The Big Picture About Environmental Management Systems

1
The Big Picture About Environmental Management
Systems

• Lawrence D. Fredendall
• Department of Management
• Clemson University

2
What is a System?

• Set of interacting elements that form a whole
• regularly interacting or interdependent groups
  of items forming a unified whole towards the
  achievement of a goal (APICS Dictionary, Cox and
  Blackstone eds., 1998)

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Environmental Management Systems (EMS)

• What is an EMS?
• Part of overall management structure
• Purpose of EMS
• Address immediate long-term environmental
  impacts
• Why have an EMS?
• Provide order and consistency in methods

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EPA View of EMS Purpose(United States
Environmental Protection Agency,
www.epa.gov/ems/info/index.htm 6/25/2002.)

• System wide approach to environmental management
  
• Incorporates environmental considerations into
  daily organization decisions
• Provides a framework to continually improve
  environmental performance

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Why EMS? Path Toward Excellence (Cascio,
Figure 3.1, The ISO 14000 Handbook, Milwaukee,
WI ASQ Quality Press, 1996)
Systems Approach
Level of improvement
End-of-Pipe ApproachLimited to Compliance
Time
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Defacto EMS

• Environmental control processes exist, but
• No integrated understanding of the processes
• No understanding of total costs
• Incomplete picture of potential liability
• Accountability and responsibility unclear
• Decisions are not integrated

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Why an EMS at a College / University?

• Engage the entire campus
• Environment is overlapping concern for
• Teaching
• Research
• Service
• Integration of processes with the EMS

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Why an EMS at a College / University?
SERVICE
RESEARCH
EMS Implementation
TEACHING
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Structured EMS(United States Environmental
Protection Agency, www.epa.gov/ems/info/index.htm
on June 25, 2002.)

• Integrate EMS into Day-to-Day Decisions
•   Practical, usable, and useful
•   Cost effective
• Supportive of other systems
•   Encourage continuous improvement
•   Include 5 major components
• Policy setting
• Planning
• Implementation and operation
• Checking and corrective action
• Management review

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ISO 14001

• Structured, internationally recognized standard
• ISO 14001
• enables an organization to establish, and assess
  the effectiveness of, procedures to set an
  environmental policy and objectives, achieve
  conformance with them, and demonstrate such
  conformance to others. The overall aim is to
  support environmental protection and prevention
  of pollution in balance with socioeconomic
  needs. ANSI/ISO 14001-1996, vi

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ISO 14001(Cascio, The ISO 14000 Handbook,
Milwaukee, WI ASQ Quality Press, 1996)

• Initiative to go beyond compliance
• Not command and control model
• Positive motivation
• Reach is much further than regulatory
  requirements
• Seeks culture shift
• Challenge
• Diffusion of environmental responsibility from
  environmental to all employees
• Continual improvement of the EMS

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ISO 14001 EMS Model ANSI/ISO 14001-1996, vi i
Continual Improvement
Management review
Environmental policy
Planning
Checking and corrective action
Implementation and operation
13
EMS Implementation Phases(Stapleton, Philip J.,
Margaret A. Glover, and S. Petie Davis, 2nd
edition, Environmental Management Systems An
Implementation Guide for Small and Medium-Sized
Organizations, NSF 2001, www.nsf-isr.org,
6/25/02, p. 12.)
PHASE
DESCRIPTION
Clearly state why an EMS is being developed. To
comply with regulations? To improve environmental
performance? To prevent pollution? To reduce
potential liability?
Define Goals
Top Management Support .
To gain top management support, management must
understand the benefits of an EMS and agree with
the goals. Support is necessary to obtain
resources.

Structure
EMS project must have a leader, with authority
and skills.
Implementation Team
Representatives from key areas to ensure
ownership.
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EMS Implementation Phases (Stapleton, Philip J.,
Margaret A. Glover, and S. Petie Davis, 2nd
edition, Environmental Management Systems An
Implementation Guide for Small and Medium-Sized
Organizations, NSF 2001, www.nsf-isr.org,
6/25/02, p. 12.)
PHASE
DESCRIPTION
What is current compliance effort? What portions
of EMS are in place? What are key environmental
aspects and how effectively are they being
addressed.
Preliminary Review
Budget and Schedule
. .
Use preliminary review to develop budget and
schedule. Identify key activities to be performed
and resources needed for these. Include
milestones and periodic reviews.

Resource Approval
Ensure top management authorizes allocation of
all key resources
Progress
Involve everyone in sharing progress through
communication.
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Barriers to Implementing Formal EMS

• Denial of need
• We are different / unique
• Too difficult to do
• Not enough time
• Policy Resistance

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Policy Resistance(Sterman Business Dynamics
Systems Thinking and Modeling for a Complex
World, McGraw-Hill, 2001)

• Policy resistance isthe tendency for
  interventions to be delayed, diluted, or defeated
  by the response of the system to the intervention
  itself (Meadows, 1982) (p. 5)
• Unintended consequencesYou cannot meddle with
  one part of a complex system from the outside
  without the almost certain risk of setting off
  disastrous events that you hadnt counted on in
  other remote parts. If you want to fix something
  you are first obliged to understand the whole
  system Intervening is a way of causing
  trouble. (Thomas, 1974, p. 90) (p. 8)

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Improvement Paradox(Repenning and Sterman,
Nobody Ever Gets Credit for Fixing Problems that
Never Happened, California Management Review, 43
(4), Summer 2001, 64-88)

• Easy to learn new techniques
• Quality techniques
• Difficult to implement innovations into
  organization
• Complex systems cannot be bought, they must be
  developed
• Interaction of program with physical, economic,
  social and psychological structures

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Improvement Lag(Repenning and Sterman,
California Management Review, 43 (4), Summer
2001, 64-88)

• Improvement requires time
• Lag is a function of technical and organizational
  complexity
• Simple processes have 2 to 3 month delay
• Complex processes have multi-year delays
• Capability improvements decay

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The Structure of Improvement(Repenning and
Sterman, California Management Review, 43 (4),
Summer 2001, 64-88)

• Performance depends on 2 factors
• Time spent working
• Capability of process to perform work
• Performance improvement happens when
• Additional work is done, or
• Process is improved

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No one Ever Gets Credit for Preventing
Problems(Repenning and Sterman, California
Management Review, 43 (4), Summer 2001, 64-88)
Investment in Capability
Capability Erosion
Capability

R1
Delay

Reinvestment
-
Time Spent on Improvement

ActualPerformance
B3
Time Spent Working
-
-

B1
Shortcuts

Performance Gap
Work Harder


Pressure to Do Work
B2
Desired Performance
Work Smarter

Pressure to Improve Capability
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Leaders Role

• Provide Resources
• Show how change
• matches who we are and
• what we do

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SACS ISO 14001 Process
SACS ISO 14001

• Basic Structure
• Implementation
• Internal Review
• External Review

• Steering Committee
• Must Do

• Assigned by MGT
• Should

• Documentation

• Documentation

• Self Study

• Internal Audit

• SACS

• Auditor

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ISO 14001 OverviewANSI/ISO 14001 - 1996
4 EMS requirements4.1 General 4.2 Environmental
policy
4.4 Implementation and Operation 4.4.1
Responsibilities 4.4.2 Training 4.4.3
Communication 4.4.4 Environmental Management
System Documentation4.4.5 Document
Control 4.4.6 Operational Control 4.4.7 Emergency
Preparedness and Response
4.3Planning 4.3.1 Environmental Aspects 4.3.2
Legal Requirements 4.3.3 Objectives and
Targets 4.3.4 Establishing Programs
4.5 Checking and Corrective Action 4.5.1
Monitoring and control 4.5.2 Non-Conformance and
corrective and preventive action 4.5.3
Records 4.5.4 EMS Audits
4.6 Management Review
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Environmental Management System
Requirements(ANSI/ISO 14001 - 1996)

• 4.2 Environmental policy
• Top management shall define the organizations
  environmental policy and ensure that it
• is appropriate to the nature, scale and
  environmental impacts of its activities, products
  or services
• includes a commitment to continual improvement
  and prevention of pollution
• includes a commitment to comply with relevant
  environmental legislation and regulations, and
  with other requirements to which the organization
  subscribes
• provides the framework for setting and reviewing
  environmental objectives and targets
• is documented, implemented and maintained and
  communicated to all employees
• is available to the public

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ISO 14001 EMS Model ANSI/ISO 14001-1996, vi i
Continual Improvement
Management review
Environmental policy
Planning
Checking and corrective action
Implementation and operation
26
EMS Requirements (continued)(ANSI/ISO 14001 -
1996)
4.3 Planning 4.3.1 Environmental aspects The
organization shall establish and maintain (a)
procedure(s) to identify the environmental
aspects of its activities, products or services
that it can control and over which it can be
expected to have an influence, in order to
determine those which have or can have
significant impacts on the environment. The
organization shall ensure that the aspects
related to these significant impacts are
considered in setting its environmental
objectives. The organization shall keep this
information up-to-date. 4.3.2 Legal and other
requirements The organization shall establish and
maintain a procedure to identify and have access
to legal, and other requirements to which the
organization subscribes, that are applicable to
the environmental aspects of its activities,
products or services.
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EMS Requirements (continued)(ANSI/ISO 14001 -
1996)
4.3.3 Objectives and Targets The organization
shall establish and maintain documented
environmental objectives and targets, at each
relevant function and level within the
organization. When establishing and reviewing
its objectives, an organization shall consider
the legal and other requirements, its significant
environmental aspects, its technological options
and its financial, operational and business
requirements, and the views of interested
parties. The objectives and targets shall be
consistent with the environmental policy,
including the commitment to prevention of
pollution.
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EMS Requirements (continued)(ANSI/ISO 14001 -
1996)

• 4.3.4 Environmental management programme(s)
• The organization shall establish and maintain (a)
  programme(s) for achieving its objectives and
  targets. It shall include
• Designation of responsibility for achieving
  objectives and targets at each relevant function
  and level of the organization
• The means and timeframe by which they are to be
  achieved
• If a project relates to new developments and new
  or modified activities, products or services,
  programme(s) shall be amended where relevant to
  ensure that environmental management applies to
  such projects.

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ISO 14001 EMS Model ANSI/ISO 14001-1996, vi i
Continual Improvement
Management review
Environmental policy
Planning
Checking and corrective action
Implementation and operation
30
EMS Requirements (continued)(ANSI/ISO 14001 -
1996)

• 4. 4 Implementation and operation
• 4.4.1 Structure and Responsibility
• Roles, responsibility and authorities shall be
  defined, documented and communicated in order to
  facilitate effective environmental management.
• Management shall provide resources essential to
  the implementation and control of the
  environmental management system. Resources
  include human resources and specialized skills,
  technology and financial resources.
• The organizations top management shall appoint
  (a) specific management representative(s) who,
  irrespective of other responsibilities, shall
  have defined roles, responsibilities and
  authority for
• Ensuring that environmental management system
  requirements are established, implemented and
  maintained in accordance with this standard
• Reporting on the performance of the environmental
  management system to top management for review
  and as a basis for improvement of the
  environmental management system.

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EMS Requirements (continued)(ANSI/ISO 14001 -
1996)

• 4.4.2 Training, awareness and competence
• The organization shall identify training needs.
  It shall require that all personnel whose work
  may create a significant impact upon the
  environment, have received appropriate training.
• It shall establish and maintain procedures to
  make its employees or members at each relevant
  function and level aware of
• The importance of conformance with the
  environmental policy and procedures and with the
  requirements of the environmental management
  system
• The significant environmental impacts, actual or
  potential, of their work activities and the
  environmental benefits of improved personal
  performance
• Their roles and responsibilities in achieving
  conformance with the environmental policy and
  procedures and with the requirements of the
  environmental management system including
  emergency preparedness and response requirements
  
• The potential consequences of departure from
  specified operating procedures.
• Personnel performing the tasks which can cause
  significant environmental impacts shall be
  competent on the basis for appropriate education,
  training and/or experience.

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EMS Requirements (continued)(ANSI/ISO 14001 -
1996)
4.4.3 Communication With regard to its
environmental aspects and environmental
management system, the organization shall
establish and maintain procedures fora)
internal communication between the various levels
and functions of the organizationb)
receiving, documenting and responding to relevant
communication from external interested
parties.The organization shall consider
processes for external communication on its
significant environmental aspects and record its
decision.
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4.0 EMS Requirements (continued)(ANSI/ISO 14001
- 1996)

• 4.4.4 Environmental management system
  documentation
• The organization shall establish and maintain
  information, in paper or electronic form, to
• Describe the core elements of the management
  system and their interaction
• Provide direction to related documentation.

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4.0 EMS Requirements (continued)(ANSI/ISO 14001
- 1996)
4.4.5 Document Control The organization shall
establish and maintain procedures for controlling
all documents required . . 4.4.6
Operational Control The organization shall
identify those operations and activities that are
associated with the identified significant
environmental aspects in line with its policy,
objectives and targets. The organization shall
plan these activities, including maintenance, in
order to ensure that they are carried out under
specified conditions by . . 4.4.7
Emergency preparedness and response
35
ISO 14001 EMS Model ANSI/ISO 14001-1996, vi i
Continual Improvement
Management review
Environmental policy
Planning
Checking and corrective action
Implementation and operation
36
4.0 EMS Requirements (continued)(ANSI/ISO 14001
- 1996)

• 4.5 Checking and corrective action
• 4.5.1 Monitoring and measurement
• 4.5.2 Non-conformance and corrective and
  preventive action
• 4.5.3 Records
• 4.5.4 Environmental management system audit
• The organization shall establish and maintain (a)
  programme(s) and procedures for periodic
  environmental management system audits to be
  carried out, in order to
• Determine whether or not the environmental
  management system
• 1) conforms to planned arrangements for
  environmental management including the
  requirements of this standard
• 2) has been properly implemented and
  maintained
• Provide information on the results of audits to
  management.
• The audit programme, including any schedule,
  shall be based on the environmental importance of
  the activity concerned and the results of
  previous audits. In order to be comprehensive,
  the audit procedures shall cover the audit scope,
  frequency and methodologies, as well as the
  responsibilities and requirements for conducting
  audits and reporting results.

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ISO 14001 EMS Model ANSI/ISO 14001-1996, vi i
Continual Improvement
Management review
Environmental policy
Planning
Checking and corrective action
Implementation and operation
38
4.0 EMS Requirements (continued)(ANSI/ISO 14001
- 1996)
4.6 Management review The organizations top
management shall, at intervals it determines,
review the environmental management system, to
ensure its continuing suitability, adequacy and
effectiveness. The management review process
shall ensure that the necessary information is
collected to allow management to carry out this
evaluation. This review shall be documented. The
management review shall address the possible need
for changes to policy, objectives and other
elements of the environmental management system,
in the light of environmental management system
audit results, changing circumstances and the
commitment to continual improvement.
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Web Resources

• http//www.epa.gov
• http//www.epa.gov/ems/info/addition.htm

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