Chapter
I
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|
ISO
14001 EMS Support Package for SMEs
|
A.
What is this Package?
B.
Who should read what in this package?
C.
How is this manual structured?
D.
How to use this support package?
E.
General tips for using the Generic ISO 14001 EMS Templates
F.
What is an Environmental Management System?
I. |
ISO 14001 EMS SUPPORT PACKAGE FOR SMEs |
More and
more companies are implementing Environmental Management
Systems (EMS) to reduce their environmental impacts, improve
their efficiency, comply with legislation and demonstrate to
clients their commitment to environmental protection. Many
companies have chosen to obtain independent certification of
their EMS to the international standard ISO 14001[1]. Due to
copyright laws, the ISO 14001 Standard could not be provided
in this package. Meanwhile, the ISO 14001 could be purchased
through various sources[2] .
[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 (www.itc.gov.hk/en/quality/psis/sales.htm),
local certification body agencies, or online purchasing
through ISO (www.iso.ch).
The Business Environment
Council and Environmental Protection Department, HKSAR have
developed a Small and Medium Enterprises (SMEs) support
package for ISO 14001 EMS implementation, in order to
:
|
1) |
Provide assistance to local SMEs (with manufacturing
activities in Hong Kong and/or in Shenzhen) to stay
competitive in the environmentally-conscious world business
market; |
2) |
Help the local SMEs to get prepared for future supply
chain pressure in ISO 14001 EMS; and |
3) |
Enhance the environmental performance of local
SMEs |
|
|
This EMS
support package is designed to help local SMEs to implement an
effective EMS. The support package, provided in English and
Chinese, comprises
|
![](um_main_files/green_leaf.gif) |
Generic
ISO 14001 EMS Templates - to be used as
a basis of an EMS by companies, which can tailor them to suit
their specific needs.
|
![](um_main_files/green_leaf.gif) |
User Manual -
with easy-to-use guidance on how to apply the Generic ISO
14001 EMS Templates in your company and work progressively
towards successful EMS implementation.
|
![](um_main_files/green_leaf.gif) |
Practical Examples of ISO
14001 EMS - with practical document examples
and procedures for typical companies in the electrical /
electronic sector for further guidance.
|
This
User Manual and Generic ISO 14001 EMS Templates are designed
to be of assistance to any SME in any sector. Additional
Practical Examples of ISO 14001 EMS are also provided for SMEs
in various trades of the electrical / electronic sector. The trades covered by the Practical
Examples of ISO 14001 EMS are listed in Table
1.
|
Table 1. List of Trades Provided with Practical
Examples of ISO 14001 EMS in this Support
Package.
|
Trade
|
Document
Examples
|
Location
|
Electroplating
for watch cases and belts
|
Case
1 - Hong
Kong Green Electroplating Company
|
Hong
Kong
|
PCB
for computers, telecom equipment, automotive and
industrial control
|
Case
2 - Hong
Kong Green Printed Circuit Board Company
|
Hong
Kong
|
Manufacture
of electronic calculators
|
Case
3 - Hong
Kong Green Electronics Assembly Company
|
Hong
Kong
|
Manufacturing of electrical shaver and vacuum cleaner
|
Case
4 - Hong Kong Environmental
Electrical Appliance Company
|
Hong
Kong
|
Electroplating
for screws and metal parts
|
Case
5 - Shenzhen
Environmental Electroplating Company
|
Hong
Kong / Shenzhen
|
Manufacture
of PCB for mobile phones
|
Case
6 - Shenzhen
Environmental Printed Circuit Board Company
|
Hong
Kong / Shenzhen
|
Manufacturing
of photocopying machines
|
Case
7 - Shenzhen
Environmental Assembly Company
|
Hong
Kong / Shenzhen
|
Manufacturing
of home appliances
|
Case
8 - Shenzhen
Environmental Electrical Appliance Company
|
Hong
Kong / Shenzhen
|
|
B. Who should
read what in this package? |
An
effective EMS requires the involvement of all staff in your
organisation, from top management to the workshop floor.
Although an "EMS Manager" or "Coordinator" will be nominated
to take day-to-day responsibility, other staff will be
involved in various ways. Different parts of this support
package should be read by the relevant people as follows
:
Responsibility
|
Which
part to read
|
What
will you learn
|
Top
Management
|
User
Manual (Introduction, and sections on
policy and EMS manual)
|
• |
General perspectives on ISO 14001
|
• |
The resources needed for a successful EMS
|
|
EMS
Manager / Coordinator
|
This
User Manual,
the Generic ISO 14001 EMS
Templates, and Practical
Examples of ISO 14001 EMS
|
• |
How to develop tailored EMS documentation
|
• |
How to implement an effective EMS
|
• |
How to achieve ISO 14001 certification or self-declaration
|
|
Department
Heads
|
User
Manual and
Practical Examples of ISO 14001 EMS
|
• |
How your functions need to support the EMS
|
|
Frontline
Staff
|
Practical
Examples of ISO 14001 EMS
|
• |
The environmental impacts related to your daily working activities, and how they can be controlled.
|
|
|
C. How is
this manual structured? |
Section
I : ISO 14001 EMS Support Package for SMEs
|
Describes
this package and how it should be used. Summarises ISO 14001
EMS concepts, with an overview of the development and
implementation approach.
|
Section
II : EMS Planning
|
Describes
the process for planning an EMS, including guidance on how to
undertake an "Initial Environmental Review" as the first
step.
|
Section
III : EMS Development and Implementation
|
Provides
detailed guidance on how each element of the EMS should be
designed and documented, and describes how to use the Generic
ISO 14001 EMS Templates to develop and implement your
own EMS.
|
Section
IV : ISO 14001 EMS Certification Process
|
Explains
the general ISO 14001 certification process and steps involved
leading to ISO 14001 certification.
|
D. How
to use this support package? |
This
support package provides practical help in developing your EMS
using the following steps :
1) |
Work through this step-by-step User Manual and
Generic ISO 14001 EMS Templates to see what documents
and resources are required |
2) |
Review the Practical Examples of ISO 14001 EMS to
see how an effective EMS is implemented in a typical
company similar to yours |
3)
|
Create your own EMS documents based on the
Generic ISO 14001 EMS Templates |
4)
|
Launch your EMS within your company and check
compliance of its implementation against the ISO 14001
requirements |
5)
|
Apply for ISO 14001 certification if your
management decide to pursue, or make a self-declaration
without third party
assessment. |
Linkages to download relevant
documents and helpful websites are underlined in blue colour.
For instance, the link to relevant Generic ISO 14001 EMS
Templates and Practical Examples of ISO 14001 EMS are
indicated as Download (Template)
Download (Sample 1, 2, 3, 4, 5, 6, 7, 8).
|
Sample Case Index |
|
Case 1 - Hong Kong Green
Electroplating Company (HKGEC) |
|
Case 2 - Hong Kong Green
Printed Circuit Board Company (HKGPCB) |
|
Case 3 - Hong Kong Green
Electronics Assembly Company (HKGEAC) |
|
Case 4 - Hong Kong
Environmental Electrical Appliance Company (HKEEA) |
|
Case 5 - Shenzhen Environmental
Electroplating Company (SEEC) |
|
Case 6 - Shenzhen Environmental
Printed Circuit Board Company (SZEPCB) |
|
Case 7 - Shenzhen Environmental
Assembly Company (SEAC) |
|
Case 8 - Shenzhen Environmental
Electrical Appliance Company (SEEA) |
|
|
Helpful tips are provided throughout this
User Manual to give some handy and practical hints on
developing and implementing a successful EMS within your
company.
Case specific information in Practical
Examples of ISO 14001 EMS is highlighted in red colour to help you creating your EMS
documents.
|
E. General
tips for the Generic ISO 14001 EMS Templates |
The
following are some general tips for
using the Generic ISO 14001 EMS Templates to create your own
EMS:
|
![](um_main_files/green_leaf.gif) |
Replace COMPANY NAME
with your company's name in all of the Generic ISO 14001 EMS
Templates. |
![](um_main_files/green_leaf.gif) |
(Italicised) words in brackets are hints
for the information specific to your company that should be
inserted in that section. |
![](um_main_files/green_leaf.gif) |
Italicised words highlighted in
purple colour show the practices usually adopted by your
industry, but can be changed to reflect your company's culture
and practices. |
![](um_main_files/green_leaf.gif) |
Document
number is highlighted in
green colour for easy reference and can be amended to your
company's preferred numbering system. |
|
The Generic ISO
14001 EMS Templates are developed based on the ISO 14001:2004
which is the second edition and issued on 15 November 2004.
|
|
Since ISO
14001 shares common management system principles with the ISO
9001 Quality Management System (QMS) standard, your company
may select to use its existing ISO 9001 as the basis for its
EMS. You can integrate new EMS features into relevant QMS
procedures already in
place.
|
F. What is an
Environmental Management System |
An
Environmental Management System (EMS) is a continual business
cycle of planning, implementing, reviewing and improving the
processes and actions that your company undertakes to meet its
environmental obligations and continually improve its
environmental performance. An effective EMS is developed on
"Plan, Do, Check, Act" (PDCA) model
which embodies the concept of continual improvement.
Figure 1. "Plan, Do, Check, Act"
model
![Figure 1. "Plan, Do, Check, Act" model Figure 1. "Plan, Do, Check, Act" model](images/pdcacycle.jpg)
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b) The Evolution of ISO 14001
ISO 14001 EMS
standard was first published in 1996 and has been technically
revised in 2004, the second edition ISO 14001:2004, issued on
15 November 2004, cancels and replaces the first edition ISO
14001:1996. This EMS standard is adopted worldwide by
organisations for certifying ISO 14001 EMS. The standard
was prepared by Technical Committee ISO/TC 207, Environmental
management, subcommittee SC 1, Environmental management
systems. The Generic ISO 14001 EMS Templates provided in
this package are developed based on ISO
14001:2004.
The
comparison between the ISO 14001:1996 standard and ISO
14001:2004 standard is summarised in Appendix
1
to this User Manual. This international standard
is based on the Plan-Do-Check-Act (PDCA) model. The linkage of
the clauses of elements in ISO 14001 Standard with PDCA is
illustrated in the following table.
Table 2. Comparing the PDCA cycle to the ISO
14001:2004 Standard
PDCA
Cycle
|
ISO
14001:2004 Standard
|
|
4.2. |
Environmental Policy |
|
Plan
|
|
4.3.1. |
Environmental Aspects |
|
4.3.2. |
Legal and Other Requirements |
|
4.3.3. |
Objectives, Targets and Programme(s) |
|
Do
|
4.4. |
Implementation and Operation |
|
4.4.1. |
Resources, Roles, Responsibility and Authority |
|
4.4.2. |
Competence, Training and Awareness |
|
|
|
4.4.5. |
Control of Documents |
|
4.4.6. |
Operational Control |
|
4.4.7. |
Emergency Preparedness and Response |
|
Check
|
|
4.5.1. |
Monitoring and Measurement |
|
4.5.2. |
Evaluation of Compliance |
|
4.5.3. |
Nonconformity, Corrective Action and Preventive Action |
|
4.5.4. |
Control of Records |
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|
Act
|
|
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2. Approach to EMS Development and
Implementation
This support package
recommends the four-step "PDCA" approach to implementing an
EMS, since this is the approach taken by most ISO 14001
certified companies. When an EMS is to be initially set-up,
two preparatory steps (initial planning and management
commitment) are also recommended as shown in Figure
3.
Although these steps are not mandatory requirements
under ISO 14001, these steps are useful to facilitate the
development and implementation of the EMS in accordance with
the ISO 14001.
Figure 3. Approach to EMS Development
and Implementation
![Figure 3 Approach to EMS Development and Implementation: Preparation (initial EMS Planning and Management Commitment)→Plan→Do→Check→Act Figure 3 Approach to EMS Development and Implementation: Preparation (initial EMS Planning and Management Commitment)→Plan→Do→Check→Act](images/emsapproach.jpg)
- Preparation
Initial EMS Planning *
- Preparation
Management
Commitment
- Phase I
Plan
- Phase II
Do
- Phase III
Check
- Phase IV
Act
|
* 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.
Table
3. Phased EMS Implementation Flow
Approach
|
Tasks
|
Useful Generic ISO 14001 EMS Templates /
Practical
Examples of ISO 14001 EMS
|
Duration
|
Initial
EMS Planning
|
Baseline
assessment
|
Initial
Environmental Review checklist
Gap
analysis report
|
2
weeks
|
Management
Commitment
|
Environmental
Policy
|
2
weeks
|
PLAN
|
Environmental
Aspect (EA) identification
|
Environmental
Aspect Register
|
2
weeks - 1 month
|
Identification
& compliance with legal and other requirements
|
Legal
and other requirements register
|
2
weeks
|
Evaluating
environmental aspects
|
Environmental
aspect identification and evaluation procedure
|
2
weeks - 1 month
|
Developing
Objectives & Targets with Programmes
|
List
of objectives, targets and programmes
|
2
weeks
|
DO
|
Developing
EMS documentation
|
EMS
Manual
EMS
procedures
|
1
month
|
Developing
operational control procedures
|
Operational
control procedures and work instructions
|
1-2
months
|
Implementation
of the EMS
|
Organisation
chart & responsibilities
Training
plan
Training
materials
Guidance
notes for supplier control
Communication
records
Forms
for implementing procedures
|
2-3
months
|
CHECK
|
Checking,
audit
|
Monitoring
plan
Audit
plan
Audit
checklist
Audit
report
Corrective
action & preventive action report
|
1
month
|
ACT
|
Review
|
Management
review report
|
2
weeks
|
|
|
Total
|
8
- 12 months
|
ISO
14001 Certification
|
|
OR
|
|
|
Self-declaration
of ISO 14001 EMS adoption
|
|
|