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"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)

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) : • presents your top management's declaration of its commitment to environmental protection;   • provides the EMS foundation and unified vision of your company's environmental concerns;   • establishes your framework for setting and reviewing environmental objectives and targets;   • should be understood by your staff and communicated externally, especially to persons working for or on behalf of your organization;   • should be signed and dated by your top management.

Helpful Tips : make it related to your products, services, and activities and impacts on the environment include a commitment to continual improvement, prevention of pollution and compliance with applicable legal requirements and with other requirements to which the organisation subscribes which relate to its environmental aspects make it simple and understandable if appropriate, make it integrated with your quality policy / safety policy. Consider addressing the following issues, where practicable : ✔ sustainable development and/or product life cycle ✔ adoption of "green" practices and procedures into design phase ✔ Minimise of pollution, waste, and resource consumption; ✔ Commitment to recovery, recycling and reuse. ✔ Sharing of environmental knowledge with others ✔ Encourage "green" practices in suppliers / contractors

2. EMS Manual

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)


Your EMS manual (EM-01) shall explain how your company's EMS is organised with reference to the requirements of the ISO 14001, which :

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.

0.0	Terms and Definitions
• Terms and definitions included in the Generic ISO 14001 EMS Templates are based on ISO 14001:2004 definitions.		Helpful Tips: These can be modified according to your company's background and culture. For instance, the definition of Environmental Instruction (EI) is not listed in the Generic ISO 14001 EMS Templates, but the company may define their EI as "Documenting instructions for staff to follow in their daily operational activities so that significant environmental aspects will be controlled".
1.0	General
1.1 Company Profile • Provides background information of your company. Describe the nature and products / services of your business.		Helpful Tips: Insert your company information to this section. For example, if you choose to include your quality or safety management system.
1.2 Purpose of this Manual • This section can be modified if the function of the manual is more or less than the Generic ISO 14001 EMS Template.
1.3 Scope of EMS • Clearly defines the coverage of your EMS and the standard (e.g. ISO14001:2004 ) to which your company subscribes. It may include specific function(s) and/or location(s). The scope of EMS shall be documented.
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.
4.0	EMS Requirements
• Detailed description on each requirement under ISO 14001 Standard is presented in Sections B, C and D of Chapter III.
Appendix  A
• This table presents Cross References of the ISO 14001 Requirements with your EMS Manual and Environmental Procedures (EP).		Helpful Tips: Change the EP Ref. No according to your company's own numbering system.
Appendix  B
• This table presents the list of your documents that are controlled by your EMS.		Helpful Tips: Change the list according to your company's document numbering and titles

"Planning" helps you to establish the objectives and processes that are essential for delivering results in accordance with your environmental policy.

1. Environmental Aspect Identification

(ISO 14001:2004  4.3.1 Environmental Aspects)

Identifying and evaluating your environmental aspects (EAs) is fundamental to designing your EMS to control and minimise the environmental impacts arising from your activities, products and services. Related documents include:

Download (Template - EP-01 Identification of Environmental Aspects and Significance Evaluation)
Download (Sample 1, 2,  3,  4,  5,  6,  7,  8)

This environmental procedure helps you to identify and assess the environmental aspects (EAs) that your company can control, and those that it can influence taking into account planned or new developments, or new or modified activities, products and services.

Step 1 : Identify your environmental aspects 1) Use procedure EP-01 to define the responsibility and method of identifying your EAs, and evaluating which EAs are significant environmental aspects (SEAs). 2) Map your company's activities and processes • Production processes, work flow • Office operations • Building facilities maintenance 3) For example, inputs and outputs are :     Inputs Paper Energy Toner More … Copying Outputs Printed Documents Waste Paper Used Toner Cartridges Odours More… 4) Identify the environmental aspects of your activities, products and services that can be controlled and influenced within the scope of the EMS including planned or new developments, or new or modified activities, products and services. Following previous example, the EAs are :   Use of paper Use of energy Use of toner More … Copying Use of resources (paper, energy, toner) Solid waste (waste paper & packaging, used toner cartridges) Odour emissions More… 5) Identify related environmental impacts • Link between aspects and impacts is similar to "cause and effect". Following previous example, the environmental impacts are :   Use of resources (paper, energy, toner) Solid waste (waste paper & packaging, used toner cartridges) Odour emissions More… Copying Depletion of natural resource Occupy landfill space (waste paper) Indoor Air Quality More…

Helpful Tips : The following are typical EAs to be considered : ✔ Air emissions ✔ Water discharges ✔ Solid and hazardous wastes ✔ Noise and vibration ✔ Energy use ✔ Contamination of land ✔ Raw material and resource use (water, energy, etc.) ✔ Local issues (e.g. noise, odour, dust, traffic, etc.) ✔ Hazardous material storage and handling Hazardous material storage and handling ✔ Habitat disturbance ✔ Potential fire Remember to look at services as well as products, on-site and off-site operations, activities that you may control and have influence. EAs can be positive (e.g. waste recycling) or negative (e.g. toxic waste generated) EAs may result from your past activities and emergency situations. EAs should be identified comprehensively and reviewed regularly to ensure that they are still appropriate (e.g. planned or new developments, or new or modified activities, products and services Refer to the Practical Examples of ISO 14001 EMS of EA Registers for more details.

Figure 5. Workflow of Environmental Aspect Identification and Evaluation

Step 3 :  Documentation

The Register of Environmental Aspects compiles the environmental aspects derived from your activities, products and services. The register also denotes the significance of your environmental aspects and your respective operational controls for significant aspects.

How to use Generic ISO 14001 EMS Template EAR-01? 1) Activities • Each excel sheet represents a common business activity in your company, these may include: office, facility maintenance, each production process, warehouse, etc. 2) Column A : Ref Number • Define a reference number for each EA identified for easy reference. • Numbering format can be OF-01 for office, CA-01 for car-using activities, etc. 3) Column B : Environmental Aspects • List the EAs identified for each activity (e.g. use of chemicals). 4) Column C-I : Potential environmental impacts • Place "x" to mark the environmental impacts that may be generated from such aspect (e.g. air, water, etc). 5) Column J-M : Evaluation of Significance • Based on the criteria and evaluation method defined in EP-01, mark either "1" or "0" as a score for significance. 6) Column N : SEA • Place "Y" if the environmental aspect is evaluated to be a Significant Environmental Aspect (SEA); otherwise place "N". 7) Column O : Operational Control / O&T reference • You will need to have an operational control for all of your SEAs. You can implement your operational controls either through environmental procedures / instructions (EP / EI) or setting environmental objectives and targets (O&T). 8) Reviewed and Approved signatures • To be signed by responsible personnel (e.g. Top Management, Environmental Management Representative (EMR), etc.) based on what you have defined in the roles and responsibility (refer to Section C1) and control of documents (refer to Section C5). ISO 14001 does not specify the format of Registers of Environmental Aspects, the companies can decide their own format to present information.

Helpful Tips :   For some cumulative environmental aspects such as use of electricity, water consumption, etc. which can be controlled by single operational measure, they can be singled out in a separate excel table for easier reference. For instance, "Use of electricity" is a cumulative EA and its impact shall be controlled by "EI-08 Resource Conservation" which includes some best practices for energy saving. Company may maintain a single register for all activities of the corporation; or maintain separate registers for corporate level / site level /, department level / project level, etc. Additional column is found in Practical Examples of ISO 14001 EMS in this package for easy cross reference of legally regulated EAs with the relevant legislation in LR-01.

Identifying and complying with applicable legal requirements and other  requirements to which the organization subscribes related to its environmental aspects is a key to the success of your EMS. This includes all relevant regulations (local and international, particularly if you deal with overseas clients) and other self-imposed requirements (e.g. codes of practice, client requirements, etc.).  Related documents include:

a) Legal and Other Requirements in EMS Manual (EM-01 Section 4.3.2)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS manual: • Describes how you identify and update your relevant legal and other requirements.

Helpful Tips: You can modify the approach for identifying your legal and other requirements. However, make sure that your approach is systematic and comprehensive.

Download (Template - EP-02 Review of Legal and Other Requirements) Download (Sample 1, 2, 3, 4, 5, 6, 7, 8)

This environmental procedure is established, implemented and maintained by your company to identify, have access to and understand all legal and other requirements relevant to the environmental aspects of your activities. Legal and other requirements include but are not limited to : 1) Legal requirements - Ordinances, Regulations 2) Other requirements - voluntary principles or codes of practice, non-regulatory guidelines, technical circulars, company-specific codes, contract requirements, etc.

Step 1 : Identify requirements   • Generic ISO 14001 EMS Template LR-01 presents a general framework for your reference to develop the register of legal and other requirements tailored for your business nature and operations.   • The procedure describes how your company identifies the requirements of these regulations and their applicability.   • The procedure describes how you plan to comply with relevant requirements and maintain records as requested.   Step 2 : Access and communicate   • 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.

Helpful Tips: Environmental Regulations in Hong Kong - Websites of Environmental Protection Department www.epd.gov.hk and Bilingual Laws Information System of HKSAR Government www.legislation.gov.hk provides updated statutory environmental information in Hong Kong for public access. Other relevant business / contract requirements will also need to be identified.

Download (Template - LR-01 Register of Legal and Other Requirements)
Download (Sample 1, 2, 3, 4, 5, 6, 7, 8)

This register compiles the legal and other requirements (legislation, codes of practice, regulatory and non-regulatory guidelines, contract requirements, etc.) that are applicable to your company.

How to use Generic ISO 14001 EMS Template LR-01?   • Review each regulation in Practical Examples of ISO 14001 EMS to determine its applicability to your company.   • Determine if the regulation is applied to your company directly, and/or to the responsibility of your contractors / suppliers.   • Define the area of applicability of specific regulations. For example, Air Pollution Control (Motor Vehicle Fuel) Regulation is applied to vehicles owned by your company or contractors.   • Review the documents listed under "Licenses / Compliance Records Required" which demonstrates your legal compliance status to particular regulation, or conformity to other requirements to which the organization subscribes related to its environmental aspects, and ensure that this list is updated accordingly.   • Refer to Practical Examples of ISO 14001 EMS for easy reference.

Helpful Tips: Define clear responsibility to maintain and provide regular update for your Register of Legal and Other Requirements. Additional column is found in Practical Examples of ISO 14001 EMS in this package for easy cross-reference of environmental legislation with the relevant Environmental Aspects in EAR-01.

3. Objectives, Targets and Programme(s)

(ISO 14001:2004  4.3.3 Objectives, Targets and Programme(s))

Objectives, targets and programmes (O&T) are one way in which your EMS can control your significant environmental aspects and impacts. (The other is through operation controls, described in Section C6.) Related documents include:

To comply with ISO 14001 you need to : • Describe the responsibility and mechanism to establish, review and monitor the environmental objectives, which are ways to demonstrate continual improvement. • Also describe the responsibility and mechanism to establish programme to achieve objectives. • Objectives and targets are required to be measurable where practicable • Objectives and targets must be consistent with the commitment to compliance with legal and other requirements and continual improvement

Helpful Tips: It can be modified based on company's preference. Use O&T when it is possible to improve performance; Use Operational Controls (EIs) when it is not possible to improve at this time, but the aspect still needs to be managed. You can modify the approach to identifying your objectives, targets and programmes. However, make sure that your approach is systematic and comprehensive.

a) Objectives, Targets and Programmes in EMS Manual (EM-01 Section 4.3.3 and O&T-YYYY)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)
Download (Template - O&T-YYYY Objectives, Targets and Programmes)
Download (Sample 1, 2, 3, 4, 5,  6, 7, 8)

This section of your EMS manual describes how you establish and review your objectives, targets and programmes.

How to develop and maintain your O&T? 1) Your O&Ts should be developed by the people in the functional area involved, since they will be best positioned to establish, plan for, and achieve these goals. 2) Areas to consider in developing O&T • SEAs identified in processes and activities (e.g. reduce waste, prevent pollution, conserve resources, product design), • regulatory requirements, • communications with interested parties (neighbours, staff, community group, same business sectors, contractors / suppliers) 3) Communicate O&Ts and their progress across your company.

Helpful Tips: Objective should be specific, and targets should be measurable, where practicable. Be flexible in your objectives, and keep them simple. Allow the responsible staff to determine how to achieve the O&T. Factors to consider while developing O&T : ✔ Reasonable, realistic ✔ Technologically feasible ✔ Consistent with company's policy ✔ Affordable Operational staff can be the best candidates to propose O&Ts as they will be eventually responsible for performance.

How to develop and maintain your Programme? 1)      Define : • Responsibilities for achieving goals • Means for achieving goals • Time frame for achieving those goals 2)      Modify your program if : • O&Ts are modified or added; • Relevant legal requirements are introduced or changed; • Major progress in achieving your O&T has been made (or has not been made); or • Your products, services processes, or facilities change or other issues arise.

Helpful Tips: Build on plans and programs that are existing for other management systems. Keep it simple and focus on continual improvement of the program over time. Communicate expectations of the EMS and O&T together with the responsibilities to those individuals who can affect environmental aspects. Cost savings can be achieved through the coordination between Programme and other managements programmes

How to use Generic ISO 14001 EMS Template O&T-YYYY? 1) Numbering • Assign a number for each Objective for easy reference. 2) Relevance to Environmental Policy • Indicate how the specific Objective is linked to your company's Environmental policy 3) Objective • A simple description on your objective. 4) Target • A brief explanation on the measurable target(s). 5) Programme • A concise action plan on how to achieve each Target. 6) Responsible Staff • The responsible personnel for achieving each target. 7) Start Date / End Date • The time frame for achieving each target. 8) Actual Results • To report the progress in achieving individual targets.

Helpful Tips: Refer to the Practical Examples of ISO 14001 EMS to develop your own O&Ts It is not a "must" to develop your O&T with direct association with your policy, but a reference to demonstrate the connection between your O&T in line with your policy More than one target can be involved to achieve an Objective. Develop your SMART O&T: ✔ S - Specific ✔ M - Measurable ✔ A - Achievable ✔ R - Realistic ✔ T - Time-bound

The goal of "Do" is implementing the processes identified during "Plan" phase.

1. Resources, Roles, Responsibility and Authority

(ISO 14001:2004  4.4.1 Resources, Roles, Responsibility and Authority)

Management shall ensure the availability of resources essential to establish, maintain and improve the EMS. Resources include human resources and specialized skills, organizational infrastructure, technology and financial resources. All staff in your company should clearly understand their environmental roles and responsibilities, as well as understand the importance of the environmental objectives and targets that they can affect. Related documents include:

a) Section 3.1, 3.2, and 4.4.1 of EMS Manual (EM-01)   To comply with ISO 14001 you need to : • Ensure the availability of enough resources for the implementation of EMS • Define and communicate EMS job responsibilities and authorities. • Nominate an Environmental Management Representative (EMR) and deputy for your company. • Refer to Generic ISO 14001 EMS Template EM-01 Section 3 for more detailed requirements.

Helpful Tips: Be flexible in your organisation structure. Communicate to people what their roles are.

a) Organisation Chart in EMS Manual (EM-01 Section 3.1)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This part of your EMS Manual : • Presents your Company Organisational Chart which clearly define the EMS organisation structure. • Identifies major staff and their role in EMS development and implementation.

Helpful Tips: Insert your company information into this section. The structure shall be as flexible as possible, while ensuring that it is comprehensive.

b) Responsibility in EMS Manual (EM-01 Section 3.2)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This part of your EMS Manual : • Defines the duty and responsibility of each responsible personnel under EMS. • Defines which position is your Top Management (e.g. Chief Executive Director), EMR (e.g. Environmental Manager), DEMR (e.g. Administration Manager), and member of your EMS Committee (e.g. all departmental managers, safety officer). • Defines the members involved in management review and the period of the management review. Job descriptions provided in the Generic ISO 14001 EMS Templates can be changed according to your preference.

Helpful Tips: Responsibilities may combine both environmental functions and others, such as quality, safety functions.

c) Resources, Roles, Responsibility and Authority in EMS Manual (EM-01 Section 4.4.1)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This part of your EMS Manual describes how your company determine the resources  (e.g. finance, staff), organisational roles, and personnel responsibility for your EMS. It is very important to clearly define as they relate to the achievement of environmental objectives and targets, and the overall operation of the EMS.

Helpful Tips: Communicate the EMR's roles and responsibilities to all staff.

The ultimate goal of training is to explain the importance of the EMS to staff and persons working on behalf of the organization and to explain their responsibilities for EMS operations. The organisation will need to ensure that all people performing tasks for or on behalf of the organisation, which includes contractors, sub-contractors, temporary staff and remote workers, have had an appropriate assessment for their potential to cause a significant environmental impact and the associated competence required. Related documents include:

a)    Section 4.4.2 of EMS Manual (EM-01)

b)    Environmental Procedure for Training (EP-03)

a) Competence, Training and Awareness in EMS Manual (EM-01 Section 4.4.2)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This part of your EMS Manual describes how you identify the training needs of your staff and persons working on behalf of the organization (e.g. contractors) , and plan and evaluate training effectiveness  regarding EMS and related matters.

Helpful Tips: It can be modified based on company's preference. You can modify the approach to identify your training. However, make sure that your approach is systematic and comprehensive.

b) Procedure for Training (EP-03)

Download (Template - EP-03 Training)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

Every staff and function in your company has a role to play in your EMS. Every person working for or on behalf of your company can has potential impacts on the environment and can also suggest ideas to improve the environmental performance of your company. Therefore, competency for key roles should be established and appropriate training provided to ensure the performance of your EMS. Competence is also based on a combination of education, training, and experience; and the associated record shall be retained. The training provided to each person in your company should include the following : 1) Environmental policy, 2) Significant environmental aspects and impacts of their work activities, 3) Key EMS roles and responsibilities, 4) Procedures that are applicable to their work, and 5) The importance of conformity with EMS requirements.

Helpful Tips: When to train? ✔ New or changed environmental regulations ✔ New or changed EMS aspects / O&T / procedures / process ✔ Corrective action records the failure to follow instructions ✔ New employee hire ✔ Unacceptable performance Establish competency for various key tasks clearly.

Step 1 : Identify training needs and requirements   • Review your existing training programmes. Other training (e.g. safety) may also satisfy the EMS requirements.   • Consider both general and specific needs   • Develop an EMS training package for new employee orientation   • Review the qualifications and training needs of your trainers (both internal and external).	Helpful Tips: Don't forget to consider the training needs for temporary or contract staff, contractors and/or suppliers. Develop other "job-aids" (e.g. posted guidelines on site) as a supplement for establishing competency. If your company has an ISO 9001 Quality Management System in place, this part of EMS can be integrated using the same procedure with additional EMS features.
Step 2 : Training   • Identify training needs and prepare training plan according to the training procedure (EP-03).   • Develop your EMS training materials.   • Train your EMS core team members on EMS requirements.   • Conduct EMS awareness training with all staff to ensure them to be aware of environmental policy, objectives, relevant significant environmental aspects, EMS responsibilities and emergency procedures, etc. as appropriate.   • Conduct EMS job specific training to ensure relevant staff understand the identification and control of significant environmental aspects (SEAs) (EP-01).	Helpful Tips : keeping records Refer to the Generic ISO 14001 EMS Templates and Practical Examples of ISO 14001 EMS for the followings : Training plan Training attendance records

(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) Communication in EMS Manual (EM-01 Section 4.4.3)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS Manual :

	• Describes the communication channels for environmental issues in your company. • Highlights how effective two-way internal and external communication promotes environmental awareness. • Sets out your handling procedures for any enquiry or complaints (internal or external) which are related to the environmental procedure EP-07 Enquiry / Complaint / Nonconformity Handling. • If your company decides to communicate externally about yours significant aspects, it shall establish a method(s) for this external communication.	Helpful Tips: Identify your key audiences (for internal and external) and develop a communication mechanism(s) with individual groups of audiences. Make use of existing communication channel such as : Internal methods (newsletters, intranet, staff meetings, daily briefing sessions, notice boards, training, etc..), external methods (website / e-newsletter, annual reports, progress meetings, informal discussions, etc..)
How to initiate the communication?   • Hold EMS committee meetings with core team members to communicate EMS organisation and individual responsibilities, and establish EMS implementation plan.   • Define the Effective Date for the EMS implementation and announce the kick-off of the EMS.   • Distribute the EMS documents to relevant staff (refer to Control of Documents EP-04).		Helpful Tips : keeping records Records include ✔ Organisation chart and documented responsibilities, EMS committee member list, meeting minutes ✔ Memo / minutes to announce the EMS effective date ✔ Document distribution records, etc.

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 :

a) Documentation in EMS Manual (EM-01 Section 4.4.4)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS manual describes the EMS documentation structure and how the pieces fit together.

Helpful Tips: The documentation structure may refer to your existing quality / safety management system if in place.

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)

a) Control of Documents in EMS Manual (EM-01 Section 4.4.5)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS manual : • Describes the requirements on control mechanism on your EMS documents to ensure that everyone works with the right tools. • Links to procedure EP-04 Control of Documents.

Helpful Tips: Your control of documents may integrate or make reference to your existing quality management system if applicable.

b) Procedure for Control of Documents (EP-04)

Download (Template - EP-04 Control of Documents)
Download (Sample 1,  2,  3,  4,  5,  6,  7, 8)

This procedure ensures that each person in your company is working with the proper EMS documents. The procedure presents how your company :

• Reviews existing document control system, modify it to adopt EMS elements for easier development. • Numbers EMS documents, and assigns the designated personnel for approval and review (specific documents should be revised accordingly under your company's culture). • Highlights changes on any revised documents for easier understanding of other readers.

Helpful Tips: Suggested elements of document control: ✔ Issue / revision / effective date ✔ Approval (i.e. signature) ✔ Revision number ✔ Document number ✔ Copy number ✔ Cross-references Limited distribution of documents can make job easier. Maintain EMS documents electronically for ease of updating and controlling, if feasible. If your company has an ISO 9001 Quality Management System in place, this part of your EMS can be integrated using the same procedure with additional EMS features.

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)

a) Operational Control in EMS Manual (EM-01 Section 4.4.6)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS Manual describes how your EMS : • Builds environmental performance into your operations and activities. • Manages your company's Significant Environmental Aspects (SEAs), ensures legal compliance and conformity to other relevant environmental requirements, and achieves environmental objectives. • Links to Environmental Instructions (EI-XX) for controlling your SEAs.

Helpful Tips: Develop controls based on your existing procedures / instructions. Consider proper controls on your suppliers / contractors and their effects on your environmental performance.

b) Operational Control - Environmental Instructions (EI-xx)

Download (Template - Environmental Instructions)
Download (Sample)

Your EMS will consist of several different procedures which can help your company to manage its SEAs, ensure regulatory compliance and achieve environmental objectives. Determining which operations should be covered by documented procedures and how those operations should be controlled is a key step in developing an effective EMS. In determining which operations / activities need to be controlled, look beyond routine production or service. Activities such as equipment maintenance, management of on-site contractors, and services provided by suppliers or vendors could also affect the environmental performance of your company.
How to develop your EI?   • Step 1 : identify operations and other activities that are related to SEAs and/or legal requirements   • Step 2 : define the controls implemented at certain processes of each operation / activity.   • Step 3 : draft the instructions and review them with the people who are responsible for their implementation to ensure these instructions are appropriate, realistic and practical.   The following Generic ISO 14001 EMS Template documents are included in this package to provide some direction on developing your EI. For more details on individual EIs, you may refer to the practical samples : 1) Environmental Office Practices (EI-01) 2) Green Procurement (EI-02) 3) Environmental Practices for Using Company's Car (EI-03) 4) Waste Management (EI-04) 5) Air Pollution Control (EI-05) 6) Water Pollution Control (EI-06) 7) Noise Pollution Control (EI-07) 8) Resource Conservation (EI-08) 9) Handling and Storage of Chemicals (EI-09)	Helpful Tips: Activities that might require operational controls : ✔ Management / disposal of wastes ✔ Approval of new chemicals ✔ Storage & handling of raw materials and chemicals ✔ Equipment servicing ✔ Wastewater treatment ✔ Operation of plant / equipment ✔ Management of contractors Understand existing processes and build on informal procedures with a flow chart. Focus on steps needed for consistent implementation Review draft procedures with employees that will have to implement them. Keep procedures simple and concise. Ensure employees are trained on these procedures.
How to Implement your EPs, EIs, O&Ts?   • Implement your EMS procedures (EPs), instructions (EIs) and programmes (O&T-XXXX) to control SEAs, for example : ▪ green office practices ▪ green purchasing ▪ waste handling, storage and disposal ▪ air, noise, water pollution control ▪ chemical handling and storage ▪ material conservation and good housekeeping ▪ energy saving program • Implement emergency procedures, conduct drills and maintain preventive measures, etc., using EP-05 Environmental Emergency Preparedness and Response. • Communicate with suppliers, contractors and interested parties related to your environmental policy and relevant EMS requirements as necessary, and assess their environmental performance (e.g. through questionnaire surveys or site visits).	Helpful Tips : keeping records Records arising from operational control procedures, e.g. ✔ waste disposal / recycling records, ✔ wastewater treatment plant operation records, ✔ purchasing records, ✔ inspection records, etc. Records arsing from emergency procedures, e.g. ✔ fire drill records, ✔ fire facilities inspection ✔ accident reports, etc. Communication records, guidance notes for supplier control, etc. (refer to Generic ISO 14001 EMS Templates and Practical Examples of ISO 14001 EMS for above records)

7. Emergency Preparedness and Response
(ISO 14001:2004  4.4.7 Emergency Preparedness and Response)

You will need to implement emergency preparation and procedures to respond to unplanned events in order to mitigate, reduce, and/or eliminate the environmental health and safety impacts. Related documents include:

a) Emergency Preparedness and Response in EMS Manual (EM-01 Section 4.4.7)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

b) Procedure for Environmental Emergency Preparedness and Response (EP-05)

Download (Template -  EP-05 Environmental Emergency Preparedness and Response)
Download (Sample 1, 2, 3, 4, 5, 6, 7, 8)

This environmental procedure sets out how effective preparation and response will help your company reduce injuries, prevent or minimise environmental impacts, protect employees and neighbours, reduce asset losses and minimise downtime.

Step 1 : Identify potential accidents and emergencies, for example   • Fire   • Chemical spillage   • Flooding   • Shutdown (e.g. wastewater treatment plant)   Step 2 : Mitigate the impacts of these incidents.   • Use the Generic ISO 14001 EMS Template EP-05 as a basis to define appropriate mitigation measures for all the potential incidents identified.   • Define mock drills requirements wherever practicable.   Step 3 : Communicate relevant procedure with everyone in your company   • Include contractors / suppliers and visitors

Helpful Tips: Post copies of the emergency plan around the site with phone numbers for on-site emergency coordinator / fire officers and local fire department, local police, hospital, and others as appropriate. Integrate your existing safety plan to include environmental issues.

"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.

1. Monitoring and Measurement

(ISO 14001:2004  4.5.1 Monitoring and Measurement)

Measuring and monitoring is required to ensure that the EMS objectives and targets are being achieved, and the significant environmental aspects are being controlled. Related documents include:

a) Monitoring and Measurement in EMS Manual (EM-01 Section 4.5.1)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS Manual :

b) Procedure for Environmental Monitoring and Evaluation of Compliance (EP-06)

Download (Template - EP-06 Environmental Monitoring and Evaluation of Compliance)
Download (Sample 1,  2,  3, 4, 5, 6, 7, 8)

Monitoring and measurement help to evaluate your environmental performance, analyse the root causes of problems, assess compliance with legal requirements, identify areas requiring corrective action, and improve performance and efficiency.

Step 1 : Identify your needs   •  Define what kind of information is meaningful and should be collected. For instance :   - key process characteristics - regulatory compliance - operational performance (effectiveness of operational controls of SEA) - progress on meeting objectives •  Determine if current systems are sufficient, and identify any additional monitoring or measurement if needed.   Step 3 : Develop measurement programmes   • Ensure your programmes are simple, flexible, consistent, ongoing, produce reliable data and communicate results.   • Ensure that calibrated monitoring equipment is used and maintained.   Step 4 : Monitoring and Checking   • Establish environmental management plan according to procedure EP-06.   • Carry out monitoring to ensure legal compliance, achievement of objectives and effective operational control.   • Implement corrective action and preventive action when nonconformity are identified during monitoring or operation. (Refer to EP-07).   Step 5 : Communicating performance Provide relevant monitoring results to staff will raise their awareness on your company's environmental performance.

Helpful Tips: Keep monitoring requirements limited to KEY process characteristics. Procedure to calibrate your equipment which truly affects your environmental performance is required. Use the Generic ISO 14001 EMS Template for the environmental monitoring plan to establish your environmental monitoring programmes. Monitoring frequency and parameters should be defined based on legal requirements, company objectives and procedure requirements, wherever applicable. Helpful Tips : keeping records: Environmental monitoring plan Maintain permits and monitoring records, e.g. ✔ wastewater discharge permit and test reports, ✔ noise monitoring records, ✔ green office inspection records, ✔ electricity consumption records, etc. CAR (corrective action report)

(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.

 Related documents include:

a) Evaluation of Compliance in EMS Manual (EM-01 Section 4.5.2)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS Manual :   • Describes the mechanism on the regular legal compliance evaluation (section 4.5.2.1) and evaluate compliance with other requirements (section 4.5.2.2) to which your company subscribes.   • Links to procedure EP-06 Environmental Monitoring and Evaluation of Compliance (refer to Section D1b).

Helpful Tips: You may choose to integrate or make reference to the elements with your existing quality management system if applicable. You can modify the approach for evaluation of compliance. However, make sure that your approach is systematic and comprehensive.

3. Nonconformity, Corrective Action and Preventive Action

(ISO 14001:2004 4.5.3 Nonconformity, Corrective Action and Preventive Action)

The results of monitoring and measurements, evaluation of compliance, audit findings and other systemic reviews should be documented and reviewed, and must lead to corrective actions which are intended to fix and avoid EMS problems in the future. Related documents include:

a) Nonconformity, Corrective Action and Preventive Action in EMS Manual (EM-01 Section 4.5.3)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS Manual : • Describes how your EMS will fix and avoid problems in the future. • Links to procedure EP-07 Enquiry / Complaint / Nonconformity Handling.

Helpful Tips: Your EMS may choose to integrate or make reference to the element with your existing quality management system if applicable.

b) Procedure for Enquiry / Complaint / Nonconformity Handling (EP-07)

Download (Template - EP-07 Enquiry /Complaint / Nonconformity Handling)
Download (Sample 1,  2, 3, 4,  5,  6,  7,  8) 

The procedure defines how your EMS analyses nonconformities to detect patterns or trends so that the same deficiency can be prevented in the future. Any enquiries or complaints received internally or externally by your company are treated as problems of your company and are also handled by this procedure.
Step 1 :	Define the responsibilities to investigate root causes.	Helpful Tips: If your company has an ISO 9001 Quality Management System in place, this part of your EMS can be integrated using the same procedure with additional EMS features.
Step 2 :	Determine corrective action and preventive action
Step 3 :	Implement action
Step 4 :	Verify the effectiveness.

(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)

a) Control of Records in EMS Manual (EM-01 Section 4.5.4)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS Manual : • Describes the requirements on maintaining records, which are the evidence demonstrating the EMS is working as intended. • Links procedure EP-08 Control of records.

Helpful Tips: Your EMS records may integrate or make reference to your existing quality management system if applicable.

b) Procedure for Control of Records (EP-08)

Download (Template - EP-08 Control of Records)
Download (Sample 1,  2,  3, 4, 5,  6, 7, 8)

Records demonstrate the EMS developed and implemented in your company is effective.
Step 1 : Identify records to be kept •  Records may include (but are not limited to) those demonstrate your EMS implementation and required by various legal requirements. Step 2 : Determine the retention time, location, responsible personnel, etc. Step 3 : Define the disposal method after the retention time.	Helpful Tips: If your company has an ISO 9001 Quality Management System in place, this part of EMS can be integrated using the same procedure with additional EMS features. May maintain your records electronically for easier retrieval and access control.

(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) Internal Audit in EMS Manual (EM-01 Section 4.5.5)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

This section of your EMS Manual :   •  Describes your approach to conducting internal audits to determine the effectiveness of your EMS implementation and conformity to the planned arrangements including ISO 14001 requirements.   •  Links to procedure EP-09 Internal Audit.

Helpful Tips: Internal audits may integrate or make reference to your existing quality management system if applicable.

b) Procedure for Internal EMS Audit (EP-09)

Download (Template - EP-09 Internal Audit)
Download (Sample 1, 2, 3, 4, 5, 6, 7, 8)

A proactive and objective approach identifies and resolves EMS deficiencies. The results of your internal audits should be linked to corrective action and preventive action (EP-08) for continual improvement.

Step 1 : Frequency of the Audit   • Consider the nature of your operations and activities, SEAs / their impacts, results of monitoring processes, results of previous audits, etc..   • Should be at least annually for the whole company, can be at once or broken down into discrete elements for more frequent audits. Step 2 : Appoint Auditors   • Select and train auditors (at least 2 auditors)   • Auditors should be independent of the activities being audited.   Step 3 : Internal Audit   • Select auditing team members and arrange internal auditor training.   • Establish internal audit plan and conduct internal audit according to procedure EP-09.   • Prepare audit report and review audit results to identify areas for improvement.   Step 4 : Audit Results Management • Identify trends or patterns in EMS problems following EP-08.   • Communicate results

Helpful Tips: If your company has an ISO 9001 Quality Management System in place, this part of EMS can be integrated using the same procedure with additional EMS features. Audits should ✔ Focus on objective evidence of conformity ✔ Review identified problems ✔ Assess how well your system operates Helpful Tips : keeping records: If your company has an ISO 9001 Quality Management System in place, this part of EMS can be integrated using the same procedure with additional EMS features. Auditor training certificates Internal audit plan EMS Audit checklist Corrective Action Report Internal audit report (refer to the Generic ISO 14001 EMS Templates and Practical Examples of ISO 14001 EMS for above records)

"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)

a) Management Review in EMS Manual (EM-01 Section 4.6)

Download (Template - EM-01 EMS Manual)
Download (Sample 1,  2,  3,  4,  5,  6, 7,  8)

	This section of your EMS Manual : • Describes the requirements for conducting management review. • Determines the management review frequency (and as the rule of thumb, at least annually). • Requires that meeting minutes record issues discussed, decisions made, and action items selected; and should be documented appropriately. • Ensures that someone will follow-up the progress on action items until completion.	Helpful Tips: Consider your company's structure to define the responsibility and personnel involved in your management review. The management review may integrate or make reference to your existing quality / safety management system if applicable.
Review for Improvement   • Your EMS committee (or EMS core team members) conduct regular meetings to discuss and review the implementation of EMS and areas for improvement. • Your top management will need to conduct periodic management reviews to ensure the overall effectiveness and continual improvement of the EMS, allocate sufficient resources and identify on-going improvement objectives.		Helpful Tips : keeping records ✔ meeting minutes ✔ follow-up actions (e.g. action plans, correspondence, etc.), wherever necessary