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Environmental Management System Training

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Title: Environmental Management System Training


1
Environmental Management System Training
  • United States Forest Service
  • July 6, 2004

Ed Pinero, Acting Federal Environmental Executive
2
An Overview of Environmental Management Systems
(EMS)and the ISO Standard
EMS Implementation Workshop
3
WHAT IS AN ENVIRONMENTAL MANAGEMENT SYSTEM? The
ISO 14001 Definition
  • The overall management system that includes
    organizational structure, planning activities,
    responsibilities, practices, procedures,
    processes and resources for developing,
    implementing, achieving, reviewing and
    maintaining the environmental policy.

4
ems vs. EMS
  • All organizations have some type of environmental
    management system regardless of what they do
  • For this discussion, the focus is a more
    formalized, recognized, and structured approach
    defined in the international EMS standard, ISO
    14001
  • In most cases, additional effort is needed to
    transition from existing environmental activities
    to the more formal ISO 14001-type EMS

5
An Effective EMS is
  • Flexible
  • Transparent
  • Useful to the practitioner
  • In harmony with mission focus
  • Focused on continual improvement

6
EMS and ISO 14001
  • 14001 is one of the standards in the 14000 series
  • Created by International Organization for
    Standardization (Geneva, Switzerland)
  • Each participating nation has a committee that
    develops consensus and contributes (one vote
    each, for US it is ANSI)

7
Important EMS Terms
  • Shall
  • Establish and Maintain
  • Responsibility and Authority

8
Plan Do Check Act
Continual Improvement
Management Review
Environmental Policy
Planning
Checking Corrective Action
Implementation Control
9
Planning
Determine
Identify
Environmental
Significant
Develop
Aspects and Impacts
Environmental Aspects
Establish
Identify
Environmental

Activities,
Objectives
Products
and
Management
Targets
and
Services
Program
Determine Legal and Other
Requirements
10
Environmental Aspects and Impacts-ISO 14001
Definition
  • ENVIRONMENTAL ASPECTS
  • Elements of an organizations activities,
    products or services which can interact with the
    environment. (For example wastewater
    discharges, air emissions, resource consumption,
    energy usage, ecosystem alterations, etc.)
  • ENVIRONMENTAL IMPACTS
  • Any change to the environment, whether adverse or
    beneficial, wholly or partly resulting from an
    organizations activities, products, or services
    (based on the aspects, for example air emissions
    impacts the air by degrading the air quality).

11
Implementation and Operation
Capabilities
Organization
Controls
Accountability
Communications
Document Control
Training,
Awareness and
Competence
Operational Control
Structure and
Responsibility
Communication
Emergency
Preparedness and
Response
12
Checking and Corrective Action
Non-conformance,
Monitoring and
Corrective and
Measuring
Records
Preventive Action
Periodic Internal EMS Audits
13
Management Review
  • Take account of
  • audit findings
  • progress records on objectives
  • changes to facilities
  • changes in activities, products or services
  • changes in technology
  • concerns of interested parties
  • other relevant information
  • To Assess the
  • suitability,
  • adequacy, and
  • effectiveness of the EMS

  • In order to determine the need for change and
    improvement to
  • the environmental policy
  • the objectives and targets
  • other elements of the EMS

14
Plan Do Check Act
Continual Improvement
Environmental Policy
Management Review
Planning
Checking Corrective Action
Implementation Control
15
Keep in mind
  • The EMS and related measurement tools are just
    that, tools. Alone, they will not guarantee
    success. The organization must use the tools, not
    just have them.
  • An effective EMS is alive constantly measuring
    performance, making adjustments, and looking for
    opportunities for continual improvement
  • Accountability is critical

16
Why Implement an Environmental Management System?
EMS Implementation Workshop
17
The Drivers - Why EMS?History/perspective
  • EMS responded to root causes for poor
    environmental program management and compliance
    problems
  • EMS has corollary benefits of management systems
    to mission and environmental stewardship
  • EMS represents the next step in evolution from
    compliance, to pollution prevention (for
    compliance), to EMS

18
EO 13148
  • Establishes EMS as environmental management
    policy for the Federal government
  • Requires agencies to incorporate EMS into agency
    environmental directives and policies
  • Requires facilities to develop and implement EMS
    by December 31, 2005

19
What an EMS is
  • A formal, structured framework of policies,
    procedures and practices to manage and reduce an
    organizations environmental footprint
  • Based on a PLAN-DO-CHECK-ACT framework
  • An approach that reflects the relationship
    between environmental issues and core mission

20
What an EMS is NOT
  • A one-time project, plan or initiative
  • Focused solely on regulatory compliance
  • An effort solely for the environmental shop

21
Benefits of an EMS
  • Improved environmental awareness, involvement and
    competency across organization
  • Better communication of environmental issues -
    internal and external
  • Positive effect on regulatory compliance and
    environmental performance

22
Benefits of an EMS
  • Improved efficiency, reduced costs, greater
    consistency in environmental program
  • Flexibility and opportunity to correct
    imperfections through continual improvement
  • Identification of risk and prevention of problems
    outside of regulatory - e.g., aging
    infrastructure, known unregulated hazards

23
Barriers - What stands in the way of EMS?
  • Organizational change - natural resistance to
    change in any organization
  • Lack of top management involvement and visibility
  • Organizational issues - thats an environmental
    responsibility
  • Thats my responsibility from the environmental
    shop

24
Potential Barriers
  • small p and BIG P political uncertainty - is EMS
    here to stay?
  • Perception that EMS already exists - systems
    exist now, why change?
  • Misunderstanding of relationship to mission
    environment only gets in the way of mission

25
The Three Cs of an Effective EMS
  • Conformance
  • Meets the requirements (Implements the shalls)
  • Consistency
  • Various elements inter-related (i.e.,
    Significant aspects reflected in emergency
    planning, etc.)
  • Continual improvement
  • Mechanisms are in place to improve the EMS and
    organizational performance, supported by
    management commitment and support

26
Keep in mind - AN EMS
  • Is a management system -
  • THATS WHAT MAKES IT WORK!!
  • Is more than compliance - includes safety,
    energy, water etc. and non-regulated impacts
  • Supports mission!
  • Takes time - it is a process, not an event
  • Requires the environmental people to get out of
    their box -
  • EMS requires commitment - its not a part-time
    job!

27
Using Measurement as a Management Tool
  • Knowing existing conditions allows informed
    management decisions.
  • An EMS identifies, directs and facilitates
    relevant measurements.
  • Measurements include environmental conditions,
    status of programs, compliance, and the EMS
    itself.

28
Examples of Metrics to Measure Benefits
  • Improves the environmental condition
    (environmental indicators)
  • Facilitates meeting your mission (how often
    environmental issues interfere with your mission)
  • Minimizes accidents and problems (incidents,
    losses)
  • Reduces redundant paperwork (time spent per task)
  • More efficient use of resources (investment per
    unit activity)
  • Facilitates compliance with requirements (number
    of non-compliances, penalty costs, missed EO
    deadlines)
  • Responds to public scrutiny trends (complaints,
    communications)

29
Managing Aspects vs. Impacts
  • It is more prudent and more efficient to manage
    how you interact with the environment than to
    manage what you have done to the environment
  • An EMS is built around identifying, prioritizing,
    controlling, and improving upon, those elements
    of the organization that interact with the
    environment

30
Fixing the Root Causes
  • An EMS is designed to identify the root causes of
    non-conformances and initiate corrective and
    preventive action.
  • This helps minimize the bandage syndrome, where
    the fixes are simply superficial.

31
Achieving and Maintaining Compliance
  • There is compliance management system embedded
    within the broader environmental management
    system
  • First- the theme of compliance is seen throughout
    the plan-do-check-act elements
  • Second, there are specific compliance-related
    requirements in an EMS (such as periodic
    compliance audits) that help address compliance
    issues before they occur.

32
Supporting Mission
  • An EMS identifies and addresses environmental
    issues that can hamper mission through
    emergencies or non-compliance
  • The EMS perspective identifies opportunities that
    ultimately support mission through increased
    efficiency

33
Connecting the Environment and the Process Owners
  • An EMS helps each member of the organization
    understand their role in the environment, and to
    see how their role at the facility impacts the
    environment
  • An EMS provides for responsibility, ownership,
    and accountability of actions and related impacts
  • Results? People that are more aware, better
    trained, more motivated, and more enthusiastic

34
Connecting the Organization With the Public
  • An EMS allows an organization to identify issues
    which may become a concern to the public
  • An EMS indicates to the public that an
    organization is aware and responding to
    environmental issues
  • An EMS provides a forum for discussion and
    reaction to environmental interests of the public

35
Selecting and Preparing the EMS Team
EMS Implementation Workshop
36
Function of the Team
  • Conduct the gap analysis
  • Gather and analyze existing data
  • Identify needs
  • Develop implementation plan
  • Initiate early stages of EMS
  • Policy, Aspects/Impacts, Objectives/Targets
    Environmental Management Program
  • Monitor implementation of EMS

37
Responsibilities of the Team
  • Collect input and information from employees and
    Management
  • Educate members of the organization or facility
    on the EMS
  • Awareness training
  • Activity specific training
  • Brief and advise Management
  • Interact with local community

38
Knowledge and Skills
  • All
  • EMS knowledge and understanding
  • Enthusiasm and energy
  • Organizational / (p)olitical savvy
  • Specialists
  • Communication skills
  • Project management skills

39
The Team Members
  • Keep numbers manageable
  • Strong leadership
  • Known ability to communicate with management
  • Good people skills
  • Best leadership may be outside of environmental
    shop

40
Team Members
  • Broad base - Include resource (budget) personnel,
    facilities, representative process owners, on-
    site contractors, management representative

41
Process
  • Get commitment and authority to act
  • Find appropriate members
  • Provide initial background information of EMS
  • Get commitment from Team
  • Get fully trained
  • Consider consultants help
  • Keep management apprised of progress

42
Level of Effort
  • Leverage existing resources - budget/ planning
    cycles etc.
  • Depend on Team champions
  • Dont underestimate effort needed and ensure
    commitment is there

43
Defining Your Fenceline What is the scope of
an EMS?
EMS Implementation Workshop
44
EMS Fenceline
  • Link to aspects - can control or are expected
    to have an influence
  • Define the scope of your EMS -alternatives
  • Use physical boundaries of facility
  • Reflect existing management systems
  • Reflect organizational structure

45
EMS Boundaries
  • Geographic fenceline or boundary
  • Consider where activities primarily occur
  • Reflect of top management control
  • Management boundaries previously established
  • Existing management plans or systems
  • Corporate boundaries
  • Reflect existing management structure

46
Dont forget to consider!
  • Non mission activities
  • Visitor and personnel support, housing, food
    service, recreation
  • Contractors and services
  • Geographically separate areas
  • Local governments and neighbors

47
Use caution
  • Dont artificially exclude processes that you
    clearly control but are unmanageable
  • Dont artificially exclude something because you
    believe you cant control it organizationally
  • Contracted processes are still within your
    control - they cant be excluded

48
Questions to ask
  • Are all organizations associated with activities,
    products, and services included?
  • Will the boundary include process owners and
    those with authority to improve processes?
  • Is there management control available for the
    selected boundary?
  • Is primary mission covered?

49
Gap Analysis and Implementation Plans
EMS Implementation Workshop
50
Gap Analysis
  • A gap analysis is an assessment process used to
    compare the current state of your facilitys EMS
    against a standard. It is not an audit you
    cannot fail a gap analysis
  • Other similar processes are Initial
    Environmental Reviews (IERs) or Environmental
    Management Reviews (EMRs).

51
Purpose of a Gap Analysis
  • To identify gaps between your current management
    systems and the EMS standard
  • To identify existing policies, procedures,
    programs, metrics, and personnel that can be part
    of the EMS
  • To assist in establishing a list of actions to
    achieve the desired EMS

52
Conducting a Gap Analysis
  • Use tool or checklist that identifies
    requirements
  • Analysts must be familiar with EMS framework and
    site activities
  • Allow several days to complete data collection
  • Prepare a summary report that explains what the
    gaps are and what must be done to fill them

53
Steps in a Gap Analysis
  • Facility walk-through
  • Document review
  • Staff interviews
  • Compare with desired EMS elements
  • Identify and document gaps (be specific, yes or
    no answers are not helpful)

54
Developing the Implementation Plan
  • Uses the Gap Analysis findings
  • Intended to logically plan for the implementation
  • Requires assessing what needs to be done, and
    assigning time frames, resource needs, and
    milestones to do so
  • Provides a tool to ensure management commitment
    and staying the course

55
Planning the Level of Effort
  • Estimate level of effort based on gap analysis
  • Leverage existing resources
  • Dont underestimate!
  • Obtain management commitment for implementation
    early

56
EMS Policy
57
ISO 14001 Policy Statement Requirements
  • Be appropriate to the nature, scale and
    environmental impacts of the organizations
    activities, products and services
  • Provides framework for setting objectives and
    targets
  • Be documented, implemented, maintained and
    communicated to all employees
  • Include a commitment to
  • Continual improvement
  • Prevention of pollution
  • Compliance with environmental regulations and
    other requirements to which the organization
    subscribes
  • Be available to the public

58
Policy Statement Importance
  • Is the foundation of the EMS
  • Demonstrates management commitment
  • Communicates the environmental culture and
    commitments of the organization
  • Gives the entire organization a statement to
    rally around

59
Timing the Policy Statement
  • Policy statement may not be first step
  • Review your agencys current environmentally-relat
    ed policy for adaptability
  • Determine level of awareness of EMS with senior
    managers and level of understanding of importance
    of the policy
  • Make a case for EMS first
  • Use initial EMS development information to help
    formulate policy

60
Writing the EMS Policy Statement
  • Is a short, concise statement that includes the
    requirements as well as additional information to
    meet stakeholder expectations
  • Does not need to summarize or repeat EMS details
  • Signed by senior-most management within the
    defined EMS scope
  • Is consistent with EMS framework and aspects
  • Needs to be memorable to staff

61
Legal and Other Requirements
EMS Implementation Workshop
62
Examples of Legal Requirements
  • RCRA
  • CAA
  • CWA
  • SDWA
  • CERCLA
  • EPCRA
  • NEPA
  • OSHA
  • Pollution Prevention Act

63
Examples of Other Requirements
  • Unique to Federal Community
  • Executive Orders and Memoranda
  • Parent Agency Policies
  • Voluntary programs
  • Performance Track
  • LEED Certification
  • Energy Star facility

64
Identify - Initial materials should be in place
  • Identify existing permits, licenses, reports
  • Use compliance programs of parent agency or
    service
  • Agency general counsel and legal advisors
  • TEAM guide
  • On line tools
  • Compliance assistance materials -documents

65
Providing Access and Maintaining
  • Ensure easy access
  • Hardcopy, web access, database
  • Identify and support process to receive and
    include updates
  • Headquarters audit programs and other tools
    including tools used by other agencies
  • TEAM guide
  • WEB sites and listserves

66
Access
  • Ensures there is a process that keeps regulatory
    and other information up-to-date
  • Ensures that there is a process to direct any new
    information to that part of the organization
    where it is relevant

67
Process - When things change
  • Remember - when aspects change, legal and other
    requirements need to be checked!
  • Recognize relationship between aspects,
    activities and legal or other requirements
  • Recognize relationship between regulated activity
    process owners and requirements

68
Aspects, Impacts, and Significant Aspects
EMS Implementation Workshop
69
Specific Benefits
  • Prompts your organization to identify issues not
    typically managed particularly non-regulated
    issues
  • Integrates environmental issues into operations
  • Makes for proactive planning

70
Environmental Aspects and Impacts-ISO 14001
Definition
  • ENVIRONMENTAL ASPECTS
  • Elements of an organizations activities,
    products or services which can interact with the
    environment. (For example wastewater
    discharges, air emissions, resource consumption,
    energy usage, ecosystem alterations, etc.)
  • ENVIRONMENTAL IMPACTS
  • Any change to the environment, whether adverse or
    beneficial, wholly or partly resulting from an
    organizations activities, products, or services
    (based on the aspects, for example air emissions
    impacts the air by degrading the air quality).

71
ISO 14001 requires organizations to
  • Develop procedures to identify environmental
    aspects in order to determine those which have or
    can have significant impact on the environment
  • Keep aspects information up-to-date (regularly,
    and whenever changes occur), not once and done.
  • Necessary records will include aspects lists, and
    significant aspects list

72
Role of Aspects in the EMS
  • Significant aspects drive the EMS and are a
    subset of the full list of aspects
  • EMS is designed to identify, control, manage, and
    improve upon the significant aspects
  • Compliance with Legal and Other Requirements is a
    part of the system that does relate to the
    aspects
  • Elements such as operational control (procedures
    and work instructions), training, monitoring and
    measurement, emergency planning, and setting
    objectives all depend on significant aspects.

73
More on Environmental Aspects
  • Aspects are cause, impact is the effect
  • Control and influence of aspects is a factor
  • Aspects can be
  • direct or indirect
  • normal, abnormal, or emergency
  • past, present, or future
  • Aspects address not only waste stream, but
    resource consumption, energy, and other
    non-traditional factors (noise, odor, visual)

74
Going About the Aspects Process
  • Identify who and how this will be done (aspects
    procedure)
  • List and characterize activities, products
    services
  • Identify aspects and impacts for each A/P/S -Tap
    into your knowledge base!
  • Determine significance
  • Maintain records

75
Activities, Products and Services
  • This is where you describe what you do at your
    facility mostly activities for Feds
  • Consider mission what facility is designed to
    do - e.g. visitor center
  • Consider activities that support the mission
    e.g. vehicle maintenance
  • Consider actions that are both regulated and not
    regulated e.g. commuting to work

76
Aspect Analysis - Examples of Activities
  • Mission related operations
  • Maintenance
  • Motor vehicle fleet operations
  • Wastewater treatment
  • Solid waste handling and disposal
  • Raw material and chemical handling
  • Bulk storage of fuels
  • Administrative and employee activities
  • Engineering
  • Purchasing

77
List Aspects
  • Can sort and organize aspects, for example
  • Releases to air
  • Water consumption, pollution
  • Land contamination
  • Use of raw materials, natural resources
  • Other local environmental, community issues
  • Will be able to re-sort later to better manage
    the aspects

78
Examples of Aspects
  • Not an aspect
  • Improve air quality this is an objective
  • P2 this is an objective
  • Vehicle maintenance this is an activity
  • Water pollution this is an impact
  • Aspect
  • Waste generation
  • Material usage
  • Fuel usage
  • Air emissions
  • Chemical consumption
  • Energy consumption

79
Examples
  • Activity, Product, or Service
  • Aircraft operations
  • Bus transportation and maintenance
  • Environmental Aspect
  • Jet fuel consumption
  • Jet fuel releases (potential)
  • Noise generation
  • Gasoline consumption
  • Electricity consumption
  • Solid waste generation
  • Water consumption
  • Waste water generation

80
Examples
  • Activity, Product, or Service
  • Vehicle maintenance
  • Environmental Aspect
  • Hazardous waste generation
  • Gasoline consumption
  • Noise generation
  • Electricity consumption
  • Solid waste generation
  • Water consumption
  • Waste water generation
  • Release of volatiles

81
Examples
  • Activity, Product, or Service
  • Store
  • Cafeteria
  • Environmental Aspect
  • Raw material consumption
  • Fuel consumption for transport
  • Solid waste generation
  • Food waste generation
  • Electricity consumption
  • Water consumption
  • Waste water generation
  • Release of ammonia from refrigeration equipment
    (potential)

82
Examples
  • Activity, Product, or Service
  • Office work
  • Environmental Aspect
  • Electricity consumption
  • Water consumption
  • Waste water generation
  • Release of ozone depleting substances in air
    cooling units (potential)
  • Solid waste generation
  • Heavy metals use in computers

83
Examples
  • Activity, Product, or Service
  • Cleaning offices
  • Playing field upkeep (golf course, softball
    field, parade ground)
  • Environmental Aspect
  • Hazardous material release
  • Electricity consumption
  • Solid waste generation
  • Waste water generation
  • Water consumption
  • Waste water generation
  • Runoff from pesticide usage
  • Gasoline consumption
  • Grass clipping generation

84
Identify the Impacts of Aspects
  • Once the aspects are identified, you must
    identify the impact(s) associated with each one.
  • This can be done using the same process you used
    for aspects, except there might be more
    involvement of environmental staff to assess
    impacts
  • List impacts along with aspects

85
Examples of Aspects Impacts
Aspects Impacts
  • Air emissions (exhaust)
  • Water consumption
  • Fuel release (accidental spills)
  • Fuel release (accidental spills)
  • Noise generation
  • Energy consumption (lights left on)
  • Paper recycled
  • Air quality degraded
  • Water resource depleted
  • Storm water contaminated
  • Soil contaminated
  • Area nuisance
  • Increased CO2 from coal-fired power plant
    emissions
  • Landfill space conserved, raw materials conserved

86
Determine Significant Aspects
  • A significant aspect is one that has or can have
    a significant impact on the environment (you
    define)
  • Site selects the criteria for significance rating
    and cutoff value
  • Significance can be determined by numeric cutoff
    value or subjective assessment based on yes/no
    answers
  • Significance could be tied to environmental
    degradation concerns, natural resource concerns,
    regulatory or legal exposure, concerns of
    interested parties

87
EMS Requirements
  • ISO 14001 uses significant aspects and impacts
    as the basis for developing objectives and
    preparing programs.
  • The organization chooses which aspects are
    significant, based on applying their own
    criteria, to the related impacts. However, once
    significant, the EMS must address the aspect.
  • Process and criteria for significance described
    in procedure.

88
Many Methods for Determining Significance Criteria
  • Staff judgment
  • Risk Assessment
  • Organizationally-derived criteria and/or hybrid
    approaches based on staff judgment and risk
    assessment
  • Key is to be consistent, and in line with
    reality check are you capturing what makes
    sense?
  • Criteria must relate to environmental impact

89
Examples of Significance Criteria
  • Magnitude - How big of a problem is it?
  • Global, regional, local?
  • Severity - How bad will it get?
  • Probability - How likely is it to occur?
  • Daily, weekly, monthly, annually, in emergencies,
    only when a certain event happens, when a new
    project starts?
  • Regulated?
  • Of concern to interested parties?

90
Applying the Criteria
  • Each aspect must be evaluated in terms of the
    criteria
  • Significant ones listed
  • Each time a new aspect enters the system for
    whatever reason, it must be evaluated for
    significance
  • ALL significant aspects must be carried forward
    into the system

91
Identify Aspects
Significant?
Remains on aspect list
no
yes
Significant aspect
No, or yes but want to do more?
Objectives and targets
Operation controls
Under Control?
yes
Address now?
No (still must have controls)
Yes
Deployed in EMS
EMPs, and Operational Control
92
Setting Objectives and Targets
EMS Implementation Workshop
93
Definition
  • An EMS objective is an overall goal that
    reflects the environmental policy statement set
    by the organization.
  • An EMS target is a detailed, measurable
    performance metric related to the objective.

94
Examples
  • Objective Reduce use of hazardous chemicals
  • Target Reduce use of EPA listed Toxic Release
    Inventory chemicals by 5 annually based on
    calendar year 2001 use figures

95
Examples
  • Objective Reduce energy consumption
  • Target Reduce energy consumption by 25 by the
    year 2005 based on a 2000 calendar year baseline.

96
Examples
  • Objective Improve environmental compliance
  • Target Reduce the number of internal
    environmental compliance audit findings by 50 on
    an audit-to-audit basis.

97
Examples
  • Objective Reduce transportation congestion
  • Target Increase the number of employee-days of
    mass transit use by 50 by the year 2006 based on
    a 2002 calendar year baseline.
  • Target Purchase 25 bicycles for use within the
    facility by the year 2004.

98
ISO Organizations Shall Consider
  • Policy
  • Legal and other requirements
  • Significant environmental aspects
  • Technological options
  • Financial, operational and business requirements
  • Views of interested parties

99
Setting Objectives and Targets
  • Begins with initial planning data
  • Policy
  • Legal and other requirements
  • Significant environmental aspects
  • Consider
  • Technological options
  • Financial, operational and business requirements
  • Views of interested parties

100
Setting Objectives and Targets
  • Other drivers for consideration
  • Agency mission
  • Agency / management priorities
  • This is where you can reflect reality
  • What can be done
  • You will do this again

101
Setting Objectives and Targets
  • Some organizations set compliance as an objective
    to help remind them that the remainder of the
    system reflects that commitment
  • Significant aspects can be deferred if they are
    controlled and get no worse because of their
    deferral

102
Targets - How aggressive?
  • It depends
  • Stretch targets - you may not meet them but
    trying may get you further
  • Minimal targets - you will get there - likely to
    only maintain status quo - little improvement
  • Be Realistic you may need additional info to
    address ability to measure success towards
    objective

103
REMEMBER
  • Setting objectives and targets must be true to
    policy statement commitments - pollution
    prevention, continual improvement and
    particularly compliance with regulations, are not
    negotiable considerations
  • Objectives and targets drive your management plan
  • You will do this exercise again and again ...

104
Setting objectives and targets the process
  • Prepare summary of issues to be considered
  • community concerns
  • agency/ management priorities
  • cost data
  • future missions of facility or agency
  • Provide information to decision makers

105
Considerations
  • Use what will work best but keep in mind
  • You will need buy-in from management AND the
    organization
  • The objectives and targets selected will be the
    basis for the environmental management program
    for this cycle

106
Closing the Loop
  • Objectives and Targets must ultimately be
    established at each relevant function and level
    of the organization
  • Targets identify how progress will be measured

107
The Environmental Management Program
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Environmental Management Program
  • The Management Program defines how the Objectives
    and Targets are to be achieved - including
  • Assignment of responsibility at each relevant
    function and level - the who
  • Description of means - the how and what
  • Identification of time frame - the when

109
Assignment of Responsibility
  • Function
  • Reflects relationship between activity and impact
    - ensures that impact is addressed where it
    occurs
  • Reflects support structure to ensure program is
    enabled - procurement, budget, training

110
Assignment of Responsibility
  • Level
  • Ensures that program reflects and recognizes
    hierarchy and structure of the organization
  • Reflects necessity of accountability -
    Organizational levels above direct process are
    generally supervisory and management and must be
    engaged

111
Identification of Means
  • The how an organization intends to achieve a
    given objective and target
  • Will reflect the activity(ies) that has prompted
    the significance and Objective and Target
    determination
  • Will define what is to be done to manage and
    improve processes to address the ongoing or
    potential impact of the activity

112
Definition of Time-frame
  • Simply the schedule for addressing the objective
    and target
  • Should reflect temporal nature of activities
    prompting target - how soon can things be altered
  • Recognize the ability to address both short and
    long-term issues as well as ongoing
    responsibilities

113
Example
  • Objective Increase solid waste diversion
  • Target Increase to a 60 diversion rate for all
    solid waste by the year 2005 based on a 40
    diversion rate in 1996.

114
EMP - Example
  • EMP - Increase recycling at cafeteria
  • Function - Cafeteria tray handlers, cafeteria
    purchasing agent, facility solid waste handler
  • Level - In addition to above - cafeteria line
    supervisor and manager, budget officer, and
    facilities manager

115
EMP - Example
  • Means - Purchase more recyclable containers, post
    signs and improve disposal behavior - separate
    and recycle more cans and bottles
  • Time-frame - Starting next purchasing cycle and
    targeting to reach 10 annual reduction

116
EMP - the Process
  • Begin with Objective and Target and activities
    list that drives significance determination
  • Determine necessary changes to activity to
    address impact and draft a means to achieve
  • Determine who is directly and indirectly linked
    to the impact - who are the process owners?

117
EMP - the Process
  • Determine others that affect or enable the
    process or activity - identify their roles and
    how the organizational structure provides
    accountability
  • Determine factors affecting time-frame for the
    activity or process and factors that may control
    changes

118
EMP - the Process
  • Develop metrics that reflect target to allow
    checking
  • Develop program ensuring that individuals
    critical to implementing change are included
  • Review information to identify gaps - ensure
    connections between means, responsibilities and
    schedule are each identified and addressed

119
New Developments
  • The EMP must be established and maintained.
  • Changes in activities or other new developments
    that affect Objective and Targets must be
    reflected in the EMP
  • Since aspects must be kept up-to-date - changes
    will flow to EMP

120
EMP Implementation
  • EMP may be stand alone or integrated into
    existing planning processes
  • Important to ensure that wherever it lands it
    will be effective
  • Important that those responsible for
    implementation are aware of ensuing change
  • Ensure that Management embraces the EMP!

121
Initial Awareness Training
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Why EMS Awareness Training
  • The initial stages of the EMS depend on
    individuals within the organization
  • The EMS Team will include a range of
    representatives from within the organization
  • Information gathering will depend in part on
    contributions from across the organization
  • Something new - people need to know
  • Knowledge and understanding build ownership

123
Why Employee Awareness?
  • The EMS is deployed by the practitioners
  • Practitioners are more aware of the day-to-day
    impacts of their activities than anyone
  • Practitioners know the best improvements
  • Ultimately, the Standard requires awareness of
    the impacts of the organizations activities
  • Start the process

124
Awareness TrainingProcess
  • Process similar to obtaining management support
  • Recognize issues important to all entities within
    the organization
  • Mission
  • Improved health, safety and security
  • Improved efficiency
  • Improved environmental footprint
  • Dont overwhelm

125
Awareness TrainingProcess
  • Timing - Early enough to facilitate gap analysis
    and other early stages of EMS
  • Support - Ensure adequate management support -
    authority and responsibility
  • Message - Like Management, reflect issues of
    importance to audience
  • Presenter(s) - Ensure adequate knowledge of EMS
    elements

126
Awareness TrainingProcess
  • Keep it simple
  • Goals is to inform and solicit assistance
  • Use familiar tools
  • Email
  • Cafeteria notices
  • Managers briefings
  • Remember - this is the initial effort

127
EMS Conformance Audit
128
Environmental Management System Audit
  • A systematic and documented verification process
    of objectively obtaining and evaluating evidence
    to determine whether an organizations
    environmental management system conforms to the
    environmental management system audit criteria
    set by the organization, and for communication of
    the results of this process to management.

129
EMS Audits
  • Purpose of an EMS Audit
  • Does the system conform to set criteria?
  • Has EMS been properly implemented, maintained?
  • Provide information to management and
    organization to allow continual improvement
  • Addresses all of EMS (documentation and
    implementation)
  • Not a performance audit or a compliance audit

130
Purpose of an EMS Audit
  • Evaluates conformance of EMS to framework, policy
    commitments
  • Addresses management components
  • Doesnt explicitly address compliance
  • Includes all personnel and activities associated
    with significant impacts

131
What do you need to do?
  • Develop audit procedure(s) and programs that
    describe the when, how, who, and where of how
    the EMS auditing will be done
  • Conduct audits
  • Keep proper records
  • Feed audit information into rest of EMS

132
Audit Outcomes
  • Assessment tool to provide for corrective action
    and continual improvement of system- which leads
    to improved performance
  • Report to management

133
Management Review
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Management Review
  • Specific requirement of ISO 14001 to occur
    periodically and must include top management
  • Distinct from checking or EMS audit
  • Designed to ensure ongoing and practical
    involvement by top management
  • Essential part of management commitment and
    continual improvement

135
Management Review Components
  • Full system overview
  • Status of objectives and targets
  • EMS Performance
  • Audit findings
  • Evaluation of environmental policy

136
Towards Continual Improvement
  • Identify areas for improvement of EMS
  • Review and approve corrective or preventive
    action plan
  • Verify effectiveness of action plans
  • Make changes to procedures
  • Add or adjust Objectives and Targets
  • Revise Environmental Policy
  • Provide support and resources

137
Ensuring Effective Management Reviews
  • Develop a procedure and schedule with set
    agenda, sign in process, minutes, and follow up
    action items
  • Make sure top management attends
  • Keep good records
  • Ensure you follow up!!!!!!

138
Synchronizing Planning with the Other Elements
EMS Implementation Workshop
  • Deploying the EMS

139
Plan Do Check Act
Continual Improvement
Management Review
Environmental Policy
Planning
Checking Corrective Action
Implementation Control
140
Implementation and Operation
Capabilities
Organization
Controls
Accountability
Communications
Document Control
Training,
Awareness and
Competence
Operational Control
Structure and
Responsibility
Communication
Emergency
Preparedness and
Response
141
Implementation and Operation
  • Structure and responsibility - define general
    responsibility
  • Training, awareness and competence - train to
    policy, environmental impacts
  • Communication - inform relative to aspects and
    the EMS
  • EMS Documentation - develop, maintain and provide
    access to core directions

142
Implementation and Operation
  • Operational control - provide standard direction
    to address impacts and goals
  • Emergency preparedness and response -provide
    direction to address extraordinary situations

143
Checking and Corrective Action
Non-conformance,
Monitoring and
Corrective and
Measuring
Records
Preventive Action
Periodic Internal EMS Audits
144
Checking and Corrective Action
  • Monitoring and measurement - determine if the EMS
    is working, goals are being met and compliance is
    assured
  • Non-conformance - define responsibility for
    addressing issues raised from monitoring and
    measurement
  • Records - develop and maintain body of knowledge
    from EMS

145
Checking and Corrective Action
  • EMS audit - determine if EMS is properly
    developed and deployed

146
Management Review
  • Take account of
  • audit findings
  • progress records on objectives
  • changes to facilities
  • changes in activities, products or services
  • changes in technology
  • concerns of interested parties
  • other relevant information
  • To Assess the
  • suitability,
  • adequacy, and
  • effectiveness of the EMS

  • In order to determine the need for change and
    improvement to
  • the environmental policy
  • the objectives and targets
  • other elements of the EMS

147
EMS Conformance Auditing
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148
Environmental Management System
  • The part of the overall management system that
    includes organizational structure, planning
    activities, responsibilities, practices,
    procedure, processes and resources for
    developing, implementing, achieving, reviewing
    and maintaining the environmental policy.

149
Environmental Management System Audit
  • A systematic and documented verification process
    of objectively obtaining and evaluating evidence
    to determine whether an organizations
    environmental management system conforms to the
    environmental management system audit criteria
    set by the organization, and for communication of
    the results of this process to management.

150
EMS Audit
  • Not a compliance audit
  • Done by those with EMS auditing
    training/experience
  • Periodic snap-shot assessment to verify system

151
Internal vs. External Audits
  • Internal audits (First Party audits) are those
    done by participants of the EMS being audited
    (can be employees, or consultants as agents of
    the organization)
  • Second party audits are those done by auditors
    from outside the EMS in question (but could be
    from same organization)
  • Third party audits are done by independent,
    registrars
  • In all cases, audit should cover same elements!!!!

152
Certification vs. Self Declaration
  • In both cases, a representation is made to
    outside parties of conformance to EMS criteria.
  • Certification is done by accredited, third party
    registrars
  • Self-Declaration is any other claim of
    conformance other than certification
  • Self-Declaration should be more than internal EMS
    audit

153
EMS Auditing and ISO
  • ISO created companion auditing guidance standards
    (14010, 14011, 14012 (soon to be 19011), but
    these are not required for certification
  • Registrars must adhere to these at a minimum
  • ISO issues guidance to certification and
    accreditation bodies (but can be used to guide
    self declaration programs)
  • US accrediting body is ANSI-RAB

154
EMS vs. Compliance vs. EMR Auditing
  • Different criteria- EMS looks at system,
    compliance looks at regulatory requirements
  • EMS audit is a system, or process audit, a
    compliance audit looks at compliance performance
    (compliance status), EMR looks at pieces of the
    system or a very broad perspective

155
Self Declaration and EO 13148
  • Protocol developed by EO Workgroup
  • EMS verification procedures will rest with each
    Agency/Bureau
  • Procedures due by December 31, 2004
  • Updated at least every five years
  • Procedures will require an independent basis
  • Facilities may self declare prior to procedures
    using protocol guidance

156
Agency Self Declaration Procedures
  • Will include
  • Selection and direction for use of evaluation
    guide
  • Frequency of internal evaluations
  • Requirement for management declaration
  • Frequency of independent review
  • Makeup of review team including qualifications of
    independent reviewers

157
Resources
  • www.ofee.gov - EMS section - slides,
    presentations, briefing papers
  • http//p2library.nfesc.navy.mil/ems/index.html
    Exceptional EMS tools - including roadmap and
    decision assistance
  • www.epa.gov/ems General tools - Federal facility
    site being upgraded
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