International Environmental Risk Management

ISO 14000 and the Systems Approach

John Voorhees, Robert A. Woellner

• Publisher: CRC Press
• Year: 2018
• ISBN:
  9781351437448
• Edition: 1
• Topic: Jura
• Subtopic: Umweltrecht

International Environmental Risk Management: ISO 14000 and the Systems Approach gives readers an extensive analysis of practical applications of ISO 14000 and environmental compliance management systems. It offers a mixture of technical engineering advice, legal guidance, and common-sense business acumen. The authors explain the essentials of the standards - how they are being developed and what implications they present - and then discuss cost-benefit analyses, integration strategies, business risk control measures, litigation avoidance and legal expense reduction, and step-by-step guidance on achieving third-party certification.

PART ONE:

RISK MANAGEMENT STRATEGIES

Chapter 1

ISO 14000 AND RISK
MANAGEMENT SYSTEMS

It is no coincidence that over 100 countries have joined together to create international standards for their industries and businesses to effectively manage their environmental impacts. The trend is towards universal solutions to environmental problems. Global environmental management standards are addressed in the first nine chapters, in which we show how to use the standards proactively to manage impacts. The next eight chapters are devoted to using additional legal strategies and voluntary initiatives to reduce environmental risks. The development of global standards is the appropriate phase to begin to see how responsible solutions are created to address worldwide environmental concerns.

In 1946 the International Organization for Standardization (ISO) was founded as a worldwide federation to promote the development of international manufacturing, trade, and communication standards, thereby facilitating the international exchange of goods and services (Hall, 1996). The ISO organization itself is a private sector, international standard body based in Geneva, Switzerland. ISO reviews input from government, industry, and other interested parties before it develops a standard. Understanding ISO and its mission and techniques points the way toward an appreciation of why the 9000 series for total quality management has been so popular, and why the 14000 series portends an even greater acceptance throughout the world.

ISO’S ROLE AND MISSION

ISO’s mission to develop manufacturing, trade, and communications standards assisted in the rebuilding of Europe after the Second World War. As ISO grew rapidly, its purview became global and quickly involved nations outside of Europe. The members of ISO are the standards organizations from each nation, and current membership stands at more than 120 countries. The U.S. is a full voting member of ISO, officially represented by the American National Standards Institute (ANSI). ISO strives to systematically develop globally accepted standards that are voluntarily adopted by the international business community. Specific application methods and techniques are not specified, but are left to the discretion of industry and government experts from around the globe.

The mission of ISO has two parts:

• To promote the development of standardization and related activities in the world to facilitate the international exchange of goods and services,

• To develop cooperation in the sphere of intellectual, scientific, technological, and economic activity.

Initially, this mission focused on technical performance specifications for products and standardized test methods. Currently, more than 200 technical committees are dedicated to the continual development of these types of standards. In 1979, however, a number of worldwide market trends led to a change in focus for ISO. These included: the growth of industry throughout the world led by the post-WWII boom in the U.S.; the development of trade agreements and growth of international trade; and the proliferation of different quality standards throughout the world, including both product specifications and quality management systems.

The world markets were growing rapidly during the 1970s and 1980s, but were characterized by products and services that varied widely in their performance, characteristics, styling, materials, and interchangeability of parts. Since a key aspect of the ISO mission is to facilitate trade and remove trade barriers, ISO formed the Technical Committee (TC) 176 in 1979 to address these issues under the general topic of quality management. “The goal was to make it possible for purchasers in the international market place to ensure that products they bought were manufactured in accordance with known, verifiable, and accepted methods of controlling the manufacture and distribution of products” (Bell, 1995).

TC 176 was confronted by a bewildering array of quality standards for both product characteristics and quality management programs that had been institutionalized by various industrialized nations throughout the world. Such diverse standards constituted a set of technical barriers to trade. A wide variety of interpretations of the same standards, both throughout an industry and between industries, caused problems with products manufactured and traded worldwide. Industries generally agreed, however, that product specifications were not enough. Quality management had to address the processes used for purchasing, production, and servicing in order to assure attainment of uniform quality levels.

TC 176 set about the task of harmonizing the various quality management systems standards throughout the world, and issued the first Total Quality Management Standards, the ISO 9000 series, in 1987 (Hall, 1996). A second revision is currently underway. This series addresses the processes used by a business to ensure that it meets customer requirements for its products and services. The 9000 series does not define specific product performance levels or physical characteristics, but describes how to manage a business with a quality focus, thus attaining consistent results and providing confidence to the customer.

The 9000 series, as the forerunner of the 14000 series, has proved to be extremely popular throughout the world. Currently, more than 100,000 businesses worldwide have achieved registration, which consists of an independent third party (a registrar) declaring that a business’ quality management systems conform to ISO 9000 requirements. In the U.S., Mexico, and Canada, there are more than 11,000 registered businesses, and that number is growing at a rapid pace (Bell, 1995). Approximately 1000 facilities per month are seeking certification (Hall, 1996). Some governments have even made the ISO 9000 series mandatory for businesses in their countries.

Worldwide, achievement of ISO 9000 registration has become a prerequisite for doing business in dozens of countries. Those businesses wishing to enter the European markets need to consider an investment in an ISO 9000 quality management system as an essential component of their business. ISO 9000 is a legal requirement in the medical devices market in the EU. It is also required in many other markets where product risk is a factor, such as high-pressure valves and public transportation. Competitive pressure is the primary reason for adopting ISO 9000, as thousands of firms are placing themselves on preferred supplier lists and demonstrating their global commitment to quality.

ISO 14000 SERIES OF STANDARDS FOR ENVIRONMENTAL MANAGEMENT SYSTEMS

Many of the trends that resulted in the emergence of the 9000 series also played a part in the development of the 14000 series. They include the growing international markets, the proliferation of environmental management standards and regulations in various countries, and the environmental management programs being adopted by businesses in response to complex environmental regulations.

Several issues related to the formation of the ISO 14000 series were different from those of ISO 9000. Any attempt to standardize environmental performance worldwide involves considerable social and political controversy. Implementing environmental management systems in countries with social democracies, such as Norway, has been relatively easy. In countries such as the U.S., the often antagonistic and litigious relationship between the government and the regulated community has caused environmental issues in the past to be approached by business people with extreme caution, if not fear (Begley, 1996).

Two trends in environmental management have been emerging as driving forces for ISO 14000 during the past two decades. In 1972 the United Nations held a conference on the environment in Stockholm, Sweden. A later conference was held in Rio de Janeiro, Brazil in 1992. The world community came together at each gathering to meld the views of diverse and sometimes opposing groups into a firm commitment to responsible environmental management and global sustainability. For the first time, the world established the environment as a priority in national and international affairs.

A seemingly opposing force had coalesced in the 1986 Uruguay round of the General Agreement on Trade and Tariffs (GATT). These negotiations resulted in a commitment to foster international trade. The Agreement on Technical Barriers to Trade section of the GATT does, however, encourage the use of international standards and conformity assessment systems in order to improve the efficiency of production and facilitate trade. This treaty requires that these international standards are not prepared, adopted, or applied with a view to or with the effect of creating unnecessary obstacles to international trade. Indeed, the technical regulations can not be more trade restrictive than necessary to fulfill a legitimate objective such as national security requirements; the prevention of deceptive practices; protection of human health or safety, animal or plant life or health, or the environment. This treaty establishes what could be perceived as an anti-environmental force by positioning international trade as a competing priority with environmental protection.

As a response to these emerging trends in environmental management, and cognizant of the resounding success and worldwide adoption of the ISO 9000 standards on quality management systems, in August 1991 ISO established a Strategic Advisory Group for the Environment (SAGE). This advisory group’s purpose was to assess the need for environmental management standards and to recommend an overall strategic plan to develop these standards. ISO requested SAGE to consider the following issues:

• Promote a common approach to environmental management similar to total quality management standards (ISO 9000).

• Enhance businesses’ abilities to attain and measure improvements in environmental performance.

• Utilize international standards to facilitate trade and remove trade barriers.

SAGE was specifically instructed not to consider environmental criteria, such as levels of pollutants, health assessments/risks, technology specifications, or product/process criteria. For over a year, SAGE studied the U.K.’s BS 7750 and other national environmental management standards as possible starting points for an ISO version. In 1993 SAGE recommended the formation of an ISO technical committee dedicated to the development of a uniform international Environmental Management Standard, as well as other standards on environmental management tools. ISO formed Technical Committee (TC) 207 to develop a series of environmental management system standards to accomplish the standardization in the field of environmental management tools and systems.

In June 1993 TC 207 met for the first time in Toronto, Canada where some 200 delegates representing approximately 30 countries agreed to complete a draft of the Environmental Management Standard and international auditing standards. SAGE was officially disbanded. Following an interim meeting on April 17-20, 1994 in Surfer’s Paradise, Australia, on June 24-July 1, 1995 TC 207 met in Oslo, Norway, where 600 delegates representing over 50 countries agreed to elevate the environmental management standard and auditing standards to draft international standards with scheduled publication by the end of 1996. By July 1995 TC 207 had members from 63 countries.

Six technical subcommittees (SCs) and working groups (WGs) were created within TC 207 and are currently formulating standards in the following areas:

• SC1: Environmental Management Systems, with the U.K. as the secretariat, administered by the British Standards Institution

• SC2: Environmental Auditing and Related Environmental Investigations, with the Netherlands as the secretariat, administered by the Netherlands Normalisatie - Instituut

• SC3: Environmental Labeling, with Australia as the secretariat, administered by Standards Australia

• SC4: Environmental Performance Evaluation, with the U.S. as secretariat, administered by ANSI

• SC5: Life-Cycle Assessment, with France as the secretariat, administered by Association Francaise de Normalisation

• SC6: Terms and Definitions, with Norway as the secretariat, administered by Norges Standardiseringsforbund

• WG1: Environmental Aspects in Product Standards, with Germany as the secretariat, administered by the Deutsches Institut für Normung e.V.

On June 17-21, 1996 TC 207 delegates from 50 countries and 10 liaison organizations met in Rio de Janeiro, Brazil to complete the ISO 14000 drafting process. The main outcomes of this meeting were the following:

The 14001 and 14004 environmental management systems standards received final approval and were issued by ISO in September 1996. The 14001 environmental management systems specification was also approved.

The 14010, 14011, and 14012 environmental auditing standards were in the final stages of publication and had been overwhelmingly approved by the plenary. These standards were published in conjunction with the 14001 and 14004 standards in September 1996.

SC1 established a working group to gather information about the implementation of ISO 14000 in small- to mid-sized enterprises (SMEs). The working group will recommend the direction the TC should take towards developing the guidance standard, 14002 Environmental Management Systems — Guidelines on Special Considerations Affecting Small and Medium Size Enterprises.

SC3 voted to begin work on Type III environmental labels, or what some call “environmental report cards.” These labels are similar to the nutrition panels found on cereal boxes and are intended to provide the consumer with the necessary information when choosing a product based on its environmental impacts.

SC3 also reaffirmed the 14024 Environmental Labels and Declarations — Environmental Labeling Type I — Guiding Principles and Procedures document as a committee draft, which places it in line for draft international standard status during 1997 or 1998. This standard could become the basis for mutual recognition among the 24 environmental labeling programs currently operating around the world.

SC4 decided to completely revise the existing environmental performance evaluation working draft and perform a line-by-line analysis of all comments received. The final result of this work was a fifth draft that reflected major advances in negotiations.

SC6 voted to elevate 14050, Terms and Definitions, to draft international standard status. This document should provide the user of the 14000 series of documents with a single source of terms employed in the practice of environmental management.

PRINCIPLES USED IN DEVELOPING INTERNATIONAL STANDARDS

To understand how the 14000 series is being developed and how these standards can be applied, ISO follows three basic principles in developing all standards: consensus, encouragement of full participation and voluntary adoption.

Consensus is a difficult task when one considers the complexity and controversy surrounding environmental issues worldwide. The development process for ISO standards, however, ensures that consensus is achieved through these basic steps:

Preparing a Justification. An appointed committee, usually part of a subcommittee, prepares a justification for any proposed standard, and formally submits a New Work...