（英文版）ISO 14040-2006 环境管理生命周期评估原则和框架

INTERNATIONALSTANDARD

ISO14040

Secondedition2006-07-01

Environmentalmanagement—Lifecycleassessment—Principlesandframework

Managementenvironnemental—Analyseducycledevie—Principesetcadre

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ISO14040:2006(E)

ContentsPage

Foreword iv

Introduction V

1Scope 1

2Normativereferences 1

3Termsanddefinitions 1

4Generaldescriptionoflifecycleassessment(LCA) 6

4.1PrinciplesofLCA 6

4.2PhasesofanLCA 7

4.3KeyfeaturesofanLC 8

4.4Generalconceptsofproductsystems 9

5Methodologicalframework 11

5.1Generalrequirements 11

5.2Goalandscopedefinition 11

5.3Lifecycleinventoryanalysis(LCI) 13

5.4Lifecycleimpactassessment(LCIA) 14

5.5Lifecycleinterpretation 16

6Reporting 16

7Criticalreview 17

7.1General 17

7.2Needforcriticalreview 17

7.3Criticalreviewprocesses 17

AnnexA(informative)ApplicationofLCA 18

Bibliography 20

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ISO14040:2006(E)

Foreword

ISO(theInternationalOrganizationforStandardization)isaworldwidefederationofnationalstandardsbodies(ISOmemberbodies).TheworkofpreparingInternationalStandardsisnormallycarriedoutthroughISOtechnicalcommittees.Eachmemberbodyinterestedinasubjectforwhichatechnicalcommitteehasbeenestablishedhastherighttoberepresentedonthatcommittee.Internationalorganizations,governmentalandnon-governmental,inliaisonwithISO,alsotakepartinthework.ISOcollaboratescloselywiththeInternationalElectrotechnicalCommission(IEC)onallmattersofelectrotechnicalstandardization.

InternationalStandardsaredraftedinaccordancewiththerulesgivenintheISOIECDirectives,Part2.

ThemaintaskoftechnicalcommitteesistoprepareInternationalStandards.DraftInternationalStandardsadoptedbythetechnicalcommitteesarecirculatedtothememberbodiesforvoting.PublicationasanInternationalStandardrequiresapprovalbyatleast75%ofthememberbodiescastingavote.

Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrights.ISOshallnotbeheldresponsibleforidentifyinganyorallsuchpatentrights.

ISO14040waspreparedbyTechnicalCommitteeISO/TC207,Environmentalmanagement,Subcommittee

SC5,Lifecycleassessment.

ThissecondeditionofISO14040,togetherwithISO14044:2006,cancelsandreplacesISO14040:1997,ISO14041:1998,ISO14042:2000andISO14043:2000,whichhavebeentechnicallyrevised.

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Introduction

Theincreasedawarenessoftheimportanceofenvironmentalprotection,andthepossibleimpactsassociatedwithproducts1),bothmanufacturedandconsumed,hasincreasedinterestinthedevelopmentofmethodstobetterunderstandandaddresstheseimpacts.Oneofthetechniquesbeingdevelopedforthispurposeislifecycleassessment(LCA).

LCAcanassistin

—identifyingopportunitiestoimprovetheenvironmentalperformanceofproductsatvariouspointsintheirlifecycle,

—informingdecision-makersinindustry,governmentornon-governmentorganizations(e.g.forthepurposeofstrategicplanning,prioritysetting,productorprocessdesignorredesign),

—theselectionofrelevantindicatorsofenvironmentalperformance,includingmeasurementtechniques,and

—marketing(e.g.implementinganecolabellingscheme,makinganenvironmentalclaim,orproducinganenvironmentalproductdeclaration).

ForpractitionersofLCA,ISO14044detailstherequirementsforconductinganLCA.

LCAaddressestheenvironmentalaspectsandpotentialenvironmentalimpacts2)(e.g.useofresourcesandtheenvironmentalconsequencesofreleases)throughoutaproduct'slifecyclefromrawmaterialacquisitionthroughproduction,use,end-of-lifetreatment,recyclingandfinaldisposal(i.e.cradle-to-grave).

TherearefourphasesinanLCAstudy:a)thegoalandscopedefinitionphase,b)theinventoryanalysisphase,

c)theimpactassessmentphase,andd)theinterpretationphase.

Thescope,includingthesystemboundaryandlevelofdetail,ofanLCAdependsonthesubjectandtheintendeduseofthestudy.ThedepthandthebreadthofLCAcandifferconsiderablydependingonthegoalofaparticularLCA.

Thelifecycleinventoryanalysisphase(LClphase)isthesecondphaseofLCA.Itisaninventoryofinput/outputdatawithregardtothesystembeingstudied.Itinvolvescollectionofthedatanecessarytomeetthegoalsofthedefinedstudy

Thelifecycleimpactassessmentphase(LCIA)isthethirdphaseoftheLCA.ThepurposeofLCIAistoprovideadditionalinformationtohelpassessaproductsystem'sLClresultssoastobetterunderstandtheirenvironmentalsignificance.

1)InthisInternationalStandard,theterm"product"includesservices.

2)The"potentialenvironmentalimpacts"arerelativeexpressions,astheyarerelatedtothefunctionalunitofaproductsystem.

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LifecycleinterpretationisthefinalphaseoftheLCAprocedure,inwhichtheresultsofanLCloranLCIA,orboth,aresummarizedanddiscussedasabasisforconclusions,recommendationsanddecision-makinginaccordancewiththegoalandscopedefinition.

TherearecaseswherethegoalofanLCAcanbesatisfiedbyperformingonlyaninventoryanalysisandaninterpretation.ThisisusuallyreferredtoasanLClstudy.

ThisInternationalStandardcoverstwotypesofstudies:lifecycleassessmentstudies(LCAstudies)andlifecycleinventorystudies(LClstudies).LClstudiesaresimilartoLCAstudiesbutexcludetheLCIAphase.LCIstudiesarenottobeconfusedwiththeLClphaseofanLCAstudy.

Generally,theinformationdevelopedinanLCAorLClstudycanbeusedaspartofamuchmorecomprehensivedecisionprocess.ComparingtheresultsofdifferentLCAorLClstudiesisonlypossibleiftheassumptionsandcontextofeachstudyareequivalent.ThereforethisInternationalStandardcontainsseveralrequirementsandrecommendationstoensuretransparencyontheseissues.

LCAisoneofseveralenvironmentalmanagementtechniques(e.g.riskassessment,environmentalperformanceevaluation,environmentalauditing,andenvironmentalimpactassessment)andmightnotbethemostappropriatetechniquetouseinallsituations.LCAtypicallydoesnotaddresstheeconomicorsocialaspectsofaproduct,butthelifecycleapproachandmethodologiesdescribedinthisInternationalStandardcanbeappliedtotheseotheraspects.

ThisInternationalStandard,likeotherInternationalStandards,isnotintendedtobeusedtocreatenon-tarifftradebarriersortoincreaseorchangeanorganization'slegalobligations.

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INTERNATIONALSTANDARDISO14040:2006(E)

Environmentalmanagement—Lifecycleassessment—

Principlesandframework

1Scope

ThisInternationalStandarddescribestheprinciplesandframeworkforlifecycleassessment(LCA)including

a)thegoalandscopedefinitionoftheLCA,

b)thelifecycleinventoryanalysis(LCl)phase,

c)thelifecycleimpactassessment(LCIA)phase,d)thelifecycleinterpretationphase,

e)reportingandcriticalreviewoftheLCA,

f)limitationsoftheLCA,

g)relationshipbetweentheLCAphases,and

h)conditionsforuseofvaluechoicesandoptionalelements.

ThisInternationalStandardcoverslifecycleassessment(LCA)studiesandlifecycleinventory(LCI)studies.ItdoesnotdescribetheLCAtechniqueindetail,nordoesitspecifymethodologiesfortheindividualphasesoftheLCA.

TheintendedapplicationofLCAorLClresultsisconsideredduringthegoalandscopedefinition,buttheapplicationitselfisoutsidethescopeofthisInternationalStandard.

ThisInternationalStandardisnotintendedforcontractualorregulatorypurposesorregistrationandcertification.

2Normativereferences

Thefollowingreferenceddocumentsareindispensablefortheapplicationofthisdocument.Fordatedreferences,onlytheeditioncitedapplies.Forundatedreferences,thelatesteditionofthereferenceddocument(includinganyamendments)applies.

ISO14044,Environmentalmanagement—Lifecycleassessment—Requirementsandguidelines

3Termsanddefinitions

Forthepurposesofthisdocument,thefollowingtermsanddefinitionsapply.

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3.1

lifecycle

consecutiveandinterlinkedstagesofaproductsystem,fromrawmaterialacquisitionorgenerationfromnaturalresourcestofinaldisposal

3.2

lifecycleassessmentLCA

compilationandevaluationoftheinputs,outputsandthepotentialenvironmentalimpactsofaproductsystemthroughoutitslifecycle

3.3

lifecycleinventoryanalysisLCI

phaseoflifecycleassessmentinvolvingthecompilationandquantificationofinputsandoutputsforaproductthroughoutitslifecycle

3.4

lifecycleimpactassessmentLCIA

phaseofifecycleassessmentaimedatunderstandingandevaluatingthemagnitudeandsignificanceofthepotentialenvironmentalimpactsforaproductsystemthroughoutthelifecycleoftheproduct

3.5

lifecycleinterpretation

phaseoflifecycleassessmentinwhichthefindingsofeithertheinventoryanalysisortheimpactassessment,orboth,areevaluatedinrelationtothedefinedgoalandscopeinordertoreachconclusionsandrecommendations

3.6

comparativeassertion

environmentalclaimregardingthesuperiorityorequivalenceofoneproductversusacompetingproductthatperformsthesamefunction

3.7

transparency

open,comprehensiveandunderstandablepresentationofinformation

3.8

environmentalaspect

elementofanorganization'sactivities,productsorservicesthatcaninteractwiththeenvironment[ISO14001:2004,definition3.6]

3.9

product

anygoodsorservice

NOTE1Theproductcanbecategorizedasfollows:—services(e.g.transport);

—software(puterprogram,dictionary);—hardware(e.g.enginemechanicalpart);

—processedmaterials(e.g.lubricant).

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NOTE2Serviceshavetangibleandintangibleelements.Provisionofaservicecaninvolve,forexample,thefollowing:—anactivityperformedonacustomer-suppliedtangibleproduct(e.g.automobiletoberepaired);

-anactivityperformedonacustomer-suppliedintangibleproduct(e.g.theincomestatementneededtoprepareataxreturn);

—thedeliveryofanintangibleproduct(e.g.thedeliveryofinfomationinthecontextofknowledgetransmission);—thecreationofambienceforthecustomer(e.g.inhotelsandrestaurants).

Softwareconsistsofinformationandisgenerallyintangibleandcanbeintheformofapproaches,transactionsorprocedures.

Hardwareisgenerallytangibleanditsamountisacountablecharacteristic.Processedmaterialsaregenerallytangibleandtheiramountisacontinuouscharacteristic.

NOTE3AdaptedfromISO14021:1999andISO9000:2005.

3.10

co-product

anyoftwoormoreproductscomingfromthesameunitprocessorproductsystem

3.11

process

setofinterrelatedorinteractingactivitiesthattransformsinputsintooutputs[ISO9000:2005,definition3.4.1(withoutnotes)]

3.12

elementaryflow

materialorenergyenteringthesystembeingstudiedthathasbeendrawnfromtheenvironmentwithoutprevioushumantransformation,ormaterialorenergyleavingthesystembeingstudiedthatisreleasedintotheenvironmentwithoutsubsequenthumantransformation

3.13

energyflow

inputtooroutputfromaunitprocessorproductsystem,quantifiedinenergyunits

NOTEEnergyflowthatisaninputcanbecalledanenergyinput;energyflowthatisanoutputcanbecalledanenergyoutput.

3.14

feedstockenergy

heatofcombustionofarawmaterialinputthatisnotusedasanenergysourcetoaproductsystem,expressedintermsofhigherheatingvalueorlowerheatingvalue

NOTECareisnecessarytoensurethattheenergycontentofrawmaterialsisnotcountedtwice.

3.15

rawmaterial

primaryorsecondarymaterialthatisusedtoproduceaproductNOTESecondarymaterialincludesrecycledmaterial.

3.16

ancillaryinput

materialinputthatisusedbytheunitprocessproducingtheproduct,butwhichdoesnotconstitutepartoftheproduct

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3.17

allocation

partitioningtheinputoroutputflowsofaprocessoraproductsystembetweentheproductsystemunderstudyandoneormoreotherproductsystems

3.18

cut-offcriteria

specificationoftheamountofmaterialorenergyfloworthelevelofenvironmentalsignificanceassociatedwithunitprocessesorproductsystemtobeexcludedfromastudy

3.19

dataquality

characteristicsofdatathatrelatetotheirabilitytosatisfystatedrequirements

3.20

functionalunit

quantifiedperformanceofaproductsystemforuseasareferenceunit

3.21input

product,materialorenergyflowthatentersaunitprocess

NOTEProductsandmaterialsincluderawmaterials,intermediateproductsandco-products.

3.22

intermediateflow

product,materialorenergyflowoccurringbetweenunitprocessesoftheproductsystembeingstudied

3.23

intermediateproduct

outputfromaunitprocessthatisinputtootherunitprocessesthatrequirefurthertransformationwithinthesystem

3.24

lifecycleinventoryanalysisresultLCIresult

outcomeofalifecycleinventoryanalysisthatcataloguestheflowscrossingthesystemboundaryandprovidesthestartingpointforlifecycleimpactassessment

3.25output

product,materialorenergyflowthatleavesaunitprocess

NOTEProductsandmaterialsincluderawmaterials,intermediateproducts,co-productsandreleases.

3.26

processenergy

energyinputrequiredforoperatingtheprocessorequipmentwithinaunitprocess,excludingenergyinputsforproductionanddeliveryoftheenergyitself

3.27

productflow

productsenteringfromorleavingtoanotherproductsystem

3.28

productsystem

collectionofunitprocesseswithelementaryandproductflows,performingoneormoredefinedfunctions,andwhichmodelsthelifecycleofaproduct

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3.29

referenceflow

measureoftheoutputsfromprocessesinagivenproductsystemrequiredtofulfilthefunctionexpressedbythefunctionalunit

3.30

releases

emissionstoairanddischargestowaterandsoil

3.31

sensitivityanalysis

systematicproceduresforestimatingtheeffectsofthechoicesmaderegardingmethodsanddataontheoutcomeofastudy

3.32

systemboundary

setofcriteriaspecifyingwhichunitprocessesarepartofaproductsystem

NOTETheterm"systemboundary"isnotusedinthisInternationalStandardinrelationtoLCIA.

3.33

uncertaintyanalysis

systematicproceduretoquantifytheuncertaintyintroducedintheresultsofalifecycleinventoryanalysisduetothecumulativeeffectsofmodelimprecision,inputuncertaintyanddatavariability

NOTEEitherrangesorprobabilitydistributionsareusedtodetermineuncertaintyintheresults.

3.34

unitprocess

smallestelementconsideredinthelifecycleinventoryanalysisforwhichinputandoutputdataarequantified

3.35waste

substancesorobjectswhichtheholderintendsorisrequiredtodisposeof

NOTEThisdefinitionistakenfromtheBase/ConventionontheControlofTransboundaryMovementsofHazardous

WastesandTheirDisposal(22March1989),butisnotconfinedinthisInternationalStandardtohazardouswaste.

3.36

categoryendpoint

attributeoraspectofnaturalenvironment,humanhealth,orresources,identifyinganenvironmentalissuegivingcauseforconcern

3.37

characterizationfactor

factorderivedfromacharacterizationmodelwhichisappliedtoconvertanassignedlifecycleinventoryanalysisresulttothecommonunitofthecategoryindicator

NOTEThecommonunitallowscalculationofthecategoryindicatorresult.

3.38

environmentalmechanism

systemofphysical,chemicalandbiologicalprocessesforagivenimpactcategory,linkingthelifecycleinventoryanalysisresultstocategoryindicatorsandtocategoryendpoints

3.39

impactcategory

classrepresentingenvironmentalissuesofconcerntowhichlifecycleinventoryanalysisresultsmaybeassigned

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3.40

impactcategoryindicator

quantifiablerepresentationofanimpactcategory

NOTETheshorterexpression"categoryindicator"isusedinthisInternationalStandardforimprovedreadability.

3.41

completenesscheck

processofverifyingwhetherinformationfromthephasesofalifecycleassessmentissufficientforreachingconclusionsinaccordancewiththegoalandscopedefinition

3.42

consistencycheck

processofverifyingthattheassumptions,methodsanddataareconsistentlyappliedthroughoutthestudyandareinaccordancewiththegoalandscopedefinitionperformedbeforeconclusionsarereached

3.43

sensitivitycheck

processofverifyingthattheinformationobtainedfromasensitivityanalysisisrelevantforreachingtheconclusionsandforgivingrecommendations

3.44

evaluation

elementwithinthelifecycleinterpretationphaseintendedtoestablishconfidenceintheresultsofthelifecycleassessment

NOTEEvaluationincludescompletenesscheck,sensitivitycheck,consistencycheck,andanyothervalidationthat

mayberequiredaccordingtothegoalandscopedefinitionofthestudy

3.45

criticalreview

processintendedtoensureconsistencybetweenalifecycleassessmentandtheprinciplesandrequirementsoftheInternationalStandardsonlifecycleassessment

NOTE1TheprinciplesaredescribedinthisInternationalStandard(see4.1).

NOTE2TherequirementsaredescribedinISO14044.

3.46

interestedparty

individualorgroupconcernedwithoraffectedbytheenvironmentalperformanceofaproductsystem,orbytheresultsofthelifecycleassessment

4Generaldescriptionoflifecycleassessment(LCA)

4.1PrinciplesofLCA

4.1.1General

TheseprinciplesarefundamentalandshouldbeusedasguidancefordecisionsrelatingtoboththeplanningandtheconductingofanLCA.

4.1.2Lifecycleperspective

LCAconsiderstheentirelifecycleofaproduct,fromrawmaterialextractionandacquisition,throughenergyandmaterialproductionandmanufacturing,touseandendofifetreatmentandfinaldisposal.Throughsuch

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asystematicoverviewandperspective,theshiftingofapotentialenvironmentalburdenbetweenlifecyclestagesorindividualprocessescanbeidentifiedandpossiblyavoided.

4.1.3Environmentalfocus

LCAaddressestheenvironmentalaspectsandimpactsofaproductsystem.Economicandsocialaspectsandimpactsare,typically,outsidethescopeoftheLCA.OthertoolsmaybecombinedwithLCAformoreextensiveassessments.

4.1.4Relativeapproachandfunctionalunit

LCAisarelativeapproach,whichisstructuredaroundafunctionalunit.Thisfunctionalunitdefineswhatisbeingstudied.Allsubsequentanalysesarethenrelativetothatfunctionalunit,asallinputsandoutputsintheLClandconsequentlytheLCIAprofilearerelatedtothefunctionalunit.

4.1.5Iterativeapproach

LCAisaniterativetechnique.TheindividualphasesofanLCAuseresultsoftheotherphases.Theiterativeapproachwithinandbetweenthephasescontributestothecomprehensivenessandconsistencyofthestudyandthereportedresults.

4.1.6Transparency

DuetotheinherentcomplexityinLCA,transparencyisanimportantguidingprincipleinexecutingLCAs,inordertoensureaproperinterpretationoftheresults.

4.1.7Comprehensiveness

LCAconsidersallattributesoraspectsofnaturalenvironment,humanhealthandresources.Byconsideringallatributesandaspectswithinonestudyinacross-mediaperspective,potentialtrade-offscanbeidentifiedandassessed.

4.1.8Priorityofscientificapproach

DecisionswithinanLCAarepreferablybasedonnaturalscience.Ifthisisnotpossible,otherscientificapproaches(e.g.fromsocialandeconomicsciences)maybeusedorinternationalconventionsmaybereferredto.Ifneitherascientificbasisexistsnorajustificationbasedonotherscientificapproachesorinternationalconventionsispossible,then,asappropriate,decisionsmaybebasedonvaluechoices.

4.2PhasesofanLCA

4.2.1LCAstudiescomprisefourphases.TherelationshipbetweenthephasesisillustratedinFigure1.Theseare

—thegoalandscopedefinition,

—inventoryanalysis,

—impactassessment,and—interpretation.

4.2.2LClstudiescomprisethreephases:

—thegoal