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The Big Picture About Environmental Management Systems

The Big Picture About Environmental Management Systems. Lawrence D. Fredendall Department of Management Clemson University. What is a System?. Set of interacting elements that form a whole

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The Big Picture About Environmental Management Systems

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  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) Sustainable Universities Initiative (SUI) -- Compliance Workshop

  3. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  4. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  5. 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

  6. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  7. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  8. Why an EMS at a College / University? SERVICE RESEARCH EMS Implementation TEACHING

  9. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  10. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  11. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  12. ISO 14001 EMS ModelANSI/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.

  14. 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.

  15. Barriers to Implementing Formal EMS • Denial of need • We are different / unique • Too difficult to do • Not enough time • Policy Resistance Sustainable Universities Initiative (SUI) -- Compliance Workshop

  16. Policy Resistance(Sterman: Business Dynamics Systems Thinking and Modeling for a Complex World, McGraw-Hill, 2001) • Policy resistance is“the tendency for interventions to be delayed, diluted, or defeated by the response of the system to the intervention itself (Meadows, 1982)” (p. 5) • Unintended consequences“You cannot meddle with one part of a complex system from the outside without the almost certain risk of setting off disastrous events that you hadn’t 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) Sustainable Universities Initiative (SUI) -- Compliance Workshop

  17. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  18. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  19. 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 Sustainable Universities Initiative (SUI) -- Compliance Workshop

  20. 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 - - + Shortcuts B1 + Work Harder Performance Gap + + Pressure to Do Work B2 Desired Performance Work Smarter + Pressure to Improve Capability

  21. Leaders’ Role • Provide Resources • Show how change • matches who we are and • what we do Sustainable Universities Initiative (SUI) -- Compliance Workshop

  22. Basic Structure Implementation Internal Review External Review SACS & ISO 14001 Process SACS ISO 14001 • Steering Committee • Must Do • Assigned by MGT • Should • Documentation • Documentation • Self Study • Internal Audit • SACS • Auditor

  23. 4 EMS requirements4.1 General 4.2 Environmental policy ISO 14001 OverviewANSI/ISO 14001 - 1996 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

  24. Environmental Management System Requirements(ANSI/ISO 14001 - 1996) • 4.2 Environmental policy • Top management shall define the organization’s 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

  25. ISO 14001 EMS ModelANSI/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.

  27. 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.

  28. 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.

  29. ISO 14001 EMS ModelANSI/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 organization’s 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.

  31. 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.

  32. 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 organization;b) 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. EMS Requirements (continued)(ANSI/ISO 14001 - 1996)

  33. 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.

  34. 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 ModelANSI/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.

  37. ISO 14001 EMS ModelANSI/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 organization’s 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.

  39. Web Resources • http://www.epa.gov • http://www.epa.gov/ems/info/addition.htm Sustainable Universities Initiative (SUI) -- Compliance Workshop

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