Strengthening EG in SCM Industry in Shaan Xi Province, China
加强中国陕西小型煤矿的环境治理工作
Training Session 1 – Training 2 Environmental Management
Systems (EMS) – Overview and Sections 3 & 4 of the EMS
培训1——课程2 环境管理体系（EMS）回顾及第3、4节
John Clarkson
Introduction to EMS
环境管理体系介绍
•
What is an EMS?什么是环境管理体系？
•
Systematic approach to environmental management for all types of organisation
各机构组织管理环境问题的系统方法
•
Based on International standards ISO 14001 or ISO 14004
基于ISO 14001 或 ISO 14004国际标准
•
Structured approach
结构性的方法
•
Develops and implements environmental policy and objectives related to significant
environmental aspects of an operation i.e. those aspects which it can control and influence
制定和实施环境政策以及可对环境问题进行控制和影响的相关目标
•
System is based on Plan-Do-Check-Act (PDCA) methodologies
体系基于PDCA（ Plan-Do-Check-Act ）理论体系
•
Aims to achieve Continual Improvement in Environmental Management
目标是实现环境管理的持续改善
•
Used by many organisations world-wide to improve environmental performance and communicate
the results of those improvements both internally and externally
被全世界许多组织机构用来改善环境绩效，进行内外部的改善沟通
EMS Model and elements
环境管理体系模型和元素
持续改善
Continual
Improvement
管理审核
4.6
环境政策
4.2
Management
Review 4.6
Environmental
Policy 4.2
检查4.5
方案4.3
Checking 4.5
Planning 4.3
实施和操 Implementation
and Operation
作4.4
4.4
How the standards are laid out标准如何安排的
Section 1 – Scope
第1节
范围
Section 2 – Normative references (numbering)
第2节
规范参考（条目）
Section 3 – Terms and definitions
第3节
条款和解释
Section 4 – Environmental Management System requirements or elements
第4节
环境管理体系的要求或元素
Annex A – Guidance on the use of the standard (informative with fuller
description)
附录A
标准使用指导（更加完整的表述）
Section 4 is then further sub-divided into the elements shown in Slide 3 – the
meat of the standard and the PDCA section
第4节进一步分解了各元素，在本PPT第三页有说明——标准和PDCA的实质
4.1
4.2
4.3
4.4
4.5
4.6
–
–
–
–
–
–
General requirements 通用要求
Environmental Policy
环境政策
Planning 方案
Implementation and Operation 实施和操作
Checking 检查
Management Review管理审核
General guidelines and key definitions
1. Scope范围
Both 14001 and 14004 provide guidance on the establishment, implementation, maintenance and
improvement of an environmental management system (EMS) and its coordination with other
management systems
14001和14004均为环境管理体系的建立、实施、维护和改进提供了指导，并协调其他环境管理体系。
2. Normative references – no normative references. Just to retain numbering of clauses
and compatibility with other standards e.g. Quality standard ISO 9001
规范参考。并未列出参考规范。进列出了对应其他规范的条目，如质量标准ISO9001。
3. Some key terms and definitions (20 definitions in each standard). Some are self
explanatory and reference compatible terms and definitions (numbered and in bold).
Examples are shown below:
一些关键条款和定义（每个标准有20个定义）。其中一些知识自我解释说明，列出了对应参考的条款和
解释（粗体编号）。请看以下示例：
3.6 – Environmental aspect – Element of an organisation’s (3.16) activities or products
or services that can interact with the environment (3.5). Examples for small coal mines
may include:
环境问题——组织（3.16）活动或产品或服务与环境（3.5）产生相互作用的因素. 适用小煤矿的例子包
括：
•Dust, noise, minewater 粉尘、噪音、矿井水
3.5 – Environment – Surroundings in which an organisation (3.16) operates, including
air, water, land, natural resources, flora, fauna and their interrelation
环境——组织（3.16）运营的周围，包括空气、水、土地、自然资源、动物、植物和他们之间的相互关
系
Minewater discharge
矿井水的排放
Dust and noise during excavation and loading operatons
挖掘和装载施工期间的粉尘和噪音
Dust, noise and vibration from blasting
爆炸产生的粉尘、噪音和振动
Key definitions continued (2)
关键定义（2）
3.16 – Organisation – Company, corporation, firm, enterprise, authority or
institution, or part or combination thereof. NOTE For organisations with more
than one operating unit, a single operating unit may be defined as an
organisation. RELEVANCE FOR SMALL COAL MINES. EMS for one mine or a group of
mines?
组织——公司、企业、单位、机构或院所，或其部分或其混合体。注意：多于一个运营单位或
单个运营单位组成的组织均可定义为一个组织。 关于小型煤矿。一个煤矿或若干个煤矿的环
境管理体系？
3.6 Environmental aspects need to be ranked to determine their significance
环境问题需要排列等级，确定他们的重要性。
•The operator determines significance – there is no definition!
操作者决定重要性——没有定义！
•A Workshop exercise using Excel template will be used as a practical example of
listing and ranking environmental aspects and impact
可使用Excel模板列出并划分环境问题和影响的等级。
•Specific aspects need to listed then ranked to determine their priority. This
forms the basis of the EMS from policy through to targets and objectives and a
Management Programme for continuous Improvement.
特殊的问题需要列出划分等级，确定他们的优先顺序。这就通过目标和目的的管理，从政策的
层面上构成了环境管理体系的基础，保证了管理项目的不断改进。
•All levels of the organisation need to be involved in this exercise but there
needs to be Leadership from Top Management and a commitment to improvement
组织的所有层面都需要参与到该体系中，这需要高层领导的支持，以及对改善的承诺。
SMALL COAL MINES (SCM) ENVIRONMENTAL ASPECTS/IMPACTS MATRIX
IMPACT
Legal
Environmental Social
Economic Human Health Reputional
Requirement Impact
Impact Impact
Impact
Risk
Assessment
ASPECT
Proximity to residential
Visual aspect
Transport
Noise
Dust (particulate)
Vibration
Waste Management
Surface water and groundwater
Geology and Hydrology
Subsidence
Biodiversity
Mine Gas
Fuel Storage
Energy Management
Restoration
Communication
Total
Score
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Footnotes:
Score 1 to 3 for individual negative aspects: 1 = Low, 2 = Medium, 3 = High
Use for opencast or deep mines and add or delete aspect categories as required
Scores will be "Site specific" and depedent on:
e.g. Location, sensitivity of receiving environment, reputation of mining company etc.
Address: Pre-operation, start-up, normal operation, emergency, shut down and post operation aspects
For legal requirements include:
Planning consent, Environmental Permits including water abstraction/discharge consents, waste management licences etc.
Any other operating consents
RANK
Comments
小煤矿环境问题/影响矩阵
影响
法律要求
环境影响评估 社会影响
经济影响
健康影响
声誉风险
总评分
问题
0
临近住宅区
0
视觉影响
0
交通
0
噪音
0
粉尘（颗粒物）
0
振动
0
废物管理
0
地表水和地下水
0
地理和水文
0
地面下沉
0
生物多样性
0
煤矿气体
0
燃料储存
0
能源挂你
0
恢复
0
通讯
注脚：
单项评分为1至3分：1=低，2=中，3=高
用于露天矿或深井矿时，根据需要增加或删除问题类别
来源因矿而异，且可根据以下情况：
如当地情况，环境敏感性，矿物公司声誉等
解决：预运行、开始、正常运行、应急响应、关停和后运营问题
法律要求包括：
方案批准、包括水收集/排放，污水管理许可证等的环境许可
其他任何运营许可文件
等级
备注
Key definitions continued (3)
3.7 - Environmental Impact - Any change to the environment (3.5), whether adverse
(negative) or beneficial (positive), wholly or partially resulting from an organisation’s
(3.16) environmental aspects
环境影响——组织（3.16）对环境（3.5）的任何改变，无论是负面还是正面的改变，或是整体或局部的
改变。
3.8 - Environmental Management System (EMS) – Part of an organisation’s (3.16)
management system used to develop and implement its environmental aspects (3.6)
环境管理体系（EMS）——组织（3.16）用于制定和实施其环境问题（3.6）的部分管理制度
3.9 - Environmental Objective – overall environmental goal, consistent with environmental
policy (3.11), that an organisation (3.16) sets itself to achieve
环境目标——整体环境目的，与环境政策（3.11）一致，组织（3.16）自行设定并努力实现
3.10 - Environmental Performance – measurable results of an organisation’s (3.16)
management of its environmental aspects
环境绩效——衡量一个组织（3.16）的环境问题管理效果
3.11 – Environmental Policy – overall intentions and direction of an organisation (3.16)
related to its environmental performance (3.10) as formally expressed by top management.
环境政策——一个组织的与其环境绩效（3.10）有关整体意图和方向，往往由高层管理人员正式表述
NOTE The environmental policy provides a framework for action and for the setting of
environmental objectives (3.9) and environmental targets (3.12).
注意：环境政策为组织行为和设定环境目标（3.9）及环境目的（3.12）提供了框架。
Key definitions continued (4)
3.12 Environmental Target – detailed performance requirement, applicable to the
organisation (3.16) or parts thereof, that arises from the environmental objectives
(3.9) and that needs to be set and met in order to achieve those objectives.
环境目的——详细的绩效要求，适用于组织（3.16）或其中的一部分，由环境目标（3.9）中提炼，
需要设定并实现，进而实现最终的目标
3.13 Interested party – person or group concerned with or affected by the
environmental performance (3.10) of an organisation (3.16).
相关方——与一个组织（3.16）的环境绩效（3.10）有联系或受到影响的个人或团体
3.14 Internal audit – systematic, independent and documented process for obtaining
audit evidence and evaluating it objectively to determine the extent to which the
environmental management system audit criteria set by the organisation (3.16) are
fulfilled.
内部审核——一个系统的、独立的并记录在案的过程，可证明进行过审核，客观评估确定组织
（3.16）设定的环境管理体系审核标准是否完善
NOTE In many cases, particularly in smaller organisations, independence can be
demonstrated by the freedom from responsibility for the activity being audited.
注意 很多时候，特别是在小型组织内，独立性可表现在基于责任感的审核活动自主程度上。
3.15 Nonconformity – non-fulfilment of a requirement.
不一致性——不符合要求
(ISO 9000:2000, 3.6.2)
Key definitions continued (5)
3.16 Organisation – company, corporation, firm, enterprise, authority or institution, or
part or combination thereof, whether incorporated or not, public or private, that has its
own functions and administration.
组织——公司、企业、单位、机构或院所，或其部分或其混合体，无论是否属于个人或社会，拥有自己的
职能和管理
NOTE For organisations with more than one operating unit, a single operating unit may be
defined as an organisation.
注意：多于一个运营单位或单个运营单位组成的组织均可定义为一个组织。
3.17 Preventive action – action to eliminate the cause of a potential nonconformity
(3.15).
预防行为——消除导致潜在不一致性(3.15)的行为
3.18 Prevention of pollution – use of processes, practices, techniques, materials,
products, services or energy to avoid, reduce or control (separately or in combination) the
creation, emission or discharge of any type of pollutant or waste, in order to reduce
adverse environmental impacts (3.7)
污染预防——使用工艺、技术、材料、产品、服务或能源来避免、减少或控制（分开或共同发生）任何类
型的污染物或废物的产生、排放或丢弃，减少负面的环境影响（3.7）
NOTE Prevention of pollution can include source reduction or elimination, process, product
of service changes, efficient use of resources, material and energy substitution, reuse,
recovery, reclamation and treatment.
注意：污染的预防可以通过减少或消除来源，工艺、产品或服务的改变，资源的有效使用，材料和能源的
替代、回收、再利用、再生和处理等方式实现
Key definitions continued (6)
3.19 Procedure – specified way to carry out an activity or a process.
程序——实施一个行为或工艺的特殊路径
NOTE 1 Procedures can be documented or not.
注意1：程序可以记录存档，也可以不记录存档。
NOTE 2 Adapted from ISO 9000:2000, 3.4.5.
注意2： 来自ISO 9000:2000, 3.4.5
3.20 Record - document (3.4) stating results achieved or providing evidence of activities
performed.
记录——叙述所取得的结果或为实施的行为提供文字证据
NOTE Adapted from ISO 9000:2000, 3.7.6.
注意：来自ISO 9000:2000, 3.7.6
END OF THIS SECTION – Next section is Section 4 EMS requirements.
此章节结束——下一部分是第4节，环境管理体系的要求。
ANY QUESTIONS?
请提问。
EMS Model and elements
持续改善
管理审核
4.6
Continual
Improvement
Management
Review 4.6
Environmental
Policy 4.2
检查4.5
方案4.3
Checking 4.5
实施和操
作4.4
环境政策
4.2
Planning 4.3
Implementation
and Operation
4.4
4.2 Environmental Policy
Reminder of definition - 3.11 – Environmental Policy – overall intentions and direction of
an organisation (3.16) related to its environmental performance (3.10) as formally
expressed by top management.
定义提示：3.11——环境政策——一个组织（3.16）的与其环境绩效（3.10）有关整体意图和方向，往往
由高层管理人员正式表述
Main requirements of a sound Environmental Policy are:
合理的环境政策的主要要求有：
•Defined by top Management & ensure it is within defined scope of EMS
有最高管理层定义，确保其在环境管理体系的范围内
•Appropriate to business to which it is applied i.e. SCM or group of SCMs
适用于企业，如小煤矿或小煤矿集团
•Includes commitment to Continuous Improvement and prevention of pollution
包括对持续改进和污染防治的承诺
•Commitment to comply with legal requirements
承诺符合法规要求
•Framework for setting and reviewing objectives and targets
设定和审核目标和目的的框架
•Documented, implemented and well maintained
记录存档，实施，并妥善维护
•Communicated – internally (employees) and externally (public). Often referred to as
Stakeholders.
内部（与员工）和外部（与社会公众）的沟通。通常称为利益相关方
Environmental Policy example from UK Coal follows
以下是英国煤矿的环境政策举例
环境政策
UK Coal’s commitment and Environmental Policy
UK Coal is committed to mitigating the impact of our operations through a number of policy
commitments and a comprehensive environmental management system. International
standard ISO 14001 certification has been achieved at all of our main operational sites.
We are actively involved in taking 'green energy' projects from innovation to completion,
including the use of methane gas from deep mines to generate electricity. Site procedures are
audited by in-house teams and external experts to ensure continued compliance. Underground
and surface readings for emissions, including gas, dust, noise and water are taken, analysed
and reported.
Where appropriate, action plans to reduce emissions are designed and followed through to
completion. Compliance with waste management regulations is monitored, and a programme
to encourage re-cycling and waste minimisation is in place.
UK Coal's environmental policy commitments to:








Minimise pollution and comply with environmental legislation, and any agreements
with external organisations in order to comply with ISO 14001.
Maintain certification of environmental management systems to international
standards at all mines, and progress certification in other areas of the business.
Set and regularly review objectives and targets to achieve continual improvement in
environmental performance, including a reduction in the use of natural resources.
Use the principles of sustainable development to design new projects and restore
completed sites to include long-term environmental or community benefits.
Provide access to contact us about environmental issues, and give a prompt response.
Ensure this policy is communicated to all employees, contractors and suppliers.
Encourage the efficient use of coal with minimum emissions.
Maximise the use of other natural resources recovered with the coal.
4.3 Planning方案
Three sub-sections:
三个小项
•4.3.1 – Environmental aspects 环境问题
•4.3.2 – Legal and other requirements
法规和其他要求
•4.3.3 – Objectives, targets and programmes 目标、目的和项目
All require procedures to describe how each element will be addressed and
maintained within the EMS. It is therefore useful to establish a Procedures
Manual. More detail and examples will be given in later training sessions.
所有都要求分步描述每个环节是如何处理的，是如何符合环境管理体系的。可用于建立程序手
册。我们会在稍后的环节给出更加详细的信息和实例。
4.4 Implementation and Operation实施和操作
Seven individual sub-sections to this element:
这一板块有七个独立小项目
•4.4.1 Resources, roles, responsibility and authority
资源、角色、责任和全力
•4.4.2 Competence, training and awareness
能力、培训和意识
•4.4.3 Communication
沟通
•4.4.4 Documentation
存档
•4.4.5 Control of documents
文件控制
•4.4.6 Operational control
操作控制
•4.4.7 Emergency preparedness and response
应急准备和回应
4.5 Checking检查
There are five sub-sections to this element:
该板块有五个小项目
•4.5.1 Monitoring and measurement
监测和测量
•4.5.2 Evaluation of compliance
一致性评估
•4.5.3 Nonconformity, corrective and preventative action
不一致性，纠正和预防行为
•4.5.4 Control of records
记录控制
•4.5.5 Internal audit
内部审核
4.6 Management Review管理审核
There are no sub-sections to this element but the review should be carried out by
Top Management. ALL of the elements of the EMS should be reviewed at least once
per year and outputs should be documented to ensure Continuous Improvement of the
EMS
这部分没有小项目内容。但审核应由最高管理层完成。环境管理体系的所有因素和板块均应至
少一年审核一次，其结果应记录存档，以保证环境管理体系的持续改进