ISO 14000 Environmental Management Standards

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ISO 14000EnvironmentalManagement StandardsEngineering andFinancial AspectsALAN S. MORRISDepartment of Automatic Control and Systems EngineeringUniversity of Sheffield, UKJohn Wiley & Sons, Ltd

ISO 14000 EnvironmentalManagement Standards

ISO 14000EnvironmentalManagement StandardsEngineering andFinancial AspectsALAN S. MORRISDepartment of Automatic Control and Systems EngineeringUniversity of Sheffield, UKJohn Wiley & Sons, Ltd

Copyright 2004John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester,West Sussex PO19 8SQ, EnglandTelephone( 44) 1243 779777Email (for orders and customer service enquiries): our Home Page on or www.wiley.comAll Rights Reserved. No part of this publication may be reproduced, stored in a retrieval system ortransmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning orotherwise, except under the terms of the Copyright, Designs and Patents Act 1988 or under the termsof a licence issued by the Copyright Licensing Agency Ltd, 90 Tottenham Court Road, London W1T4LP, UK, without the permission in writing of the Publisher. Requests to the Publisher should beaddressed to the Permissions Department, John Wiley & Sons Ltd, The Atrium, Southern Gate,Chichester, West Sussex PO19 8SQ, England, or emailed to, or faxed to( 44) 1243 770620.This publication is designed to provide accurate and authoritative information in regard to thesubject matter covered. It is sold on the understanding that the Publisher is not engaged in renderingprofessional services. If professional advice or other expert assistance is required, the services of acompetent professional should be sought.Other Wiley Editorial OfficesJohn Wiley & Sons Inc., 111 River Street, Hoboken, NJ 07030, USAJossey-Bass, 989 Market Street, San Francisco, CA 94103-1741, USAWiley-VCH Verlag GmbH, Boschstr. 12, D-69469 Weinheim, GermanyJohn Wiley & Sons Australia Ltd, 33 Park Road, Milton, Queensland 4064, AustraliaJohn Wiley & Sons (Asia) Pte Ltd, 2 Clementi Loop #02-01, Jin Xing Distripark, Singapore 129809John Wiley & Sons Canada Ltd, 22 Worcester Road, Etobicoke, Ontario, Canada M9W 1L1Wiley also publishes its books in a variety of electronic formats. Some content that appears in printmay not be available in electronic books.Library of Congress Cataloging-in-Publication DataMorris, Alan S., 1948–ISO 14000 environmental management standards: engineering and financial aspects /Alan S. Morris.p. cm.Includes bibliographical references and index.ISBN 0-470-85128-7 (alk. paper)1. ISO 14000 Series Standards. 2. Environmental protection – Standards. I. Title.TS155.7.M64 2004658.4 08 – dc222003058345British Library Cataloguing in Publication DataA catalogue record for this book is available from the British LibraryISBN 0-470-85128-7Typeset in 10/12pt Times by SNP Best-set Typesetter Ltd., Hong KongPrinted and bound in Great Britain by Antony Rowe Ltd, Chippenham, WiltshireThis book is printed on acid-free paper responsibly manufactured from sustainable forestryin which at least two trees are planted for each one used for paper production.

ContentsDedicationixPrefacexi1Introduction1.1 General approach to developing an environmentalmanagement system1.2 Summary of requirements of ISO 140011.3 Other ISO 14000 standards1.4 Engineering aspects of ISO 14001 requirements1.5 What is essential and what is not when implementing ISO 14001?References1568911122 Design and Implementation of ISO 14001 EnvironmentalManagement Systems2.1 Design of an environmental management system2.2 Environmental management system implementation2.3 Environmental management system costing2.4 Environmental management system audits2.5 ISO 14001 registration2.6 Publicity about good environmental performanceReference13141733363839393 Measurement Systems in Environmental Management3.1 Choosing suitable measuring instruments3.2 Calibration of measuring instruments3.3 Documentation of measurement and calibration systemsReferences41425361634 Measurement System Errors4.1 Random errors4.2 Systematic errors4.3 Error reduction using intelligent instruments4.4 Total measurement system errorsReferences656678868890

viContents5 Measurement Signal Conversion, Processing, Transmission and Recording5.1 Variable conversion elements5.2 Signal processing5.3 Signal transmission5.4 Signal recording9191951061126 Quantification and Effects of Air Pollution6.1 Air pollution sources and effects6.2 Measurement of air quality: particulate matter content6.3 Measurement of air quality: concentration of pollutinggaseous productsReferences1171171207 Quantification and Effects of Water Pollution7.1 Sources and forms of water pollution7.2 Consequences of water pollution7.3 Water sampling in rivers7.4 Testing of river water for pollutionReferences1351351361381391478 Control of Air and Water Pollution8.1 Air pollution control8.2 Water pollution controlReferences1491491561579 Noise, Vibration and Shock Pollution9.1 Noise9.2 Vibration9.3 Shock15915916317012213310 Waste Management10.1 Waste reduction10.2 Waste disposalReferences17317317718111 System Reliability and Risk Assessment for Environmental Protection11.1 Definitions11.2 Identifying hazards11.3 Risk assessment11.4 Risk analysis11.5 Risk management11.6 Reliability analysis11.7 References and further reading18318418418618819019020112 Statistical Process Control12.1 Conditions for application of statistical process control12.2 Principles of statistical process control203204205

Contents12.312.412.512.6XBAR chart (or MEAN chart)CUSUM chart (cumulative sum chart)RANGE chart (R chart)Summary of control chartsReferencesvii20621221421821813 Monitoring Process Parameter Values to Minimise Pollution Risk13.1 Temperature measurement13.2 Pressure measurement13.3 Flow measurement13.4 Level measurementReferences219220235244257265Appendix 1267Summary of ISO 14000 Series StandardsAppendix 2 Typical Structure of an Environmental ManagementSystem Manual271Index283

DedicationTo the memory of Cyril, Joan and Glyn.

PrefaceThere is widespread concern about environmental matters in all developed countriesaround the world, and public interest in this is now so great that the implementationand operation of an efficient and effective environmental management system (EMS)is as important to the financial well-being of a company as it is to the environmentthat it is intended to protect. Apart from incurring financial penalties when environmental protection legislation is breached, a greater problem that businesses face isthat poor environmental performance can lead to a boycott of a company’s productsand services by customers, with consequential serious damage to its financial health.In extreme cases, the general public may also take direct action that hinders or evenshuts down a company’s operations.ISO 14000 is a descriptor for a set of standards that have been developed inresponse to this global concern about the environment. These standards represent aconsensus agreement by national standards bodies around the world about theprocedures that need to be followed in establishing an effective EMS. The primarystandard amongst this set is ISO 14001, and the fundamental aim of this book is tocover the procedures that should be implemented by a company in order to satisfythe requirements laid down in this standard.Environmental management to ISO 14001 standards is of similar importance toquality management to ISO 9001 standards in today’s businesses, and the linkagebetween the two will be stressed in the text. Apart from the need to satisfy the stringent environmental control legislation that exists in most developed countries, theimage of a company is damaged if pollution incidents occur, particularly if these areidentified by environmental pressure groups, and this can have a severe impact onthe marketability of products and services provided by the company. Conversely,ISO 14001 certification can have a very positive impact on a company’s business, inview of the widespread public interest that now exists in environmental protection.Whilst many texts are available that cover the management considerations in implementing environmental protection procedures that satisfy ISO 14001, these usuallygive little guidance about the necessary engineering procedures that are involved, orthe associated financial implications. This text is intended to fill that gap, and itsprimary aim is therefore to provide a cross-disciplinary approach that bridges themanagement field and the engineering field. The book firstly presents the requirements of ISO 14001 environmental management systems, secondly summarises thecompany management schemes and procedures required for implementation of ISO

xiiPreface14001 systems, and thirdly discusses the engineering considerations and proceduresnecessary to ensure the successful operation of ISO 14001 systems. The relevantfinancial considerations are discussed throughout.Chapter 1 provides an introduction to the ISO 14000 family of standards and summarises the main requirements of ISO 14001. Comparison with the requirements ofthe quality assurance standard ISO 9001 are also made, with guidance about howcompanies that already have expertise with ISO 9001 can use it beneficially in applying ISO 14001. Particular emphasis is given to the engineering considerations inapplying ISO 14001, in terms of parameter measurement and recording, fault detection, waste reduction, equipment design and provision of emergency response procedures to minimise environmental damage when faults occur. Comment is also madeabout the need to tailor the EMS to the requirements of each situation and not toincur unnecessary costs in overspecifying the system.Chapter 2 continues on from the brief introduction provided in Chapter 1 andexplains the design and implementation of an ISO 14001 EMS in greater depth. Thefirst section in this chapter covers the general design principles of an EMS. The following section then discusses the implementation of an EMS, and is subdivided intothree subsections that cover respectively the general requirements, including therequired level of documentation, the measurement and calibration requirements, and,finally, other engineering issues. The financial costs and benefits of operating an EMSare then discussed and evaluated in Section 2.3. Following this, the final three sections in this chapter cover, respectively, internal and external EMS auditing procedures, the procedure for getting ISO 14001 registration for the system, and adviceabout the need to publicise the environmental performance in order to maximise thefinancial benefits of operating the system.The largest engineering contribution to the successful operation of an EMS is inthe provision of systems that monitor system performance and measure environmental parameters. There is a particular requirement specified in ISO 14001 for theestablishment of good measurement and calibration practices, so that the quality ofmeasurements related to environmental management systems can be guaranteed, andproof established that the EMS is successfully ensuring that pollution does not exceeddefined levels of acceptability. Because good measurement practice is so critical tothe success of the EMS, two chapters in the book are devoted to the various aspectsof this. The first of these (Chapter 3) describes the design of measurement systems,and covers the choice of instruments with appropriate characteristics, certified calibration procedures, documentation requirements and cost considerations. Followingthis, Chapter 4 considers measurement system errors, and describes procedures toensure that measurements provided as part of an EMS are of adequate quality fortheir intended purpose.The requirement to maintain accurate records of parameter measurements thatare made as part of operating the EMS is also emphasised in ISO 14001, andChapter 5 discusses the necessary mechanisms for this. This discussion starts withvariable conversion elements, which are often necessary to convert sensors outputsto a recordable form. Discussion then continues with a review of the various datatransmission mechanisms available, and the types of signal processing that are com-

Prefacexiiimonly necessary to maintain the accuracy and quality of data. Finally, the variousmeans available for making permanent records of data are discussed.The following block of chapters goes on to consider particular aspects of thecontrol of environmental pollution. Firstly, Chapter 6 covers the sources and effectsof air pollution and describes techniques for the quantification of air quality in termsof both particulate and gaseous pollutants. Chapter 7 provides a similar treatmentfor water pollution. Following this, Chapter 8 describes various ways of reducingair and water pollution by including appropriate features in plant design, and bydesigning, implementing and operating systems designed to control the emission ofpollutants. Finally, Chapter 9 discusses other forms of environmental pollution, andconsiders ways of measuring and controlling noise, vibration and shocks. Severalother engineering contributions to environmental protection are considered in thefinal four chapters, with emphasis on the financial considerations as well as theengineering aspects of each. Firstly, Chapter 10 discusses waste management andconsiders the various techniques that are available for reducing the amount of wasteproduced, including the application of mass-balance principles. Appropriate ways ofdisposing of waste that is produced are then considered, with the aim of minimisingthe environmental impact. In Chapter 11 that follows, procedures for assessing andquantifying the risk of pollution incidents when faults arise during the activities ofa company are considered for both manufacturing operations and the provision ofservice functions. Various techniques to analyse and reduce risk are also discussed.In addition, this chapter covers reliability analysis, and describes various ways ofassessing and improving the reliability of both normally operating plant and alsospecial, emergency-response equipment. Chapter 12 continues on the theme of environmental protection through fault detection, by considering the technique of statistical process control and its role in detecting potentially pollution-creating situationsat an early stage, thus allowing remedial action to be taken before serious pollutionincidents have occurred. The principles of this, conditions for application and themain types of control chart used, are all covered. Finally, the accurate measurementof process variables in manufacturing systems is considered in Chapter 13, with separate sections covering temperature, pressure, fluid flow rate and level measurement.The importance of such measurements in ensuring that process plant operates asintended, without deviation of parameters from normal values that will cause a pollution risk, is emphasised.Two appendices are provided. Appendix 1 summarises the main content of eachstandard within the ISO 14001 family. Appendix 2 provides a suggested layout forthe EMS manual, which is a mandatory part of any EMS that conforms to therequirements of ISO 14001.In terms of intended readership, the emphasis on the engineering aspects of environmental management systems, and the associated financial considerations, meanthat the book is targeted primarily at company personnel who are concerned withdeveloping, implementing, maintaining and modifying environmental managementsystems. However, it is anticipated that it will also be used by personnel at company management level who are directing environmental policy. The difficulties indiscussing technical matters in language that is understandable to nontechnical

xivPrefacepersonnel are well understood by the author. Therefore, all areas in the book areintroduced in nontechnical language that is understandable to everyone, before goingon to cover the technical detail that is necessary for personnel who are designing andimplementing environmental management systems. This approach has been used successfully by the author previously (Measurement and Calibration Requirements forQuality Assurance to ISO 9000, John Wiley & Sons, 1997).

1IntroductionThere is now a considerable amount of public concern about the health of theenvironment in almost all developed countries of the world. As a consequence, theadoption by companies of procedures that minimise damage to the environment isbecoming an important ingredient in their success, and is almost as important as thequality of the goods and services that they provide. Any actions of companies thatlead to environmental pollution or damage, whether intended or not, cause widespread public anger that may lead to a boycott of the company’s products or services, or even more direct action that interferes with its operations. In addition tothis, environmental protection legislation is becoming increasingly stringent in mostcountries, and pollution incidents will, at best, lead to financial penalties and, atworst, result in orders to suspend operations until the cause of pollution is rectified.Thus, the implementation of an environmental management system (EMS) thatminimises damage to the environment through a company’s operations is becoming almost mandatory if the consequences of causing environmental damage are tobe avoided.‘ISO 14000’ is a global term for a set of standards that have been written inresponse to this need for environmental protection systems, in the same way that ISO9000 standards were written to satisfy the need for quality assurance systems tocontrol the goods produced and services supplied by companies. In fact, there is avery strong parallel between ISO 14000 standards and ISO 9000 standards, whichwill be discussed more fully later. Within the ISO 14000 series of standards, the fundamental standard that prescribes good practice in environmental management isISO 140011*. ISO 14001 specifies the various requirements that have to be satisfied* Like many other ISO standards that have international recognition, ISO 14001 is often published inindividual countries by national standards organisations written in identical words but with a slightlydifferent prefix or code to achieve harmony with pre-existing national coding systems for standards. Thus,it is available from the British Standards Institute as BS.EN.ISO14001 and the European Committee forStandardisation (CEN) as EN.ISO14001.ISO 14000 Environmental Management Standards: Engineering and Financial Aspects. Alan S. Morris. 2004 John Wiley & Sons, Ltd ISBN 0-470-85128-7

2ISO 14000 Environmental Management Standardsin setting up an effective EMS, such that the risks of pollution incidents and otherforms of environmental damage through the operations and activities of a companyare minimised.The clauses in ISO 14001 are written in a general way so that the standard can beapplied in a wide range of industries and in diverse geographical and social conditions. The guidelines specify the various procedures that need to be implementedin an EMS so that it successfully minimises environmental damage caused by theoperations and activities of a company, but the standard recognises that every situation and application is different. Therefore, the standard is not prescriptive abouthow environmental protection procedures should be implemented in any particularsituation, and does not set any particular emission targets, pollution levels or otherparameters by which effects on the environment can be measured, except for specifying that at least the minimum environmental targets defined in legislation must bemet. Some common examples of environmental targets set by legislation are limitson air and water pollution, waste management and waste reduction. Beyond suchenvironmental targets set by legislation, and in respect of other environmental effectsthat are not

14001 systems, and thirdly discusses the engineering considerations and procedures necessary to ensure the successful operation of ISO 14001 systems. The relevant financial considerations are discussed throughout. Chapter 1 provides an introduction to the ISO 14000 family of standards and sum-marises the main requirements of ISO 14001.

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