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The ISO 14001 certification of a machine-process
Journal of Cleaner Production 8 (2000) 61–68 www.elsevier.com/locate/jclepro
The ISO 14001 certification of a machine-process Fabio Orecchini
*
CIRPS—University of Rome ‘La Sapienza’, Via delle Spighe, 13 I-00172 Rome, Italy Received 7 June 1999; accepted 2 November 1999
Abstract Some process machines in industrial manufacturing can be defined machine-process: their operations can be analysed by several points of view independently from the larger manufacturing process where they are included. For a machine-process, an Ems— Environmental management system can be set up and the ISO 14001 certification reached in an ‘earlier application’ way, with the involvement of both supplier/manufacturer and client/user. The ‘earlier certification’ of machine-processes adds new contents to the product, linked to the environment, helping the market of ‘clean technologies’, and fosters the diffusion of ISO 14001 certification among supplying/manufacturing companies and clients/users whose entire process is not yet certified. A case study is presented that has been experienced in Italy. The ‘offer and design’ phase of a port mobile shiploader is completely developed by following the ‘earlier application’ scheme for ISO 14001 certification of a machine process—introduced and explained in the paper. Achieved results are shown, and the perspective of a complete application of the scheme to the following ‘detailed design and assembly’ and ‘operations’ phases of the same machine are outlined. The feasibility of such a new application of ISO 14000 standards is proved, together with its advantages, while the readiness of the market for the new sector of earlier certification of machine-processes is highlighted. 2000 Published by Elsevier Science Ltd. All rights reserved. Keywords: Machine-process; Ems—Environmental management system; ISO 14001 certification; Earlier application; Environmental audit
1. The machine-process In the analysis of industrial processes, a single machine often realises an entire and well-defined part of a manufacturing cycle. This machine is what we call a ‘machine-process’. It can be seen, from the management point of view, as a whole ‘small’ industry. All the existing environmental and quality standards, as well as procedures for optimising management systems can be applied to the machine-process. Even when it is part of a larger manufacturing flow. And, if needed, independently from this one. A machine-process can be run following its own procedures, and educating, training and organising its own specialised personnel. The machineprocess has input materials and output materials and waste, like a ‘classical’ entire production process. For the financial analysis, its costs and revenues can be taken into account, and its economical performance evaluated.
* Tel.: +39-06-4871441; fax: +39-06-4874838. E-mail address: [email protected] (F. Orecchini)
2. Environmental management systems and standards New ideas and social needs have driven for the past 20 years to the setting up of Ems for industrial operations. This trend has been continuously increasing in importance. The ISO 14000 series of environmental standards provide a widely recognised set of references for the development of Ems in industry (the ISO 14001 certifications in the world raised to 11.421 up to the 1 September 1999 [7]). There are several standards in the 14000 series, ready to be applied by companies for developing an Ems: ISO 14001, ISO 14004, ISO 14010, ISO 14011, ISO 14012, ISO 14013/15. The ISO 14001 is the key standard: Environmental management systems—specifications with guidance for use; it specifies the requirements and sets out the main elements of an Ems structure, and is the only standard of the series to be used for certification. ISO 14004 provides guidance for the implementation of Ems principles, systems and supporting techniques. ISO 14010 and 14011 address general principles for environmental auditing and audit procedures respectively, and ISO 14012
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sets out qualification criteria for environmental auditors. ISO 14013/15 provide guidelines for audit programmes, reviews and assessments. Those standards are currently applied to organisations, as well as units/departments. The organisation (or unit/department) needs to be analysed from the environmental point of view and several steps are made—following the ISO 14001 requests—to reach a complete Ems implementation, and to reach environmental certification [6]. The standards [2] require or recommend the clear identification of: 1. Environmental review (ISO 14001 annex A and ISO 14004, 4.1.3); 2. Environmental policy (ISO 14001, 4.2); 3. Environmental aspects (ISO 14001, 4.3) 4. Environmental management system (ISO 14001, 4.1 and ISO 14004); 5. Application (ISO 14001, 4.4); 6. Control (ISO 14001, 4.5); 7. Management review (ISO 14001, 4.6). Once the mentioned steps1 have been made, the validation and registration can be requested. And the process certified through an audit.
3. The ‘earlier application’ of ISO 14000 standards to a machine-process ISO 14000 standards and ISO 14001 certification can be applied to a single machine, when this machine belongs to the family we called ‘machine-process’. Steps 1–7 of the certification procedure can be easily applied to a machine-process, considering and analysing its own characteristics and production phases. Environmental review, policy, aspects, Ems set-up, application, control and management review procedures can be identified. This is currently done only when a company identifies the machine-process with a unit or a department of its organisation, and when the machine is already operating at the production site. The Ems set-up and ISO 14001 certification of the machine-process would also be possible in an ‘earlier application’ way, with the involvement of both supplier/manufacturer and client/user. The ‘earlier application’ is not implemented by companies and consultants yet, and is not recognised, at the moment, by qualified verifiers. Its implementation will allow new benefits for the market of ‘clean technologies’, and for the diffusion of environmental certification (and attention to the 1 The steps are listed in the order foreseen by the methodology under development (through a real application to a chemical production plant) at CIRPS—Environmental research group, University of Rome ‘La Sapienza’, Rome, Italy.
environment) among machines manufacturing companies and final users [8]. The ‘earlier certification’ of machine-processes aims at giving to machines manufacturers the possibility to enrich their offer with new valueadded elements, linked to the environment, and secondarily at helping the diffusion of ISO 14001 certification of processes. Neither the supplier, nor the client need to be certified ISO 14001 for the ‘earlier certification’ of the machine-process. The possibility to obtain a clear visibility (and a tangible result: the ISO 14001 certification of the machineprocess) is essential for the strategic choice of manufacturers [4] of addressing their design, production and marketing towards environment friendly technologies and solutions for their final product: the machine-process. The enlargement of the market of clean technologies is one of the targets of the research, helping to increase the availability of ‘environmental compatible products’, intending for compatibility with the environment not only of the ‘product’ machine (LCA and related or similar analysis), but also of the machine when operating. This compatibility will be certified with the ‘earlier application’ of ISO 14001 to the machine-process. This way of proceeding is also useful for client companies that are still afraid of going towards a companywide (or unit/department-wide) environmental certification. They could accept more easily a way to invest a bit more money buying a new ‘piece’ of their company with the ISO 14001 certification, which would also be valid for a first ‘exploration’ of Ems certification within their organisation [5,8]. The two target groups are: manufacturers/suppliers interested in opening new ‘environmental compatible’ markets, and users/buyers interested in ‘testing’ benefits and problems of environmental management systems set-up and certification within their organisation. The purchaser of the certified machine does not need to be certified in order to properly use the machine according to ISO 14001 instructions. Its condition is comparable to that of a company that only certifies one of its units/departments. But the ‘environmental certification seed’ is put inside the company through the machine-process certification, and is expected to grow, fostering a following certification of other units and/or of the complete organisation. The application of the environmental standards to a machine-process is possible by starting from the ‘offer’ and ‘design’ phases of its realisation project. The certification procedure can be partially or entirely completed by the manufacturer. A ‘ready to be ISO 14001 certified’ machine can be offered, designed, produced and sold to a client, as well as a ‘ISO 14001 certified’ machine, as shown below.
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3.1. Problems ISO 14000 standards seem not to be directly applicable by the manufacturer (for the ISO 14001 certification of the machine-process) in the following points: 앫 environmental policy (within step 2); 앫 environmental objectives and programme (within step 3); 앫 definition of emergency procedures (within step 4); 앫 continuous improvement (within step 4); 앫 environmental communication (within step 5); 앫 top management re-examination (within step 7). For the above-mentioned points, the manufacturer is not able to correctly set the procedures and produce—without the involvement of the client/user—all the requested documentation for ISO 14001 certification of the machine-process. In fact, the manufacturer cannot take the foreseen decisions and guarantee adherence to the standards during the use of the machine. 3.2. Solutions There are two possible ways of solving the highlighted problems and meeting ISO 14001 requirements for the machine-process. Both of ways require client/user involvement in the certification process: the manufacturer could either work in co-operation (bridge certification), or in series (double step certification) with the client. 3.2.1. Bridge-certification The manufacturer proposes the ISO 14001 certification of the machine-process during the ‘offer and negotiation’ phase. Environmental aspects are both considered and evaluated in the offer and first design, and a draft agreement with a qualified environmental auditor and certification body is attached to the offer. This is done by including in the procedure the application of ‘downstream’ and ‘upstream’ principles indicated by DfE—Design for the environment standard. The impact on the environment created by the customer in using the product, is to be considered by the supplier when designing it [3]. After the approval of the offer by the client, the following ‘executive design phase’ is developed by aiming at certification. Most of the goals requested by the standards are more easily reached by starting from the design period. All the applicable standards (not included in the previous non-applicable points list) are completed in time under the responsibility of the designer/manufacturer. The non-applicable standards (listed above) are completed in a ‘bridge’ solution by involving the client/user in taking the needed decisions and setting effective oper-
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ation solutions. The responsibility for bridge certification is that of the client/user project manager. The needed tasks are divided between the supplier and the client, but the responsibility for certification allocated on the client side and the ‘bridge accomplishments’ spread along the entire offer, design, manufacturing and testing process ensure the success of the certification ‘from within’ of the machine-process development and production. The qualified auditor verifies the achievement of the standards requirements by auditing the process three times: 1. Detailed design audit; 2. Process audit; 3. Certification audit. The first audit is held in correspondence with the conclusion of the detailed design phase2. This audit takes place ‘on sheet’ and foresees the control of the environmental compatibility of designed solutions. The second audit verifies ‘on field’ the correctness of the settled machine-process, checking the accomplishment of the standards during the testing phase of the machine. The third audit is the final one for the ISO 14001 certification and takes place after a three months operation period. 3.2.2. Double-step certification The certification procedure is defined by clearly dividing roles and responsibilities between manufacturer/supplier and client/user of the machineprocess. The manufacturer supplies a ‘ready to be certified’ machine, only ensuring the accomplishment of certain points of the standards that are under his responsibility. A ‘ready to be ISO 14001 certified’ machine must have the following parts of the certification procedure developed by the manufacturer/supplier. Step 1 (environmental review). The site of operation, the process layout, and the pollution sources are reviewed and the environmental constraints settled. The description of control devices and general environmental situation are completed. The applicable laws are only partially indicated, because some of the necessary information would not be available without user involvement. Step 2 (environmental policy). The policy of the user company for the environment cannot be outlined by the supplier. Only product-related suggestions are attached to the user’s manual. Step 3 (environmental aspects). The environmental objectives can be partially set by the manufacturer. The
2 It cannot be placed earlier to avoid incurring in ‘consulting activity’ risk by the auditor.
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results of the environmental review (step 1) must also be used to address the user’s suggestions and draft objectives. The environmental programme can be partially outlined by the supplier, by indicating possible improvements in environmental performance of the machine-process obtained by reaching the suggested objectives. Step 4 (Ems). The Ems—Environmental management system can be developed in the essential terms by the supplier/manufacturer. The operation procedures for running the process by minimising the impact, and the identification of the environmental performance are part of the supply. The environmental manual is either attached to the user’s manual, or part of it. Some possible continuous improvement methodologies are described, but cannot be set in full without client/user involvement. Step 5 (application). Roles, competencies and responsibilities are indicated by the manufacturer/supplier and studied in the machine’s design. Information flows and procedures are stated in the environmental manual. Training specifications, educational needs, programmes and goals are also indicated by the supplier. The client/user’s environmental communication cannot be indicated by the manufacturer/supplier. The emergency procedures are only identified for the machine-process activity. Step 6 (control). The required control methods can be indicated in the machine’s documentation. Step 7 (management review). The top management periodic review cannot be stated by the supplier, and needs to be fulfilled during the purchaser continuation of the double step procedure.
has been experienced in Italy [1]. Phase 1—offer and design has been completely developed as described. The steps made are in perspective of an ISO 14001 certification, but the auditor has only agreed for a general ‘environmental compatibility review’ of the machine at the moment, and not for the real audit and certification (whose possible method is outlined in the paper). Phases 2 and 3 are currently considered not possible, and the proposed ‘earlier certification’ of process-machines is not currently part of the auditor’s way of applying ISO 14001 standards. 4.1. The shiploader The task of the machine (Fig. 1), is to take powder material from duck transporters (end-of-process conveyor belts) and load it on transportation ships. The machine has a loading capacity of 700 t/h of powder material. The material treated is ammonium sulphate (NH4)2SO4 with a specific weight of 1 t/m3 and diameter of less than 3 mm. The shiploader is mobile and can run for 200 m on the dock railway and is composed of a main structure, a telescopic arm, three conveyor belts and a nozzle for better loading the material inside the ship hold. One out of the three conveyor belts is mobile, to allow the telescopic arm to move for a 7 m range on the sea side. Ships up to 20 000 Dwt can be loaded by the machine. The personnel directly needed by the shiploader for operation conditions are, one operator (inside the control cabin or beside the hatch, where a push-button panel is installed). 4.2. Earlier application of ISO 14001
4. Case study: earlier application of ISO 14001 to a port shiploader A family of process-machines whose Ems can be certified following ISO 14001 standards is that of the port shiploader. Port machines often perform more than a single operation in normal working conditions; their sequence of operations can be seen and analysed as a complete process. Shiploaders usually take input material from a different process (manufacturing, as well as transportation) and, after a series of operations, release it on a ship. Rarely, the operations within the shiploader domain include transformations and/or assembly of materials. Movement of the material from one point to another is the core task of the machine. The simple series of operations of a shiploader can be recognised as the ‘entrance point’ of machine-processes family. The application of ISO 14001 certification process to a shiploader in the ‘earlier application’ form shows the real potential of this new approach. The case study presented in the following paragraphs
The earlier application of ISO 14001 standards is done by following the ‘bridge certification’ scheme. The supplier/manufacturer ‘CT Ceretti Tanfani Engineering’ (CTE) is certified ISO 9001, but not ISO 14001 yet. The client/user Port Management Company (PMC) is interested in going towards environmental certification, but is not yet certified ISO 14001. The case study is developed in co-operation with CTE, interested in exploring the possibility of offering ‘ISO 14001 certified’ machine-processes to its clients. 4.2.1. Phase 1—offer and design The ISO 14001 certification of the machine-process is proposed to the client/user PMC by the supplier/manufacturer CTE. CTE integrates the usual first visit of designers and commercial unit to the machine working site with a first ‘on site environmental review’ of CIRPS—environmental research group. After the visit, office work is carried out on environmental characteristics of the port area and environmental policy of the client company. CTE also
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Fig. 1. The CT Ceretti Tanfani shiploader and the ship position in working conditions.
drafts an agreement with a major qualified verifier for the environmental audit of the machine-process. The environmental analysis of the machine and of the site is curried-up by CIRPS and precise solutions for environmental preservation are indicated, in co-operation with CTE engineering department. Critical phases of the machine process for the environment are highlighted, with regard to operational and maintenance aspects of the working activity. The study deeply analyses the current situation of the site, the historical elements and the foreseen restoration interventions. The global environmental policy and plans of the client company are also described and referenced. The characteristics of the ammonium sulphate (NH4)2SO4 and its possible environmental impact during the machine operation are studied and the working methodology explained. The philosophy of environmental impact prevention for the shiploader is consequently deducted. The following steps are similar to the usual ones [9] and drive the draft design of the machine, developed by the CTE engineering department. The design is implemented, this time, taking into account the indications of the environmental analysis. The commercial strategy is focused on the innovation of integrating the environmental certification procedure from the very beginning of the entire operation. The offer is usually composed of:
앫 general description; 앫 technical description of the shiploader; 앫 outline of instructions for assembly, set-up, working conditions, maintenance; 앫 training programme; 앫 technical drawings. Environmental considerations, usually not foreseen by CTE at this step, are present in: 앫 general description, where relevant environmental impact factors of the machine are stated (site, material loading and transport, cleaning and dedusting, maintenance) and the agreement with the environmental auditor declared (mentioning the auditor’s name and references). 앫 technical description, where one paragraph (out of nine) is named ‘environmental impact’ and two pages (out of 32) are devoted to the description of environmental philosophy of the project. 앫 training, where educational goals and programmes also refer to Ems implementation. The environmental considerations already influence the design choices of CTE at this level. For the relevant aspects of the process (site, material loading and transport, cleaning and dedusting, maintenance) technical solutions are designed for impact reduction. The solutions
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are part of the project, and also drive the environmental objectives (step 3 of the CIRPS methodology—ISO 14001, 4.3). For the site, the climatic considerations are: temperature range (⫺10–+40°C), height (2.5 m asl), humidity (30–70%), wind speed (max. 100 km/h, with 150 km/h wind gusts), type of environment (marine with dust and high salinity). For the loading/transport of material, the critical points have been identified in the jumps of material from one conveyor belt to another (three conveyor belts are foreseen). Environmentally speaking, this is a relevant aspect. Solutions are realised by adding extra covers and guides along the path, and realising semi-closed spaces around the critical points. For the cleaning and dedusting needs, cycles and modalities are clearly indicated and described in specific procedures by the operations manual. Cleaning nozzles are integrated in anti-dust covers for a more effective cleaning and for not allowing water to be lost out of the machine’s area. Water drain points are well identified and their possibility of waste material recovery guaranteed. The total surface to be cleaned by the system is 1200 m2. The surface of 400 m2 (belts, arms, loading nozzle) is cleaned at the end of each loading cycle. For the maintenance, critical parts for environmental impact reduction are identified. Revision procedures are described for cleaning system, covers and guides.
4.3. Results
Considering the outlined environmental certification process, step 1 (environmental review) is completely covered by the activity of phase 1—offer and design. The site, the process layout, the identification of pollution sources, the applicable laws and a description of control devices and general environmental situation are treated in the offer documentation. The preliminary environmental study [1] has led to a deeper knowledge, between supplier and client, of respective policies and approaches to the eco-related problems. This is done although none of them is ISO 14001 certified, and introduces in their practice an element stated by ISO 14001, 4.4.6 (operational control) for supplier/client relationship and by DfE—Design for the environment standard. The client’s environmental policy has been taken into account from the very beginning of the design development of the shiploader and the possibility of a future ISO 14001 certification of the whole industrial settlement has been considered when studying the machine-process interfaces with the port structures. Those two important results would not have occurred without the ‘earlier application’ of ISO 14001 certification principles to the offer and design phase.
4.3.1. Phase 2—from detailed design to assembly (This phase has not been developed in the case study yet, because ‘earlier certification’ of machine-processes is not currently recognised by qualified environmental auditors). 4.3.1.1. Detailed design After the approval of the offer by the client, the detailed design, production and assembly phase starts [9,10]. This phase is developed in co-operation by the supplier and the client (that agrees in taking the final ISO 14001 certification responsibility, as foreseen by the ‘bridge certification’ scheme in this paper). The design activity of the supplier is aimed at accomplishing steps 2–7 of certification procedure in the concerned parts. The client is engaged in setting the parts under its control and in checking that the supplier follows the scheduled plan of action. All the required steps are started in their application within this phase. Step 2 (policy)—The client starts its involvement by drafting the key concepts of environmental policy for the shiploader. The policy could be: ‘Pursuing the eco-compatibility of the port structures and operations’. The policy is written by the client company by evaluating the possible environmental performance of the shiploader (stated by the manufacturer in the environmental review), and is to be coherent with the environmental policy of the whole company, as well as included in that. Step 3 (environmental aspects)—The environmental review (completed during phase 1) indicates environmental significant aspects: dust production; waste washing water; lost material; environmental commitment. Under these conditions, a series of objectives for the shiploader are set: 앫 minimising dust production (exact values are to be indicated, responsible person identified, time of application and measurement method defined); 앫 complete control of waste washing water (collection points are to be indicated, responsible person identified, time of application and control method defined); 앫 recovery of lost material (collection devices from waste washing water are to be designed and realised, responsible person identified, timing of procedures and method of efficiency control defined); 앫 employees’ environmental commitment (training and education programmes and goals are indicated, working sessions are foreseen, two way communication system established from and towards the management, responsible person identified, continuous improvement process set); The environmental objectives are to be set by the manufacturer in co-operation with the client, considering the
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site characteristics, the client company commitment, and the shiploader potentialities (compared with production and operation cost levels). Taking into account the starting point (environmental review) and the arrival point (objectives), the environmental programme is drafted by following the principle indication of the environmental policy. The programme is written in co-operation by the supplier and the user of the shiploader. This is done following the same procedure as both the companies would be ISO 14001 certified (ISO 14001, 4.4.6). Step 4 (Ems)—The most complex step is the one that brings to the Ems definition in compliance with ISO 14001 standard. Operation procedures are easier to be decided and written if originating from this phase, and if established in co-operation by supplier/manufacturer and client/user. As previously highlighted, emergency procedures and continuous improvement commitment are to be undertaken by the user. Operation procedures and impact minimisation solutions are simplified in the development if set in co-operation by supplier and user (this is done as indicated by ISO 14001, 4.4.6 also if neither the supplier nor the client are ISO 14001 certified). Step 5 (application)—The manufacturer/supplier build-up the scheme of roles, competencies, responsibilities, information flows and training and education needs, programmes and goals. The client/user supervises to this activity and, at the end, signs the approval of the method, scheme and targets. By so doing, the client accepts the way of application drafted by the supplier. Step 6 (control)—Auditing method and programme are decided in co-operation by manufacturer and user. Step 7 (management review)—Top management review is set by the client, but its performance also depends on design, realisation and operation elements of the shiploader. Those elements are foreseen by the manufacturer. Detailed design audit—when steps 2–7 are completed ‘on sheet’ (detailed design is ready, draft ISO 14001 documents are ready) the ‘detailed design audit’ is undertaken by the external auditor. This auditing activity ‘on sheet’ is the occasion for correcting possible noncompliance as early as possible even in the design of the machine and in the production of incorrect parts and it is the responsibility of the ISO 14001 auditor to verify that specifications are correct. 4.3.1.2. Assembly The assembly of the shiploader is to be done on site in the port area, where the machine will work. All the main activities are influenced by the ISO 14001 certification process: 앫 building yard preparation: for minimising the impact, temporary ‘activity objectives’ are to be decided by supplier and client;
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앫 rails and sliding system assembly: the action on the port structure is to be done completely following the indication of the related objective; 앫 assembly of lower structure of the shiploader: carpentry, structural work and wiring are environment sensitive actions. The storage, assembly and cleansing activities are studied to follow a specific ISO 14001 procedure. 앫 assembly of higher structure: carpentry, structural work, wiring are still heavily present. A specific ISO 14001 is to be prepared and followed. 앫 assembly of arm, telescopic arm, conveyor belts and loading nozzle: lubrication and wiring are the most environment sensitive actions, to be run with a specific ISO 14001 procedure. 앫 finishing activities: this action is to be integrated with the unusual one of ‘final environmental check’ of the building yard, for the control of final environmental conditions, their comparison with initial ones (photo pictures before/after are suggested) and approval of yard closing. Procedures and work instructions are developed and followed to meet the environmental objectives of the machine-process. 4.3.2. Phase 3—operation conditions (This phase has not been developed in the case study yet, because ‘earlier certification’ of machine-processes is not currently recognised by qualified environmental auditors). The certification process continues throughout the testing loops of the installed machine and the foreseen working conditions. Second and third external audits lead to the ISO 14001 certification of the machine-process. Audits are closely linked to current set-up activity of a new machine in its working site and do not complicate procedures. 4.3.2.1. Tests Checking activity is foreseen before the tests. Wiring, insulation, mechanical linkages, electric and electronic panels, PLC and software, converters, auxiliary services, lightening, manual check of PLC. After that, the two tests series starts. Process audit—the process audit (second external audit for ISO 14001 certification of the process-machine) is to take place at this moment, for verifying the process compliance with the standards and set Ems requirements. 1. Unloaded machine test: working functions; cabin panel commands; button panel of the loading nozzle; local button panels; logical sequences and blocking systems are verified. 2. Loaded machine test: anti-overloading sensors, effectiveness of dust limitations, noise reduction and con-
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trol systems, washing system, waste washing water collectors are verified. The auditor is to control compliance of observed parameters and situations with environmental manual procedures. And consistence of paper descriptions with real situations. Unloaded and loaded machine tests are to demonstrate the effectiveness of choices and potential of continuous improvement forecasts. 4.3.2.2. Working conditions Certification audit—after a three month period of operation, the final audit for ISO 14001 certification is given by the external accredited environmental auditor. Steps 1–6 of certification procedure are verified in working conditions and validated. Documental and operational verifications are the same as for an industrial process environmental audit and validation. For the shiploader, loading operations are to be controlled while driven from both the cabin panel and the ventral button panel (that need to be authorised by the cabin selector). Loading operations are repeated for different ships by using either the loading nozzle or the direct loading by moving the loading nozzle in vertical position. the trajectory of the material flow and the effectiveness of dust limitation are verified, as well as the personnel operations. After the loading cycles, washing operations, effectiveness, and waste washing water collection are to be verified. Stand-by conditions are to be tested and the complete washing procedure of the whole machine (suggested by operating instructions to be done every 15 days) is to be completed under the auditors observation.
5. Conclusions The possibility of applying ISO 14000 standards and getting ISO 14001 ‘earlier certification’ of processmachines—although currently not recognised—is real
and effective. Two possible ways for earlier application of ISO 14001 standard to process-machines are outlined in the paper: the ‘bridge’ scheme and the ‘double-step’ scheme. Both of them promote a higher interaction between manufacturer/supplier and client/user, by also introduce principles from DfE—Design for the environment standard. The challenging opportunity of getting the environmental certification with an ‘earlier application’ scheme shows its effectiveness in the presented case study of a port shiploader. The benefits for the market of ‘clean technologies’ and for the diffusion of environmental certification—also among companies that are still afraid of starting with a unit/company-wide application—are obtained by fulfilling normal offer, design, installation and test procedures.
References [1] Orecchini F, Sabatini D, Cedola L. Study of environmental aspects of a shiploader and its industrial site. Research report 12/98, CIRPS Environmental research group, Rome, Italy, 1998. [2] ISO—International Organisation for Standardization, Series EN ISO 14000, Geneva, Switzerland, 1996–1999. [3] EPA—Environmental Protection Agency. EMS—a design for the environment approach/draft version. Washington, USA, 1999. [4] Welford RJ. Corporate environmental management: systems and strategies. London: Earthscan, 1996. [5] Wolff R. Beyond environmental management: perspectives on environmental and management research. In: Business strategy and the environment. Chichester: John Wiley and Sons, 1998:297–308. [6] Heizer F. Beyond ISO 14001 certification—the Ems as a management tool. In: Eco-management and Auditing Conference Proceedings. Leeds: Erp Environment, 1999:154–60. [7] Peglau R. The number of ISO 14001/Emas registration of the world, Federal environmental agency—Germany, 1999. [8] Drucker P. Innovation and entrepreneurship. Oxford: Butterworth-Heinemann, 1999. [9] CT Ceretti Tanfani Engineering. Design and engineering guide, Internal use document, Milan, Italy, 1994. [10] CT Ceretti Tanfani Engineering. Mobile shiploader 700 t/h technical description, Internal use document, Milan, Italy, 1999.
The ISO 14001 certification of a machine-process Fabio Orecchini
*
CIRPS—University of Rome ‘La Sapienza’, Via delle Spighe, 13 I-00172 Rome, Italy Received 7 June 1999; accepted 2 November 1999
Abstract Some process machines in industrial manufacturing can be defined machine-process: their operations can be analysed by several points of view independently from the larger manufacturing process where they are included. For a machine-process, an Ems— Environmental management system can be set up and the ISO 14001 certification reached in an ‘earlier application’ way, with the involvement of both supplier/manufacturer and client/user. The ‘earlier certification’ of machine-processes adds new contents to the product, linked to the environment, helping the market of ‘clean technologies’, and fosters the diffusion of ISO 14001 certification among supplying/manufacturing companies and clients/users whose entire process is not yet certified. A case study is presented that has been experienced in Italy. The ‘offer and design’ phase of a port mobile shiploader is completely developed by following the ‘earlier application’ scheme for ISO 14001 certification of a machine process—introduced and explained in the paper. Achieved results are shown, and the perspective of a complete application of the scheme to the following ‘detailed design and assembly’ and ‘operations’ phases of the same machine are outlined. The feasibility of such a new application of ISO 14000 standards is proved, together with its advantages, while the readiness of the market for the new sector of earlier certification of machine-processes is highlighted. 2000 Published by Elsevier Science Ltd. All rights reserved. Keywords: Machine-process; Ems—Environmental management system; ISO 14001 certification; Earlier application; Environmental audit
1. The machine-process In the analysis of industrial processes, a single machine often realises an entire and well-defined part of a manufacturing cycle. This machine is what we call a ‘machine-process’. It can be seen, from the management point of view, as a whole ‘small’ industry. All the existing environmental and quality standards, as well as procedures for optimising management systems can be applied to the machine-process. Even when it is part of a larger manufacturing flow. And, if needed, independently from this one. A machine-process can be run following its own procedures, and educating, training and organising its own specialised personnel. The machineprocess has input materials and output materials and waste, like a ‘classical’ entire production process. For the financial analysis, its costs and revenues can be taken into account, and its economical performance evaluated.
* Tel.: +39-06-4871441; fax: +39-06-4874838. E-mail address: [email protected] (F. Orecchini)
2. Environmental management systems and standards New ideas and social needs have driven for the past 20 years to the setting up of Ems for industrial operations. This trend has been continuously increasing in importance. The ISO 14000 series of environmental standards provide a widely recognised set of references for the development of Ems in industry (the ISO 14001 certifications in the world raised to 11.421 up to the 1 September 1999 [7]). There are several standards in the 14000 series, ready to be applied by companies for developing an Ems: ISO 14001, ISO 14004, ISO 14010, ISO 14011, ISO 14012, ISO 14013/15. The ISO 14001 is the key standard: Environmental management systems—specifications with guidance for use; it specifies the requirements and sets out the main elements of an Ems structure, and is the only standard of the series to be used for certification. ISO 14004 provides guidance for the implementation of Ems principles, systems and supporting techniques. ISO 14010 and 14011 address general principles for environmental auditing and audit procedures respectively, and ISO 14012
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sets out qualification criteria for environmental auditors. ISO 14013/15 provide guidelines for audit programmes, reviews and assessments. Those standards are currently applied to organisations, as well as units/departments. The organisation (or unit/department) needs to be analysed from the environmental point of view and several steps are made—following the ISO 14001 requests—to reach a complete Ems implementation, and to reach environmental certification [6]. The standards [2] require or recommend the clear identification of: 1. Environmental review (ISO 14001 annex A and ISO 14004, 4.1.3); 2. Environmental policy (ISO 14001, 4.2); 3. Environmental aspects (ISO 14001, 4.3) 4. Environmental management system (ISO 14001, 4.1 and ISO 14004); 5. Application (ISO 14001, 4.4); 6. Control (ISO 14001, 4.5); 7. Management review (ISO 14001, 4.6). Once the mentioned steps1 have been made, the validation and registration can be requested. And the process certified through an audit.
3. The ‘earlier application’ of ISO 14000 standards to a machine-process ISO 14000 standards and ISO 14001 certification can be applied to a single machine, when this machine belongs to the family we called ‘machine-process’. Steps 1–7 of the certification procedure can be easily applied to a machine-process, considering and analysing its own characteristics and production phases. Environmental review, policy, aspects, Ems set-up, application, control and management review procedures can be identified. This is currently done only when a company identifies the machine-process with a unit or a department of its organisation, and when the machine is already operating at the production site. The Ems set-up and ISO 14001 certification of the machine-process would also be possible in an ‘earlier application’ way, with the involvement of both supplier/manufacturer and client/user. The ‘earlier application’ is not implemented by companies and consultants yet, and is not recognised, at the moment, by qualified verifiers. Its implementation will allow new benefits for the market of ‘clean technologies’, and for the diffusion of environmental certification (and attention to the 1 The steps are listed in the order foreseen by the methodology under development (through a real application to a chemical production plant) at CIRPS—Environmental research group, University of Rome ‘La Sapienza’, Rome, Italy.
environment) among machines manufacturing companies and final users [8]. The ‘earlier certification’ of machine-processes aims at giving to machines manufacturers the possibility to enrich their offer with new valueadded elements, linked to the environment, and secondarily at helping the diffusion of ISO 14001 certification of processes. Neither the supplier, nor the client need to be certified ISO 14001 for the ‘earlier certification’ of the machine-process. The possibility to obtain a clear visibility (and a tangible result: the ISO 14001 certification of the machineprocess) is essential for the strategic choice of manufacturers [4] of addressing their design, production and marketing towards environment friendly technologies and solutions for their final product: the machine-process. The enlargement of the market of clean technologies is one of the targets of the research, helping to increase the availability of ‘environmental compatible products’, intending for compatibility with the environment not only of the ‘product’ machine (LCA and related or similar analysis), but also of the machine when operating. This compatibility will be certified with the ‘earlier application’ of ISO 14001 to the machine-process. This way of proceeding is also useful for client companies that are still afraid of going towards a companywide (or unit/department-wide) environmental certification. They could accept more easily a way to invest a bit more money buying a new ‘piece’ of their company with the ISO 14001 certification, which would also be valid for a first ‘exploration’ of Ems certification within their organisation [5,8]. The two target groups are: manufacturers/suppliers interested in opening new ‘environmental compatible’ markets, and users/buyers interested in ‘testing’ benefits and problems of environmental management systems set-up and certification within their organisation. The purchaser of the certified machine does not need to be certified in order to properly use the machine according to ISO 14001 instructions. Its condition is comparable to that of a company that only certifies one of its units/departments. But the ‘environmental certification seed’ is put inside the company through the machine-process certification, and is expected to grow, fostering a following certification of other units and/or of the complete organisation. The application of the environmental standards to a machine-process is possible by starting from the ‘offer’ and ‘design’ phases of its realisation project. The certification procedure can be partially or entirely completed by the manufacturer. A ‘ready to be ISO 14001 certified’ machine can be offered, designed, produced and sold to a client, as well as a ‘ISO 14001 certified’ machine, as shown below.
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3.1. Problems ISO 14000 standards seem not to be directly applicable by the manufacturer (for the ISO 14001 certification of the machine-process) in the following points: 앫 environmental policy (within step 2); 앫 environmental objectives and programme (within step 3); 앫 definition of emergency procedures (within step 4); 앫 continuous improvement (within step 4); 앫 environmental communication (within step 5); 앫 top management re-examination (within step 7). For the above-mentioned points, the manufacturer is not able to correctly set the procedures and produce—without the involvement of the client/user—all the requested documentation for ISO 14001 certification of the machine-process. In fact, the manufacturer cannot take the foreseen decisions and guarantee adherence to the standards during the use of the machine. 3.2. Solutions There are two possible ways of solving the highlighted problems and meeting ISO 14001 requirements for the machine-process. Both of ways require client/user involvement in the certification process: the manufacturer could either work in co-operation (bridge certification), or in series (double step certification) with the client. 3.2.1. Bridge-certification The manufacturer proposes the ISO 14001 certification of the machine-process during the ‘offer and negotiation’ phase. Environmental aspects are both considered and evaluated in the offer and first design, and a draft agreement with a qualified environmental auditor and certification body is attached to the offer. This is done by including in the procedure the application of ‘downstream’ and ‘upstream’ principles indicated by DfE—Design for the environment standard. The impact on the environment created by the customer in using the product, is to be considered by the supplier when designing it [3]. After the approval of the offer by the client, the following ‘executive design phase’ is developed by aiming at certification. Most of the goals requested by the standards are more easily reached by starting from the design period. All the applicable standards (not included in the previous non-applicable points list) are completed in time under the responsibility of the designer/manufacturer. The non-applicable standards (listed above) are completed in a ‘bridge’ solution by involving the client/user in taking the needed decisions and setting effective oper-
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ation solutions. The responsibility for bridge certification is that of the client/user project manager. The needed tasks are divided between the supplier and the client, but the responsibility for certification allocated on the client side and the ‘bridge accomplishments’ spread along the entire offer, design, manufacturing and testing process ensure the success of the certification ‘from within’ of the machine-process development and production. The qualified auditor verifies the achievement of the standards requirements by auditing the process three times: 1. Detailed design audit; 2. Process audit; 3. Certification audit. The first audit is held in correspondence with the conclusion of the detailed design phase2. This audit takes place ‘on sheet’ and foresees the control of the environmental compatibility of designed solutions. The second audit verifies ‘on field’ the correctness of the settled machine-process, checking the accomplishment of the standards during the testing phase of the machine. The third audit is the final one for the ISO 14001 certification and takes place after a three months operation period. 3.2.2. Double-step certification The certification procedure is defined by clearly dividing roles and responsibilities between manufacturer/supplier and client/user of the machineprocess. The manufacturer supplies a ‘ready to be certified’ machine, only ensuring the accomplishment of certain points of the standards that are under his responsibility. A ‘ready to be ISO 14001 certified’ machine must have the following parts of the certification procedure developed by the manufacturer/supplier. Step 1 (environmental review). The site of operation, the process layout, and the pollution sources are reviewed and the environmental constraints settled. The description of control devices and general environmental situation are completed. The applicable laws are only partially indicated, because some of the necessary information would not be available without user involvement. Step 2 (environmental policy). The policy of the user company for the environment cannot be outlined by the supplier. Only product-related suggestions are attached to the user’s manual. Step 3 (environmental aspects). The environmental objectives can be partially set by the manufacturer. The
2 It cannot be placed earlier to avoid incurring in ‘consulting activity’ risk by the auditor.
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results of the environmental review (step 1) must also be used to address the user’s suggestions and draft objectives. The environmental programme can be partially outlined by the supplier, by indicating possible improvements in environmental performance of the machine-process obtained by reaching the suggested objectives. Step 4 (Ems). The Ems—Environmental management system can be developed in the essential terms by the supplier/manufacturer. The operation procedures for running the process by minimising the impact, and the identification of the environmental performance are part of the supply. The environmental manual is either attached to the user’s manual, or part of it. Some possible continuous improvement methodologies are described, but cannot be set in full without client/user involvement. Step 5 (application). Roles, competencies and responsibilities are indicated by the manufacturer/supplier and studied in the machine’s design. Information flows and procedures are stated in the environmental manual. Training specifications, educational needs, programmes and goals are also indicated by the supplier. The client/user’s environmental communication cannot be indicated by the manufacturer/supplier. The emergency procedures are only identified for the machine-process activity. Step 6 (control). The required control methods can be indicated in the machine’s documentation. Step 7 (management review). The top management periodic review cannot be stated by the supplier, and needs to be fulfilled during the purchaser continuation of the double step procedure.
has been experienced in Italy [1]. Phase 1—offer and design has been completely developed as described. The steps made are in perspective of an ISO 14001 certification, but the auditor has only agreed for a general ‘environmental compatibility review’ of the machine at the moment, and not for the real audit and certification (whose possible method is outlined in the paper). Phases 2 and 3 are currently considered not possible, and the proposed ‘earlier certification’ of process-machines is not currently part of the auditor’s way of applying ISO 14001 standards. 4.1. The shiploader The task of the machine (Fig. 1), is to take powder material from duck transporters (end-of-process conveyor belts) and load it on transportation ships. The machine has a loading capacity of 700 t/h of powder material. The material treated is ammonium sulphate (NH4)2SO4 with a specific weight of 1 t/m3 and diameter of less than 3 mm. The shiploader is mobile and can run for 200 m on the dock railway and is composed of a main structure, a telescopic arm, three conveyor belts and a nozzle for better loading the material inside the ship hold. One out of the three conveyor belts is mobile, to allow the telescopic arm to move for a 7 m range on the sea side. Ships up to 20 000 Dwt can be loaded by the machine. The personnel directly needed by the shiploader for operation conditions are, one operator (inside the control cabin or beside the hatch, where a push-button panel is installed). 4.2. Earlier application of ISO 14001
4. Case study: earlier application of ISO 14001 to a port shiploader A family of process-machines whose Ems can be certified following ISO 14001 standards is that of the port shiploader. Port machines often perform more than a single operation in normal working conditions; their sequence of operations can be seen and analysed as a complete process. Shiploaders usually take input material from a different process (manufacturing, as well as transportation) and, after a series of operations, release it on a ship. Rarely, the operations within the shiploader domain include transformations and/or assembly of materials. Movement of the material from one point to another is the core task of the machine. The simple series of operations of a shiploader can be recognised as the ‘entrance point’ of machine-processes family. The application of ISO 14001 certification process to a shiploader in the ‘earlier application’ form shows the real potential of this new approach. The case study presented in the following paragraphs
The earlier application of ISO 14001 standards is done by following the ‘bridge certification’ scheme. The supplier/manufacturer ‘CT Ceretti Tanfani Engineering’ (CTE) is certified ISO 9001, but not ISO 14001 yet. The client/user Port Management Company (PMC) is interested in going towards environmental certification, but is not yet certified ISO 14001. The case study is developed in co-operation with CTE, interested in exploring the possibility of offering ‘ISO 14001 certified’ machine-processes to its clients. 4.2.1. Phase 1—offer and design The ISO 14001 certification of the machine-process is proposed to the client/user PMC by the supplier/manufacturer CTE. CTE integrates the usual first visit of designers and commercial unit to the machine working site with a first ‘on site environmental review’ of CIRPS—environmental research group. After the visit, office work is carried out on environmental characteristics of the port area and environmental policy of the client company. CTE also
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Fig. 1. The CT Ceretti Tanfani shiploader and the ship position in working conditions.
drafts an agreement with a major qualified verifier for the environmental audit of the machine-process. The environmental analysis of the machine and of the site is curried-up by CIRPS and precise solutions for environmental preservation are indicated, in co-operation with CTE engineering department. Critical phases of the machine process for the environment are highlighted, with regard to operational and maintenance aspects of the working activity. The study deeply analyses the current situation of the site, the historical elements and the foreseen restoration interventions. The global environmental policy and plans of the client company are also described and referenced. The characteristics of the ammonium sulphate (NH4)2SO4 and its possible environmental impact during the machine operation are studied and the working methodology explained. The philosophy of environmental impact prevention for the shiploader is consequently deducted. The following steps are similar to the usual ones [9] and drive the draft design of the machine, developed by the CTE engineering department. The design is implemented, this time, taking into account the indications of the environmental analysis. The commercial strategy is focused on the innovation of integrating the environmental certification procedure from the very beginning of the entire operation. The offer is usually composed of:
앫 general description; 앫 technical description of the shiploader; 앫 outline of instructions for assembly, set-up, working conditions, maintenance; 앫 training programme; 앫 technical drawings. Environmental considerations, usually not foreseen by CTE at this step, are present in: 앫 general description, where relevant environmental impact factors of the machine are stated (site, material loading and transport, cleaning and dedusting, maintenance) and the agreement with the environmental auditor declared (mentioning the auditor’s name and references). 앫 technical description, where one paragraph (out of nine) is named ‘environmental impact’ and two pages (out of 32) are devoted to the description of environmental philosophy of the project. 앫 training, where educational goals and programmes also refer to Ems implementation. The environmental considerations already influence the design choices of CTE at this level. For the relevant aspects of the process (site, material loading and transport, cleaning and dedusting, maintenance) technical solutions are designed for impact reduction. The solutions
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are part of the project, and also drive the environmental objectives (step 3 of the CIRPS methodology—ISO 14001, 4.3). For the site, the climatic considerations are: temperature range (⫺10–+40°C), height (2.5 m asl), humidity (30–70%), wind speed (max. 100 km/h, with 150 km/h wind gusts), type of environment (marine with dust and high salinity). For the loading/transport of material, the critical points have been identified in the jumps of material from one conveyor belt to another (three conveyor belts are foreseen). Environmentally speaking, this is a relevant aspect. Solutions are realised by adding extra covers and guides along the path, and realising semi-closed spaces around the critical points. For the cleaning and dedusting needs, cycles and modalities are clearly indicated and described in specific procedures by the operations manual. Cleaning nozzles are integrated in anti-dust covers for a more effective cleaning and for not allowing water to be lost out of the machine’s area. Water drain points are well identified and their possibility of waste material recovery guaranteed. The total surface to be cleaned by the system is 1200 m2. The surface of 400 m2 (belts, arms, loading nozzle) is cleaned at the end of each loading cycle. For the maintenance, critical parts for environmental impact reduction are identified. Revision procedures are described for cleaning system, covers and guides.
4.3. Results
Considering the outlined environmental certification process, step 1 (environmental review) is completely covered by the activity of phase 1—offer and design. The site, the process layout, the identification of pollution sources, the applicable laws and a description of control devices and general environmental situation are treated in the offer documentation. The preliminary environmental study [1] has led to a deeper knowledge, between supplier and client, of respective policies and approaches to the eco-related problems. This is done although none of them is ISO 14001 certified, and introduces in their practice an element stated by ISO 14001, 4.4.6 (operational control) for supplier/client relationship and by DfE—Design for the environment standard. The client’s environmental policy has been taken into account from the very beginning of the design development of the shiploader and the possibility of a future ISO 14001 certification of the whole industrial settlement has been considered when studying the machine-process interfaces with the port structures. Those two important results would not have occurred without the ‘earlier application’ of ISO 14001 certification principles to the offer and design phase.
4.3.1. Phase 2—from detailed design to assembly (This phase has not been developed in the case study yet, because ‘earlier certification’ of machine-processes is not currently recognised by qualified environmental auditors). 4.3.1.1. Detailed design After the approval of the offer by the client, the detailed design, production and assembly phase starts [9,10]. This phase is developed in co-operation by the supplier and the client (that agrees in taking the final ISO 14001 certification responsibility, as foreseen by the ‘bridge certification’ scheme in this paper). The design activity of the supplier is aimed at accomplishing steps 2–7 of certification procedure in the concerned parts. The client is engaged in setting the parts under its control and in checking that the supplier follows the scheduled plan of action. All the required steps are started in their application within this phase. Step 2 (policy)—The client starts its involvement by drafting the key concepts of environmental policy for the shiploader. The policy could be: ‘Pursuing the eco-compatibility of the port structures and operations’. The policy is written by the client company by evaluating the possible environmental performance of the shiploader (stated by the manufacturer in the environmental review), and is to be coherent with the environmental policy of the whole company, as well as included in that. Step 3 (environmental aspects)—The environmental review (completed during phase 1) indicates environmental significant aspects: dust production; waste washing water; lost material; environmental commitment. Under these conditions, a series of objectives for the shiploader are set: 앫 minimising dust production (exact values are to be indicated, responsible person identified, time of application and measurement method defined); 앫 complete control of waste washing water (collection points are to be indicated, responsible person identified, time of application and control method defined); 앫 recovery of lost material (collection devices from waste washing water are to be designed and realised, responsible person identified, timing of procedures and method of efficiency control defined); 앫 employees’ environmental commitment (training and education programmes and goals are indicated, working sessions are foreseen, two way communication system established from and towards the management, responsible person identified, continuous improvement process set); The environmental objectives are to be set by the manufacturer in co-operation with the client, considering the
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site characteristics, the client company commitment, and the shiploader potentialities (compared with production and operation cost levels). Taking into account the starting point (environmental review) and the arrival point (objectives), the environmental programme is drafted by following the principle indication of the environmental policy. The programme is written in co-operation by the supplier and the user of the shiploader. This is done following the same procedure as both the companies would be ISO 14001 certified (ISO 14001, 4.4.6). Step 4 (Ems)—The most complex step is the one that brings to the Ems definition in compliance with ISO 14001 standard. Operation procedures are easier to be decided and written if originating from this phase, and if established in co-operation by supplier/manufacturer and client/user. As previously highlighted, emergency procedures and continuous improvement commitment are to be undertaken by the user. Operation procedures and impact minimisation solutions are simplified in the development if set in co-operation by supplier and user (this is done as indicated by ISO 14001, 4.4.6 also if neither the supplier nor the client are ISO 14001 certified). Step 5 (application)—The manufacturer/supplier build-up the scheme of roles, competencies, responsibilities, information flows and training and education needs, programmes and goals. The client/user supervises to this activity and, at the end, signs the approval of the method, scheme and targets. By so doing, the client accepts the way of application drafted by the supplier. Step 6 (control)—Auditing method and programme are decided in co-operation by manufacturer and user. Step 7 (management review)—Top management review is set by the client, but its performance also depends on design, realisation and operation elements of the shiploader. Those elements are foreseen by the manufacturer. Detailed design audit—when steps 2–7 are completed ‘on sheet’ (detailed design is ready, draft ISO 14001 documents are ready) the ‘detailed design audit’ is undertaken by the external auditor. This auditing activity ‘on sheet’ is the occasion for correcting possible noncompliance as early as possible even in the design of the machine and in the production of incorrect parts and it is the responsibility of the ISO 14001 auditor to verify that specifications are correct. 4.3.1.2. Assembly The assembly of the shiploader is to be done on site in the port area, where the machine will work. All the main activities are influenced by the ISO 14001 certification process: 앫 building yard preparation: for minimising the impact, temporary ‘activity objectives’ are to be decided by supplier and client;
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앫 rails and sliding system assembly: the action on the port structure is to be done completely following the indication of the related objective; 앫 assembly of lower structure of the shiploader: carpentry, structural work and wiring are environment sensitive actions. The storage, assembly and cleansing activities are studied to follow a specific ISO 14001 procedure. 앫 assembly of higher structure: carpentry, structural work, wiring are still heavily present. A specific ISO 14001 is to be prepared and followed. 앫 assembly of arm, telescopic arm, conveyor belts and loading nozzle: lubrication and wiring are the most environment sensitive actions, to be run with a specific ISO 14001 procedure. 앫 finishing activities: this action is to be integrated with the unusual one of ‘final environmental check’ of the building yard, for the control of final environmental conditions, their comparison with initial ones (photo pictures before/after are suggested) and approval of yard closing. Procedures and work instructions are developed and followed to meet the environmental objectives of the machine-process. 4.3.2. Phase 3—operation conditions (This phase has not been developed in the case study yet, because ‘earlier certification’ of machine-processes is not currently recognised by qualified environmental auditors). The certification process continues throughout the testing loops of the installed machine and the foreseen working conditions. Second and third external audits lead to the ISO 14001 certification of the machine-process. Audits are closely linked to current set-up activity of a new machine in its working site and do not complicate procedures. 4.3.2.1. Tests Checking activity is foreseen before the tests. Wiring, insulation, mechanical linkages, electric and electronic panels, PLC and software, converters, auxiliary services, lightening, manual check of PLC. After that, the two tests series starts. Process audit—the process audit (second external audit for ISO 14001 certification of the process-machine) is to take place at this moment, for verifying the process compliance with the standards and set Ems requirements. 1. Unloaded machine test: working functions; cabin panel commands; button panel of the loading nozzle; local button panels; logical sequences and blocking systems are verified. 2. Loaded machine test: anti-overloading sensors, effectiveness of dust limitations, noise reduction and con-
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trol systems, washing system, waste washing water collectors are verified. The auditor is to control compliance of observed parameters and situations with environmental manual procedures. And consistence of paper descriptions with real situations. Unloaded and loaded machine tests are to demonstrate the effectiveness of choices and potential of continuous improvement forecasts. 4.3.2.2. Working conditions Certification audit—after a three month period of operation, the final audit for ISO 14001 certification is given by the external accredited environmental auditor. Steps 1–6 of certification procedure are verified in working conditions and validated. Documental and operational verifications are the same as for an industrial process environmental audit and validation. For the shiploader, loading operations are to be controlled while driven from both the cabin panel and the ventral button panel (that need to be authorised by the cabin selector). Loading operations are repeated for different ships by using either the loading nozzle or the direct loading by moving the loading nozzle in vertical position. the trajectory of the material flow and the effectiveness of dust limitation are verified, as well as the personnel operations. After the loading cycles, washing operations, effectiveness, and waste washing water collection are to be verified. Stand-by conditions are to be tested and the complete washing procedure of the whole machine (suggested by operating instructions to be done every 15 days) is to be completed under the auditors observation.
5. Conclusions The possibility of applying ISO 14000 standards and getting ISO 14001 ‘earlier certification’ of processmachines—although currently not recognised—is real
and effective. Two possible ways for earlier application of ISO 14001 standard to process-machines are outlined in the paper: the ‘bridge’ scheme and the ‘double-step’ scheme. Both of them promote a higher interaction between manufacturer/supplier and client/user, by also introduce principles from DfE—Design for the environment standard. The challenging opportunity of getting the environmental certification with an ‘earlier application’ scheme shows its effectiveness in the presented case study of a port shiploader. The benefits for the market of ‘clean technologies’ and for the diffusion of environmental certification—also among companies that are still afraid of starting with a unit/company-wide application—are obtained by fulfilling normal offer, design, installation and test procedures.
References [1] Orecchini F, Sabatini D, Cedola L. Study of environmental aspects of a shiploader and its industrial site. Research report 12/98, CIRPS Environmental research group, Rome, Italy, 1998. [2] ISO—International Organisation for Standardization, Series EN ISO 14000, Geneva, Switzerland, 1996–1999. [3] EPA—Environmental Protection Agency. EMS—a design for the environment approach/draft version. Washington, USA, 1999. [4] Welford RJ. Corporate environmental management: systems and strategies. London: Earthscan, 1996. [5] Wolff R. Beyond environmental management: perspectives on environmental and management research. In: Business strategy and the environment. Chichester: John Wiley and Sons, 1998:297–308. [6] Heizer F. Beyond ISO 14001 certification—the Ems as a management tool. In: Eco-management and Auditing Conference Proceedings. Leeds: Erp Environment, 1999:154–60. [7] Peglau R. The number of ISO 14001/Emas registration of the world, Federal environmental agency—Germany, 1999. [8] Drucker P. Innovation and entrepreneurship. Oxford: Butterworth-Heinemann, 1999. [9] CT Ceretti Tanfani Engineering. Design and engineering guide, Internal use document, Milan, Italy, 1994. [10] CT Ceretti Tanfani Engineering. Mobile shiploader 700 t/h technical description, Internal use document, Milan, Italy, 1999.