CSA PLUS 14000-2004 The ISO 14000 essentials A practical guide to implementing the ISO 14000 Standards (Second Edition)《ISO 14000基本使用指南去贯彻ISO 14000标准 第2版》.pdf

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1、Published in December 2004 by Canadian Standards AssociationA not-for-profit private sector organization5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N61-800-463-6727 416-747-4044Visit our online store at www.ShopCSA.caCSA Special PublicationPLUS 14000The ISO 14000 essentials A pra

2、ctical guide toimplementing theISO 14000 Standardshe ISO 15189:2ISBN 1-55397-667-3Technical Editor: Darryl Neate Canadian Standards Association 2004All rights reserved. No part of this publication may be reproduced in any form whatsoever without the prior permission of the publisher. All references

3、to ISO 14001 and ISO 14004 in this guide refer to the text from the Canadian adoptions of these Standards CAN/CSA-ISO 14001 and CAN/CSA-ISO 14004 the text of which is identical to that contained in ISO 14001 and ISO 14004.AcknowledgementsCSA would like to thank the following individuals for their ti

4、me and effort in preparing this guide:Dennis Durrant, AMD ConsultancyPhil Stapleton, Glover-Stapleton AssociatesJohn Fraser, QMIBasil Dutton, CSA Learning CentreAngus Henderson, Angus Henderson Management Inc.Lynn Johannson, E2 Management CorporationBarry McDougall, Deloitte ISO 9001:2000, Quality m

5、anagement systems Requirements; ISO 9004:2000, Quality management systems Guidelines for performance improvements; and a shared document, ISO 19011, Guidelines for quality and/or environmental management systems auditing published in 2002. In addition to using the ISO 19011 joint quality/environment

6、al auditing Standard, the ISO 9000:2000 family shares a number of similar management system principles with the ISO 14000 series, including top management commitment and continual improvement. There is also a larger degree of correspondence of document structure, a higher level of compatibility of t

7、echnical requirements, and more use of common terms and definitions than in previous editions of the ISO 9000 and ISO 14000 series.1.4 Layout of this handbookThis handbook on ISO 14001:2004 consists of the following four sections:1 Introduction to this handbookThe first section discusses the intent

8、and layout of the handbook.2 ISO 14001:2004 and other related documents The second section introduces the ISO 14001:2004 Standard and discusses its relationship to other related documents.3 Implementation and useThe third section includes information on topical issues related to the application of t

9、he ISO 14001:2004 requirements.4 Environmental management systemThe fourth section includes the complete text of the ISO 14001:2004 requirements, as well as the guidance in Annex A from ISO 14001:2004. This is supplemented by guidance on changes included in the second edition, guidance on an organiz

10、ations ability to integrate requirements with ISO 9001:2000, and additional material from ISO 14004. The section is organized as follows: Canadian Standards Association The ISO 14000 essentialsDecember 2004 3Layout of Section 4 of this handbookSecond edition changesA succinct description of key chan

11、ges to ISO 14001:1996. Changes relate to issues of clarification, compatibility or requirements. Integration with ISO 9001 Guidance describing an organizations ability to integrate its ISO 14001 and ISO 9001 management systems.ISO 14004:2004This section contains selected excerpts of the correspondin

12、g guidance and supporting techniques contained in ISO 14004:2004. These are intended to provide additional focus and insight to the informative guidance in Annex A of ISO 14001:2004.Also included are additional guidance and information based on various published CSA environmental management system p

13、ublications. They include:a) CSA PLUS 1113, First steps to environmentally responsible management: A comprehensive workbook for environmental policy development;b) CSA PLUS 1117, Competing leaner, keener and greener: A small business guide to ISO 14000; andc) CAN/CSA-Z825, Guide to ISO 14001 for aud

14、itors and users (withdrawn).ISO 14001:2004 StandardExtracted text of the environmental management system requirements contained in Clause 4 of ISO 14001:2004.ISO 14001:2004 AnnexExtracted text of the guidance contained in Annex A of ISO 14001:2004.Establishing or improving an EMSTerms and conceptsTh

15、is section contains definitions of terms from ISO 14001:2004 and additional guidance from the publications mentioned above.PLUS 14000 Canadian Standards Association4 December 2004This section contains audit questions prepared by the Quality Management Institute (QMI), a division of CSA Group.2 ISO 1

16、4001:2004 and other related documents2.1 Introduction to ISO 14001:2004 (from the Introduction Section of ISO 14001:2004)Organizations of all kinds are increasingly concerned with achieving and demonstrating sound environmental performance by controlling the impacts of their activities, products and

17、 services on the environment, consistent with their environmental policy and objectives. They do so in the context of increasingly stringent legislation, the development of economic policies and other measures that foster environmental protection, and increased concern expressed by interested partie

18、s about environmental matters and sustainable development.Many organizations have undertaken environmental “reviews” or “audits” to assess their environmental performance. On their own, however, these “reviews” and “audits” may not be sufficient to provide an organization with the assurance that its

19、 performance not only meets, but will continue to meet, its legal and policy requirements. To be effective, they need to be conducted within a structured management system that is integrated within the organization.International Standards covering environmental management are intended to provide org

20、anizations with the elements of an effective environmental management system (EMS) that be integrated with other management requirements and help organizations achieve environmental and economic goals. These standards, like other International Standards, are not intended to be used to create non-tar

21、iff trade barriers or to increase or change an organizations legal obligations.ISO 14001:2004 specifies requirements for an environmental management system to enable an organization to develop and implement a policy and objectives which take into account legal requirements and information about sign

22、ificant environmental aspects. Checklist questions Canadian Standards Association The ISO 14000 essentialsDecember 2004 5It is intended to apply to all types and sizes of organization and to accommodate diverse geographical, cultural and social conditions. The basis of the approach is shown in Figur

23、e 1. The success of the system depends on commitment from all levels and functions of the organization, and especially from top management. A system of this kind enables an organization to develop an environmental policy, establish objectives and processes to achieve the policy commitments, take act

24、ion as needed to improve its performance and demonstrate the conformity of the system to the requirements of ISO 14001:2004. The overall aim of ISO 14001:2004 is to support environmental protection and prevention of pollution in balance with socio-economic needs. It should be noted that many of the

25、requirements can be addressed concurrently or revisited at any time.The second edition of ISO 14001:2004 is focused on clarification of the first edition, and has taken due consideration of the provisions of ISO 9001 to enhance the compatibility of the two standards for the benefit of the user commu

26、nity.For ease of use, the subclause numbers in Clause 4 of the body of this Standard and in Annex A have been related. For example, 4.3.3 and A.3.3 both deal with objectives, targets and programme(s), and 4.5.5 and A.5.5 both deal with internal audit. In addition, Annex B identifies broad technical

27、correspondences between ISO 14001:2004 and ISO 9001:2000 and vice-versa.There is an important distinction between ISO 14001:2004, which describes the requirements for an organizations environmental management system and can be used for certification/registration and/or self-declaration of an organiz

28、ations environmental management system, and a non-certifiable guideline intended to provide generic assistance to an organization for establishing, implementing or improving an environmental management system. Environmental management encompasses a full range of issues, including those with strategi

29、c and competitive implications. Demonstration of successful implementation of ISO 14001:2004 can be used by an organization to assure interested parties that an appropriate environmental management system is in place.PLUS 14000 Canadian Standards Association6 December 2004Guidance on supporting envi

30、ronmental management techniques is contained in other International Standards, particularly those on environmental management in the documents established by ISO/TC 207. Any reference to other International Standards is for information only.ISO 14001:2004 contains only those requirements that can be

31、 objectively audited. Those organizations requiring more general guidance on a broad range of environmental management system issues are referred to ISO 14004.It should be noted that ISO 14001:2004 does not establish absolute requirements for environmental performance beyond the commitments in the e

32、nvironmental policy, to comply with applicable legal requirements and with other requirements to which the organization subscribes, prevention of pollution and to continual improvement. Thus, two organizations carrying out similar operations but having different environmental performance can both co

33、nform to its requirements.The adoption and implementation of a range of environmental management techniques in a systematic manner can contribute to optimal outcomes for all interested parties. However, adoption of ISO 14001:2004 will not in itself guarantee optimal environmental outcomes. In order

34、to achieve environmental objectives, the environmental management system can encourage organizations to consider implementation of the best available techniques, where appropriate and where economically viable and fully take into account the cost-effectiveness of such techniques. Canadian Standards

35、Association The ISO 14000 essentialsDecember 2004 7NOTE ISO 14001:2004 is based on the methodology known as Plan-Do-Check-Act (PDCA). PDCA can be briefly described as follows: Plan: establish the objectives and processes necessary to deliver results in accordance with the organizations environmental

36、 policy. Do: implement the processes. Check: monitor and measure processes against environmental policy, objectives, targets, legal and other requirements, and report the results. Act: take actions to continually improve performance of the environmental management system.Many organizations manage th

37、eir operations via the application of a system of processes and their interactions, which can be referred to as the “process approach”. ISO 9001 promotes the use of the process approach. Since PDCA can be applied to all processes, the two methodologies are considered to be compatible.Figure 1Environ

38、mental management system model for ISO 14001:2004Continual improvementCheckingManagementreviewEnvironmentalpolicyPlanningImplementationand operationPLUS 14000 Canadian Standards Association8 December 2004ISO 14001:2004 does not include requirements specific to other management systems, such as those

39、 for quality, occupational health and safety, financial or risk management, though its elements can be aligned or integrated with those of other management systems. It is possible for an organization to adapt its existing management system(s) in order to establish an environmental management system

40、that conforms to the requirements of ISO 14001:2004. It is pointed out, however, that the application of various elements of the management system might differ depending on the intended purpose and the interested parties involved.The level of detail and complexity of the environmental management sys

41、tem, the extent of documentation and the resources devoted to it depend on a number of factors, such as the scope of the system, the size of an organization and the nature of its activities, products and services. This may be the case in particular for small and medium-sized enterprises. Canadian St

42、andards Association The ISO 14000 essentialsDecember 2004 92.2 Relationship between this handbook and other related documents2.2.1 Diagram Figure 2Relationship between this handbookand other EMS documentsPrimary audienceISO 14000Essentials(CSA PLUS 14000)EMS elementsISO 14001CSA PLUS 1113CSA PLUS 11

43、45CAN/CSA-Z731EnvironmentalpolicyCSA PLUS 1117ISO 14004CSA PLUS 1137Implementationand operationChecking andcorrectiveactionManagementreviewPlanningAllorganizationsEMSauditorsSmall andmedium-sizedorganizationsCSA Z764PLUS 14000 Canadian Standards Association10 December 2004Figure 2 represents the int

44、errelationships among the ISO 14001 and ISO 14004 Standards, other related documents, and The ISO 14000 essentials second edition handbook. 2.2.2 Abstracts for each documentCSA PLUS 1113, First steps to environmentally responsible management: A comprehensive workbook for environmental policy develop

45、ment, is a workbook for organizations of all sizes. It can be used by a single person in a small organization or by an environmental committee or task group in a larger organization. The workbook also introduces some of the basic concepts of environmental management.CSA PLUS 1117, Competing leaner,

46、keener and greener: A small business guide to ISO 14000, is a workbook intended to be a business tool for small and medium-sized enterprises. It is designed to introduce the user to an environmental management system (EMS) that is aligned with the five key principles and elements of the ISO guidance

47、 standard, ISO 14004. It is interactive and patterned so that an EMS based on international standards can be developed within the resource limitations of smaller organizations.CSA PLUS 1137, Checklist for environmental management systems, is a checklist based on Clause 4 of ISO 14001, which describe

48、s the requirements for an effective EMS. The series of questions may be used in a registration audit, in which certified and qualified auditors review an organizations EMS performance, or as part of a “self-audit” by an organizations EMS representative. The checklist questions have been designed to

49、identify every feature of an EMS that should be evaluated in auditing, whether the audit is conducted for the purposes of registration or for internal review.CSA PLUS 1145, A guide to identifying significant environmental aspects, provides guidance on possible methodologies for one of the key components of an EMS and its operation. This document does not add to, nor does it diminish the requirements of ISO 14001, nor does it provide the only acceptable methodologies for this task or requirement.CAN/CSA-Z731, Emergency pre