En lo que respecta a la industria minera, los actos que ha realizado el ser humano han provocado desde hace mucho tiempo graves daños y un gran impacto negativo al medio ambiente. Ante ello, el gran interés por parte de gobierno peruano, como ente regulador, y de las empresas privadas y estatales, especialmente en el rubro de la minería, con respecto a la preservación del medio ambiente, no debe detenerse y por el contrario debe aumentar con el devenir de los años, promoviendo la responsabilidad que se debe tener con el medio ambiente, comprendiendo la parte que le toca hacer a cada persona, formando una conciencia de reflexión, entender que se debe cuidar y conservar todo aquello que nos rodea incluyendo a todos los seres humanos. El tema de la siguiente tesis se centro en mostrar una metodología para implementar un sistema de gestión ambiental en una mina subterránea que cumpla con la norma internacional ISO 14001:1998 y en donde se muestran los tipos de indicadores medioambientales que pueden utilizarse para realizar la evaluación del desempeño y verificar el cumplimiento de la mejora continua del sistema de gestión ambiental. Como aplicación práctica, esta tesis describe y comenta la implementación del sistema de gestión ambiental en la mina subterránea Paragsha de la Unidad Económica Administrativa Cerro de Pasco, propiedad de la empresa Volcan Compañía Minera S.A.A., uno de los principales productores a nivel mundial de zinc, plata y plomo. El enfoque de la tesis es detallar cada paso en la implementación del sistema de gestión ambiental de la mina subterránea Paragsha: 1) compromiso y política ambiental, 2) planificación, 3) implementación, 4) medición y evaluación, 5) mejora continua. En el caso de la mina Paragsha, la implementación del sistema de gestión ambiental fue exitosa, la que se complementó junto con las demás áreas de la unidad minera (planta concentradora, geología, planeamiento, tajo abierto, etc.) haciendo posible la obtención del certificado internacional ISO 14001:1996 en la Unidad Económica Administrativa Cerro de Pasco, en Setiembre del 2001 y conservándola hasta la actualidad con auditorias de re-certificación anuales.

La certification ISO 14001 sur les systèmes de gestion environnementale a connu une forte croissance depuis 1996 et représente une source de légitimité sociale pour les entreprises. Cette légitimité dépend notamment de l’indépendance du processus de vérification et des liens entre ce processus et l’amélioration des pratiques et des performances environnementales des organisations. Cependant, ces aspects demeurent encore peu étudiés dans la littérature. L’objectif de cette étude qualitative est d’analyser, à partir d’entretiens auprès de professionnels participant directement ou indirectement au processus de certification, les perceptions de l’indépendance des auditeurs, ses enjeux éthiques, et ses liens avec les pratiques environnementales des entreprises canadiennes. La construction sociale de l’indépendance des auditeurs est analysée, notamment à partir de diverses stratégies de production de sens. Ces stratégies s’appuient sur un ensemble de mécanismes procéduraux, de stéréotypes et de processus de distanciation pour créer une apparence de confiance et de confort concernant l’indépendance de l’auditeur. L’influence potentielle de la rémunération des auditeurs est également analysée; les résultats montrent que les répondants tendent à légitimer le processus actuel de rémunération en s’appuyant sur le concept d’utilisateurs-payeurs, sur la déontologie professionnelle et sur les procédures existantes. L’étude démontre également que l’absence de régulation formelle concernant la rotation des auditeurs favorise le maintien des auditeurs sur plusieurs cycles de certification qui concourt à une dynamique relationnelle entre l’auditeur et l’audité. Cette situation renforce le pouvoir du client sur le maintien des auditeurs. Si cette permanence peut avoir des répercussions positives, elle favorise également une familiarité sociale et technique qui tend à compromettre la crédibilité du processus à long terme. Enfin, l’étude montre que les audits de certification ISO 14001 sont surtout centrés sur des aspects procéduraux et tendent à négliger des aspects plus substantiels liés à l’amélioration des pratiques et des performances des organisations. Malgré les biais de désirabilité sociale inhérents aux discours des répondants, l’étude met en lumière des problèmes réels de conflits d’intérêts et de pratiques peu rigoureuses, réalité peu abordée dans la littérature. À partir de ce constat, l’étude propose de nouvelles pistes de recherches sur l’indépendance des audits de certification ISO en général. MOTS-CLÉS : Audit; certification ISO 14001; indépendance; permanence des auditeurs; systèmes de gestion environnementale; dépendance financière; stratégie de production de sens; rotation; performance. / The ISO 14001 certification for environmental management systems provides businesses with social legitimacy. Since its creation in 1996, this particular standard has experienced an increasing popularity. However, its legitimacy is directly linked with the independence of the audit process, as well as with, among other factors, its direct link with the improvement of the businesses’ environmental practices and performances. Nonetheless, the fact remains that these questions have rarely been explored in the formal literature. Therefore, the goal of this qualitative research is to analyse, on the basis of interviews with professionals in the field of the ISO 14001 certification process, the various perceptions of the auditor’s independence, the ethical issues it raises, and its influence on the environmental practices of Canadian businesses. The social construction of the auditor’s independence is studied through various sensemaking strategies (Schutz, 1967; Weick, 1995), among other elements. These strategies rely on procedural mechanisms, stereotypes and a distancing process to create the illusion of trust and comfort as regards the auditor’s independence. The potential influence of the auditor’s compensation has also been analysed in this study, and the results show that the participants tend to legitimize the current compensation practices by relying on the user-pay principle, on professional conduct and on the existing processes in the field. This qualitative research also shows that, in the absence of formal rules regarding auditor rotation, having the same auditor working through several certification cycles can lead to certain relationship dynamics between auditor and auditee, which increases the client’s influence on the choice of auditors. While such permanence can have positive repercussions, it can also cause a social and technical familiarity which can, in turn, jeopardize the long-term credibility of the certification process. Lastly, the study shows that ISO 14001 certification audits are primarily concerned with procedural questions, and tend to neglect the more important issues linked to improving businesses’ practices and performances. Despite the social desirability biases inherent to the study’s goals and the participants’ answers, this qualitative research reveals true problems of conflicts of interest and lax practices that remain rarely discussed in the formal literature. In closing, the study suggests new avenues of research on the independence of all types of ISO certification audits. Key words: Audit, ISO 14001 certification, independence, auditor tenure, environmental management systems, financial dependence, sensemaking strategies, rotation, performance.

Cette recherche doctorale examine l'internalisation des normes de gestion ISO 9001 et ISO 14001 dans trois pays africains : le Cameroun, la Côte d'Ivoire et le Sénégal. Trois principales questions de recherche ont été étudiées : 1) quels sont les défis culturels et les barrières institutionnelles liés à l'adoption des normes de gestion ISO en Afrique? 2) quelle est l'influence des dimensions de la culture, particulièrement l'oralité et la distance hiérarchique, sur l'internalisation des normes de gestion ISO en Afrique? et 3) quelle est l'influence de la gestion de la qualité sur l'internalisation des pratiques de gestion environnementale dans le contexte africain? Le premier article de la thèse met l'accent sur les contraintes institutionnelles et les aspects culturels qui influencent l'adoption des normes de gestion ISO dans le contexte africain. Les principales contraintes pouvant expliquer le faible niveau d'adoption de ces normes en Afrique y sont explorées. De plus, devant la possibilité d'un conflit culturel entre les exigences et les principes véhiculés par les normes de gestion ISO et les dimensions de la culture en Afrique, une analyse des difficultés potentielles d'application a été réalisée. Cet article permet de mettre en évidence les facteurs qui rendent difficiles l'adoption et l'internalisation de ces normes dans les pays africains. Le deuxième article étudie l'influence de la culture sur l'internalisation d'ISO 14001. L'objectif est de souligner les manifestations et les impacts de l'oralité et la distance hiérarchique dans l'internalisation des pratiques de gestion environnementale. Notre analyse permet de relever que l'oralité et la distance hiérarchique influencent la manière dont ISO 14001 est internalisée. Les résultats soulignent le faible pouvoir d'action des personnes responsables de la mise en œuvre de la norme ISO 14001, la tendance des gestionnaires à centraliser les décisions et à considérer l'internalisation de la norme ISO 14001 comme un problème qui concerne davantage les employés. L'oralité et la distance hiérarchique tendent aussi à entraîner une faible appropriation par certains gestionnaires et employés des pratiques environnementales mises en place et peu de changement dans les comportements et les pratiques. Le troisième article examine l'influence de la gestion de la qualité sur l'internalisation des pratiques de gestion environnementale dans le contexte africain. L'objectif est d'étudier dans quelle mesure l'adoption préalable d'ISO 9001 sur la gestion de la qualité, contribue à l'intégration d'ISO 14001 sur la gestion environnementale. Les résultats de l'étude soulignent un effet contrasté d'ISO 9001, avec des aspects positifs et des points préjudiciables à l'internalisation d'ISO 14001. De plus, l'étude met en évidence quatre configurations possibles dans l'intégration des normes ISO 9001 et ISO 14001. / This doctoral research examines the internalization of ISO 9001 and ISO 14001 management standards in three African countries: Cameroon, Ivory Coast and Senegal. Three main research questions were investigated: 1) what are the cultural challenges and institutional barriers to the adoption of ISO management standards in Africa? 2) how do dimensions of culture, particularly orality and hierarchical distance, influence the internalization of ISO management standards in Africa? and 3) how does quality management influence the internalization of environmental management practices in the African context? The first paper of the thesis focuses on the institutional constraints and cultural aspects that influence the adoption of ISO management standards in the African context. The main constraints that may explain the low level of adoption of these standards in Africa are explored. In addition, given the possibility of a cultural conflict between the requirements and principles conveyed by ISO management standards and the dimensions of the culture in Africa, an analysis of potential difficulties of application was carried out. This article highlights the factors that make it difficult to adopt and internalize these standards in African countries. The second article studies the influence of culture on the internalization of ISO 14001. The objective is to highlight the manifestations and impacts of two important cultural aspects, namely orality and hierarchical distance, in the internalization of environmental management practices. Our analysis shows that orality and hierarchical distance influence the way ISO 14001 is internalized. The results of the analysis underline the low power of action of the people responsible for the implementation of ISO 14001, the tendency of managers to centralize decisions and to consider the internalization of ISO 14001 as a problem that concerns more the employees. Orality and hierarchical distance also tend to lead to low ownership by managers and employees of the environmental practices implemented and little change in behaviors and practices. The third article examines the influence of quality management on the internalization of environmental management practices in the African context. The objective is to study the extent to which the prior adoption of ISO 9001 for quality management contributes to the integration of ISO 14001 for environmental management. The results of the study highlight the paradoxical role of ISO 9001, with positive aspects and negative points for the internalization of ISO 14001. In addition, the study highlights four possible configurations in the integration of ISO 9001 and ISO 14001.

O trabalho apresenta uma aplicação da ferramenta metodológica conhecida como FMEA (Failure Mode Effect Analysis) ao processo de identificação de aspectos e impactos ambientais. Tal processo é parte importante na implantação e na manutenção de Sistemas de Gestão Ambiental (SGA), baseados na norma NBR ISO 14001. Além disso, pode contribuir, de forma complementar, para a avaliação e aperfeiçoamento da segurança nuclear da instalação analisada. Como objeto de estudo elegeu-se o Centro de Combustíveis Nucleares (CCN) do IPEN/CNEN-SP, localizado junto ao Campus da Universidade de São Paulo-Brasil, destinado à realização de pesquisas científicas e à produção de elementos combustíveis para o Reator IEA-R1. A partir de um levantamento sistemático de dados, obtidos por meio de entrevistas, documentos e registros operacionais foi possível identificar os processos, suas interações e atividades, cuja análise permitiu definir os diversos modos de falhas potenciais, as respectivas causas e conseqüências para o meio ambiente. Como resultado da avaliação criteriosa dos modos causas foi possível identificar e classificar os principais impactos ambientais potenciais, que constitui uma etapa essencial para a implantação e manutenção de um Sistema de Gestão Ambiental para a instalação em estudo. Os resultados obtidos permitiram demonstrar a validade da aplicação da técnica FMEA aos processos de instalações nucleares, identificando aspectos e impactos ambientais, cujos controles são essenciais para a obtenção da conformidade com os requisitos ambientais do Sistema de Gestão Integrada do IPEN (SGI). Contribuíram também para fornecer uma ferramenta gerencial poderosa para a solução de questões relacionadas ao processo de atendimento de exigências legais aplicáveis no âmbito da Comissão Nacional de Energia Nuclear (CNEN) e do Instituto Brasileiro do Meio Ambiente (IBAMA). / This work presents an application of Failure Mode Effect Analysis (FMEA) to the process of identification of environmental aspects and impacts as a part of implementation and maintenance of an Environmental Management System (EMS) in accordance with the NBR ISO 14001 standard. Also, it can contribute, as a complement, to the evaluation and improvement of safety of the installation focused. The study was applied to the Nuclear Fuel Center (CCN) of Nuclear and Energy Research Institute (IPEN), situated at the Campus of University of Sao Paulo, Brazil. The CCN facility has the objective of promoting scientific research and of producing nuclear fuel elements for the IEA-R1 Research Reactor. To identify the environmental aspects of the facility activities, products, and services, a systematic data collection was carried out by means of personal interviews, documents, reports and operation data records consulting. Furthermore, the processes and their interactions, failure modes, besides their causes and effects to the environment, were identified. As a result of a careful evaluation of these causes it was possible to identify and to classify the major potential environmental impacts, in order to set up and put in practice an Environmental Management System for the installation under study. The results have demonstrated the validity of the FMEA application to nuclear facility processes, identifying environmental aspects and impacts, whose controls are critical to achieve compliance with the environmental requirements of the Integrated Management System of IPEN. It was demonstrated that the methodology used in this work is a powerful management tool for resolving issues related to the conformity with applicable regulatory and legal requirements of the Brazilian Nuclear Energy Commission (CNEN) and the Brazilian Institute of Environment (IBAMA).

Made available in DSpace on 2015-03-05T18:36:38Z (GMT). No. of bitstreams: 0 Previous issue date: 10 / Nenhuma / Este trabalho teve como objetivo analisar os resultados operacionais obtidos pelas empresas brasileiras certificadas na Norma ISO 14001, tendo como base a gestão ambiental e as estratégias de operações. Para alcançar este objetivo procurou-se identificar os fatores relacionados aos processos de operação e ao desempenho das operações após a certificação ambiental. O método de pesquisa se orientou pela busca de integração entre a análise quantitativa e a análise qualitativa. A análise quantitativa foi baseada no tratamento estatístico de dados atuais resultantes da participação de empresas brasileiras no projeto DEVISO (Developing Countries and ISO 14000). A análise qualitativa, por sua vez, utilizou como mecanismo para coleta de dados a técnica de entrevista pessoal a Gerentes do Sistema de Gestão Ambiental de duas empresas participantes do projeto. A análise quantitativa fundamentou-se na análise fatorial (Análise de Componentes Principais – PCA) e na comparação entre médias dos fatores resultantes por meio d / This work had the objective to analyze the operational results achieved for ISO 14001 certificated Brazilians companies, and it was based in the environmental management and strategies of operations. To achieve this objective, the work found identifies the factors related to the operations process and the performance of operations after the environmental certification. The search method found to integrate both qualitative and quantitative analyses. The quantitative analysis was based on treatment of current statistics data that result of the participation of Brazilians companies in the DEVISO project (Developing Countries and ISO 14000). The qualitative analysis, in turn, used the personal interview to the Environmental Manager of the two companies that participated of the DEVISO project. The quantitative analysis was based on factor analysis (Principal Components Analysis – PCA) and comparison among means of factors that results through the paired sample t-tests. This analysis made possible to elaborate a pe

O trabalho apresenta uma aplicação da ferramenta metodológica conhecida como FMEA (Failure Mode Effect Analysis) ao processo de identificação de aspectos e impactos ambientais. Tal processo é parte importante na implantação e na manutenção de Sistemas de Gestão Ambiental (SGA), baseados na norma NBR ISO 14001. Além disso, pode contribuir, de forma complementar, para a avaliação e aperfeiçoamento da segurança nuclear da instalação analisada. Como objeto de estudo elegeu-se o Centro de Combustíveis Nucleares (CCN) do IPEN/CNEN-SP, localizado junto ao Campus da Universidade de São Paulo-Brasil, destinado à realização de pesquisas científicas e à produção de elementos combustíveis para o Reator IEA-R1. A partir de um levantamento sistemático de dados, obtidos por meio de entrevistas, documentos e registros operacionais foi possível identificar os processos, suas interações e atividades, cuja análise permitiu definir os diversos modos de falhas potenciais, as respectivas causas e conseqüências para o meio ambiente. Como resultado da avaliação criteriosa dos modos causas foi possível identificar e classificar os principais impactos ambientais potenciais, que constitui uma etapa essencial para a implantação e manutenção de um Sistema de Gestão Ambiental para a instalação em estudo. Os resultados obtidos permitiram demonstrar a validade da aplicação da técnica FMEA aos processos de instalações nucleares, identificando aspectos e impactos ambientais, cujos controles são essenciais para a obtenção da conformidade com os requisitos ambientais do Sistema de Gestão Integrada do IPEN (SGI). Contribuíram também para fornecer uma ferramenta gerencial poderosa para a solução de questões relacionadas ao processo de atendimento de exigências legais aplicáveis no âmbito da Comissão Nacional de Energia Nuclear (CNEN) e do Instituto Brasileiro do Meio Ambiente (IBAMA). / This work presents an application of Failure Mode Effect Analysis (FMEA) to the process of identification of environmental aspects and impacts as a part of implementation and maintenance of an Environmental Management System (EMS) in accordance with the NBR ISO 14001 standard. Also, it can contribute, as a complement, to the evaluation and improvement of safety of the installation focused. The study was applied to the Nuclear Fuel Center (CCN) of Nuclear and Energy Research Institute (IPEN), situated at the Campus of University of Sao Paulo, Brazil. The CCN facility has the objective of promoting scientific research and of producing nuclear fuel elements for the IEA-R1 Research Reactor. To identify the environmental aspects of the facility activities, products, and services, a systematic data collection was carried out by means of personal interviews, documents, reports and operation data records consulting. Furthermore, the processes and their interactions, failure modes, besides their causes and effects to the environment, were identified. As a result of a careful evaluation of these causes it was possible to identify and to classify the major potential environmental impacts, in order to set up and put in practice an Environmental Management System for the installation under study. The results have demonstrated the validity of the FMEA application to nuclear facility processes, identifying environmental aspects and impacts, whose controls are critical to achieve compliance with the environmental requirements of the Integrated Management System of IPEN. It was demonstrated that the methodology used in this work is a powerful management tool for resolving issues related to the conformity with applicable regulatory and legal requirements of the Brazilian Nuclear Energy Commission (CNEN) and the Brazilian Institute of Environment (IBAMA).

published_or_final_version / abstract / toc / Education / Master / Master of Education

This diploma thesis with the title Creation of the integrated system of the quality management on the base of ISO 9001 and ISO 14001 in the particular firm has the target to develop the proposal of the procedure of the implementation of the system of the environmental management according to the norm ČSN EN ISO 14001 and of the quality management according to the norm ČSN EN ISO 9001 in the company LAMIVEX s.r.o. To reach the target it was necessary to hold a conversation with the senior management and the employees, to observe their every day activities and to make the internal audit. The following step was to elaborate the gained information and to create the documentation according to the norm ČSN EN ISO 14001 and the norm ČSN EN ISO 9001.

Miljömedvetenheten i Sverige har lett till att vi ställer mer krav på att företag och organisationer ska ha ett visst miljöarbete. Fler och fler intresserar sig för företagens miljöarbete och idag är det därför svårt för företag att bara fokusera på kärnverksamheten. Miljöledningssystem kan hjälpa företag och organisationer att få ett systematiskt miljöarbete. Den vanligaste standarden för införandet av miljöledningssystem heter ISO-14001 och innehåller ett grundläggande synsätt som t.ex. kretsloppstanken, delaktighet och livscykelperspektiv. Synsättet ska de företag som använder standarden ta till sig och arbeta efter. Att införa miljöledningssystem betyder en strukturell förändring, men införandet påverkar organisationen även på andra sätt. Denna uppsats syftar till att undersöka och jämföra hur införandet av miljöledningssystem på ett återvinningsföretag och en statlig myndighet har påverkat de anställdas vardag. Den teori som gjort det möjligt att utifrån resultaten kunna besvara syftet med uppsatsen behandlar ’sensemaking’, företagskultur, beslutsfattande och förändringar, garbage can teorin, kommunikation och miljökommunikation. För att utföra studien har en fallstudie genomförts på ett återvinningsföretag och ett statligt verk. Inom ramen för fallstudien har totalt fyra fokusgrupper träffats och diskuterat införandet av miljöledningssystemet och hur det påverkat just den organisation de arbetar i. Två av fokusgrupperna gav perspektiv från ledningshåll och två från övri-ga anställda. Uppsatsens resultat visar att miljöledningssystem kan påverka hur människor tänker kring miljöfrågor även på fritiden. Det har också framkommit att miljöledningssystem ställer stora krav på kommunikationen i företa-get. Denna kommunikation är idag bristfällig inom både det statliga verket och återvinningsföretaget. Uppsatsen visar också intressanta kopplingar mellan organisation och miljöledningssystem.

CoordenaÃÃo de AperfeiÃoamento de Pessoal de NÃvel Superior / Com as pressÃes do mercado para uma otimizaÃÃo do desempenho tecnolÃgico, econÃmico, cultural, ambiental, polÃtico e social, as organizaÃÃes vem aplicando diferentes tÃcnicas de gestÃo, buscando sempre a melhoria contÃnua. Para integrar estas tÃcnicas, surgiu o conceito de Sistema de GestÃo Integrado que nÃo se trata apenas da aplicaÃÃo concomitante de vÃrios sistemas de gestÃo, mas de uma execuÃÃo harmÃnica entre aqueles que vÃm a integrÃ-lo. Sendo assim, neste trabalho buscou-se conhecer os sistemas de gestÃo baseados nas normas ISO 9001:2008, ISO 14001:2004 e OHSAS 18001, analisando suas vantagens e desvantagens e explorando as formas de integrÃ-los. Por fim, elaborou-se um indicador que representasse numericamente o grau de integraÃÃo do SGI formado pelos sistemas baseados nestas normas e o validou aplicando-o em uma construtora e comparando o resultado qualitativo, proveniente da observaÃÃo durante 18 meses, e o resultado quantitativo gerado pelo indicador. Por fim, a construtora apresentou um resultado de integraÃÃo de 64%, o que foi convergente ao constatado pela anÃlise qualitativa. Geraram-se ainda Ãndices particulares para a obra, 62%, e para o escritÃrio, 92%, indicando uma diferenÃa significativa na percepÃÃo dos colaboradores sobre os processos do SGI de acordo com seu setor. O indicador apresentou ainda Ãndices de integraÃÃo para requisitos do SGI. Conclui-se assim o indicador, seu papel no sistema de gestÃo e as oportunidades de melhoria que podem ser apontadas por ele.