Challenges of meeting ISO 14000 auditing guidelines: Audit program gaps

At long last, the ISO 14000 environmental auditing guidelines have been issued in final form and have been accepted in the United States and elsewhere as official national standards. The auditing guidelines consist of: Guidelines for environmental auditing—General principles (ISO 14010: 1996(E)) Guidelines for environmental auditing—Audit procedures—Auditing of environmental management systems (ISO 14011: 1996(E)) Guidelines for environmental auditing—Qualification criteria for environmental auditors (ISO 14012: 1996(E)) Unlike the environmental management system (EMS) standard (ISO 14001), the auditing guidelines are just that, guidelines. The ISO 14000 auditing guidelines are not long documents: ISO 14010 is three pages, ISO 14011 is five pages and ISO 14012 is three pages.     

Tuning to station wiify on ISO 14000: What's in it for you?

“The impact of ISO 14000 will be swift and significant. For businesses exporting to global markets, and their suppliers, preparing for ISO 14000 today is not an option—it's a matter of survival…”.     

The business implications of implementing ISO 14000

The ISO 14000 standards for environmental management systems (EMS) are voluntary standards intended to aid companies that wish to improve their environmental performance. The standards owe their existence, at least in part, to three widely shared views: (1) that existing environmental management systems are either inadequate or ineffective; (2) that companies will want to improve environmental performance for economic or social reasons; and (3) that governments and stakeholders will require companies to exercise greater control of the impacts to the environment through new regulations. ISO 14000 offers a solution—an ?integrated”? EMS, with components designed to effect sound management in any size organization and in any country. The standards are an embodiment of both the policy and practice of environmental management. This article is a consideration of the business implications of the ISO 14000 series of standards. How will a movement toward an integrated EMS be realized? Who will be in the best position to respond? ISO 14000 is a management system, and it carries with it business consequences.     

Environmental Impact and Sustainable Development: An Analysis in the Context of Standards ISO 9001, ISO 14001, and OHSAS 18001

In this study, we seek to verify the contributions made by three international standards to efforts by eight companies to reduce their environmental impacts and move toward sustainable development. The standards considered in this article are the International Organization for Standardization's (ISO) 9001 (quality), ISO 14001 (environmental management systems), and the Occupational Health and Safety Assessment Series (OHSAS) 18001. The eight companies analyzed for this study are located in the state of Rio Grande do Sul in Brazil. As part of this work, the authors generated a proposed sustainable positioning matrix and placed each company within one of four quadrants—economic approach, environmental approach, social approach, and sustainability approach—derived from the context of the Triple Bottom Line (Elkington, 2004 ).     

ISO 14001: A systems approach to managing environmental risk

The field of environmental risk management is relatively new and has developed rapidly over the past several years. There has been, however, a significant lack of integration of seemingly dissimilar disciplines into a meaningful context for top management risk decisions—until now. A new holistic approach, centered on the ISO 14001 standard for environmental management systems, addresses many of the issues that have kept environmental risk management focused on technical rather than strategic issues. This article describes the risk management process, illustrates how the ISO 14001 standard can be used by organizations to integrate and assess technical environmental information, and shows how to place this information in a strategic risk management context. It also explains how key ISO 14001 concepts such as policy implementation, operational control, and continuous improvement form the basis of a systems approach, and why the systems approach is the preferred, cost-effective structure for controlling environmental risk.     

ISO 14000: A return to command and control?

Over the last few years, commentators on all sides of the environmental debate have (with a few exceptions) joined hands to pillory the traditional model of environmental regulation in this country. The catch phrase “command and control” has become emblematic of everything that was seen as being wrong with the old system. The current push for “reinvention” of environmental regulation reinforces the concept that although traditional methods have produced progress, they have outlived their usefulness. At the same time, ISO 14000 has emerged as one of the hottest topics in the environmental field—a form of reinvention of environmental management that has been embraced by many as the solution to an array of problems. While it is still early in the game, initial results indicate that when used effectively, ISO 14000 can be a powerful tool for the environmental manager. However, misuse of ISO 14000 could represent a throwback to command and control rather than a management tool for the new millennium. This article examines how this new tool fits into the evolving picture of environmental regulation and management.     

The potential effect of ISO 14000 standards on environmental audit training in the United States

Training has been an important component of the environmental audit profession since its outset some 15–20 years ago. Training and education have taken on a variety of forms—from audit texts and articles, to formal courses, to videotapes, to on-the-job training programs. These efforts have helped to advance the sophistication of environmental auditing over the past few years. Now, with the advent of the international ISO 14012 Environmental Auditor Qualification Guidelines,¹ the auditing profession in the United States and around the world likely will be transformed in the near future. In fact, many organizations are now reengineering their programs in anticipation of the emerging Guidelines. The expected transformation holds for training and education programs as well. This article suggests some of the ways in which environmental audit training is likely to be reshaped as a result of ISO 14012. Offerors of training courses and seminars would be wise to anticipate the changes and modify their programs accordingly. A quick response could provide a competitive advantage. Moreover, corporate audit program managers should conduct critical evaluations of commercial offerings to assure that the programs' contents are consistent with ISO 14012 “auditor certification” expectations.     

ISO 14001 in state regulatory offices: A survey of activities

Is ISO 14001 just for the private sector? The answer is definitely “No.” The survey in this article was conducted to better understand how ISO 14001/Environmental Management Systems (EMSs) was being addressed by state agencies around the country. The survey goals were to determine where the focus on ISO 14001/EMSs is within state government, what the level of interest is, and how far states have progressed toward some form of use or recognition of ISO 14001. During the months that this survey was conducted, the progress at the state and federal levels was remarkable. Many states are aggressively moving forward and encouraging the investigation of ISO 14001 implementation. There is a well coordinated effort between several states (the Multi-State Working Group) to gather data on ISO 14001 effectiveness in a consistent manner. The cooperation between EPA and the states is beginning to solidify, with federal dollars going to state-managed pilot programs, and EPA has stepped forward with a more organized effort led by the Office of Reinvention.     

Integrating total cost assessment with new management practices and mandates

Today's environmental manager cannot afford to operate in a vaccum, but continually adjusts to the latest management initiatives, whether it is Activity Based Costing, ISO 14000, or Total Quality Management. These paradigms offer an excellent structure to view process improvements and implement changes, however, they all tend to miss the mark in one critical area—quantifying and tracking the true cost of environmental management. The recent upsurge of interest in Total Cost Assessment (TCA) is proof positive that, although many excellent management programs exist, something is still missing. In this article, the author shows how using TCA in conjunction with these practices enhances their effectiveness and shows the total picture of environmental management costs.     

ISO 14001 EMS implementation planning

In 1996, the International Standards Organization (ISO) completed work on an environmental management system (EMS) standard: ISO 14001. The standard involves only five required elements, spans less than five pages, and upon initial review, appears relatively uncomplicated. As well, many of the ISO 14001 requirements may already be present in an organization's existing EMS. Nevertheless, the new standard presents a number of challenges to industry implementation. Whether an organization aims to start from scratch in developing an EMS under ISO 14001 or modify its existing EMS to meet the ISO challenge, implementation requires careful planning and analysis. This article provides a summary of the planning required to implement ISO 14001 at the facility level, including the initial planning effort and the identification of significant environmental impacts, objectives, and targets. The aim will be to eliminate some of the “hype” associated with ISO and provide some practical “how to” guidance for implementing the standard. The discussion begins with an overview of the initial planning effort and then turns to key planning requirements.     

Registrars,Accreditation, and ISO 14001

The International Standardization Organization (ISO) will be publishing the first international environmental management system standard: ISO 14001. The ultimate impact of this standard is subject to heated debate throughout the industrial and environmental communities. This article focuses on one aspect of the standard: the process of certification/registration. ISO 14001 is a voluntary initiative. Companies will need to decide for themselves whether or not to pursue certification. As indicated in Section 1 of ISO 14001, ?This International Standard is applicable to any organization that wishes to

• a) implement, maintain and improve an environmental management system;
• b) assure itself of its conformance with its stated environmental policy;
• c) demonstrate such conformance to others;
• d) seek certification/registration of its environmental management system by an external organization;
• e) make a self determination and declaration of conformance with the standard.”?

As the introduction to ISO 14001 makes clear, ?the specification contains only those requirements that may be objectively audited for certification/registration and/or self declaration purposes.”? Any additional ?guidance…will be contained in other international standards.”? To avoid confusion, these other international standards tend to be called ?guidelines”?. Of particular interest to those associated with the certification and registration of systems to ISO 14001 are the three guidelines for environmental auditing. Officially these are referred to as:

• ISO 14010 - Guidelines for Environmental Auditing - General Principles,
• ISO 14011 - Guidelines for Environmental Auditing - Audit Procedures - Auditing of Environmental Management Systems, and
• ISO 14012 - Guidelines for Environmental Auditing - Qualification Criteria for Environmental Auditors.

     

Does the selection of ISO 14001 registrars matter? Registrar reputation and environmental policy statements in China

This study investigates the relationship between characteristics of environmental policy statements and the reputations of ISO 14001 registrars who had performed certification audits of firms operating in mainland China. Three characteristics of environmental policy statements were examined: (1) The conformance of the policy to strict interpretations of the international standard; (2) The policy statement's adherence to the good practice guidelines specified in ISO 14004; and, (3) Self-reported evaluations of the policy statement's effectiveness as implemented. Data from 106 facilities in Beijing, Shanghai and Guangzhou reveal that registrar quality has a relatively weak, positive relationship with conformance to both ISO 14001 standards and to ISO 14004 guidelines, but no relationship was observed with the self-reported data. Additional findings are that the use of foreign registrars is significantly associated with the adoption of ISO 14004 guidelines and that conformance with ISO 14001 standards is somewhat higher for international joint ventures and foreign-owned firms than for state-owned enterprises.     

A study of compliance with environmental regulations of ISO 14001 certified companies in Korea

This article investigates the impact of ISO 14001 certification on the compliance with environmental regulations by Korean companies. The impact of ISO 14001 certification on the industry was studied through a questionnaire survey and the compliance of environmental regulations were investigated using government-released data. The motivation for an environment management system was a result of the current international situation and the need to maintain fair competition. ISO 14001 certification has been recognized as an essential strategy for industrial competition and to improve company/product recognition. The certified and non-certified companies' environmental regulation violation (ERV) rates were 3.5% and 11.6%, respectively, in 1997. In 1998, the ERV rate had an eight-time difference with 1.0% and 8.5% for certified and non-certified companies, respectively. Annual regulation violation rates were reduced from 3.5% in 1997 to 1.0% in 1998 with certified companies and from 11.6% in 1997 to 8.5% in 1998 with their non-certified counterparts, respectively. ISO 14001 certified companies showed more improvement than non-certified companies in regards to environmental performance.     

Case studies of ISO 14001: A new business guide for global environmental protection

The intention of this article is to clarify the current status of ISO 14001, the internationally accepted voluntary environmental management system (EMS) standard, which is an effective means to generate continuous environmental performance improvement in an organization as well as significant financial benefits such as operational efficiency improvements (e.g., energy and water savings), reduction in environmental risks and liability expenses, protection of corporate asset value, and public image improvements. The number of “ISO 14001” companies in Europe and the Pacific Rim is steadily increasing with customer and governmental pressure as the driving forces. In the United States, ISO 14001 implementation has lagged behind due to the fact that, so far, the EPA has not supported ISO 14001 as being sufficient for guaranteeing a reliable environmental performance record. Most ISO 14001 certified companies in the United States have been driven by overseas demand, particularly in the microelectronics industry because customers in this industry, especially those in Europe, will simply not do business in the future with companies that are not registered to ISO 14001. It is expected that European demand will continue to push ISO 14001 certification in the United States. Six ISO 14001 case studies in the U.S. chemical, electronics, and plastics industries, along with EPA's attitude toward ISO 14001 are described in this article. The case studies contain the reasons, steps taken, costs, benefits, problems, and future trends of ISO 14001 implementation and certification.     

Corporate Environmental Policy Statements in Mainland China: To What Extent Do They Conform to ISO 14000 Documentation?

For decades, industry has been the main source of pollution in China. Determined to make changes, the mainland Chinese authorities have decided to promote mechanisms that incorporate environmental concerns into the internal management of enterprises. This is manifested in the rapid adoption of the ISO14000 standards, including a significant increase in ISO14001 registrations in China. Thus, this study examined the environmental policy statements of 106 certified facilities in mainland China against a strict interpretation of the mandatory requirements of the ISO 14001:1996 standard and the nonmandatory ISO14004 requirements in order to shed some light on the implementation of environmental management systems in an emerging economic giant. It was decided to analyze the environmental policy statement because such a statement is a core element in the ISO system of environmental management of each facility and there are relatively clear and specific requirements on what an environmental policy statement shall include. An analysis of the contents of the environmental policy statements shows that conformance to the relevant requirements of both the mandatory ISO14001 standard and the nonmandatory ISO14004 standard is far from impressive and that the facilities in our sample seldom went beyond the minimum requirements. By using ISO14001 and ISO14004 conformance scores as the dependent variables, we found that conformity to ISO14001 and overall conformance to ISO14000 series can be explained to some extent by the degree of top management commitment, the experience with informal environmental management systems, and the form of ownership of the facilities.     

Implementing ISO 14000: Overcoming barriers to registration

The new environmental standard, ISO 14000, is due for issue in January 1996. The standard is designed to address environmental management systems, life-cycle assessments, and international labeling and auditing standards. A major issue facing ISO 14000 advocates is “How can proponents of ISO 14000 get their enterprise to implement it?” And once implementation is started, “What can be done to enhance its chances of success?” The answers to both of these questions may be discovered by examining the self-interest of the parties within the enterprise. These parties will rightly ask, “Why should I support ISO 14000 registration? What's in it for me?”. Today's business climate is more competitive than ever. This is particularly true in the international arena. As a result, the competition within an enterprise for funds (the budget process) is becoming tougher than ever. Management is not going to register under ISO 14000 because they are altruistic. Companies will decide to register only if it is in their own best interest. That means, only if the decision maker can defend the decision to critics. This article presents approaches to gain support within an organization for implementation of ISO 14000 and to improve the chances of success once implementation has begun.     

Strengthening business with a new vision at avery dennison

This article presents a case study regarding initiatives, apparent failures, and successes that the Avery Dennison Materials Group organization encountered over the last five years in creating and sustaining environmental awareness throughout its organization. This awareness encompasses considerations thought to position the organization to compete against the core elements proposed within the ISO 14001 environmental management system protocol. While Avery Dennison's Materials Group has undertaken many initiatives which strive to achieve business integration, this article focuses primarily on three environmental management systems believed to be the foundation for a manufacturing or service organization—a foundation built on sustainable compliance, incorporation of quality management concepts, and the fulfillment of environmental performance expectations driven by the community at large. Those three programs are (1) an Environmental Stewardship Policy with specific environmental operating principles, (2) Environmental Control Instructions (ECIs), which establish accountability for proper operation, and (3) an Environmental Management System Assessment similar to the Global Environmental Management Initiatives (GEMI) environmental self-assessment tool. These cornerstones provide a basis for the construction of a management program pyramid, the top of which results in a quality process for making effective business decisions by integrating core environmental operating principles.     

ISO14000系列标准及其实施

本文从ISO14000系列标准的起源、标准的制定、标准的构成、标准的特点对ISO14000系列标准进行了全面介绍,阐述了我国实施ISO14000系列标准的必要性和组织如何实施环境管理体系,介绍了环境管理体系的认证和EMS审核员的要求,供读者对ISO14000系列标准有一全面的了解。     

Multiple-criteria decision-aiding framework to analyze and assess the governance of sustainability

Past and present disasters and scandals, such as the BP Deepwater Horizon oil disaster in the Gulf of Mexico in 2010, the Servier Mediator (Benfluorex) scandal in 2009 and the Enron collapse in 2001, have uncovered weaknesses in governance issues. The authors argue that there is a need to develop methods and tools to diagnose and assess the governance of organizations with respect to Sustainable Development (SD). However, this task remains difficult due to the fact that it is difficult to appraise the quality of governance. The authors propose a protocol to diagnose and analyze the governance of SD and explore the use of multiple-criteria decision-aiding methods to achieve this task. Two aggregation methods to assess the global governance are proposed: (1) The identification of a final governance index for an Organization. This method helps in establishing a global diagnosis of the quality of the governance of an Organization with respect to SD challenges. The governance index is based on the calculation of three indexes: the partial opportunity index, the partial risk index and the partial equilibrium index. (2) The ranking of a set of Organizations according to their governance of SD. This method aims at assessing a set of Organizations based on a pairwise comparison according to a set of criteria that represents the seven domains of the ISO 26000 norm (ISO 26000—Guidance on social responsibility, 2010). This method is based on the outranking aggregation approach ELECTRE III. A practical example is used to illustrate two methods of governance assessment.