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OrganizationoftheReport!!G!.jj)1 r    AdvicetoReaders!!G!. 2 ^    Acknowledgments!!G!. 2 J    II.ExecutiveSummary !!G!.j j 3 " r    ProjectOverview!!G!. 3 b    ProjectFindings!!G!.* * 4 N    Conclusions!!G!. 8 :   III.IntroductionandProjectOverview !!G!.09     ProjectSummary!!G!.t t 9    ProjectActivitiesinDetail4!4!F!.bb+12    ProfileofParticipatingOrganizations4!4!F!.513   IV.EMSImplementationProgress 4!4!F!.>>)16 b   BackgroundonEMSAssessmentsandDataAnalysis4!4!F!.>16 R   SelfAssessmentResults4!4!F!.&17 >   FindingsfromIndependentAssessments4!4!F!.421 *z  V.FindingsonKeyEMSImplementationIssues 4!4!F!.625 R   IncentivesforImplementinganEMS4!4!F!.125 B   BenefitsandCostsofImplementation4!4!F!.327 .   BarriersandKeystoSuccessfulImplementation4!4!F!.=31    LinkswithISO9000andHealth&Safety4!4!F!.""633    ComparisonofSMEsandLargeOrganizations4!4!F!.934    RecommendedGuidanceandImplementationTools4!4!F!.PP<36     ParticipantFeedbackonISO140014!4!F!.&&038 z!   ParticipantAdvicetoRegulators4!4!F!.<</42 f"   VI.Conclusions 4!4!F!. 43 >$"   MajorLessonsLearned4!4!F!.\\$43 .%~ #   RemainingQuestionsandAreasforFutureStudy4!4!F!.nn=44 &j!$  VII.CaseStudies 4!4!F!.| | 46 'B#&   3MCorporation4!4!F!.  47 (2$'   Allergan,Inc.4!4!F!.P P 51 )%(   CommodoreAppliedTechnologies4!4!F!.  -54 * &)   FlukeCorporation4!4!F!. 56 +&*   GlobeMetallurgicalInc.4!4!F!.'59 ,'+   HachCompany4!4!F!. 62 ~-(, D*    K.J.Quinn&Co.4!4!F!. 67    LockheedMartinFederalSystems4!4!F!..70    MadisonGasandElectricCompany4!4!F!.RR/73    MilanScrewProducts4!4!F!. #76 t   NEOIndustriesLtd.4!4!F!.Z Z "80 `   NIBCOIncorporated4!4!F!. !83 L    PacificGasandElectricCompany4!4!F!./86 8    PitneyBowesInc.4!4!F!. 89 $ t   TRINOVACorporation4!4!F!.~~"92  `   UnitedStatesPostalService4!4!F!.+95  L    WashtenawCountyGovernment4!4!F!.>>*98  8   VIII.Bibliography  E!. 101    IX.Appendices  E!. 102     AppendixA:BackgroundonISO14000,EMSStandards,andRegistration E!.rrS102     AppendixB:QuestionsAskedofParticipantsatConclusionofProject E!.  S107 x   AppendixC:ElementsoftheISO14001Standard:ASnapshot E!.I108 d   AppendixD:ExcerptsfromNSFsEMSSelfAssessmentTool E!.G109# X6&XXX6&# &C &X X6&ԛ  P # X6&X & &C#76&XXdXXd7 I.FOREWORD   TheISO14000seriesofstandards,inparticulartheISO14001Standardforenvironmentalmanagementsystems(EMS),hasbecomeoneofthemostwidelydiscusseddevelopmentsinenvironmentalmanagementinboththeprivateandpublicsectors.TheISO14001StandardwasofficiallyapprovedinSeptember1996,andisexpectedtobecomeaspervasiveX6&XX X6&inthe 8  internationalmarketplace# X6&XXX6&#ԀastheISO9000seriesofqualitymanagementstandards.This $ t expectationhasdrivenmanyorganizationstodevotesignificantresourcesintopreparingforISO14001.Despitethislevelofinvestment,thereisstillagreatdealofuncertaintyabouttheimplementationoftheISO14001Standard.AlthoughseveralorganizationsinEuropehavecompletelyimplementedaformalEMSbasedonstandards(e.g.,BS7750,EMAS,IS310),relativelyfeworganizationsintheUnitedStateshavedoneso.Therefore,intheU.S.thereisaneedfor reallifeexamplesfromorganizationsaboutthechallengesandbenefitsofimplementinganEMSandtheincentivesfordoingso.ThisfinalreportonNSFInternationalsEMSDemonstrationProjectconveystheexperiencesof18organizationsastheyattemptedtoimplementtheISO14001StandardfromMarch1995throughJune1996X6&XX X6&.# X6&XXX6&!#ԀTheprojectwasfundedthroughacooperativeagreementfromtheU.S. H EnvironmentalProtectionAgency(EPA),OfficeofWastewaterManagement.ThereportwillbeofinteresttoX6&XX X6&manytypesoforganizationsinterestedinEMSimplementation,including:  p manufacturersandotherorganizationsconsideringwhethertoimplementtheStandard;regulatoryagencies;engineeringandmanagementconsultingfirms;lawfirms;trainingorganizations;banks;andinsurancecompanies.# X6&XXX6&"# 4 TheDemonstrationProjectfocusedonEMSimplementationissues,notonregistration.Inthisreport, EMSimplementationreferstoanorganizationsefforttodevelopanEMSbasedonthe  ISO14001Standard;thetermdoesnotrefertomaintainingandimprovingthesystemafteritisimplemented.ParticipatingorganizationsvariedsignificantlyintheextenttowhichtheycameintotheprojectwiththeelementsofISO14001alreadyinplace.Theorganizations,whichparticipatedvoluntarily,X6&XX X6&werenotrequiredorexpectedtobecome D! registeredtoISO14001duringoraftertheproject;norweretheyrequiredtoimplementalltherequirementsof# X6&XXX6&&#ԀtheStandardoverthecourseoftheproject. #l!  OrganizationofTheReport  %0!$ X6&XX X6&The IntroductionandProjectOverview outlinestheactivitiesoftheprojectinsomedetailand '#& providesanoverviewofthe18organizationsthatparticipated.Thesectionon EMS (#' ImplementationProgress providesananalysisofhowtheprojectparticipantsasagroupmade )$( progressonimplementingtheISO14001Standardoverthecourseoftheproject.The Findings *%) onKeyEMSImplementationIssues discussesseveralEMSimplementationissues,including x+&* incentives,benefits,andkeystosuccess# X6&XXX6&'#X6&XX X6&.ItalsooffersalistofsuggestedEMSimplementation  guidancetools.Abrief Conclusions sectiondiscussesmajorlessonslearnedfromtheproject  andsuggestedareasforfurtherinquiry.The CaseStudies , whichwerewrittenbythe  participatingorganizationsandeditedbyNSF,conveytheEMSimplementationexperiencesoftheparticipantsfromtheirownviewpoints(tomaintainconfidentiality,noneoftheothersectionsofthereportrefertospecificorganizationsbyname)# X6&XXX6&*#X6&XX X6&. AppendicesAD areprovidedtohelp T  clarifycertainpartsoftheprojectandthisreport.ForthosereaderswhoarenotfamiliarwiththeISO14001Standard,itmaybehelpfultorefertoAppendixCwhichprovidesanoverviewoftheelementsofISO14001. AdvicetoReaders  0  ThisreportassumesabasicknowledgeofISO14000andoftheISO14001EMSStandard.Athoroughunderstandingofenvironmentalmanagementsystemsishelpful,butnotrequired.ForthosewhoarenotveryfamiliarwiththelanguageofISO14001,itissuggestedthattheStandardbereferencedregularlywhilereadingthereport.# X6&XXX6&-# Acknowledgments  @ NSFInternationalwouldliketothanktheU.S.EPA,OfficeofWastewaterManagement,forprovidingthemajorityofthefundingfortheEMSDemonstrationProject.X6&XX X6&NSFalsowishestothankthe18participatingorganizations(andtheindividualswhorepresented , themintheproject)fortheirinvaluablecontributionsthroughthecasestudies,selfassessments,meetingpresentations,andadvicetoNSFprojectstaff(theorganizationsarelistedinSectionIIIofthereport).# X6&XXX6&0#ԀNSFwouldalsoliketogratefullyacknowledgethefollowingindividualswho  havegivenmuchoftheirtimetotheplanningandimplementationoftheEMSDemonstrationProject,andwhohavecontributedtotheprojectssuccess:ThomasAmbrose,HS&EManagementAdvisorHenryBalikov,TLISystemsJoeEgan,TuckerAlan,Inc.JimmyMargolis,ArthurD.Little,Inc.PhilipStapleton,GloverStapletonAssociates,Inc.WayneTusa,EnvironmentalRisk&LossControl,Inc.DavidVanWie,RobertG.Gerber,Inc.Finally,theauthorwouldliketothankAnitaCooneyandMichaelHixofNSFInternationalfortheirassistanceinthedevelopmentofthisreport.  )$( М II.EXECUTIVESUMMARY    ProjectOverview  x ThisfinalreportonNSFInternationalsEnvironmentalManagementSystem|s|(EMS)DemonstrationProjectsummarizestheEMSimplementationexperiencesof18organizationsofavarietyoftypesandsizes.Theproject,whichusedtheISO14001StandardasthemodelforanEMS,wasfundedthroughatwoyeargrantfromtheU.S.EnvironmentalProtectionAgency,OfficeofWastewaterManagement(October1994September1996).TheEPAfundedtheprojectbecauseitrecognizedthatbothprivateorganizationsandregulatoryagencieswereinneedofpracticalinformationabouttheprocessofimplementingtheISO14001Standard.X6&XX X6&Participatingorganizationsincluded16privatecompanies,onegovernmentagency,andone   governmentownedcorporation(theU.S.PostalService).Thecompaniesrangedfromsmallmanufacturerswithfewerthan100employeestomultinationalcorporations.# X6&XXX6&7#   Thegoalsoftheprojectwereto:(1)documenttheexperiencesofavarietyoforganizationsastheyattemptedtodevelopanEMSbasedonISO14001;(2)demonstratethebenefitsandchallengesof,andincentivesfor,EMSimplementation;X6&XX X6&(3)determinewhattypesoftoolsand L assistanceorganizationsneedtobesuccessfulwithEMSimplementation;and# X6&XXX6&<:#(4)providea 8 forumfororganizationstolearnfromeachothersEMSexperiences.AnotherimportantobjectiveoftheprojectwastoidentifyandassessanydifferencesthatmightexistbetweensmallandlargeorganizationsintheirabilitytoimplementanEMS.Afterorganizationswererecruitedfortheproject,aninitialtrainingsessionwasheldinMarch1995tofamiliarizeparticipantswithISO14000andEMS.Followingthetraining,participantsconductedselfassessmentsoftheirEMSagainsttherequirementsinISO14001usingaselfassessmenttooldevelopedbyNSFInternational.Threeadditionalmeetingswereheld(inAugustandDecember1995,andJune1996)duringwhichparticipantssharedlessonslearnedfromtheirEMSimplementationexperiences.FinalEMSselfassessmentswereconductedpriortothelastmeetinginJune1996.InAugust1996,participantssubmittedresponsestospecificquestionsaswellasselfwrittenEMSimplementationcasestudies(thecasestudiesareincludedinthereport).InOctober1996,EMSauditorsconductedindependentEMSassessmentsforfouroftheparticipantstodetermineifsignificantdifferencesmightexistbetweentheresultsoftheselfassessmentsandindependentassessments.X6&XX X6&Tomeettheobjectivesoftheproject,NSFcollectedandanalyzedinformationfromfoursources: %4!$ (1)resultsoftheinitialandfinalEMSselfassessments,andofthefourindependentassessments;(2)responsestothespecificquestionsaboutEMSimplementation;(3)theselfwrittencasestudies;and(4)observationsmadeatthefourprojectmeetings.# X6&XXX6&@#  (#'  ProjectFindings   EMSImplementationProgress t TheresultsoftheEMSselfassessmentsshowedthat,overall,participantsmadenotableprogress L  onimplementingtheISO14001Standardoverthecourseoftheproject(theaverageperiodoftimebetweentheinitialandfinalselfassessmentswasapproximately11months).X6&XX X6&Whereasthe $ t initialselfassessmentsshowedthatthegroupasawholehadonly22%oftherequirementsoftheStandardcomplete,thefinalselfassessmentsshowedthatthegrouphad50%oftherequirementscomplete.# X6&XXX6&\C#  8  0   &C &X X6&ImportantNote:Forboththeinitialandfinalselfassessments,participantsevaluatedthemselves   on63requirementswhichcompriseall17elementsofISO14001.Eachrequirementcouldbeevaluatedonfivedifferentlevels:NoAction(NA),Initiation(IN),PartialImplementation(PAR),CompleteImplementation(COM),andEvaluated&Sustained(ES).NA,INandPARareconsideredincomplete,whileCOMandESareconsideredcomplete(intheselfassessmenttool,incompletewasdenotedby NO,whilecompletewasdenotedby YES).# X6&X & &CD#>(#(# Asawhole,participantsalsomadeprogressoneachofthe17elementsofISO14001,althoughmoreprogresswasmadeonsomeelementsthanonothers.TheelementofISO14001withthehighestlevelofimplementationwas Policy,whileEMSauditwasleastimplemented(84%of  therequirementsunderPolicy,and24%underEMSaudit,wereevaluatedascompleteatthe x conclusionoftheproject).Theresultsoftheindependentassessmentsshowedthatthereweresignificantdifferencesinhow < theorganizationsandindependentauditorsevaluatedtherequirementsofISO14001.Approximately30%oftherequirementsevaluatedinthefourorganizationswereevaluateddifferentlybytheorganizationandtheindependentauditorontheYES/NOresponse.X6&XX X6&Twenty P fourpercentwereratedlowerbytheindependentauditors;i.e.,theindependentauditorevaluatedtheserequirementsasNO,buttheorganizationevaluatedthemasYES.Sixpercentwereratedhigher;i.e.,theindependentauditorevaluatedtheserequirementsasYES,buttheorganizationevaluatedthemasNO.# X6&XXX6&J#Ԁ !  X6&XX X6&Since24%ofalltherequirementswereevaluatedlowerbytheindependentassessors,andonly #" 6%wereevaluatedhigher# X6&XXX6&?L#X6&XX X6&,thesefindingssuggestthatthe%YESoftheinitialandfinalself t$# assessmentresultswouldhavebeenlowerifalltheEMSassessmentshadbeenconductedbyindependentauditorsratherthanbytheorganizationsthemselves.Theindependentauditorsmadesomeadditionalobservationsduringtheaudits.Mostnotably,inthethreeorganizationswithISO9000systems,thequalitymanagementstaffwassurprisinglydisconnectedfromtheenvironmentalmanagementstaff.Itappearedthattheorganizationswerenottakingfulladvantage# X6&XXX6& M#ԀoftheirexistingISO9000systemstodevelopEMSproceduresand *8&* documentation.  +$'+ IncentivesforImplementinganEMS  ParticipantswereaskedattheendoftheprojecttolisttheirorganizationsincentivesforimplementingISO14001.Theincentivesmostcommonlycitedbyparticipantsarelistedbelow.Thenumberofparticipantsthatcitedeachincentiveisprovidedinparentheses(note:fourteenparticipantslistedtheirincentives,andsomecitedmorethanoneincentive):  Competitiveadvantage(7); $ t X6&XX X6&  Improvedenvironmentalperformance(6);# X6&XXX6&Q#X6&XX X6&  `   PossibleISO14001registration(5);  L  # X6&XXX6&XR#  Enhancedregulatorycompliance(4);and  8    Possibleregulatoryflexibility(3). $  X6&XX X6&Competitiveadvantagewasalsomentionedquitefrequentlyatmeetings,althoughparticipants   didnotalwaysspecifywhethertheadvantagewouldbederivedfromexternalrecognition(i.e.,throughregistration)orfromthebenefitsofimprovedenvironmentalmanagement# X6&XXX6&S#X6&XX X6&.# X6&XXX6&T#   BenefitsofEMSImplementation H SeveralbenefitsofimplementinganEMSwererealizedbyparticipantsoverthecourseoftheproject.Inaddition,thoseorganizationswhichhadextensiveEMSsatthebeginningoftheprojectreportedbenefitstheyhadrealizedbeforebecominginvolvedintheproject.X6&XX X6&ԀThenumber H ofparticipantsthatcitedeachbenefitisprovidedinparentheses(note:fourteenparticipantslistedbenefits,andsomelistedmorethanone).# X6&XXX6&V#ԀReportedbenefitsinclude:     Improvedcooperationandenvironmentalawarenessamongemployees(5);    Improvedproceduresanddocumentation(5);    Enhancedregulatorycompliance(3);and    Improvedenvironmentalperformance(5). l ParticipantshadnotrealizedX6&XX X6&reducedenvironmentalmanagementcostsoraccesstointernational D! marketsbytheconclusionoftheproject.Although# X6&XXX6&$Y#thesebenefitsareoftenmentionedin 0"  conjunctionwithISO14001,itwilllikelytakemoretimefororganizationstorealizethesebenefits.KeystoSuccessfulImplementation &"% ThefollowingkeystosuccessfulEMSimplementationemergedascommonthemesduringthegroupmeetingsandinparticipantsresponsestoquestionsattheconclusionoftheproject.Theseinclude: h+&*   Securetopmanagementcommitmentearlyintheprocess;    GainathoroughunderstandingoftheISO14001Standard;    Performathoroughselfassessment;    Involvemanyfunctionsandstafflevelsintheplanningprocess; t   Initially,setasmallnumberofachievableenvironmentalobjectives;and `   Buildonexistingbusinesspractices. L  LinkswithISO9000andHealth&Safety  ` AmajorityofprojectparticipantshavefacilitiesthatareeitherregisteredtoISO9000(ISO9001or9002)orworkingtowardsregistration(onlytwoorganizationsreportedthattheywerenotregisteredorpursuingregistration).MostoftheorganizationswithISO9000experienceindicatedthattheywouldmodelseveralelementsoftheEMSaftertheirqualitysystem,orthattheywouldatleastpartiallyintegratecertainelementsofISO9000andISO14001.However,onlyafewparticipantsreportedattheendoftheprojectthattheyintendedtofullyintegratethetwosystemsinthenearfuture.Thisfindingisconsistentwithobservationsmadeduringtheindependentassessments.SixparticipantsreportedtheywereintendingtointegrateISO14001withtheirhealth&safetyprogram.ComparisonofSMEsandLargeOrganizations 4 IntheDemonstrationProject,smallandmediumsizedenterprises(SMEs)weredefinedashavingfewerthan1,000employeesorganizationwide.BasedonquestionresponsesfrombothSMEsandlargeorganizationsintheproject,somedifferencesbetweenthetwotypesoforganizationswereobserved.0  Incentives.Forcertainincentivesidentifiedbyparticipants(i.e.,competitiveadvantage, X  regulatoryrelief)therewasnotacleardifferencebetweentheproportionofSMEsandlargeorganizationscitingthemasincentives.However,forotherincentivestherewerenotabledifferences.SMEsweremorelikelythanlargeorganizationstoidentifyenhancedcomplianceandimproveddocumentationasmotivatingfactors.Largeorganizations,ontheotherhand,weremorelikelytoidentifyimprovedenvironmentalperformanceandpollutionpreventionasmotivatingfactors. (#(# 0  Barriers.SMEsandlargeorganizationscitedmostEMSimplementationbarriers(e.g., '#& promotingtheEMSconceptwithintheorganization,achievingthoroughdocumentation)inroughlyequalproportions.However,amuchgreaterproportionofSMEscitedlackoftimeandresourcesasabarrier. (#(#  h+&* ЇRecommendedGuidanceandImplementationTools  ЀBasedontheexperienceoftheorganizationsintheproject,itbecameevidentthatcertaintypesofguidanceareveryimportantfororganizationsofalltypesandsizesattemptingtoimplementISO14001.Theseinclude:  ClarificationoftheintentofISO14001; 8    AchecklistorothertooltoconductanEMSselfassessment; $ t   Guidanceonhowtoidentifyandassessthesignificanceofenvironmentalaspectsand  `   impacts;X6&XX X6&  Astepbystepimplementationguide;# X6&XXX6&h#  8    ExamplesofEMSmanuals,policies,andprocedures;and $    EMSimplementationcasestudies.   FeedbackontheISO14001Standard,andAdvicetoRegulators   ParticipantsreportedontheirgeneralandspecificconcernsabouttheISO14001Standard.Ingeneral,theparticipantsbelievedthattheStandardwasagoodmodelforanEMS.However,mostparticipantsexpressedatleastoneoverridingconcernabouttheStandard,andsomespecificcomments(specificcommentsarepresentedinsectionVofthereport).Thegreatestoverridingconcernwasthepotentialforcertainrequirementstobevariablyinterpretedbydifferentauditors.Othercommonlyreportedconcernsincludedconfusionoverthedefinitionof environmentalaspects;anoveremphasisondocumentation;andconfusionaboutwhetherwrittenprocedureswerenecessaryforparticularrequirements.ParticipantsalsoofferedcommentstotheregulatorycommunityabouthowgovernmentagenciesshouldintegrateISO14001intotheirregulatoryapproaches.Mostparticipantsstatedthatregulatorsshouldofferincentivesprimarily regulatoryflexibilitytocompaniesthatimplementanEMS.Theseproposedincentivesincluded:  Reductionsinreporting; D!   Reductionsinsiteinspectionsandaudits; 0"    Reductionsinfines; #l!   EliminationofpenaltiesandNOVsforvariousenvironmentalcomplianceissues;and $X"   Fasttrackpermitting. $D # Manyparticipantsexpressedaconcernaboutthevoluntarydisclosureofselfaudits(ISO14001requiresorganizationstoconduct,andmaintaintherecordsof,EMSaudits).Severalparticipantsalsocommentedthatagreaterleveloftrustwasneededbetweenregulatorsandtheregulatedcommunity. h+&*  Conclusions   ImplementingISO14001isFeasibleinaWideVarietyofOrganizations t X6&XX X6&TheexperienceoftheDemonstrationProjectsuggeststhatanEMSbasedonISO14001canbe L  implementedinawidevarietyoforganizations,butvaryingamountsofguidanceandassistance  8   arerequiredfordifferentorganizations.Themainfactorsthatseemtodeterminean ( x organizationsabilitytoimplementanEMSare(1)itsexperiencewithEMS,ISO9000,orothermanagementsystemconcepts;(2)thelevelofcommitmentfromitstopmanagement;and(3)theresourcesavailabletotheorganizationtodevelopthenecessaryproceduresanddocumentation.SinceSMEsaremorelikelytolackadequateresources,theywillprobablyrequiremoreguidanceandtakelongertocompleteEMSimplementationthanlargeorganizations.EMSImplementationCanBringConcreteInternalBenefits   ProjectparticipantsreportedmanybenefitsfromEMSimplementationthatwerenotmarketortraderelated,includingenhancedenvironmentalawareness,improveddocumentation,andpollutionprevention.Thesebenefitswererealizedwithintheoneyeartimeframeoftheproject,andbeforeanyoftheorganizationshadattainedfullimplementationorregistration.IndependentAssessmentsCanProvideanImportantCheckonSelfAssessments 8 TheresultsoftheindependentEMSassessmentssuggestthatorganizationsmighthavethetendencytoevaluatetheirsystemshigherthanwouldindependentauditors.Theresultsmayalsohaveimportantimplicationsfortheconceptof selfdeclaration,inwhichanorganizationwoulddeclareitselftobeinconformancewiththeISO14001Standardratherthanreceiveanindependentauditfromaregistrar.# X6&XXX6&q# p   4"   III.INTRODUCTIONANDPROJECTOVERVIEW   InOctober1994,theU.S.EPA,OfficeofWastewaterManagement,awardedfundingtoNSF t InternationaltomanagetheEMSDemonstrationProject.EPAawardedthegrantbecauseitrecognizedthatbothprivateorganizationsandregulatoryagenciesneededpracticalinformationabouttheEMSimplementationprocessinorganizationsofvarioustypesandsizes.NSFwasselectedtomanagetheprojectbecauseithaddevelopedaninterimEMSstandard(NSF110)verysimilartoISO14001,andbecauseNSFwasanactiveparticipantintheISO14000developmentprocess.X6&XX X6&Thegoalsoftheprojectwereto:(1)documenttheexperiencesofavarietyoforganizationsas $  theyattemptedtodevelopanEMSbasedonISO14001;(2)demonstratethebenefitsandchallengesof,andtheincentivesfor,EMSimplementation;# X6&XXX6&{#X6&XX X6&(3)determinewhattypesoftoolsand   assistanceorganizationsneedtobesuccessfulwithEMSimplementation;and# X6&XXX6&|#X6&XX X6&(4)providea   forumfororganizationstolearnfromeachothersEMSexperiences.# X6&XXX6&}#ԀX6&XX X6&Animportantobjectiveof   theprojectwastoidentifyandassessanydifferencesthatmightexistbetweensmallandlargeorganizationsintheirabilitytoimplementanEMS(fortheremainderofthisreport,smallerorganizationswillbereferredtoassmallandmediumsizedenterprises,orSMEs).Inpart,thisobjectivewasintendedtoaddressconcernswhich# X6&XXX6&q~#X6&XX X6&ԀaroseduringtheStandarddevelopment 4 process# X6&XXX6&1#X6&XX X6&ԀregardingtheapplicabilityofISO14001toSMEs.# X6&XXX6&#  p X6&XX X6&TheintentoftheprojectwastoexaminetheprocessofimplementinganEMSbasedonISO H 14001.ItwasnotwithinthescopeoftheprojecttomeasureorassesstheeffectsofEMSimplementationonenvironmentalcomplianceorotheraspectsofenvironmentalperformance.ItwasalsonotrequiredorexpectedthatparticipatingorganizationswouldbecomeregisteredtoISO14001duringoraftertheproject.# X6&XXX6&?#ԀItisimportanttonotethatthisreportattemptstofocuson  theexperienceofimplementinganISO14001EMS,asopposedtothebenefitsofalreadyhavingoneinplace.However,thoseparticipantswhichcameintotheprojectwithmostISO14001elementsinplacereportedontheexperienceofhavinganestablishedEMSaswellasontheexperienceofimplementingcertainrequirements.Nevertheless,mostofthefeedbackreceivedfromtheparticipantsaddressedtheirexperienceswiththeprocessofimplementingtheEMS. ProjectSummary  $X" X6&XX X6&Projectparticipantswererecruitedinlate1994andearly1995.Aprojectannouncementand %0!$ interestformweresenttoapproximately1,000organizations.Afeworganizationswerealsorecruitedindividually.Amaximumof20organizationsweresought,and18wererecruited(therewasnocompetitiveselectionprocess;i.e.,all18organizationsthatexpressedinterestwereselectedfortheproject).Therewasnofeechargedforparticipation.# X6&XXX6&# )$(  h+&* Theprojectconsistedoftwomajoractivities:(1)EMSselfassessmentandimplementation;and(2)grouptraininganddiscussion.EachparticipantperformedaninitialassessmentofitsEMSinthespringof1995usingNSFsEMSSelfAssessmentTool.TheparticipantsusedtheresultsoftheirinitialassessmentstodevelopEMSimplementationactionplans.Basedontheiractionplans,participantsimplementedtheISO14001Standardattheirownpace.Eachparticipantconductedasecondselfassessmentinthespringof1996todetermineprogressmadeoverthecourseoftheproject.Followingthefinalselfassessments,fourparticipantsreceivedindependentEMSassessmentsconductedbyEMSauditors.TheresultsoftheseassessmentswerecomparedtothefinalEMSselfassessmentsforthefourparticipants.Thepurposeoftheindependentassessmentswastodetermineiforganizationsmightevaluatetheirownsystemsdifferentlythanindependentauditorswould.   8  Inadditiontoselfassessmentandimplementation,theorganizationsconvenedinfourmeetingsatNSFtoreceivetrainingonEMSimplementationandtodiscusspracticalimplementationstrategies.Basedonfeedbackreceivedfromparticipants,thesemeetingswereaveryconstructivewaytoexchangeideasaboutEMSconcepts.Attheconclusionoftheproject,participantssubmittedresponsestoaseriesofquestionsregardingtheirEMSimplementationexperiences;X6&XX X6&theseresponsesaresummarizedinSectionV, L FindingsonKeyEMSImplementationIssues(# X6&XXX6&#thequestionsarelistedinAppendixB ) . 8 ParticipantsalsopreparedselfwrittencasestudieswhichareincludedinSectionVII.(Note:14ofthe18organizationssubmittedquestionresponsesregardingtheirEMSimplementationexperiences;17submittedcasestudies).FigureIprovidesanoverviewoftheproject.  ( М|X6&XX X6&TRP$'3Bond-landscapeY3'Bond'3 Letter Landscape 3'BondT   t XX6&||||Figure1   EMSDemonstrationProject : ActivitiesataGlance#X6&X  t'# $t # X6&XXX6&#UXXX X6&yWY#A1-x|f% `E!%t=%Yu ymS\9 )%`|0y ! `YE !! Amy_`#A1-x|iY `E4 YtqYl & y U.U...yas#A1-x|8h? `E ?tW?& y ..U.U.yuv#A1-x||W? `E'} ?tW?U&& y U&U&..ywx#A1-x|W `E} tl0& ymSy9 )%`|0p ! `YE$!!$cmmS{9 )%`|0 ! `YE!!RmmS}9 )%`|0 ! `YEu!!*Rmy#A 1-x| h `Ej t&  y U&U&         A )/hdEE/hAmS9 )%`|0 ! `YE9-{!!,0 m ..A )ar0*dEEar0*AA )arhdEarhA ....mS9)%`|0j 2 `YE=} 2 22 m #%#%..y#A 1-x|Vq `Eqtqu yy#A 1-x|m% `E(y%t=%`r yy#A1-x|t% `EQ&y%t=%%rỳmS9)%`|0RT `YE69TT mmS9)%`|0RM `YE/RMRMCmmS9)%`|0t 2 `YEG" 2 2!>m #####%#% ######## ######## #%#%#### # X6&XXUX+#X6&XX X6&Ԁ 6 Ѐ. ~#%#% TRY3'BondP$'3Bond-landscape 3'Bond'3 Letter LandscapeT  ||񀀀# X6&XXX6&#UXXX X6&    # X6&XXUX#||  | ProjectActivitiesinDetail   EMSSelfAssessmentsandImplementation ` EachparticipantperformedtwoEMSselfassessments,oneinthespringof1995(followingthefirstmeeting)andoneinthespringof1996(beforethelastmeeting).Theresultsoftheselfassessmentswereaggregatedandsummarizedtoservetwopurposes:(1)toprovideaninternalbenchmarkforthegroup;and(2)tomeasuregroupprogressovertheperiodoftheproject.Selfassessmentswereconductedinternallybytheorganizations(somehadconsultantsassistwiththeselfassessment,othersdidnot)usingNSFsEMSSelfAssessmentTool.Thetoolwasdevelopedpriortothefirstmeetingunderthedirectionofanadhocadvisorygroup.Thegroupwascomprisedofenvironmentalmanagementconsultants,inadditiontoenvironmentalmanagersfromsomeofthecompaniesrecruitedtotheproject.ThetoolcontainsachecklistthatallowstheusertoassesshowtheorganizationsEMScomparestotherequirementsinISO14001.TheselfassessmentresultsandabriefdescriptionoftheEMSSelfAssessmentToolareprovidedinSectionIV.X6&XX X6&Followingtheinitialselfassessmentsinthespringof1995,eachparticipantidentifiedthose H EMSelementsitwantedtodevelop(pleaserefertoSectionIVforanexplanationoftheselfassessmentprocess).WhilesomeoftheorganizationsalreadyhadseveralelementsofISO14001alreadyinplace,othersneededtomakemoresubstantialchangestotheirexistingenvironmentalmanagementpracticestodevelopanISO14001EMS.Asmentionedpreviously,participantswerenotrequiredtoimplementanyparticularrequirementsoftheStandardinanyspecifictimeframe.Rather,theywereaskedtomakethebesteffortpossible,basedontheirownpriorities,overthecourseoftheproject.# X6&XXX6&Ƥ# l X6&XX X6&GroupTrainingandDiscussion 0"  GroupmeetingswereheldatNSFInternationalinMarch,AugustandDecemberof1995,andinJuneof1996.# X6&XXX6&#X6&XX X6&ԀThepurposeofthesemeetingswastoprovideEMStrainingandtocreateaforum $D # inwhichparticipantscouldlearnfromeachother.Eachorganizationwasrepresentedatthemeetingsbyonetothreeindividuals.Theattendeesservedavarietyofrolesintheirorganizationsincludingcompanypresidents,environmentalmanagers,andqualitymanagers.Thefirstthreemeetingsweretwodaysessions,whilethelastmeetingwasaonedaysession.# X6&XXX6&Ϩ#X6&XX X6&Ԁ (#' # X6&XXX6&#X6&XX X6&ThefirstmeetingprovidedtrainingontherequirementsofISO14001andincludedanoverviewofbasicEMSconcepts.NSFsEMSSelfAssessmentToolwasprovidedtoeachparticipantat h+&* themeetingsothateachorganizationcouldconductaselfassessmentofitsEMSbeforethesecondmeeting.Attheconclusionofthefirstmeeting,participantswereaskedtomaketheirbestefforttoimplementtherequirementsofISO14001# X6&XXX6&<#X6&XX X6&overthecourseoftheproject# X6&XXX6&A#X6&XX X6&,andwere  encouragedtodosoatapaceappropriatetotheirindividualsituations.ThesecondmeetingprovidedfurthertrainingonspecifictopicsrelatedtoEMSimplementation,including:identifyingenvironmentalaspectsandimpacts;settingenvironmentalobjectivesandtargets;promotingtheEMSconceptwithinanorganization;andintegratingISO14001withISO9000.Inaddition,eachparticipantreportedbacktothegrouponitsexperiencewiththeEMSselfassessmentandonprogressithadmadeinimplementingtherequirementsintheStandard.Individualprogressreports(eachabout1015minutes)werefollowedbyquestionsfromthegroupanddiscussion.Forboththetrainingandreportbacksessions,participantswerebrokenintosmallergroupstofacilitatediscussion.Thethirdmeetingwassimilartothesecond,butmoretimewasdevotedtofeedbackanddiscussionthantotraining.EachparticipantpresenteditsprogressonEMSimplementation,anddiscussedkeysandbarrierstosuccess.Followingtheprogressreports,plenaryworkshopswereheldonestimatingthecostsandbenefitsofEMSimplementation,andonevaluatingenvironmentalperformance.Inaddition,guestspeakersupdatedthegroupondevelopmentsinEMSregistrationandaccreditation.Inthefourthmeeting,themajorityoftheagendawasdevotedtosharingkeysandbarrierstoEMSimplementation,andlessonslearnedoverthecourseoftheproject.# X6&XXX6&# ProfileofParticipatingOrganizations    X6&XX X6&Tenofthe18participatingorganizationsarelarge,andeightareSMEs(forthepurposeof  categorization,largeorganizationsweredefinedashavingover1,000employeesorganizationwide,whileSMEsweredefinedashavingfewerthan1,000employeesorganizationwide).Theorganizationsprovideavarietyofproductsandservices,andrangefromFortune100corporationstosmallmanufacturers.Attheoutsetoftheproject,theorganizationsalsovariedsignificantlyintheirapproachtoenvironmentalmanagement.Inparticular,theyvariedintheextenttowhichprocedureswereformalizedanddocumented,andintheextenttowhichactivitiesthatgobeyondregulationshadbeenintegratedintotheirexistingenvironmentalmanagementpractices.AmajorityoftheparticipantsareeitherregisteredtoISO9000orworkingtowardsregistration.Approximatelyonehalfoperatefacilitiesoverseas.# X6&XXX6&#X6&XX X6&ԀTableIliststhe18organizationsthat &"% participatedintheproject.Theyconsistof16privatecompanies,1governmentagency,andonegovernmentownedcorporation(theU.S.PostalService).# X6&XXX6&ʷ#X6&XX X6&ԀItisimportanttonotethatthe (#' organizationsintheproject,becausetheyparticipatedvoluntarily,werelikelyinclinedtomakemoreprogressonEMSimplementationthanwouldanaveragecrosssectionofcompaniesintheU.S.;mostoftheparticipantshadalreadydecidedtopursueEMSimplementationbefore h+&* becominginvolvedintheproject.# X6&XXX6&#X6&XX X6&AsofDecember1996,twoorganizations(bothcompanies)intheprojecthadfacilitiesthatwere  registeredtoISO14001orotherEMSstandards.# X6&XXX6&#X6&XX X6&Many othersareplanningtobecomeISO t 14001registeredwithinthenextfewyears.Othersmaynotbespecificallyplanningforregistration,butarecommittedtodevelopinganEMSbasedontherequirementsofISO14001.  P   XX6&-OaTableI : BriefProfilesofParticipatingOrganizations#X6&Xɼ#   *}' (:ddd Xdd Xdd X(#(#},dd ,dd ,m dd ,9dd +  $  $XX6&Organization#X6&X# 'T 'XX6&Headquarters#X6&X# 'T 'XX6&Products/Services#X6&Xs#* 'T 'XX6&Size#X6&X#** #T  #&C &XX6&3MCorporation   St.Paul,MN   Producesmultipleproductsfortheindustrial,commercial,consumer,andhealthcaremarkets  B   Large    Allergan,Inc.     Irvine,CA    Producespharmaceuticals    Large    CommodoreAppliedTechnologies   <  Columbus,OH   f PerformsremediationtechnologyR&D   <  Small   f FlukeCorporation  V  Everett,WA  V  Produceselectronictestandmeasurementinstruments  ,|  Large  V  GlobeMetallurgical    Selma,AL    Producessiliconmetalandferroalloys  l  Med    HachCompany  &! Ames,IA  &" Producesinstrumentsforwateranalysis  $ Med  &% K.J.Quinn&Co.  f& Seabrook,NH  f' Producescoatingsandadhesives  f( Small  f) LockheedMartinFederalSystems  V+ Manassas,VA  , Producessemiconductorsandcomputersystems  V. Large  / MadisonGas&ElectricCompany  1 Madison,WI  2 Provideselectricityandnaturalgas  3 Med  4 MilanScrewProducts  P5 Milan,MI  P6 Producesscrewmachineproducts  P7 Small  P8 NEOIndustriesLtd.  j9 Portage,IN  j: Performsmetalfinishing  j; Small  j< NIBCOInc.  $= Elkhart,IN  $> Producesfluidhandlingproducts  $? Large  $@ PacificGas&Electric  > A SanFrancisco,CA  > B Provideselectricityandnaturalgas  > C Large  > D PitneyBowesInc.  !E Stamford,CT  !F Producesmailingsystemsandotherofficemachines  ~"H Large  !I PrimeTanningCo.  #8J Berwick,ME  #8K Producesfinishedleather  #8L Med  #8M TRINOVACorporation  R% N Maumee,OH  R% O Producesengineeredcomponentsandsystemsforindustry  (&x!Q Large  R% R U.S.PostalService  '"S Washington,DC  '"T Providesmaildeliveryservices  '"U Large  '"V WashtenawCountyGovernment  )"%X AnnArbor,MI  (L$Y Providesavarietyofmunicipalservices  )"%[ Large#X6&X &&Ce# (L$\  ,),XX6&*  #X6&X,,)#)XX6&Note:PleaserefertotheCaseStudiesforamoredetaileddescriptionofproducts/services. +'] # ))#) )**  Note:Smalldenotesfewerthan250employees;Meddenotes2501000employees;Largedenotesover ,'^ 0  1000employees(appliestoentireorganization).# ))## X6&X ).#L-(_(#(#  .`)` -Oa  IV.EMSIMPLEMENTATIONPROGRESS    Background onEMSAssessmentsandDataAnalysis  t SelfAssessments P  ProgressonEMSimplementationoverthecourseoftheprojectwasmeasuredbycomparingtheresultsoftheinitialandfinalselfassessmentsconductedusingNSFsEMSSelfAssessmentTool.TheinitialselfassessmentswereconductedbetweenAprilandJuly1995,whilethefinalselfassessmentswereconductedbetweenMarchandMay1996(thus,theaveragetimebetweenselfassessmentswasapproximately11months).Theanalysisprovidedinthissectionreflectsresultsfortheentiregroupoforganizations,notforindividualparticipants.Ofthe18organizationsintheproject,15submitteddataonboththeir1995and1996selfassessments;therefore,3ofthe18organizationsarenotincludedintheaggregatedataanalysis.X6&XX X6&TheEMSSelfAssessmentToolcontainsachecklistwhichbreaksthe17elementsofISO14001 t Standarddowninto63separaterequirements.# X6&XXX6&#X6&XX X6&ԀThechecklistdoesnotinterprettheStandard, ` rathereachrequirementistakenverbatimfromISO14001.Theuserevaluateseachrequirementonfivepossible implementationlevels:NoAction(NA),Initiation(IN),PartialImplementation(PAR),CompleteImplementation(COM),andEvaluated&Sustained(ES).IftherequirementisevaluatedasCOMorES,itisconsideredtobesatisfied,orcomplete( YES);iftherequirementisevaluatedasNA,IN,orPAR,itisconsideredtobenotsatisfied,ornotcomplete( NO).ThereadershouldrefertoAppendixDwhichprovidesasamplepageoftheassessmenttoolanddetaileddescriptionsofeachimplementationlevel.# X6&XXX6&# $ X6&XX X6&BecausethefinalISO14001Standardwaspublishedonlyrecently(September1996),theSelf  AssessmentToolwasbasedontheDraftInternationalStandard(DIS).# X6&XXX6&#X6&XX X6&ԀThisdoesnotaffectthe  resultsoftheprojectbecausetherearenosubstantivedifferencesbetweentheDISandthefinalversionoftheStandard.# X6&XXX6&#Ԁ p Anoteregardingtheinitialselfassessments.Theinitialselfassessmentswereconductedusing H! anassessmenttoolwhichcontainedtherequirementsofboththeISO14001draftandanotherEMSstandard(NSF110),whilethefinalselfassessmentsusedarevisedselfassessmenttoolwhichcontainedonlytherequirementsoftheISO14001draft.ParticipantsweregiventheoptiontocompletetheinitialassessmentusingNSF110,ISO14001,orboth.Threeparticipantsdidnotcompletethe14001assessment;thoseorganizationswereaskedtoretroactivelyevaluatethemselvesonhowtheirEMSwouldhavecomparedtoISO14001inthespringof1995.(Note:X6&XX X6&NSF110wasdevelopedbyNSFInternationalasaninterimEMSstandardintheU.S.# X6&XXX6&#ԀTheNSF ' #& standardwasusedintheinitialphasesoftheprojectbecause,atthetime,NSF110wasacompletedstandardandISO14001wasinanearlierdraftstage;astheprojectprogressedandinterestinISO14001increased,adecisionwasmadetouseISO14001intheprojectratherthanNSF110). l+&* ЇIndependentAssessments  InOctober1996,fourprojectparticipantsreceivedEMSassessmentsconductedbyindependentEMSauditors.X6&XX X6&Theassessmentswereconductedbyexperiencedenvironmentalauditorsutilizing t thesameassessmenttoolusedintheselfassessments.Eachassessmenttooktwodaysandwasconductedbytwoauditors.# X6&XXX6&K#X6&XX X6&ԀThreeoftheassessmentswereconductedforsinglefacilities,and L  onewasconductedforanentireorganization.# X6&XXX6&h#ԀX6&XX X6&Asdiscussedbelow,thereweresignificant 8  differencesbetweentheresultsoftheselfassessmentsandindependentassessmentsforthefourorganizationsinwhichindependentassessmentswereconducted.# X6&XXX6&2#  `  SelfAssessmentResults  $  X6&XX X6&Theinitialandfinalselfassessmentresultswereaggregatedandanalyzedtoevaluate(1)overall   implementationprogressontheStandardaswhole;and(2)implementationprogressoneachofthe17elementsofISO14001.Aspresentedanddiscussedbelow,progresswasmadeontheStandardasawholeandonallofthe17elements.̀# X6&XXX6&# \ OverallProgressonISO14001 4 Atotalof945selfassessmentresponseswereanalyzed(15organizationsx63requirementsinassessmenttool=945totalresponses).Intheinitialselfassessment,22%ofresponseswere YES(i.e.,COMorES)and78%were NO(i.e.,NA,IN,orPAR).However,inthefinalselfassessment,50%ofresponseswere YESand50%were NO.InTableII,theseresultsarefurtherbrokendownintothefiveimplementationlevels.  X X6&TableII:OverallProgressonISO14001Implementation# X6&X [# &C &X X6&   * :dddd dd m dd 9dd ' ((#(#, dd ,dd ,dd +  $ T  $# X6&X & &C#Implementation   Level '!  'Initial  ! Results '!" 'Final  # Results &C &X X6& #!$  #NoAction(NA)  $#t% 25%  $#t& 8%  $#t' Initiation(IN)  $( 23%  $) 15%  $* PartialImplementation(PAR)  %H!+ 30%  %H!, 27%  %H!- CompleteImplementation(COM)  b'". 18% 'b'"/ '37% b'"0 Evaluated&Sustained(ES)  ($1 4% '($2 '13%# X6&X & &C#"($3  "TableIIalsoshowsthatparticipants,asagroup,didnotbeginISO14001implementation fromscratch,sinceonly25%oftherequirementswereevaluatedasNoActioninitially. +&5 ЇTherewasalargevariationamongstprojectparticipantsbothonEMSimplementationprogressandonthe%YESofrequirementsfortheinitialandfinalselfassessments.Someparticipantsevaluatedwellunder50%oftheirrequirementsasYES,whileothersevaluatedwellover50%oftheirrequirementsasYES.TableIIIshowsthe%YESofindividualparticipantsforboththeinitialandfinalself L  assessments.Eachcolumnrepresentsaparticipant(thereareonly15columnsbecause15ofthe 8  18projectparticipantssubmittedboththeirinitialandfinalselfassessments).Thecolumnsareordered,fromlefttoright,bythe%YESintheinitialselfassessments.ThesedataillustratetheextenttowhichprojectparticipantsvariedintheirlevelsofEMSimplementationatboththebeginningandendoftheproject.Notethatonlythreeof15showednoprogressoverthecourseoftheproject.Thetwonegativeresultsarelikelyduetothefinalselfassessmentsbeingmorerigorousthantheinitialselfassessmentsinthosetwoorganizations.  X X6&TableIII   EMSImplementationProgressofIndividualParticipants# X6&X #   *}E G:dd dd dd dd (#(#},dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd ,dd +  $ l $ &C &X X6&Initial   %YES >4  R@75R@># X6&X & &C# &C &X X6&75 UK)   R@75 R@  K@54K@U54 UK)   K@54 K@  D@41D@U41 UK)   D@41 D@  C@38C@U38 UK)   C@38 C@  @@33@@U33 UK)   @@33 @@  ;@27;@U27 UK)   ;@27 ;@  5@215@U21 UK)   5@21 5@  5@215@U21 UK)   5@21 5@  0@160@U16 TJ)   0@16 0@  @6@T6 H>(   @6 @ # H0 =3  #  # =0 =3   #  # =0 =3 ! #  # =0 =3 " #  # =0# X6&X & &C:# 7-" # #   7 &C &X X6&Final `$ %YES# X6&X & &C# ?56% Y@100Y@? X X6&100# X6&X # WM*`& Y@100 Y@ Y@100Y@W X X6&100# X6&X ># VL*`' Y@100 Y@  U@84U@V &C &X X6&84 UK)`(  U@84 U@  B@37B@U37 UK)`)  B@37 B@  @@33@@U33 UK)`*  @@33 @@  2@182@U18 UK)`+  2@18 2@  I@51I@U51 UK)`,  I@51 I@  D@41D@U41 UK)`-  D@41 D@  @T@81@T@U81 UK)`.  @T@81 @T@  D@41D@U41 UK)`/  D@41 D@  O@62O@U62 UK)`0  O@62 O@  J@52J@U52 UK)`1  J@52 J@  ;@27;@U27 UK)`2  ;@27 ;@  &@11&@U11 TJ)`3  &@11 &@  @5@T5# X6&X & &C# =3(`4  @5 @ = &C &X X6&Final P5 Initial# X6&X & &Cl# >4&v6  9@259@> &C &X X6&25 UK)P7  9@25 9@  G@46G@U46 UK)P8  G@46 G@  E@43E@U43 UK)P9  E@43 E@  -1UЄ1 I?)P:  -1  # I0 I?P; #   "-9"IЄ9 UK)P<  "-9 "  >@30>@U30 UK)P=  >@30 >@  4@204@U20 UK)P>  4@20 4@  @P@65@P@U65 UK)P?  @P@65 @P@  A@35A@U35 UK)P@  A@35 A@  O@62O@U62 UK)PA  O@62 O@  J@52J@U52 UK)PB  J@52 J@  ;@27;@U27 UK)PC  ;@27 ;@  &@11&@U11 TJ)PD  &@11 &@  @5@T5# X6&X & &C#8.,PE  @5  @ 8ProgressontheIndividualElementsofISO14001 TG TableIVshowshowtheelementsrankedforboththeinitialandfinalselfassessmentsinterms ,I ofthe%ofresponsesevaluatedas YESwithineachelement.The%YESwascalculatedby  J dividingthetotalnumberofresponsesinanelementintothenumberofresponsesevaluatedas YES.Forexample,therearesixrequirementsintheSelfAssessmentToolunderPolicy.Since15participantsresponded,therewasatotalof90responsesforPolicy.Seventysixofthe90responses(84.4%)wereevaluatedas YES.TableVshowsthesameinformationasTableIV,butinadifferentformat.The17elementsofISO14001arerankedbytheextenttowhichprojectparticipantsmadeimplementationprogress <'"Q onthemoverthecourseoftheproject.Thedifferencebetweentheinitialandfinalself ((x#R assessmentforeachelementisprovidedinthethirdcolumn.Forexample,although6.7%ofresponsesforRecordswereevaluatedas YES(COMorES)intheinitialassessments,48.3% *P%T orresponseswereevaluatedas YESinthefinalassessments.  *<&U  X X6& TableIV  RankingofISO14001ElementsInitialandFinalSelfAssessments # X6&X >#  *Z /:dddd dd dd dd dd dd dd dd dd dd dd dd dd dd dd dd E G(#(#Z, dd ,9dd , dd ,9dd +  $  $ &C &X X6&ISO14001ElementsInitialRank 'L '%YES L Initial '" 'ISO14001ElementsFinalRank 'L '%YESFinal# X6&X & &C # #"   # &C &X X6&4.3.2Legalandotherrequirements 7- <   fffffJ@53.3fffffJ@753.3 7-+<   fffffJ@53.3 fffffJ@ 7&C & & &C4.2Environmentalpolicy# &C & &&C # 7- <   U@84.4U@784.4 7-+<   U@84.4 U@ 74.2Environmentalpolicy 7-   333333F@44.4333333F@744.4 7-+  333333F@44.4 333333F@ 7&C & & &C4.3.2Legalandotherrequirements# &C & &&CD# 7-   ̬P@66.7̬P@766.7 7-+  ̬P@66.7 ̬P@ 74.4.7Emergencyprep/resp 7-  ` A@35.6A@735.6 7-+ ` A@35.6 A@ 7&C & & &C4.4.1Structureandresponsibility# &C & &&C# 7-  ` N@61.7N@761.7 7-+ ` N@61.7 N@ 74.4.1Structureandresponsibility 7- z  L<@28.3L<@728.3 7-+z  L<@28.3 L<@ 7&C & & &C4.3.3Objectivesandtargets# &C & &&C# 7- z  fffffL@57.8fffffL@757.8 7-+z  fffffL@57.8 fffffL@ 74.5.1Monitoringandmeasurement 7- 4  ffffff8@24.4ffffff8@724.4 7-+4  ffffff8@24.4 ffffff8@ 7&C & & &C4.3.4Environmentalmgmt.program# &C & &&Cw# 7- 4  fffffL@57.8fffffL@757.8 7-+4  fffffL@57.8 fffffL@ 74.3.3Objectivesandtargets 7- N  3333336@22.23333336@722.2 7-+N  3333336@22.2 3333336@ 7&C & & &C4.4.7Emergencyprep/resp# &C & &&C# 7- N  fffffL@57.8fffffL@757.8 7-+N ! fffffL@57.8 fffffL@ 74.4.3Communication 7- " 6@22.66@722.6 7-+# 6@22.6 6@ 7&C & & &C4.4.2Training/awareness/competence# &C & &&C0# 7- $ YL@56.7YL@756.7 7-+% YL@56.7 YL@ 74.4.6Operationalcontrol 7- "r& 4@20.04@720.0 7-+"r' 4@20.0 4@ 7&C & & &C4.3.1Environmentalaspects# &C & &&C# 7- "r( 33333sH@48.933333sH@748.9 7-+"r) 33333sH@48.9 33333sH@ 74.6Managementreview 7- * 4@20.04@720.0 7-++ 4@20.0 4@ 7&C & & &C4.4.6Operationalcontrol# &C & &&C# 7- , fffff&H@48.3fffff&H@748.3 7-+- fffff&H@48.3 fffff&H@ 74.4.5Documentcontrol 7- F. 3@19.03@719.0 7-+F/ 3@19.0 3@ 7&C & & &C4.5.3Records# &C & &&CC# 7- F0 fffff&H@48.3fffff&H@748.3 7-+F1 fffff&H@48.3 fffff&H@ 74.4.2Training/awareness/competence 7- `2 fffff2@18.9fffff2@718.9 7-+`3 fffff2@18.9 fffff2@ 7&C & & &C4.4.5Documentcontrol# &C & &&C# 7- `4 fffffE@43.8fffffE@743.8 7-+`5 fffffE@43.8 fffffE@ 74.3.4Environmentalmgmt.program 7- 6 1@17.81@717.8 7-+7 1@17.8 1@ 7&C & & &C4.5.1Monitoringandmeasurement# &C & &&C# 7- 8 D@40.0D@740.0 7-+9 D@40.0 D@ 74.3.1Environmentalaspects 7- 4: 333333/@15.6333333/@715.6 7-+4; 333333/@15.6 333333/@ 7&C & & &C4.6Managementreview# &C & &&C]# 7- 4< fffffB@37.8fffffB@737.8 7-+4= fffffB@37.8 fffffB@ 74.5.2Nonconf/corr&prevaction 7- > *@13.3*@713.3 7-+? *@13.3 *@ 7&C & & &C4.4.4EMSdocumentation# &C & &&C# 7- @ YB@36.7YB@736.7 7-+A YB@36.7 YB@ 74.5.4EMSaudit 7- XB *@13.3*@713.3 7-+XC *@13.3 *@ 7&C & & &C4.4.3Communication# &C & &&C # 7- XD A@35.6A@735.6 7-+XE A@35.6 A@ 74.4.4EMSdocumentation 7- rF $@10.0$@710.0 7-+rG $@10.0 $@ 7&C & & &C4.5.2Nonconf/corr&prevaction# &C & &&C\!# 7- rH ?@31.1?@731.1 7-+rI ?@31.1 ?@ 74.5.3Records 6,  ,J @6.7@66.7 6,* ,K @6.7 @ 6&C & & &C4.5.4EMSaudit# &C & &&C"# 7-  ,L 8@24.08@724.0;1/ ,M 8@24.0  8@ ;  !2M    & &CTableV  ImplementationProgressonIndividualISO14001Elements# &C & ##   *% ):dd dd 9dd  dd 9dd  /(#(#, dd ,dd ,dd ,Fdd +  $  $ISO14001Element '6 'Initial 6 %YES '  'Final 6 %YES '  'Finalminus 6  initial #    #4.5.3Records 6, & v  @6.7@66.7 XN*& v  @6.7 @ fffff&H@48.3fffff&H@X48.3 YO+& v  fffff&H@48.3 fffff&H@ D@41.6D@Y41.6 7-+& v D@41.6 D@ 74.2Policy 7-   333333F@44.4333333F@744.4 YO+  333333F@44.4 333333F@ U@84.4U@Y84.4 WM+  U@84.4 U@  D@40D@W40 5+)   D@40 D@ 54.3.4Environmentalmgmtprogram 7-  J 1@17.81@717.8 YO+ J 1@17.8 1@ fffffL@57.8fffffL@Y57.8 WM+ J fffffL@57.8 fffffL@  D@40D@W40 5+) J  D@40 D@ 54.4.2Training/awareness/competence 7- d  fffff2@18.9fffff2@718.9 YO+d  fffff2@18.9 fffff2@ YL@56.7YL@Y56.7 YO+d  YL@56.7 YL@ fffffB@37.8fffffB@Y37.8 7-+d  fffffB@37.8 fffffB@ 74.3.3Objectivesandtargets 7-   3333336@22.23333336@722.2 YO+  3333336@22.2 3333336@ fffffL@57.8fffffL@Y57.8 YO+  fffffL@57.8 fffffL@ A@35.6A@Y35.6 7-+  A@35.6 A@ 74.4.1Structureandresponsibility 7- 8  L<@28.3L<@728.3 YO+8  L<@28.3 L<@ N@61.7N@Y61.7 YO+8 ! N@61.7 N@ 33333@@33.433333@@Y33.4 7-+8 " 33333@@33.4 33333@@ 74.3.1Environmentalaspects 7-  # 333333/@15.6333333/@715.6 YO+ $ 333333/@15.6 333333/@ 33333sH@48.933333sH@Y48.9 YO+ % 33333sH@48.9 33333sH@ fffff@@33.3fffff@@Y33.3 7-+ & fffff@@33.3 fffff@@ 74.4.6Operationalcontrol 7-  \' 4@20.04@720.0 YO+ \( 4@20.0 4@ fffff&H@48.3fffff&H@Y48.3 YO+ \) fffff&H@48.3 fffff&H@ L<@28.3L<@Y28.3 7-+ \* L<@28.3 L<@ 74.4.4EMSdocumentation 7- v+ $@10.0$@710.0 YO+v, $@10.0 $@ YB@36.7YB@Y36.7 YO+v- YB@36.7 YB@ 33333:@26.733333:@Y26.7 7-+v. 33333:@26.7 33333:@ 74.4.5Documentcontrol 7- 0/ 3@19.03@719.0 YO+00 3@19.0 3@ fffffE@43.8fffffE@Y43.8 YO+01 fffffE@43.8 fffffE@ 8@24.88@Y24.8 7-+02 8@24.8 8@ 74.4.7Emergencypreparedness/resp 7- J3 A@35.6A@735.6 YO+J4 A@35.6 A@ fffffL@57.8fffffL@Y57.8 YO+J5 fffffL@57.8 fffffL@ 3333336@22.23333336@Y22.2 7-+J6 3333336@22.2 3333336@ 74.5.2Nonconformance/corr&prevaction 7- 7 *@13.3*@713.3 YO+8 *@13.3 *@ ?@31.1?@Y31.1 YO+9 ?@31.1 ?@ 1@17.81@Y17.8 7-+: 1@17.8 1@ 74.6Managementreview 7- n; 4@20.04@720.0 YO+n< 4@20.0 4@ fffffB@37.8fffffB@Y37.8 YO+n= fffffB@37.8 fffffB@ 1@17.81@Y17.8 7-+n> 1@17.8 1@ 74.5.1Monitoringandmeasurement 7- ? ffffff8@24.4ffffff8@724.4 YO+@ ffffff8@24.4 ffffff8@ D@40.0D@Y40.0 YO+A D@40.0 D@ 333333/@15.6333333/@Y15.6 7-+B 333333/@15.6 333333/@ 74.3.2Legalandotherrequirements 7- BC fffffJ@53.3fffffJ@753.3 YO+BD fffffJ@53.3 fffffJ@ ̬P@66.7̬P@Y66.7 YO+BE ̬P@66.7 ̬P@ *@13.4*@Y13.4 7-+BF *@13.4 *@ 74.4.3Communication 7- \G 3333336@22.23333336@722.2 YO+\H 3333336@22.2 3333336@ A@35.6A@Y35.6 YO+\I A@35.6 A@ *@13.4*@Y13.4 7-+\J *@13.4 *@ 74.5.4EMSaudit 7-  K *@13.3*@713.3 YO+ L *@13.3 *@ 8@24.08@Y24.0 YO+ M 8@24.0 8@ ffffff%@10.7ffffff%@Y10.7;1/ N ffffff%@10.7  ffffff%@ ;&C & & &CX6&X &&CItisdifficulttodrawhardconclusionsfromTablesIVandVbecausemanyfactorsmay x#P contributetowhycertainISO14001elementsweremoredevelopedthanothersatthebeginningoftheproject,orwhyorganizationsaddressedcertainelementsoftheStandardbeforeothers.However,afewobservationsfromTablesIVandVareprovidedbelow.Policywasevaluatedthehighestinimplementationinthefinalassessment(84.4%)andthe (d#U secondhighestintheinitialassessment(44.4%).Moreover,Policywasranked2ndinprogress.  )P$V  EMSaudit,ontheotherhand,was# X6&XXX6&2<#Ԁevaluatedquitelowinboththeinitialassessments(13.3%) )@%W andfinalassessments(24.0%).X6&XX X6&ԀItisperhapsnotsurprisingthatPolicywasrankedhigh. *,&X However,itisunclearwhyEMSauditwasrankedsolow.Onepossiblereasonisthat +'Y organizationsmaychoosetowaituntilmostotherEMSelementsareinplacebeforedevelopinganEMSauditprogram.Anotherpossiblereasonisthatorganizationsmaytendtoratethemselvesdownonthiselementbecausetheyhavenotyetperformedanaudit,eveniftheyhavetheproceduresinplace.# X6&XXX6&?# t X6&XX X6&AlthoughRecordswasevaluatedthelowestintheinitialassessments(6.7%),thegreatest L  progresswasmadeonthatelement(upto48.3%).Ontheotherhand,Legalandother 8  requirements,whichreceivedthehighestevaluationinitially(53.3%),maderelativelylittle $ t progressoverthecourseoftheproject(upto66.7%).Itisnotclearwhatfactorsmayhavecontributedtotheseresults.# X6&XXX6&A#Environmentalaspectswasrankedquitelowintheinitialassessment(15.6%),butsignificant $  progresswasmadeoverthecourseoftheproject(upto48.9%).Thelowinitialevaluationforthiselementlikelyreflectsthatmostorganizationshavenotyetattemptedtoconductaformalassessmentoftheirenvironmentalaspectsandimpactsbecausedoingsoisnotrequiredundertraditionalcommandandcontrol.ThesignificantprogressmadeoverthecourseoftheprojectisprobablyduetothefactthatmanyparticipantsrecognizedtheimportanceofidentifyingenvironmentalaspectsandimpactsearlyonintheEMSimplementationprocess. FindingsfromIndependentAssessments   p ThissectiondiscussestheresultsofthefourindependentEMSassessmentsperformedinOctober1996.First,theaggregatefindingsareanalyzed.Then,severalexamplesaregivenofspecificrequirementswherethereweredifferencesbetweentheselfassessmentsandindependentassessments.Finally,someadditionalobservationsfromtheindependentassessmentsarediscussed.AggregateResults l Forthefourorganizationsreceivingindependentassessments,atotalof252requirementswereevaluated(4x63requirementsinassessmenttool=252).TheevaluationswereanalyzedbyidentifyingallthoserequirementsforwhichthereweredifferencesontheYES/NOresponsebetweentheselfassessmentandindependentassessment.X6&XX X6&ԀTheanalysisshowedthat $X" approximately76ofthe252requirements,or30%,wereevaluateddifferentlyontheYES/NOresponse.Twentyfourpercent(61outof252)wereratedlowerbytheindependentauditors;i.e.,theindependentauditorevaluatedtheserequirementsasNO,buttheorganizationevaluatedthemasYES.Sixpercent(15outof252)wereratedhigher;i.e.,theindependentauditorevaluatedtheserequirementsasYES,buttheorganizationevaluatedthemasNO.Notably,13ofthe15requirementsevaluatedhigherwereinoneorganization.ThesedifferencesweredistributedthroughouttheStandard.Allofthe17elementsofISO14001 h+&* showedatleastoneofthefourorganizationswithadifferenceontheYES/NOresponse.Moreover,51ofthe63requirementsshowedatleastoneorganizationwithadifferenceontheYES/NOresponse;however,foronlythreeofthe63requirementsdidthreeormoreofthefourorganizationshavedifferencesontheYES/NOresponse.# X6&XXX6&I#X6&XX X6&# X6&XXX6&M#X6&XX X6&ThemostnotabledifferencesintheStandardbetweentheselfassessmentsandindependent L  assessmentswerefoundinthesectionsonObjectivesandtargetsandEnvironmental 8  managementprogram.InObjectivesandtargets,fiveoutofthe12responseswereevaluated $ t lower,whiletwowereevaluatedhigher.Themostsignificantdifferenceswerefoundinthelanguagerequiringorganizationstoconsidertheirsignificantenvironmentalaspectsandtheviewsofinterestedpartieswhensettingenvironmentalobjectives.InEnvironmental  8  managementprogram,sevenoutof12responseswereevaluateddown,whilenonewere $  evaluatedup.Themostsignificantdifferencesinthissectionwerefoundinthelanguagerequiringorganizationstoincludethemeansandtimeframebywhichobjectivesandtargetswillbeachieved.# X6&XXX6&  $135,000  "?  $35,000  "@  $300,000 #  & &C# "A      X6&X Total:$1,069,000corporatewide,or$89,000averageperfacility  vB < BarriersandKeystoSuccessfulImplementation  :E X6&XX X6&Evenwiththecommitmentofuppermanagement,implementinganEMScanbeachallenging bG effort,particularlyfororganizationsthathavefewISO14001elementsinplaceorareunfamiliarwithmanagementsystemconcepts.# X6&XXX6&#Ԁ  :I Projectparticipantscitedseveralbarrierstoimplementation.Byfarthemostcommonlycitedbarrierwaslackoftimeduetocompetingpriorities(nineorganizationsreportedthis);aswillbediscussedlater,lackoftimetendstobeagreaterconcernforSMEs.Otherbarrierscitedinclude:  insufficientsupportorlackofunderstandingfromtopmanagement; r&!O 0  insufficientresources;^'"P(#(#   uncertaintyabouttheintentofISO14001;and J(#Q 0  anaversiontoaddeddocumentationandpaperwork(afeworganizationsreportedthatit 6)$R wasdifficulttoconvincetheorganizationtoaddproceduresanddocumentationtoasystemalreadyperceivedasquitesuccessfulinmaintainingcompliance). (#(#  +J'U Afewcentralthemesonkeystoovercomingimplementationbarriersemergedduringthegroupmeetingsandinparticipantsresponsesattheconclusionoftheproject.Theyarediscussedbelow.SecureTopManagementCommitmentEarlyintheProcess L  Withouttopmanagementcommitment,theresourcesandsupportnecessaryforEMSimplementationismuchmoredifficulttoobtain.Althoughsomeparticipantshadobtainedastrongcommitmentfromuppermanagementbeforeparticipatingintheproject,othersstruggledtoobtainthenecessarysupportthroughouttheproject.GainaThoroughUnderstandingofISO14001   SeveralparticipantsreportedthattheycametotrulyunderstandtheintentofISO14001onlyafterseveralmonthsofstudy,discussionswithcoworkersandcolleagues,andattemptstoimplementsomeofitsrequirements.OneparticipantreportedthatitwasmorestringentonitsfinalselfassessmentthanonitsinitialselfassessmentbecauseithaddevelopedabetterunderstandingoftheStandardoverthecourseoftheproject.Basedontheselfassessmentresultsoftheindividualorganizations(threeshowednoprogress,ornegativeprogress,overthecourseoftheproject),itislikelythatotherparticipantshadsimilarexperiences.  \ PerformaThoroughSelfAssessment   AthoroughselfassessmentoftheexistingEMSisnecessarytoprovidedirectionforimplementation.Manyparticipantsfoundithelpfultouseaconsultantorotherexternalassistanceinperformingtheassessment,orinreviewingtheprotocolandresultsoftheassessment.Asevidencedbytheresultsoftheindependentassessments,thisexternalobjectivereviewcanbeimportanttoobtainamoreneutralviewoftheorganizationsexistingEMSandtoprovideanadditionalinterpretationoftheEMSstandard. D! InvolveManyFunctionsandStaffLevelsinthePlanningProcess $X" SeveralparticipantsreportedthatoneofthekeystosuccessfulEMSimplementationwasinvolvingrepresentativesfromdifferentpartsoftheorganization.Thiscrossfunctionalinvolvementnotonlybroughtdifferentexpertisetogether,italsofacilitatedconsensusandacceptancefromtheorganizationasawhole.Manyparticipants(bothsmallandlarge)formedteamsthatincludedemployeesfrommanufacturing,marketing,theISO9000program,andotherfunctions.Severalparticipantsfounditveryhelpfultoincludeemployeesfromtheshopfloorbecauseoftheirintimateknowledgeofprocessesandenvironmentalaspects.Mostteamsin h+&* organizationswithmultiplefacilitieswerecomprisedofbothfacilityandcorporateemployees.Initially,SetaSmallNumberofAchievableEnvironmentalObjectives t SomeparticipantsreportedthatsettingalimitednumberofobjectivesinitiallyhelpedthemovercomeconsiderableresistancetoEMSimplementation.Oneorganization,forexample,decidedtosetandachieveafewsimplebutmeaningfulpollutionpreventionobjectivesbefore $ t developingmostofitsEMSdocumentation.Thisapproachwasintendedtoavertthepossibilityofemployeesbeingdiscouragedbytheneedtowritenumerousprocedures(itwasalsointendedtoconvincemanagementthatprovidingresourcesforthedevelopmentofprocedureswasworthwhile).Theorganizationreportedthatsettingandaccomplishingthepollutionpreventionobjectivesbroughtagreatdealofsatisfactiontotheemployeesinvolved.X6&XX X6&BuildonExistingBusinessPractices   Oneapproachtoovercomingresistancetochangeisbuildingonsuccessfulwaysofdoingbusiness.Forexample,oneparticipantnotedthatalthoughtherewasfairlylimitedenvironmentalawarenessintheorganization,therewaswidespreadunderstandingandacceptanceofbasicTQMprinciples.AfterfailingatfirsttopromotetheEMSconceptinitsentirety,theorganizationchosetointroduceafewenvironmentalobjectives disguisedasqualityobjectivesthroughtheTQMsystem.Oncetheseobjectiveswereacceptedintheorganization,itbecameeasiertoaskemployeestowriteplansandprocedurestoaddressthem.# X6&XXX6&# 4  LinkswithISO9000andHealth&Safety   Aspreviouslymentioned,mostX6&XX X6&ԀprojectparticipantshavefacilitiesthatareeitherregisteredtoISO  9000(ISO9001or9002)orworkingtowardsregistration.OnlytwoparticipantsreportedthattheywereneitherregisterednorpursuingISO9000registration# X6&XXX6&#.Generally,thoseorganizations \  whichcameintotheprojectwithISO9000experiencehadaneasiertimeconvincingothersinternallyofthevalueofanEMS.HavingtheISO9000systemestablishedorunderdevelopmentmeantthattheorganizationwasfamiliarwiththeconceptandbenefitsofmanagementsystems.SomeparticipantscitedspecificISO14001elementsthathadbeen(orwouldbe)modeledafteranalogouselementsintheISO9000system.X6&XX X6&TheyanticipatedthatmodelingcertainISO14001 & "% elementsafterexistingISO9000elementswouldproducesignificantcostsavingsforEMSimplementation.# X6&XXX6&#AcollectivelistofthoseISO14001elementsisprovidedbelow: (#' Training,awarenessandcompetence *%) EMSdocumentation l+&* DocumentcontrolOperationalcontrolMonitoringandmeasurementNonconformanceandcorrectiveandpreventiveactionRecordsEMSauditManagementReview 8  SevenparticipantsreportedthattheywouldintegrateatleastsomeelementsofISO9000andISO14001;however,attheendoftheprojectonlyafewreportedthattheyintendedtocreateonefullyintegratedqualityandenvironmentalmanagementsysteminthenearfuture.OnebarriertointegratingthesystemsisthattheindividualsresponsibleforISO9000withinmanyorganizationsareoftennotknowledgeableofenvironmentalmanagement,andinturn,environmentalmanagersoftenlackanunderstandingofqualitymanagement.Becauseofthis,severalorganizationsreportedthatittookconsiderabletimetoestablishlinksbetweentheenvironmentalandqualityprograms.Therecanbeotherconstraintstosystemintegrationaswell.Forexample,oneorganization,aftercarefullyexploringitsoptionsaboutISO9000/14001integration,decidednottocombinethetwosystemsbecauseofaconcernthat(1)integratingincompleteEMSrequirementsintotheISO9000systemcouldjeopardizetheirISO9000registration;and(2)manyproceduresundertheexisting9000systemwerenotappropriateforenvironmentalissues.TheobservationmadeduringtheindependentassessmentsregardingtheseparationoftheenvironmentalmanagementstafffromtheISO9000staffconfirmsthatsignificantbarriersexisttointegratingthetwosystems.Regardinghealth&safety,sixparticipantsreportedthattheyintendedtointegrateISO14001withtheirhealth&safetyprogram.X6&XX X6&Thisisalogicalstepforthoseparticipantsthatcameintothe  projectwiththeirenvironmental,healthandsafetyprogramsalreadyintegrated.# X6&XXX6&#ԀOne  organizationplanstofullyintegrateitsISO9000,ISO14001,andhealth&safetysystemsinthelongterm. X6&XX X6&ComparisonofSMEsandLargeOrganizations  #l! AsTableIdepicts,the18organizationsthatparticipatedintheEMSDemonstrationProjectwerecategorizedassmall,medium,orlargeentities.Theparticipatingorganizationsincludefoursmall,fourmediumsized,andtenlargeorganizations.Categorizationwasbasedsolelyonthenumberofindividualsemployedbytheorganizations.Anorganizationwithfewerthan250employeeswascategorizedas small;anorganizationemployingbetween250and1000individualswascategorizedas mediumsized;andanorganizationwithmorethan1000employeeswascategorizedas large.Thenumberofindividualsemployedbytheorganizationasawholewasconsidered(notjustthenumberofemployeesinaparticularfacility).Noattempt h+&* wasmadetoconsiderStandardIndustrialClassification(SICCode)orrevenueincategorizingprojectparticipants.SomeofthedifferencesbetweenSmallandMediumSizedEnterprises(SMEs)andlargeorganizationsareanalyzedbelow.Differencesdiscussedincluded:motivationtoimplementanEMS,barriers,andpotentialSMEadvantages.InformationfromeightSMEsandeightlargeorganizationswasconsidered.(Note:thissectiononSMEsdrawsonaslightlydifferentdatasetthanotherpartsofSectionV.Itincludesinformationfromtwoadditionalorganizationsthatwerenotincludedintheanalysisdonefortheothersections).IncentivesforImplementinganEMS  $   SMEsandlargeorganizationscitedcertainincentivesinfairlyequalproportions.Forexample,fourlargeorganizationsandfourSMEsstatedthatadesiretogainacompetitiveadvantagewasanincentiveforimplementinganEMS.Likewise,adesiretoachieveEMSregistrationandgainregulatoryflexibilitywerecitedasincentivesbyequalnumbersofSMEsandlargeorganizations.Otherincentives,however,werenotcitedbySMEsandlargeorganizationsinequalproportions.OftheeightSMEs,fourreportedadesiretoachievemorecosteffectiveorenhancedcomplianceasanincentiveforimplementinganEMS,andthreeSMEsstatedthataneedforbetterdocumentationandprocedureswasanincentive.Noneofthelargeorganizationsstatedthat enhancedcomplianceora needforbetterdocumentationwereincentives.Inaddition,fourlargeorganizationsbutonlyoneSMEreportedthatimprovedenvironmentalperformanceorthedesiretobenefitfrompollutionpreventionopportunitieswereincentives.ThesefindingssuggestthatSMEsmaybemoremotivatedtoimplementanEMSbecausetheywanttoenhancetheircompliancemanagementandimprovetheirdocumentation,whilelargerorganizationsmaybemoresatisfiedwiththeircomplianceeffortsanddocumentationandarereadytofocusonpollutionprevention.# X6&XXX6&j#X6&XX X6&Barriers D! Tenparticipantsreportedthatalackoftime(duetoworkloadandproductionpriorities)wasoneofthegreatestbarrierstoimplementinganEMS;sevenoftheeightSMEsreportedthis,whileonlythreeoftheeightlargeorganizationsdid.Moreover,fourorganizations(allSMEs)foundthatalackofresources,includingfunding,wasasignificantbarrier,andtwoSMEsreportedthattheallocationofhumanresourceswasasignificantchallenge.Inadditiontothetimeandresourcebarriers,theSMEsreportedseveralofthechallengesthatwerealsomentionedbythelargeorganizations(e.g.interpretingtheISO14001Standard;achievingdetaileddocumentation;promotingEMSconceptstomanagementandemployees;andtrainingemployees).ThissuggeststhatSMEsandlargeorganizationssharemanyofthesamechallengesinimplementinganEMS,butthatSMEsaremorechallengedbyalackoftimeandresources. h+&* ЇOnelargeorganizationintheprojectfoundthatittooktheorganizationagreatdealoftimetounderstandtheStandardbeforeitwaswillingtoinvesttimeinEMSimplementation.Thisparticipantstated, Ourorganizationdealtwiththisbarrierinamannerwhich,unfortunately,smallerorganizationscannotdowithouthiringoutsideconsultants.Inthiscase,thecorporatestaffinvestedtimeinunderstandingtheStandard,andthendisseminatedguidancetoolsandinformationtopersonnelatthefacility.PotentialSMEAdvantages  ` SomeprojectparticipantsalsofoundthatanSMEcanhavecertainadvantagesoveralargeorganizationinimplementinganEMS.Forexample,anSMEmaybeabletodevelopanEMSthatislesscomplexthanonethatmightbeappropriateforalargeorganization.Inaddition,employeesinSMEsoften wearmanyhats;i.e.,theyhavemultiplefunctionalresponsibilities.InanSMEwithISO9000experience,forexample,theindividualresponsibleforthequalitysystemmayalsoberesponsibleforimplementingISO14001.Inalargeorganization,however,theemployeesresponsibleforthequalitysystemaremorelikelytobeseparatefromtheenvironmentalstaff.CertainrequirementsinISO14001mightbeeasiertoimplementinanSMEthaninalargeorganization.Forexample,twoSMEsnotedthattheStructureandresponsibilityrequirements  p inISO14001aresimplertoachieveinanSMEsthaninalargeorganization,sinceanSMEtypicallyhasalesscomplexhierarchy.OtherpartsofanEMSthatmaybesimplerforanSMEincludetrainingandinternalcommunication.# X6&XXX6& # RecommendedGuidanceandImplementationTools   BasedontheexperienceoftheDemonstrationProject,ithasbecomeevidentthatcertaintypesofguidanceareveryimportantfororganizationsofalltypesandsizesattemptingtoimplementISO14001.Theseinclude:clarificationoftheintentoftheISO14001Standard;achecklistorothertooltoconductanEMSselfassessment;guidanceonhowtoidentifyandassessthesignificanceofenvironmentalaspectsandimpacts;astepbystepimplementationguide;X6&XX X6&examplesofEMSmanuals,policies,andprocedures;and# X6&XXX6&#Ԁ %0!$ EMSimplementationcasestudies.Theseareeachdiscussedbelow. h+&* ClarificationoftheintentofISO14001  ThemostcommonlyaskedquestionsfromprojectparticipantsrevolvedaroundtheintentoftheISO14001Standard.TheywanttoknowwhattheauthorsintendedinthelanguageoftheStandard,andhowregistrarswillinterpretit.X6&XX X6&AlthoughinterpretationoftheStandardis ` necessaryfororganizationstomoveforwardwithimplementation(andparticularlyregistration),creatingasingleauthoritative# X6&XXX6&#ԀinterpretationoftheStandardmaybeproblematic.SubTAG1of 8  theU.S.TechnicalAdvisoryGrouphasestablishedaformalprocesstorespondtoquestionssubmittedbyinterestedpartiesabouttheinterpretationoftheISO14001Standard.SubTAG1intendstoissueanswerstoquestionsbasedontheSubTAGsconsensusinterpretationoftheStandard.Alistofinterpretationconcernssubmittedbyprojectparticipantsisprovidedinthenextsectionofthereport.AgoodwaytounderstandtheintentofISO14001istoreadEMSimplementationguidancedocuments,suchasISO14004( EnvironmentalmanagementsystemsGeneralguidelinesonprinciples,systemsandsupportingtechniques).AnotherusefuldocumentistheguidanceforsmallandmediumsizedorganizationsdevelopedbyNSFInternational,whichisdiscussedbelow.X6&XX X6&AChecklistorOtherTooltoConductanEMSSelfAssessment# X6&XXX6&#X6&XX X6&  p OneofthefirststepsforanorganizationconsideringimplementationofISO14001istoconductaninitialassessmentofitscurrentenvironmentalmanagementpractices.PriortotheEMSDemonstrationProject,NSFInternationaldevelopedauserfriendlychecklisttohelporganizationscomparetheirexistingenvironmentalmanagementpracticestotherequirementsofISO14001.ParticipantsusedthechecklistintheDemonstrationProject,andNSFreceivedpositivefeedbackonitsuse.Otherorganizations,includingtheGlobalEnvironmentalManagementInitiative,havealsodevelopedISO14001assessmenttools.# X6&XXX6& #  X6&XX X6&GuidanceonHowtoIdentifyandAssesstheSignificanceofEnvironmentalAspectsandImpacts# X6&XXX6& # D! ISO14001encouragesorganizationstomove beyondcompliancethroughcontinualimprovementandpollutionpreventionbyidentifyingenvironmentalimpactsandsettingobjectivestoaddressthem.Inthepast,manyorganizationsconductedenvironmentalplanningsolelyinresponsetoregulatoryrequirements,oraddressedenvironmentalproblemsonan adhocbasis.Thus,systematicidentificationandprioritizationofenvironmentalaspects(andresultingimpacts),includingthosenotregulated,isanewprocessformanyorganizations.NSFsimplementationguideprovidesbroadguidanceonenvironmentalaspectsandimpacts,butmoredetailedguidancefororganizationsappearstobeneeded. h+&* X6&XX X6&AStepbyStepImplementationGuide# X6&XXX6&q#  Manyorganizations,particularlythosethatdonothavemuchexperiencewithEMS,needtoseekoutsideexpertisetohelpwiththeplanningprocessandimplementation.However,forsmallerorganizations,whichmaynothaveacorporateenvironmentalstaff,thisassistanceisoftenunavailableinternallyandtooexpensivetosecurefromaconsultant.ThroughanEPAgrant,NSFhasdeveloped EnvironmentalManagementSystems:AnImplementationGuideforSmall 8  andMediumSizedOrganizationsthatprovidesstepbystepimplementationassistanceand $ t sampleworksheetsandprocedures(althoughtheGuideisdirectedtowardSMEs,itisjustasusefulforlargerorganizations).TheNSFdocument,alongwithotherimplementationguidesthatareeitheravailablenoworwillbesoon,willhopefullyhelptosatisfytheneedforcosteffectivestepbystepimplementationguidance.X6&XX X6&ExamplesofEMSManuals,Policies,andProcedures   MostprojectparticipantsrequestedexamplesofEMSmanuals,policies,andprocedures.Commonlyrequesteditemsincluded:environmentalpolicies,proceduresforidentifyingaspectsandimpacts,monitoringandmeasurementprocedures,auditingprocedures,etc.AnEMSmanual,althoughnotexplicitlyrequiredbyISO14001,canbeausefultoolbecauseitprovidesaconciseoverviewofthesystem.# X6&XXX6&#  p EMSImplementationCaseStudies 4 OrganizationsconsideringtheimplementationofISO14001canbenefitfromlearningwhyotherorganizationsimplementedanEMS,aswellastheirexperienceswithimplementation.AsmoreorganizationsimplementandbecomeregisteredtoISO14001,manycasestudiesshouldbecomeavailable.However,atpresentrelativelyfeworganizationshaveattemptedtoimplementISO14001,andthustheexperiencesofthesefeworganizationsareparticularlyvaluable.Thisreportcontainsselfwrittencasestudiesfrom17ofthe18organizationsthatparticipatedintheDemonstrationProject.CEEM,Inc.hasalsopublishedacollectionofEMScasestudies. ParticipantFeedbackonISO14001  $X" AccordingtoISOrules,eachISOstandardmustbeupdatedeveryfiveyears.OverthenextfewyearsISO14001islikelytobereadorimplementedbythousandsoforganizationswhowillbeabletoofferfeedbackontheStandard.SincetheEMSDemonstrationProjectpresentsanearlyopportunityforthisprocess,eachparticipantwasaskedtoprovidefeedbackonISO14001.ProjectparticipantsgenerallyfoundISO14001tobeasoundmodelforenvironmentalmanagement.However,mostparticipantsexpressedatleastsomeoverridingconcernsaboutthe h+&* Standardasawholeand/orconcernsaboutspecificrequirements.ThemostcommonlycitedconcernwasthepotentialforauditorstointerprettheStandarddifferently(note:thismaybeviewedasaregistrationconcernratherthanaconcernabouttheStandard).Othercommonlyreportedconcernsincludedconfusionoverthedefinitionof environmentalaspects;anoveremphasisondocumentation;andconfusionaboutwhetherwrittenproceduresarenecessaryforparticularrequirements.AdditionalcommentsthatweresubmittedregardingspecificrequirementsareshowninTableVII.  8  TRP$'3 Letter LandscapeY3'Bond'3 Letter Landscape 3'BondT   X X6&TableVII  SpecificCommentsontheISO14001Standard# X6&X #   * :dddd dd dd dd dd dd ! $//, dd ,hdd , dd +  $  $ u X X6&Section 'L 'Language 'L 'Comments# X6&X  u # #L  # &C &X X6&4.2Environmentalpolicy     appropriatetothenature,scale,andenvironmentalimpacts  t   Afewparticipantssaidthisrequirementistoosubjective,anditisnotauditable. 6, t   @4.2@64.2 6,* .  @4.2 @ 6 providestheframeworkforsettingandreviewingenvironmentalobjectivesandtargets    Afewparticipantssaidthemeaningofthisrequirementisnotclear.    4.3.1Environmentalaspects  n   identifytheenvironmentalaspectsofitsactivities,productsorservices...inordertodetermine...significantimpactsontheenvironment    Severalparticipantsexpressedconcernsaboutthedefinitionof aspectsandabouthowtodetermine significance.Thequestionwasraisedwhytheterm aspectswasneededinadditionto impacts.    4.3.2Legalandotherrequirements  0  establishandmaintainaproceduretoidentifyandhaveaccesstolegalandotherrequirements...  0 Oneorganizationfeltthiswasadifficultrequirementtointerpret.  0 4.3.3Objectivesandtargets  J  consider...theviewsofinterestedparties  J  Oneparticipantsaidthisrequirementistoosubjective,anditisnotauditable.   p" 4.3.4Environmentalmanagementprogram  `$  designationofresponsibilityforachievingobjectivesandtargetsateachrelevantfunctionandleveloftheorganization  6' TwoorganizationssaidthattheywantedfurtherguidanceintheStandardonhowdeepintotheorganizationthisshouldgo.  `) 4.3.4  *  programme(s)shallbeamendedwhererelevant  + Oneparticipantfeltthatmoredetailisneededtoexplainunderwhatcircumstanceschangesshouldbemade.  v- 4.4.1Structureandresponsibility  /  Roles,responsibilityandauthoritiesshallbedefined,documentedandcommunicated  1 TwoorganizationssaidtheywantedfurtherguidanceintheStandardonhowmanyandwhattypeofemployeesshouldbecoveredbythisrequirement.  4  -TRP$'3 Letter LandscapeP$'3 Letter Landscape'3 Letter Landscape'3 Letter LandscapeT  | -TRP$'3 Letter LandscapeP$'3 Letter Landscape'3 Letter Landscape'3 Letter LandscapeT  |4.4.2Training,awarenessand d competence  :  Theorganization...shallrequirethatallpersonnelwhoseworkmaycreateasignificantimpactonthe environment,havereceivedappropriatetraining  b Oneorganizationsaidthatitisverydifficulttodirectlytieenvironmentalimpactstospecificemployees.  : 4.4.2   z  Personnel...shallbecompetent   z  Oneorganizationsaidthisrequirementwastoosubjective.   z  4.4.3Communication  6    theorganizationshallestablishandmaintainproceduresforinternalcommunication     OneorganizationsaidthatmoreguidancewasneededintheStandardonthemeaningof internalcommunication.    4.4.3  v $  Theorganizationshallconsiderprocessesforexternalcommunication...andrecorditsdecision  L Oneorganizationsaidthattherewasnovalueaddedfortheorganizationtorecorditsdecision.  L 4.4.4EMSdocumentation  d   Theorganizationshall...describethecoreelementsofthemanagementsystem...[and]providedirectiontorelateddocumentation  b  Twoorganizationscommentedthatthisrequirementwasmostlyusefulforanauditor.  :  4.4.5Documentcontrol  z   obsoletedocumentsarepromptlyremovedfromallpointsofissueandpointsofuseand anyobsoletedocumentsretainedforlegaland/orknowledge...aresuitablyidentified  N Oneorganizationsaidthattherequirementthatdocumentsberemovedfrom allpointsofissueandusewastoostringent;theorganizationalsofeltthattherequirementthatobsoletedocumentsbe suitablyidentifiedwasnotenforceable.  N# 4.4.6Operationalcontrol  f$ Entireelement  f% OneorganizationcommentedthatoperationalcontrolinISO14001ismuchlessspecificthanitisinISO9000,andthuscouldpotentiallybeadifficultrequirementtoimplement.  d( 4.5.1Monitoringandmeasurement  R*  Theorganizationshall...periodically[evaluate]compliancewithrelevantenvironmentallegislationandregulations  z(- OneorganizationexpressedtheconcernthatthisrequirementcouldpotentiallycauselegaldifficultiesifEMSauditorsweretoidentifynoncompliancewithregulations.  z(0 4.5.2Nonconformanceandcorrectiveandpreventiveaction  h2 &C & & &C actiontakentoeliminatethecauses 3 of...nonconformanceshallbeappropriatetothemagnitudeofproblemsandcommensuratewiththeenvironmentalimpactencountered# &C & &&C8#  f6 &C & & &CThesameorganizationasabovecommentedthatthis 7 requirementisunnecessarybecausefeworganizationswouldtakeactionthatwaseitherinappropriatetothemagnitudeofproblemsornotcommensuratewiththeenvironmentalimpactencountered.# &C & &&C9# < ;  TRY03'bondP$'3 Letter Landscape3' Letter'3 Letter LandscapeT X6&X & &C ParticipantAdvicetoRegulators   X6&XX X6&ThirteenoftheparticipatingorganizationsprovidedadviceforregulatorsseekingtousetheEMS  approachintheirinteractionswiththeregulatedcommunity.ThemostcommonadvicewasthatregulatorsshouldofferincentivesprimarilyregulatoryflexibilitytocompaniesthatimplementanEMS.Theseproposedincentivesinclude:reductionsinreporting;reductionsinsiteinspectionsandaudits;reductionsinfines;eliminationofpenaltiesandNOVsforvariousenvironmentalcomplianceissues;andfasttrackpermitting.Oneprojectparticipantofferedthefollowingadvice: ...(W)egenuinelybelievethatEMSimplementationwillimproveourenvironmentalperformance.Infact,wehaveseenindicationsalreadythatisexactlywhatishappening.Wewouldinviteregulatorstoconfirmthatthisisso,andthen,ifsatisfied,providesignificantregulatoryrelieftocompanieswitheffectiveenvironmentalmanagementsystems.# X6&XXX6&<#X6&XX X6& \ TwoparticipantsexpressedconcernabouttheabilityofsmallerorganizationstoaffordISO14001registration,andsuggestedthatincentivessuchasthoseoutlinedabovebemadeavailabletoorganizationswhichhaveafullyfunctionalEMSbutmaynotberegisteredtotheStandard.Manyparticipantsexpressedconcernaboutthevoluntarydisclosureofselfaudits,andexpressedadesireforagreaterleveloftrustbetweenthemselvesandregulatorsregardingthisissue.Severalparticipantsindicatedthatthereisafearofbeingpunishedfor doingtherightthinginselfreportingofviolationsandnonconformances.OneparticipantnotedthesimilaritiesbetweenISO14001andthe DueDiligencecriteriacontainedinEPAsfinalpolicyonauditingandselfpolicingIncentivesforSelfPolicing: l Discovery,Disclosure,CorrectionandPreventionofViolations,Jan.22,1996andexpressed X  concernaboutthepossibilityofthispolicybecomingaregulation.Theparticipantnotedthattherearebenefitsresultingfromreliableguidanceforcivilpenaltymitigation,butthereisaconcernthatEMSelements,evenifnotinaspecificEMSstandard,willbecomeregulation.ThreeparticipantssuggestedthatregulatorsprovideexpertiseandassistancetoorganizationsseekingtoimplementanEMS.ItwassuggestedthatregulatorsshouldplacemorestressonthevalueofanEMStorecipientsofNOVsandpenalties.# X6&XXX6&A#  )$( МX6&XX X6&VI.CONCLUSIONS    MajorLessonsLearned  t ImplementingISO14001isFeasibleinaWideVarietyofOrganizations 8  TheexperienceoftheDemonstrationProjectsuggeststhatanEMSbasedonISO14001canbeimplementedinawidevarietyoforganizations,butvaryingamountsofguidanceandassistance   L   arerequiredfordifferentorganizations.Themainfactorsthatseemtodeterminean  <  organizationsabilitytoimplementanEMSare(1)itsexperiencewithEMS,ISO9000,orothermanagementsystemconcepts;(2)thelevelofcommitmentfromitstopmanagement;and(3)theresourcesavailabletotheorganizationtodevelopthenecessaryproceduresanddocumentation.WhereassomeorganizationsmightbeabletoimplementmostISO14001elementsinashorttimeframe(e.g.,oneyear)withlimitedoutsideguidance,othersmightrequiremuchmoretimeandasubstantiallevelofguidance.SMEs,inparticular,willlikelyrequiremoreguidanceandtakelongertocompleteEMSimplementationthanlargeorganizations.Allprojectparticipantsfoundthatasignificantlevelofeffortwasrequired,regardlessofhowfastimplementationoccurredorhowmuchoutsideguidancewasused.AlthoughnotableprogressonEMSimplementationwasmadeoverthecourseoftheDemonstrationProject,itisnotclearhowmanyparticipantswilleventuallybecomeregisteredtoISO14001orattempttoimplementfurtherelementsoftheStandardfollowingtheproject.SinceitwilllikelytakesomeparticipantstwoormoreyearstoimplementISO14001,followupontheseorganizationswouldbeneededtodeterminethetimeandeffortthatwasultimatelyrequired.Sincetheorganizationsintheprojectparticipatedvoluntarily,theymightbeinclinedtobemoresuccessfulwithEMSimplementationthananaveragesampleofU.S.organizations.However,thewidevarietyoforganizationsintheproject,andthesignificantdifferencesamongthemintheirabilitiestomakeprogressonEMSimplementation,provideconfidencethatthefindingsfromtheprojectreflectwhatwouldbetheexperienceofalargecrosssectionofU.S.organizationsthatmightattempttoimplementISO14001.EMSImplementationCanBringConcreteInternalBenefits & "% ProjectparticipantsreportedmanybenefitsfromEMSimplementationthatwerenotmarketortraderelated,includingenhancedenvironmentalawareness,improveddocumentation,andpollutionprevention.Thesebenefitswererealizedwithintheoneyeartimeframeoftheproject,andbeforeanyoftheorganizationshadattainedregistrationorcompleteimplementation.This l+&* suggeststhattherearemanyreasonsotherthanthemarketandtradebenefitsofregistrationtoimplementtheISO14001Standard.IndependentAssessmentsCanProvideanImportantCheckonSelfAssessments ` TheresultsoftheindependentEMSassessmentssuggestthatorganizationsmighthavethetendencytoevaluatetheirsystemshigherthanwouldindependentauditors.ThismaybeparticularlytrueforObjectivesandtargetsandtheEnvironmentalmanagementprogram.  ` Thefindingsfromtheindependentassessmentsmayalsohaveimportantimplicationsfortheconceptof selfdeclaration,inwhichanorganizationwoulddeclareitselftobeinconformancewiththeISO14001Standardratherthanreceiveanindependentauditfromaregistrar.Thedistinctionbetweenselfdeclarationandregistrationdoesbecomessmalleriftheselfdeclarationisbasedonanobjectiveauditfromaconsultant;however,consultantsarenotrequiredbyaccreditationbodiestomaintainobjectivityinauditsortohavespecifiedqualificationsforconductingEMSaudits. RemainingQuestionsandAreasforFutureStudy  4 WhataretheLongTermBenefitsandCostsofanISO14001EMS? H TheDemonstrationProjectfocusedprimarilyontheprocessofdevelopinganEMS,notonthebenefitsandcostsofmaintainingone.Inthefuture,studiescouldbeconductedwhichattempttomeasureandquantifythebenefitsandcostsofmaintaininganEMSovertimeinavarietyoforganizations.WillImplementingISO14001ImproveEnvironmentalPerformance? X  AquestionfrequentlyaskediswhetherimplementingandmaintaininganISO14001EMSwillimproveanorganizationsoverallcomplianceandenvironmentalperformance.TheanswertothisquestionmaybecomeincreasinglyimportantifregulatorsseektouseISO14001asatooltocomplementregulatoryprograms.Althoughitwasnotwithinthescopeofthisprojecttomeasureenvironmentalperformance,theprojectprovidedanopportunitytomakeseveralobservationsabouttherelationshipbetweenenvironmentalperformanceandorganizationsmotivationsforimplementingISO14001.Thebriefdiscussionbelowisintendedtoraisequestionsaboutthisrelationshipthatmightbeaddressedthroughfuturestudies.TheextenttowhichanISO14001EMSwillimproveanorganizationsenvironmentalperformancemaydependprimarilyonuppermanagementscommitmenttoimproving h+&* complianceandperformance.ItisdifficulttoarguethatafullyimplementedEMSwillnotimprovetheperformanceofanorganizationstrugglingtomaintaincompliance.However,iftheorganizationlacksuppermanagementcommitmenttoimprove,itisunlikelytodevelopanEMSinthefirstplaceunlessitismandatedtodosothroughcontractormarketrequirements.Similarly,iftheuppermanagementofanorganizationhavingasolidcompliancerecordisnotinterestedingoingbeyondcompliance,itisunlikelythattheorganizationwillimplementISO14001solelybecauseitwantstomotivateitselftomoveinthatdirection;inthiscase,theorganizationwouldbemorelikelytoimplementtheStandardinordertopositionitselfstronglyinthemarketplace.EvenifanorganizationsmotivationforimplementingandmaintaininganEMSismarketdrivenandnotperformancedriven,itscertainlypossiblethattheEMS,onceinplace,couldleadanorganizationtorecognizetheenvironmentalandeconomicbenefitsofpollutionpreventionandotherproactiveactivities.Ifthisweretooccur,theorganizationmightbegintosetandmeetenvironmentalobjectivesandtargetsthatgobeyondcompliance.Thus,anorganizationmightnotbeinitiallymotivatedtoimplementISO14001becauseofadesiretoimproveperformance,buttheEMScouldleadtoimprovedperformanceonceestablishedintheorganization.  p ThenatureoftherelationshipbetweenEMSimplementationandenvironmentalperformancecannotbeknownuntilasubstantialnumberoforganizationsofdifferenttypesandsizesimplementtheISO14001Standard.Inthefuture,studiescouldbeperformedexaminingtherelationshipbetweenmanagementsystems,managementattitudes,andparticularperformanceparameters.# X6&XXX6&`G# L   $ VII.CASESTUDIES   ParticipantsintheEMSDemonstrationProjectwereaskedtowritecasestudiesoftheirownexperienceswiththeprojectandEMSimplementation.ThecasestudiesareimportantbecausetheyconveyhowtheindividualorganizationsviewEMSandISO14000;theyalsoconstitutetheonlypartofthereportinwhichinformationassociatedwithspecificcompaniesispresented.Allparticipantssubmittedcasestudiesforinclusioninthisreport,withtheexceptionofPrimeTanningCompany.AllbuttwoofthecasestudieswerewrittenbytheorganizationsandeditedbyNSFInternational(X6&XX X6&thecasestudiesforHachCompanyandMilanScrewProducts,whichwereadaptedfromNSFs $  EMSimplementationguideforsmallandmediumsizedorganizations,werewrittenbyNSF).# X6&XXX6&mf#   Theprimarypurposeoftheeditingprocesswastocreateauniformformatforthecasestudies.Althoughthecasestudyformatsarenotidentical,mostcontainthefollowingsections:Background,DriversforImplementinganEMS,SelfAssessment,Implementation,Benefits,Challenges,andFinalThoughts.NotesontheCaseStudies 4 ̜0  SeveralcasestudiesrefertoNSF110,aninterimEMSstandarddevelopedbyNSF  \ InternationalpriortothedevelopmentofISO14001.AsdiscussedinSectionIV,bothNSF110andtheISO14001draftwereusedintheinitialselfassessments. (#(# ̜0  Theterms registrationand certificationareusedinterchangeablyinthecasestudies.   Essentially,thetermshavethesamemeaning.ThedifferenceisthatintheU.S.,thetermregistrationpertainstomanagementsystems(i.e.,ISO9000,QS9000,andISO14001),whilecertificationpertainstoproducts.Inothercountries,certificationpertainstobothmanagementsystemsandproducts. (#(# ̜0  Someofthecasestudiesreferto percentofEMSrequirementsinplace,or percentof D! EMSrequirementscomplete.PleaserefertoSectionIVforanexplanationofhowthistypeofinformationwasgeneratedthroughtheselfassessments. (#(#   $D # МX     X X6&M      3MCorporation #MX6&X M dm#    Background &  3M,basedinSt.Paul,Minnesota,isa$14billion,multinationalfirmwithover50,000products.Theseproductsaremanufacturedbyover40businessunitsoperatinginmorethan300locations.Globally,3Mhas69,000employeesandoperationsinmorethan60countries.3Mhaslongbeenrecognizedasanenvironmentalleaderthatmanufacturesinnovative,highqualityproducts.Approximately200of3Msfacilitiesworldwidehavebeenregistered(orareintheprocessofbeingregistered)totheISO9001orISO9002Standards. DriversforImplementinganEMS Morethan30yearsago,theneedtoaddresspotentialenvironmentalissuesatthecorporatelevelwasrecognizedwithin3M.Thecompanyscommitmenttotheenvironmentwasformalizedwhenthe3MBoardofDirectorsadoptedtheCorporateEnvironmentalPolicyinFebruary1975.Thispolicy,whichremainsunchangedtoday,wascraftedlongbeforemostcompanieshaddevelopedsuchpolicies.AhighlysuccessfulwasteminimizationprogramknownasPollutionPreventionPays(3P)waslaunchedin1975.Today,the3Pprogramcontinuestoencourageemployeestofindinnovativewaystominimizewastesandreducecosts.The3Pprogramhasprevented1.4billionpoundsofpollutantsfromenteringourenvironmentwhilesavingthecompany750milliondollarsthatwouldotherwisehavebeenspentonpollutioncontrolandwastedresources.3Pcontinuestobeaninternationallyacclaimedmodelwasteminimizationprogram.Thecorporateenvironmentalorganization(EnvironmentalTechnologiesandServices(ET&S))hasinitiatednumerousadditionalenvironmentalprogramsformanagingotherspecificenvironmentalaspects(e.g.,undergroundtanks,asbestos,airemissions,etc.)onaglobalbasis.Theseeffortshavesubstantiallyreducedwastesandemissionsandmove3Mtowardssustainabledevelopment.3MscorporateET&SstaffviewedtheEMSDemonstrationProjectasanopportunitytogainexperienceinformalizinganenvironmentalmanagementsystem(EMS)ata3Mfacilityandtoincrease3MsinstitutionalknowledgeofEMSreviews.The3MDentalProductsfacilityinIrvine,CaliforniavolunteeredtobethepilotsitefortheEMSDemonstrationProject.TheIrvinesitesinterestinpursuingISO14001isanaturaloutcomeoftheirbusinessandenvironmentalculture.IrvinehasthestrongmanagementsupportessentialforanEMStobesuccessful.Thesite,whichemploys240people,manufacturesandmarketsover700productsusedindentalofficesandorthodonticlaboratoriesworldwide.TheIrvinefacilitywasthefirst3MfacilitytoobtainISO9001registration.ThesitealsohasbeenworkingthroughtheMalcolmBaldridgeAwardprocessatthestateandnationallevels.Duetothenatureofitsproducts,the3MDentalDivisionalsohassignificantinvolvementwiththeUSFoodandDrugAdministration.TheIrvineoperationsprimarycustomersaredentists.Thedivisionhassignificantexport z.)- marketsbeyondNorthAmerica(includingtheEuropeanUnion,PacificRim,SouthAmerica,andAfrica).Productsmanufacturedincludedentalrestoratives(suchasaestheticfillingmaterialsforteeth),dentaladhesives,caps,andimpressioningmaterialsusedinmakingbridgesandcrowns. SelfAssessment L   TheinitialEMSreviewwasconductedinMay1995.TheNSFselfassessmenttoolwasusedtoconductanevaluationofthesitesexistingEMSversustherequirementsofISO14001.PotentialISO14001linkageswithexistingISO9000requirementswereidentified,andthedevelopmentofanimplementationguideforusebyother3Mlocationswasinitiated.Thereviewteamconsistedofthree3MET&Sstaffmembers(theQualityManager,AuditingSupervisor,andaSeniorEnvironmentalAuditor),a3MCorporateISO9000QualityManager,andanindependentenvironmentalconsultantfamiliarwiththeNSFandISOenvironmentalmanagementstandards.Threepreliminarysitecontacts(theEnvironmentalEngineer,Safety,HealthandEnvironmentalManager,andISO9000QualityManager)wereheavilyinvolvedintheinitialassessment. Implementation  p  IndependentofthedevelopmentofISO14001andtheEMSDemonstrationProject,3MhadbeenmovingtowardsmoreformaldocumentationofitsEMS.In1994,aformalEMSwasinitiatedfor3Msinternationallocationsanddiscussionswereinitiatedforimplementingthisprocessonaglobalbasis.The3Mvisionandmissionstatementareasfollows:Vision: 3Mpracticessustainabledevelopmentbycontinuouslyimprovingthe  environmentalperformanceofourproductsandprocesses.Mission: TheEMSwillensurecompliancetoglobalregulationsand3Mpoliciesandwill D! facilitatecontinuousimprovementofenvironmentalperformance.    Oncetheinitialselfassessmentwascompleted(includingawrittenreportassessingobservedgaps),internaldivisionresourceswereusedtoreviewtheidentifiedgaps,defineanimplementationplan,andcloseeachgap.AGantchartwasusedtoensurethattheimplementationplandescribedalogicalsequenceofevents(forexample,youcannotconductanEMSaudituntilyouhaveidentifiedanddefinedalloftheEMSelementsandhavetrainedauditors).AlthoughfollowupeffortswereprimarilytheresponsibilityoftheIrvinesite,thefacilityalsoutilizeddivisionlevelresources.Forexample,adivisionrepresentativetrainedinISO9000auditinghadsignificantinvolvementinthedevelopmentoftheEMSdocuments.Ateamconsistingoftwositeemployeesandonedivisionemployeespentsixandonehalfmonths ,.|)- preparingEMSdocumentation.SincetherearemajorsimilaritiesbetweenISO9000andISO14001,eightofthe22documentedEMSprocedurescamedirectlyfromIrvinesISO9001QualityManual.Theseprocedureswereintheareasof:  training,awareness,andcompetence t C  $#*CE.` hp x (#!E  managementsystemdocumentation L  0   (#(#   documentcontrol $ t 0   (#(# 0  monitoringandmeasurement(calibrationofequipmentforbothprocessandtest) L (#(# 0   (#(# 0  nonconformance(correctiveandpreventiveaction/rootcauseanalysisandclosure)$ (#(# 0   (#(# 0  records(identificationandretention) (#(# 0   (#(# 0  managementsystemauditing(internalandexternal) (#(# 0   (#(# 0  managementreview\(#(# C  $$CB.` hp x (#XBInadditiontowritingasitespecificEnvironmentalManagementSystemsPolicyManual,atotalof22StandardOperatingProcedures(SOPs)werewrittentoaddressallareasofISO14001.TheISO14001certificationauditoccurredinJune1996,andthefacilityreceiveditscertificationtotheISO14001DISinJuly1996.TheregistrarusedfortheISO14001auditwasalsousedbytheIrvinesiteforitsISO9001registration. Challenges   ThebiggestobstacleencounteredwasininterpretingtheISO14001Standard.WhiletheStandarddescribeswhatshouldbeincludedinanEMS,itleavesthelevelofdetailandlevelofdocumentationopentointerpretation.Throughsubstantialliteraturereviewandnumerousdiscussionswithpeers,consultantsandpotentialregistrars(aswellasinternaldiscussions),anagreementwasreachedon3Minterpretationsthatdefineour PracticeinPlaceforeachelementoftheISO14001Standard.AlthoughthesitehasnotseenareductioninoverallenvironmentalcostsasaresultoftheEMS,neitherhasitseenanincreaseinenvironmentalcosts.CurrentestimatesarethatdevelopmentandimplementationoftheEMSfortheIrvinesiterequiredapproximately1,200personhours,coveringbothfacilityanddivisionpersonnel.MuchoftheeffortwasspentininterpretingandunderstandingtheStandardanddesigningtheEnvironmentalPolicyManual.ThisestimateincludesthetimerequiredforSOPdocumentationandadditionalEMStrainingforfacilitypersonnel.OverallcoststodevelopanEMSimplementationstrategyandcorporateguidancehavenotbeendefined. ,.|)-  Benefits   ImplementingthisEMSmodelbringsamoresystematicapproachtomanagingoverallenvironmentalcompliance.TheEMSalsoleadstomoredirectownershipofenvironmentalcomplianceissuesbyfacilityoperationsandpotentiallyreducesrelianceoncorporatestaff.Throughtheprocessofcontinuousimprovement,morefocusedresourceutilization,andissuesmanagementconcepts(whichareinherentintheISO14001process),furtherenvironmentalimprovementswilloccur.Ultimately,thisprocessisanecessaryelementof3Mssustainabledevelopmenteffortstodevelopproductsthatmeetcustomerneedsandrespecttheabilityoffuturegenerationstomeettheirownneeds. I& :   MX6&XXMX6&Xv'XXMX6&NX"(X'XXv         N + (XNX"#   + N m#M     U':ݓ      Allergan,Inc. % *U  I͓are||| |    MX6&X M MX6&XXMX6&|'entare|    # X6&XXMX6&ɔ#NX"(XX X6& *# X6&X(XNX"Z#MX6&XX X6& Background T  Allergan,Inc.isapharmaceuticalmanufacturerofeyecareandskincareproducts.ThecompanysheadquartersislocatedinIrvine,Californiaandmaintainsoperationsworldwide.TheAllerganfacilityinWaco,TexaswasselectedtoparticipateintheEMSDemonstrationProject. DriversforImplementinganEMS x    AllerganispursuingthedevelopmentofaformalEMSandindependentcertificationundervariousworldwidestandardsforavarietyofreasons.Thesearelistedbelow.0  AformalEMSwillhelpthecompanytoensureregulatorycompliance.d (#(# 0  AhighenvironmentalstandardisalreadyinplaceatAllergan.P(#(# 0  AllerganscompetitorsarepreparingtoimplementEMSstandardsandintendtobecome < certifiedtothem. (#(# 0  DevelopmentofaformalEMSmightberequiredbycertaingovernmentalbodiesif  voluntaryEMSeffortsbyindustryarenoteffective. (#(# 0  Obtainingpermitsandapprovalsfromregulatoryagenciesandcommunitiesmightbe  streamlinedifafacilityhasISO14001orEcoManagementandAuditScheme(EMAS)certification. (#(# 0  RegulatoryauditsandinspectionsmightbereducedifaformalEMSexists.`(#(# 0  Newdrugapprovals(bytheUSFoodandDrugAdministrationorMinistriesofHealthin L othercountries)andotherrequiredapprovalsmightbestreamlined. (#(# 0  EH&Soperationsatthefacilitylevelshouldimproveovertimewhereaformalplanand $t actionsareinplaceforattainingandmaintainingcertification. (#(# 0  AdoptionofaformalEMSmightprovidemarketingopportunities(byeasingtheentrance L intonewmarkets). (#(#  SelfAssessment "   Attheoutsetoftheproject,theWacofacilityalreadyhadawelldevelopedandformalenvironmentalprograminplace.Allerganwantedtotestthisprogram  againsttherequirements p% # ofNSF110andtodeterminewhereimprovementscouldbemade.ThefacilityhadalsoattainedISO9002certificationandthushadaformalqualityprocessinoperation.NSFsuppliedanEMSselfassessmenttoolalongwithtrainingandguidanceonhowtoconducttheselfassessmentandinterpretitsresults.ThesitesFacilityManagementTeamandtheCorporateEH&STeamboth  supportedthepilotassessment.Basedonthisassessment,some *H&) minordeficienciesintheEMSwerediscoveredandcorrectiveactionsweresubsequentlyimplemented. - ), SincetheWacofacilityisroutinelyinspectedbyFDAandotherregulatoryagencies,thesitewasreadytobeevaluatedbyanexternalthirdpartyEMSassessor.AllergancontractedwithanassessortoconductaonedayindependentassessmentoftheWacofacilitysEMS.Thisfollowupassessmentwasconductedthreemonthsaftertheinitial(internal)selfassessment.Theindependentassessorreviewedthefacilitysenvironmentalmanual,whichcoveredtheninemajortopicsinNSF110. Implementation  `  3 p x (#X3AllerganhasfoundthatoneofthekeychallengesinimplementingaformalEMSistheneedtoclearlydemonstratethesystemspositivebenefits.Theabilitytodemonstratecostsavingsfrompollutionprevention/wasteminimizationactivitieshelpedtoimprovethecredibilityofAllergansenvironmentalprogram.Inaddition,puttingenvironmentalperformancecriteriaintoalljobdescriptions,performancereviews,andspecificmanagementobjectiveshelpedtomaintainfocusontheenvironmentalareaandsupportedoureffortstointegrateenvironmentalmanagementwithotherbusinessrequirements.Duringthecourseofourimplementationprocess,wealsofoundthatlearningto speakthelanguageofotherbusinessfunctions(suchasMarketing,Sales,R&D,andProduction)wascriticaltoobtainingandmaintainingthesupportofkeybusinessmanagers.<" Fp x (#X<0 F   F(#F(# K.` hp x (#FXK Benefits 4  ByprovidingastructuredmethodologyforevaluatingEH&Seffects,policies,businessandlegalrequirements,stakeholderinterests,andobjectivesandtargetsatthefacilitylevel,thedemonstrationprojectprovedtobeverybeneficial.AllerganalsobenefitedfromthedevelopmentofwrittenEMSimplementationactionplans.3 p x (#X3TheEMShasalsohelpedtoensureregulatorycompliancebyprovidingamethodologyformanagingcompliancerequirementsandcorrectingdeficiencies.Whilethecompanyalreadyhadacomplianceprocessinplace,theEMSmadethisprocessmoreformalbytyingaccountabilityandperformancetoindividualemployees.Inaddition,educationandawarenessrelatedtotheEMShaveimprovedconsiderablyasaresultoftheproject.Finally,theEMSprocessfacilitatedtheinstitutionofaformalproductdesignprocessthatincorporatedlifecycleconcepts.H.` hp x (#XH Challenges |*%)  AllerganhasidentifiedseveralissueswhichmightaffectEMSimplementationandcertification.Twoofthesearediscussedbelow. ,.|)- 0  ItisnotclearwhetheranEMScertificationforafacilitythatispartofalarger  organizationmust standaloneonallEMSelementsorwhethersomeelementscanbeaddressedbyacorporatefunctionoranotherfacilitywithintheorganization.OneexampleatAllerganwouldbeproductdesign.AllergansWacofacilityisamanufacturingsiteandhasverylittlecontroloverproductdesign,includingproductpackaging.Itmaytakeseveralyearsofresearchanddevelopmentonaproductbeforethemanufacturingfacilityismadeawarethatanewproductwillbemanufacturedatthatsite.Ifcertainactivitiesorfunctionsareoutsidethecontrolofafacilityseekingregistration,howwillaregistrardetermineifEMSelementsrelatedtothoseactivitiesorfunctionshavebeenadequatelyaddressed? (#(# 0  0` (#(#   ` (#` (# 0  Thethresholdcriteriaforcertificationarenotclearatthistime.Couldafacilityachieve $  certificationifallelementsoftheEMSstandardhavenotbeenfullyaddressed?Guidanceisneededtoallowcompaniestomakeinternaljudgmentsastowhetherornotafacilityisreadyforcertification. (#(# B.` hp x (#XB FinalThoughts  \ Inretrospect,aonedayreviewoftheEMSbyanoutsideassessorwasnotadequatetocoverallEMSelementsandtoshowevidenceofachievement.  Twodaysshouldbeadequateforthis  p purpose.Inaddition,itwouldbepreferabletohavetwoassessorsevaluateafacilitysEMS,therebyensuringamoreobjectivereviewofthesystemandallowingfor realitychecksbetweentheassessors.AsofDecember1996,AllerganhadreceivedEMSregistrationatitsfacilityinWestport,Ireland(thefacilitywasregisteredtoISO14001andIS310(theIrishnationalEMSstandard)).AllerganhadalsoreceivedarecommendationforregistrationtoISO14001atitsWaco,Texasfacility.    I& Z   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv          #NX"(X(XNX"#N + (XNX"#   + N 䯖#M    CommodoreAppliedTechnologies  *  Iermi||| |    MX6&X M MX6&XXMX6&'Z'    # X6&XXMX6&e#NX"(XX X6& *# X6&X(XNX"#MX6&XX X6& Background T  <(  hp x (#X<CommodoreAppliedTechnologies,Inc.isasmallpubliclyownedcompanyspecializinginthediscoveryanddevelopmentofnewtechnologiesfortheremediationofhazardousmaterials.Althoughsmallinsize(currentlythecompanyemploys25staffmembers),CommodorecanlistamongitsachievementstheonlyoperatingpermitforanonthermalPCBdestructionprocessgrantedbytheUSEnvironmentalProtectionAgency.Inaddition,CommodoresAgent313)technologyforenvironmentalrestorationandremediationwasselectedbytheUSDepartmentofCommerceasoneofteninnovativetechnologiesfortheRapidCommercializationInitiativeProgram.H.` hp x (# XH DriversforImplementinganEMS d   TherearetwoprimarymotivationsforCommodoretoimplementanEMS"regulatorycomplianceandananticipatedcompetitivebusinessadvantage.CommodoreisrequiredunderthetermsofitsEPApermitstohaveanEMS.ThecompanybelievesthatanEMSdesignedtoconformwithISO14001wouldsatisfythosepermitrequirementsinamannerthatalsoaddressesthecompanysotherbusinessneeds.CommodorefurtherenvisionsthatanEMSwillhelpthecompanybecomemoreeffectiveatcompliance,andexpectsthatcompaniescertifiedtoISO14001willbelookeduponfavorablybybothregulatorsandcustomers.BecauseCommodoreisanenvironmentalbusiness,itwasdesirabletoleadbyexampleintheareaofEMSdevelopment. Implementation $t  Smallbusinessesfacemanychallengeswhentryingtocomplywithstateandfederalregulationsandwhencompetingwithlarger,moreestablishedbusinesses.WebelievedthatimplementationofISO14001,whileprovidingthebenefitsnotedabove,wouldbeaconsiderablechallengeforourcompany.Initially,ourworstfearswererealized.LimitedstaffandotherresourcesmadeitdifficulttocomposeandreviewthenewpoliciesandproceduresrequiredtosatisfytheISO14001Standard.Thosesameorganizationallimitationsleftuswithasystemthatwasoftennomorethanonelayerdeep.Also,duetothesizeoftheorganization,theemployeesimplementingtheprocedureswerealsoresponsibleformanagementreview.Additionally,urgentbusinessneedsfrequentlydelayedworkonEMSdocumentation.Itbegantoappearthatataskofthismagnitudemightbebeyondthecapabilitiesofasmallbusinesssuchasours.WhilethecompanycontinuedtohaveastrongcommitmenttoanEMSandtothecreationalloftheproceduresandprogramsnecessarytoeffectivelyoperateanenvironmentalbusiness,theproblemwasinbackingupthatcommitmentwithaction.Surprisingly,CommodorefoundthattheISO14001Standardactuallywasthesolutiontoour - ), EMSdevelopmentchallenge"thatis,byusingtheISO14001frameworkasatemplatefortheEMS,wefoundthatsomeofthesystemdesignworkhadalreadybeendoneforus.Asasmallbusinesswithoutaformalmanagementsystem,itwasfoundthatCommodoreactuallymighthaveseveraladvantagesoveralargebusinesswithanestablishedEMS,suchas:H4r` hp x (#XH0  0r(#(#   r(#r(# 0  buildingpoliciesandprocedureswassimplifiedinasmallorganization;8 (#(# 0  anEMSculturecouldbebuiltfromthebeginning(ratherthanaddingEMSontoanexisting $ t managementsystem);and, (#(# 0  policiesandprocedurescouldbewrittentofollowtheISO14001formatthefirsttime,rather  L  thanrewrittenatalaterdate. (#(# K.` hp x (#` XKInotherwords,itwasnotnecessarytochangeacultureatCommodore,rather,wehadtocreateone.Furthermore,sinceCommodorehasanoperationalcommitmenttobothISO14001andISO   9000,itwaspossibletobuildallofthesystemdocumentationtofollowISOformatandideals.3 p x (#X3UsingtheconceptsinISO14001,Commodorebegantowriteitsenvironmentalpolicyandprocedures.SincetheenvironmentalpolicyandalloftheEMSprocedureswerenew,CommodorewasabletobaseeverythingontherequirementsoftheISOStandard.Bycreatingpolicies,proceduresandotherEMSdocuments fromscratch,itisexpectedthatnonconformitiesrelatedtothesystemsdocumentationanditscontentscanbeavoided.H.` hp x (#XH FinalThoughts 4  CommodoregainedalotofknowledgeandexperiencefromtheEMSDemonstrationProject.TheopportunitytobenchmarkwithothercompaniesandtosharesolutionsforovercomingcommonchallengeshasbeenagreatadvantageintheEMSplanningstages. I& >   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv       # X6&X(XNX"#MX6&XX X6& Aswithanythingnew,therearequestionsthatremainunanswered.Themostsignificantrelates J tothevalueofISO14000certification.Noonecansayforcertainwhatthevalueofcertificationwillbe.Itishopedthatcertificationwillcauseregulatorstolookfavorablyuponcompaniesduringinspectionsorincidents.Itisalsohopedthatcertificationwillproveadvantageousinthemarketplace.Butnoonereallyknows.Nonetheless,Commodorebelievesthatthevalueisinthedoing,andthathavinganEMSistherightthingtodo.'>Jm #MX6&XXMX6&##M  XMX6&  R'"&  #    M M# t     FlukeCorporation#X6&X  t#u XX6&  #X6&X u#^Background  G FlukeCorporationisaglobalmanufacturerofelectronictestandmeasurementinstruments,includingmultimeters,oscilloscopesandotherdevices.Withannualsalesexceeding$400million,Flukesellsitsproductsinover80countries.Thedistributionofsalesis40%intheU.S.,40%inEurope,and20%elsewhere,includingAsia.FlukesworldwideheadquartersisinEverett,Washington,andtheEuropeanheadquartersisinEindhoven,TheNetherlands.FlukeproductdevelopmentdivisionsandmanufacturingfacilitiesareinEverett,Washington,andAlmelo,TheNetherlands.Flukeisaverticallyintegratedcompany,whichmeansthatitmanufacturesmanyofitsowninstrumentcomponents,includingprintedcircuitboards,semiconductorsandothermicroelectroniccomponents,andplasticparts.Theseprocessesarethesourceoflargequantitiesofhazardouswastes,wastewater(whichmustbetreatedpriortodischarge),andairemissionswhichmustbecontrolled. DriversforImplementinganEMS  W FlukehasbeenintheprocessofimplementinganEMSsinceabout1988.Theimplementationbeganwithanexpansionoftheenvironmentalprogramtoincludeactivitieswhichgo beyondcompliance.Theseactivitiesincludepollutionprevention,andintegrationofenvironmentalresponsibilitiesintooverallbusinesspractices.Integrationhasbeenachievedbyadecentralizedcorporateenvironmentalstaff.Atthesametime,environmentalissuesbegantobecomerecognizedas qualityissues,resultinginintegrationofthequalityandenvironmentalprograms.Thisrealignmenthasresultedinsignificantcostsavingsthroughmoreefficientuseofmaterials,wasteminimization,andotheractivitieswhichdirectlyimpactprofitability.WithalmosttwothirdsofitsbusinessoutsidetheU.S.,Flukeisveryawareoftheimpactofinternationalstandardsanddirectivesonitsprocesses,products,andsales.FlukewasthefirstcompanybasedinWashingtonStatetoachieveISO9001certification,in1993.Asaresultofthisawarenessoftheinternationalmarketplace,FlukehasbeengraduallydevelopinganEMSwhichwillconformtointernationalstandards:firsttheBritishStandardBS7750;andnowISO14001.TheprimarydriverforimplementationofanEMSisthemarketitself,bothintermsofproductenduser(customer)expectations,andpotentialtradebarriers. SelfAssessment  )+%) AninitialselfassessmentwasconductedinJune1995.ThisassessmentindicatedthatFlukesEMSconformedtoapproximately55%ofthedraftISO14001Standard.ThemajorareasthatwerenotinconformancewiththeStandardwereEMSdocumentation,formalobjectivesetting,andselfauditing. U.). Ї Implementation   AlonghistoryofprogressiveenvironmentalmanagementatFluke,whichcontinuestoreapbottomlinebenefits,indicatesthattheexistingEMSishighlyeffective.Inearly1996,FlukemanagementmadeadeliberatedecisiontodelaythefullimplementationofISO14001,andthirdpartycertification,indefinitely.Thisdecisionwasbasedonthefactthatthereisnoclearindicationthatcustomersorothersinthemarketplacearerequiringcertification.FlukeiscurrentlymonitoringcustomerexpectationsandinternationaltrendsinanticipationthatchangingtrendscouldleadtoadecisiontocertifytotheISO14001Standard.However,Flukesenvironmentalstrategyincludeseffortstopreventorovercomeenvironmentalbarrierstointernationaltrade.ThisstrategyisresultingincontinuingeffortstoachieveconformitytoISO14001.TheISO14001manualisindraftform.Alldocumentationforenvironmentaloperations,hazardouswasteandwastewatertreatmentsystemdocuments,andtrainingrecords,areincludedintheISO9001program.Inaddition,linkagesbetweenISO14001andexistingISO9001documentationarebeingidentified.FlukestwointernalISO9001auditorshaveattendedaonedayISO14001trainingsession,andthecurrentplanistomergetheISO9001and14001programsasmuchaspossible.IfandwhenthedecisionismadetopursueISO14001certification,theauditorswillreceivetraininginEMSauditing.Othereducationalactivitiesarealsoongoing,suchasparticipationinlocalareaISO14001workgroups,andsubscriptiontovariousinformationsources.Inaddition,FlukeisactivelyinvolvedinalocalEMSleadershipproject,inwhichrepresentativesfrombusiness,environmentalagencies,andpublicinterestgroupsarelookingintothepotentialbenefitsofISO14001asanalternativetotraditional commandandcontrolsystems.Finally,Flukehasobtainedaproposalforregistrationservices,andfiveyearmaintenanceofregistration.ThesecostsareincludedintheEMSbudgetforthenexttwoyears,inanticipationoftheneedtobecomeregisteredonrelativelyshortnotice.InOctober1996,FlukeconductedathirdpartybaselineauditofitsEMSagainsttheISO14001Standard.Thisaudit,whichinvolvedextensivedocumentationinspectionandpersonnelinterviews,providedfurtherclarificationofdocumentationandotherrequirementswhichmustbeaddressedinordertodemonstratecompliancewithISO14001.Flukesexpectationisthatcertificationwillbecomeabusinessnecessityintherelativelynearfuture.Basedonemergingtrends,itisexpectedthatboththeU.S.andNetherlandsmanufacturingoperationswillprobablyreceivethirdpartycertificationtoISO14001bytheendof1998. Challenges  (#( FlukesISO9001registrationexperienceindicatedthatthecompanyhad overdocumenteditsqualitymanagementsysteminanticipationofwhatwasexpectedbyISO9001auditors.SincetheoriginalISO9001certificationin1993,Flukehasbeensystematicallysimplifyingitsqualityprogramdocumentation,whilemaintainingconformitywiththeStandard.Inordertoprecludesuch overdocumentationforISO14001,Flukewillconductacomprehensivethirdpartypre .X). registrationauditpriortoactualapplicationforregistration.AnotherchallengeistotakefulladvantageofexistingISO9001processes.SincethereappearstobeaconsiderableoverlapbetweenISO9001andISO14001,Flukeseesadefiniteadvantageincombiningtheseprograms,includingtheinternalaudits.ThiswillbeamajornewactivityfortheISO9001auditors,whowillneedconsiderableEMStraining. Benefits     Evenwithoutthebenefitofaformallydocumentedprogram,Flukehascontinuedtosetgoalsandmakeprogressonvariouspollutionpreventionandresourceconservationprojects.ThesesuccesseshavebeenpossiblebecauseFlukehasintegrateditsenvironmentalpolicyintothecorporatecultureandintomanyofitsbasicbusinesspractices,andbecausethelinkbetweenenvironmentalissuesandqualityiswellestablished.Thebenefitsofsoundenvironmentalmanagementarerecognizedandsupportedbytopmanagement.Inadditiontomanagementsupport,employeeteamcontributionsarerecognizedthroughqualityprogramrewardsandotherrecognitionprograms.EnvironmentalmanagersatFlukealsorecognizethathavinganISO14001EMScanpotentiallycutcosts,reducewastes,andinvolveemployeesineveryaspectofenvironmentalmanagement.# X6&XXX6&?#X6&XX X6&  b  # X6&XXX6&~#     X X6&R    GlobeMetallurgicalInc.#    R ## X6&X  # *X6&XX X6&  I]rcom||| |    X6&XXX6&MX6&XXX6&|'overco|  # X6&XXMX6&#NX"(XX X6& * # X6&X(XNX"#X6&XX X6&Background T  GlobeMetallurgicalInc.(Globe)isaprivatelyownedproducerofsiliconmetalandspecialtyferrosiliconproducts.Globesproductsareproducedintensubmergedarcfurnacesatfourmanufacturingfacilities(locatedinBeverly,Ohio;Selma,Alabama;Springfield,Oregon,andNiagaraFalls,NewYork).GlobeistheoldestferroalloycompanyintheUnitedStatesandthelargestUSproducerofsiliconmetalandspecialtyferroalloys.Siliconmetalismarketedtotheprimaryaluminumindustryandthechemicalindustry,andthespecialtyferroalloysareusedinthefoundryindustry.Globehasbeenrecognizedbyitscustomersasaqualityleader,winningthefirst MalcolmBaldridgeQualityAwardforsmallbusinessin1988,the ShigeoShingoPrizeforManufacturingExcellencein1989,GeneralMotors TargetsforExcellenceaward,andFords TotalQualityExcellenceaward. DriversforImplementinganEMS <  GlobedecidedtoparticipateintheEMSDemonstrationProjectafterreceivingasurveyfromakeycustomerrequestinginformationonourenvironmentalmanagementprogram.ThissamecustomeralsorequestedthatGlobeparticipateinits1995SupplyChainEnvironmentalForum.GlobealsohasacustomerthathasincludedenvironmentalcommitmentinitscurrentSupplierExcellenceAgreement.Inaddition,Globesellsabout25%ofitsspecialtyferroalloysoverseasand,asisthecasewithISO9000,thereareindicationsthatISO14001registrationcouldbecomeaprerequisitefordoingbusinessoverseas(especiallyinEurope).GlobebelievedthattheEMSDemonstrationProjectwouldhelpthecompanyestablishanEMSthatsatisfiesitsownrequirementforcontinuousimprovementandwillmeetanyfuturerequirementsofitscustomersorregulatoryagencies.AnimportantconsiderationinGlobesdecisiontodevelopanEMSisthegrowthofthecompany,coupledwiththeincreasinglycomplexenvironmentalregulationsfacedinfourdifferentstates.WithoutawelldesignedEMS,Globefeltthatahighprobabilityexistedthattherewouldbeaninadvertentregulatoryviolationorfailuretomeetsomeotherobligationestablishedbylaw. SelfAssessment \&!$  AtthebeginningoftheEMSDemonstrationProject,GlobedidnothaveacomprehensiveEMSinplace.Thecompanysprimaryfocuswasonensuringcompliancewithenvironmentalregulationsatthefederal,stateandlocallevels.ItsEMSconsistedofanenvironmentalpolicyandvariousprogramsestablishedateachofthemanufacturingplants.Thatis,eachofthefourplantshadimplementeditsownenvironmentalpoliciesandproceduresbasedonstateandlocalregulatoryrequirements,ratherthanonanyspecificcorporatedirectives. - ), Thefirstselfassessment(performedbysiteandcorporateenvironmentalmanagers)wasbasedontheenvironmentalpoliciesandproceduresinplaceatthefourplants.Thisselfassessmentwasdesignedto:H4r` hp x (#XH0  0r(#(#   r(#r(#   0 r  identifywhatwascurrentlyinplaceateachsite;and`r(#r(# 0  0r(#(#   r(#r(#      assesswhatmightbetransferablefromonelocationtotheothers. 8  K.` hp x (#` XKThescopeoftheassessmentincluded  examinationofrecords,interviewswithindividualsateach  ` plant,andacomparisonoftheresultingdataagainsttherequirementsofNSF110.TheassessmentindicatedthatthecompanyhadpartiallyimplementedsomeoftheelementsofNSF110,butthatveryfewelementshadbeenimplementedcompletely.Thesecondselfassessment(performedapproximatelyoneyearlater)  wasconductedbythe   individualsresponsiblefordaytodayenvironmentaldutiesateachofthefourplantswiththeassistanceofGlobesenvironmentalconsultant.ThesecondselfassessmentwasbasedontheISO14001Standard,ratherthanNSF110.Thebasisforscoringinthesecondselfassessmentwasasfollows:0  Ifallfourplantshadcompletedanelement,thatelementwasscoredascompleteforthe 4 corporation. (#(# 0  0` (#(#   ` (#` (# 0  Ifonlysomeoftheplantshadsuccessfullycompletedarequirement,itwasscoredas H partiallycompleteforthecorporation. (#(# B.` hp x (#XBTheresultsofthesecondselfassessmentshowedthatnoneoftheISO14001elementswereconsideredsuccessfullyimplemented,becausenotallofthesubelementswereratedas evaluatedandsustained.Atthetimeofthiswriting(October1996),webelievethatthecompanyisnearingcompletiononcertainISO14001elements,buttheprocessissodynamicthatitisoftendifficulttodeclarethatsomethingisreallycompleted. Implementation 0"   Tocontinuetomakeprogress,GlobeisembarkingonafouryearprogramtodevelopanEMSthatwillbefullyintegratedwithitsexistingqualityandsafetymanagementsystem.NewproceduresandprogramswillbedevelopedtofullyimplementGlobesenvironmentalpolicybyconsultingwithindividualsontheshopfloorwhoactuallyperformthework.TheintegratedsystemwillreflectalloftheelementsofISO14001incasetheneedforregistrationdevelops;however,GlobehasnoplanstoseekISO14001registrationatthepresenttime.ItisbelievedthatlessonslearnedduringtheISO9002certificationprocesswillfacilitatetheestablishmentofaneffectiveEMS.Someofthekeylessonsarethatemployeetrainingandclearinternalcommunicationsarecriticalelementsinthedevelopmentofasuccessfulsystem.Globeanticipatesthatitsgreatesteffortandactualexpensewillbeintheareaofpersonneltraining.AllofGlobesplantshavereceivedISO9002certification.Whereappropriate,theISO14001 ,.|)- requirementswillbeincorporatedintotheexistingmanagementsystemdocumentation.Someelements(suchastraining,documentationandmanagementreview)presentobviousopportunitiesforISO9002/14001integration.Quality,environmental,andsafetyissueswillcontinuetobeintegratedintoworkinstructionsandtrainingsothatemployeeswillnotneedtolearnandmaintainmultiplesetsofprocedures.ItisalsopossiblethatGlobemaycombineitsenvironmentalauditswithqualityandsafetyaudits.Quality,safety,andenvironmentissueshavebeenandwillcontinuetobediscussedatGlobesmonthlyQuality,EfficiencyandCost(QEC)committeemeetings.TheQECcommitteeiscomposedofmanagersfromallfourplantsandfromcorporateheadquarters.Thesemeetingsprovideavenuefordiscussingissuesandevents,aswellasfordevelopingstrategiesandplans. Challenges ForGlobe,thegreatestchallengeinthedevelopmentandimplementationofanEMShasbeenthecompetitionforresourcesandthe humanengineeringthatmustbedonetocreateasenseofenvironmentalconcernwithinanorganizationdedicatedtoproductionandqualityatthelowestpossiblecosttoitscustomers.Glovebelievesthattheintegrationofmanagementsystems(asdiscussedabove)willhelptocreateandsustainacultureinwhichenvironmentalmanagementisanintegralpartofthejob.    p 3 p x (#X3H.` hp x (#XH Benefits 4  OncetheEMSisinplaceandeffectivelyimplemented,Globeshouldbeabletodemonstratecontinuousimprovementintheenvironmentalarea.Aswithitsqualitymanagementsystem,thecompanyexpectssomeeconomicbenefitsaswell.Forexample,itsisexpectedthatcontinuousenvironmentalimprovementwillreduceairemissions.The1990AmendmentstotheCleanAirActrequiremonitoringofemissionlimitsandpaymentoffeesbasedontonsofpollutantsemitted.Byreducingairemissions,thecompanyshouldsavemoneybyreducingwastegenerationandbylimitingairpollutionfees.Inaddition,withtheinterestshowninenvironmentalmattersbysomeofitscustomers,GlobesexpectsthatacomprehensiveEMScouldbeavaluablebusinesstool,particularlybyretainingcustomersandmarketshare.  %0!$   3 p x (#X3 t XX6& HachCompany    #X6&X  t#Background $t  TheHachCompany(Hach)isaninternationalmanufactureranddistributorofinstrumentsandreagentsforcolorimetrictesting,withannualsalesofover$100million.Hachmanufacturesspectrophotometers,colorimeters,turbidimeters,andportabletestingequipmentforthewaterandwastewatermarkets.ThecompanymanufacturesinstrumentsatitsheadquartersinLoveland,Colorado,andhasachemicalmanufacturinganddistributionplantinAmes,Iowa.HachisregisteredtoISO9001andisamemberoftheChemicalManufacturersAssociations(CMA)ResponsibleCareprogram.    DriversforImplementinganEMS H   Throughthedemonstrationproject,HachdecidedtopilotEMSimplementationatitsAmesfacility.TheAmesfacilityhasapproximately300employeesandfacesenvironmentalmanagementchallengesduetoitsmanychemicalproductionprocesses.TheAmesfacilityistheonlyHachfacilitythatiscurrentlyparticipatinginCMAsResponsibleCareprogram.Hach 4 decidedtoimplementanEMSatitsAmesfacilityforseveralreasons.ThecompanyfeltthatasoundEMSwould:1)provideassurancetotheofficers,boardofdirectors,andcompanystockholdersthatthecompanywillcontinuetomeetregulatorycompliancerequirementsandispreparedtohandleotherenvironmentalissues;2)provideaframeworktomaintainsupportandresourcesfromseniormanagementtomeetenvironmentalobjectivesandtargets;3)helpcreatemarketopportunitiesfortheorganization;4)beamechanismtogaugeenvironmentalperformance;and5)helpthecompanytoidentifyitsresponsibilitiesbeyondcomplianceinordertomeettheneedsofstockholders,employees,neighbors,customers,vendors,andsuppliers.HachalsobelievesthattheEMSprovidesamechanismtokeepitsstaffleanandresponsivetotheconstantlychangingneedsoftheorganization. SelfAssessment  !0 InordertoexaminetheAmesfacilitysenvironmentalstrengthsandweaknesses,thefacilitysQualityDirectorperformedaninitialselfassessmentoftheEMS.TheQualityDirectorreviewedtheNSF110EMSStandardandinterviewedtheEnvironmentalSafetyandHealth(ESH)staffatlength.TheQualityDirectordeterminedthatthefacilitysEMSconformedwithapproximately30%oftherequirementsofNSF110,whichwasconsistentwiththeexpectationsoftheESHstaffatthatearlystageofEMSimplementation.TheassessmentprocessprovidedtheESHstaffwithabenchmarkfromwhichtheycouldmeasureprogressastheycontinuedtoimprovethefacilitysEMS.AftertheinitialselfassessmentperformedbytheQualityDirector,theESHstaffperformedaninformalinterimaudit.TheQualityDirectorthenperformedasecondformalauditoftheEMS(usingISO14001)afteroneyearofimplementation.TheESHstaffwaspleasedwiththeaudit -,), processbecausethequalitymanagementsystem(QMS)staffhadextensiveexperienceinauditingmanagementsystems.TheQualityDepartmentactedasanindependentpartyandperformedaverythoroughaudit.TheQualityDepartmenthasstressedthattheESHstaffmustdocumenthowtheydothings.ThereweretimeswhenanEMSelementwasinplacebutneededtobedocumented. Implementation   p HachCompanyhadpreviouslydevelopedanenvironmentalpolicy,butdevelopedadditionalpoliciestofulfillCMAsResponsibleCareprogramandthepolicyrequirementsofISO14001.  4  HachCompanyhasissueditsCorporateEnvironmentalandSafetyPoliciestoaddresscontinuousimprovement,periodicassessments,productstewardship,regulatorycompliance,operations,facilities,andemployeehealthandsafety.Inaddition,thePresidentofHachCompanyhasissuedThePresidentsCommitment,whichexpressestopmanagementscommitmenttoenvironmentalstewardshipandthesafetyofemployeesandcustomers.InordertodeterminetheAmesfacilitysenvironmentalaspects,theESHDepartmentreviewedthetableofcontentsofitsnewESHmanual.Thetableofcontentshelpedthemtodevelopaninformalenvironmentaleffectsregisterandasafetyregister.Thegroupthenevaluatedhowenvironmentalregulationsaffectthecompanybyexaminingfederalrequirements(e.g.,CleanWaterAct,SafeDrinkingWaterAct,CleanAirAct,etc.),aswellasstateandlocalenvironmentalregulations.TheESHDepartmentthenexploredthefacilitysenvironmentalaspectsandresulting impactswhicharebeyondthoseaddressedbyenvironmentalregulations.A 0 threetofourpagedocumentwasdevelopedthatfocusesprimarilyonthefacilitysoperationsandprocessesandputslessemphasisonaspectssuchasenergyuse.Developmentoftheenvironmentaleffectsregisterfacilitatedthesettingofobjectivesandtargets.WhiletheEMSisstillindevelopment,theobjectivesarefocusedonmaintainingcomplianceandtacklingissuesthathadbeenpreviouslyunresolved.Oneparticularlyimportantenvironmentalissueforthecompanyisdeterminingtheimpactofitschemicalproductsoninternationalcustomers,since35%ofthecompanysproductsaresoldinternationally.Theseproductrelatedimpactswillbegivenmoreconsiderationwhensettingobjectivesandtargetsinthefuture.TheESHstaffmaintainsaccesstocopiesoffederalandstateregulations,manuals,journals,onlineresources,andsoftwarepackagesthathelpthemtokeepabreastofallpertinentenvironmentalregulationsandstatutoryrequirements.Whilethecompanyhasalwaysbeenverygoodatmaintainingregulatorycompliance,thenewEMSproceduresfor legalandother &"% requirements havehelpedtomakecomplianceactivitiesmorefocusedandefficient . Procedures ' #& designedtoensurecompliancehavebeenproperlydocumentedandwillprotectthecompanyintheeventofemployeeturnover.TheESHstaffattheAmesfacilityisdevelopingextensivewrittenprocedurestoaddresscomplianceactivitiesthataresometimesaboveandbeyondthoserequiredbyISO14001.HachbelievesthatthestructureandresponsibilityrequirementsofanEMSaresimplertoachieveinamediumsizedorganizationthaninalargeone.ThestaffattheAmesfacilityhas 4.)- beengiventheautonomytoimplementanEMSwithoutextensivecorporatesupervision.ThishassimplifiedtheprocessbecausethelinesofcommunicationareshorterandtheEMScanbefocusedontheoperationsofasinglefacility.TheAmesfacilityhasanexcellenttrainingprogramdueinparttothecommitmentofresourcesinthisarea.ThefacilityhasafulltimeESHtrainingcoordinator.ImplementingtheEMShassupportedthefacilitysESHtrainingeffortsbyhelpingtodefinetrainingobjectives.TheESHstaffisalsodevelopingproceduresforallESHtraining.Thedocumentedprocedureswilldescribethegoalsandobjectivesoftrainingandestablishcurriculaforapplicableprograms.InternalcommunicationhasimprovedduetoEMSimplementation.TheESHstaffisworkingwithmembersofthesitesoperations,design,andpurchasingdepartmentstosetreasonableenvironmentalobjectivesandtargetsthatcomplementotherbusinessgoals.Environmentalissuesarebecominganintegralpartofthebusiness.WhiletheESHstaffstartedtodevelopanESHmanualinSeptember1995,theAmesfacilityisstillintheprocessofcompletingitsEMSdocumentation.TheESHmanualissomewhatuniqueinthatitmustbeabletoaccommodatetheextremediversityofthesitesoperations"forexample,themanualmustaddressover6,500chemicalsusedorproducedatthefacility.ThesitesESHstaffincludestwocollegestudentsthatareworkingatthefacilitytodevelopsomeofthedocumentation(suchasEMSprocedures)requiredforasuccessfulEMS.Thestudentshavebeenveryhelpful"theyaskalotofquestionsandcanexplaintheproceduresclearlyandwithoutjargon.Thesitehasalsohasrunsomemockdrillsortabletopexercisestoassesstheeffectivenessofitsprocedures.BecauseHachisregisteredtoISO9001,theESHstaffhaslearnedvaluablelessonsfromtheQMSstaff,includinglessonsaboutdocumentcontrolpractices.AstheESHstaffbeganimplementingtheEMS,theydiscoveredthatthesitewasnotasgoodatcontrollingenvironmentaldocumentsastheyhadbelieved.AsounddocumentcontrolsystemiscrucialtoasuccessfulEMS"withoutit,soonerorlatersomeonewillbeworkingfromanoldversionofaprocedure.ThedocumentcontrolsystemismanagedelectronicallybyaseniorESHstaffmember.Asmentionedpreviously,theESHstaffattheAmesfacilityisdevelopingextensivewrittenprocedurestoaddresscomplianceactivities,includingthosethatpertaintomonitoringandmeasurement.TheseprocedureswillbeincludedintheESHmanual.TheESHstaffhasbuiltuponthefacilitysQMScorrectiveandpreventiveactionprocedurestofacilitatedevelopmentandimplementationoftheEMS.ThemanagementreviewelementoftheISO14001StandardhasnotbeenimplementedattheAmesfacility.ThefacilitydoesnotintendtofulfilltherequirementsofthemanagementreviewelementunlessthesitedecidestopursueEMSregistration.HachdoesnotbelievethatthemanagementreviewprocessaddsvaluetotheEMSunlessregistrationisbeingsought.HachbelievesthatallotherelementsofanEMScanbeimplementedwithoutmanagementreview. ,.|)- Asdiscussedearlier,theinitialselfassessmentshowedthattheAmesfacilitysEMSconformedtoapproximately30%oftheNSF110EMSStandard.Aftersixmonthsofdedicatedimplementationefforts,thesitehadsuccessfullyimplementedapproximately58%oftheStandard,andafteroneyearofimplementationithassuccessfullyimplementedapproximately71%oftheStandard.Duringthistime,theESHstaffsprimarygoalwastocontinuetoensureregulatorycompliance.EMSimplementationeffortswerecarriedoutwhenevertimepermitted. Challenges  `  Oneofthechallenges thattheESHstaffattheAmesfacilityexperiencedduringEMS  8  implementationwasdrivingtheEMSdownthroughtheorganizationandupthroughmanagement.TheESHfunctionisoftenviewedasaseparateentityinmanyorganizationsandnotasanintegralpartofthebusiness.ThisperceptionwasinitiallyabarriertoEMSimplementation . ESHisnowviewedasamoreintegralpartofoperations.   CostsassociatedwithEMSimplementationcanbedifficulttoquantify.Todate,themostsignificantcostshavebeenrelatedtopersonnelexpendituresandofficesupplies.TheESHstaffattheAmesfacilityhasestimatedthatifthefacilityhadtostartfromscratch,EMSimplementationoveratwoyearperiodwouldcostapproximately$20,000$30,000peryear.HachestimatesthatacompanymustbewillingtocommitatleastonepersonyeartoimplementationofanEMS,butthiswillvaryfromcompanytocompany.Someofthecostsofimplementationcanbehiddenbutmustbeaccountedfor"forexample,theAmesfacilityspentapproximately$5,000onsuppliesandprintingcostsforEMSimplementation.InitiallythecostsofEMSimplementationmayoutweighthebenefits,butinthelongrun,anEMScanhelppreventanenvironmentalproblemandstrengthenanorganizationscommitmenttobeagoodcorporatecitizen.Currently,therearenoplanstointegratetheISO14001basedEMSandtheISO9001QMSattheAmesfacility.TheQMSstaffhassuggestedthatoperatingparallelsystemsisthebestapproachforbothESHandQualityatthistime.TheQMSwasadaptedfromexistingproceduresandpossiblycouldbemoreefficientinsomeareas,whiletheEMSdevelopershadtheopportunityto startfromscratchanddevelopprocessesandproceduresthatmaybemoreeffectiveandappropriateforESHissues.Inaddition,theQMSstaffarehesitantaboutfullyintegratingan immatureEMSintotheQMSasthismightjeopardizethecompanysISO9001registration.IntheeventthatHachchoosestopursueEMSregistration,theissueofsystemintegrationwillberevisited,becauseintegrationcouldresultinsynergyandcostsavingsforbothQualityandESH. Benefits )$(  HachbelievesthattherearenumerouspotentialbenefitsassociatedwithimplementationofanEMS(e.g.,assurancestostakeholders,aframeworktomaintainsupportandresourcesfromseniormanagement,marketopportunities,amechanismtogaugeenvironmentalperformanceandtoidentifyresponsibilitiesbeyondcompliance).DuringtheEMSimplementationprocess,the 0.)- Amesfacilitybegantoobserveimprovementsinitsenvironmentalperformance.Forexample,wastedisposalcostshavedropped70%inoneyear.TheEMSwasacontributingfactortothecostreductionalongwiththecompanysqualityfocusandcontinuousimprovementefforts.SincetheEMShasnotbeencompletelyimplementedandthesystemisrelativelynew,thebenefitshavebeenhardtoquantify.Butthecompanybelievesthatthebenefitsarethere.TheEMSdevelopmentprocesshelpedtospearheadamajorrenovationprogramwithinthefacilityforsafetyandenvironmentalimprovements.Employeeshavestartedtoaskquestionsandarefollowingprocedurescarefully.Inaddition,theESHDepartmentisgainingrespectfromotherbusinessunits.TheESHstaffwillmaintainafocusoncomplianceandisworkingcloselywithplantmanagerstominimizetheimpactofcompliancerequirementsonproduction.However,theESHstaffisnowinthepositiontodiscusswhythecompanyshouldgobeyondcomplianceandwhatthebusinessreasonswouldbefordoingso. FinalThoughts    HachhasnotdeterminedifitwillpursueEMSregistration.Thecompanywill waitandseeifmarketforces(particularlydemandsfrominternationalcustomers)andpotentialregulatoryincentivesprovidesufficientbenefitstooffsetthecostsofregistration.Thecompanymaynotimplementtheremaining2025%oftheISO14001requirementsunlessthecompanydecidestopursueEMSregistration.Intheeventthatthecompanydecidestopursueregistration,itwillberelativelyeasytoputtheremainingelementsinplacegivensufficientnotice,timeandplanning.H.` hp x (#XHWhilequestionsremainaboutthevalueofEMSregistration,HachhascometosomeconclusionsaboutEMSimplementationatitsAmesfacility.InitiallytherewereconcernsabouthowtheEMSwouldfitwiththecompanysculture,butHachbelievesthattheEMShashelpedtobringaboutapositiveculturechange.TheEMSapproachisconsistentwiththecompanysauditpoliciesandprocedures,becauseitfostersasystematicapproachthatlendsitselftoperiodicevaluation.Inaddition,theprocessofevaluatingthestrengthsandweaknessesofthefacilitysEMShasidentifiedopportunitiesforimprovement.HachbelievesthatithasbenefitedfromassessingandimprovingtheEMSatitsAmesfacility.   D! I& Z   X6&XXX6&Xv'XXX6&NX"(X'XXv          N + (XNX"#   + N #M    K.J.Quinn&Co. [S *  IR ||| |    MX6&X M X6&XXMX6&'ZR    # X6&XXX6&S#NX"(XX X6& *# X6&X(XNX"T#MX6&XX X6& Background T  K.J.Quinn&Co.(Quinn)isaprivatelyownedspecialtychemicalcompanyinvolvedintheresearch,development,andmanufactureofhighperformanceliquidresins,coatingsandadhesivesworldwide.Quinniscomprisedofthreedivisions:theCoatingsandAdhesives(C&A)Division,whichmanufacturessolventbased,waterbasedand100%solidurethaneproducts;theQureTechDivision,whichmanufacturesUVandEbeamcurableproducts;andtheShoeFinishDivision,whichmanufacturesshoerelatedproducts.QuinnisworkingonISO9001certificationforbothitsC&AandQureTechDivisionsandplanstoobtaincertificationinlate1996.Thesetwodivisionsarelocatedinonefacilityandwillbecertifiedtogether.DuringtheISO9001certificationprocess,themanagersinvolvedwithquality,safety,andenvironmentalissuesbecameawareofthedevelopingISO14001EMSStandardandbeganinvestigatingwhetherQuinnshouldalsopursueEMScertification. DriversforImplementinganEMS   Asachemicalmanufacturerandformulator,Quinnhassignificantenvironmentalobligations.Theseincludetheneedtocomplywithaneverexpandingsetofregulations;theneedtodevelopmoreenvironmentallyfriendlyproducts;andincreasingdemandsfromcustomersforassistanceincomplyingwiththeirenvironmental,healthandsafetyrequirements.QuinnconcludedthatimplementationofanEMSwouldimproveandproperlyfocusthecompanyseffortstomeetitsenvironmentalobligations.Aswithotherbusinessestoday,Quinnoperateswithaleanworkforceinallareas(includingitsenvironmentalandsafetydepartment)andstrivestobemoreefficientwiththelimitedresourcescurrentlyavailable.ThecompanyviewstheestablishmentofanEMSasaprocessthatforcesittobetterorganizeitsprioritiesandprojects,toidentifyproblemsandpotentialexposures,andtorespondinaproactivemanner.Itgoeswithoutsayingthatpreventinganincidentismuchmoreefficientthansimplyrespondingtoone.ItwasconcludedthatQuinnwouldeventuallyrequireISO14001certificationinordertocompeteinternationally,justascompaniesnowneedISO9000certificationtocompeteincertainmarkets.However,asQuinnwasexperiencinggreatercommercialpressurestoobtainISO9001certification,thecompanyoptedtodevelopandcertifyitsqualitymanagementsystemfirst.ItwasdeterminedthatbyimplementingtheEMSafterISO9001certificationhasbeenobtained,QuinncouldtakeadvantageoflessonslearnedfromtheISO9001experience.Forexample,theemployeeswouldbeknowledgeableaboutmanagementsystemconceptsandcertificationprocesses.  - ), ЇSelfAssessment QuinnbecameinvolvedintheEMSDemonstrationProjecttolearnmoreabouttheEMSimplementationprocessandtofacilitatetheestablishmentofanEMSfortheQureTechandC&ADivisions.Asafirststep,Quinnperformedaselfassessmentofitscurrentenvironmentalandsafetyprograms.ThecompanydecidedtoincorporatesafetyintoQuinnsEMSbecauseofthecloserelationshipandnumerousoverlapsbetweensafetyandenvironmentalconcernsinthespecialtychemicalsindustry.TheDirectorofSafetyandEnvironmentalAffairsconductedthepreliminaryselfassessmentusingthetooldevelopedbyNSF.Thecompanysofficersthenreviewedandcommentedontheresultsoftheselfassessment.Theprocesswasnotastimeconsumingasanticipated"approximately20to25hourswereneededtoperformacomprehensivereview.TheassessmentshowedthatQuinnshouldconcentrateitseffortstoward(1)developingmoreformalenvironmentalandsafetypoliciesandproceduresand(2)improvingcommunicationsonenvironmentalissueswithitsneighbors,customers,andotherstakeholders.EffortstoobtainISO9001certificationwerereflectedpositivelyintheEMSselfassessment,especiallyintheareasofworkpoliciesandprocedures,documentation,documentcontrol,andtraining.Inaddition,compliancewiththeOSHAProcessSafetyManagement(PSM)regulationreflectedpositivelyinourprocessesforevaluationofproblemsandmanagementofchange.ItwasdeterminedthatmanyproceduresthatwereoriginallydevelopedforcompliancewiththePSMstandardcouldbeextendedtocoverenvironmentalactionsnotcurrentlyaddressedbythesePSMprocedures. Implementation    Withtheselfassessmentcompleted,thenextobviousstepwastoimplementthechangesneededtobringtheprogramintolinewiththerequirementsofISO14001.AlthoughformalEMSimplementationhasbeendelayeduntilafterISO9001certificationhasbeenobtained,QuinncontinuestodevelopelementsofitsEMSonacasebycasebasisasopportunitiesarise.Forexample,asproceduresorpracticesaredevelopedtomeetISO9001orvariousregulatoryrequirements,QuinnconsidershowtheseproceduresorpracticesmightbemodifiedtohelpusmeetISO14001requirementsatthesametime.Thebiggesthurdleintheimplementationprocesscontinuestobedevotingthetimeandresourcesnecessarytodevelopthemissingcomponentsofthesystem,toimproveupontheexistingcomponents,andtomaintainthesystemonceitisinplace.Withtheemployeesworkingatasignificantpace,thiscanbeachallengingsituation,especiallyinthefinalpushtowardISO9001certification. FinalThoughts h+&*  QuinnbelievesthattherearesomeissuesthatneedtobeaddressedwithregardtoISO14001implementation.Inparticular,thereistheissueofregistraraccesstocomplianceauditreports ,.|)- andthepotentialimpactsofthisaccessonacompanysabilitytomaintainthesereportsasprivilegeddocuments.SinceconformancewiththeISO14001Standardwouldrequirecompaniestoperiodicallyevaluatetheircompliancewithapplicableenvironmentallawsandregulations,manycompaniesmaybeconcernedaboutpotentiallossofauditprivilegeasaresultofISO14001registration.ImplementationandmaintenanceoftheEMSwillbeachallengingtask,butanecessaryonewhichshouldbeveryrewardingbothincostsavingsaswellasinprotectionoftheemployeesandtheenvironment.    ` I& Z   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv          #NX"(X(XNX"kS#N + (XNX"#   + N AU#M    LockheedMartinFederalSystems Mo *  Itnsan| |    MX6&X M MX6&XXMX6&'Zn    # X6&XXMX6&o#NX"(XX X6& *J&    NX"(X(XNX"NX"(X(XNX"Xv'X(XNX"MX6&X'XXv       Background  r 6  JBqsan| |    MX6&XXMX6&NX"(XXMX6&'Rq  6# X6&X(XNX"q#MX6&XX X6&TheLockheedMartinFederalSystemssiteinManassas,Virginiahasasitsmissionsoftware   development,hardwareintegration,andspecialpurposesemiconductordevicemanufacturing.ThecustomerbaseofthesiteincludestheUSDepartmentofDefense,otherfederalagencies(toincludespaceapplications),commercialcompanies,andforeigngovernments.TheManassassitehasastronghistoryofcomplianceinallenvironmentalmedia.Thecomplianceposturehascontinuedthroughtwopreviousowners(IBMandLoralCorporation)andcontinueswithLockheedMartin. J&     MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&MX6&X'XXv       DriversforImplementinganEMS wv 6 3 Jusan| |    MX6&XXMX6&MX6&XXMX6&' u  # X6&XXMX6&-s#NX"(XX X6& 6# X6&X(XNX"w#MX6&XX X6&Thesitescompliancerecordreflectsacultureofcomplianceamongsitepersonnel;itisthis 7 culture,combinedwiththeinterestincontinuedsuccessinitsmarkets,thatgeneratedinterestinexploringISO14001.SimilarforeigninterestinISOstandardswasthedriverforthesitetopursueandobtainISO9001certificationin1995. ThesiteplanstocontinueitsmarketexplorationoutsidetheUS.Tobesuccessful,thiseffortwillalmostcertainlyrequireISO9001andultimatelyISO14001certification.ThesiteplanstoseekISO14001certificationassoonasfeasible,especiallybecausetheISO14001StandardwasofficiallypublishedinSeptember1996.  SelfAssessment 9  TohelpplanforISO14001certification,wecomparedtheStandardsrequirementsagainsttheEMSthatwasalreadyinplaceatthesite.WeperformedananalysistoidentifythegapsbetweenwhatwehadinplaceandwhatweneededtomeetISO14001requirements.Ingeneral,wefoundmostoftheelementswereinplace,althoughsomeenhancementswereneeded.CertainelementsofISO14001wereessentiallycomplete,suchasdocumentcontrolandrecordsprocedures.TheseweretheresultofthesiteseffortinISO9001.Infact,thecloserelationshipbetweenISO9001andISO14001becameevidentduringthegapanalysis.ThecostofobtainingISO14001certificationisexpectedtobesignificantlybelowthatofISO9001because:0  existingenvironmentalprogramsarestrong;and )]$'(#(# 0  0` (#(#   ` (#` (# 0  manyoverlapsbetweenISO9001andISO14001wereidentified(particularlyinthearea *5&) ofdocumentation).  +!'*(#(# J&     MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&MX6&X'XXv      B.` hp x (#XB  Implementation o 6  Jc| |    MX6&XXMX6&MX6&XXMX6&' s  # X6&XXMX6&w#NX"(XX X6& 6# X6&X(XNX"#MX6&XX X6&TosatisfytherequirementsofISO14001,thesiteenvironmentalprogramneededtobeenhanced  inseveralareas.Primarily,weneededtoformalizeapolicystatementanddocumentourgoalsandobjectives.Inaddition,thesiteneededtoimplementaformalenvironmentalassessmentprogramandstrengthenitsexistingauditprogram.Aspartofthiseffort,wehavestrengthenedourexistingcomplianceauditprogramanddevelopedanEMSauditprogram.ThelatterisfocusedmoreonourposturerelativetoISO14001.Althoughthetwoprogramshaveadifferentfocus,wefeelbothareimportantaspectsofthesiteenvironmentalprogram.Ascheduleofimplementationactivitiesisshownbelow.*qOP Vdd dd hdd dd  (#(#q,9jZ@,jZ@,jj@+  1 " P  C1 Activity 9 *` C"  C9CompletionDate = *` C"  C=Status L =%` C"    CLDevelop/enhanceauditchecklists 9 *H C  C9August1996 = * \ C  C=Complete L =% \ C"    CLInhouseauditortrainingforselectsitepersonnel 9 *0C  C9April1996 = *D C  C=Complete L =%D C"    CLDevelopenvironmentalassessmentprocess 9 *C  C9May1996 = *,C  C=Complete L =%,C"    CLIntegrateISO14001elementsintoISO9001program 9 *C  C9May1996 = *C  C=Complete L =%C"    CLFormalizeenvironmentalpolicystatement 9 * C  C9September1996 = *!C  C=Complete L =%"C"    CLFormalizeenvironmentalobjectivesandtargets 9 *$C  C9September1996 = *%C  C=Complete L =%&C"    CLThirdpartywalkthrough 9 *h(C  C9September1996 = *|)C  C=Complete L =%|*C"    CLExternalauditortrainingfortwomembersoftheenvironmentalstaff 9 *<-C  C9October1996 = *d.C  C=Complete L =%d/C"    CLConductEMSaudits 9 *$!t1C  C9November1996 = *8 2C  C=Ongoing L =%8 3C"    CLUpdatemanagementreview 9 * #\5C  C9December1996 = * "p6C  C=Planned L =% "p7C"    CLThirdpartyinitialassessment 9 *$D 9C  C9December1996 = *$X:C  C=Planned N =%$X;C"    CNThirdpartyfinalassessment ; *&,"=C  C;April1997 = *%@!>C  C=Planned5+)%@!?C"    5B.` hp x (#XBTheManassassitehaschosenitscurrentISO9000registrartoconducttheISO14001registrationaudit.  q-(E Ї Challenges 6   # X6&XXMX6&ց#NX"(XX X6& 63 p x (#X3# X6&X(XNX"#MX6&XX X6&PerhapsthebiggestchallengeoftheISO14001implementationprocesswastheneedtodevelop  abusinesscasetojustifytherequiredEMSimprovements.Makingthisbusinesscasecanbeparticularlychallengingatasitewhichhashistoricallyhadastrongenvironmentalprogram.Inordertoselltheneedforchange,we:<" Fp x (#X<0 F   F(#F(# 0 F workedwiththesiteTotalQualityManagementgroupandISOauditorstoexplorecommon P  systemfeatures(andpossiblebenefitstothesiteofintegratingthesesystems);and F(#F(# 0 F 0F(#F(# F  (#(# 0 F raisedtheawarenessofsitemanagementregardingthepotentialbenefits(bothenvironmental d  andeconomic)ofISO14001certification. F(#F(# 0 F 0F(#F(# F  (#(# J&     MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&MX6&X'XXv      K.` hp x (#FXK  FinalThoughts W 6   JB| |    MX6&XXMX6&MX6&XXMX6&' R  # X6&XXMX6&!#NX"(XX X6& 6# X6&X(XNX"i#MX6&XX X6&WebelievethatISO14001offersbothanenvironmentalandbusinessopportunityforLockheed  MartinFederalSystemsatManassas.Throughtheeffortstoformalizeandenhancetheexistingenvironmentalprogram,webelievethecompanywillexperiencegreaterefficienciesresultingfrom:0  properandcurrentprocedures;B(#(# 0  adequateandaccuratedatacollectionandcalibrationsystems;.~(#(# 0  welldefinedprocessestoensurecompliancewithnewregulatoryrequirements;andj(#(# 0  sufficientdocumentationtoallowmoreefficientcoveragewhentheprimarystaffperson V isnotavailable. (#(# C  $$CB.` hp x (#XBInaddition,webelievethatISO14001offersavehicleforapproachingregulatorstorequestareductioninthefrequencyofonsiteauditsandreviews.WealsobelieveorganizationsshouldlookcarefullyatcombiningtheirISO9001andISO14001effortsintoasinglecohesiveprogramtoprovideatransparentsingleprogramtothesite.Thisfeaturewillalsoaidintheacceptanceofthetotaleffortbysitemanagement.   z! I& Z   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv          #NX"(X(XNX"o#N + (XNX"#   + N 侚#M    MadisonGasandElectricCompany  *  IFeff||| |    MX6&X M MX6&XXMX6&'ZV    # X6&XXMX6&#NX"(XX X6& *# X6&X(XNX"#MX6&XX X6& Background  T MadisonGasandElectricCompany(MGE),foundedin1896,isapublicutilitylocatedinMadison,Wisconsin.MGEgenerates,transmitsanddistributeselectricityto120,000customersina250squaremileareainDaneCounty,Wisconsin.MGEalsotransportsanddistributesnaturalgasto103,000customersthroughouta1,325squaremileareainsevencounties.Inaddition,MGEsubsidiariesmarketnonregulatednaturalgasandotherfuelstolargecommercialandindustrialcustomersandgovernmentalinstitutionsnationally. DriversforImplementinganEMS  (x  Overthepast30years,theutilityindustryhasencounteredmanyenvironmentalissuesandhasbeenheavilyregulated.MGEinitiallyadoptedanEMStoensurecompliancewithenvironmentalregulations.Overtime,theEMShasexpandedtoaddressnewregulatoryrequirements,concernoffutureenvironmentalliability,costmanagement,competition,auditresults,andnewcorporatepolicies,goalsandobjectives.MGEskeymotivationsforimplementinganEMSbasedonISO14001areensuringregulatorycompliance,improvingthecompanyscompetitiveadvantage,andcontinuallyimprovingenvironmentalperformanceovertime.MGEdecidedtoparticipateintheEMSDemonstration ` Projectbecauseitprovidedopportunitiesfor:  benchmarkingitsEMSwiththoseofotherprojectparticipants;and $t   learningfromtheEMSimplementationsuccessesandproblemsofotherparticipants. ` C L $$CB.` hp x (#XB SelfAssessment  $  Asafirststep,MGEhiredanenvironmentalconsultingfirmtoconductanindependentassessmentofitsexistingEMS.Theresultsoftheindependentassessmentwerereviewedbycompanymanagementandcomparedwithearlierinformalselfassessments.TheindependentassessmentshowedthatMGEwasstrongintheareasofenvironmentalpolicy,managementsupport,provisionofresources,amongotherareas.Someoftheelementsrequiringimprovementincludedenvironmentalaspectsidentification,EMSdocumentation,anddocumentcontrol.MGEfoundtheselfassessmentprocesstobeworthwhile.WelearnedthatmuchofourenvironmentalprogramparalleledtheISO14001Standardverywell;however,certainareasofourprogramlackedthedepthanddetailrequiredbyISO14001. - ), Ї Implementation   Basedonitsselfassessment,MGEdecidedtoincorporatetheelementsoftheISO14001StandardintoitsexistingEMS.Thisdecisionwasbasedonagoaloffullintegrationofenvironmentalconcernsintothedailyoperationsofthecompany.ThecompanysManagementEnvironmentalTaskForce(MET)andGreenTeamLeaders(GTLs)wereassignedthejobofintegratingtheelementsofISO14001intoMGEsenvironmentalprogram.TheMET,whichiscomprisedofseniormanagers,establishesenvironmentalpolicies,performsstrategicplanning,andprovidesresourcestotheGTLs.TheGTLsaretheimplementingarmoftheMETandrepresentthecompanysoperatingandservicedepartments,includingunionrepresentation.TheGTLsdecidedtofocusfirstontwoelementsofISO14001:environmentalaspects(Section4.3.1oftheStandard),andmonitoringandmeasurement(Section4.5.1).Workingontheenvironmentalaspectselementallowedustoreviewouroperationagainandtoconfirmand/ormodifythebasisforourexistingenvironmentalprogram(i.e.,theissuesoraspectsthattheprogramwasdesignedtoaddress).WorkingonthemonitoringandmeasurementelementprovidedamechanismforcommunicatingenvironmentalperformancetoMGEdepartmentsandmanagement.Weexpecttocompleteworkonthesetwoelementsbytheendof1996.WorkontheremainingISO14001elements(asidentifiedthroughtheselfassessment)isscheduledforcompletionbytheendof1997.MGEhasdecidednottoseekregistrationtotheISO14001Standardatthistime.Webelievethatregistrationwouldhavelimitedvaluebecausethecompanydoesnotcurrentlyparticipateintheinternationalmarketplace.Theeffort,cost,andtimerequiredtodevelopandmaintainthewrittendocumentationrequiredbyISO14001wouldnotbeoffsetbythebenefitsofregistration.However,asmorecompaniesbecomeregistered,theregistrationprocessshouldimproveandadditionalregistrationbenefitsshouldbeidentified.IfISO14001doesbecomeastandardfordoingbusinessinthefuture,MGEwillbewellpositionedforregistration.3 p x (#X3PerhapsthegreatestdifficultywefacedinimplementingISO14001wasindefiningsignificant 0"  environmentalaspects.Thiselementraisesanumberofcriticalissuessuchasdetermining #l! whichstakeholderconcernsaresignificant,how significanceshouldbemeasured,howacompanyensuresthatallsignificantaspectshavebeenidentified,andhowtheprocessforidentifyingsignificantaspectsshouldbesustainedovertime.H.` hp x (#XH Benefits (#'  3 p x (#X3TheEMSprocessresultedinbetterenvironmentalawareness,whichinturnimprovedthecommunicationbetweenthecompanysoperatingdepartmentsandtheEnvironmentalAffairsstaff.ThishasledtoaproactiveapproachtoenvironmentalproblemsolvingwherebyMGEcananticipateproblemsanddevelopcosteffectiveandefficientprogramstoaddressthem.Improvedawarenessalsoresultedintheimplementationofpollutionpreventionprograms. ,.|)- H.` hp x (#XH FinalThoughts  t Environmentalmanagementhasbecomeanintegralpartofdoingbusinesstoday.TheISO14001Standardprovidesanadditionaltoolformanagingacompanysenvironmentalconcernsinacosteffectiveandefficientmanner.AstrongEMScanbringcompetitiveadvantageby:0  reducingcoststhroughpollutionpreventionandwasteminimizationprograms; L (#(# 0  ensuringsustainedenvironmentalcompliance; 8 (#(# 0  reducingfutureenvironmentalliabilities;$ (#(# 0  reducinginsurancecosts;and (#(# 0  addressingtheneedsofcustomers,shareholders,thecommunity,andregulatoryagencies. (#(# C L $$LCB.` hp x (#XBInthefuture,theISO14001Standardmayalsoleadtoregulatoryincentives,suchasfasttrackpermits,reducedinspectionsandfines,andthepotentialforfurtherpartneringofbusiness,stakeholders,andgovernmentineliminatingandcontrollingenvironmentalimpacts.  \   3 p x (#X3#MX6&XXMX6&R#M  XMX6& MilanScrewProducts    #MX6&X M #Background $t  MilanScrewProductsisasmall(32employee)manufacturingfirmlocatedinsoutheasternMichigan.Thecompanymanufacturesprecisionfittingsforthefluidpower,automotive,andrefrigerationindustries,andisregisteredtoISO9002.Thereareapproximately1,500companiesintheUnitedStatesinthescrewmachineproductsindustry.Mostofthesecompaniesarefamilyownedandfamilymanaged,andtypicallyhaveapproximately50employees. DriversforImplementinganEMS p   Therearegenerallyfewhazardousmaterialsusedinthescrewmachineindustry,butthereareenvironmentalissuesassociatedwiththecontainmentofcoolantsandcuttingoils,theneedtofindsubstitutesforchlorinatedsolvents,andthedisposalofwasteoils.Themostpersistentenvironmentalchallengeisthecontainmentofcuttingoilwithinproductionmachines.Manyscrewmachineshopshaveproductionequipmentthatwasmanufacturedinthe1950s,whichmayhaveleakygearboxcoversandinadequateoilsplashguards.Failuretoadequatelycontaincuttingoilsalsocreatescleaninganddisposalissues,suchasstainedcarpets,solidwastes(saturatedoilabsorbentssweptfromtheshopfloor),andliquidwastes(solventsandsoapsusedinpartsorequipmentcleaning).Thecuttingoilsalsocanhavehealthandsafetyimplications.Whileitmaybesimpleintheindustrytoaccepttheoilyfilmthatcancoateverythingfromthelightfixturestothefloorsasa factoflife,MilanScrewProductsdecidedtoimprovethemanagementofitsenvironmentalissues.Topmanagementrecognizedthataclearenvironmentalpolicy,objectivesandtargets,writtenprocedures,training,andcorrectiveaction(elementssimilartoitsqualitymanagementsystem(QMS)),wouldhelpthecompanytoproactivelymanageitsenvironmentalpractices.ImplementationofanEMSwasmotivatedbythecompanysdesiretoimproveitsenvironmentalperformance.Whileprogresshadbeenmadeinthepast,theorganizationwaslackingastructureforitsenvironmentalmanagementprogramandhadnomeanstomeasureprogress.InlightofthecompanysQMSexperience,theEMSapproachappearedtobethebestwaytoachieveitsgoals. SelfAssessment h'"%  InMarch1995,MilanScrewProductsjoinedtheEMSDemonstrationProject.Oneofthefirststepsintheprojectwastoconductaselfassessment.MilanScrewProductsusedNSFsselfassessmenttool,whichenablesanorganizationtodeterminehowitsEMSmeasuresupagainstISO14001.ThecompanysscorewasverylowbecauseitdidnothaveaformalEMSinplace.However,thelowscoredidnotdiscourageMilanScrewProducts;instead,thecompanysetagoaltofullyimplementanEMSbyJune1996. -,),  Implementation   OneofthefirststepsinimplementingtheEMSwastheestablishmentofacrossfunctionalenvironmentaltaskgroup(ETG),whichconsistsoffiverepresentativesfromproduction,support,andmanagement.TheETGisresponsibleforassuringcontinuedregulatorycompliance(includingthesubmissionofallpermitapplicationsandreportstofederal,state,andcountyenvironmentalagencies)andimprovingthecompanysenvironmentalperformance.MilanScrewProductsfoundthatparticipationofshopflooremployeesisessentialtothesuccessfulimplementationofitsEMSbecauseparticipationencouragesemployeeownershipoftheprocess.ParticipationintheETGhasheightenedenvironmentalawarenessamongitsmembersandenhancedtheirunderstandingofthecompanysenvironmentalresponsibilities.Inaddition,environmentalcomplianceactivitiesarenowbeingmanagedeffectivelybytheETGandrequirelimitedtopmanagementoversight.Inordertodeterminethecompanysenvironmentalaspects,ETGmembersfirstusedbrainstormingtechniques.Theylistedallofthecompanysinputs(e.g.,energy,water),outputs(e.g.,oilmist,noise),andconversions(e.g.,steelbarstochips,cuttingoilstomist).TheETGalsoexaminedthecompanyspurchases,processes,andwastestreams.Stakeholderswereidentified,andsomestakeholderswereinterviewedsothatthecompanycouldgainabetterunderstandingoftheirenvironmentalconcerns.Thesestakeholderconcernswereaddedtothelistofenvironmentalaspects.Oncetheenvironmentalaspectswereidentified,theETGthenratedtheprobabilityofanenvironmentalimpactoccurringandtheseverityoftheimpactifitweretooccur.Theenvironmentalaspectsandimpactswerethengroupedintogeneralcategories,suchasoilrelatedproblems.Basedontheassessmentofenvironmentalaspects,itbecameclearthatthecompanysprimaryenvironmentalobjectiveshouldbeoilrecovery.Duringthesametimeperiod,MilanScrewProductshadbeencontemplatingtheneedforanewmanufacturingfacility.Theidentificationofthecompanysenvironmentalaspectsandimpactsprovidedadditionalimpetusforthedevelopmentofanewfacility.TheidentifiedenvironmentalaspectsandimpactsandotherelementsofthecompanysEMShaveplayedasignificantroleindetermininghowthenewfacilitywillbedesignedandbuilt.Thecompanywillcontinuetoperformoilrecoverypracticesattheexistingshop(inaccordancewithitsenvironmentalobjective),butwillnotsetnumericaltargets untilthenewfacilityhasbeencompleted.  #p! MilanScrewProductshasfoundthatthestructureandresponsibilityrequirementsofISO14001areeasiertomanageinasmallcompany.MilanScrewProductshasformedsixteamsforqualityandproductivitypurposes.Theseteamshavebeengivendecisionmakingauthorityandhavebeeneffectivecontributorstotheoverallmanagementoftheshop.Overtime,theteamsalsowillsupportthecompanysenvironmentalmanagementefforts.TheETGwillcontinuetospearheadtheEMSprogramsincethecompanyowner,plantmanager,qualitymanager,safetymanager,plantsupervisor/environmentalcoordinator,andarepresentativefromproductionstaffareactivelyinvolved.Thekeytosuccessinasmallcompanyappearstobetheteamapproach,sincesmallbusinessesseldomhavetheluxuryofdedicatingapersontomanageenvironmentalaffairsonafulltimebasis.Theteamapproachalsohasfosteredeffectiveinternalcommunications.  H-(, Findingthetimetotrainemployeescanbeachallengingaspectofrunningasmallbusiness.Tomeetthischallenge,MilanScrewProductsconductstrainingsessionsonehalfhourbeforeoraftertheemployeesnormalshift.Thecompanyalsohasbeenquitesuccessfulatholding brownbagsessions,whereemployeesbringtheirlunches,participateinatrainingpresentation,andremain ontheclockforthelunch/trainingperiod.Thecompanyalsohasvideotapedtrainingsessionstofacilitatethetrainingofnewhires.TheETGhassupportedthetrainingeffortbygatheringandcompilingtrainingmaterials.MilanScrewProductshasgonebeyondtherequirementsofISO14001bysolicitingtheviewsofexternalinterestedparties.Thecompanyhasfoundthataneffectiveexternalcommunicationprogrambuildstrust.Thecompanyhasbeenstraightforwardwiththecommunityaboutpotentialoilproblemsandthecommunityhasbeenverysupportiveofthecompanysenvironmentaleffortsanditsplansforthenewfacility.Inaddition,communicatingaboutenvironmentalmanagementissueswithitscustomershasenhancedtheirappreciationofMilanScrewProductsasanenvironmentallyresponsiblecompanyandaleaderintheindustry.SinceMilanScrewProductshasaISO9002registeredQMS,thecompanyhasasounddocumentcontrolprocessinplace.TheQMSdocumentcontrolprocedureswillbeadaptedwhereapplicable,andthecorrectiveandpreventiveactionprocedureswillbeusedintheEMS.ThecompanyintendstoutilizesomeofthelessonsithaslearnedthroughitsQMSaboutdatacollectionandmonitoringandmeasurementandapplytheselessonstotheEMS.MilanScrewProductshasgainedexperienceinmanagementsystemauditingthroughimplementationofitsQMS.TopmanagementhasperformedQMSauditswiththehelpofanauditortrainingguidepreparedbyaQMSconsultant.Thecompanyhasconductedinhouseauditortrainingwiththehelpoftheguideandhasusedtheauditortrainingguide(whereapplicable)inconductingitsEMSaudits.MilanScrewProductsplanstocontinuetointegrateitsISO9002QMSwithitsISO14001EMS,includingdevelopmentofasinglemanualthatwillincorporatebothqualityandenvironmentalmanagementsystemelements. Challenges D!  Todate,thebiggestchallengethatMilanScrewProductshasencounteredhasbeenallocatingthehumanresourcestotheEMSprojectinthefaceofhighproductiondemands.ThecompanyhasalsohadtoovercomesomeoldpracticesbyexplainingtoemployeestherationalebehindthechangesandthecompanysdesiretosuccessfullyimplementanEMS.WhileMilanScrewProductshasnotcompletelyimplementeditsEMS,ithasmadesignificantprogressover  thelasteighteenmonths.Groundbreakingforthenewfacility(inJune1996)has (#' causedthecompanytoshiftsomeofitsprioritiestosupportthenewconstruction.ThecompanyhopestofullyimplementitsEMSbyApril1997.  h+&*  Benefits   MilanScrewProductsbelievesthattherearenumerouspotentialbenefitsassociatedwithaneffectiveEMS.AnEMScanimproveemployeeretention,newhireselection,andworkingconditions,aswellastheperceptionsofitssuppliers,lenders,customers,neighbors,andregulators.TheEMSalsocaneasemanagementconcernsthatanenvironmentalproblemcouldarisefromsimpleignoranceorlackoftraining.Itmaybedifficulttoperformacost/benefitanalysisofEMSimplementationbecausesomeofthepotentialbenefitsareintangibleandcannotbeassignedamonetaryvalue.Italsoisimpossibletotallycitationsthatarenotwritten,finesthatarenotlevied,andlawsuitsthatarenotfiled.MilanScrewProductsproactiveenvironmentalprogramhasimproveditsstatureandfosteredbettercommunicationwithregulatoryagencies.ThecompanywillalsobenefitfrombeingoneofthefirstinitsindustrytosuccessfullyimplementanEMS"thismaypromotetheperceptionamongcustomersthatthecompanyismoreinnovative,moreresponsible,andperhapsmoredesirablethantheircompetitors.ThecompanyhasfoundthatalthoughmanyofthebenefitsofanEMScannotbeanticipatedbeforehand,theywillbediscoveredaspleasantsurprisesafterimplementation. FinalThoughts  \  MilanScrewProductshasnotdeterminedifthecompanywillpursueEMSregistration"thatdecisionwilldependonfactorssuchascostsandcustomerdemand.ThecompanyintendstofullyimplementitsEMSandthenevaluatetheneedforregistrationnextyear.ObtainingEMSregistrationwouldbeasourceofprideanditmightimprovecustomerperceptionofthecompany,butthecompanyhasnotdeterminedwhetherthecostsassociatedwithregistrationcanbejustified.TopmanagementbelievesthatorganizationsthatchoosetoimplementanEMSshouldnotgetdiscouragedifEMSimplementationeffortsneedtobesetasideoccasionally.Youcanstart,stop,andresumeyoureffortsasneeded"youraspectswontchangeunlessyouchangeyourprocessesorproducts"andanyprogressthatyouhavemadewillstillbethere.MilanScrewProductsencouragesothersmallcompaniestoimplementanEMS.AnEMScanhelpasmallormediumsizedorganizationtoprevent environmentalproblemsfromoccurring %0!$ (ratherthanmitigatingtheirresultingimpacts),whichmaykeepasmallcompanyinbusiness.AnEMSenablesanorganizationtolookatitsbusinessfromanotherperspective.Manyorganizationshaveconsideredquality,safety,andotherfunctionsasintegralpartsoftheirbusiness,andtheyshouldlookatenvironmentalmanagementinthesamelight.Lookingatallofthecriticalbusinessfunctionstogetherprovidesgreatopportunitiesforimprovingtheorganizationasawhole.    X,'+ I& Z   MX6&XXMX6&Xv'XXMX6&NX"(X'XXv         H.` hp x (#XH  N + (XNX"#   + N 8#M    NEOIndustriesLtd.  *  Iedi||| |    MX6&X M MX6&XXMX6&'Z    # X6&XXMX6&#NX"(XX X6& *# X6&X(XNX"H#MX6&XX X6& Background T  NEOIndustries(NEO)isaninternationalservicecompanyspecializingintheindustrialhardchromeplatingofsteelandaluminummillworkrolls.Thecompany,whichisheadquarteredinPortage,Indiana,consistsofsmallservicefacilitiesinNorthAmericaandEuropethatarestrategicallylocatedincloseproximitytothesemills.NEOscorebusinessistheapplicationofathinlayerofhardchrometotherollersinthemills.Thischromelayerincreasesresistancetowearandimprovesthequalityoftherollerssurfacecharacteristics. DriversforImplementinganEMS <   NEOsbusinessdictatestheneedforanEMS.Duetothenatureoftheprocessesandmaterialsemployed,NEOhasbeenproactiveintheenvironmentaldesignandoperationofitsfacilities.AnenvironmentalconsultingcompanysupportedNEOinplanningfutureenvironmentalinitiativesbyperformingenvironmental  auditsofallofthecompanysfacilities. ( NEOdecidedtoparticipateintheEMSDemonstrationProjectbasedonanumberofenvironmentalconcerns,including:(1)airemissions;(2)handling,disposalandpropercontainmentofhazardouswastes;(3)employeehealthandsafety;and(4)compliancewithlocalandfederalregulations.NEOalsobelievesthatimplementationofaneffectiveEMSwillpromotemarketleadership,enhancestakeholderconfidence,andhelptoensurethepublicthatthecompanyiseffectivelymanagingitsenvironmentalobligations. SelfAssessment `  NEOinitiallyselecteditsPortage,IndianafacilityasthepilotlocationfordevelopingandimplementinganEMS.AnEMSselfassessmentwasconductedatthePortagefacilityusingtheNSFselfassessmenttool.ConsiderableeffortwasmadetoensurethattheinternalassessorspresentedacandidpictureofthestatusoftheEMS.TheselfassessmentconfirmedthatNEOhadsoundenvironmentalpractices,themostmodern,efficientequipmentavailable,andexcellentenvironmentaldesignandfacilityconstruction.However,theselfassessmentalsoshowedthatformalprogramsanddocumentationtomanageenvironmentalissueswerelacking.Thecompanywasproactiveintheareasthatitknewabout,butdidnothaveformalproceduresandtrainingtoensurethattheenvironmentalimplicationsofnewissuesorconditionswereadequatelyidentifiedandaddressedinallcases.  - ), ЇImplementation Astheprojectmovedforward,NEOrealizedthattheplantoimplementanEMSatonepilotsiteandthenrolltheEMSouttootherfacilitieswasunrealistic.Giventhesizeofthecompany,itwasnotfeasibletodedicatetheskilledresourcesnecessarytoadequatelyimplementanEMSonesiteatatime.Asaresult,NEOshiftedawayfromtacklingtheEMSasapilotprojectatoneplanttoorganizingateamtopursueEMSforallplantssimultaneously.Inthismanner,NEOcoulduseskillsthroughouttheorganizationtosupportdevelopmentoftheEMS.Duringthecourseoftheproject,NEOwroteanenvironmentalpolicybasedonNSF110andISO14001.TheNEOpolicyincludescommitmentstotheprinciplesofcompliance,prevention,communicationandcontinuousimprovement.Themanagementteamalsochosetoincorporatehealthandsafetymanagementintothepolicy.TheNEOHealth,SafetyandEnvironmentalPolicyhasbeenfullyimplementedatallofitsfacilitiesinNorthAmerica.Overtime,itbecameevidentthatestablishingandmaintainingaformalEMSwouldbeagreaterchallengethanNEOhadoriginallyenvisioned.NEOheldseveraldiscussions(bothinternallyandaspartoftheEMSDemonstrationProject)aboutthebenefitsofinitiatinganEMSonceanISO9002projectwascompleted.ThisapproachhastheadvantagethatthesystematicdocumentationandproceduresneededforanEMSaresimilartothoseneededfortheISO9002qualitysystem.AlthoughNEOhasanexcellentreputationforqualityandservice,itwasjustembarkingoncertificationtoISO9002.NEOshifteditspriorityandimmediatelyfocusedoncertificationtoISO9002.ThenNEOutilizedthismethodologytoestablishanddocumentaneffectiveEMS.ItfeelsthatexperiencingtherigorsofISO9002certificationwillfacilitatethedevelopmentandimplementationofanEMS.Thetwosystemswillfollowaconsistentformat,andmuchoftherequiredtrainingwillbeusedtosatisfybothstandards.ThroughtheEMSDemonstrationProject,NEOrecognizedsomeofthedifficultiesindevelopinganEMS.WithouttheadvantageofanexistingISO9000system,itlackedsomeoftheprocedures,documentationandknowhowthatisadvantageousindevelopinganEMS.Atthesametime,compliancewithnewairqualitystandardsandNEOsongoingneedtoupgradecertainprocessesdivertedresourcesawayfromEMSdevelopment.NEOdidnotprogressasfarashopedduetothenumerousdemandsofrunningabusiness.Hence,NEOcanclaimonlypartialEMSimplementationatthecloseoftheproject. Benefits (#'  3 p x (#X3NEOhasalreadyexperiencedsomeofthebenefitsofEMSimplementationandexpectstoseeotherbenefitsassystemdevelopmentmovesforward.First,EMSdevelopmenthasheightenedemployeeawarenessofenvironmentalissues.NEOismorefocusedonareasthatcanimpacttheenvironmentandhastakenstepstoeliminatecertainprocessesthatmustbecontrolledduetotheirenvironmentalimpacts.EMSdevelopmenthasalsohelpedNEOtoutilizeitsresources ,.|)- (bothinhouseandoutside)moreeffectively.NEOanticipatesthatimplementinganEMSwillresultinmoreeffectiveapproachesformanagingcompliance,especiallythroughdocumentationofexistingandnewproceduresandprocesses.Environmentaltrainingwillalsobeformalizedandtracked.Otheranticipatedbenefitsincludeimprovedemployeesattitudes,betterfinancingcapability,andmaintainedstakeholderconfidence.NEObelievesthatcontinuedattentiontoenvironmentalmattershashelped(andwillcontinuetohelp)toretainlongtermcustomers.H.` hp x (#XH FinalThoughts $   TheEMSDemonstrationProjectwasanexcellentopportunitytolearnabouttheemergingISO14001Standard.Theblendoflargeandsmallcompanies,representedbyindividualsfrombothenvironmentalandoperationalareas,providedparticipantswithbroadexposuretothechallengesinimplementinganEMS.Theenvironmentalconsultantswhovolunteeredtoparticipateintheprojectwereextremelyhelpfultoallparticipants.ThecooperativeapproachoftheEPAandlocalofficialsbolsteredthedevelopmentoftheproject.ParticipationintheEMSDemonstrationProjecthasbeenofgreatvaluetotheNEOorganization.ThecompanyismorefocusedonenvironmentalmanagementduetothesupportofNSFInternational,theEPAandtheinputofotherparticipatingcompaniesandsponsors.IthashelpedNEOtoestablishprioritiesandsetagoalforimplementinganeffectiveEMSin1997.   4 I& Z   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv          #NX"(X(XNX"#N + (XNX"#   + N #M    NIBCOIncorporated . *  IUing||| |    MX6&X M MX6&XXMX6&'Ze    # X6&XXMX6&#NX"(XX X6& *# X6&X(XNX"#MX6&XX X6& Background T  NIBCOIncorporated(NIBCO)isaworldwidemanufactureroffluidhandling(plumbing)productsfortheresidential,commercialandindustrialmarkets.Foundedin1904,NIBCOisafamilyownedFortune1000andForbes500company.NIBCOhasatotalof13manufacturingfacilities,11ofwhichareISO9002certified.NIBCOemploysapproximately3,200associatesworldwide.NIBCOiscommittedtocontinuedexcellence,leadership,andstewardshipinprotectingtheenvironmentandconservingnaturalresources.Environmentalprotection,includingcompliancewithapplicablelawsandregulations,isaprimarymanagementresponsibilityandtheresponsibilityofeveryNIBCOassociate. DriversforImplementinganEMS d   Inlightofconstantlyandrapidlychangingpublicexpectations,communityconcerns,customerexpectations,andfederal,stateandlocallegislativeandregulatoryactivities,successfulcompaniescannolongermerelyrespondtothesechanges"theymustproactivelyidentifyandmanagetheirenvironmentalobligations.NIBCOrealizedthatithadtolearnhowtoanticipatethesechangingexpectationsandadoptnewwaysofprovidingforcontinuousimprovementinitseffortstomanageenvironmentalcomplianceandenvironmentalperformance.ThecompanyviewsanEMSasaperfecttoolforpresentingandsupportingitsenvironmentalphilosophy.ThefundamentaldrivingforcebehinddevelopingandimplementinganEMSatNIBCOwasthedesireandneedtoformallydefineandputinplacethestructure,practices,procedures,processes,andresourcesnecessarytoensureregulatorycomplianceandcontinuousimprovementinenvironmentalperformance. Implementation 8  NIBCOsEMSisfocusedaroundtwodistinctyetintimatelyconnectedconcepts:TotalQualityEnvironmentalManagementandWasteMinimizationandPollutionPrevention(WM/PP).IndesigningourEMS,thekeyobjectivewastoexpandupontheconcepts,tools,andexperiencesofourISO9002QualityManagementSystem(QMS),andtoapplythemtoenvironmentalmanagement,includingenvironmentalcompliance.ThisapproachallowedNIBCOtointegratethecontrol,monitoring,andothermanagementaspectsoftheQMSwiththecostsavingsandotherbenefitsofWM/PP.HavingacertifiedISO9002QMSwasanadvantage"ourassociatesunderstoodwhatEMSdevelopmentwouldmeanintermsofresourcesandtime.TheprocessofdevelopinganEMSinvolvedanindepthevaluationoftheexistingISO9002QMSanddevelopingnationalandinternationalEMSstandards(e.g.,ISO14001,NSF110,BS7750,andCSAZ750),aswellasareviewofthecompanysenvironmentalpolicyandenvironmentalobjectives.ThisevaluationresultedinthedevelopmentofaNIBCOenvironmentalmanagementstandardthatmeetstherequirementsofISO14001andfulfills - ), NIBCOsenvironmentalpolicy.Thisinternalstandarddescribestheminimumrequirementsforthedevelopmentandimplementationofaformalized,systematicenvironmentalmanagementprogramateachmanufacturingfacility.Thedevelopment,implementation,andauditingoftheprogramisdirectedandsupportedinternallybythecorporateenvironmentaldepartment.Thebruntofthework,however,isaccomplishedatthefacilitylevelbycrossfunctionalenvironmentalmanagementteams.Theseteamsgenerallyincludetheplantmanager,theplantenvironmentalprofessional,theplantqualitymanager,andrepresentativesfromotherbusinessfunctionswithinthefacility,suchasproduction,accounting,maintenance,andsafety.TheapplicationofTQMconcepts,combinedwiththeuseofinternalstandardsandtheinvolvementofcrossfunctionalteams,hasbeenthecatalystforNIBCOssuccessinitsattemptstomanageenvironmentalactivities. Benefits    BecausethecompanywideEnvironmentalManagementProgramemphasizescrossfunctionalteambuildingandtheimportanceofproblemsolving,NIBCOhasbeguntorealizesomeofthebenefitsofanEMS.Themostsignificantbenefitshavebeen:improvementsincommunication;theincreaseinenvironmentalawarenessthroughoutthecompany;thelevelofemployeeinvolvementandinterestinenvironmentalmanagementeffortsatthemanufacturingfacilities;therealizationofenvironmentalresponsibilityandaccountability;andsomeoperationalcostsavingsresultingfrominitialWM/PPprojects.Otherperceivedbenefitsinclude:reducedenvironmentalriskandliability;positioningformarketplaceadvantage;improvedcompliancepostureandrelationswithregulators;theabilitytobenchmarkandmeasureprogressusingconsistentmethodologies;andstrategicenvironmentalplanningandbudgeting. Challenges   TheprocessofdevelopingandimplementinganEMShasnotbeenwithoutitschallenges.InitialbarriersthathadtobeovercomeinordertoselltheconceptofanEMStoseniormanagementandthemanufacturingfacilitiesincluded:  thefearofincreasedliabilityasaresultofauditing; $X"   thecostoftechnologyrequiredtomeetNIBCOspolicyandobjectives;and $D #   thefearofcompromisingproduction. %0!$ WecommunicatedtoseniormanagementthataneffectiveEMSwouldhelpthecompanytoreduceliabilitiesandenvironmentalrisks,aswellashelptoachieveotherbusinessgoals.To (#' increaseownershipthroughouttheorganization,NIBCOeducatedtheworkforceabouttherealandpotentialimpactsontheenvironmentduetotheireverydayjobs.3 p x (#X3NIBCOfoundthatmanysectionsofISO14001weresubjecttointerpretation,butthatnosingleelementwastoooneroustoimplement. TheOperationalControlsectionwasperhapsthemost @-(, challenging,butNIBCObelievesthatthereissufficientflexibilitybuiltintoISO14001for 0.)- companiestotailortheiroperationalcontrolneedsbasedontheiractualorpotential  environmentalimpacts.H.` hp x (#XHTheEMSimplementationprocesshaspresentedsomesignificantchallenges.SomeofthechallengesthatNIBCOhasfacedinclude:limitedtimeandresourcesatthesitelevel;obtainingmeaningfulcrossfunctionalinvolvement;dwindlinginertia;lackofdatarequiredtosupportcontinualimprovement;developmentofperformancemeasurements(howandatwhatcost);lackofdefinitionofbestmanagementpractices;andthedegreetowhichtheEMSandISO9002QMScanandshouldbeintegrated.Wehadtodispelthenotionthat environmentisnotmyjobanddemonstratethatmanagingourenvironmentalaspectseffectivelywouldactuallyhelpustomeetotherbusinessgoals,suchasreductionindowntime. FinalThoughts    DespitethedrawbacksandhurdlesofimplementinganEMS,thesystemhasprovidedNIBCOwith:0  amechanismtocontrolandmanageoperationalandwastemanagementactivities;H(#(# 0  aneffectivestrategyformonitoringandmeasuringourcompliancestatusandpromoting 4 continuousimprovementinenvironmentalperformance;and, (#(# 0  alinkbetweenenvironmentalmanagementandtheISO9000QMS(aswellasother  \ businessmanagementinitiatives). (#(# 0  0` (#(#   ` (#` (# B.` hp x (#XBInaddition,byincreasingthefocusondocumentationanddocumentcontrol,theEMSprovidesatooltodemonstratetoregulatoryagencieswhatthecompanyisdoingtoensurecompliance.CombiningtheconceptsofISO14001andISO9000hasallowedNIBCOtomovetowardthedevelopmentofasinglecohesiveintegratedmanagementsystemdesignedtoapplytoallareasofthebusiness,andhasgivenNIBCOanothertoolformeetingand/orexceedingourcustomersexpectations.   X  I& Z   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv          #NX"(X(XNX"a#N + (XNX"#   + N 9#M    PacificGasandElectricCompany 5 *  I4lst||| |    MX6&X M MX6&XXMX6&'Z4    # X6&XXMX6&;6#NX"(XX X6& *# X6&X(XNX"7#MX6&XX X6& Background T  PacificGasandElectricCompany(PG&E)isapublicutilitysupplyingelectricandnaturalgasservicethroughoutmostofnorthernandcentralCalifornia.Ourserviceterritorycovers70,000squaremileswithapopulationofabout13million.In1995,PG&Esutilityassetswereapproximately$26.9billionandoperatingrevenueswere$9.6billion.PG&Ehasabout22,000employeesandoperatesmorethan1,500facilitiessubjecttoenvironmentalregulations.PG&Eselectricityproductioncomesprimarilyfromsevennaturalgasfueledpowerplants,twonuclearunits,70hydroelectricpowerhouses,andageothermalenergycomplex.PG&Ealsopurchasespowerfromawidearrayofresources,includinghydroelectric,wind,solar,biomass,andcogeneration.In1995,itsnaturalgassupplycameprimarilyfromCanada(64%)andthesouthwesternUS(28%),withtheremainderfromCaliforniafields. DriversforImplementinganEMS (  Formanyyears,PG&EhashadanEMSwhichisnowinafairlymaturestate.OurparticipationintheEMSDemonstrationProjectwasdrivenprimarilybyadesiretobenchmarkourexistingEMSagainstthedevelopingISO14001Standardandagainstthesystemsemployedbyotherparticipantsintheproject.OurgoalwastousetheEMSDemonstrationProjecttoidentifyareasforpotentialEMSimprovements.PG&EsparticipationhadtheadditionalbenefitofprovidingarealisticassessmentofwhatwouldberequiredtoachieveISO14001certification,shouldabusinessneedforcertificationdevelop.WhilePG&Edoesnotmarketitsproductsorservicesininternationalmarkets,manyofourcustomersdo.Thus,ISO14001certificationmayprovideacompetitiveadvantageinaCaliforniaenergymarketthatisrapidlyapproachingderegulation. SelfAssessment  $  Theelectricandnaturalgasservicesweprovidetoourcustomerscannotbeassociatedwithspecificproductionfacilities.Eventheroutesoftransmissioncanvary,asloadswithinourdistributionsystemchange.Wedetermined,therefore,thatourselfassessmentshouldcovertheEMSfortheentirecompanyandincludeallaspectsofproductionanddistribution.Theselfassessmentwasconductedbyseniormanagersintheenvironmentalandlawdepartments.BecausemanyoftheISO14001requirementswerealreadycoveredbytheexistingEMS,theprincipalfocusoftheselfassessmentwasontheeffectivenessofEMSimplementationthroughoutthecompany.  - ), ЇImplementation 3 p x (#X3Basedontheselfassessmentresults,wecreatedaprioritizedactionplanfordesiredEMSimprovements.Indevelopingtheactionplan,werecognizedthatsomeEMSimprovementswouldhaveexistingenvironmentalorbusinessjustifications,whileotherswouldnotproceedwithoutabusinessdecisiontoseekISO14001certification.PG&EhasalwaysenjoyedstrongseniormanagementsupportforitsEMS,particularlyasitfacilitatescosteffectivecompliancewithenvironmentallaws.Overtheyears,PG&Ehasundertakenextensiveeducationeffortswithitsemployeestounderscoretheneedforcontinualimprovementinenvironmentalpractices.Thiseducationefforthelpedtodispeltheperceptionthat,sincesomepastpracticeswereadequateinprotectingtheenvironment,therewasnoreasontochangeorimprovethesepractices.H.` hp x (#XH Challenges p  WeforeseetwomajorchallengestoachievingISO14001certification.ThefirstisthattheStandardsstrongemphasisondocumentationrunscountertoaningrainedcorporatebiastominimizepaperwork.Giventhatcurrentenvironmentalregulationsalreadymandateextensiverecordkeepingrequirements,establishingnewvoluntarydocumentationrequirementsmaybeahardsell,particularlyifexistingpracticeshavefunctionedadequatelytoprotecttheenvironment.Asregulatoryagenciesthemselvesaremovingtoreducemandatorypaperwork,whylevynewdocumentationandrecordkeepingrequirementsthroughavoluntaryEMSstandard?Thesecondchallengewillbecommontomostutilities.UnderISO9000,certificationhaspertainedprimarilytoindividualproductionfacilities,notentirecompanies.Becausewecannottellacustomertheexactsourceoftheelectronsorgasmoleculesweprovide,certificationofindividualfacilitiestoISO14001  ismeaningless.However,ifwemustcertifyall(orevenmost) l ofour1,500facilities,thecostsandadministrativeburdenofcertificationwouldbeunacceptable.PG&Ewillworkwiththeappropriateaccreditationorganizationsinanattempttofindanacceptablecertificationprocessfortheutilityindustry.3 p x (#X3 Benefits $D #  OurEMShashelpedthecompanytoensurecomplianceandtoreducecosts.Ourauditfunctionfeedsthecontinuousimprovementcycle.Wehaveseencostreductionsasaresultofreducedhazardouswastegeneration,improvedmanagementofhazardouswasterecyclinganddisposal,andrapiddeploymentofnew,costeffectivecomplianceapproaches.Inaddition,theEMShashelpedPG&Etoreduceenvironmentalimpactsinotherareas(includingreductionsinimpactsonfishandwildlifeandreductionsinairpollution).<" Fp x (#X<0 F   F(#F(# K.` hp x (#FXK  ,.|)- ЇFinalThoughts PG&EbelievesthatitsparticipationintheEMSDemonstrationProjectsupportedourcorporatepolicytocontinuouslyimproveourEMS.OurparticipationalsohelpedtopositionusforeventualISO14001certification,ifsuchcertificationisdeemedavalidbusinessneed.   $ t I& Z   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv          #NX"(X(XNX"5#N + (XNX"#   + N 7#M    PitneyBowesInc. P *  IOcan||| |    MX6&X M MX6&XXMX6&'ZO    # X6&XXMX6&P#NX"(XX X6& *# X6&X(XNX";R#MX6&XX X6& Background T  PitneyBowesisaleadingproviderofmailing,messaginganddocumenthandlingproductsandserviceswith30,000employeesinover100countriesaroundtheworld.PitneyBoweshastwoprimarymanufacturingfacilities,onelocatedinStamford,ConnecticutandtheotherinHarlow,UnitedKingdom.Thecompanyscorebusinessconsistsofmailingproductsandsystems,complementedbytheadditionalproductlinesoffacsimilesystems,copiersystems,financialservicesandmanagementservices.PitneyBowesInc.,headquarteredinStamford,Connecticut,registeredannualrevenuesin1995ofover$3.5billion,anincreaseof9%overthepreviousyear. DriversforImplementinganEMS (x   3 p x (#X3TheimpetustoimplementanEMSandtoattaincertificationtoISO14001originatedinthecompanysCorporateSafetyandEnvironmentalAffairsDepartment.EMSimplementationwasviewedasameanstoimproveuponandintegrateexistingenvironmentalprograms.CertificationtoISO14001wasviewedasameansofattainingcompetitiveadvantageandensuringlongtermsecurityinthemarketplace.EMSimplementationalsoprovidesavehicletodemonstratethecompanysenvironmentalcommitmenttocustomers,investorsandotherstakeholders.H.` hp x (#XHTheHarlow,UKmanufacturingsitewaschosentobethesubjectoftheEMSDemonstrationProject.TheHarlowsiteisamediumtolargesizedmanufacturingplantwithapproximately900employees.Thesitemanufacturesproductsforsaleworldwide,butprimarilyinEuropeandtheFarEast.Primarymanufacturingprocessesincludemetalfinishing,machining,plasticinjectionmolding,productassembly,andproductrefurbishment.Thesitehasahistoryofmanagementsystemimplementation,havingattainedcertificationtobothBS5750andISO9002severalyearsearlier.Infact,thispreexistingISOculturewasonereasonthatthesitewaschosenforthepilot.Furthermore,predictionshavebeenmade(basedonthecompanysISO9000experience)thatanymarketplaceeffectsofISO14001wouldlikelybefeltfirstinEurope. SelfAssessment #!  ThefirststepintheEMSimplementationprocesswastoperformaselfassessmentusingtheNSFselfassessmenttool.TheassessmentwasperformedattheHarlowsitebyagroupofmiddlemanagers.Aftereachmanagercompletedtheselfassessmentchecklistindividually,alloftheirresponseswerepooledandtheresponsemostfrequentlycitedwaschosen.TheresultsofthisselfassessmentindicatedthatthesitewasatthebeginningstagesformostoftheelementsofISO14001"mostoftheelementswereratedaseither noactiontakenor actioninitiated.Theselfassessmentteamdidnotratethesiteas completeor evaluatedandsustainedforanyoftheelementsofISO14001.ThisselfassessmentprovidedagoodstartingpointfromwhichtheHarlowsitecouldplanitsimplementationactivities.ItalsorequiredallofthemanagersinvolvedintheselfassessmentprocesstothinkabouthoweachelementofISO14001relatedto - ), theirorganization. Implementation t  InApril1996,afterfivemonthsofimplementationactivity,theselfassessmentprocesswasrepeated.Thistimetheresultsshowedencouragingprogress.SeveralISO14001elementshadbynowearneda completeranking,althoughnonehadyetbecome evaluatedandsustained.Whenthesecondselfassessmentwasconducted,onlyoneelementremainedinthe noactioncategory.Clearly,thesitehadmadesignificantprogresstowardfullEMSimplementationinonlyafewmonths.Atthetimeofthiswriting(August1996),theHarlowsiteispreparingfortheISO14001registrarspreassessmentvisit,scheduledforSeptember.MostelementsoftheStandardhavebeenfullyimplemented.Thesitehasdevelopedadetailedregisterofitsenvironmentalaspects,aregisterofapplicablelawsandregulations,andanEMSManualconsistingofseveralprocedures,includingthoseforEMSauditing,managementreviewandemergencyresponse.Ateamofindividualsonsitehasbeentrainedtoperforminternalauditsandthefirstoftheseauditshasbeenscheduled.Aprocessforrankingthesignificanceofeachenvironmentalaspecthasbeenestablishedandapplied.Inaddition,environmentalobjectivesandtargetshavebeenset,basedontheoutcomeoftheprocessforrankingsignificanceaspectsandonthecompanysenvironmentalpolicy.ElementsoftheISO14001Standardwhichremaintobefullyimplementedincludeemployeeawarenesstrainingandexternalcommunicationplans.Whenthepilotwasinitiated,PitneyBowesdecidedtokeeptheISO14001initiativeseparatefromthesitesexistingISO9000system.Sincethattime,however,somesmallscaleintegrationofthesesystemshasoccurred.TheEMSManualisformattedinthesamemannerastheISO9000manual,allowingforeasierintegrationinthefutureshouldthecompanychoosetodoso.Inaddition,approximatelyonehalfoftheindividualstrainedtoperforminternalEMSauditsarealsoresponsibleforinternalISO9000audits. Challenges 0"   Challengestoimplementationhavebeensurprisinglylimited.Seniormanagementhasbeenverysupportiveofthepilotprojectandhasallocatedsufficientresourcestoensureitssuccess.Despitesomeissueswithindividualstaffingconstraints,mostmembersoftheEMSteamatthesitehavebeenproductivecontributors.Inretrospect,thebiggestchallengetoimplementationhasbeeninterpretationoftheStandarditself.InparticularthemostdifficultsectionoftheStandardtointerpretwassection4.3.1( Environmentalaspects).Thechoiceofwordingandlackofpracticalguidancemadethissectiondifficultbothtounderstandandtoapply.Infact,alargeportionofthepersonhoursconsumedtodateontheprojecthavebeenfocusedinthisarea.EventhoughtheregisterofenvironmentalaspectshasbeencompletedfortheHarlowsite,modificationstothisregistercontinuetobemadeonaregularbasis. ,.|)- Ї FinalThoughts `  ParticipationintheEMSDemonstrationProjecthasbeenarewardingexperienceforPitneyBowes.Theprojectprovidedamuchneededstructureforimplementationactivities.InlessthanoneyearfromitsEMSkickoffmeeting,theHarlowsiteisreadyforacertificationassessment.Webelievethathavingastructured,certifiedEMSinplacewillimproveourenvironmentalperformanceandaddrealvaluetothebusiness.    8  I& Z   MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv          #NX"(X(XNX"P#N + (XNX"#   + N R#M    TRINOVACorporation n *  Imofi||| |    MX6&X M MX6&XXMX6&'Zm    # X6&XXMX6&o#NX"(XX X6& *# X6&X(XNX"Rp#MX6&XX X6& Background T  TRINOVACorporation,headquarteredinMaumee,Ohio,isaworldwideindustrialmanufactureranddistributorofengineeredcomponentsandsystems.TRINOVAscompanies,AeroquipandVickers,operateapproximately75facilitiesin18countries.ThepilotfacilitychosenfortheEMSDemonstrationProjecthasanexcellentenvironmentalcompliancerecord,isISO9001certified,employs125people,andmanufactureshydraulicfittingsfortheaerospaceindustry. DriversforImplementinganEMS P   TRINOVAdidnotjointheEMSDemonstrationProjectbasedonanyinternaldrivertoimplementISO14001.Rather,thepossibilitythatthisvoluntaryStandardmightbecomeadefactorequirementofdoingbusinessinternationallycreatedaneedtolearnasmuchaspossibleaboutISO14001,sothatanimplementationstrategycouldbedeveloped.Inshort,ourmotivationtolearnabouttheISO14001Standardandbepreparedwithanimplementationstrategywasbusinessdriven. SelfAssessment   AnassessmentofthesitesenvironmentalmanagementpracticesagainsttherequirementsofISO14001wasconductedbythepilotfacilitysenvironmentalmanagerandanengineerfromcorporateheadquarterswhohadrecentlyperformedacomprehensivecompliancereviewatthefacility.Thesetwoindividualsthendiscussedandresolvedanydifferencesintheirfindingsandjointlyproducedadraftassessmentreport.ThedraftreportwascritiquedbyanindependentEMSconsultantbeforebeingfinalizedandsubmittedfortheEMSDemonstrationProject.Thisoutsidecritiqueensuredthattheassessmentprovidedanaccuratebasisuponwhichtomoveforward.ThecritiquealsoimprovedourunderstandingoftheISO14001Standardatanearlystageoftheproject. Implementation $"  Althoughabasicactionplanwasformulatedtoaddressgapsinenvironmentalmanagementpractices(asidentifiedintheselfassessment),therewasuncertaintyastohowtoreachfullEMSimplementation.BecauseofthesheernumberofdetailedrequirementsinISO14001,thetaskoffullyimplementingitsrequirementsseemeddaunting.OnedoesntsimplypickupandreadISO14001andthenimmediatelybegintoimplementit.AgreatdealoftimewasrequiredtoreviewtheStandardandattendDemonstrationProjectmeetingstobuildunderstandingandconfidencebeforeresourceswereinvestedinEMSimplementation.Implementationprogresswaslimitedatfirstbecauseourapproachwastofocusonthe17 - ), elementsoftheISO14001StandardoneatatimeratherthanontheStandardasawhole.Webelievedthat environmentalaspectswasanelementthatneededtobeexpertlyfashionedandinstalledbeforemovingonto legalandotherrequirements,whichalsoneededtobeexpertlyfashionedandinstalledbeforemovingonto objectivesandtargets,andsoon.AkeytoimprovingourimplementationprogresswastherealizationthatsystemsinplaceforcompliancewithUSenvironmentalregulationswouldfulfillmostISO14001requirements(asnotedbyanEMSDemonstrationProjectguestspeakerwhowasoneoftheleadersoftheUSTechnicalAdvisoryGroup).Basedonthisunderstanding,webegantoincorporateelementsofourpilotfacilitysexistingcomplianceprogramandproceduresintotheframeworkestablishedforimplementingISO14001.TheinitialEMSthusdeveloped,thoughunrefined,canbeimprovedovertime,consistentwiththeneedtodemonstratecontinualimprovementinenvironmentalperformance.Usingthisapproach,wehavemademuchbetterprogresstowardcompleteimplementationofISO14001atthepilotfacility.AsacompanythatlackedamatureEMSattheoutsetoftheEMSDemonstrationProject,TRINOVAishardlyinapositiontoofferadvicetoothersondeeperunderstandingofthefinepointsofISO14001;however,wewouldrecommendthisapproachtoothercompaniesthatexperiencedifficultyininitiallyimplementingtheirEMS.AkeyelementofourstrategyduringtheDemonstrationProjectwastopromptlyformaninterdisciplinaryteamtoidentifyenvironmentalaspects,establishoneortwotargetsrelatedtotheseaspects,andthencarryoutaprogramtoachievethesetargets.Itwasfeltthatsomeearly,tangibleresultswouldallowEMSdevelopmenttobeviewedasadynamicandpracticalprocess,ratherthanapaperwork/proceduresexercise.TheteamfeltstronglythatdemonstratingearlyresultswouldenhancetheEMSDemonstrationProjectsacceptanceandmomentumatthefacility.Thisstrategyprovedtobeeffective.Peoplegetexcitedwhentheyhaveafeelingofaccomplishmentinlesseningtheenvironmentalimpactoftheirjobsonthecommunityinwhichtheylive.Duelargelytothisapproachintheearlierstagesoftheproject,developmentofvariouswrittenproceduresrequiredbyISO14001(themoretediouspartofimplementation)hasproceededinearnestandapositiveattitudehasbeenmaintained.OneofthekeychallengesinimplementingISO14001istheStandardsgreatemphasisonwrittenprocedures.Moredetaileddocumentationrequiresgreatermaintenance.Whileitisclearthatanysystemmustbedocumentedtobeworthwhile,itdoesnotfollowthatthegreaterthelevelofdocumentation,thegreaterthevaluethatwillbeadded. Benefits (#'  The ISO14001teamwascomprisedofthepilotfacilitymanager,theenvironmentalmanager,keyworkersfromvariousareaswithinthefacility,andacorporaterepresentative.Theteamfoundthatpeopleonthemanufacturingfloorwhoactuallyworkwithprocesseswhichimpacttheenvironmenthaveaverythoroughknowledgeofthoseprocesses,whileenvironmentalmanagersatthefacilityandcorporatelevelhadthemostthoroughknowledgeofexistingandemerging ,.|)- regulations.ItwasdemonstratedduringtheprojectthattheEMScanbringthesepeopleclosertogether.Asemployeesrolesbecomebetterdefined,andasinformationflowbetweenemployeesimproves,theybecomebetterinformedandproceedtomoreeffectivelyfulfilltheirrolesinmanagingenvironmentalactivities.Abroadbased,improvedunderstandingofoperations,coupledwiththesystematicapproachdescribedbyISO14001,supportsenvironmentalimprovements.3 p x (#X3Inaddition,basedonthesystematicapproachandtheuseofinterdisciplinaryteams,thepollutionpreventionprojectswhichwereidentifiedandimplementedatthepilotfacility,havereducedthesitesdirectcosts.Otherpollutionpreventionprojectsshouldhelpthesitetoavoidcertaincostsinthefuture.H.` hp x (#XH FinalThoughts OurexperiencewiththeEMSDemonstrationProjecthasshownthatasystematicapproachtoenvironmentalmanagementmakessense;however,wearesomewhatskepticalatthistimeaboutthepotentialbenefitsofISO14000registrationduetoourexperiencewithISO9000.ISO9000registrationatthepilotfacilityhasnotresultedinthedomesticorinternationaltradeopportunitiespredictedintheearlierdaysofthatStandard.LittlevaluehasbeenaddedtooffsetthecostsofmaintainingISO9000registration.BasedonthisexperiencewithISO9000,ourcurrentenvironmentalstrategycallsforimplementingasystematicapproachtoenvironmentalmanagement,butnotforseekingISO14001registrationunlessabusinessadvantagecanbedemonstrated. I&    MX6&XXMX6&MX6&XXMX6&Xv'XXMX6&NX"(X'XXv        # X6&X(XNX"p#MX6&XX X6& TheEMSproducedandtheexperiencegainedasaresultoftheEMSDemonstrationProjectwill  serveasguidesforTRINOVAsbusinessunitsinwhichISO14001registrationisdeemedtobeaprudentbusinessdecision. '  r  ̏    #MX6&XXMX6&n#M  XMX6&UnitedStatesPostalService o *  Ilyi||| |    MX6&X M MX6&XXMX6&|'hardly|    * Background  Z  TheUnitedStatesPostalService(USPS)isagovernmentownedcorporationwhosemissionistoprovideprompt,reliable,andefficientmailservicetoallcommunitiesintheUnitedStates.Withover720,000employeesworkingatmorethan40,000postofficefacilitiesnationwide,theUSPSissecondonlytotheDepartmentofDefenseintermsofthesizeandreachofitsoperationsandactivities.TheUSPSisorganizedinto10areaoffices,whicharefurthersubdividedinto85districts.AlthoughonemightnotimmediatelyassociatetheUSPSwithpotentiallysignificantenvironmentalimpacts,anumberofenvironmentalissuesrelatedirectlytotheUSPSscorebusinessprocesses.Theseenvironmentalissuesderivefrom,amongotherthings:0  the205,000vehiclestheUSPSoperatesandmaintains;V(#(# 0  thechemicalsitusestomaintainautomationandmechanization;B(#(# 0  thesolidwastesitgenerates;and,.(#(# 0  thecontentoftheproductsitsells.(Forexample,inmanufacturingandsellingpostage  stamps,theUSPSisthelargestsingleconsumerofadhesivesintheUnitedStates.) (#(# B.` hp x (#XB DriversforImplementinganEMS z  DuringthetwoyearsimmediatelyprecedingtheEMSDemonstrationProject,theUSPSundertookanintensiveefforttoimprovethemanagementandperformanceofitsenvironmentalprogram.Thiseffortincludedthedevelopmentandissuanceofacomprehensiveenvironmentalpolicystatement;conductofathoroughenvironmentaleffects(impacts)analysisofmajoroperationsandactivities;subsequentdevelopmentofenvironmentalstrategies,developmentofobjectivesandtargets;andpreparationofover100tacticalactionplansdesignedtoimplementthestrategy.Seniormanagersfromthe10areaofficesandmajordivisionswithintheHeadquartersactivelyparticipatedinthiseffort.Theprincipalfocusofthiseffortwasto:0  ensurecompliancewithenvironmentallaws;#!(#(# 0  integrateenvironmentalconsiderationsintobusinessplanning;$"(#(# 0  promoteindividualresponsibilityforenvironmentalprotectionandenhancement;v% #(#(# 0  workmorecloselywithcustomerstoaddresstheirconcerns;b&!$(#(# 0  trackprogressinmeetingenvironmentalgoalsandobjectives;andN'"%(#(# 0  setenvironmentalstandardsforsuppliers.:(#&(#(# Whilethisundertakingwasandcontinuestobeimmenselysuccessful,seniormanagementrecognizedthatakeyelementwasstillmissing"thebasicframeworkforacomprehensiveEMS.WhilenotnecessarilyintendingtopursueformalISO14001registration,theUSPSfeltthattherequirementssetforthintheISO14001Standarddescribedactivitiesthatanyenvironmentallyresponsibleorganizationshouldbedoingaspartofitsroutinebusinesspractice. -), Fromthatperspective,theUSPSwaseagertoseejusthowwellitsprogram measuredup,whileatthesametimeidentifyingareaswheremoreemphasiswasneeded.RecognizingthattherewasagreatdealtolearnaboutwhatanEMSisandwhatisrequiredtosuccessfullydevelopandimplementone,theUSPSdecidedthatactiveparticipationintheEMSDemonstrationProjectwouldprovidevaluableinsightandpracticalexperience.Accordingly,theUSPSdecidedtoparticipateintheprojectwiththeassistanceofaprivate,nonprofitthirdpartyorganization(theLogisticsManagementInstitute(LMI)),afederallyfundedresearchanddevelopmentcenterlocatedinMcLean,Virginia. SelfAssessment $   LMIstaffmembers(whowererelativenewcomerstotheEMSconcept)underwentNSFInternationalsextensiveEMStrainingprogramandconductedassessmentsatrepresentativeUSPSfacilities.FacilitiesselectedforassessmentweretheUSPSHeadquarterslocatedinWashington,DC,andtheSouthwestArea(SWA)Office,locatedinDallas,Texas.InitialassessmentswerecompletedinAprilandMay1995,withfollowupassessmentsconductedinthespringof1996.Theassessments,whichwereconductedbyLMIstaffusingtheNSFselfassessmenttool,includedfacetofaceinterviewsaswellasextensivedocumentationreviews.Selectedfieldfacilities(suchastheDallasBulkMailCenter)werealsovisitedsothatassessorscoulddeterminethedegreetowhichpoliciesandprocedureswereactuallybeingimplemented.AttheUSPSHeadquarters,interviewswereconductedwithkeymembersoftheEnvironmentalManagementPolicyOffice,whileattheSWAOffice,theareaenvironmentalcompliancecoordinatorwastheprincipalcontact.TheresultsoftheinitialselfassessmentshowedthattheSWAOfficewasroughlyata25%implementationlevel.TheHeadquartersOfficewasfoundtobeat49%implementationlevelbecausetheextensivestrategicplanninginitiativeandotheractionswerealreadyunderwayatthatlocation. Implementation 0"   Basedontheselfassessmentresults,theUSPSwasparticularlyencouragedtonotethatmanyoftherequirementsofISO14001werealreadybeingaddressedtosomedegree.(Infact,almostanyorganizationwithaformalenvironmentalprogramalreadyhasmanyelementsofanEMSinplace.)TheprincipalreasonforthedisparityinEMSimplementationbetweenthetwopilotlocationsofUSPSorganizationwasthefactthatsevenkeydistrictenvironmentalcoordinatorpositionsintheSWAwereunfilled,andthesingleareacoordinatorwastotallyengulfedinmanagingdaytodayoperations.ThisleftlittletimefortheSWAorganizationtofocusonEMSimplementationactivities.Nevertheless,significantimprovementswerenotedatbothlevelsduringthereassessmentoneyearlater.TheHeadquartersOfficeimprovedto87%implementation,whiletheSWAOfficeachieved51%implementation"almosta100%improvementatbothorganizationallevels. ,.|)- EMSareaswheretheUSPSwasfoundtohaveparticularstrength(ortohavemadethemostimprovementovertheyear)includedenvironmentalpolicy,objectivesandtargets,resources(especiallyenvironmentalstaffing),trainingandawareness,documentation,complianceauditing,communications,andmanagementreview . Keyareasthatrequiredadditionalemphasisincluded t developmentofperformanceindicators,impactandriskanalysisatthearealevel,recordsmanagement,andEMSauditing. Benefits  `  WhiletheUSPShasnotmadeafinaldecisionregardingformalISO14001registration,itdoesrecognizethattherearemanytangiblebenefitsfromimplementingaformalEMS.AnEMSestablishesabasicframeworkforasoundenvironmentalprogramandsubsequentenvironmentalperformance.Thisinturnshouldservetoimprovetheoverallconditionoftheenvironmentbyreducingoreliminatingnegativeimpacts.AnEMSshouldalsoresultinmoreeffectivecompliancemanagement,byensuringthatfieldoperationsareproperlyidentifyingandaddressingenvironmentalconcerns,allocatingresourceswisely,coordinatingactivitieswithotherkeyprogramoffices,andreviewingandimprovinginternalprocessesandprocedures.Inaddition,thereareothercompellingreasonsforEMSimplementation,suchas:0  potentialcustomersmayrequireit(especiallyintheinternationalmarketplace); \(#(# 0  facilityneighborsmaywantit(publicimageenhancement);and,H(#(# 0  itmayaffectrelationswithregulatorsandfutureliabilities(e.g.,facilitatepermitting, 4 reducefrequencyanddepthofinspections,andreduceseverityoffinesandpenaltiesassessed). (#(# B.` hp x (#XBInviewoftheseconsiderations,theUSPSwillrequirethenineremainingareaofficestocompleteinitialEMSselfassessmentsduring1997.Thisassessmentwillgivetheareaenvironmentalcoordinatorsanindicationofwheretheirstrengthsandweaknessesare,andhowmuchworkneedstobedonetomeettherequirementsforasuccessfulenvironmentalprogram.ResultsofthoseEMSassessmentswillbeinputintothenewlydevelopedEnvironmentalManagementInformationSystemdesignedtofacilitatehighlevelcorporatemanagementreviewandtracking.PeriodicreassessmentresultswillbeusedtomonitorprogressacrosstheUSPSaseachareastrivestomeetallrequirementsoftheISO14001Standard. FinalThoughts &"%  3 p x (#X3Aswithanycompany,largeorsmall,theUSPSknowsthatthefuturewilllikelybringincreasingenvironmentalchallengesandopportunities.Bymeetingthosechallengesandopportunitiesheadon,theUSPSwillcontinuetoensureasafeandhealthyenvironment,presentapositivepublicimageasahighperformanceorganization,reduceoveralloperatingcosts,andincreasebusinessopportunities.EstablishmentofanEMSwillprovideanessentialtoolforcontinuousrefinementandimprovementofitsprogramperformance,andwillensuretheultimaterealizationofcorporateenvironmentalpolicy,goalsandobjectives.  ,.|)- # X6&XXMX6&#X6&XX X6&   #X6&XXX6&# t XX6&WashtenawCountyGovernment#X6&X  tq#   B Background   WashtenawCountysinvolvementintheEMSDemonstrationProjectisuniquebecauseitwastheonlygovernmentagencyinvolved.TheSheriffDepartmentwaschosenasthepilotfacilitytoparticipateintheDemonstrationProjectonbehalfofWashtenawCounty.Thisdepartmenthadamanagementstaffthatwascommittedtothegoalsoftheprojectandwasexperiencedwiththeimplementationofqualitymanagementprinciples.Inaddition,thisdepartmenthadaclearcommandstructurethatdesignatedresponsibilityandaccountability.  6   OncetheSheriffDepartmentwasestablishedasthefacilitytoparticipateintheproject,the ^  DirectorandSeniorEnvironmentalManagerfromtheDepartmentofEnvironmentandInfrastructureServicesmetwithaCommanderintheSheriffDepartmenttobrainstormconceptsforanEMSandthebenefitsofhavinganEMSinplace.TheSeniorEnvironmentalManagerandtheCommanderdiscussedspecificissuesthatwouldfacilitateafeasibleandeffectiveEMSplan.TheseconversationsfocusedonthedifferencesbetweenEMSimplementationinaprivatecompanyandapublicagency,andhowanEMSwouldfitintotheSheriffDepartmentscommandstructure.Apolicywascreatedasaresultofthesemeetings.Thepolicyisbasedonthedevelopmentandmaintenanceofaqualitymanagementsystem(QMS)whichwillincludetheEMS.ThetwosystemswillbeintegratedbecausethedepartmentdecidedthatbothaQMSandEMSwerenecessary.Thissystemwillbeimplementedbasedonaholisticsetofcriteria,includingtheISO14001StandardaswellasCriminalJusticepolicies,CorrectionsOperationspolicies,andadditionalstandards.Thiswillensurethatthesedifferentstandardswillnotbeappliedinapiecemealfashion. DriversforImplementinganEMS    TheservicedeliverysectorofWashtenawCountyiscomprisedofseveraldepartments,andpoliciesexisttogoverntheseoperations.TheCountyisconfrontedwithaneedtomanagetheseareasbyutilizingawelldeveloped,systematicapproachtomanagement.InWashtenawCounty,thecurrentcountywideenvironmentalpoliciesconcernwastemanagement(primarilyrecycling),purchasingofhazardoussubstances,andpollutionprevention.Althoughspecificpoliciesexistintheseareas,thereisaneedforenvironmentalpoliciesthatarelinkedtoamanagerialapproach.Severalpoliciesarecurrentlyattheplanningstage;thesepolicesrelatetosustainabledevelopment,economicdevelopmentthatwilldecreaseurbansprawl,andbothqualityandenvironmentalmanagementsystems.ExpectedbenefitsofanEMSincludeincreasedgovernmentaccountability,andtheopportunitytoleadbyexample. z.)-   SelfAssessment   TheSheriffDepartmentconductedapreliminaryandfinalselfassessment.TheassessmentsfocusedontheJailOperationsandFoodServices.TheseservicescomprisetwoofthesixsectorswithintheCorrectionsDivision.Theywereselectedbecausetheyinvolvedahighlevelofmaterialuse,andstaffwerealreadydocumentingsomeofthematerialusestreams.Therewasaneedtodevelopandimplementamoreadvancedmethodforsolidwastemanagementtoreplacecurrentoperationalprocedures.Themeasurablesofconcernwerefoodservicepackagingwastematerials,drycellbatteries,andammunitionshellcasings.Oncethesemeasurableswereidentifiedanddocumented, theywerepresentedtothestaff $  workingintheseareas.Thestaffagreedthatamoreeffectiveapproachformeasurementandaccountabilitywouldenhancethequalityoftheirwork.Adepartmentwide QualityTeamwasformedtoassistwiththecoordinationofQMS/EMSpolicyinitiatives.Thisdiversegroupiscomprisedofrepresentativesfromvarioussectorsofthedepartment,includingofficers,counselors,sergeantsfromSecurityDetailandInmateInteractionsDetail,andotherdivisions.TheSheriffDepartmentselfassessmentidentifiedexistingprocedures,resultinginaviablefoundationtoimplementanEMStotargetthemeasurableslistedabove.Forthefoodservicepackagingwastematerials,FoodServicestaffwasalreadyrequiredtocountlidsandcardboardforsafetypurposes.Fordrycellbatteries,thedepartmentcurrentlyhasa gatekeepersystemforcollectingoldbatteriesanddistributingnewbatteries.Thissystemincludesacentraloperatingstationwhichisoperatedbyoneindividual.Batteriesareusedextensivelywithinthedepartmentbecausetheyarenecessaryforflashlights,cellularphones,pagersandothercommunicationdevices,handheldradios,andemergencyresponseequipment.Deadbatteriesaccumulateandrequireproperdisposal.ThebrassammunitionshellcasingsarecapturedandrecycledattheCountypracticetargetrange.Anincentiveexiststorecyclethesebecausethedepartmentreturnsthecasingstotheammunitionsuppliersforrebatesonnewammunition.Althoughtheseinitiativescurrentlyexistwithlittledocumentationandlittlemanagementoversight,itishopedthattheEMSwillimproveandformalizetherecyclingefforts. Challenges $H #  Inthepublicsector,politicalinfluenceestablishespolicydirectionanddetermineshow & "% resourcesareutilized.Mostprivatecompanieshaveamanagementcomponentthatdeterminesresourcedistribution;thisallowsflexibilityindevelopingandadoptingmanagementschemestoattractcustomers.Governmentagencies,ontheotherhand,arefacedwithincorporatingpoliciesthataredevelopedatthetoplevelbasedonpublicneeds.Thesepoliciesarethendisseminatedtothedepartmentallevel.TheCountyisfacedwiththechallengeofincorporatinganeffectiveEMSwithinanatmosphereofelectedofficialsandpoliticalagendasthatpredeterminebudgetsandresourceallocation.# X6&XXX6& #X6&XX X6& D-(,  C  $$LC 0.)- Ї Implementation   Implementationisnowunderway.TheSeniorEnvironmentalManagerisdevelopingtheformsthatwillprovideprecisedocumentationforaccountabilitywithinthefacilities.Thedepartmentisalsoidentifyingpersonswhowillberesponsibleforadoptingadditionalduties,oradjustingcurrentduties,thatwillfacilitatetheimplementationofprocedures.Oncetheseareasaredevelopedintoaworkingroutineforthetargetedfacility,amanagementpolicyrevieworauditingprocesswillfollow.Areviewprocesswillhavetwopurposes:1)toidentifyproceduresthatarenoteffective;and2)tocontinueorenhancethedevelopmentofareasthatareachievingthegoalsoftheEMS.OnceanEMSisdocumentedandachieved,thentheapproachcanserveasanexampletobeappliedtotheadditionalfoursegmentsoftheCorrectionsDivision.ThiseffortwillalsoeventuallybeappliedtoacountywideEMSimplementationprogram.2)XX6&2)222222222222)2  2<X6&X,)X6&XhX6&X6&XhX6&X6&XhX6&X6&XhX6&X6&XhX6&X6&XhX6&X6&XhX6&X6&XhX6&  р# X6&XXX6&#X6&XX X6& t XX6&   #X6&X  t## X6&XXX6&#  \  VIII.BIBLIOGRAPHY   Cascio,Joseph,editor.TheISO14000Handbook.CEEMInformationServiceswithASQC t QualityPress,1996.Diamond,CraigP., VoluntaryEnvironmentalManagementSystemStandards:CaseStudiesinImplementation.TotalQualityEnvironmentalManagement,(Winter1995/1996),pp.923. $ t InternationalOrganizationforStandardization,ISO14001:EnvironmentalManagementSystems  L  ЄSpecificationwithGuidanceforUse.1996.  8  NSFInternational,EnvironmentalManagementSystems:AnImplementationGuideforSmall   andMediumSizedOrganizations.November1996.   ̜Tibor,TomwithIraFeldman,ISO14000:AGuidetotheNewEnvironmentalManagement   Standards,IrwinProfessionalPublishing,1996. p   \ М X X6&IX.APPENDICES  AppendixABackgroundonISO14000,EMSStandards,andRegistration# X6&X Y#   TheDevelopmentofISO14000 ~  The InternationalOrganizationforStandardization(ISO) isresponsibleforthedevelopment V   oftheISO14000seriesofinternationalenvironmentalmanagementstandards.ISOwasfoundedin1946anditsheadquartersislocatedinGeneva,Switzerland.ISOhasdevelopedinternationalvoluntaryconsensusstandardsformanufacturing,communication,trade,andmanagementsystems.Itsmissionistopromoteinternationaltradebyharmonizinginternationalstandards.Over100countrieshavenationalstandardsbodiesthataremembersofISO.TheAmericanNationalStandardsInstitute(ANSI)istheU.S.representativetoISO.InJune1991,ISOcreatedthe StrategicAdvisoryGroupontheEnvironment(SAGE) .SAGE   assessedtheneedforinternationalenvironmentalmanagementstandardsandrecommendedthatISOmoveforwardwiththeirdevelopment.InJanuary1993,ISOcreated TechnicalCommittee  207(TC207) whichischargedwiththedevelopmentoftheISO14000seriesofstandards.TC  207iscomprisedofvarioussubcommitteesandworkinggroups.RepresentativesfromtheISOmembercountriescontributetheirinputtoTC207throughnationaldelegations.IntheUnitedStates,the U.S.TechnicalAdvisoryGroup(U.S.TAG) developstheU.S. : positiononthevariousISO14000standards.TheU.S.TAGiscomprisedofapproximately500membersrepresentingindustry,government,notforprofitorganizations,standardsorganizations,environmentalgroups,andotherinterestedstakeholders.TheU.S.TAGhasthelargestnumberofmembersofISOmemberdelegations.ThereareseveralorganizationsinvolvedintheadministrationoftheU.S.TAGsinputtoTC207,including:ANSI;theAmericanSocietyforQualityControl(ASQC);theAmericanSocietyofTestingandMaterials(ASTM);andNSFInternational.TC207developedtheISO14001Standardwhichspecifiesrequirementsforanenvironmentalmanagementsystem(theISO14001StandardistheonlystandardintheISO14000serieswhichisdesignedtobeauditedsuchadocumentiscalledaspecificationstandard).ISO14001contains17elementsthatcompriseanEMS.InadditiontoISO14001,severalguidancedocumentsarealsobeingdevelopedbyTC207.ISO14001,ISO14004(anEMSguidancedocument),andthreeenvironmentalauditingguidelines(ISO14010,ISO14011,andISO140012),werepublishedinSeptember1996.Otherdocumentsintheareasofenvironmentallabeling,lifecycleassessment,andenvironmentalperformanceevaluationareunderdevelopment.PublishedISOstandardsmustbereviewedandrevisedeveryfiveyears. -(, ЇTheEmergenceofEMSStandards  NumerousfactorshavecontributedtotheemergenceofEMSstandards.Thefollowingisabriefoverviewofsomeofthemajorfactors.ISO9000 8  TheISO9000seriesofinternationalqualitymanagementstandardswaspublishedin1987.Thestandardswerecreatedtopromoteconsistentqualitypracticesandtofacilitateinternationaltrade.TheISO9000seriesofstandardshasbeenadoptedbymorethan80countriesandisusedasabenchmarkforqualitymanagementbyindustryandgovernmentbodiesworldwide.Insomecases,ISO9000registrationhasbecomeaprerequisitefordoingbusinessdomesticallyandinternationally.InNorthAmerica,over13,000companiesareregisteredtoISO9000.Thequalitymanagementsystemframeworkcanserveasafoundationforenvironmentalmanagementsystems.Inessence,anEMSistheapplicationofqualitymanagementsystemprinciplestothemanagementofenvironmentalaffairs.WhiletheISO9000andISO14001standardshavedifferentfocuses,theysharemanysimilarrequirements.ThethreespecificationdocumentsforISO9000seriesareISO9001,ISO9002,andISO9003.ThekeydifferencebetweenISO9000andISO14001isthatISO14001requiresplanningstepstoidentifyenvironmentalaspectsandsignificantenvironmentalimpactswhichbecomethebasisofcontinualimprovement.SustainableDevelopment   In1987,theWorldCommissiononEnvironmentandDevelopment( BrundtlandCommission )  coinedtheterm sustainabledevelopmentinitsreportentitledOurCommonFuture.This  reportemphasizedtheneedtobalanceenvironmentalprotectionandeconomicgrowth.In1991,the InternationalChamberofCommerce(ICC) created theBusinessCharterfor H! SustainableDevelopment .TheICCCharteriscomprisedofsixteenPrinciplesfor 8"  environmentalmanagementthatfostersustainabledevelopment.ThePrinciplesinthisdocumentincludesomeofthebasicelementsofenvironmentalmanagementsystems.In1992,theUnitedNationsConferenceonEnvironmentandDevelopment(UNCED)washeldinRiodeJaneiro.Theconference,alsocalledtheEarthSummit(orRioSummit),resultedintwonoteworthydocumentsAgenda21andtheRioDeclaration. Agenda21 isa '#& comprehensiveguidancedocumentforsustainabledevelopment,whilethe RioDeclaration isa (#' setof27principlesforachievingsustainabledevelopment.Theseinternationalinitiativesonsustainabledevelopmentmarkedthedawningofanewageinenvironmentalprotection.Thebusinesscommunityworldwidewasaskedtoconsideritsimpactontheenvironmentandtotakestepstomitigatethatimpact. 4.)- ЇPrivateSectorPrograms&PublicConcernfortheEnvironment󀀀  Privatesectorprograms,suchastheChemicalManufacturersAssociationsResponsibleCare"X3XX X6&7# X6&X3h"Xā#  program,theGlobalEnvironmentalManagementInitiative(GEMI),andtheCoalitionforEnvironmentallyResponsibleEconomies(CERES)Principles(formerlytheValdezPrinciples),resultedinmodelcodesofconductthatencourageenvironmentalstewardship.Inaddition,publicconcernfortheenvironmenthasprovidedstrongmotivationforthedevelopmentofEMSstandards.NationalEMSStandards&EMAS  8  In1992,theBritishStandardsInstitute(BSI)published BS7750 ,thefirstnationalstandardfor   environmentalmanagementsystems.BSIhadpreviouslypublishedBS5750(aqualitymanagementsystemstandardintheUnitedKingdom)whichwasasignificantcontributiontothedevelopmentofISO9000.ISO14001waslargelybasedonBS7750,andthetwostandardssharemanysimilarrequirements.TheBS7750Standard,however,isviewedbymanytobemorestringentthanISO14001.Forexample,BS7750requiresthatanorganizationcompilearegisterofitssignificantenvironmentaleffects,andaregisterofalllegislative,regulatory,andotherpolicyrequirements.Inaddition,BS7750requiresanorganizationtomakeitsenvironmentalobjectivespubliclyavailable.FollowingthepublicationoftheUnitedKingdomsBS7750,aproliferationofnationalEMSstandardsemerged,includingstandardsfromIreland,France,SouthAfrica,andSpain.ThesevariousEMSstandardsdidnotallsharethesamerequirements,andinsomecasestherequirementswerecontradictory.Itbecameclearthatinordertofacilitateinternationaltrade,therewouldhavetobeoneinternationalEMSstandardthatwouldbeacceptedaroundtheglobe.InadditiontothenationalEMSstandards,Europeanlegislationwasdeveloped.The Eco  ManagementandAuditScheme(EMAS) wasadoptedbytheEuropeanUnion(EU)in1993. t EMASisaregulationthatenablesindustriestovoluntarilyimplementformalenvironmentalmanagementsystemsinordertoimprovetheirenvironmentalperformance.WhileISO14001andBS7750applytoorganizations(orpartsthereof),EMASisrestrictedtositespecificindustrialactivities.EMASparticipantsmustprepareanenvironmentalstatementspecifictoeachsiteconcernedandprovideinformationtothepublicabouttheirenvironmentalaspects.ThirdpartyverificationoftheEMSisanessentialcomponentofEMAS.ParticipatingorganizationsareincludedontheEUlistofparticipatingsites.TheRegistrationProcess  ($'  EMSregistrationistheprocesswherebyanonbiased thirdpartyatteststhatanorganizationsEMSconformswiththerequirementsofanEMSstandard,suchasISO14001.ItisimportanttonotethattheISO14001Standarddoesnotrequirethirdpartyregistration,butmarketforcesand `,'+ regulatoryincentivesmayprovidestrongencouragementforregistration.Thethirdpartyorganizationthatperformstheregistrationservicesiscalleda  registrar .Thetypeof 8.)- registrationservicesthatwillbeofferedforISO14001willbesimilartothoseofferedfortheISO9000seriesofqualitymanagementsystemstandards.InNorthAmerica,over13,000companieshavebeenregisteredtoISO9000.TheISO14001StandarddoesnotrequirethatanorganizationimplementtheEMSatthecorporatelevel.Forexample,oneorganizationmaychoosetoimplementtheStandardthroughouttheentireorganization,whileanothermayimplementtheStandardinoneparticularfacility.Therefore,anorganizationcanelecttoregistertheentireorganization,adivision(s),selectedfacilities,aparticularfacility,orselectedoperationswithinafacility.Thekeyfactorinchoosingtheorganizationalunitforregistrationpurposesisthatithasitsownfunctionsandadministration.̀Aregistrarcanbe accreditedbyathirdpartyaccreditationbodythatisindependentoftheregistrar. Accreditation istheprocessbywhicharegistrarscompetenceisevaluatedbyathird   partyaccreditationbodywithnationalorgovernmentalrecognition.Accreditationgreatlyenhancesaregistrarscredibility.Registrarsmayhavedifferentregistrationprocessesandmayofferdifferenttypesofservices.Thefollowingdescriptionoftheregistrationprocessisfairlytypicaloftheprocessusedbymanyregistrars.Itisprovidedforillustrativepurposes:  &C &X X6&Step1:ApplicationforRegistration  ` TheorganizationthatwishestoobtainEMSregistrationsubmitsanapplicationindicatingtheactivitiesandfacilitiesoftheorganizationorsitetoberegistered. Step2:ReviewofEMSDocumentation/DeskAudit  f TheorganizationsubmitsdocumentationofitsEMS,whichincludesitsenvironmentalpolicyanddocumentationthatindicateshowitmeetseachclauseintheISO14001Standard.Thedocumentationisreviewedbyadesignatedleadauditor.TheauditorgeneratesawrittenreportwhichindicatesconformanceornonconformanceofthedocumentedEMStoeachclauseoftheStandard. Step3:OnsiteEMSReadinessReview  h  TheleadauditorconductsanonsitevisitinordertoresolveanyEMSdocumentationnonconformancesandtoverifythatthefacilityispreparedforafullregistrationaudit.Theonsitevisitisalsousedtoassesstheresourcesandlogisticsnecessaryforthefullregistrationaudit.̜|̛| Step4:RegistrationAudit  $$ Anauditteamwillconductanonsiteaudittoevaluateandverifythroughobjectiveevidence(interviews,procedures,records,etc.)thattheEMSconformstotherequirementsintheISO14001Standard,iseffectivelyimplemented,andhassufficientprovisionstobemaintained. Step5:RegistrationDetermination  ($) Afinalreportcontainingtheresultsoftheregistrationauditissubmittedtotheorganization.ToreceiveaCertificateofRegistration,anorganizationmustsuccessfullymeettherequirementsoftheISO14001Standard,aswellastheregistrationpoliciesoftheregistrar.̜|| Step6:Surveillance  ,:(. Surveillanceauditsaretypicallyperformedsemiannuallytoverifycontinuedconformance.Duringthesurveillanceaudits,theauditteammayonlyauditcertainelementsoftheEMS.Overathreeyearperiod, .)0 however,alloftheelementsoftheEMSmustbereviewedtoensurecontinuedconformancetotherequirementsoftheISO14001Standard.     RegistrationAuditResults  2 Thereareessentiallythreepossibleresultsfromaregistrationorsurveillanceaudit.Theregistrarcandeterminethattheapplicantis:̜*XX*1)0  Recommendedforregistration (#(# М0  Therearenomajornonconformities; (#(# ̜2)|0  |Recommendedforregistrationfollowingverificationofcorrectiveaction Z (#(# М|0  |Thereareoneormoremajornonconformitieswhichcanbecorrectedandverifiedwithoutafullreaudit;or (#(# Л̜3)|0  |Recommendedforanonsitereassessmentb (#(# М|0  |ThereareseveralmajornonconformitieswhichindicateabreakdownoftheEMS.Anotherfullonsiteauditisrequired. (#(# Note:AmajornonconformityistheabsenceorcompletebreakdownofanEMSelement.Alargenumber   ofminornonconformitiesforoneelementmaybeconsideredamajornonconformity.Aminor  conconformityisasingleobservednonconformity.# X6&X & &C# f   d  X X6&AppendixB  QuestionsAskedofProjectParticipantsattheConclusionoftheProject# X6&X #   ̜*XX*0  Whatfactorsaremotivating/drivingyourcompanytoimplementanEMS?\ (#(# ̜0  Whathavebeenthebarriers/challengestoEMSimplementationencounteredthusfar,and 4  howhasyourorganizationaddressedthem? (#(# ̜0  WhatspecificrequirementsinISO14001arequestionable(i.e.,unclear,oflimitedvalue, H  ortoodifficulttoimplement)andwhy?Pleaseprovideareferencetotheactuallanguagewhenansweringthisquestion. (#(# ̜0  Has(orwill)implementingtheEMShelpedyourorganizationdevelopmoreeffective   approachesformanagingenvironmentalcomplianceactivities? (#(# ̜0  HasimplementingtheEMSimprovedyourorganizationsoverallenvironmental l performance?Whichspecificenvironmentalimpactshavebeenaffected? (#(# ̜0  HasimplementingtheEMSreducedoverallenvironmentalmanagementcosts?Which 0 costsinparticular? (#(# ̜0  Hasimplementationbroughtormaintaineddomesticorinternationaltradeopportunities? D Ifso,explain. (#(# ̜0  InwhatwayshaveyouintegratedyourEMSwithISO9000orotherexistingmanagement  systems(e.g.,health&safety)?Pleaseexplain. (#(# ̜0  HaveyouattemptedtocalculatethecostsofEMSimplementation?Ifso,howdidyou |  defineyourimplementation startingpoint(i.e.,wasthisprojecttheEMSstartingpoint,orsometimebeforethat)?Whatcostswereconsideredinthecalculation? (#(# ̜0  Whatotherbenefitshaveyoureceived,orexpecttoreceive,fromEMSimplementation?,$|"(#(# ̜0  Whatadvicewouldyouoffertoregulators(federal,state)astheylookforwaystousethe &T!$ EMSapproachandISO14001intheirinteractionswiththeregulatedcommunity? (#(#   )%( X X X6&AppendixC  ElementsoftheISO14001Standard:ASnapshot# X6&X #   Environmentalpolicy󀄀Developastatementoftheorganizationscommitmenttothe  environment.Usethispolicyasaframeworkforplanningandaction.Environmentalaspects󀄀Identifyenvironmentalattributesoftheorganizationsproducts, X  activities,andservices.Determinethosethatcouldhavesignificantimpactsontheenvironment.Legalandotherrequirements󀄀Identifyandensureaccesstorelevantlawsandregulations(and  \  otherrequirementstowhichtheorganizationadheres).Objectivesandtargets󀄀Establishenvironmentalgoalsfortheorganization,inlinewithits   policy,environmentalimpacts,viewsofinterestedparties,andotherfactors.Environmentalmanagementprogram󀄀Planactionstoachieveobjectivesandtargets.  Structureandresponsibility󀄀Establishrolesandresponsibilities,andprovideresources. | Training,awarenessandcompetence󀄀Ensurethatemployeesaretrainedandcapableofcarrying T ourtheirenvironmentalresponsibilities.Communication󀄀Establishprocessesforinternalandexternalcommunicationsonenvironmental X managementissues.EMSdocumentation󀄀MaintaininformationontheEMSandrelateddocuments.  Documentcontrol󀄀Ensureeffectivemanagementofproceduresandothersystemdocuments.  Operationalcontrol󀄀Identify,plan,andmanageoperationsandactivitiesinlinewiththe  organizationspolicy,objectives,andtargets.Emergencypreparednessandresponse󀄀Identifypotentialemergenciesanddevelopprocedures P"! forpreventingandrespondingtothem.Monitoringandmeasurement󀄀Monitorkeyactivitiesandtrackenvironmentalperformance. %T!$ Nonconformanceandcorrectiveandpreventiveaction󀄀Identifyandcorrectproblemsand &,#& preventrecurrences.Records󀄀KeepadequaterecordsofEMSperformance. )%) EMSaudit󀄀PeriodicallyverifythattheEMSisfunctioningasintended. +'+ Managementreview󀄀PeriodicallyreviewtheEMSwiththegoalofcontinualimprovement.  `-)-  X X6& AppendixD  ExcerptsfromNSFsEMSSelfAssessmentTool # X6&X )#  Thisappendixcontainstwoitems:thefirstpageofthechecklistfromNSFsEMSSelfAssessmentTool;anddescriptionsofthefiveimplementationlevelsusedinthetool.TheseexcerptsfromtheassessmenttoolareprovidedheretoillustratetheformatoftheEMSselfassessmentsandindependentassessmentsthatwereconductedaspartoftheEMSDemonstrationProject.ThesamplepagetakenfromthechecklistcontainstheexactlanguagefromtheISO14001Standard.Theactualchecklist,whichcontainsEMSrequirementsfromtheentireStandard,isapproximatelyninepagesinlength.AsdiscussedinSectionIVofthereport,thechecklistbreaksdownthe17elementsofISO14001into63individualrequirements.Thesamplepageprovidedcontainsthefirsteightoftheserequirements.ThenumbersthatappearwitheachrequirementarenotfoundintheactualStandard;theyweredevelopedsolelyforuseinNSFsEMSSelfAssessmentTool.  D hhhh   o.X6&XX X6&XX6& u AppendixD#X6&X.## X6&XXX6&.# @ 7XmXX X6&  7D_;X7XmChecklistforISO14001:SamplePage#7XmX;7D_g/#  * [/*q8 9 d Vd9jZ@jZ@jj@OPhp&hp&q, x0 ,Ydd ,dd , dd +  $..  $   Requirement R.0.?0@   .. RImplementationLevel @6' "  .0. L@ &00 8  &Yes 90c* "00 9No =0c.* "0c =Comments M..Z8* " L0  0c. @(M 0XeXX04.20  ENVIRONMENTALPOLICY 2 J..7)J  ?$?$ @( ..Z @(J7c=X7XmTopmanagementshalldefinetheorganizationsenvironmentalpolicyandensurethatit: 8.) 8  @( .. @(8 #7XmX=7c3#4.2.17c?X7Xm isappropriatetothenature,scaleand  h  environmentalimpactsofitsactivities,productsorservices;#7XmX?7cp4#7c=X7Xm 00!. . 0#7XmX=7c05#7AX7Xm#7XmXA75# D h 7&]#C&X7XmCOM#7XmXC&7&]#5#  D  7AX7Xm#7XmXA7W6# D h 7&]#C&X7XmES#7XmXC&7&]#6# 9c* D 0 97AX7Xm#7XmXA7/7# D h 7c?X7XmNA#7XmX?7c7#  D  7AX7Xm#7XmXA77# D h 7c?X7XmIN#7XmX?7c>8#  D  7AX7Xm#7XmXA78#D h 7c?X7XmPAR#7XmX?7c8# 4 c.!D c 4 5.& h  @(  c. @(5 4.2.27&]#C&X7Xm #7XmXC&7&]#9#7c?X7Xmincludesacommitmenttocontinual  improvementandpreventionofpollution;#7XmX?7c9# '0@. '7AX7Xm#7XmXA7:#^7&]#C&X7XmCOM#7XmXC&7&]#;# ^ 7AX7Xm#7XmXA7};#^7&]#C&X7XmES#7XmXC&7&]#;# 'c^0 '7AX7Xm#7XmXA7U<#^7c?X7XmNA#7XmX?7c<# ^ 7AX7Xm#7XmXA7 =#^7c?X7XmIN#7XmX?7cd=# ^ 7AX7Xm#7XmXA7=#^7c?X7XmPAR#7XmX?7c># +c.^c + 5.& @( c. @(5 4.2.37&]#C&X7Xm #7XmXC&7&]#>#7c?X7Xmincludesacommitmenttocomplywith 4  relevantenvironmentallegislationandregulations,andwithotherrequirementstowhichtheorganizationsubscribes#7XmX?7c ?#; 00!2#. 07AX7Xm#7XmXA7+@#47&]#C&X7XmCOM#7XmXC&7&]#@# $ 7AX7Xm#7XmXA7@#47&]#C&X7XmES#7XmXC&7&]#;A# 9c*%0 97AX7Xm#7XmXA7A#47c?X7XmNA#7XmX?7cB# & 7AX7Xm#7XmXA7lB#47c?X7XmIN#7XmX?7cB# ' 7AX7Xm#7XmXA7 C#47c?X7XmPAR#7XmX?7c{C# 4 c.!(c 4 5.&4) @(  c. @(5f 4.2.4 7c?X7Xmprovidestheframeworkforsettingand ~* reviewingenvironmentalobjectivesandtargets;#7XmX?7cGD# '0o,. 'f)D7AX7Xm#7XmXA70E#Z~7&]#C&X7XmCOM#7XmXC&7&]#E# Z- 7AX7Xm#7XmXA7E#Z~7&]#C&X7XmES#7XmXC&7&]#RF# 'cZ.0 '7AX7Xm#7XmXA7F#Z~7c?X7XmNA#7XmX?7c*G# Z/ 7AX7Xm#7XmXA7G#Z~7c?X7XmIN#7XmX?7cG# Z0 7AX7Xm#7XmXA77H#Z~7c?X7XmPAR#7XmX?7cH# +c.Z1c + 5.&~2 @( c. @(5 4.2.5 7c?X7Xmisdocumented,implementedand 03 maintainedandcommunicatedtoallemployees;and#7XmX?7cCI# 00!5. 07AX7Xm#7XmXA7J#t 07&]#C&X7XmCOM#7XmXC&7&]#tJ# t 6 7AX7Xm#7XmXA7J#t 07&]#C&X7XmES#7XmXC&7&]#)K# 9c*t 70 97AX7Xm#7XmXA7K#t 07c?X7XmNA#7XmX?7cL# t 8 7AX7Xm#7XmXA7ZL#t 07c?X7XmIN#7XmX?7cL# t 9 7AX7Xm#7XmXA7M#t 07c?X7XmPAR#7XmX?7ciM# 4 c.!t :c 4 5.&0; @(  c. @(5f 4.2.6 7c?X7Xmisavailabletothepublic.#7XmX?7c5N# '0J<. 'fN7AX7Xm#7XmXA7N#&J7&]#C&X7XmCOM#7XmXC&7&]#*O# &= 7AX7Xm#7XmXA7O#& J 7&]#C&X7XmES#7XmXC&7&]#O# 'c& >0 '7AX7Xm#7XmXA7nP#&J7c?X7XmNA#7XmX?7cP# &? 7AX7Xm#7XmXA7"Q#& J 7c?X7XmIN#7XmX?7c}Q# & @ 7AX7Xm#7XmXA7Q#&!J!7c?X7XmPAR#7XmX?7c1R# +c.&!Ac + ?..Z*JB @( c. @(? 4.30  PLANNING R J..7)"!C?$?$ @( ..Z @(J 4.3.1EnvironmentalAspects :. )R$"D @( .. @L: 4.3.1.1 7c?X7XmTheorganizationshallestablishand %@$E maintain(a)procedure(s)toidentifytheenvironmentalaspectsofitsactivities,productsorservicesthatitcancontrolandoverwhichitcanbeexpectedtohaveaninfluence,inordertodeterminethosewhichhaveorcanhavesignificantimpactsontheenvironment.#7XmX?7cS# 20 !&*(L.  27AX7Xm#7XmXA7U#%$%@$7&]#C&X7XmCOM#7XmXC&7&]#U# %$M 7AX7Xm#7XmXA7FV#&%&@%7&]#C&X7XmES#7XmXC&7&]#V# ;c *&%N0  ;7AX7Xm#7XmXA7 W#%$%@$7c?X7XmNA#7XmX?7c{W# %$O 7AX7Xm#7XmXA7W#&%&@%7c?X7XmIN#7XmX?7c/X# &%P 7AX7Xm#7XmXA7X#'&'@&7c?X7XmPAR#7XmX?7cX# 4 c .!'&Qc  4 7 .X&%@$R @L  c . @(7f;( 4.3.1.2 7c?X7XmTheorganizationshallensurethat z+*S theaspectsrelatedtothesesignificantimpactsareconsideredinsettingitsenvironmentalobjectives.#7XmX?7cY# -N,V  ) 0Xi.-W .X )fY7AX7Xm#7XmXA7Z#V+)z+*7&]#C&X7XmCOM#7XmXC&7&]#T[# V+)X 7AX7Xm#7XmXA7[#V,*z,+7&]#C&X7XmES#7XmXC&7&]#\# ) cXV,*Y 0X )7AX7Xm#7XmXA7\#V+)z+*7c?X7XmNA#7XmX?7c\# V+)Z 7AX7Xm#7XmXA7N]#V,*z,+7c?X7XmIN#7XmX?7c]# V,*[ 7AX7Xm#7XmXA7^#V-+z-,7c?X7XmPAR#7XmX?7c]^# + cX.V-+\ cX +f," z+*] @(  cX. ,# X6&XX7Xm