ISO 14000

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The Big Picture About
Environmental Management
Systems

Lawrence D. Fredendall

Department of Management

Clemson University

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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


P
rovides a framework to continually improve
environmental performance


Why EMS?

Path Toward Excellence


(Cascio, Figure 3.1,
The ISO 14000 Handbook
, Milwaukee, WI: ASQ Quality Press, 1996)

Time

End
-
of
-
Pipe Approach

Limited to Compliance

Systems Approach

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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

Why an EMS at a College /
University?

SERVICE

TEACHING

EMS
Implementation

RESEARCH

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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
:

1.


Practical, usable, and useful

2.


Cost effective

3.

Supportive of other systems;

4.


Encourage continuous improvement

5.


Include 5 major components:

a.
Policy setting

b.
Planning

c.
Implementation and operation

d.
Checking and corrective action

e.
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

ISO 14001 EMS Model

ANSI/ISO 14001
-
1996, vi i


Environmental policy

Planning

Implementation

and operation

Continual Improvement

Management review

Checking and

corrective action

EMS Implementation Phases

(Stapleton, Philip J., Margaret A. Glover, and S. Petie Davis, 2
nd

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

Define Goals

Clearly state why an EMS is being developed.
To comply with regulations? To improve
environmental performance? To prevent
pollution? To reduce potential liability?

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.

EMS Implementation Phases

(Stapleton, Philip J., Margaret A. Glover, and S. Petie Davis, 2
nd

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

Preliminary
Review

What is current compliance effort? What
portions of EMS are in place? What are key
environmental aspects and how effectively are
they being addressed.

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 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)

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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

No one Ever Gets Credit for Preventing Problems

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

Time Spent on
Improvement

Delay

Investment in Capability

Capability

Capability Erosion

Actual

Performance

Time Spent
Working

Performance Gap

Desired

Performance

+

+

+

-

+

Pressure to
Do Work

+

+

B1

Pressure to Improve
Capability

+

+

B2

Work Smarter

Work Harder

-

R1

Reinvestment

B3

Shortcuts

-

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Leaders’ Role


Provide Resources


Show how change



matches who we are and


what we do

SACS & ISO 14001 Process


Basic Structure





Implementation




Internal Review




External Review

SACS


ISO 14001


Steering Committee


Must Do



Assigned by MGT


Should



Documentation


Documentation


Self Study


Internal Audit


SACS


Auditor

ISO 14001 Overview

ANSI/ISO 14001
-

1996

4 EMS requirements

4.1 General

4.2 Environmental policy

4.3Planning

4.3.1 Environmental Aspects

4.3.2 Legal Requirements

4.3.3 Objectives and Targets

4.3.4 Establishing Programs

4.4 Implementation and Operation

4.4.1 Responsibilities

4.4.2 Training

4.4.3 Communication

4.4.4 Environmental Management


System Documentation

4.4.5 Document Control

4.4.6 Operational Control

4.4.7 Emergency Preparedness and


Response

4.6 Management Review

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

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

a)
is appropriate to the nature, scale and environmental impacts of its
activities, products or services;

b)
includes a commitment to continual improvement and prevention of
pollution;

c)
includes a commitment to comply with relevant environmental
legislation and regulations, and with other requirements to which the
organization subscribes;

d)
provides the framework for setting and reviewing environmental
objectives and targets;

e)
is documented, implemented and maintained and communicated to all
employees;

f)
is available to the public

Implementation

and operation

Environmental policy

ISO 14001 EMS Model

ANSI/ISO 14001
-
1996, vi i


Continual Improvement

Management review

Checking and

corrective action

Planning

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.

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.


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:

a)

Designation of responsibility for achieving objectives and targets
at each relevant function and level of the organization;

b)

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.


Planning

ISO 14001 EMS Model

ANSI/ISO 14001
-
1996, vi i


Environmental policy

Continual Improvement

Management review

Checking and

corrective action

Implementation

and operation

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

a)
Ensuring that environmental management system requirements are established,
implemented and maintained in accordance with this standard;

b)
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.


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

a)
The importance of conformance with the environmental policy and procedures
and with the requirements of the environmental management system;

b)
The significant environmental impacts, actual or potential, of their work
activities and the environmental benefits of improved personal performance;

c)
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;

d)
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.

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 for


a) 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.

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

a)
Describe the core elements of the management system and their
interaction;

b)
Provide direction to related documentation.



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

Planning

ISO 14001 EMS Model

ANSI/ISO 14001
-
1996, vi i


Environmental policy

Continual Improvement

Management review

Checking and

corrective action

Implementation

and operation

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

a)
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;

b)
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.

Planning

ISO 14001 EMS Model

ANSI/ISO 14001
-
1996, vi i


Environmental policy

Continual Improvement

Management review

Checking and

corrective action

Implementation

and operation

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.

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Web Resources


http://www.epa.gov


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