Wareham2 Abstract:The aim of this study was to explore the link between sustainable development and the ISO 14000 Environmental Manage-ment Series of Standards, with particular reference
Trang 1ISO 14000 Environmental Management Standards:
Their Relation to Sustainability
P Elefsiniotis1 and D G Wareham2
Abstract:The aim of this study was to explore the link between sustainable development and the ISO 14000 Environmental Manage-ment Series of Standards, with particular reference to the ISO 14001 standard In order to do this, it was decided to evaluate the ISO 14000 series in the context of a large engineering facility; namely, the Canadian provincial Crown Corporation of Manitoba Hydro The ISO
14000 series is in principle an effective system to manage an organization’s self-prescribed environmental goals; however, its main
limitations are that it does not require the demonstration of environmental performance and it is sometimes difficult to interpret and apply
due to ambiguous language The paper closes with speculations that despite these shortcomings, the essence of the ISO 14000 series of
standards is in sympathy with the notion of sustainability
DOI:10.1061/共ASCE兲1052-3928共2005兲131:3共208兲
CE Database subject headings:Standards; Environmental issues; Sustainable development
Introduction
In 1987, the World Commission on Environment and
Develop-ment popularized the term “sustainable developDevelop-ment” as being
“development that meets the needs of the present without
compromising the ability of future generations to meet their own
needs” 共WECD 1987兲 While sustainable development has
been primarily interpreted as a national 共or global兲 goal, there
is increasing discussion of the “sustainable city,” the “sustainable
sector,” and the “sustainable business and/or corporation”
共Atkin-son 2000兲 At the latter level, many organizations have
investi-gated alternative corporate architectures which facilitate progress
toward ecological sustainability 共Griffiths and Petrick 2001兲
Along with changes in organizational structures, it has become
increasingly clear that in order to remain viable in the business
world, proactive environmental management programs need to be
integrated into corporate business strategies during long-term
planning共Berry and Rondinelli 1998兲
Recognizing that sound environmental management can gain
numerous benefits, companies have adopted environmental
poli-cies and performed environmental audits to determine the
effec-tiveness of their environmental program Given the diverse topics
that come under the umbrella of environmental management共air,
water and soil quality, waste management, legal requirements,
audits, etc.兲, it was inevitable that environmental management
systems共EMS兲 would be developed to address all relevant issues
in an integrated manner The term EMS therefore refers to the totality of all things an organization does to monitor its effects
on the environment and manage its environmental affairs 共Ibbotson 1996; Darnall et al 2000兲 A review of some of the major elements in the development of EMS systems is presented below
Background
The first stage involved environmental guidelines or charters that were documents intended to assist businesses in managing and improving their environmental performance Usually not legally binding, they included broad statements general enough to be adopted by any organization wishing to protect the environment
A large number of these exist 共Loves 1999兲, but two examples include the Coalition of Environmentally Responsible Economies 共CERES兲 and the International Chamber of Commerce 共ICC兲 Business Charter for Sustainable Development
The CERES charter developed in 1989 espouses 10 principles that support a model corporate code of environmental conduct The charter requires the development of a comprehensive environmental policy, as well as an annual self-evaluation of environmental progress, made available to the public through
a CERES report 共i.e., in effect a monitoring process兲 The
10 CERES principles are comprehensive and a company endorsing them pledges to commit the organization to sustainable development as shown in the Introduction “…corporations must not compromise the ability of future generations to sustain themselves”共Brophy 1996兲
The ICC Business Charter for Sustainable Development how-ever is probably the most widely supported charter worldwide Developed in 1991 as a “code of conduct” for industry, it may be used as a framework for developing an environmental policy 共IISD 1998兲 Sixteen principles define the charter that describes environmental responsibilities with respect to aspects of health, safety, and product management Unlike CERES, the ICC does not monitor or control compliance to the charter claiming that commitment is a “good faith” process No annual report is
1
Dept of Civil and Environmental Engineering, Univ of Auckland,
Private Bag 92019, Auckland, New Zealand 共corresponding author兲.
E-mail: t.elefsiniotis@auckland.ac.nz
2 Dept of Civil Engineering, Univ of Canterbury, Private Bag 4800,
Christchurch, New Zealand.
Note Discussion open until December 1, 2005 Separate discussions
must be submitted for individual papers To extend the closing date by
one month, a written request must be filed with the ASCE Managing
Editor The manuscript for this paper was submitted for review and
pos-sible publication on May 19, 2003; approved on August 12, 2004 This
paper is part of the Journal of Professional Issues in Engineering
Edu-cation and Practice, Vol 131, No 3, July 1, 2005 ©ASCE, ISSN
1052-3928/2005/3-208–212/$25.00.
Trang 2released, however, the charter requires that “regular audits and
assessments of compliance” be performed, and that appropriate
information be periodically communicated to the board of
direc-tors, shareholders, employees, the authorities, and the public
Assessments however need not be scheduled, consistent or
comparable, and the released information is left to the
organiza-tion’s discretion 共Phyper and Ibbotson 1996兲 Although the
charter’s title includes sustainable development, the principles do
not explicitly reflect this concept as in the CERES principles
Many existing charters contain principles that can be classed
as commonsense, however, the style in which they are written can
cause repudiation of a charter For example, the CERES charter
makes a direct commitment to action, which to some
organiza-tions appears too demanding and unrealistic to adopt Thus, the
trend for many industries is to opt for other less demanding and
less stringent charters共Brophy 1996兲
Although many charter principles provide the qualitative
framework that underpins the development of an environmental
management system, the need to ensure a certain consistency
in EMS quality led to the second stage, which involved the
development of several national but voluntary environmental
management system standards in the 1990s The first standard to
emerge was the British Standard 7750 (BS 7750) developed by
the British Standards Institution共BSI兲 in 1992 This was followed
by the European Union’s 共EU兲 Eco-Management and Audit
Scheme 共EMAS兲 in 1993 At the same time, within the EU,
other nations chose to develop their own standards Ireland
developed IS 310, France X30-200, and Spain developed
UNE77-801 Outside Europe, South Africa developed SABS-0251, Canada
developed CSA 7750, while others simply chose to adopt BS7750
as their national EMS standard Although all provide similar
elements, variations in their levels of detail, implementation
pro-cedures, and requirements for accreditation led to confusion in
defining the relative significance of the various standards This
raised the necessity for one international standard that could cross
national boundaries In late 1996, the long awaited international
environmental management standard, the ISO 14000 series was
published, with the intention of crossing all trade and political
borders, as well as being applicable to any kind of organization
共GEMI 1996; Starkey 1996兲
ISO, as the International Organization for Standardization is
more commonly known, is not an acronym, but is in fact derived
from the Greek word ISO, meaning “equal ” The ISO’s focus
was initially on technical/scientific standards but in the 1980s,
technical committee 共TC 176兲 developed a quality management
standard in order to standardize one aspect of organizational
man-agement The result was the ISO 9000 series of international,
generic quality management standards adopted in 1987 In 1993,
TC 207 was created to develop a number of environmental
standards in different areas including standardization in the field
of environmental management, tools, and systems The scope of
the ISO 14000 environmental series of standards was similar to
the ISO 9000 standards in that the environmental standards were
process quality standards共Von Zharen 1996; Baker and McKeil
1998兲, and as such would not specify final product quality
objec-tives 共Cascio et al 1996兲 ISO 14000 is therefore a series of
environmental standards aimed at providing organizations with a
structured framework to manage their environmental impacts and
responsibilities; however, the emphasis is on the management
process which aims to be consistent and which in turn should
generate products of consistent quality
Some of the ISO 14000 series 共the Organization Evaluation
group兲 concentrate on the organization’s management,
environ-mental auditing, and environenviron-mental performance evaluation systems, while others 共the Product Evaluation group兲 include such things as environmental labeling, life cycle assessment procedures, and product standards In the latter case, there is an intuitive link to sustainable development because practices such
as Design for the Environment can be included, which involve answering questions about the life cycle of the product and its production process共DeMendonça and Baxter 2001兲
Although the Product Evaluation link to sustainability is strong, limited work has been done on assessing how the first
group of ISO 14000 series promotes the notion of sustainable
development In other words, it has been recognized by some companies that they have now become “clean”—but is that the same thing as “sustainable?” One aspect of this stems from the fact that many companies set targets long before they formalized their EMS The implementation of a standardized EMS may have helped them achieve their goals more effectively, but it may not necessarily have led to a change in the goals themselves; thus, many companies advocate that they would have achieved their environmental goals共i.e., become “green”兲 regardless of the EMS 共Steger 2000兲
The aim of this research was therefore to explore the ways and means the first group of standards共i.e., the Organization Group兲 promotes the notion of sustainable development In order to do
this it was decided to evaluate the ISO 14000 series of standards
in the context of a large engineering facility; namely, the Canadian provincial Crown Corporation of Manitoba Hydro The study focused on the Organization Evaluation standards
within the ISO 14000 series referring specifically to the ISO
14001 EMS specification, and the supporting guidance documents
and environmental auditing standards共ISO 1996a,b,c兲
Discussion
Manitoba Hydro’s Environmental Management Systems
As a member of the Canadian Electricity Association, Manitoba Hydro participates in a required, industry-wide environmental ini-tiative known as the Environmental Commitment and Responsi-bility共ECR兲 program Within the program, each electric utility is given freedom to determine the direction and scope of implemen-tation best suited for their organization; thus, to indicate the ex-tent of their commitment to the environment, Manitoba Hydro adopted 13 “principles of sustainable development” which far
sur-pass the minimal requirements of ISO 14001 共Dennis Windsor, personal communication, May 15, 1998兲
Manitoba Hydro resolved to develop and implement four EMSs within the corporation: one for each of four respective business units; corporate, power supply, transmission and distribution, and customer service and marketing To start with, Manitoba Hydro began to develop EMSs for the corporate and power supply business units The power supply business unit has
6 divisions: Finance and Administration, Power Planning, Generation North 共6 hydraulic generating stations兲, Generation South 共8 generating stations兲, High Voltage Direct Current 共3 converter facilities兲, and Operations and Engineering Services
It was decided that each separate facility/operation was to develop their own Local EMS 共LEMS兲, and that the cumulative LEMS would establish the Business Units’ EMS Each facility/operation would have its own environmental objectives that must include the corporate environmental policy and conform to the overall
Trang 3business plan As there are many overlaps and linkages between
business units, the same would be true for the EMSs Manitoba
Hydro then elected to develop an EMS for each Business Unit
comprised of cumulative LEMS
Two approaches can be taken with regards to certification
although it is not required by the ECR, since only the
implemen-tation of an ISO-like EMS is required The first approach involves
individual site certification which allows gradual certification of
units as soon as the LEMS are implemented Since this approach
does not depend on the progress of other units, it shows
immedi-ate commitment to the environment; however, individual site
registrations can result in less cohesiveness between the systems
The second approach involves certifying each of the business
units, which although more complicated would ensure an overall
better corporate wide system cohesiveness Manitoba Hydro
selected the first approach and their first six power stations were
certified by the year 2000共Manitoba Hydro 2000兲
General Criticisms of ISO 14000 Series
and Their Application to Manitoba Hydro
As mentioned, the ISO 14000 series offer an organization the
tools and systems to manage their environmental responsibilities
Much confusion however has arisen about the standards within
the series, for example, ISO 14001 It is commonly misconceived
as a “performance” standard for the environment by both the
public and experienced environmental professionals alike Indeed,
many staff at Manitoba Hydro had this impression at the start of
this research共Dennis Windsor, personal communication, June 5,
1998兲 The assumption that the ISO has set standards for
environ-mental protection is reported elsewhere 共Gleckman and Krut
1997兲, but in fact, as intimated earlier, the ISO series are
“pro-cess” rather than performance and/or “compliance” standards
Al-though the series were developed according to the mandate of
their authors, many therefore believe that they do not make
enough of a commitment to the environment and, that in order to
mitigate pollution, environmental goals are required共Cascio et al
1996兲
Another point of confusion arises because compliance with
the ISO specification requires conformance to the series, not the
demonstration of environmental performance As a management
system addressing environmental issues, the premise behind
the specification is that if the system is continually improved,
eventually so should the organization’s environmental
perfor-mance Although implied, compliance and/or certification does
not mean that the organization produces more environmentally
sound products, or that its activities or services are more
environ-mentally sensitive Improvements in the environmental
manage-ment system are intended to result in additional improvemanage-ments in
environmental performance, but, as ISO 14001 states, adopting
the standard will not in itself guarantee optimal environmental
outcomes共ISO 1996a兲 Thus, two organizations that have
differ-ent environmdiffer-ental performance and differdiffer-ent goals may both be in
conformation with the specification, and may therefore be
certi-fied共ISO 1996a兲
A third issue involves the actual certification process When an
organization seeks certification, it defines the scope of the
certifi-cation audit This may include single or multiple sites, facilities,
or processes, and may exclude others The idea is to offer a
cor-poration the flexibility to register units separately, as Manitoba
Hydro has opted共Manitoba Hydro 2000兲 or under one certificate
However, this flexibility also allows for a misleading situation to
arise, whereby a facility receives ISO 14001 certification, but only
for their narrowly defined scope Such an occurrence took place
in Ontario Hydro, where a nuclear generating station was ISO
14001 certified, but the scope of the audit excluded the nuclear
generating process, which can potentially impact the environment significantly 共C Camplong, personal communication, 1998兲 Should a serious situation arise at this facility, it would reflect badly on all utilities, while discrediting the ISO certification pro-cess and potentially the ECR program
Additionally, the organization, within its policy, is required to commit to comply with relevant environmental legislation and other requirements Surprisingly, an organization can be certified
to the ISO 14001 standard while not being in compliance with
all relevant environmental legislation The organization must only
be able to demonstrate conformance to the system 共commitment
to comply兲 rather than compliance to legislation During an environmental certification audit, auditors will verify that these commitments are fulfilled, in addition to the requirements of the standard In the case of Manitoba Hydro, “other requirements” refers to their sustainable development principles, ECR, and all other programs, initiatives, and commitments made
Another criticism that is an impediment to embracing the ISO
14000 series is the language used in the standards Unclear
word-ing that is open to broad and varied interpretation poses difficul-ties for any organization implementing the series This was a common complaint that surfaced among the staff at Manitoba Hydro共Loves 1999兲 The consequence of unclear wording is that the organization cannot be sure that its interpretations will match those of the external certification auditor should the organization choose to become certified Clarity and consistency in the series definitions of various tools and strategies and their order of pref-erence would make it easier for facilities to understand what they should be striving toward to improve their EMSs共Barkett 1998兲
For example, the ISO 14001 standard has a requirement that a
commitment be made to continual improvement of the EMS and
to prevention of pollution, defined as “use of processes, practices, materials or products that avoid, reduce or control pollution, which may include recycling, treatment, process changes, control mechanisms, efficient use of resources and material substitution.” The phrase “prevention of pollution” therefore includes “end of pipe” solutions which is different from pollution prevention as commonly understood in the United States共where it is more in line with the concept of “source reduction”兲 Since a commitment
to prevention of pollution is stated in the policy section of the standard, inclusion of a waste minimization hierarchy may help
to elucidate what a “commitment to prevention of pollution” actually means
ISO 14001 requires that an organization’s “environmental
as-pects” over which it has influence be identified Environmental aspects are any “element of an organization’s activities, products,
or services that can interact with the environment.” The EMS is required to determine which aspects have or can have a signifi-cant environmental impact; with impact defined as “any change to the environment, whether adverse or beneficial, wholly or par-tially resulting from an organization’s activities, products or ser-vices.” The terms “aspect” and “impact” lack clarity of definition and direction Furthermore, “significant” is not defined in the
standard and is only developed slightly further in ISO 14004,
Similarly, when establishing environmental objectives and targets the organization has to consider legal and other requirements, significant environmental aspects, technological options, finan-cial, operational, and business requirements and the views of in-terested parties Without performance requirements, the word
“consider” seems to be open to interpretation
Trang 4A final example of unclear wording relates to the term “best
available technology” which is not required by ISO 14001 in
order to avoid prescribing performance The standard does make
reference to best available technology as follows: “in order to
achieve environmental objectives, an EMS should encourage
or-ganizations to consider implementation of the best available
tech-nology, where appropriate and where economically viable.” The
fact that best available technology is mentioned a number of
times but is not required points to the compromises made by TC
207 between those that wanted to include it in the specification
and those that thought it was too performance oriented共Baker and
McKeil 1998兲 It is also apparent that the use of “soft” words such
as “appropriate,” and consider open opportunities for
organiza-tions to minimize the investments they make in the system so
long as they substantiate their decisions
A concluding comment is that an organization is required to
“consider processes for external communication on its significant
environmental aspects and record its decision.” Previous
stan-dards such as EMAS require that an organization publish registers
of their significant environmental effects, as well as publishing an
annual environmental statement External reporting is a proactive
communication vehicle demonstrating an organization’s
commit-ment to its policies, the environcommit-ment, and the public’s concerns
In that sense, ISO appears to be weak in this area since it does not
make it a requirement Manitoba Hydro however is reasonably
transparent in that it publishes a biennial sustainable development
report and is also required by ECR to publish an annual report
including environmental performance as measured by specific
indicators
In summary, the ISO 14000 series is intended to be a flexible
tool that allows an organization to determine its own level of
commitment to environmental performance The widespread
adoption of the series reflects the fact that they are seen by
indus-tries to be a reasonable tool for the effective management of
environmental responsibilities and commitments However, the
absence of any specific how to instructions, the lack of
clarifica-tion of anticipated final products, and the lack of clear direcclarifica-tion
and ambiguous language, all tend to confuse matters rather than
simplify the issues Because ISO 14001 does not specify any
per-formance requirements, it has been criticized as being too weak
It can be applied to all types of organizations and, in order to be
widely applicable, has been accused of applying the lowest
com-mon denominator for environmental protection To illustrate the
ISO 14001 EMS’ intent, Joe Cascio, the Chairman of the U.S.
Technical Advisory Group in 1994, summed up the system by
stating that he did not care “how much waste an ISO-certified
firm dumps into a river What was important is that the company’s
EMS knows it happened”共Gleckman and Krut 1997兲 This clearly
reinforces that fact that the ISO series measures conformance not
performance
Sustainable Development and ISO 14000 Series
To explore the relationship between the ISO 14000 series and
sustainability, it might seem sensible that there should be
agree-ment about what sustainability means However, it is probably
unrealistic to expect a tight definition to emerge Previous
genera-tions could not readily envision the world of today, therefore,
it will always be difficult to “secure the needs of the future”
when they can only be perceived as an extrapolation of present
needs Despite questions about “how far” in the future and to
“what level” one should protect the environment, the lack of
definitive answers should not be considered insuperable barriers
to implementation The reason is because it is not necessary to be able to define a concept in order to implement it
For example, since the time of Socrates and Plato, there have been arguments about the notion of justice—with regards to its meaning and definition The inability to define justice has, how-ever, not stopped the implementation of a system that has as its roots the principle of identifying unjust situations and trying to eliminate them This is called a legal system rather than a justice system because of the tacit recognition of society’s inability to define justice The consequence of moving away from unjust practices is an inevitable shift toward justice In the same manner, regardless of difficulties with the definition of sustainability, it is apparent that unsustainable practices can be clearly identified and eliminated Inevitably therefore society will move towards sus-tainability For instance, on a personal level, every time an indi-vidual makes a choice to install energy-efficient heating systems and/or undertakes better insulation practices, they move towards a sustainable society—even though a particular energy source may
be unsustainable in the longer term
Identifying unsustainable practices means that society should also resist thinking about sustainability solely in terms of a ma-terialistic dimension That is, sustainability is much more than the idea that the flow of matter and energy through a system should not exhaust resources and pollute the environment 共Harremoes
1996兲 Sustainability encompasses a much greater range of under-standing, including socioeconomic factors such as world economy, social inclusion and exclusion, and planning and devel-opment For years, environmentalists have seen a basic conflict with a one-dimensional analysis, in that the real changes that are going to make a difference are not technological but behavioral They advocate that sustainability cannot be achieved without a fundamental change in mankind’s basic education, ethical values, and religious beliefs共Harremoes 1996; Wareham and Elefsiniotis 1996兲 Without a change in thinking, impelled by basic values and anchored in the concepts of rights and responsibilities, the present model of interaction with the environment will be doomed to remain ecologically destructive, primarily because it is ethically vacuous
The thesis that sustainability has an ethical dimension has been hinted at before 共Cywinski 2001; Wilkinson et al 2001兲 The ethical dimension however has to be more than rhetoric and must
be anchored in something tangible In other words, it must be an operational principle that restructures one’s relationship with the environment in a practical manner Only then will industries be able to establish environmental programs and long-range conser-vation policies For example, one of the 13 principles espoused by Manitoba Hydro with respect to sustainable development is waste minimization, which describes explicitly a hierarchy for waste management decisions that require the organization to eliminate
or reduce as the primary choice, followed by reuse and recycling, and finally, disposal of the waste in an environmentally sound manner共Manitoba Hydro 2000兲
If indeed, sustainability can be thought of as an ethical notion, then, just as for other ethical notions, it transforms itself into a declared activity rather than a defined activity It becomes there-fore of the same ilk as justice共that is seen to be done兲 and truth 共that is held to be self evident兲 If this is the case, then despite the
criticisms leveled earlier about the ISO 14000 series of standards,
it is advocated that the very act of declaration of an industry共i.e., bringing its EMS into conformance with the standards兲 is
funda-mentally in tune with the spirit of sustainability The ISO 14000
Trang 5series in effect then becomes an ethical, but operational approach
to sustainable development
Conclusions
As has been discussed, the ISO 14000 environmental
manage-ment series of standards have a number of weaknesses These
include the facts that they do not define any environmental
per-formance goals and that the language is sometimes ambiguous,
which may give rise to different interpretations and complicate
implementation Despite this, their widespread adoption makes it
clear that they are seen by industries to be a reasonable tool for
the effective management of environmental responsibilities and
commitments One reason for this may be that they represent an
operational approach that, at the philosophical level, resonates
with the notion of sustainable development
Acknowledgments
The research for this paper was done while the senior author was
affiliated with the University of Manitoba, Winnipeg, Man.,
Canada Special thanks go to Ms Orly Loves who provided
some of the fundamental background information to this study
Also thanks go to Ms Shannon Graves who supplied some of the
references The financial assistance provided by Manitoba Hydro
and the support of the EMS team at Manitoba Hydro is gratefully
acknowledged and appreciated
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