Date of audit / Audit record no
Location / Audit conducted by
Persons audited
ISO14001:2004 Clause(s) : 4.4.6 Operational Control
Purpose of audit :
To determine if the company has…..
·  identified operations and activities that are associated with the identified significant aspects, in line with its policy, objectives and targets
·  established and maintained documented procedures to cover situations where their absence could lead to deviations from the environmental policy etc
·  this will also include covering situations where it is necessary to achieve compliance with relevant environmental legislation and regulations and objectives/targets
·  confirmed that operating criteria have been stipulated in the procedure
·  established and maintained procedures related to the identifiable significant environmental aspects of goods and services used by the company
·  communicated relevant procedures and requirements to contractors and other suppliers

Summary of audit result

CORRECTIVE ACTIONS RAISED
Number / Brief Description
CIRCULATE COPIES OF COMPLETED AUDIT TO : keep original on file
Name
Actions Required ? yes/no
Sign Received
AUDIT RECORD /
Activities of operation to be audited & typical questions /

Observations

(record items, documents etc & other details) / Status
(OK, observation,
minor, major n/c) /
Operational Control
[EMS management representative]
What are the activities associated with your significant environmental aspects?
What are the procedures necessary to maintain operational control of the EMS?
What procedures are necessary for maintaining control of:
waste water
energy
water usage
waste management
spillages/emergencies
on site :
off site :
RTA :
control of chemicals
Air emissions
Fuel usage
Operations
Off-site operations
What is the process for maintaining operational control of suppliers as it relates to the EMS?
How are relevant environmental procedures communicated to suppliers?
How are relevant environmental procedures communicated to contractors?
How are operational control procedures identified within the EMS?
[employees or managers at random]
What procedures do you have to ensure that legal requirements are met?
What forms, checklists, databases etc do you use with respect to elements of the EMS?
[Are they identifiable as an environmental record?]
How is the master copy of the form or checklist controlled?
Show that the procedures specify how to manage chemicals and/or wastes.
How do you bring about changes to procedures if you think they are needed?
If you have any chemicals/reagents, show:
- they are properly stored in the appropriate location
- the MSDS is available
- a suitable spill kit is available
For specific operations show:
·  the procedure/SOP has been either:
o  approved and authorised or
o  is under the control of a suitably qualified person
·  the operator has either been suitably trained or (in training) is under the supervision of a suitably qualified person
·  the correct machine settings or operational instructions, have been documented and are available to the operator
·  legal limitations (where applicable) are known to the operator
AUDIT RECORD / Audit no:
Activities of operation audited
(record items, documents etc & other details) / Status
(OK, observation,
minor, major n/c)

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