1、STD=CSA PLU L L 3 9 1- 9 0 1 G ;L IJ 0 7 I 3 b 0 I 3 b IO 9583 PLUS 1139 An Intepated CheckZst for EndronmmtaZ Management Systems and Sustainable Forest Management Systems An Integrated Checklist for Environmental Management Systems and Sustainable Forest Management Systems Edited by Debbie McIntosh
2、 Canadian Standards Association Etobicoke, Ontario Production Editing On-line Editing Linda Jackson Managing Editor Gary Burford Senior Project Editor Ann Martin Editor Maria Adragna Publishing Systems Co-ordinators Ursula Das Grace Da Silva Tarsem SUn ISBN 0-92 1347-80-4 Published by Canadian Stand
3、ards Association 178 Rexdale Boulevard Etobicoke, Ontario Canada MPW IR3 0 Canadinn Standards Association - I998 AI1 rights resewed. No part of thiF publication may be reproduced in any form whatsoever without theprwrpennksion of the publisher. IS0 material is reprinted with permission. Inquiries re
4、garding this publication should be addressed to Canadian Standards Association, 178 Rexdale Boulevard, Etobicoke (Toronto). Ontario, Canada, A49W AR3. STD.CSA PLUS 1139-98-ENGL 1875068 0609586 89Y An Integrated Checklist for Environmental Management Systems and Sustainable Forest Management Systems
5、O CSA Contents Preface 5 1. Introduction 6 1.1 The IS0 14000 Series 6 1.2 CSA Sustainable Forest Management Standards 6 1.3 The Integrated EMSISFM Checklist 6 1.4 Layout of Section 4, Integrated EMSISFM Checklist 7 2 Using the Integrated EMYSFM Checklist 7 2.1 Preparing the Checklist 7 2.2 Completin
6、g the Checklist 7 3 Status Codes and Definitions 8 Layout of Information Pages 9 EMS/SFM Checklist II Appendices A - Source Documents and Related Publications I32 B - Checklist Page (for Supplementary Questions) 134 C - CCFM Criteria and Indicators I35 March 1998 3 STD.CSA PLUS 1139-98-ENGL 1875068
7、Ob09587 720 PLUS 1139 O CSA March 1998 4 STD-CSA PLUS 1139-98-ENGL 1875068 0609588 667 D An Integrated Checklist for Environmental Management Systems O CSA and Sustainable Forest Managernent Systems Preface This is the first edition of PLUS 1139, An Integrated Checklist for Environmental Management
8、Systems and Sustainable Forest Management Systems. This publication provides an integrated series of questions based on the requirements of IS0 14001, Environmental management systems - Specification with guidance for use and CANKSA-Z809, A Sustainable Forest Management System: Specifications Docume
9、nt, as well as illustrative and explanatory materials extracted from related standards and guidelines. The checklist is intended for use by a wide varies of organizations that wish to review, in a single process, their procedures for environmental and Sustainable forest management. PLUS 1139 is base
10、d on auditing checklists developed by QMI, whose valuable contribution is gratefully acknowledged. Particular thanks are due to Peter Johnson, QMI, and Pierre Levac, Levac et Associs, for their contributions to the development of this publication. March 1998 March 7998 5 STDOCSA PLUS LL39-98-ENGL L8
11、750b8 Ob09589 5T3 PLUS 1139 O CSA 1 Introduction 1.1 The IS0 14000 Series The IS0 14000 series, developed on the basis of the IS0 9000 initiative, reflects the core principles of the IS0 9000 series. The IS0 14000 family is made up of voluntary standards that provide organizations with guidance on h
12、ow to manage the environmental aspects of their activities, products, and services more effectively. The series has been developed, and is continually reviewed, to support organizations in their efforts to control the environmental impacts of their activities, products, and services in a responsible
13、 fashion, and to demonstrate their adherence to environmental policies that satis social, legal, and regulatory demands. The IS0 14000 senes sets out the requirements for an environmental management system (EMS) that may be used by organizations of any size and type, operating in any industry, secto
14、r, or locale, as well as the requirements for registering and auditing such a system. 1.2 CSA Sustainable Forest Management Standards The CSA Sustainable Forest Management (SFM) System is based on the Canadian Council of Forest Ministers (CCFM) criteria for sustainable forest management, and is the
15、product of both national and international initiatives towards forest management models that baiance economic, environmental, and social demands. Two voluntary Standards, CAN/CSA-Z808, A Sustainable Forest Management System: Guidance Document, and CANESA-ZSO9, A Sustainable Forest Management System:
16、 Specifications Document, reflect the consensus of a variety of stakeholders and interested parties. Together, the SFM Standards describe the design, implementation, and registration of forest management systems that, through a commitment to sustainability, reconcile a diverse range of environmental
17、, social, and economic values. The CSA Sustainable Forest Management System employs a management model consistent with, and to some extent derived from, the IS0 14000 series of environmental management standards. The same process of commitment, public participation, preparation, planning, implementa
18、tion, measuring and assessing performance, and review and improvement is intended to develop robust SFM systems that are capable of continual improvement. 1.3 The Integrated EMS/SFM Checklist This checklist is based on Clause 4 of IS0 1400 1 , Environmental management system - Specification with gui
19、dance for use, and on Clause 6 of CAN/CSA-Z809, A Sustainable Forest Management System: Specijkations Document. As the checklist illustrates, the requirements for an effective sustainable forest management system are easily coordinated with, and to some extent subordinated to, the more general requi
20、rements for environmental management. The series of questions may be used in a registration audit, in which qualified auditors review an organizations EMS and SFM performance, or as part of a “self-audit“ by an organizations representatives for sustainable forest management and environmental managem
21、ent. The checklist questions have been designed to identily every feature of the broader environmental management system that should be evaluated, and to incorporate in the same process the related and complementary features of a weil-structured sustainable forest management system. The checklist qu
22、estions are supplemented by definitions and interpretative comments excerpted fiom a number of CSA publications. Readers requiring further guidance on EMS andor SFM questions should consult the source documents, as well as related publications (see Appendix A). 6 March 1998 sTD.CSA PLUS 1139-98-ENGL
23、 1875068 Ob07590 215 An Integrated Checklist for Environmental Management Systems and Sustainable Forest Management Systems O CSA 1.4 Layout of Section 4, Integrated EMWSFM Checklist Section 4 presents, on right-hand pages, the list of questions developed to cover the requirements set out in IS0 140
24、01 and CANCSA-Z809. The list is based on the structure and numbering of Clause 4 of IS0 14001; questions bearing on Clause 6 of CAN/CSA-Z809 have been incorporated, and the resulting sequences have been organized, for convenient reference, as lists of numbered “Q“ questions (“Q“ numbering is noted i
25、n the left-hand column). Some sequences of “Q“ questions extend over several pages. Open boxes indicate the continuation of the questions on the following page. The facing pages provide a variety of materials that are relevant to each page of questions, including a) a text box, where relevant, quoti
26、ng the requirements of CAN/CSA-IS0 14001; b) a text box, where relevant, quoting the requirements of CAN/CSA-Z809; c) a left-hand column that contains selected excerpts from CAN/CSA-IS0 14004, Environmental management systems - General guidelines on principles, systems and supporting techniques, CSA
27、 2825, Guide to IS0 14000 for Auditors and Users, and CAN/CSA-Z808, A Sustainable Forest Management System: Guidance Document; and d) a right-hand column that contains definitions drawn from Clause 3 of CAN/CSA-IS0 14001 and from Clause 3 of CANKSA-ZSO9. A sample of this page layout, showing how IS0
28、 14000 and CAN/CSA-Z809 materials are distinguished, appears on page 9. 2 Using the Integrated EMS/SFM Checklist 2.1 Preparing the Checklist The checklist in Section 4 is designed to be used by organizations of any size, involved in any variety of activities, products, and services that may require
29、the use of EMS and SFM systems. All of the EMS and SFM requirements set out in IS0 14001 and CAN/CSA-Z809 are expected to apply in every instance. An organization may also add supplementary questions, as required, to the checklist. For example, detailed questions concerning procedures, phases of pro
30、duction, or different organizational divisions may be necessary to ensure that EMS and SFM requirements and related documentation have been adequately covered. Additional questions may be written on a blank checklist sheet and inserted in the checklist, under the appropriate heading. (Appendix B sup
31、plies a sample checklist page that may be photocopied and used to add questions to your checklist.) 2.2 Completing the Checklist The evaluation process consists of assessing whether the requirements of IS0 14001 and CAN/CSA- 2809 have been satisfactorily met. Columns on the checklist pages allow the
32、 use of simple status codes to summarize their evaluations. However, it is also necessixy to provide notes on the objective evidence that was reviewed, both to support the overall evaluation and to ensure that the evaluation process has been full and complete. March 1998 7 PLUS 1139 O CSA 3 Status C
33、odes and Definitions AD Adequate NI Needs improvement (a nonconformance was identified under this requirement OR a nonconformance was identified under a requirement that also covers this feature) UN Unacceptable (evidence is not sufficient to demonstrate that a requirement is satisfied OR the requir
34、ement has not been addressed) Note: The assignment of AD, NI, and UN to a checklist question should be supported by a written comment that refers to objective evidence, documentation, and/or justification. 8 March 1998 STD-CSA PLUS 1139-98-ENGL m L8750b8 Ob09592 098 An integrated Checklist for Envir
35、onmental Management Systems and Sustainable Forest Management Systems O CSA Layout of Information Pages This text box contains quotations from CANKSA-IS0 14001, Clause 4. This text box contains quotations from CAN/CSA-Z809, Clause 6. I I a Explanatory materials from CAN/CSA-IS0 14001, Environmental
36、management systems - Specification with guidance for This column reprints definitions from CAN/CS A-IS0 1400 1, Environmental management systems - Specification with guidance for use (in boldface type) and from CAN/CSA-Z809, A Sustainable Forest Management System: Specijkations Document. use, CANESA
37、-IS0 14004, Environmental management systems - General guidelines on principles, systems and supporting techniques, and CSA 2825, Guide to IS0 I4000 for Auditors and Users, appear in this column in boldface type. Supplementary materials (b) the registration applicants Board of Directors or other sen
38、ior governing body has approved the policy statements. . cont d From CANKSA-Z808-96 6.3 Commitment 6.3.1 General mission - the reason an organization exists, the societal need it fulfils, and its functional focus. principle - a formal statement that provides a basis for sustainable forest management
39、 policy and that serves as a fundamental guide to action. The aim of SFM System registration is to ensure that the registration applicants are committed to working towards refining and improving sustainable forest management performance for their DFAs. 12 March 1998 STD-CSA PLUS LL39-98-ENGL L8750b8
40、 Ob09596 733 An Integrated Checklist for Environmental Management Systems and Sustainable Forest Management Systems O CSA EMS/SFM CHECKLIST 4.2 Environmental policy Has the top management defined the organizations environmental policy and ensured that it is appropriate to the nature; scale; and envi
41、ronmental impacts of its activities, products, or services? Does evidence show that the following exist: i ii) iii) vision; mission; guiding pr iciples; an UN March 1998 13 STD-CSA PLUS 1139-9-ENGL 1750b Ob09597 b7T PLUS 1139 O CSA The first step in sustainable forest management involves a commitmen
42、t to develop or implement an SFM System. While this commitment precedes everything, it also includes a commitment to continual improvement of an organizations performance and to addressing changing interests, objectives, capabilities, and achievements in sustainable forest management. This undertaki
43、ng will, at the same time, forge a stronger link to other national commitments, such as the National Forest Strategy, and provide recognition for the special and unique Characteristics of our forests. 6.3.2 First Levei of Commitment The first level of commitment is reflected in terms of vision, miss
44、ion, and policy statements. Vision and mission statements are intended to provide long-term guidance for the registration applicant and should be understood by all participants and their employees. Policy statements reflect a registration applicants vision and mission in more detail. 4.2 Environment
45、al policy contd Top management shall define the organizations environmental policy and ensure that it b) includes a commitment to continual improvement and prevention of pollution; c) includes a commitment to comply with relevant environmental legislation and regulations, and with other requirements
46、 to which the organization subscribes . FromCSA2825 Top management - this term is used in the IS0 14001 Standard to accommodate international differences in the characterization of senior management and to minimize difficulties in translation into multiple languages. Top management will vary, depend
47、ing on how the organization is defined for the purposes of the EMS scope, and may be the officers of the corporation at a company-wide level or the facility manager and immediate subordinates at the site level. LQ continual improvement -process of enhancing the environmental management system to ach
48、ieve improvements in overail environmentalpeqormance in line with the organization s environmental policy. NOTE - The process need not take place in all areas of activity simultaneously. prevention of pollution - use ofprocesses, practices, materials, or products that avoid, reduce, or control pollu
49、tion, which may include recycIing, treatment, process changes, controi mechanisms, efficient use of resources, and material substitution. 14 March 1998 STD-CSA PLUS LL39-9-ENGL 1875068 Ob09598 506 An Integrated Checklist for Environmental Management Systems and Sustainable Forest Management Systems O CSA EMS/SFM CHECKLIST 7 42 Q3 Q4 Q5 46 4.2 Environmental policy iv) codes of management practice? Is there evidence that the organizations Board of Directors or other senior governing body has approved the policy statements? Has top management ensured that the envi
