Generic ISO 14001 EMS Templates: ACT Plan
Generic ISO 14001 EMS Templates: ACT Plan
Generic ISO 14001 EMS Templates: ACT Plan
User Manual
PLAN
ACT
CHECK DO
September 2005
Generic ISO 14001 EMS Templates
Contents
User Manual
PLAN
ACT
CHECK DO
Detailed Contents
I. ISO 14001 EMS Support Package for SMEs ............................................................... 2
A. What is this package? ......................................................................................................... 2
B. Who should read what in this package? ............................................................................. 3
C. How is this manual structured? ........................................................................................... 3
D. How to use this support package? ...................................................................................... 4
E. General tips for the Generic ISO 14001 EMS Templates ................................................... 4
F. What is an Environmental Management System ................................................................ 5
1. International EMS Standards ...................................................................................... 5
2. Approach to EMS Development and Implementation ................................................. 6
II. EMS Planning ........................................................................................................ 10
A. Initial Environmental Review ............................................................................................. 10
B. Gap Analysis ..................................................................................................................... 11
III. EMS Development and Implementation ............................................................... 13
A. Management Commitment ................................................................................................ 15
1. Environmental Policy ................................................................................................. 15
2. EMS Manual .............................................................................................................. 16
B. Plan ................................................................................................................................... 18
1. Environmental Aspect Identification .......................................................................... 18
2. Legal and Other Requirements ................................................................................. 24
3. Objectives, Targets and Programme(s) .................................................................... 26
C. Do ...................................................................................................................................... 29
1. Resources, Roles, Responsibility and Authority ....................................................... 29
2. Competence, Training and Awareness ..................................................................... 31
3. Communication ......................................................................................................... 34
4. Documentation .......................................................................................................... 35
5. Control of Documents ............................................................................................... 36
6. Operational Control ................................................................................................... 37
7. Emergency Preparedness and Response ................................................................ 39
D. Check ................................................................................................................................ 40
1. Monitoring and Measurement ................................................................................... 40
2. Evaluation of Compliance ......................................................................................... 42
3. Nonconformity, Corrective Action and Preventive Action ......................................... 43
4. Contorl of Records .................................................................................................... 44
5. Internal Audit ............................................................................................................. 45
E. Act ..................................................................................................................................... 47
1. Management Review ................................................................................................ 47
F. Keys to Successful Implementation .................................................................................. 48
IV. ISO 14001 EMS Certification Process .................................................................. 50
List of Appendices
Appendix 1. Comparison of ISO 14001:1996 with ISO 14001:2004; and Comparison of
ISO/DIS 14001 (Date: 9 July 2003) with ISO 14001:2004
Appendix 2. Sample Guidance Questions for Gap Analysis
Appendix 3. EMS Implementation Checklist
Appendix 4. List of ISO 14001 Certification Bodies in Hong Kong
List of Figures
Figure 1. “Plan, Do, Check, Act” model. ............................................................................................. 5
Figure 2. ISO 14001 Overview ........................................................................................................... 5
Figure 3. Approach to EMS Development and Implementation ......................................................... 7
Figure 4. The Four-level EMS Documentation Structure ................................................................. 13
Figure 5. Workflow of Environmental Aspect Identification and Evaluation ..................................... 21
Figure 6. ISO 14001 Certification Process ....................................................................................... 52
List of Tables
Table 1. List of Trades Provided with Practical Examples of ISO 14001 EMS in this Support
Package. ......................................................................................................................................... 3
Table 2. Comparing the PDCA cycle to the ISO 14001:2004 Standard .......................................... 6
Table 3. Phased EMS Implementation Flow ..................................................................................... 8
Table 4. List of Generic ISO 14001 EMS Templates ...................................................................... 14
Table 5. Environmental Aspects : Things to Consider .................................................................... 20
Table 6. Criteria and Scores for Evaluation of Environmental Aspect Significance........................ 20
Table 7. General steps toward ISO 14001 Certification .................................................................. 50
Chapter
ISO 14001 EMS Support
I Package for SMEs
1
International Organization for Standardization
2
The Standard can be purchased through the Product Standards Information Bureau of the
Innovative and Technology Commission, the Hong Kong Special Administrative Region
Government (http://www.itc.gov.hk/en/quality/psis/sales.htm), local certification body agencies, or
online purchasing through ISO (www.iso.ch).
Table 1. List of Trades Provided with Practical Examples of ISO 14001 EMS in this Support
Package.
Trade Document Examples Location
Construction Wan Bao Construction Company Hong Kong
Plan
Continual
Act Improvement Do
Check
Continual Environmental
Improvement Policy
Management
Review Planning
Checking Implementation
and Operation
Preparation Preparation
Initial EMS Planning * Management
Commitment
Phase IV Phase I
Act Plan
* Initial EMS Planning is not an ISO 14001 Standard requirement; however, it is useful preparation work to
facilitate the set up and development of the EMS in accordance with the ISO 14001 Standard.
The different tasks for each phase and the relevant Generic ISO 14001 EMS
Templates that you can use are shown in Table 3. In addition, Table 3 illustrates the
estimated time that each phase of EMS development and implementation usually
takes for a typical company. The detailed implementation of each phase is described
throughout the rest of this User Manual.
DO
Organisation chart & responsibilities
Training plan
Training materials
Implementation of the EMS 2-3 months
Guidance notes for supplier control
Communication records
Forms for implementing procedures
Monitoring plan
Audit plan
CHECK
Audit checklist
Checking, audit 1 month
Audit report
Corrective action & preventive
action report
8 – 12
Total
months
4
ISO 14001 Certification
OR
Self-declaration of ISO 14001 EMS adoption
3
Initial EMS Planning is not an ISO 14001 Standard requirement.
4
ISO 14001 Certification Process refers to Chapter IV in this manual.
Environmental
Chapter
Management System
II (EMS) Planning
The first key task of the EMS Working Team is to The EMS Working Team will
undertake your “Baseline Assessment”, which be responsible for EMS
planning, performing initial
helps identify your current strengths and environmental review, and
weaknesses in environmental protection. The developing the EMS
Baseline Assessment involves an Initial documentation in Phase II.
Environmental Review (IER) and Gap Analysis
The EMS Working Team
(GA). Both are described with the Generic ISO
usually includes a nominated
14001 EMS Templates and Practical Examples of
EMS leader (manager /
ISO 14001 EMS in this section. coordinator) and
representatives from different
functions of the company (e.g.
Although the IER and GA are not an ISO 14001 administration, finance,
Standard requirement, the benefits of conducting production, etc.)
a baseline assessment are : The EMS leader should be
• to form the basis on which the EMS is built, someone in your company
who :
• to help establish your current level of
has good understanding of
environmental performance.
how your company works
• to identify the “gaps” needed to be filled to day-to-day
comply with ISO 14001 requirements, and has basic knowledge of
estimate the cost and manpower that will be environmental issues; and
involved.
has sufficient authority to
The various steps in this Phase are detailed below. get the necessary support
from different departments.
B. Gap Analysis
Download (Template – IER-02 Gap Analysis Report)
A Gap Analysis is a way to use the results of your IER to identify the “gaps” between
your existing management practices, and those required by the EMS standard. The
Gap Analysis is a very helpful tool for you to identify ways to improve your
environmental management practices and set priorities where action is needed. To
complete the provided Generic ISO 14001 EMS Templates of gap analysis report
(IER-02), you should:
1. List your existing environmental practices and Helpful Tips for using checklist
documents corresponding to each ISO 14001 IER-02
clause in “Remarks”. Some sample guidance
2. Compare the items in Remarks with the ISO questions assisting you to rate
your company is provided in
14001 Standard and rate your company’s
Appendix 2.
position on the right column.
For example if “The
Environmental Policy meets all
ISO requirements” put
“ “, if there is no
Environmental Policy put
“ “.
Chapter
EMS Development and
III Implementation
A. Management Commitment
B. Plan
C. Do
D. Check
E. Act
F. Keys to Successful Implementation
Environmental
Manual (EM)
Environmental Records
The 4-level EMS documentation structure is an international practice in line with the
implementation of ISO 9001 Quality Management System (QMS) standards. EMS
training materials delivered by internationally recognized organisations such as
Institute of Environmental Management & Assessment (IEMA) and International
Register of Certificated Auditors (IRCA) also adopt this 4-level documentation
structure.
The full set of Generic ISO 14001 EMS Templates provided as part of this package is
listed in Table 4. Each template is provided with a Document Number for reference.
After developing your EMS documents according to the guidelines provided in this
support package, your company will need to apply the system, implement the
procedures and maintain records to demonstrate compliance with the EMS
requirements that you have established. This chapter describes the steps and keys
for successful EMS operation and monitoring to ensure its effectiveness. An
implementation checklist is provided in Appendix 3 as a tool to help you to monitor
your EMS implementation status.
*
These documents are not required by ISO14001.
A. Management Commitment
“Management Commitment” defines the framework for your EMS through the
“Environmental Policy” and the “EMS Manual”.
1. Environmental Policy
(ISO 14001:2004 4.2 Environmental Policy)
Download (Template – CP-01 Environmental Policy) Download (Sample)
The first requirement of ISO 14001 is the establishment of an Environmental Policy
(CP-01) which is mandated by your top management and verified during a
Management Review.
The Environmental Policy (CP-01) : Helpful Tips :
2. EMS Manual
Download (Template – EM-01 EMS Manual) Download (Sample)
Your EMS manual (EM-01) shall explain how your company’s EMS is organised with
reference to the requirements of the ISO 14001, which :
• Describes the core elements of your EMS (and how these elements relate to
each other); and
• Provides cross-reference to related documents.
Your manual shall include a statement to address each element in ISO 14001. These
statements explain how your company conforms to the particular element, and
usually paraphrase the requirements of the ISO 14001 Standard. It is important to
accurately describe the unique characteristics of your company and how your EMS
operates. If you have a safety or quality management system, you may wish to
integrate these with your EMS Manual.
The descriptions below follow the contents of the EMS Manual, providing guidance
on how to modify the Generic ISO 14001 EMS Template manual into your company’s
EMS manual. More details of each EMS Manual section are discussed later in this
guide according to the relevant ISO 14001 Standard clauses.
2.0 Policy
• Include your Environmental Policy here, briefly
describing your company profile, EMS scope,
and signed by top management and dated.
3.0 Organisation
• Detailed description refers to Section C1 of
Chapter III.
Appendix A
• This table presents Cross References of the Helpful Tips:
ISO 14001 Requirements with your EMS Change the EP Ref. No
Manual and Environmental Procedures (EP). according to your company’s
own numbering system.
Appendix B
• This table presents the list of your documents Helpful Tips:
that are controlled by your EMS. Change the list according to
your company’s document
numbering and titles
B. Plan
“Planning” helps you to establish the objectives and processes that are essential for
delivering results in accordance with your environmental policy.
• Describes how you identify and evaluate the You can modify the approach
environmental aspects derived from your to identifying and evaluating
your environmental aspects.
activities, products and services.
However, make sure that your
approach is systematic and
comprehensive.
1. Use of
resources
(paper,
energy, 1. Depletion of
toner) natural
2. Solid waste resource
(waste 2. Occupy
paper & Copying
landfill space
packaging, (waste paper)
used toner
cartridges) 3. Indoor Air
3. Odour Quality
emissions More…
More …
Aspect
No
Yes
Legal Requirement ?
No
Yes
Environmental
Consequence ?
Significant
Environmental
No
Yes Aspect (SEA)
Use of Materials ?
No
Yes
Corporate Concern ?
No
Not Significant
Step 3 : Documentation
1) Compile the EAs that you have identified and their significance evaluation in your
Register of Environmental Aspects (EAR-01).
• Describes how you identify and update your You can modify the approach for
relevant legal and other requirements. identifying your legal and other
requirements. However, make
sure that your approach is
systematic and
comprehensive.
• The procedure describes how you plan to Hong Kong for public access.
comply with relevant requirements and
maintain records as requested.
Other relevant business /
Step 2 : Access and communicate contract requirements will also
need to be identified.
• The procedure describes how you seek how
you can access those requirements (e.g.
through internet or purchase of relevant
documents)
• The procedure describes how you
communicate these requirements to
employees, on-site contractors and others, as
needed.
Step 3 : Review and update
• The procedure describes how you will
regularly review and update any changes of
legal and other requirements.
C. Do
The goal of “Do” is implementing the processes identified during “Plan” phase.
Step 2 : Training Identify training needs and Helpful Tips : keeping records
prepare training plan according to the training Refer to the Generic ISO 14001
procedure (EP-03). EMS Templates and Practical
Examples of ISO 14001 EMS for
• Develop your EMS training materials.
the followings :
• Train your EMS core team members on EMS Training plan
requirements.
Training attendance records
• Conduct EMS awareness training with all staff
to ensure them to be aware of environmental
policy, objectives, relevant significant
3. Communication
(ISO 14001:2004 4.4.3 Communication)
Effective communication is vital for a company to motivate staff, tell them what
actions they should be taking for the sake of environment, confirm their roles and
procedures, monitor environmental performance, and as a channel for identifying any
potential for improvement. Related documents include:
a) Section 4.4.3 of EMS Manual (EM-01)
b) Environmental Procedure for Enquiry / Complaint / Nonconformity Handling (EP-
07)
• Highlights how effective two-way internal and internal and external) and
develop a communication
external communication promotes
mechanism(s) with individual
environmental awareness. groups of audiences.
• Sets out your handling procedures for any Make use of existing
enquiry or complaints (internal or external) communication channel such
which are related to the environmental as : Internal methods
procedure EP-07 Enquiry / Complaint / (newsletters, intranet, staff
Nonconformity Handling. meetings, daily briefing
sessions, notice boards,
• If your company decides to communicate training, etc..), external
externally about yours significant aspects, it methods (website / e-
shall establish a method(s) for this external newsletter, annual reports,
communication. progress meetings, informal
discussions, etc..)
4. Documentation
(ISO 14001:2004 4.4.4 Documentation)
The Generic ISO 14001 EMS Templates in this support package are developed
based on the ISO 14001:2004 standard. The four-level EMS documentation structure
consists of :
1) Environmental Manual : includes EMS Manual, Policy, Objectives, Targets and
Programmes
2) Environmental Procedures : 9 procedures complying with ISO 14001:2004
Standard, including associated Registers for Environmental Aspects and Legal
and Other Requirements.
3) Environmental Instructions : operational procedures or environmental
instructions describing how activities are performed to manage your significant
environmental aspects.
4) Environmental Records : standard forms, checklists and reports for recording
environmental performance to demonstrate compliance with EMS requirements.
5. Control of Documents
(ISO 14001:2004 4.4.5 Control of Documents)
ISO 14001 requires that you provide a clearly defined source of documents for
employees who should be aware of and understand all relevant environmental
significant procedures and practices. Related documents include:
a) Section 4.4.5 of EMS Manual (EM-01)
b) Environmental Procedure for Control of Documents (EP-04)
6. Operational Control
(ISO 14001:2004 4.4.6 Operational Control)
Operational Controls are one of the means through which your EMS can control your
significant environmental aspects (SEAs). (The other way is by setting O&Ts and
Programmes, as described in Section B3). Related documents include:
a) Section 4.4.6 of EMS Manual (EM-01)
b) Environmental Instructions for various operational control (EI-xx)
• Step 1 : identify operations and other activities Activities that might require
that are related to SEAs and/or legal operational controls :
requirements Management / disposal of
wastes
• Step 2 : define the controls implemented at
certain processes of each operation / activity. Approval of new chemicals
• Step 3 : draft the instructions and review them Storage & handling of raw
materials and chemicals
with the people who are responsible for their
implementation to ensure these instructions Equipment servicing
are appropriate, realistic and practical. Wastewater treatment
The following Generic ISO 14001 EMS Template Operation of plant /
How to Implement your EPs, EIs, O&Ts? Helpful Tips : keeping records
D. Check
“Check” is the series of processes that you use to measure and monitor the
effectiveness of your environmental policy, objectives, targets, legal and other
requirements, and report the results to interested parties.
measurement if needed.
Step 3 : Develop measurement programmes Monitoring frequency and
parameters should be defined
• Ensure your programmes are simple, flexible, based on legal requirements,
consistent, ongoing, produce reliable data and company objectives and
communicate results. procedure requirements,
wherever applicable.
• Ensure that calibrated monitoring equipment is
used and maintained. Helpful Tips : keeping records:
Environmental monitoring plan
Step 4 : Monitoring and Checking
Maintain permits and
• Establish environmental management plan monitoring records, e.g.
according to procedure EP-06.
wastewater discharge
• Carry out monitoring to ensure legal permit and test reports,
compliance, achievement of objectives and
noise monitoring records,
effective operational control.
green office inspection
• Implement corrective action and preventive records,
action when nonconformity are identified
during monitoring or operation. (Refer to EP- electricity consumption
records, etc.
07).
CAR (corrective action report)
Step 5 : Communicating performance
Provide relevant monitoring results to staff will
raise their awareness on your company’s
environmental performance.
2. Evaluation of Compliance
(ISO 14001:2004 4.5.2 Evaluation of Compliance)
Consistent with the company’s commitment to compliance, it shall periodically
evaluate compliance with applicable legal requirements and other requirements to
which it subscribes.
• Describes the mechanism on the regular legal You may choose to integrate or
compliance evaluation (section 4.5.2.1) and make reference to the
elements with your existing
evaluate compliance with other requirements
quality management system if
(section 4.5.2.2) to which your company applicable.
subscribes.
You can modify the approach
• Links to procedure EP-06 Environmental for evaluation of compliance.
Monitoring and Evaluation of Compliance However, make sure that your
(refer to Section D1b). approach is systematic and
comprehensive.
• Describes how your EMS will fix and avoid Your EMS may choose to
problems in the future. integrate or make reference to
the element with your existing
• Links to procedure EP-07 Enquiry / Complaint quality management system if
/ Nonconformity Handling. applicable.
4. Control of Records
(ISO 14001:2004 4.5.4 Control of Records)
Environmental records are required to demonstrate conformity to the requirements of
your EMS and show that it is functioning properly. Related documents include:
a) Section 4.5.4 of EMS Manual (EM-01)
b) Environmental Procedure for Control of Records (EP-08)
• Records may include (but are not limited to) If your company has an ISO
those demonstrate your EMS implementation 9001 Quality Management
System in place, this part of
and required by various legal requirements.
EMS can be integrated using
the same procedure with
additional EMS features.
Step 2 : Determine the retention time, location,
responsible personnel, etc.
May maintain your records
electronically for easier
Step 3 : Define the disposal method after the retrieval and access control.
retention time.
5. Internal Audit
(ISO 14001:2004 4.5.5 Internal Audit)
Internal audit should determine a company’s compliance with the ISO 14001 EMS.
Related documents include:
a) Section 4.5.5 of EMS Manual (EM-01)
b) Environmental Procedure for Internal Audit (EP-09)
• Consider the nature of your operations and If your company has an ISO
activities, SEAs / their impacts, results of 9001 Quality Management
System in place, this part of
monitoring processes, results of previous
EMS can be integrated using
audits, etc.. the same procedure with
• Should be at least annually for the whole additional EMS features.
company, can be at once or broken down into
discrete elements for more frequent audits
Audits should
Focus on objective
Step 2 : Appoint Auditors evidence of conformity
• Select and train auditors (at least 2 auditors) Review identified problems
Assess how well your
• Auditors should be independent of the
system operates
activities being audited.
E. Act
“Act” means taking actions to continually improve the performance of your EMS.
1. Management Review
(ISO 14001:2004 4.6 Management Review)
Your Management review is an essential portion of the continual improvement of
your company’s EMS. Related document include:
a) Section 4.6 of EMS Manual (EM-01)
• Requires that meeting minutes record issues The management review may
discussed, decisions made, and action items integrate or make reference to
your existing quality / safety
selected; and should be documented
management system if
appropriately. applicable.
• Ensures that someone will follow-up the
progress on action items until completion.
Stage 4 : The first stage assessment (FSA) consists of a site tour and
system overview to establish that your EMS relates to your
First Stage
environmental aspects. A detailed plan is provided in
Assessment
advance of the visit and a full report produced on-site,
together with a plan for the certification assessment. Any
nonconformity identified at this stage will require a corrective
action plan.
Stage 5 : The certification assessment, which normally follows
approximately one month after the FSA, is a review of the
Certification
effectiveness of the implemented EMS against ISO 14001
Assessment
Standard and your organisation’s own requirements. A full
report is prepared at the end of the audit. This is reviewed
with you at a closing meeting, and a recommendation for
registration will be made if there is no major nonconformity
found. Where necessary you will be requested to provide a
corrective action and preventive action plan or follow-up visit
before a recommendation is made.
Stage 6 : If satisfactory, an independent review will be conducted on
the report. Following a satisfactory review, CB will award
Award
certification. Certificates are valid for three years, subject to
Certification
satisfactory surveillance visits.
Step 7 : Following certification, routine surveillance is carried out on a
six to twelve month basis. The final visit in the certification
Surveillance Visit
cycle is termed a renewal visit.
Step 8 : A recommendation is made from this review on certificate
renewal, together with any adjustment required to the
Renewal
ongoing surveillance plan. The renewal package is then
Assessment
reviewed independently and if satisfactory, certification is
renewed for another three-year period.
Enquiry
Complete Questionnaire
Proposal
Document Review
Certification Assessment
Yes
No
Corrective Actions Major Nonconformity?
Follow Up No
Certificate Awarded
Surveillance Assessment
(every six months or annually)
Renewal Assessment
(every 3 years)