Environmental Compliance Audit Checklist
ENVIRONMENTAL COMPLIANCE AUDIT CHECKLIST
AUDIT INFORMATION
| Field | Information |
|---|---|
| Facility Name: | _________________________________ |
| Facility Address: | _________________________________ |
| Audit Date(s): | From: __________ To: __________ |
| Audit Type: | ☐ Comprehensive ☐ Focused ☐ Follow-up |
| Lead Auditor: | _________________________________ |
| Audit Team: | _________________________________ |
| Facility Contact: | _________________________________ |
EXECUTIVE SUMMARY
Overall Compliance Status
☐ In Compliance: No significant issues identified
☐ Minor Non-Compliance: Issues identified that do not pose immediate risk
☐ Major Non-Compliance: Significant issues requiring prompt corrective action
☐ Critical Non-Compliance: Immediate action required; potential enforcement risk
Summary of Findings
| Area | Status | Findings | Priority |
|---|---|---|---|
| Air Emissions | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low | |
| Water/Wastewater | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low | |
| Hazardous Waste | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low | |
| Solid Waste | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low | |
| Spill Prevention | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low | |
| Chemical Management | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low | |
| Emergency Response | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low | |
| Reporting/Recordkeeping | ☐ C ☐ NC | ☐ Critical ☐ High ☐ Med ☐ Low |
(C = Compliant, NC = Non-Compliant)
SECTION 1: FACILITY OVERVIEW
1.1 Facility Information
| Field | Information |
|---|---|
| Facility Type | ☐ Manufacturing ☐ Distribution ☐ Office ☐ Other: _______ |
| SIC/NAICS Code | _________________________________ |
| Number of Employees | _________________________________ |
| Operating Hours | _________________________________ |
| Property Size (acres) | _________________________________ |
| Building Size (sq ft) | _________________________________ |
1.2 Environmental Permits
| Permit Type | Permit Number | Issue Date | Expiration Date | Status |
|---|---|---|---|---|
| Air (Title V/State) | ☐ Current ☐ Expired | |||
| Water/NPDES | ☐ Current ☐ Expired | |||
| Stormwater | ☐ Current ☐ Expired | |||
| Hazardous Waste | ☐ Current ☐ Expired | |||
| Other: | ☐ Current ☐ Expired |
1.3 Environmental Management System
☐ ISO 14001 certified (Cert. No.: ___________, Expiration: ___________)
☐ Environmental policy in place
☐ Environmental management manual
☐ Environmental aspects register
☐ Legal register maintained
☐ Internal audit program
☐ Management review conducted
SECTION 2: AIR EMISSIONS
2.1 Permits and Applicability
☐ Title V major source permit
☐ State operating permit
☐ New Source Performance Standards (NSPS) applicable
☐ National Emission Standards for Hazardous Air Pollutants (NESHAP) applicable
☐ Prevention of Significant Deterioration (PSD) applicable
☐ No air permit required (document basis: _________________________)
2.2 Emission Sources
| Source ID | Description | Control Device | Permit Limits | Monitoring |
|---|---|---|---|---|
2.3 Compliance Verification
Emission Limits:
| Requirement | Compliant | Evidence Reviewed | Notes |
|---|---|---|---|
| Permit emission limits met | ☐ Yes ☐ No ☐ N/A | ||
| Stack testing current | ☐ Yes ☐ No ☐ N/A | ||
| Continuous emissions monitoring (CEMS) | ☐ Yes ☐ No ☐ N/A | ||
| Parametric monitoring | ☐ Yes ☐ No ☐ N/A |
Operational Requirements:
| Requirement | Compliant | Notes |
|---|---|---|
| Operating within permit limits | ☐ Yes ☐ No ☐ N/A | |
| Control equipment properly operated | ☐ Yes ☐ No ☐ N/A | |
| Maintenance records maintained | ☐ Yes ☐ No ☐ N/A | |
| Operator training documented | ☐ Yes ☐ No ☐ N/A |
Recordkeeping:
| Requirement | Compliant | Notes |
|---|---|---|
| Emission records maintained | ☐ Yes ☐ No ☐ N/A | |
| Records retained for required period | ☐ Yes ☐ No ☐ N/A | |
| Deviation records maintained | ☐ Yes ☐ No ☐ N/A |
Reporting:
| Requirement | Compliant | Due Date | Submitted |
|---|---|---|---|
| Annual compliance certification | ☐ Yes ☐ No ☐ N/A | ☐ Yes ☐ No | |
| Semi-annual monitoring reports | ☐ Yes ☐ No ☐ N/A | ☐ Yes ☐ No | |
| Deviation reports | ☐ Yes ☐ No ☐ N/A | ☐ Yes ☐ No | |
| Excess emissions reports | ☐ Yes ☐ No ☐ N/A | ☐ Yes ☐ No |
2.4 Findings
| Finding | Regulation/Permit | Severity | Corrective Action |
|---|---|---|---|
| ☐ Critical ☐ High ☐ Med ☐ Low | |||
| ☐ Critical ☐ High ☐ Med ☐ Low |
SECTION 3: WATER AND WASTEWATER
3.1 Discharge Permits
☐ NPDES permit (Individual)
☐ NPDES permit (General)
☐ Pretreatment permit (Industrial User)
☐ State discharge permit
☐ No permit required (document basis: _________________________)
3.2 Discharge Points
| Outfall ID | Discharge Type | Receiving Water | Permit Limits |
|---|---|---|---|
| ☐ Process ☐ Storm ☐ Sanitary | |||
| ☐ Process ☐ Storm ☐ Sanitary |
3.3 Compliance Verification
Effluent Limits:
| Requirement | Compliant | Evidence Reviewed | Notes |
|---|---|---|---|
| Permit effluent limits met | ☐ Yes ☐ No ☐ N/A | ||
| Monitoring conducted per permit | ☐ Yes ☐ No ☐ N/A | ||
| Laboratory certifications current | ☐ Yes ☐ No ☐ N/A | ||
| Chain of custody followed | ☐ Yes ☐ No ☐ N/A |
Stormwater:
| Requirement | Compliant | Notes |
|---|---|---|
| Stormwater Pollution Prevention Plan (SWPPP) | ☐ Yes ☐ No ☐ N/A | |
| SWPPP current and available | ☐ Yes ☐ No ☐ N/A | |
| Best Management Practices (BMPs) implemented | ☐ Yes ☐ No ☐ N/A | |
| Quarterly visual inspections | ☐ Yes ☐ No ☐ N/A | |
| Annual comprehensive inspection | ☐ Yes ☐ No ☐ N/A | |
| Employee training conducted | ☐ Yes ☐ No ☐ N/A |
Reporting:
| Requirement | Compliant | Due Date | Submitted |
|---|---|---|---|
| Discharge Monitoring Reports (DMRs) | ☐ Yes ☐ No ☐ N/A | ☐ Yes ☐ No | |
| Annual stormwater report | ☐ Yes ☐ No ☐ N/A | ☐ Yes ☐ No | |
| No Exposure Certification | ☐ Yes ☐ No ☐ N/A | ☐ Yes ☐ No |
3.4 Findings
| Finding | Regulation/Permit | Severity | Corrective Action |
|---|---|---|---|
| ☐ Critical ☐ High ☐ Med ☐ Low |
SECTION 4: HAZARDOUS WASTE
4.1 Generator Status
☐ Large Quantity Generator (LQG) - >1,000 kg/month
☐ Small Quantity Generator (SQG) - 100-1,000 kg/month
☐ Very Small Quantity Generator (VSQG) - <100 kg/month
☐ Conditionally Exempt Small Quantity Generator
☐ Not a generator
EPA ID Number: _________________________________
4.2 Waste Streams
| Waste Code | Description | Generation Rate | Disposal Method |
|---|---|---|---|
4.3 Compliance Verification
Waste Determination:
| Requirement | Compliant | Notes |
|---|---|---|
| Waste determinations documented | ☐ Yes ☐ No ☐ N/A | |
| Analytical testing conducted | ☐ Yes ☐ No ☐ N/A | |
| Listed waste evaluation | ☐ Yes ☐ No ☐ N/A | |
| Characteristic waste testing | ☐ Yes ☐ No ☐ N/A |
Storage:
| Requirement | Compliant | Notes |
|---|---|---|
| Containers in good condition | ☐ Yes ☐ No ☐ N/A | |
| Containers closed except when adding/removing | ☐ Yes ☐ No ☐ N/A | |
| Containers labeled (HAZARDOUS WASTE) | ☐ Yes ☐ No ☐ N/A | |
| Accumulation start date marked | ☐ Yes ☐ No ☐ N/A | |
| Compatible wastes only | ☐ Yes ☐ No ☐ N/A | |
| Secondary containment adequate | ☐ Yes ☐ No ☐ N/A | |
| Storage time limits met | ☐ Yes ☐ No ☐ N/A | |
| Aisle space maintained | ☐ Yes ☐ No ☐ N/A |
Satellite Accumulation:
| Requirement | Compliant | Notes |
|---|---|---|
| At or near point of generation | ☐ Yes ☐ No ☐ N/A | |
| Under control of operator | ☐ Yes ☐ No ☐ N/A | |
| 55-gallon limit not exceeded | ☐ Yes ☐ No ☐ N/A | |
| Properly labeled | ☐ Yes ☐ No ☐ N/A |
Transportation:
| Requirement | Compliant | Notes |
|---|---|---|
| Licensed transporter used | ☐ Yes ☐ No ☐ N/A | |
| Manifests properly completed | ☐ Yes ☐ No ☐ N/A | |
| Manifests signed and returned | ☐ Yes ☐ No ☐ N/A | |
| Exception reports filed if needed | ☐ Yes ☐ No ☐ N/A |
Training:
| Requirement | Compliant | Notes |
|---|---|---|
| Personnel trained within 6 months | ☐ Yes ☐ No ☐ N/A | |
| Annual refresher training | ☐ Yes ☐ No ☐ N/A | |
| Training records maintained | ☐ Yes ☐ No ☐ N/A |
Recordkeeping:
| Requirement | Compliant | Retention Period | Notes |
|---|---|---|---|
| Manifests retained | ☐ Yes ☐ No ☐ N/A | 3 years | |
| Biennial reports submitted | ☐ Yes ☐ No ☐ N/A | ||
| Land disposal restrictions docs | ☐ Yes ☐ No ☐ N/A | ||
| Training records | ☐ Yes ☐ No ☐ N/A | 3 years from termination |
4.4 Findings
| Finding | Regulation | Severity | Corrective Action |
|---|---|---|---|
| ☐ Critical ☐ High ☐ Med ☐ Low |
SECTION 5: SPILL PREVENTION AND RESPONSE
5.1 SPCC Plan Applicability
☐ SPCC Plan required (>1,320 gal above ground or >42,000 gal underground)
☐ SPCC Plan not required
☐ Facility Response Plan (FRP) required
5.2 Oil Storage
| Tank/Container | Capacity (gal) | Contents | Secondary Containment |
|---|---|---|---|
| ☐ Yes ☐ No | |||
| ☐ Yes ☐ No |
5.3 Compliance Verification
SPCC Plan:
| Requirement | Compliant | Notes |
|---|---|---|
| SPCC Plan current (reviewed within 5 years) | ☐ Yes ☐ No ☐ N/A | |
| Plan certified by PE | ☐ Yes ☐ No ☐ N/A | |
| Plan available on-site | ☐ Yes ☐ No ☐ N/A | |
| Secondary containment adequate | ☐ Yes ☐ No ☐ N/A | |
| Integrity testing conducted | ☐ Yes ☐ No ☐ N/A | |
| Discharge prevention procedures | ☐ Yes ☐ No ☐ N/A | |
| Spill response equipment available | ☐ Yes ☐ No ☐ N/A | |
| Employee training conducted | ☐ Yes ☐ No ☐ N/A | |
| Annual spill drills | ☐ Yes ☐ No ☐ N/A |
Spill History:
| Date | Material | Quantity | Reported | Cleanup Status |
|---|---|---|---|---|
| ☐ Yes ☐ No | ☐ Complete ☐ Ongoing | |||
| ☐ Yes ☐ No | ☐ Complete ☐ Ongoing |
5.4 Findings
| Finding | Regulation | Severity | Corrective Action |
|---|---|---|---|
| ☐ Critical ☐ High ☐ Med ☐ Low |
SECTION 6: CHEMICAL MANAGEMENT
6.1 Toxic Release Inventory (TRI)
☐ TRI reporting required
☐ TRI reporting not required
☐ TRI chemicals present (list attached)
6.2 EPCRA Compliance
| Requirement | Compliant | Notes |
|---|---|---|
| Tier II report submitted | ☐ Yes ☐ No ☐ N/A | |
| MSDS/SDS submitted to LEPC | ☐ Yes ☐ No ☐ N/A | |
| Emergency notification procedures | ☐ Yes ☐ No ☐ N/A | |
| TRI Form R submitted | ☐ Yes ☐ No ☐ N/A |
6.3 TSCA Compliance
| Requirement | Compliant | Notes |
|---|---|---|
| PCB management (if applicable) | ☐ Yes ☐ No ☐ N/A | |
| Asbestos management (if applicable) | ☐ Yes ☐ No ☐ N/A | |
| Lead-based paint (if applicable) | ☐ Yes ☐ No ☐ N/A | |
| Chemical inventory current | ☐ Yes ☐ No ☐ N/A |
6.4 Hazard Communication
| Requirement | Compliant | Notes |
|---|---|---|
| Written HazCom program | ☐ Yes ☐ No ☐ N/A | |
| SDS readily accessible | ☐ Yes ☐ No ☐ N/A | |
| Container labeling compliant | ☐ Yes ☐ No ☐ N/A | |
| Employee training conducted | ☐ Yes ☐ No ☐ N/A |
6.5 Findings
| Finding | Regulation | Severity | Corrective Action |
|---|---|---|---|
| ☐ Critical ☐ High ☐ Med ☐ Low |
SECTION 7: EMERGENCY RESPONSE
7.1 Emergency Plans
| Plan | In Place | Current | Notes |
|---|---|---|---|
| Emergency Response Plan | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Contingency Plan (RCRA) | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Facility Response Plan | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Risk Management Plan | ☐ Yes ☐ No | ☐ Yes ☐ No |
7.2 Emergency Equipment
| Equipment | Available | Inspected | Notes |
|---|---|---|---|
| Spill kits | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Fire extinguishers | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Eyewash/safety showers | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Communications equipment | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Personal protective equipment | ☐ Yes ☐ No | ☐ Yes ☐ No |
7.3 Emergency Contacts
| Role | Name | Phone | Current |
|---|---|---|---|
| Emergency Coordinator | ☐ Yes ☐ No | ||
| Alternate Coordinator | ☐ Yes ☐ No | ||
| Fire Department | ☐ Yes ☐ No | ||
| Hospital | ☐ Yes ☐ No | ||
| EPA/State Agency | ☐ Yes ☐ No |
7.4 Findings
| Finding | Regulation | Severity | Corrective Action |
|---|---|---|---|
| ☐ Critical ☐ High ☐ Med ☐ Low |
SECTION 8: CORRECTIVE ACTION SUMMARY
8.1 Corrective Action Register
| ID | Finding | Regulation | Severity | Corrective Action | Responsible | Due Date | Status |
|---|---|---|---|---|---|---|---|
| 1 | ☐ C ☐ H ☐ M ☐ L | ☐ Open ☐ Closed | |||||
| 2 | ☐ C ☐ H ☐ M ☐ L | ☐ Open ☐ Closed | |||||
| 3 | ☐ C ☐ H ☐ M ☐ L | ☐ Open ☐ Closed | |||||
| 4 | ☐ C ☐ H ☐ M ☐ L | ☐ Open ☐ Closed | |||||
| 5 | ☐ C ☐ H ☐ M ☐ L | ☐ Open ☐ Closed |
8.2 Root Cause Analysis (For Critical/High Findings)
| Finding ID | Root Cause | Systemic Issue | Preventive Action |
|---|---|---|---|
| ☐ Yes ☐ No | |||
| ☐ Yes ☐ No |
SECTION 9: AUDIT CERTIFICATION
Auditor Certification
I certify that this environmental compliance audit was conducted in accordance with generally accepted auditing practices and that the findings accurately reflect conditions observed during the audit.
Lead Auditor:
Signature: _________________________________
Printed Name: _____________________________
Credentials: _______________________________
Date: ____________________________________
Facility Acknowledgment
I acknowledge receipt of this audit report and understand the findings and corrective actions required.
Facility Representative:
Signature: _________________________________
Printed Name: _____________________________
Title: ____________________________________
Date: ____________________________________
APPENDICES
Appendix A: Documents Reviewed
[List all documents reviewed during the audit]
Appendix B: Personnel Interviewed
[List personnel interviewed and topics discussed]
Appendix C: Photographs
[Include photographs documenting conditions]
Appendix D: Regulatory Citations
[Full text of applicable regulatory citations]
Appendix E: Previous Audit Findings Status
[Status of findings from previous audits]
NOTICE: This checklist is provided for informational purposes only and does not constitute legal advice. Environmental compliance requirements vary by jurisdiction and are subject to change. Organizations should consult with qualified environmental professionals and legal counsel to ensure compliance with applicable federal, state, and local regulations.
About This Template
Compliance documents are what regulated businesses use to prove they follow the rules that apply to their industry, whether that is privacy, anti-money-laundering, consumer protection, or sector-specific requirements. Regulators look for consistent policies, up-to-date records, and clear evidence of employee training. The cost of getting compliance paperwork right is almost always smaller than the cost of an enforcement action, fine, or public disclosure.
Important Notice
This template is provided for informational purposes. It is not legal advice. We recommend having an attorney review any legal document before signing, especially for high-value or complex matters.
Last updated: February 2026
Get your Environmental Compliance Audit Checklist, done and ready to use
Fill it in for your situation, adjust it for your state, and download the finished Word and PDF. Let the AI do it in minutes, or finish it yourself in the editor. From $49, one time.