areas for improvement. Our methodology for conducting internal audits has proven successful in helping organizations achieve and maintain compliance with ISO 14001 standards. By continuously monitoring and measuring the performance of the EMS through internal audits, organizations can enhance their environmental performance, reduce risks, and promote sustainable business practices.


    1. Stenzel, J., & Bremser, G. W. (2008). The Use of Internal Audits as Part of an EMS Implementation Audit Framework. Environmental Quality Management, 17(2), 67-79.

    2. International Organization for Standardization (ISO). (2015). ISO 14001:2015 – Environmental Management Systems – Requirements with guidance for use.

    3. Business and Institutional Furniture Manufacturers Association (BIFMA). (2018). Sustainable furnishing council internal audit checklist.

    4. Sprenger, R. U., & Schieferstein, A. J. (2019). Delivering a Successful Internal Audit Function. Deloitte Global Services Limited.

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