Generic ISO 14001 EMS Templates

(ISO 14001 : 2004 version)

User Manual
September 200
ACT
PLAN
CHECK DO
Generic ISO 14001 EMS Templates
User Manual
Contents
!ontents o" t#is User Manual
September 2005 Page i Rev- d5
ISO 14001 Environmental Management
System EMS!
S"##ort Pa$%age &or SMEs
Environmental Management System EMS!
PLANNIN'
Environmental Management System EMS!
DE(ELOPMENT AND IMPLEMENTATION
PLAN
DO CHECK
ACT
ISO 14001 Environmental Management
System EMS!
CE)TI*ICATION P)OCESS
Generic ISO 14001 EMS Templates
User Manual
Detailed Contents
$etaile% !ontents
I& ISO 14001 EMS Support 'ac(a)e "or SMEs&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&2
A. What is this package........................................................................................................ 2
!. Who sho"ld read #hat in this package............................................................................. $
C. %o# is this man"al str"ct"red.......................................................................................... &
D. %o# to "se this s"pport package..................................................................................... &
'. (eneral tips )or the (eneric *S+ ,&00, '-S .emplates...................................................5
/. What is an 'nvironmental -anagement S0stem...............................................................5
,. *nternational '-S Standards..................................................................................... 1
2. Approach to '-S Development and *mplementation.................................................2
II& EMS 'lannin)&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&& 11
A. *nitial 'nvironmental Revie#............................................................................................ ,,
!. (ap Anal0sis.................................................................................................................... ,2
III& EMS $evelopment an% Implementation&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&14
A. -anagement Commitment............................................................................................... ,1
,. 'nvironmental Polic0................................................................................................ ,1
2. '-S -an"al............................................................................................................. ,2
!. Plan.................................................................................................................................. ,3
,. 'nvironmental Aspect *denti)ication......................................................................... ,3
2. 4egal and +ther Re5"irements................................................................................ 25
$. +b6ectives7 .argets and Programme8s9....................................................................22
C. Do.................................................................................................................................... $0
,. Reso"rces7 Roles7 Responsibilit0 and A"thorit0.......................................................$0
2. Competence7 .raining and A#areness.....................................................................$2
$. Comm"nication........................................................................................................ $5
&. Doc"mentation......................................................................................................... $1
5. Control o) Doc"ments............................................................................................... $2
1. +perational Control.................................................................................................. $:
2. 'mergenc0 Preparedness and Response................................................................&0
D. Check............................................................................................................................... &,
,. -onitoring and -eas"rement................................................................................... &,
2. 'val"ation o) Compliance......................................................................................... &$
$. ;oncon)ormit07 Corrective Action and Preventive Action..........................................&&
&. Contorl o) Records................................................................................................... &5
5. *nternal A"dit............................................................................................................ &1
'. Act.................................................................................................................................... &:
,. -anagement Revie#................................................................................................ &:
/. <e0s to S"ccess)"l *mplementation................................................................................. &3
I*& ISO 14001 EMS !erti"ication 'rocess&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&1
+ist o" ,ppen%ices
Appendi= ,. Comparison o) *S+ ,&00,>,331 #ith *S+ ,&00,>200&? and Comparison o)
*S+@D*S ,&00, 8Date> 3 A"l0 200$9 #ith *S+ ,&00,>200&
Appendi= 2. Sample ("idance B"estions )or (ap Anal0sis
Appendi= $. '-S *mplementation Checklist
Appendi= &. 4ist o) *S+ ,&00, Certi)ication !odies in %ong <ong
September 2005 Page i Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Detailed Contents
+ist o" -i)ures
-i)ure 1& CPlan7 Do7 Check7 ActD model............................................................................................. 5
-i)ure 2& *S+ ,&00, +vervie#.......................................................................................................... 1
-i)ure .& Approach to '-S Development and *mplementation.........................................................2
-i)ure 4& .he /o"r-level '-S Doc"mentation Str"ct"re.................................................................,&
-i)ure & Work)lo# o) 'nvironmental Aspect *denti)ication and 'val"ation.....................................22
-i)ure /& *S+ ,&00, Certi)ication Process...................................................................................... 5$
+ist o" Tables
Table 1& 4ist o) .rades Provided #ith Practical '=amples o) *S+ ,&00, '-S in this S"pport
Package......................................................................................................................................... $
Table 2& Comparing the PDCA c0cle to the *S+ ,&00,>200& Standard..........................................2
Table .& Phased '-S *mplementation /lo#.................................................................................... 3
Table 4& 4ist o) (eneric *S+ ,&00, '-S .emplates......................................................................,5
Table & 'nvironmental Aspects > .hings to Consider....................................................................2,
Table /& Criteria and Scores )or 'val"ation o) 'nvironmental Aspect Signi)icance........................22
Table 0& (eneral steps to#ard *S+ ,&00, Certi)ication.................................................................5,
September 2005 Page ii Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
Chapter
I
ISO 14001 EMS S"##ort
Pa$%age &or SMEs
A. What is this Package
!. Who sho"ld read #hat in this package
C. %o# is this man"al str"ct"red
D. %o# to "se this s"pport package
'. (eneral tips )or "sing the (eneric *S+ ,&00, '-S .emplates
/. What is an 'nvironmental -anagement S0stem
September 2005 Page , Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
I+ ISO 14001 EMS S,PPO)T PACKA'E *O) SMEs
A+ -.at is t.is #a$%age/
-ore and more companies are implementing 'nvironmental -anagement S0stems
8'-S9 to red"ce their environmental impacts7 improve their e))icienc07 compl0 #ith
legislation and demonstrate to clients their commitment to environmental protection.
-an0 companies have chosen to obtain independent certi)ication o) their '-S to the
international standard *S+
,
,&00,. D"e to cop0right la#s7 the *S+ ,&00, Standard
co"ld not be provided in this package. -ean#hile7 the *S+ ,&00, co"ld be
p"rchased thro"gh vario"s so"rces
2
.
.he !"siness 'nvironment Co"ncil and 'nvironmental Protection Department7
%<SAR have developed a Small and -edi"m 'nterprises 8S-'s9 s"pport package
)or *S+ ,&00, '-S implementation7 in order to >
i9 provide assistance to local S-'s 8#ith man")act"ring activities in %ong
<ong and@or in ShenEhen9 to sta0 competitive in the environmentall0-
conscio"s #orld b"siness market?
ii9 help the local S-'s to get prepared )or )"t"re s"ppl0 chain press"re in
*S+ ,&00, '-S? and
iii9 enhance the environmental per)ormance o) local S-'s
.his '-S s"pport package is designed to help local S-'s to implement an e))ective
'-S. .he s"pport package7 provided in 'nglish and Chinese7 comprises>
Generic ISO 14001 EMS Templates F to be "sed as a basis o) an '-S b0
companies7 #hich can tailor them to s"it their speci)ic needs.
User Manual F #ith eas0-to-"se g"idance on ho# to appl0 the (eneric *S+
,&00, '-S .emplates in 0o"r compan0 and #ork progressivel0 to#ards
s"ccess)"l '-S implementation.
Practical Examples of ISO 14001 EMS F #ith practical doc"ment e=amples and
proced"res )or t0pical companies in the electrical @ electronic sector )or )"rther
g"idance.
.his Gser -an"al and (eneric *S+ ,&00, '-S .emplates are designed to be o)
assistance to an0 S-' in an0 sector. Additional Practical '=amples o) *S+ ,&00,
'-S are also provided )or S-'s in vario"s trades o) the electrical @ electronic sector.
.he trades covered b0 the Practical '=amples o) *S+ ,&00, '-S are listed in .able
,.
,
*nternational +rganiEation )or StandardiEation
2
.he Standard can be p"rchased thro"gh the Prod"ct Standards *n)ormation !"rea" o) the
*nnovative and .echnolog0 Commission7 the %ong <ong Special Administrative Region (overnment
8http>@@###.itc.gov.hk@en@5"alit0@[email protected] local certi)ication bod0 agencies7 or online
p"rchasing thro"gh *S+ 8###.iso.ch9.
September 2005 Page 2 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
Table 1& 4ist o) .rades Provided #ith Practical '=amples o) *S+ ,&00, '-S in this S"pport
Package.
Tra%e $ocument E1amples +ocation
'lectroplating )or #atch cases and
belts
Case , F %ong <ong (reen 'lectroplating
Compan0
%ong <ong
PC! )or comp"ters7 telecom
e5"ipment7 a"tomotive and
ind"strial control
Case 2 F %ong <ong (reen Printed Circ"it
!oard Compan0
%ong <ong
-an")act"re o) electronic
calc"lators
Case $ F %ong <ong (reen 'lectronics
Assembl0 Compan0
%ong <ong
-an")act"ring o) electrical shaver
and vac""m cleaner
Case & F %ong <ong 'nvironmental
'lectrical Appliance Compan0
%ong <ong
'lectroplating )or scre#s and metal
parts
Case 5 F ShenEhen 'nvironmental
'lectroplating Compan0
%ong <ong @
ShenEhen
-an")act"re o) PC! )or mobile
phones
Case 1 F ShenEhen 'nvironmental Printed
Circ"it !oard Compan0
%ong <ong @
ShenEhen
-an")act"ring o) photocop0ing
machines
Case 2 F ShenEhen 'nvironmental
Assembl0 Compan0
%ong <ong @
ShenEhen
-an")act"ring o) home appliances Case : F ShenEhen 'nvironmental
'lectrical Appliance Compan0
%ong <ong @
ShenEhen
0+ -.o s.o"l1 rea1 2.at in t.is #a$%age/
An e))ective '-S re5"ires the involvement o) all sta)) in 0o"r organisation7 )rom top
management to the #orkshop )loor. Altho"gh an C'-S -anagerD or CCoordinatorD #ill
be nominated to take da0-to-da0 responsibilit07 other sta)) #ill be involved in vario"s
#a0s. Di))erent parts o) this s"pport package sho"ld be read b0 the relevant people
as )ollo#s >
2esponsibilit3 4#ic# part to rea% 4#at 5ill 3ou learn
Top
Management
User Manual
8*ntrod"ction7 and sections
on polic0 and '-S
man"al9
(eneral perspectives on *S+ ,&00,
.he reso"rces needed )or a s"ccess)"l
'-S
EMS Manager /
Coordinator
.his User Manual7 the
Generic ISO 14001 EMS
Templates7 and Practical
Examples of ISO 14001
EMS
%o# to develop tailored '-S
doc"mentation
%o# to implement an e))ective '-S
%o# to achieve *S+ ,&00, certi)ication
or sel)-declaration
Department
Heads
User Manual and
Practical Examples of
ISO 14001 EMS
%o# 0o"r )"nctions need to s"pport the
'-S
rontline Sta!! Practical Examples of
ISO 14001 EMS
.he environmental impacts related to
0o"r dail0 #orking activities7 and ho#
the0 can be controlled.
September 2005 Page $ Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
C+ Ho2 is t.is man"al str"$t"re1/
Section I : ISO 14001
EMS Support 'ac(a)e
"or SMEs
Describes this package and ho# it sho"ld be "sed.
S"mmarises *S+ ,&00, '-S concepts7 #ith an
overvie# o) the development and implementation
approach.
Section II : EMS
'lannin)
Describes the process )or planning an '-S7 incl"ding
g"idance on ho# to "ndertake an C*nitial 'nvironmental
Revie#D as the )irst step.
Section III : EMS
$evelopment an%
Implementation
Provides detailed g"idance on ho# each element o) the
'-S sho"ld be designed and doc"mented7 and
describes ho# to "se the (eneric *S+ ,&00, '-S
.emplates to develop and implement 0o"r o#n '-S.
Section I* : ISO 14001
EMS !erti"ication
'rocess
'=plains the general *S+ ,&00, certi)ication process and
steps involved leading to *S+ ,&00, certi)ication.
D+ Ho2 to "se t.is s"##ort #a$%age/
.his s"pport package provides practical help in developing 0o"r '-S "sing the
)ollo#ing steps >
1) Work thro"gh this step-b0-step User Manual and Generic ISO 14001 EMS
Templates to see #hat doc"ments and reso"rces are re5"ired
2) Revie# the Practical Examples of ISO 14001 EMS to see ho# an e))ective '-S
is implemented in a t0pical compan0 similar to 0o"rs
3) Create 0o"r o#n '-S doc"ments based on the Generic ISO 14001 EMS
Templates
4) 4a"nch 0o"r '-S #ithin 0o"r compan0 and check compliance o) its
implementation against the *S+ ,&00, re5"irements
) Appl0 )or *S+ ,&00, certi)ication i) 0o"r management decide to p"rs"e7 or make
a sel)-declaration #itho"t third part0 assessment.
4inkages to do#nload relevant doc"ments and help)"l #ebsites are "nderlined in
bl"e colo"r. /or instance7 the link to relevant (eneric *S+ ,&00, '-S .emplates and
Practical '=amples o) *S+ ,&00, '-S are indicated as Do#nload 8.emplate9 Do#nload
8Sample9.
!elpful tips are provided thro"gho"t this Gser -an"al to give some hand0 and
practical hints on developing and implementing a s"ccess)"l '-S #ithin 0o"r
compan0.
Case speci)ic in)ormation in Practical '=amples o) *S+ ,&00, '-S is highlighted in
red colo"r to help 0o" creating 0o"r '-S doc"ments.
September 2005 Page & Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
E+ 'eneral ti#s &or t.e 'eneri$ ISO 14001 EMS
Tem#lates
.he )ollo#ing are some "eneral tips )or "sing the (eneric *S+ ,&00, '-S
.emplates to create 0o"r o#n '-S>
Replace C+-PA;H ;A-' #ith 0o"r compan0Is name in all o) the (eneric *S+
,&00, '-S .emplates.
"Italicised9 #ords in brackets are hints )or the in)ormation speci)ic to 0o"r
compan0 that sho"ld be inserted in that section.
Italicised #ords highlighted in p"rple colo"r sho# the practices "s"all0 adopted
b0 0o"r ind"str07 b"t can be changed to re)lect 0o"r compan0Is c"lt"re and
practices.
Doc"ment n"mber is highlighted in green colo"r )or eas0 re)erence and can be
amended to 0o"r compan0Is pre)erred n"mbering s0stem.
.he (eneric *S+ ,&00, '-S .emplates are developed based on the *S+
,&00,>200& 7 #hich is the second edition and iss"ed on ,5 ;ovember 200&.
Since *S+ ,&00, shares common management s0stem principles #ith the *S+ 300,
B"alit0 -anagement S0stem 8B-S9 standard7 0o"r compan0 ma0 select to "se its
e=isting *S+ 300, as the basis )or its '-S. Ho" can integrate ne# '-S )eat"res into
relevant B-S proced"res alread0 in place.
*+ -.at is an Environmental Management System
An 'nvironmental -anagement S0stem 8'-S9 is a contin"al b"siness c0cle o)
planning7 implementing7 revie#ing and improving the processes and actions that 0o"r
compan0 "ndertakes to meet its environmental obligations and contin"all0 improve
its environmental per)ormance. An e))ective '-S is developed on CPlan# $o# %&ec'#
(ctD 8PDCA9 model #hich embodies the concept o) contin"al improvement.
-i)ure 1& CPlan7 Do7 Check7 ActD model.
September 2005 Page 5 Rev- d5
'lan
$o
!#ec(
,ct
!ontinual
Improvement
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
1+ International EMS Stan1ar1s
a! ISO 14001 Environmental Management Systems 3
)e4"irements 2it. g"i1an$e &or "se
is an international stan)ar) #hich speci)ies the re5"irements o) an
environmental management s0stem.
provides a )rame#ork applicable to all t0pes and siEes o) organisations "sing the
approach sho#n in /ig"re 2.
the s"ccess o) the s0stem depends on commitment )rom all levels and )"nctions7
especiall0 )rom top management.
enables an organisation to establish and assess the e))ectiveness o) proced"res7
to develop an environmental polic0 and ob6ectives7 achieve con)ormit0 #ith them7
and demonstrate s"ch con)ormit0 to others.
-i)ure 2& *S+ ,&00, +vervie#
5! T.e Evol"tion o& ISO 14001
*S+ ,&00, '-S standard #as )irst p"blished in ,331 and has been technicall0
revised in 200&7 the second edition *S+ ,&00,>200&7 iss"ed on ,5 ;ovember 200&7
cancels and replaces the )irst edition *S+ ,&00,>,331. .his '-S standard is adopted
#orld#ide b0 organisations )or certi)0ing *S+ ,&00, '-S. .he standard #as
prepared b0 .echnical Committee *[email protected] 2027 En$ironmental management%
su&committee SC ,7 En$ironmental management s'stems. .he (eneric *S+ ,&00,
'-S .emplates provided in this package are developed based on ISO 14001*2004+
.he comparison bet#een the *S+ ,&00,>,331 standard and *S+ ,&00,>200&
standard is s"mmarised in Appendi= , to this Gser -an"al. .his international
standard is based on the Plan-Do-Check-Act 8PDCA9 model. .he linkage o) the
cla"ses o) elements in *S+ ,&00, Standard #ith PDCA is ill"strated in the )ollo#ing
table.
September 2005 Page 1 Rev- d5
En$ironmental
(olic'
(lanning
Implementation
and Operation
Management
)e$ie#
C*ec+ing
!ontinual
Improvement
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
Table 2& Comparing the PDCA c0cle to the *S+ ,&00,>200& Standard
'$!, !3cle ISO 14001:2004 Stan%ar%
4,-, En$ironmental (olic'
Plan
4,., (lanning
&.$.,. 'nvironmental Aspects
&.$.2. 4egal and +ther Re5"irements
&.$.$. +b6ectives7 .argets and Programme8s9
$o
4,4, Implementation and Operation
&.&.,. Reso"rces7 Roles7 Responsibilit0 and A"thorit0
&.&.2. Competence7 .raining and A#areness
&.&.$. Comm"nication
&.&.&. Doc"mentation
&.&.5. Control o) Doc"ments
&.&.1. +perational Control
&.&.2. 'mergenc0 Preparedness and Response
%&ec'
4,/, C*ec+ing
&.5.,. -onitoring and -eas"rement
&.5.2. 'val"ation o) Compliance
&.5.$. ;oncon)ormit07 Corrective Action and Preventive Action
&.5.&. Control o) Records
&.5.5. *nternal A"dit
(ct
4,0, Management )e$ie#
6+ A##roa$. to EMS Develo#ment an1 Im#lementation
.his s"pport package recommends the )o"r-step CPDCAD approach to implementing
an '-S7 since this is the approach taken b0 most *S+ ,&00, certi)ied companies.
When an '-S is to be initiall0 set-"p7 t#o preparator0 steps 8initial planning and
management commitment9 are also recommended as sho#n in /ig"re $.
Altho"gh these steps are not mandator0 re5"irements "nder *S+ ,&00,7 these steps
are "se)"l to )acilitate the development and implementation o) the '-S in
accordance #ith the *S+ ,&00,.
-i)ure .& Approach to '-S Development and *mplementation
September 2005 Page 2 Rev- d5
'reparation
*nitial '-S Planning J
'#ase I
Plan
'#ase II
Do
'#ase III
Check
'#ase I*
Act
'reparation
-anagement
Commitment
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
.he di))erent tasks )or each phase and the relevant (eneric *S+ ,&00, '-S
.emplates that 0o" can "se are sho#n in .able $. *n addition7 .able $ ill"strates the
estimated time that each phase o) '-S development and implementation "s"all0
takes )or a t0pical compan0. .he detailed implementation o) each phase is described
thro"gho"t the rest o) this Gser -an"al.
September 2005 Page : Rev- d5
J *nitial '-S Planning is not an *S+ ,&00, Standard re5"irement? ho#ever7 it is "se)"l preparation #ork to
)acilitate the set "p and development o) the '-S in accordance #ith the *S+ ,&00, Standard.
Generic ISO 14001 EMS Templates
User Manual
Chapter , > *S+ ,&00, '-S S"pport Package )or S-'s
Table .& Phased '-S *mplementation /lo#
,pproac# Tas(s
Use"ul Generic ISO 14001 EMS
Templates 6 'ractical E1amples
o" ISO 14001 EMS
$uration
Initial EMS
'lannin)
.
!aseline assessment
*nitial 'nvironmental Revie#
checklist
(ap anal0sis report
2 #eeks
-anagement Commitment 'nvironmental Polic0 2 #eeks
PLAN
'nvironmental Aspect 8'A9
identi)ication
'nvironmental Aspect Register
2 #eeks F
, month
*denti)ication K compliance #ith
legal and other re5"irements
4egal and other re5"irements
register
2 #eeks
'val"ating environmental
aspects
'nvironmental aspect identi)ication
and eval"ation proced"re
2 #eeks F
, month
Developing +b6ectives K
.argets #ith Programmes
4ist o) ob6ectives7 targets and
programmes
2 #eeks
DO
Developing '-S
doc"mentation
'-S -an"al
'-S proced"res
, month
Developing operational control
proced"res
+perational control proced"res and
#ork instr"ctions
,-2 months
*mplementation o) the '-S
+rganisation chart K responsibilities
.raining plan
.raining materials
("idance notes )or s"pplier control
Comm"nication records
/orms )or implementing proced"res
2-$ months
CHECK
Checking7 a"dit
-onitoring plan
A"dit plan
A"dit checklist
A"dit report
Corrective action K preventive
action report
, month
ACT
Revie# -anagement revie# report 2 #eeks
Total
: F ,2
months
ISO 14001 !erti"ication
&
O2
Sel"7%eclaration o" ISO 14001 EMS a%option
$
*nitial '-S Planning is not an *S+ ,&00, Standard re5"irement.
&
*S+ ,&00, Certi)ication Process re)ers to Chapter *L in this man"al.
September 2005 Page 3 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter 2 > '-S Planning
Environmental
Management System
EMS! Planning
Chapter
II
A. *nitial 'nvironmental Revie#
!. (ap Anal0sis
September 2005 Page ,0 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter 2 > '-S Planning
II+ EMS PLANNIN'
.he most important elements o) setting "p a
s"ccess)"l '-S are >
gaining )"ll commitment )rom 0o"r compan0Is
top management7 and
establishing 0o"r C'-S Working .eamD to
develop the s0stem.
.he )irst ke0 task o) the '-S Working .eam is to
"ndertake 0o"r C!aseline AssessmentD7 #hich
helps identi)0 0o"r c"rrent strengths and
#eaknesses in environmental protection. .he
!aseline Assessment involves an *nitial
'nvironmental Revie# 8*'R9 and (ap Anal0sis
8(A9. !oth are described #ith the (eneric *S+
,&00, '-S .emplates and Practical '=amples o)
*S+ ,&00, '-S in this section.
Altho"gh t&e IE, an) G( are not an ISO 14001
Stan)ar) re-uirement7 the bene)its o) cond"cting
a baseline assessment are >
to )orm the basis on #hich the '-S is b"ilt7
to help establish 0o"r c"rrent level o)
environmental per)ormance.
to identi)0 the CgapsD needed to be )illed to
compl0 #ith *S+ ,&00, re5"irements7 and
estimate the cost and manpo#er that #ill be
involved.
.he vario"s steps in this Phase are detailed belo#.
!elpful Tips !elpful Tips1
(et top management to visibl0
s"pport the development o)
'-S. .his co"ld be done b0
giving an address at a sta))
meeting or b0 notice advising
all sta)).
.he '-S Working .eam #ill be
responsible )or '-S planning7
per)orming initial environmental
revie#7 and developing the
'-S doc"mentation in Phase
**.
.he '-S Working .eam
"s"all0 incl"des a nominated
'-S leader 8manager @
coordinator9 and
representatives )rom di))erent
)"nctions o) the compan0 8e.g.
administration7 )inance7
prod"ction7 etc.9
.he '-S leader sho"ld be
someone in 0o"r compan0 #ho
>
has good "nderstanding o)
ho# 0o"r compan0 #orks
da0-to-da0
has basic kno#ledge o)
environmental iss"es? and
has s"))icient a"thorit0 to
get the necessar0 s"pport
)rom di))erent departments.
A+ Initial Environmental )evie2
Do#nload 8.emplate F *'R-0, *nitial 'nvironmental Revie# Checklist9
*nitial 'nvironmental Revie# 8*'R9 is a preliminar0 revie# o) the e=isting
environmental programmes and s0stems in 0o"r compan0. Gnderstanding 0o"r
compan0Is approach to environmental concerns #ill assist 0o" to identi)0 areas )or
improvement. *n addition7 0o" ma0 #ish to 5"anti)0 baseline environmental
conditions at 0o"r )acilit0 )or comparison to )"t"re conditions.
.his revie# is best cond"cted thro"gh disc"ssions #ith di))erent )"nctions in 0o"r
compan07 especiall0 line managers and line #orkers. .he p"rpose o) the revie# is to
identi)0 the da0-to-da0 #orking kno#ledge o) 0o"r compan0Is operations. .here)ore7
it is necessar0 to incl"de personnel #ho have direct kno#ledge o) as man0 relevant
)"nctions as possible.
September 2005 Page ,, Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter 2 > '-S Planning
.he *'R consists o) $ steps >
Step 1 : 're7IE2
Create 0o"r *'R checklist 8see *'R-0,9 to
collect in)ormation
Step 2 : IE2
/ill o"t the checklist thro"gh site
inspection7 doc"ment revie#7 intervie# #ith
responsible personnel7 direct labo"rs7 machine
operators7 etc.
Step . : 2evie5
S"bmit the completed checklist and
back-"p in)ormation to the '-S leader @ *'R
.eam to revie# the c"rrent environmental
per)ormance and practices o) 0o"r compan0.
!elpful Tips for usin" c&ec'list !elpful Tips for usin" c&ec'list
IE,.01 IE,.01
.he italicised #ords "nder
Comments are common
remarks to the corresponding
5"estions.
.r0 to complete the
checklist as )"ll0 as possible7 or
identi)0 as ;A i) not applicable.
Potential val"able so"rces
o) in)ormation>
'5"ipment man")act"rers
S"ppliers and vendors 8e.g.
#aste disposal compan09
(overnment agencies
Databases
Comm"nit0 gro"ps
'nvironmental green
gro"ps
Consider benchmarking 0o"r
practices or per)ormance
against other organisations or
ind"str0 associations
0+ 'a# Analysis
Do#nload 8.emplate F *'R-02 (ap Anal0sis Report9
A (ap Anal0sis is a #a0 to "se the res"lts o) 0o"r *'R to identi)0 the CgapsD bet#een
0o"r e=isting management practices7 and those re5"ired b0 the '-S standard. .he
(ap Anal0sis is a ver0 help)"l tool )or 0o" to identi)0 #a0s to improve 0o"r
environmental management practices and set priorities #here action is needed. .o
complete the provided (eneric *S+ ,&00, '-S .emplates o) gap anal0sis report
8*'R-0297 0o" sho"ld>
,. 4ist 0o"r e=isting environmental practices and
doc"ments corresponding to each *S+ ,&00,
cla"se in CRemarksD.
2. Compare the items in Remarks #ith the *S+
,&00, Standard and rate 0o"r compan0Is
position on the right col"mn.
!elpful Tips for usin" c&ec'list !elpful Tips for usin" c&ec'list
IE,.02 IE,.02
Some sample g"idance
5"estions assisting 0o" to rate
0o"r compan0 is provided in
Appendi= 2.
/or e=ample i) C.he
'nvironmental Polic0 meets all
*S+ re5"irementsD p"t C
C7 i) there is no
'nvironmental Polic0 p"t C
C.
September 2005 Page ,2 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
4ist o) '-S Doc"ment .emplate
Chapter
III
EMS Develo#ment an1
Im#lementation
A. -anagement Commitment
!. Plan
C. Do
D. Check
'. Act
/. <e0s to S"ccess)"l *mplementation
September 2005 Page ,$ Rev- d5
Generic ISO 14001 EMS Templates
User Manual
4ist o) '-S Doc"ment .emplate
III+ EMS DE(ELOPMENT AND IMPLEMENTATION
Gpon completion o) *nitial '-S Planning7 the ne=t step )or the '-S Working .eam is
to develop 0o"r '-S based on the in)ormation collected and gaps identi)ied in the
baseline assessment. A )"ndamental re5"irement is to develop a set o) '-S
doc"ments tailored )or 0o"r compan0.
.he (eneric *S+ ,&00, '-S .emplates in this s"pport package are developed
based on the *S+ ,&00,>200& standard7 "sing a )o"r-level '-S doc"mentation
str"ct"re as belo#>
-i)ure 4& .he /o"r-level '-S Doc"mentation Str"ct"re
.he &-level '-S doc"mentation str"ct"re is an international practice in line #ith the
implementation o) *S+ 300, B"alit0 -anagement S0stem 8B-S9 standards. '-S
training materials delivered b0 internationall0 recogniEed organisations s"ch as
*nstit"te o) 'nvironmental -anagement K Assessment 8*'-A9 and *nternational
Register o) Certi)icated A"ditors 8*RCA9 also adopt this &-level doc"mentation
str"ct"re.
.he )"ll set o) (eneric *S+ ,&00, '-S .emplates provided as part o) this package is
listed in .able &. 'ach template is provided #ith a Document 2um&er )or re)erence.
A)ter developing 0o"r '-S doc"ments according to the g"idelines provided in this
s"pport package7 0o"r compan0 #ill need to appl0 the s0stem7 implement the
proced"res and maintain records to demonstrate compliance #ith the '-S
re5"irements that 0o" have established. .his chapter describes the steps and ke0s
)or s"ccess)"l '-S operation and monitoring to ens"re its e))ectiveness. An
implementation checklist is provided in Appendi= $ as a tool to help 0o" to monitor
0o"r '-S implementation stat"s.
September 2005 Page ,& Rev- d5
Environmental
Manual (EM)
Environmental 'roce%ure (E')
(S3stem 'roce%ures)
Environmental Instruction (EI) (Operational
Instructions)
Environmental 2ecor%s
Generic ISO 14001 EMS Templates
User Manual
4ist o) '-S Doc"ment .emplate
Table 4& 4ist o) (eneric *S+ ,&00, '-S .emplates
+evel
$ocument
8umber
$ocument Title
Manual
/e0el
'--0,
'nvironmental -anagement S0stem -an"al
8incl"de sample o) organiEation chart and str"ct"re9
CP-0, 'nvironmental Polic0
+K.-HHHH +b6ectives7 targets and programmes
S1stem
Proce)ure
/e0el
'P-0, *denti)ication o) 'nvironmental Aspects and Signi)icance 'val"ation
'P-02 Revie# o) 4egal and +ther Re5"irements
'P-0$ .raining
'P-0& Control o) Doc"ments
'P-05 'nvironmental 'mergenc0 Preparedness and Response
'P-01 'nvironmental -onitoring and 'val"ation o) Compliance
'P-02 'n5"ir0 @ Complaint @ ;oncon)ormit0 %andling
'P-0: Control o) Records
'P-03 *nternal A"dit
'AR-0, Register o) 'nvironmental Aspects
4R-0, Register o) 4egal and +ther Re5"irements
Operational
/e0el
'*-0, 'nvironmental +))ice Practices
'*-02 (reen Proc"rement
'*-0$ 'nvironmental Practices )or Gsing Compan0Is Car
'*-0& 'nvironmental *nstr"ctions on Waste -anagement
'*-05 'nvironmental *nstr"ctions on Air Poll"tion Control
'*-01 'nvironmental *nstr"ctions on Water Poll"tion Control
'*-02 'nvironmental *nstr"ctions on ;oise Control
'*-0: 'nvironmental *nstr"ctions on Reso"rce Conservation
'*-03 %andling and Storage o) Chemicals
'*-MM
-ore instr"ctions #ill be developed a)ter revie#ing the operations o)
the selected sectors as practical e=amples7 e.g. 'nvironmental !est
Practices )or Constr"ction Sites
'nvironmental -anagement Plan
Waste -anagement Plan
,ecor)
/e0el
'/-'P0$-0, .raining Plan
'/-'P0$-02 .raining Attendance Records
'/-'P02-0$ Comm"nication 4og
'/-'P0&-0, -aster 4ist o) Doc"ments @ /orms @ '=ternal Doc"ments
'/-'P0&-02 Doc"ment Distrib"tion Record /orm
'/-'P05-0, 'mergenc0 Drill Report
'/-'P05-02 Accident Report
'/-'P01-0, -onitoring Plan
'/-'P02-0, Corrective Action Report7 CAR
'/-'P02-02 CAR Stat"s 4og
'/-'P0:-0, -aster 4ist o) 'nvironmental Records
'/-'P03-0, A"dit Plan
'/-'P03-02 A"dit Checklist
'/-'P03-0$ *nternal A"dit Report
'/-'*0,-0, +))ice *nspection Checklist
-- Sample o) -anagement Revie# -in"tes
'/-MM -ore )orms #ill be developed a)ter revie#ing the operations o) the
selected sectors as practical e=amples7 e.g. *nspection checklist )or
constr"ction site
Ot&ers
2 *'R-0, *nitial 'nvironmental Revie# Checklist
*'R-02 (ap Anal0sis Report
J
.hese doc"ments are not re5"ired b0 *S+,&00,.
September 2005 Page ,5 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter $ > '-S Development and
*mplementation
A+ Management Commitment
C-anagement CommitmentD de)ines the )rame#ork )or 0o"r '-S thro"gh the
C'nvironmental Polic0D and the C'-S -an"alD.
1+ Environmental Poli$y
3ISO 14001*2004 4+2 En0ironmental Polic1)
Do#nload 8.emplate F CP-0, 'nvironmental Polic09 Do#nload 8Sample9
.he )irst re5"irement o) *S+ ,&00, is the establishment o) an 'nvironmental Polic0
8CP-0,9 #hich is mandated b0 0o"r top management and veri)ied d"ring a
-anagement Revie#.
.he 'nvironmental Polic0 8CP-0,9 >
presents 0o"r top managementIs declaration
o) its commitment to environmental protection?
provides the '-S )o"ndation and "ni)ied
vision o) 0o"r compan0Is environmental
concerns?
establishes 0o"r )rame#ork )or setting and
revie#ing environmental ob6ectives and
targets?
sho"ld be "nderstood b0 0o"r sta)) and
comm"nicated e=ternall07 especiall0 to
persons #orking )or or on behal) o) 0o"r
organiEation?
sho"ld be signed and dated b0 0o"r top
management.
!elpful Tips !elpful Tips 1
make it related to 0o"r
prod"cts7 services7 and
activities and impacts on the
environment
incl"de a commitment to
contin"al improvement7
prevention o) poll"tion and
compliance #ith applicable
legal re5"irements and #ith
other re5"irements to #hich the
organisation s"bscribes #hich
relate to its environmental
aspects
make it simple and
"nderstandable
i) appropriate7 make it
integrated #ith 0o"r 5"alit0
polic0 @ sa)et0 polic0.
Consider addressing the
)ollo#ing iss"es7 #here
practicable >
s"stainable development
and@or prod"ct li)e c0cle
adoption o) CgreenD
practices and proced"res
into design phase
-inimise o) poll"tion7
#aste7 and reso"rce
cons"mption?
Commitment to recover07
rec0cling and re"se.
Sharing o) environmental
kno#ledge #ith others
'nco"rage CgreenD
practices in s"ppliers @
contractors
September 2005 Page ,1 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter $ > '-S Development and
*mplementation
6+ EMS Man"al
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
Ho"r '-S man"al 8'--0,9 shall e=plain ho# 0o"r compan0Is '-S is organised #ith
re)erence to the re5"irements o) the *S+ ,&00,7 #hich >
Describes the core elements o) 0o"r '-S 8and ho# these elements relate to
each other9? and
Provides cross-re)erence to related doc"ments.
Ho"r man"al shall incl"de a statement to address each element in *S+ ,&00,. .hese
statements e=plain ho# 0o"r compan0 con)orms to the partic"lar element7 and
"s"all0 paraphrase the re5"irements o) the *S+ ,&00, Standard. *t is important to
acc"ratel0 describe the "ni5"e characteristics o) 0o"r compan0 and ho# 0o"r '-S
operates. *) 0o" have a sa)et0 or 5"alit0 management s0stem7 0o" ma0 #ish to
integrate these #ith 0o"r '-S -an"al.
.he descriptions belo# )ollo# the contents o) the '-S -an"al7 providing g"idance
on ho# to modi)0 the (eneric *S+ ,&00, '-S .emplate man"al into 0o"r compan0Is
'-S man"al. -ore details o) each '-S -an"al section are disc"ssed later in this
g"ide according to the relevant *S+ ,&00, Standard cla"ses.
0&0 Terms an% $e"initions
.erms and de)initions incl"ded in the (eneric
*S+ ,&00, '-S .emplates are based on *S+
,&00,>200& de)initions.
!elpful Tips !elpful Tips1
.hese can be modi)ied
according to 0o"r compan0Is
backgro"nd and c"lt"re.
/or instance7 the de)inition o)
'nvironmental *nstr"ction 8'*9
is not listed in the (eneric *S+
,&00, '-S .emplates7 b"t the
compan0 ma0 de)ine their '* as
CDoc"menting instr"ctions )or
sta)) to )ollo# in their dail0
operational activities so that
signi)icant environmental
aspects #ill be controlledD.
1&0 General
,., Compan0 Pro)ile
Provides backgro"nd in)ormation o) 0o"r
compan0. Describe the nat"re and prod"cts @
services o) 0o"r b"siness.
!elpful Tips !elpful Tips1
*nsert 0o"r compan0
in)ormation to this section.
/or e=ample7 i) 0o" choose to
incl"de 0o"r 5"alit0 or sa)et0
management s0stem.
September 2005 Page ,2 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter $ > '-S Development and
*mplementation
,.2 P"rpose o) this -an"al
.his section can be modi)ied i) the )"nction o)
the man"al is more or less than the (eneric
*S+ ,&00, '-S .emplate.
,.$ Scope o) '-S
Clearl0 de)ines the coverage o) 0o"r '-S and
the standard "e,g, ISO140011-004 3 to #hich
0o"r compan0 s"bscribes. *t ma0 incl"de
speci)ic )"nction8s9 and@or location8s9. .he
scope o) '-S shall be doc"mented.
2&0 'olic3
*ncl"de 0o"r 'nvironmental Polic0 here7 brie)l0
describing 0o"r compan0 pro)ile7 '-S scope7
and signed b0 top management and dated.
.&0 Or)anisation
Detailed description re)ers to Section C, o)
Chapter ***.
4&0 EMS 2e9uirements
Detailed description on each re5"irement
"nder *S+ ,&00, Standard is presented in
Sections !7 C and D o) Chapter ***.
,ppen%i1 ,
.his table presents Cross Re)erences o) the
*S+ ,&00, Re5"irements #ith 0o"r '-S
-an"al and 'nvironmental Proced"res 8'P9.
!elpful Tips !elpful Tips1
Change the 'P Re). ;o
according to 0o"r compan0Is
o#n n"mbering s0stem.
,ppen%i1 :
.his table presents the list o) 0o"r doc"ments
that are controlled b0 0o"r '-S.
!elpful Tips !elpful Tips1
Change the list according to
0o"r compan0Is doc"ment
n"mbering and titles
September 2005 Page ,: Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
0+ Plan
CPlanningD helps 0o" to establish the ob6ectives and processes that are essential )or
delivering res"lts in accordance #ith 0o"r environmental polic0.
1+ Environmental As#e$t I1enti&i$ation
3ISO 14001*2004 4+3+1 En0ironmental (spects)
*denti)0ing and eval"ating 0o"r environmental aspects 8'As9 is )"ndamental to
designing 0o"r '-S to control and minimise the environmental impacts arising )rom
0o"r activities7 prod"cts and services. Related doc"ments incl"de>
a9 Section &.$., o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or *denti)ication o) 'nvironmental Aspects and
Signi)icance 'val"ation 8'P-0,9
c9 Register o) 'nvironmental Aspects 8'AR-0,9
a! Environmental As#e$t I1enti&i$ation in EMS Man"al EM701
Se$tion 4+8+1!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his part o) 0o"r '-S man"al >
Describes ho# 0o" identi)0 and eval"ate the
environmental aspects derived )rom 0o"r
activities7 prod"cts and services.
!elpful Tips !elpful Tips1
Ho" can modi)0 the approach to
identi)0ing and eval"ating 0o"r
environmental aspects.
%o#ever7 make s"re that 0o"r
approach is s1stematic and
compre&ensi0e.
5! Pro$e1"re &or Environmental As#e$t I1enti&i$ation EP701!
Do#nload 8.emplate F 'P-0, *denti)ication o) 'nvironmental Aspects and Signi)icance
'val"ation9
Do#nload 8Sample9
.his environmental proced"re helps 0o" to identi)0 and assess the environmental
aspects 8'As9 that 0o"r compan0 can control7 and those that it can influence taking
into acco"nt planned or ne# developments7 or ne# or modi)ied activities7 prod"cts
and services.
Step , > *denti)0 0o"r environmental aspects
,9 Gse proced"re 'P-0, to de)ine the
responsibilit0 and method o) identi)0ing 0o"r
'As7 and eval"ating #hich 'As are signi)icant
environmental aspects 8S'As9.
29 -ap 0o"r compan0Is activities and processes
Prod"ction processes7 #ork )lo#
!elpful Tips !elpful Tips 1
.he )ollo#ing are t0pical 'As to
be considered >
Air emissions
Water discharges
Solid and haEardo"s
#astes
;oise and vibration
'nerg0 "se
September 2005 Page ,3 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
+))ice operations
Contamination o) land
September 2005 Page 20 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
!"ilding )acilities maintenance
$9 /or e=ample7 inp"ts and o"tp"ts are >

&9 *denti)0 the environmental aspects o) 0o"r
activities7 prod"cts and services that can be
controlled and in)l"enced #ithin the scope o)
the '-S incl"ding planned or ne#
developments7 or ne# or modi)ied activities7
prod"cts and services.
/ollo#ing previo"s e=ample7 the 'As are >
59 *denti)0 related environmental impacts
4ink bet#een aspects and impacts is
similar to Ccause an) effectD.
/ollo#ing previo"s e=ample7 the
environmental impacts are >
Ra# material and reso"rce
"se 8#ater7 energ07 etc.9
4ocal iss"es 8e.g. noise7
odo"r7 d"st7 tra))ic7 etc.9
%aEardo"s material
storage and handling
%aEardo"s material
storage and handling
%abitat dist"rbance
Potential )ire
Remember to look at services
as #ell as prod"cts7 on-site and
o))-site operations7 activities
that 0o" ma0 control and have
in)l"ence.
'As can be positi0e 8e.g.
#aste rec0cling9 or ne"ati0e
8e.g. to=ic #aste generated9
'As ma0 res"lt )rom 0o"r past
acti0ities an) emer"enc1
situations.
'As sho"ld be identi)ied
comprehensivel0 and revie#ed
reg"larl0 to ens"re that the0
are still appropriate 8e.g.
planned or ne# developments7
or ne# or modi)ied activities7
prod"cts and services
Re)er to the Practical '=amples
o) *S+ ,&00, '-S o) 'A
Registers )or more details.
September 2005 Page 2, Rev- d5
Outputs
1+ Printe)
$ocuments
2+ 4aste Paper
3+ Use) Toner
%artri)"es
4+ O)ours
More5
Inputs
1+ Paper
2+ Ener"1
3+ Toner
More 5
!op3in)
1+ Use of paper
2+ Use of
ener"1
3+ Use of toner
More 5
!op3in)
1+ Use of resources
3paper# ener"1#
toner)
2+ Soli) 6aste
36aste paper 7
pac'a"in"# use)
toner cartri)"es)
3+ O)our emissions
More5
1+ Use of
resources
3paper# ener"1#
toner)
2+ Soli) 6aste
36aste paper 7
pac'a"in"#
use) toner
cartri)"es)
3+ O)our
emissions
More 5
!op3in)
1+ $epletion of
natural resource
2+ Occup1 lan)fill
space 36aste
paper)
3+ In)oor (ir
8ualit1
More5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
Table & 'nvironmental Aspects > .hings to Consider
2e9uirements Tec#nical Environmental +evel
4egislation
Permits
C"stomers
Complaints
Process
Storage
.rans)er
.ransport
Gtilities
Prod"ct
Air
Water
Waste and b0-prod"cts
;oise and vibration
4and and gro"nd#ater
contamination
Gse o) ra# materials
and nat"ral reso"rces
'nerg0 cons"mption
'nerg0 emitted7 e.g.
heat7 radiation7
vibration
;"isance
Ph0sical attrib"tes7 e.g.
siEe7 shape7 colo"r7
appearance
'=ternal sa)et0
Prod"ct
Potential )ire
Site @ plant
Department
*nstallation @
e5"ipment
S"bcontractor @
s"pplier
Step 2 : Evaluate t#e si)ni"icance o" 3our
environmental aspects
,9 De)ine the eval"ation method that 0o" #ill "se
to determine signi)icance. .here are vario"s
eval"ation methods incl"ding criteria based
)iltering7 environmental risk assessment7 etc.
29 .he (eneric *S+ ,&00, '-S .emplate in the
'P-0, "ses a criteria. 9ase) filterin" method
#hich is commonl0 adopted b0 local
companies7 and #idel0 accepted b0
certi)ication bodies. An e=ample is sho#n in
/ig"re 5 belo#.
$9 De)ine the criteria that 0o" #ill "se to
determine signi)icance. .0pical criteria incl"de
legal or c"stomer re5"irements7 environmental
conse5"ences7 and material "sage. .able 1
and /ig"re 5 sho# )"rther e=amples.
*S+ ,&00, does not speci)0 the eval"ation method
and criteria )or determining signi)icant
environmental aspects. *t is "p to the companies
to decide their o#n methods.
!elpful Tips !elpful Tips 1
+ther t0pes o) eval"ation
methods are provided in the
Practical '=amples o) *S+
,&00, '-S 8e.g.
environmental risk assessment
in Case $9
.he (eneric *S+ ,&00, '-S
.emplate proced"re 'P-0, is
sel)-e=planator0 #ith the
eval"ation method de)ined. Ho"
ma0 choose to design 0o"r
o#n methodolog0 8e.g. scoring
method7 e=ample is risk
assessment method7 RNP = S
RNrisk7 PNprobabilit0 SNseverit0
September 2005 Page 22 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
Table /& Criteria and Scores )or 'val"ation o) 'nvironmental Aspect Signi)icance
Evaluation criteria !on%itions Score
4egal re5"irement .he aspect is legall0 and contract reg"lated. ,
.he aspect is not legall0 reg"lated. 0
'nvironmental
conse5"ence
'=pected release o) poll"tants o) severe environmental
conse5"ence
,
Gne=pected sit"ation s"ch as emergenc0 ma0 ca"se
"ncontrolled released o) poll"tants7 or serio"s damage to
)lora7 )a"na or historical heritage.
,
.he aspect does not have potential environmental impacts o)
severe conse5"ence.
0
Gse o) materials 4arge cons"mption o) materials #ith signi)icant potential to
red"ce7 re"se and rec0cle.
,
Cons"mption o) materials that are haEardo"s in nat"re and
can be replaced b0 more environmentall0 benign alternatives.
,
Cons"mption o) materials that originate )rom environmentall0
sensitive so"rces.
,
Cons"mption o) materials that have little or no potential )or
red"ce7 re"se7 rec0cling7 replacement7 and are not )rom
environmentall0 sensitive so"rces.
0
Corporate concerns .he Compan0 has received valid7 6"sti)iable complaints )or
similar sit"ations previo"sl0.
,
.he aspect concerns s"ppliers or contractorsI activities and
can potentiall0 be in)l"enced b0 the Compan0.
,
.he aspect is abo"t selection o) s"ppliers or contractors ,
.he aspect is a corporate concern that can be re)lected )rom
the environmental polic0
,
;one o) above 0
;ote > , N Hes7 0 N ;o
-i)ure & Work)lo# o) 'nvironmental Aspect *denti)ication and 'val"ation
,spect
;o
Hes
4egal Re5"irement
Si)ni"icant
Environmental
,spect (SE,)
;o
Hes
'nvironmental
Conse5"ence
;o
Hes
Gse o) -aterials
;o
Hes
Corporate Concern
;o
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Chapter $ > '-S Development and
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8ot Si)ni"icant
Step . : $ocumentation
,9 Compile the 'As that 0o" have identi)ied and their signi)icance eval"ation in 0o"r
Register o) 'nvironmental Aspects 8'AR-0,9.
$! )egister o& Environmental As#e$ts EA)701!
Do#nload 8.emplate F 'AR-0, Register o) 'nvironmental Aspects9 Do#nload 8Sample9
.he Register o) 'nvironmental Aspects compiles the environmental aspects derived
)rom 0o"r activities7 prod"cts and services. .he register also denotes the signi)icance
o) 0o"r environmental aspects and 0o"r respective operational controls )or signi)icant
aspects.
;o5 to use Generic ISO 14001 EMS Template
E,2701<
13 4cti$ities
'ach e=cel sheet represents a
common b"siness activit0 in 0o"r compan07
these ma0 incl"de> o))ice7 )acilit0
maintenance7 each prod"ction process7
#areho"se7 etc.
29 Column 4 1 Re) ;"mber
De)ine a re)erence n"mber )or each
'A identi)ied )or eas0 re)erence.
;"mbering )ormat can be +/-0, )or
o))ice7 CA-0, )or car-"sing activities7 etc.
$9 Column 5 1 'nvironmental Aspects
4ist the 'As identi)ied )or each
activit0 8e.g. "se o) chemicals9.
&9 Column C6I 1 Potential environmental
impacts
Place C=D to mark the environmental
impacts that ma0 be generated )rom s"ch
aspect 8e.g. air7 #ater7 etc9.
59 Column 76M 1 'val"ation o) Signi)icance
!ased on the criteria and eval"ation
method de)ined in 'P-0,7 mark either C,D or
C0D as a score )or signi)icance.
19 Column 2 1 S'A
Place CHD i) the environmental
aspect is eval"ated to be a Signi)icant
'nvironmental Aspect 8S'A9? other#ise
!elpful Tips !elpful Tips 1
/or some c"m"lative
environmental aspects s"ch as
"se o) electricit07 #ater
cons"mption7 etc. #hich can be
controlled b0 single operational
meas"re7 the0 can be singled
o"t in a separate e=cel table )or
easier re)erence. /or instance7
CGse o) electricit0D is a
c"m"lative 'A and its impact
shall be controlled b0 C'*-0:
Reso"rce ConservationD #hich
incl"des some best practices
)or energ0 saving.
Compan0 ma0 maintain a
single register )or all activities
o) the corporation? or maintain
separate registers )or corporate
level @ site level @7 department
level @ pro6ect level7 etc.
Additional col"mn is )o"nd in
Practical '=amples o) *S+
,&00, '-S in this package )or
eas0 cross re)erence o) legall0
reg"lated 'As #ith the relevant
legislation in 4R-0,.
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Chapter $ > '-S Development and
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place C;D.
29 Column O 1 +perational Control @ +K.
re)erence
Ho" #ill need to have an operational
control )or all o) 0o"r S'As. Ho" can
implement 0o"r operational controls either
thro"gh environmental proced"res @
instr"ctions 8'P @ '*9 or setting
environmental ob6ectives and targets
8+K.9.
:9 Revie#ed and Approved signat"res
.o be signed b0 responsible
personnel 8e.g. .op -anagement7
'nvironmental -anagement
Representative 8'-R97 etc.9 based on #hat
0o" have de)ined in the roles and
responsibilit0 8re)er to Section C,9 and
control o) doc"ments 8re)er to Section C59.
*S+ ,&00, does not speci)0 the )ormat o) Registers
o) 'nvironmental Aspects7 the companies can
decide their o#n )ormat to present in)ormation.
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Chapter $ > '-S Development and
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6+ Legal an1 Ot.er )e4"irements
3ISO 14001*2004 4+3+2 /e"al an) Ot&er ,e-uirements)
*denti)0ing and compl0ing #ith applicable legal re5"irements and other re5"irements
to #hich the organiEation s"bscribes related to its environmental aspects is a ke0 to
the s"ccess o) 0o"r '-S. .his incl"des all relevant reg"lations 8local and
international7 partic"larl0 i) 0o" deal #ith overseas clients9 and other sel)-imposed
re5"irements 8e.g. codes o) practice7 client re5"irements7 etc.9. Related doc"ments
incl"de>
a9 Section &.$.2 o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or 4egal and +ther Re5"irements 8'P-029
c9 Register o) 4egal and +ther Re5"irements 84R-0,9
a! Legal an1 Ot.er )e4"irements in EMS Man"al EM701 Se$tion
4+8+6!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S man"al>
Describes ho# 0o" identi)0 and "pdate 0o"r
relevant legal and other re5"irements.
!elpful Tips !elpful Tips1
Ho" can modi)0 the approach )or
identi)0ing 0o"r legal and other
re5"irements. %o#ever7 make
s"re that 0o"r approach is
s1stematic and
compre&ensi0e.
5! Pro$e1"re &or Legal an1 Ot.er )e4"irements EP706!
Do#nload 8.emplate F 'P-02 Revie# o) 4egal and +ther Re5"irements9 Do#nload 8Sample9
.his environmental proced"re is established7 implemented and maintained b0 0o"r
compan0 to identi)07 have access to and "nderstand all legal and other re5"irements
relevant to the environmental aspects o) 0o"r activities. 4egal and other re5"irements
incl"de b"t are not limited to >
,9 4egal re5"irements F +rdinances7 Reg"lations
29 +ther re5"irements F vol"ntar0 principles or codes o) practice7 non-reg"lator0
g"idelines7 technical circ"lars7 compan0-speci)ic codes7 contract re5"irements7
etc.
Step 1 : I%enti"3 re9uirements
(eneric *S+ ,&00, '-S .emplate 4R-0,
presents a general )rame#ork )or 0o"r
re)erence to develop the register o) legal and
other re5"irements tailored )or 0o"r b"siness
nat"re and operations.
.he proced"re describes ho# 0o"r compan0
identi)ies the re5"irements o) these reg"lations
and their applicabilit0.
!elpful Tips !elpful Tips1
En0ironmental ,e"ulations
in !on" :on" F Websites o)
'nvironmental Protection
Department ###.epd.gov.hk
and !iling"al 4a#s *n)ormation
S0stem o) %<SAR (overnment
###.legislation.gov.hk provides
"pdated stat"tor0
environmental in)ormation in
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Chapter $ > '-S Development and
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.he proced"re describes ho# 0o" plan to
compl0 #ith relevant re5"irements and
maintain records as re5"ested.
Step 2 : ,ccess an% communicate
.he proced"re describes ho# 0o" seek ho#
0o" can access those re5"irements 8e.g.
thro"gh internet or p"rchase o) relevant
doc"ments9
.he proced"re describes ho# 0o"
comm"nicate these re5"irements to
emplo0ees7 on-site contractors and others7 as
needed.
Step . : 2evie5 an% up%ate
.he proced"re describes ho# 0o" #ill
reg"larl0 revie# and "pdate an0 changes o)
legal and other re5"irements.
%ong <ong )or p"blic access.
+ther relevant b"siness @
contract re5"irements #ill also
need to be identi)ied.
$! )egister o& Legal an1 Ot.er )e4"irements L)701!
Do#nload 8.emplate F 4R-0, Register o) 4egal and +ther Re5"irements9
Do#nload 8Sample9
.his register compiles the legal and other re5"irements 8legislation7 codes o)
practice7 reg"lator0 and non-reg"lator0 g"idelines7 contract re5"irements7 etc.9 that
are applicable to 0o"r compan0.
;o5 to use Generic ISO 14001 EMS Template
+2701<
Revie# each reg"lation in Practical '=amples
o) *S+ ,&00, '-S to determine its
applicabilit0 to 0o"r compan0.
Determine i) the reg"lation is applied to 0o"r
compan0 directl07 and@or to the responsibilit0 o)
0o"r contractors @ s"ppliers.
De)ine the area o) applicabilit0 o) speci)ic
reg"lations. /or e=ample7 Air Poll"tion Control
8-otor Lehicle /"el9 Reg"lation is applied to
vehicles o#ned b0 0o"r compan0 or
contractors.
Revie# the doc"ments listed "nder C4icenses @
Compliance Records Re5"iredD #hich
demonstrates 0o"r legal compliance stat"s to
partic"lar reg"lation7 or con)ormit0 to other
re5"irements to #hich the organiEation
s"bscribes related to its environmental
aspects7 and ens"re that this list is "pdated
accordingl0.
Re)er to Practical '=amples o) *S+ ,&00,
'-S )or eas0 re)erence.
!elpful Tips !elpful Tips1
De)ine clear responsibilit0 to
maintain and provide reg"lar
"pdate )or 0o"r Register o)
4egal and +ther Re5"irements.
Additional col"mn is )o"nd in
Practical '=amples o) *S+
,&00, '-S in this package )or
eas0 cross-re)erence o)
environmental legislation #ith
the relevant 'nvironmental
Aspects in 'AR-0,.
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Chapter $ > '-S Development and
*mplementation
8+ O59e$tives: Targets an1 Programmes!
3ISO 14001*2004 4+3+3 O9;ecti0es# Tar"ets an) Pro"ramme3s))
+b6ectives7 targets and programmes 8+K.9 are one #a0 in #hich 0o"r '-S can
control 0o"r signi)icant environmental aspects and impacts. 8.he other is thro"gh
operation controls7 described in Section C1.9 Related doc"ments incl"de>
a9 Section &.$.$ o) '-S -an"al 8'--0,9
b9 +b6ectives7 .argets and Programmes 8+K.-HHHH9
.o compl0 #ith *S+ ,&00, 0o" need to >
Describe the responsibilit0 and mechanism
to establish7 revie# and monitor the
environmental ob6ectives7 #hich are #a0s to
demonstrate contin"al improvement.
Also describe the responsibilit0 and
mechanism to establish programme to
achieve ob6ectives.
+b6ectives and targets are re5"ired to be
meas"rable #here practicable
+b6ectives and targets m"st be consistent
#ith the commitment to compliance #ith
legal and other re5"irements and contin"al
improvement
!elpful Tips !elpful Tips1
*t can be modi)ied based on
compan0Is pre)erence.
Gse +K. #hen it is possible to
improve per)ormance?
Gse +perational Controls 8'*s9
#hen it is not possible to improve
at this time7 b"t the aspect still
needs to be managed.
Ho" can modi)0 the approach to
identi)0ing 0o"r ob6ectives7
targets and programmes.
%o#ever7 make s"re that 0o"r
approach is s1stematic and
compre&ensi0e.
a! O59e$tives: Targets an1 Programmes in EMS Man"al EM701
Se$tion 4+8+8 an1 O;T7<<<<!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
Do#nload 8.emplate F +K.-HHHH +b6ectives7 .argets and Programmes9 Do#nload 8Sample9
.his section o) 0o"r '-S man"al describes ho# 0o" establish and revie# 0o"r
ob6ectives7 targets and programmes.
O9;ecti0e is an overall environmental goal7 consistent #ith the environmental polic07
that an organiEation sets itsel) to achieve.
Tar"et is a detailed per)ormance re5"irement7 applicable to the organiEation or parts
thereo)7 that arises )rom the environmental ob6ectives7 and that needs to be set and
met in order to achieve those ob6ectives.
Pro"ramme sho"ld be linked directl0 to 0o"r environmental ob6ectives and targets
8+K.s9 and describe ho# 0o"r compan0 #ill translate its goals and polic0
commitments into concrete actions so that environmental +K.s are achieved.
.he method to develop and track +K.s and their Programme is brie)l0 described in
'--0, Section &.$.$. *t can be modi)ied according to 0o"r compan0Is needs.
Gse the (eneric *S+ ,&00, '-S .emplate +K.-HHHH7 to establish 0o"r +K.s and
Programme )or 0ear HHHH.
;o5 to %evelop an% maintain 3our O=T<
,9 Ho"r +K.s sho"ld be developed b0 the
!elpful Tips !elpful Tips1
+b6ective sho"ld be speci"ic7
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Chapter $ > '-S Development and
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people in the )"nctional area involved7 since
the0 #ill be best positioned to establish7 plan
)or7 and achieve these goals.
29 Areas to consider in developing +K.
S'As identi)ied in processes and
activities 8e.g. red"ce #aste7 prevent
poll"tion7 conserve reso"rces7 prod"ct
design97
reg"lator0 re5"irements7
comm"nications #ith interested parties
8neighbo"rs7 sta))7 comm"nit0 gro"p7 same
b"siness sectors7 contractors @ s"ppliers9
$9 Comm"nicate +K.s and their progress
across 0o"r compan0.
and targets sho"ld be
measurable7 #here
practicable.
!e "le1ible in 0o"r ob6ectives7
and keep them simple. Allo#
the responsible sta)) to
determine ho# to achieve the
+K..
/actors to consider #hile
developing +K. >
Reasonable7 realistic
.echnologicall0 )easible
Consistent #ith compan0Is
polic0
A))ordable
+perational sta)) can be the
best candidates to propose
+K.s as the0 #ill be event"all0
responsible )or per)ormance.
;o5 to %evelop an% maintain 3our
'ro)ramme<
,9 De)ine >
,esponsi9ilities )or achieving goals
Means )or achieving goals
Time frame )or achieving those goals
29 -odi)0 0o"r program i) >
+K.s are modi)ied or added?
Relevant legal re5"irements are introd"ced
or changed?
-a6or progress in achieving 0o"r +K. has
been made 8or has not been made9? or
Ho"r prod"cts7 services processes7 or
)acilities change or other iss"es arise
!elpful Tips !elpful Tips1
!"ild on plans and programs
that are e=isting )or other
management s0stems.
<eep it simple and )oc"s on
contin"al improvement o) the
program over time.
Comm"nicate e=pectations o)
the '-S and +K. together
#ith the responsibilities to
those individ"als #ho can
a))ect environmental aspects.
Cost savings can be achieved
thro"gh the coordination
bet#een
Programme and other
managements programmes
;o5 to use Generic ISO 14001 EMS Template
O=T7>>>><
,9 ;"mbering
Assign a n"mber )or each +b6ective )or
eas0 re)erence.
29 Relevance to 'nvironmental Polic0
*ndicate ho# the speci)ic +b6ective is
linked to 0o"r compan0Is 'nvironmental
polic0
!elpful Tips !elpful Tips1
Re)er to the Practical '=amples
o) *S+ ,&00, '-S to develop
0o"r o#n +K.s
*t is not a Cm"stD to develop
0o"r +K. #ith direct
association #ith 0o"r polic07 b"t
a re)erence to demonstrate the
connection bet#een 0o"r +K.
in line #ith 0o"r polic0
September 2005 Page 23 Rev- d5
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Chapter $ > '-S Development and
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$9 +b6ective
A simple description on 0o"r ob6ective.
&9 .arget
A brie) e=planation on the meas"rable
target8s9.
59 Programme
A concise action plan on ho# to achieve
each .arget.
19 Responsible Sta))
.he responsible personnel )or achieving
each target.
29 Start Date @ 'nd Date
.he time )rame )or achieving each target.
:9 Act"al Res"lts
.o report the progress in achieving
individ"al targets.
-ore than one target can be
involved to achieve an
+b6ective.
Develop 0o"r S-AR. +K.>
S F Speci)ic
- F -eas"rable
A F Achievable
R F Realistic
. F .ime-bo"nd
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Chapter $ > '-S Development and
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C+ Do
.he goal o) CDoD is implementing the processes identi)ied d"ring CPlanD phase.
1+ )eso"r$es: )oles: )es#onsi5ility an1 A"t.ority
3ISO 14001*2004 4+4+1 ,esources# ,oles# ,esponsi9ilit1 an) (ut&orit1)
-anagement shall ens"re the availabilit0 o) reso"rces essential to establish7 maintain
and improve the '-S. Reso"rces incl"de h"man reso"rces and specialiEed skills7
organiEational in)rastr"ct"re7 technolog0 and )inancial reso"rces. All sta)) in 0o"r
compan0 sho"ld clearl0 "nderstand their environmental roles and responsibilities7 as
#ell as "nderstand the importance o) the environmental ob6ectives and targets that
the0 can a))ect. Related doc"ments incl"de>
a9 Section $.,7 $.27 and &.&., o) '-S -an"al 8'--0,9
.o compl0 #ith *S+ ,&00, 0o" need to >
'ns"re the availabilit0 o) eno"gh reso"rces )or
the implementation o) '-S
De)ine and comm"nicate '-S 6ob
responsibilities and a"thorities.
;ominate an 'nvironmental -anagement
Representative 8'-R9 and dep"t0 )or 0o"r
compan0.
Re)er to (eneric *S+ ,&00, '-S .emplate
'--0, Section $ )or more detailed
re5"irements.
!elpful Tips !elpful Tips1
!e )le=ible in 0o"r organisation
str"ct"re.
Comm"nicate to people #hat
their roles are.
a! Organisation C.art in EMS Man"al EM701 Se$tion 8+1!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his part o) 0o"r '-S -an"al >
Presents 0o"r Compan0 +rganisational Chart
#hich clearl0 de)ine the '-S organisation
str"ct"re.
*denti)ies ma6or sta)) and their role in '-S
development and implementation.
!elpful Tips !elpful Tips1
*nsert 0o"r compan0
in)ormation into this section.
.he str"ct"re shall be as
)le=ible as possible7 #hile
ens"ring that it is
comprehensive.
5! )es#onsi5ility in EMS Man"al EM701 Se$tion 8+6!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his part o) 0o"r '-S -an"al >
De)ines the d"t0 and responsibilit0 o) each
responsible personnel "nder '-S.
!elpful Tips !elpful Tips1
Responsibilities ma0 combine
both environmental )"nctions
and others7 s"ch as 5"alit07
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De)ines #hich position is 0o"r .op
-anagement "e,g, C*ie! E8ecuti$e Director3%
'-R "e,g, En$ironmental Manager3% D'-R
"e,g, 4dministration Manager3% and member o)
0o"r '-S Committee "e,g, all departmental
managers% sa!et' o!!icer3,
De)ines the members involved in management
revie# and the period o) the management
revie#.
Aob descriptions provided in the (eneric *S+
,&00, '-S .emplates can be changed according
to 0o"r pre)erence.
sa)et0 )"nctions.
$! )eso"r$es: )oles: )es#onsi5ility an1 A"t.ority in EMS Man"al
EM701 Se$tion 4+4+1!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his part o) 0o"r '-S -an"al describes ho# 0o"r
compan0 determine the reso"rces 8e.g. )inance7
sta))97 organisational roles7 and personnel
responsibilit0 )or 0o"r '-S. *t is ver0 important to
clearl0 de)ine as the0 relate to the achievement o)
environmental ob6ectives and targets7 and the
overall operation o) the '-S.
!elpful Tips !elpful Tips1
Comm"nicate the '-RIs roles
and responsibilities to all sta)).
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Chapter $ > '-S Development and
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6+ Com#eten$e: Training an1 A2areness
3ISO 14001*2004 4+4+2 %ompetence# Trainin" an) (6areness)
.he "ltimate goal o) training is to e=plain the importance o) the '-S to sta)) and
persons #orking on behal) o) the organiEation and to e=plain their responsibilities )or
'-S operations. .he organisation #ill need to ens"re that all people per)orming tasks
)or or on behal) o) the organisation7 #hich incl"des contractors7 s"b-contractors7
temporar0 sta)) and remote #orkers7 have had an appropriate assessment )or their
potential to ca"se a signi)icant environmental impact and the associated competence
re5"ired. Related doc"ments incl"de>
a9 Section &.&.2 o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or .raining 8'P-0$9
a! Com#eten$e: Training an1 A2areness in EMS Man"al EM701
Se$tion 4+4+6!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his part o) 0o"r '-S -an"al describes ho# 0o"
identi)0 the training needs o) 0o"r sta)) and
persons #orking on behal) o) the organiEation
8e.g. contractors9 7 and plan and eval"ate training
e))ectiveness regarding '-S and related matters.
!elpful Tips !elpful Tips1
*t can be modi)ied based on
compan0Is pre)erence.
Ho" can modi)0 the approach to
identi)0 0o"r training. %o#ever7
make s"re that 0o"r approach
is s1stematic and
compre&ensi0e.
5! Pro$e1"re &or Training EP708!
Do#nload 8.emplate F 'P-0$ .raining9 Do#nload 8Sample9
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Chapter $ > '-S Development and
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'ver0 sta)) and )"nction in 0o"r compan0 has a
role to pla0 in 0o"r '-S. 'ver0 person #orking )or
or on behal) o) 0o"r compan0 can has potential
impacts on the environment and can also s"ggest
ideas to improve the environmental per)ormance
o) 0o"r compan0. .here)ore7 competenc0 )or ke0
roles sho"ld be established and appropriate
training provided to ens"re the per)ormance o)
0o"r '-S. Competence is also based on a
combination o) ed"cation7 training7 and
e=perience? and the associated record shall be
retained.
.he training provided to each person in 0o"r
compan0 sho"ld incl"de the )ollo#ing >
,9 En0ironmental polic17
29 Si"nificant en0ironmental aspects an)
impacts o) their #ork activities7
$9 <e0 '-S roles an) responsi9ilities7
&9 Proce)ures that are applicable to their #ork7
and
59 .he importance o) conformit1 #ith '-S
re5"irements.
!elpful Tips !elpful Tips1
When to train
;e# or changed
environmental reg"lations
;e# or changed '-S
aspects @ +K. @ proced"res
@ process
Corrective action records
the )ail"re to )ollo#
instr"ctions
;e# emplo0ee hire
Gnacceptable per)ormance
'stablish competenc0 )or
vario"s ke0 tasks clearl0.
Step 1 : I%enti"3 trainin) nee%s an%
re9uirements
Revie# 0o"r e=isting training programmes.
+ther training 8e.g. sa)et09 ma0 also satis)0 the
'-S re5"irements.
Consider both "eneral and specific needs
Develop an '-S training package )or ne#
emplo0ee orientation
Revie# the 5"ali)ications and training needs o)
0o"r trainers 8both internal and e=ternal9.
!elpful Tips !elpful Tips1
DonItI )orget to consider the
training needs )or temporar0 or
contract sta))7 contractors
and@or s"ppliers.
Develop other C6ob-aidsD 8e.g.
posted g"idelines on site9 as a
s"pplement )or establishing
competenc0.
*) 0o"r compan0 has an *S+
300, B"alit0 -anagement
S0stem in place7 this part o)
'-S can be integrated "sing
the same proced"re #ith
additional '-S )eat"res.
Step 2 : Trainin) *denti)0 training needs and
prepare training plan according to the training
proced"re 8'P-0$9.
Develop 0o"r '-S training materials.
.rain 0o"r '-S core team members on '-S
re5"irements.
Cond"ct '-S a#areness training #ith all sta))
to ens"re them to be a#are o) environmental
!elpful Tips * 'eepin" recor)s !elpful Tips * 'eepin" recor)s
Re)er to the (eneric *S+ ,&00,
'-S .emplates and Practical
'=amples o) *S+ ,&00, '-S )or
the )ollo#ings >
.raining plan
.raining attendance
records
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Chapter $ > '-S Development and
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polic07 ob6ectives7 relevant signi)icant
environmental aspects7 '-S responsibilities
and emergenc0 proced"res7 etc. as
appropriate.
Cond"ct '-S 6ob speci)ic training to ens"re
relevant sta)) "nderstand the identi)ication and
control o) signi)icant environmental aspects
8S'As9 8'P-0,9.
September 2005 Page $5 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
8+ Comm"ni$ation
3ISO 14001*2004 4+4+3 %ommunication)
'))ective comm"nication is vital )or a compan0 to motivate sta))7 tell them #hat
actions the0 sho"ld be taking )or the sake o) environment7 con)irm their roles and
proced"res7 monitor environmental per)ormance7 and as a channel )or identi)0ing an0
potential )or improvement. Related doc"ments incl"de>
a9 Section &.&.$ o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or 'n5"ir0 @ Complaint @ ;oncon)ormit0 %andling 8'P-
029
a! Comm"ni$ation in EMS Man"al EM701 Se$tion 4+4+8!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes the comm"nication channels )or
environmental iss"es in 0o"r compan0.
%ighlights ho# e))ective t6o.6a1 internal and
external comm"nication promotes
environmental a#areness.
Sets o"t 0o"r handling proced"res )or an0
en5"ir0 or complaints 8internal or e=ternal9
#hich are related to the environmental
proced"re 'P-02 'n5"ir0 @ Complaint @
;oncon)ormit0 %andling.
*) 0o"r compan0 decides to comm"nicate
e=ternall0 abo"t 0o"rs signi)icant aspects7 it
shall establish a method8s9 )or this e=ternal
comm"nication.
!elpful Tips !elpful Tips1
*denti)0 0o"r ke0 a"diences 8)or
internal and e=ternal9 and
develop a comm"nication
mechanism8s9 #ith individ"al
gro"ps o) a"diences.
-ake "se o) e=isting
comm"nication channel s"ch
as > Internal met#o%s
8ne#sletters7 intranet7 sta))
meetings7 dail0 brie)ing
sessions7 notice boards7
training7 etc..97 e1ternal
met#o%s 8#ebsite @ e-
ne#sletter7 ann"al reports7
progress meetings7 in)ormal
disc"ssions7 etc..9
;o5 to initiate t#e communication<
%old '-S committee meetings #ith core team
members to comm"nicate '-S organisation
and individ"al responsibilities7 and establish
'-S implementation plan.
De)ine the E!!ecti$e Date )or the '-S
implementation and anno"nce the kick-o)) o)
the '-S.
Distrib"te the '-S doc"ments to relevant sta))
8re)er to Control o) Doc"ments 'P-0&9
!elpful Tips * 'eepin" recor)s !elpful Tips * 'eepin" recor)s
Records incl"de
+rganisation chart and
doc"mented
responsibilities7 '-S
committee member list7
meeting min"tes
-emo @ min"tes to
anno"nce the '-S
e))ective date
Doc"ment distrib"tion
records7 etc.
September 2005 Page $1 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
September 2005 Page $2 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
4+ Do$"mentation
3ISO 14001*2004 4+4+4 $ocumentation)
.he (eneric *S+ ,&00, '-S .emplates in this s"pport package are developed
based on the *S+ ,&00,>200& standard. .he )o"r-level '-S doc"mentation str"ct"re
consists o) >
,9 En0ironmental Manual > incl"des '-S -an"al7 Polic07 +b6ectives7 .argets and
Programmes
29 En0ironmental Proce)ures > 3 proced"res compl0ing #ith *S+ ,&00,>200&
Standard7 incl"ding associated Registers )or 'nvironmental Aspects and 4egal
and +ther Re5"irements.
$9 En0ironmental Instructions > operational proced"res or environmental
instr"ctions describing ho# activities are per)ormed to manage 0o"r signi)icant
environmental aspects.
&9 En0ironmental ,ecor)s 1 standard )orms7 checklists and reports )or recording
environmental per)ormance to demonstrate compliance #ith '-S re5"irements.
Related doc"ment incl"de>
a9 Section &.&.& o) '-S -an"al 8'--0,9
a! Do$"mentation in EMS Man"al EM701 Se$tion 4+4+4!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S man"al describes the
'-S doc"mentation str"ct"re and ho# the pieces
)it together.
!elpful Tips !elpful Tips1
.he doc"mentation str"ct"re
ma0 re)er to 0o"r e=isting
5"alit0 @ sa)et0 management
s0stem i) in place.
September 2005 Page $: Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
=+ Control o& Do$"ments
3ISO 14001*2004 4+4+ %ontrol of $ocuments)
*S+ ,&00, re5"ires that 0o" provide a clearl0 de)ined so"rce o) doc"ments )or
emplo0ees #ho sho"ld be a#are o) and "nderstand all relevant environmental
signi)icant proced"res and practices. Related doc"ments incl"de>
a9 Section &.&.5 o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or Control o) Doc"ments 8'P-0&9
a! Control o& Do$"ments in EMS Man"al EM701 Se$tion 4+4+=!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S man"al >
Describes the re5"irements on control
mechanism on 0o"r '-S doc"ments to
ens"re that ever0one #orks #ith the right
tools.
4inks to proced"re 'P-0& Control o)
Doc"ments.
!elpful Tips !elpful Tips1
Ho"r control o) doc"ments ma0
integrate or make re)erence to
0o"r e=isting 5"alit0
management s0stem i)
applicable.
5! Pro$e1"re &or Control o& Do$"ments EP704!
Do#nload 8.emplate F 'P-0& Control o) Doc"ments9 Do#nload 8Sample9
.his proced"re ens"res that each person in 0o"r compan0 is #orking #ith the proper
'-S doc"ments. .he proced"re presents ho# 0o"r compan0 >
Revie#s e=isting doc"ment control s0stem7
modi)0 it to adopt '-S elements )or easier
development.
;"mbers '-S doc"ments7 and assigns the
designated personnel )or approval and revie#
8speci)ic doc"ments sho"ld be revised
accordingl0 "nder 0o"r compan0Is c"lt"re9.
%ighlights changes on an0 revised doc"ments
)or easier "nderstanding o) other readers.
!elpful Tips !elpful Tips1
S"ggested elements o)
doc"ment control>
*ss"e @ revision @ e))ective
date
Approval 8i.e. signat"re9
Revision n"mber
Doc"ment n"mber
Cop0 n"mber
Cross-re)erences
4imited distrib"tion o)
doc"ments can make 6ob
easier.
-aintain '-S doc"ments
electronicall0 )or ease o)
"pdating and controlling7 i)
)easible.
*) 0o"r compan0 has an *S+
300, B"alit0 -anagement
S0stem in place7 this part o)
0o"r '-S can be integrated
"sing the same proced"re #ith
additional '-S )eat"res.
September 2005 Page $3 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
>+ O#erational Control
3ISO 14001*2004 4+4+< Operational %ontrol)
+perational Controls are one o) the means thro"gh #hich 0o"r '-S can control 0o"r
signi)icant environmental aspects 8S'As9. 8.he other #a0 is b0 setting +K.s and
Programmes7 as described in Section !$9. Related doc"ments incl"de>
a9 Section &.&.1 o) '-S -an"al 8'--0,9
b9 'nvironmental *nstr"ctions )or vario"s operational control 8'*-==9
a! O#erational Control in EMS Man"al EM701 Se$tion 4+4+>!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al describes ho#
0o"r '-S >
!"ilds environmental per)ormance into 0o"r
operations and activities.
-anages 0o"r compan0Is Signi)icant
'nvironmental Aspects 8S'As97 ens"res legal
compliance and con)ormit0 to other relevant
environmental re5"irements7 and achieves
environmental ob6ectives.
4inks to 'nvironmental *nstr"ctions 8'*-MM9 )or
controlling 0o"r S'As.
!elpful Tips !elpful Tips1
Develop controls based on
0o"r e=isting proced"res @
instr"ctions.
Consider proper controls on
0o"r s"ppliers @ contractors and
their e))ects on 0o"r
environmental per)ormance.
5! O#erational Control 3 Environmental Instr"$tions EI7??!
Do#nload 8.emplate F 'nvironmental *nstr"ctions9 Do#nload 8Sample9
Ho"r '-S #ill consist o) several di))erent proced"res #hich can help 0o"r compan0
to manage its S'As7 ens"re reg"lator0 compliance and achieve environmental
ob6ectives. Determining #hich operations sho"ld be covered b0 doc"mented
proced"res and ho# those operations sho"ld be controlled is a ke0 step in
developing an e))ective '-S.
*n determining #hich operations @ activities need to be controlled7 look be0ond ro"tine
prod"ction or service. Activities s"ch as e5"ipment maintenance7 management o) on-
site contractors7 and services provided b0 s"ppliers or vendors co"ld also a))ect the
environmental per)ormance o) 0o"r compan0.
;o5 to %evelop 3our EI<
Step 1 : identi)0 operations and other activities
that are related to S'As and@or legal
re5"irements
Step 2 : de)ine the controls implemented at
certain processes o) each operation @ activit0.
Step . : dra)t the instr"ctions and revie# them
#ith the people #ho are responsible )or their
implementation to ens"re these instr"ctions
are appropriate7 realistic and practical.
!elpful Tips !elpful Tips1
Activities that might re5"ire
operational controls >
-anagement @ disposal o)
#astes
Approval o) ne# chemicals
Storage K handling o) ra#
materials and chemicals
'5"ipment servicing
Waste#ater treatment
September 2005 Page &0 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
.he )ollo#ing (eneric *S+ ,&00, '-S .emplate
doc"ments are incl"ded in this package to provide
some direction on developing 0o"r '*. /or more
details on individ"al '*s7 0o" ma0 re)er to the
practical samples >
,9 'nvironmental +))ice Practices 8'*-0,9
29 (reen Proc"rement 8'*-029
$9 'nvironmental Practices )or Gsing Compan0Is
Car 8'*-0$9
&9 Waste -anagement 8'*-0&9
59 Air Poll"tion Control 8'*-059
19 Water Poll"tion Control 8'*-019
29 ;oise Poll"tion Control 8'*-029
:9 Reso"rce Conservation 8'*-0:9
39 %andling and Storage o) Chemicals 8'*-039
+peration o) plant @
e5"ipment
-anagement o) contractors
Gnderstand e=isting processes
and b"ild on in)ormal
proced"res #ith a )lo# chart.
/oc"s on steps needed )or
consistent implementation
Revie# dra)t proced"res #ith
emplo0ees that #ill have to
implement them.
<eep proced"res simple and
concise.
'ns"re emplo0ees are trained
on these proced"res.
;o5 to Implement 3our E's? EIs? O=Ts<
*mplement 0o"r '-S proced"res 8'Ps97
instr"ctions 8'*s9 and programmes 8+K.-
MMMM9 to control S'As7 )or e=ample >
green o))ice practices
green p"rchasing
#aste handling7 storage and disposal
air7 noise7 #ater poll"tion control
chemical handling and storage
material conservation and good
ho"sekeeping
energ0 saving program
*mplement emergenc0 proced"res7 cond"ct
drills and maintain preventive meas"res7 etc.7
"sing 'P-05 'nvironmental 'mergenc0
Preparedness and Response.
Comm"nicate #ith s"ppliers7 contractors and
interested parties related to 0o"r
environmental polic0 and relevant '-S
re5"irements as necessar07 and assess their
environmental per)ormance 8e.g. thro"gh
5"estionnaire s"rve0s or site visits9.
!elpful Tips * 'eepin" recor)s !elpful Tips * 'eepin" recor)s
Records arising )rom
operational control proced"res7
e.g.
#aste disposal @ rec0cling
records7
#aste#ater treatment plant
operation records7
p"rchasing records7
inspection records7 etc.
Records arsing )rom
emergenc0 proced"res7 e.g.
)ire drill records7
)ire )acilities inspection
records7
accident reports7 etc.
Comm"nication records7
g"idance notes )or s"pplier
control7 etc.
8re)er to (eneric *S+ ,&00, '-S
.emplates and Practical '=amples
o) *S+ ,&00, '-S )or above
records9
September 2005 Page &, Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
@+ Emergen$y Pre#are1ness an1 )es#onse
3ISO 14001*2004 4+4+= Emer"enc1 Prepare)ness an) ,esponse)
Ho" #ill need to implement emergenc0 preparation and proced"res to respond to
"nplanned events in order to mitigate7 red"ce7 and@or eliminate the environmental
health and sa)et0 impacts. Related doc"ments incl"de>
a9 Section &.&.2 o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or 'nvironmental 'mergenc0 Preparedness and
Response 8'P-059
a! Emergen$y Pre#are1ness an1 )es#onse in EMS Man"al EM701
Se$tion 4+4+@!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes 0o"r approach to minimising the impacts o) "ncontrolled events? and
4inks to proced"re 'P-05 )or 'nvironmental 'mergenc0 Preparedness and
Response.
5! Pro$e1"re &or Environmental Emergen$y Pre#are1ness an1
)es#onse EP70=!
Do#nload 8.emplate F 'P-05 'nvironmental 'mergenc0 Preparedness and Response9
Do#nload 8Sample9
.his environmental proced"re sets o"t ho# e))ective preparation and response #ill
help 0o"r compan0 red"ce in6"ries7 prevent or minimise environmental impacts7
protect emplo0ees and neighbo"rs7 red"ce asset losses and minimise do#ntime.
Step 1 : I%enti"3 potential acci%ents an%
emer)encies? "or e1ample
/ire
Chemical spillage
/looding
Sh"tdo#n 8e.g. #aste#ater treatment plant9
Step 2 : Miti)ate t#e impacts o" t#ese
inci%ents&
Gse the (eneric *S+ ,&00, '-S .emplate
'P-05 as a basis to de)ine appropriate
mitigation meas"res )or all the potential
incidents identi)ied.
De)ine mock drills re5"irements #herever
practicable.
Step . : !ommunicate relevant proce%ure 5it#
ever3one in 3our compan3
*ncl"de contractors @ s"ppliers and visitors
!elpful Tips !elpful Tips1
Post copies o) the emergenc0
plan aro"nd the site #ith phone
n"mbers )or on-site emergenc0
coordinator @ )ire o))icers and
local )ire department7 local
police7 hospital7 and others as
appropriate.
*ntegrate 0o"r e=isting sa)et0
plan to incl"de environmental
iss"es.
September 2005 Page &2 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
D+ C.e$%
CCheckD is the series o) processes that 0o" "se to meas"re and monitor the
e))ectiveness o) 0o"r environmental polic07 ob6ectives7 targets7 legal and other
re5"irements7 and report the res"lts to interested parties.
1+ Monitoring an1 Meas"rement
3ISO 14001*2004 4++1 Monitorin" an) Measurement)
-eas"ring and monitoring is re5"ired to ens"re that the '-S ob6ectives and targets
are being achieved7 and the signi)icant environmental aspects are being controlled.
Related doc"ments incl"de>
a9 Section &.5., o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or 'nvironmental -onitoring and 'val"ation o)
Compliance 8'P-019
a! Monitoring an1 Meas"rement in EMS Man"al EM701 Se$tion
4+=+1!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes the re5"irements on monitoring the e))ectiveness o) the control on
signi)icant environmental aspects 8S'As9 and achievement o) ob6ectives.
4inks to proced"re 'P-01 )or 'nvironmental -onitoring and 'val"ation o)
Compliance.
5! Pro$e1"re &or Environmental Monitoring an1 Eval"ation o&
Com#lian$e EP70>!
Do#nload 8.emplate F 'P-01 'nvironmental -onitoring and 'val"ation o) Compliance9
Do#nload 8Sample9
-onitoring and meas"rement help to eval"ate 0o"r environmental per)ormance7
anal0se the root ca"ses o) problems7 assess compliance #ith legal re5"irements7
identi)0 areas re5"iring corrective action7 and improve per)ormance and e))icienc0.
Step 1 : I%enti"3 3our nee%s
De)ine #hat kind o) in)ormation is meaning)"l
and sho"ld be collected. /or instance >
ke0 process characteristics
reg"lator0 compliance
operational per)ormance 8e))ectiveness o)
operational controls o) S'A9
progress on meeting ob6ectives
Step 2 : 2evie5 e1istin) monitorin) s3stems
Determine i) c"rrent s0stems are s"))icient7
!elpful Tips !elpful Tips1
<eep monitoring re5"irements
limited to <'H process
characteristics.
Proced"re to cali9rate 0o"r
e5"ipment #hich tr"l0 a))ects
0o"r environmental
per)ormance is re5"ired.
Gse the (eneric *S+ ,&00,
'-S .emplate )or the
environmental monitoring plan
to establish 0o"r environmental
monitoring programmes.
September 2005 Page &$ Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
and identi)0 an0 additional monitoring or
meas"rement i) needed.
Step . : $evelop measurement pro)rammes
'ns"re 0o"r programmes are simple7 )le=ible7
consistent7 ongoing7 prod"ce reliable data and
comm"nicate res"lts.
'ns"re that calibrated monitoring e5"ipment is
"sed and maintained.
Step 4 : Monitorin) an% !#ec(in)
'stablish environmental management plan
according to proced"re 'P-01.
Carr0 o"t monitoring to ens"re legal
compliance7 achievement o) ob6ectives and
e))ective operational control.
*mplement corrective action and preventive
action #hen noncon)ormit0 are identi)ied
d"ring monitoring or operation. 8Re)er to 'P-
029.
Step : !ommunicatin) per"ormance
Provide relevant monitoring res"lts to sta)) #ill
raise their a#areness on 0o"r compan0Is
environmental per)ormance.
-onitoring )re5"enc0 and
parameters sho"ld be de)ined
based on legal re5"irements7
compan0 ob6ectives and
proced"re re5"irements7
#herever applicable.
!elpful Tips * 'eepin" recor)s !elpful Tips * 'eepin" recor)s1
'nvironmental monitoring
plan
-aintain permits and
monitoring records7 e.g.
#aste#ater discharge
permit and test reports7
noise monitoring records7
green o))ice inspection
records7
electricit0 cons"mption
records7 etc.
CAR 8corrective action
report3
September 2005 Page && Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
6+ Eval"ation o& Com#lian$e
3ISO 14001*2004 4++2 E0aluation of %ompliance)
Consistent #ith the compan0Is commitment to compliance7 it shall periodicall0
eval"ate compliance #ith applicable legal re5"irements and other re5"irements to
#hich it s"bscribes.
Related doc"ments incl"de>
a9 Section &.5.2 o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or 'nvironmental -onitoring and 'val"ation o)
Compliance 8'P-019
a! Eval"ation o& Com#lian$e in EMS Man"al EM701 Se$tion 4+=+6!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes the mechanism on the reg"lar legal
compliance eval"ation 8section &.5.2.,9 and
eval"ate compliance #ith other re5"irements
8section &.5.2.29 to #hich 0o"r compan0
s"bscribes.
4inks to proced"re 'P-01 'nvironmental
-onitoring and 'val"ation o) Compliance
8re)er to Section D,b9.
!elpful Tips !elpful Tips1
Ho" ma0 choose to integrate or
make re)erence to the
elements #ith 0o"r e=isting
5"alit0 management s0stem i)
applicable.
Ho" can modi)0 the approach
)or eval"ation o) compliance.
%o#ever7 make s"re that 0o"r
approach is s1stematic and
compre&ensi0e.
September 2005 Page &5 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
8+ Non$on&ormity: Corre$tive A$tion an1 Preventive
A$tion
3ISO 14001*2004 4++3 >onconformit1# %orrecti0e (ction an) Pre0enti0e (ction)
.he res"lts o) monitoring and meas"rements7 eval"ation o) compliance7 a"dit
)indings and other s0stemic revie#s sho"ld be doc"mented and revie#ed7 and m"st
lead to corrective actions #hich are intended to )i= and avoid '-S problems in the
)"t"re. Related doc"ments incl"de>
a9 Section &.5.$ o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or 'n5"ir0 @ Complaint @ ;oncon)ormit0 %andling 8'P-
029
a! Non$on&ormity: Corre$tive A$tion an1 Preventive A$tion in
EMS Man"al EM701 Se$tion 4+=+8!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes ho# 0o"r '-S #ill )i= and avoid
problems in the )"t"re.
4inks to proced"re 'P-02 'n5"ir0 @
Complaint @ ;oncon)ormit0 %andling.
!elpful Tips !elpful Tips1
Ho"r '-S ma0 choose to
integrate or make re)erence to
the element #ith 0o"r e=isting
5"alit0 management s0stem i)
applicable.
5! Pro$e1"re &or En4"iry A Com#laint A Non$on&ormity Han1ling
EP70@!
Do#nload 8.emplate F 'P-02 'n5"ir0 @Complaint @ ;oncon)ormit0 %andling9
Do#nload 8Sample9
.he proced"re de)ines ho# 0o"r '-S anal0ses noncon)ormities to detect patterns or
trends so that the same de)icienc0 can be prevented in the )"t"re. An0 en5"iries or
complaints received internall0 or e=ternall0 b0 0o"r compan0 are treated as problems
o) 0o"r compan0 and are also handled b0 this proced"re.
Step 1 : De)ine the responsibilities to
investigate root ca"ses.
!elpful Tips !elpful Tips1
*) 0o"r compan0 has an *S+
300, B"alit0 -anagement
S0stem in place7 this part o)
0o"r '-S can be integrated
"sing the same proced"re #ith
additional '-S )eat"res.
Step 2 : Determine corrective action and
preventive action
Step . : *mplement action
Step 4 : Leri)0 the e))ectiveness.
September 2005 Page &1 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
4+ Control o& )e$or1s
3ISO 14001*2004 4++4 %ontrol of ,ecor)s)
'nvironmental records are re5"ired to demonstrate con)ormit0 to the re5"irements o)
0o"r '-S and sho# that it is )"nctioning properl0. Related doc"ments incl"de>
a9 Section &.5.& o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or Control o) Records 8'P-0:9
a! Control o& )e$or1s in EMS Man"al EM701 Se$tion 4+=+4!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes the re5"irements on maintaining
records7 #hich are the evidence demonstrating
the '-S is #orking as intended.
4inks proced"re 'P-0: Control o) records.
!elpful Tips !elpful Tips1
Ho"r '-S records ma0
integrate or make re)erence to
0o"r e=isting 5"alit0
management s0stem i)
applicable.
5! Pro$e1"re &or Control o& )e$or1s EP70B!
Do#nload 8.emplate F 'P-0: Control o) Records9 Do#nload 8Sample9
Records demonstrate the '-S developed and implemented in 0o"r compan0 is
e))ective.
Step 1 : I%enti"3 recor%s to be (ept
Records ma0 incl"de 8b"t are not limited to9
those demonstrate 0o"r '-S implementation
and re5"ired b0 vario"s legal re5"irements.
Step 2 : Determine the retention time7 location7
responsible personnel7 etc.
Step . : De)ine the disposal method a)ter the
retention time.
!elpful Tips !elpful Tips1
*) 0o"r compan0 has an *S+
300, B"alit0 -anagement
S0stem in place7 this part o)
'-S can be integrated "sing
the same proced"re #ith
additional '-S )eat"res.
-a0 maintain 0o"r records
electronicall0 )or easier
retrieval and access control.
September 2005 Page &2 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
=+ Internal A"1it
3ISO 14001*2004 4++ Internal (u)it)
*nternal a"dit sho"ld determine a compan0Is compliance #ith the *S+ ,&00, '-S.
Related doc"ments incl"de>
a9 Section &.5.5 o) '-S -an"al 8'--0,9
b9 'nvironmental Proced"re )or *nternal A"dit 8'P-039
a! Internal A"1it in EMS Man"al EM701 Se$tion 4+=+=!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes 0o"r approach to cond"cting
internal a"dits to determine the e))ectiveness
o) 0o"r '-S implementation and con)ormit0 to
the planned arrangements incl"ding *S+
,&00, re5"irements.
4inks to proced"re 'P-03 *nternal A"dit.
!elpful Tips !elpful Tips1
*nternal a"dits ma0 integrate or
make re)erence to 0o"r e=isting
5"alit0 management s0stem i)
applicable.
5! Pro$e1"re &or Internal A"1it EP70C!
Do#nload 8.emplate F 'P-03 *nternal A"dit9 Do#nload 8Sample9
A proactive and ob6ective approach identi)ies and resolves '-S de)iciencies. .he
res"lts o) 0o"r internal a"dits sho"ld be linked to corrective action and preventive
action 8'P-0:9 )or contin"al improvement.
Step 1 : -re9uenc3 o" t#e ,u%it
Consider the nat"re o) 0o"r operations and
activities7 S'As @ their impacts7 res"lts o)
monitoring processes7 res"lts o) previo"s
a"dits7 etc..
Sho"ld be at least ann"all0 )or the #hole
compan07 can be at once or broken do#n into
discrete elements )or more )re5"ent a"dits
Step 2 : ,ppoint ,u%itors
Select and train a"ditors 8at least 2 a"ditors9
A"ditors sho"ld be independent o) the
activities being a"dited.
Step . : Internal ,u%it
Select a"diting team members and arrange
internal a"ditor training.
'stablish internal a"dit plan and cond"ct
!elpful Tips !elpful Tips1
*) 0o"r compan0 has an *S+
300, B"alit0 -anagement
S0stem in place7 this part o)
'-S can be integrated "sing
the same proced"re #ith
additional '-S )eat"res.
A"dits sho"ld
/oc"s on ob6ective
evidence o) con)ormit0
Revie# identi)ied problems
Assess ho# #ell 0o"r
s0stem operates
September 2005 Page &: Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
internal a"dit according to proced"re 'P-03.
Prepare a"dit report and revie# a"dit res"lts
to identi)0 areas )or improvement.
Step 4 : ,u%it 2esults Mana)ement
*denti)0 trends or patterns in '-S problems
)ollo#ing 'P-0:.
Comm"nicate res"lts
!elpful Tips * 'eepin" recor)s !elpful Tips * 'eepin" recor)s1
A"ditor training certi)icates
*nternal a"dit plan
'-S A"dit checklist
Corrective Action Report
*nternal a"dit report
8re)er to the (eneric *S+ ,&00,
'-S .emplates and Practical
'=amples o) *S+ ,&00, '-S )or
above records9
September 2005 Page &3 Rev- d5
PLAN DO CHECK ACT
Chapter $ > '-S Development and
*mplementation
E+ A$t
CActD means taking actions to contin"all0 improve the per)ormance o) 0o"r '-S.
1+ Management )evie2
3ISO 14001*2004 4+< Mana"ement ,e0ie6)
Ho"r -anagement revie# is an essential portion o) the contin"al improvement o) 0o"r
compan0Is '-S. Related doc"ment incl"de>
a9 Section &.1 o) '-S -an"al 8'--0,9
a! Management )evie2 in EMS Man"al EM701 Se$tion 4+>!
Do#nload 8.emplate F '--0, '-S -an"al9 Do#nload 8Sample9
.his section o) 0o"r '-S -an"al >
Describes the re5"irements )or cond"cting
management revie#.
Determines the management revie# )re5"enc0
8and as the r"le o) th"mb7 at least ann"all09.
Re5"ires that meeting min"tes record iss"es
disc"ssed7 decisions made7 and action items
selected? and sho"ld be doc"mented
appropriatel0.
'ns"res that someone #ill )ollo#-"p the
progress on action items "ntil completion.
!elpful Tips !elpful Tips1
Consider 0o"r compan0Is
str"ct"re to de)ine the
responsibilit0 and personnel
involved in 0o"r management
revie#.
.he management revie# ma0
integrate or make re)erence to
0o"r e=isting 5"alit0 @ sa)et0
management s0stem i)
applicable.
2evie5 "or Improvement
Ho"r '-S committee 8or '-S core team
members9 cond"ct reg"lar meetings to disc"ss
and revie# the implementation o) '-S and
areas )or improvement.
Ho"r top management #ill need to cond"ct
periodic management revie#s to ens"re the
overall e))ectiveness and contin"al
improvement o) the '-S7 allocate s"))icient
reso"rces and identi)0 on-going improvement
ob6ectives.
!elpful Tips * 'eepin" recor)s !elpful Tips * 'eepin" recor)s
meeting min"tes
)ollo#-"p actions 8e.g. action
plans7 correspondence7 etc.97
#herever necessar0
September 2005 Page 50 Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter & > *S+ ,&00, Certi)ication Process
*+ Keys to S"$$ess&"l Im#lementation
.he )ollo#ing obstacles to implementation are commonl0 )aced7 especiall0 )or S-'s7
that sho"ld be remembered and overcome d"ring '-S implementation.
1& +ac( o" mana)ement commitment
.he s"ccess o) an *S+ ,&00, '-S is highl0 dependent on top management
commitment and s"pport. Commitment can be di))ic"lt to obtain #hen there is lack o)
"nderstanding o) the standard and the bene)its. *n order to sec"re commitment7 top
management sho"ld be provided #ith training that raises the importance o) *S+
,&00,7 highlights the bene)its associated #ith an '-S7 simpli)ies the steps
associated #ith *S+ ,&00, implementation7 and the possibilit0 o) integrating #ith
other management s0stems.
Tip> *t is especiall0 "se)"l to demonstrate the val"e o) an
'-S b0 bringing senior management attention to
environmental risks and liabilities7 s"ppl0 chain press"re
and market trend.
2& +ac( o" un%erstan%in) an% proper e1pertise
An important consideration in the development7 implementation and maintenance o)
an *S+ ,&00, '-S is the need to ens"re complete "nderstanding o) the standard b0
core personnel. .he mis"nderstanding o) re5"irements and #rong "sage o) the
standard can be avoided b0 ens"ring that *S+ ,&00, e=pertise is cons"lted
thro"gho"t the process.
Tip> Remember that str"ct"ral and operational s0stem
changes sho"ld al#a0s be preceded b0 the appropriate
s"pport and training.
.& Misconceptions about t#e stan%ar% creatin) too muc# paper 5or(
An *S+ ,&00, '-S re5"ires an organisation to have in place proced"res7
doc"mentation and records. All proced"res7 doc"mentation and records are
developed to meet speci)ic *S+ ,&00, Standard re5"irements to ens"re )"nctionalit0
o) the s0stem.
Tip> Avoid "nnecessar0 proced"res7 doc"mentation
and records. <eep it simpleO *ntegrate to e=isting
management s0stems i) applicable.
4& +ac( o" a 5ell in"orme% an% involve% 5or("orce
S"ccess)"l implementation o) an '-S re5"ires the inp"t and action o) all emplo0ees
across the organisation. Responsibilities and roles o) each )"nction and level need to
be clearl0 de)ined and #ell comm"nicated. 'mplo0ees sho"ld be enco"raged to
adopt environmental practices and "nderstand the bene)its.
Tip: Comm"nicate #ith all levels o) sta)) and let
ever0one kno# the '-S direction o) the compan0.
Arrange incentive programs to initiate emplo0eesI
inp"t.
September 2005 Page 5, Rev- d5
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User Manual
Chapter & > *S+ ,&00, Certi)ication Process
Chapter
IV
ISO 14001 Certi&i$ation
Pro$ess
September 2005 Page 52 Rev- d5
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User Manual
Chapter & > *S+ ,&00, Certi)ication Process
I(+ ISO 14001 EMS CE)TI*ICATION P)OCESS
.hird-part0 certi)ication is per)ormed b0 a registered e=ternal a"diting organisation7
normall0 re)erred to as a Certi)ication !od0 8C!9. An e=pert third-part0 a"dits the
'-S )or compliance #ith all elements o) *S+ ,&00,. .hird-part0 certi)ication o) an
organisationPs '-S can help to establish credibilit0 and inspire greater con)idence in
e=ternal stakeholders 8e.g.7 c"stomers7 the p"blic7 reg"lators7 governments7 and
other organisations9 beca"se o) the perception that third-part0 certi)iers act
independentl0 and a"dit an organisationPs '-S in an "nbiased manner.
.his Section details the t0pical *S+ ,&00, certi)ication process in line #ith the
re5"irements o) *S+@*'C ("ide 11 8(eneral re5"irements )or bodies operating
assessment and certi)ication@registration o) environmental management s0stems9.
.he certi)ication process is a m"lti-stage process as sho#n in /ig"re &7 #hich is
based on the re5"irements o) *S+@*'C ("ide 11 and common practices o)
certi)ication bodies in %ong <ong7 ho#ever there ma0 be some variation in practice
bet#een certi)ication bodies. +rganisations planning )or certi)ication m"st appoint a
C! ahead o) time and provide "s"all0 $ months o) implementation evidence be)ore
certi)ication.
.he cost )or certi)ication can be varied among companies #ith di))erent siEe and risks
to the environment7 and also among C!s. As a re)erence7 the average manda0 rate
)or certi)ication is abo"t Q27000 and the total cost )or S-'s can be ranging )rom
Q207000 to Q5070007 based on the 0ear o) 200& estimate7 depending on the scope
and nat"re o) the organisation. /or )"rther en5"ir0 on the cost )or certi)ication7
please cons"lt individ"al C!s as listed in Appendi= &.
.able 2 brie)s the general steps to#ard *S+ ,&00, certi)ication and certi)ication
re5"irements.
Table 0& (eneral steps to#ard *S+ ,&00, Certi)ication
Step 1:
Select
!erti"ication
:o%3
Select 0o"r Certi)ication !od0 8C!97 a list o) Certi)ication
!od0 common in %ong <ong is provided in Appendi= &.
Some C!s #ill pa0 an initial visit to clients to e=plain their
certi)ication process and to "nderstand the potential clientsI
activities on site in order to give the client an acc"rate
5"otation )or the certi)ication.
Step 2 :
!omplete
@uestionnaire
an% Establis#
!ontract
When appl0ing )or *S+ ,&00, certi)ication7 it is necessar0 to
complete a 5"estionnaire to allo# C! to assess the nat"re7
scale and comple=it0 o) 0o"r organisation. .his #ill
determine the skill and time allocation re5"ired to carr0 o"t a
comprehensive and e))icient assessment. /rom this a
5"otation #ill be prod"ced con)irming the cost o) certi)ication7
ongoing s"rveillance and re-assessment. /ollo#ing
acceptance o) the 5"otation7 the C! #ill arrange certi)ication
sched"le )or 0o"r organisation.
Sta)e . :
$ocument
2evie5
C! #ill ask 0o" to provide 0o"r organisationIs '-S
doc"ment )or a"ditor revie#. .he p"rpose o) doc"ment
revie# is to check that the doc"mented '-S )"ll0 re)lects all
necessar0 re5"irements and is capable o) delivering )"ll
compliance #ith *S+ ,&00,.
September 2005 Page 5$ Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter & > *S+ ,&00, Certi)ication Process
Sta)e 4 :
-irst Sta)e
,ssessment
.he )irst stage assessment 8/SA9 consists o) a site to"r and
s0stem overvie# to establish that 0o"r '-S relates to 0o"r
environmental aspects. A detailed plan is provided in
advance o) the visit and a )"ll report prod"ced on-site7
together #ith a plan )or the certi)ication assessment. An0
noncon)ormit0 identi)ied at this stage #ill re5"ire a corrective
action plan.
Sta)e :
!erti"ication
,ssessment
.he certi)ication assessment7 #hich normall0 )ollo#s
appro=imatel0 one month a)ter the /SA7 is a revie# o) the
e))ectiveness o) the implemented '-S against *S+ ,&00,
Standard and 0o"r organisationIs o#n re5"irements. A )"ll
report is prepared at the end o) the a"dit. .his is revie#ed
#ith 0o" at a closing meeting7 and a recommendation )or
registration #ill be made i) there is no ma6or noncon)ormit0
)o"nd. Where necessar0 0o" #ill be re5"ested to provide a
corrective action and preventive action plan or )ollo#-"p visit
be)ore a recommendation is made.
Sta)e / :
,5ar%
!erti"ication
*) satis)actor07 an independent revie# #ill be cond"cted on
the report. /ollo#ing a satis)actor0 revie#7 C! #ill a#ard
certi)ication. Certi)icates are valid )or three 0ears7 s"b6ect to
satis)actor0 s"rveillance visits.
Step 0 :
Surveillance *isit
/ollo#ing certi)ication7 ro"tine s"rveillance is carried o"t on a
si= to t#elve month basis. .he )inal visit in the certi)ication
c0cle is termed a rene#al visit.
Step A :
2ene5al
,ssessment
A recommendation is made )rom this revie# on certi)icate
rene#al7 together #ith an0 ad6"stment re5"ired to the
ongoing s"rveillance plan. .he rene#al package is then
revie#ed independentl0 and i) satis)actor07 certi)ication is
rene#ed )or another three-0ear period.
September 2005 Page 5& Rev- d5
Generic ISO 14001 EMS Templates
User Manual
Chapter & > *S+ ,&00, Certi)ication Process
-i)ure /& *S+ ,&00, Certi)ication Process
En9uir3
!omplete @uestionnaire
'roposal
!on"irm ,pplication an% Sc#e%ule
-irst Sta)e ,ssessment
$ocument 2evie5
!erti"ication ,ssessment
!orrective ,ctions
MaBor 8oncon"ormit3<
-ollo5 Up 8o
E""ective<
2ecommen%ation "or 2e)istration
!erti"icate ,5ar%e%
Surveillance ,ssessment
(ever3 si1 mont#s or annuall3)
2ene5al ,ssessment
(ever3 . 3ears)
September 2005 Page 55 Rev- d5
8o
>es
>es