Elearning_ISO_17021_2_EMS.pptx

1.Life Cycle Concepts
Training on ISO 17021-Part 2- 2016
Specific EMS related competence
required for auditors
•April 2018 Version 1

2
Mar’18 Auditor Competence training on Environment-ISO/IEC 17021-2-2016
WHAT IS Life Cycle Assessment (LCA)
LCA is an environmental management tool to,
 Apply a Systematic Approach for Cross examination of Product Process & Services
with respect to their Environment performance/ Áp dụng phương pháp tiếp cận có hệ
thống để kiểm tra liên kết sản phẩm & Dịch vụ quy định đến trường hoạt động của
Môi trường của họ
 Use a multi-media (air, water, Land, energy, waste) approach Sử dụng phương pháp
tiếp cận đa phương tiện (không khí, nước, đất, năng lượng, chất nền)
 Identify better & environment friendly alternatives Xác định các lựa chọn thay thế tốt
hơn và thân thiện với môi trường
 Identify opportunities to improve systems Xác định các cơ hội để cải thiện hệ thống
 Support environmental decision making Hỗ trợ ra quyết định về môi trường
 Achieve sustainable development
Đạt được phát triển
This is a standardized tool for conducting a multi-media, cradle-to-grave assessment
Đây là một công cụ được tiêu chuẩn hóa để thực hiện một đánh giá đa phương tiện,
từ đầu đến cuối
“Compilation and evaluation of the inputs, outputs and the potential environmental
impacts of a product system throughout its life cycle”
“Tổng hợp và đánh giá các yếu tố đầu vào, đầu ra và các tác động môi trường
tiềm ẩn của hệ thống sản phẩm trong suốt vòng đời của nó”

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LCA- Sustainable Development
Sustainable Development requires balancing environmental, economic and social factors
Phát triển bền vững đòi hỏi phải cân bằng các yếu tố môi trường, kinh tế và xã hội

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LCA – Phases & Stages
Goal and
Scope
Definition
Inventory
Analysis
Impact
Assessment
Interpretation
Life cycle assessment framework
Manufacture
Disposal/recycling
Extraction and upstream production
Transport
Transport
Transport
USE
PHASES of LCA
Stages of LCA

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LCA - PHASES
LCA
Phases
 SETTING GOALS & SCOPE
 THIẾT LẬP MỤC TIÊU và PHẠM VI
 LCA INVENTORY
KHO HÀNG LCA
 LCA IMPACT
ASSESSMENT
 ĐÁNH GIÁ TÁC
ĐỘNG LCA
 INTERPITATION
GIẢI THÍCH

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Phase 1: Goal and Scope
Goal
Goal statement is the first
component of an LCA and
guides much of the
subsequent analysis
Goal must state:
Intended use
Reasons for study
Audience
Whether comparative and
disclosed to public
Scope
Scope provides background information, details
methodological choices, and lays out report
format
Scope includes:
Product system
Functions of systems
Functional unit
System boundary
Allocation procedures
Impact categories, assessment
method and interpretation type
•Data requirements
•Assumptions
•Limitations
•Initial data quality
requirements
•Type of critical review, if
any
•Type and format of report
Scope follows the goal and provides background
information, details methodological choices, and tells
how the report will be formatted.

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Phases 2 and 3: LCI and LCIA
Life Cycle Inventory (LCI) Phase
Data collection
As much input and output data as possible is collected
Can be presented in report or kept private, such as if confidentiality agreements warrant
Useful for other researchers that could use that data
Life Cycle Impact Assessment (LCIA) Phase
Conversion of inventory data into environmental impact potentials
Impact categories, indication, and characterization models are chosen
Data are grouped based on potential to cause certain environmental impacts (classification)
Input and output quantities converted to potential impacts based on characterization factors
(characterization)

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Phase 4: Interpretation
Continually ongoing during assessment to help guide other phases
Discussion of inventory analysis and impact assessment results
in LCA study
◦ In an LCI study, only inventory needs to be discussed
Can be modeled as conclusions and recommendations to the
decision maker
Should be consistent with and based on goal and scope of the study
Should reflect the various uncertainties inherent in LCA including:
◦ LCA is based on a relative approach using a functional unit
◦ Impacts are “potential”

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LCA Example : Domestic Coffee Maker
► Purpose of LCA?
► Determine how to improve the
environmental performance of a COFFEE
MAKER
► Decision criteria?
► Total energy consumed, equivalent CO2
produced,
► Function of coffee maker ? Functional
units?
► Five years of use &
► end-of-life stages

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► Applying this Principle to the LCA
OF A coffee maker,
► First identify the different parts of
the coffee maker
► List out its functions
► Identify the composition(material of
construction)of the various
components
► Then, lets start with the actual
process of “coffee making”….
► This originates from the
procurement of coffee seeds,
processing of the same
► The various steps involved in the
manufacture of the coffee maker
like extrusion, assembling etc
► Packaging of the machine
,transportation to the destination
► The usage of coffeemaker includes
Consumption of water &power for
the process of coffee making
► Disposal of coffee cups &filters
► Disposal of the machine after use

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Simplified process tree for coffee maker

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Lifecycle inventory for coffee maker

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Impact Analysis - Coffee Maker

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• How to improve coffee maker? Where should we focus?
Better Alternatives ?

2.ENVIRONMENTAL COMPLIANCE OBLIGATIONS

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ENVIRONMENT – Compliance Obligations
OVERVIEW
ISO/IEC 17021 describes and mandates that all personnel involved in
EMS auditing and certification shall have a certain level of competence
that includes the generic competencies and EMS knowledge as well.
Additionally, the auditor must be conversant about the legal requirements
and other requirements to which the organization subscribes that are
applicable to the environmental aspects of its activities, products and
services.
The following slide contains information about compliance management of
Organisation that are applicable to the environmental aspects of its
activities, products and services.

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Compliance Obligation
The organization determines, at a sufficiently detailed level,
the compliance obligations that are applicable to its
environmental aspects, and how they apply to the
organization. Compliance obligations include legal
requirements that an organization has to comply with and
other requirements that the organization has to or chooses to
comply with.
Three Bottom Lines
Organisation must ,
 understand which environmental laws and regulations and other requirements
govern its operations. Product or services
 be able to explain how the requirements of the appropriate laws and regulations and
other requirement applicable.
 Demonstrate that it keeps up to date on the environmental laws, regulations and
other requirements.

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Compliance Obligations
Compliance Obligations – ISO 14001
“Full implementation of applicable environmental legislation. Compliance occurs when
requirements are met and desired changes are achieved.”
The various stages of the environmental regulatory cycle include, at least:
I. Development of the legislation,
II. Issue of an environmental permit (e.g. license and authorizations etc.),
III. Implementation,
IV. Compliance checking (e.g. inspection)
V. Enforcement actions, in non-compliance situations.
The understanding and implementation of each of
these stages may vary from country to country
While certification of an EMS against the requirements of ISO 14001 is not a guarantee of Legal
compliance, (neither is any other means of control, including government or other type of control and/or
legal compliance inspections), it is a proven and efficient tool to achieve and maintain such obligations.
The Certification assures to the stakeholders that that there is a process in place where the
organization proactively and continuously determines the legal obligations and strives to ensure
compliance

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Compliance Obligations- Part A
 requirements from governmental entities or other relevant authorities;
 international, national and local laws and regulations;
 requirements specified in permits, licenses or other forms of authorization;
 orders, rules or guidance from regulatory agencies;
 judgements of courts or administrative tribunals.
Mandatory legal requirements related to an organization’s
environmental aspects can include, if applicable:

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Compliance Obligations- Part B
 agreements with community groups or non-governmental organizations;
 agreements with public authorities or customers;
 organizational requirements;
 voluntary principles or codes of practice;
 voluntary labelling or environmental commitments;
 obligations arising under contractual arrangements with the organization;
 relevant organizational or industry standards.
Compliance obligations also include other interested party requirements
related to its environmental management system which the organization
has to or chooses to adopt. These can include, if applicable

3.Risk & Opportunity

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 Effect of uncertainty
(on the intended outcomes of EMS).
i.e. potential deviation from targets
What is Risk.?
Why risk and Opportunities determination and related actions required in planning EMS
 give assurance that the EMS can achieve its intended outcome(s);
 prevent, or reduce, undesired effects, including the potential for external environmental conditions to
affect the organization;
 achieve continual improvement.
So, organisation need to identify the risks and opportunities that are present for their EMS, decide
which need to be addressed, and keep documentation of the risks and opportunities

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Finding the Risks and Opportunities & Actions
 The identification of sources, events
 their causes and their potential consequences
 can involve historical data, theoretical analysis
 informed and expert opinions
Determining Risk & Opportunities can involve
 Risks and opportunities can arise from organization's Environmental Aspects
 The risks and opportunities related to environmental aspects can be determined as
part of the significance evaluation or determined separately.
 Risks and opportunities can arise from needs and expectations of Interested
Parties
 Risks and opportunities can also arise from organisation compliance obligation
requirements especially when they change.
 failing to comply a legal requirements, including the changed ones and in a time
bound manner can damage the organization’s reputation or result in legal action-risk
 performing beyond its compliance obligations (which can enhance the organization’s
reputation). - Opportunity

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Other issues, including environmental conditions or needs and expectations of
interested parties, which can affect the organization’s ability to achieve the intended
outcomes of its environmental management system,
Example:
 environmental spillage due to literacy or language barriers among workers who cannot understand local
work procedures
 increased flooding due to climate change that could affect the organizations premises;
 lack of available resources to maintain an effective environmental management system due to economic
constraints
 introducing new technology financed by governmental grants, which could improve air quality;
 water scarcity during periods of drought that could affect the organization’s ability to operate its emission
control equipment.
Finding the Risks and Opportunities & Actions

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HOW TO Assess Risk & Opportunity - Methods
 Although risks and opportunities need to be determined and addressed, there is no
requirement for formal risk management or a documented risk management process.
 It is up to the organization to select the method it will use to determine its risks and
opportunities.
 The method may involve a simple qualitative process or a full quantitative assessment
depending on the context in which the organization operates.
 The risks and opportunities identified are inputs for planning actions and for establishing the
environmental objectives
PLEASE NOTE,………

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HOW TO Assess Risk & Opportunity - Methods
These risks and opportunities can be related to environmental aspects, compliance
obligations, their internal and external issues or needs and expectations of their relevant
interested parties.
Organisation may choose any methodology suitable for determining and assessing the risks.
Some of the common methodologies are as follows,

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1. SWOT ANALYSIS
DETERMINE
Determining Strength, Weakness, Threats and Opportunities related with Environmental
issues, compliance obligations, Interested parties under scope of EMS

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2. PESTLE ANALYSIS
PESTLE ANALYSIS

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BRAINSTORMING
3. BRAIN STORMING

4.Operational Planning and control

31
Mar’18 Auditor Competence training on Environment-ISO/IEC 17021-2-2016 •31
Operational Planning & Control
Establish processes needed to meet the EMS requirements in clauses 6.1
and 6.2 by:
1) establishing criteria for processes, and
2) implementing control of processes to meet criteria.
Example……
► Energy Management
► Water Consumption,
► Process controls where significant
aspects are involved, at least
► Hazardous Waste Storage
► Boiler Operation
► Paint Booth Maintenance
► Storm Water Sampling
► Air Permit
► Etc.
► ….???? What else

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Mar’18 Auditor Competence training on Environment-ISO/IEC 17021-2-2016 •32
Operational Planning & Control- Concept
Key Considerations:
- Control planned changes, consequences of unintended changes and mitigate the
environmental impacts (Management of Change)
- Ensure outsourced processes are controlled or influenced (as stated in the EMS)
- Address Life Cycle (LC) perspective by
 Establishing environmental controls in the design and development process for
each LC stage
 Environmental requirements for procurement
 Communicating environmental requirements to external providers
 Consider providing info on environmental impacts of the different life cycle
stages of product

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 The type and extent of operational control(s) depend on the nature of the
operations, the risks and opportunities, significant environmental aspects and
compliance obligations.
 An organization has the flexibility to select the type of operational control methods,
individually or in combination, that are necessary to make sure the process(es) is
(are) effective and achieve(s) the desired results.
 Such methods can include:
 designing (a) process(es) in such a way as to prevent error and ensure consistent results;
 using technology to control (a) process(es) and prevent adverse results (i.e. engineering controls);
 using competent personnel to ensure the desired results;
 performing (a) process(es) in a specified way;
 monitoring or measuring (a) process(es) to check the results
 determining the use and amount of documented information necessary.

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The organization decides the extent of control needed within its own business processes
outsourced process(es) or external provider(s) of products and services. to control or influence
Organisation Decision should be based upon factors such as:
 knowledge, competence and resources, including:
 the competence of the external provider to meet the organization’s environmental management
system requirements;
 the technical competence of the organization to define appropriate controls or assess the
adequacy of controls;
 the importance and potential effect the product and service will have on the organization’s ability
to achieve the intended outcome of its environmental management system;
 the extent to which control of the process is shared;
 the capability of achieving the necessary control through the application of its general
procurement process;
 improvement opportunities available.

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Operational Planning & Control-Concept
MANAGEMENT OF CHANGE
It is an important part of maintaining the EMS that ensures the organization can achieve the
intended outcomes of its EMS on an on-going basis.
Management of Change is applicable in various elements of ISO 14001 such as:
 maintaining the environmental management system (see 4.4),
 environmental aspects (see 6.1.2),
 internal communication (see 7.4.2),
 operational control (see 8.1),
 internal audit programme (see 9.2.2), and
 management review (see 9.3).

36
MANAGEMENT OF CHANGE
As part of management of change, the organization should address planned and unplanned
changes to ensure that the unintended consequences of these changes do not have a negative
effect on the intended outcomes of the environmental management system.
Some examples of Change Management in EMS:
 planned changes to products, processes, operations, equipment or facilities;
 changes in staff or external providers, including contractors;
 new information related to environmental aspects, environmental impacts and related
technologies;
 changes in compliance obligations.

37
It is the responsibility of each organization to be prepared and to respond to emergency
situations in a manner appropriate to its particular needs.
When planning its emergency preparedness and response process(es), the organization
should consider:
 the most appropriate method(s) for responding to an emergency situation;
 internal and external communication process(es);
 the action(s) required to prevent or mitigate environmental impacts;
 mitigation and response action(s) to be taken for different types of emergency situations;
 the need for post-emergency evaluation to determine and implement corrective actions;
 periodic testing of planned emergency response actions;
 training of emergency response personnel
 a list of key personnel and aid agencies, including contact details (e.g. fire department, spillage
clean-up services)
 evacuation routes and assembly points
 the possibility of mutual assistance from neighbouring organizations.
Emergency preparedness and response

5.Context of the organisation

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Context of the Organisation
Understanding the organization and its context
The intent is to provide a high-level, conceptual understanding of the important issues that can affect, either
positively or negatively, the way the organization manages its environmental responsibilities.
Issues are important topics for the organization, problems for debate and discussion or changing
circumstances that affect the organization’s ability to achieve the intended outcomes it sets for its
environmental management system. Mục đích là cung cấp sự hiểu biết khái niệm, cấp cao về các vấn
đề quan trọng có thể ảnh hưởng, tích cực hoặc tiêu cực, cách tổ chức quản lý các trách nhiệm môi
trường của mình.Các vấn đề là chủ đề quan trọng đối với tổ chức, các vấn đề tranh luận và thảo
luận hoặc các hoàn cảnh thay đổi ảnh hưởng đến khả năng của tổ chức trong việc đạt được các
kết quả dự kiến mà tổ chức đặt ra cho hệ thống quản lý môi trường của mình.
Understanding the needs and expectations of interested parties
 An organization is expected to gain a general understanding of the expressed needs and expectations
of those internal and external interested parties Một tổ chức được kỳ vọng sẽ đạt được sự hiểu biết
chung về các nhu cầu và mong đợi được thể hiện của các bên quan tâm bên trong và bên ngoài.
 The organization considers the knowledge gained when determining which of these needs and
expectations converted in to compliance obligations Tổ chức xem xét kiến thức thu được khi xác
định nhu cầu và mong đợi nào được chuyển thành nghĩa vụ tuân thủ
 In the case of an interested party perceiving itself to be affected by the organization’s decisions or
activities related to environmental performance, the organization considers the relevant needs and
expectations that are made known or have been disclosed by the interested party to the organization.
Trong trường hợp một bên quan tâm tự nhận thấy mình bị ảnh hưởng bởi các quyết định
hoặc hoạt động của tổ chức liên quan đến kết quả hoạt động môi trường, tổ chức sẽ xem
xét các nhu cầu và mong đợi liên quan đã được biết hoặc đã được bên quan tâm tiết lộ
cho tổ chức.
Contd…

40
 Interested party requirements are not necessarily requirements of the organization. Some interested party
requirements reflect needs and expectations that are mandatory because they have been incorporated into
laws, regulations, permits and licences by governmental or even court decision. The Yêu cầu của bên quan
tâm không nhất thiết phải là yêu cầu của tổ chức. Một số yêu cầu của bên quan tâm phản ánh nhu
cầu và mong đợi là bắt buộc vì chúng đã được đưa vào luật, quy định, giấy phép và giấy phép theo
quyết định của chính phủ hoặc thậm chí của tòa án. Các
 organization may decide to voluntarily agree to or adopt other requirements of interested parties (e.g.entering
into a contractual relationship, subscribing to a voluntary initiative). tổ chức có thể quyết định tự nguyện
đồng ý hoặc thông qua các yêu cầu khác của các bên quan tâm (ví dụ: tham gia vào một mối quan hệ
hợp đồng, đăng ký một sáng kiến tự nguyện).
 Once the organization adopts them, they become organizational requirements (i.e. compliance obligations)
and are taken into account when planning the environmental management system of its compliance
obligations Khi tổ chức áp dụng chúng, chúng sẽ trở thành các yêu cầu của tổ chức (nghĩa là nghĩa vụ
tuân thủ) và được tính đến khi lập kế hoạch hệ thống quản lý môi trường về các nghĩa vụ tuân thủ
của nó

41
Determining the scope of the EMS
Once the scope is defined, activities, products and services that can have significant environmental aspects
shall be included within the scope of the EMS.
The scope shall be maintained as documented information and be available to interested
EMS
The organization shall establish, implement, maintain and continually improve an EMS, including the
processes needed and their interactions, in accordance with the requirements of this International Standard,
to enhance its environmental performance.
The organization shall consider the knowledge of its context when establishing and maintaining the EMS.
EXAMPLE
Environmental Conditions – Climate, Air & Water Quality, Land Use, existing contamination, natural resource
availability, biodiversity, etc.
External cultural, social, political, legal, regulatory, financial, technological, economic, natural and
competitive circumstances, whether international, national, regional, or local
Internal characteristics or conditions of the organization such as activities, products and services, strategic
direction, culture and capabilities (i.e. people, knowledge, processes and systems

42
 Relationship with supply chain
 Potential sustainable material replacement programme (products/packaging)
 Material consumption (recycled, durable, reusable, recyclable, biodegradable)
 Energy management
 Wastage of raw material/waste disposal/developing market for by-products
 Structure of the organization
 Roles within the organization
 Liabilities (e.g. Public)
 Staff competence
 Health and Safety on site and on client site
 Design for Environment
Internal Issues
Few Examples

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 Political, economic. Social, technological, legal and regulatory
 Market sensitivity to habitat loss and biodiversity issues
 Overall economic performance in the country
 Standardization and certification within the industry
 Impacts of climate volatility
 Changes to local environmental setting (development/designation of
conversation areas/development of flood defenses etc.)
 Fuel/raw material prices – international pressures, domestic market pressures government
taxation regime, etc.
 Regulation within the industry generally
 Impact on neighbors
External Issues
Few Examples

6.Use of Space
•April 2018 Version 1

45
Use of Space
When determining its environmental aspects, the organization can consider
a) emissions to air;
b) releases to water;
c) releases to land;
d) use of raw materials and natural resources;
e) use of energy;
f) energy emitted (e.g. heat, radiation, vibration (noise), light);
g) generation of waste and/or by-products;
h) use of space.
Above mentioned points a to g we well understand, However the new consideration i.e. Use
of Space need better clarity.

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Use of Space
 design and development of its facilities, Location, Space , Land use pattern,
 Raw Material, Intermediate or final product Storage Areas
 Size of facility such as proximity to wildlife or Natural reserves
 Shape of facilities (do you have unused space due to your facility shape)
 Color/ Appearance of your building that could affect wildlife (such as large glass windows that could be
hit by birds)
 Space constraints may cause additional consumption of resources (example: due to lack of space in
Raw material stores The shipped Refrigerated Containers are kept outside with a supplementary
electrical power – an additional consumption which might affect EMS)
 A lift truck needs to travel more distance due to ergonomical (H&S) issues, Traffic routing etc which
results in more fossils fuels consumption
Some examples might be considered for determining environment aspects such as

Elearning_ISO_17021_2_EMS.pptx

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