Environmental Management Systems Program (EMSP) EMS Assessment, Implementation and Auditing Research and Course Development.

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Environmental Management Systems Program (EMSP)

EMS Assessment, Implementation and Auditing

Research and Course Development

Final Report

By

Phillip E. Barnes Research Associate Professor

School of the Environment University of South Carolina

Introduction

Through funding from the SC Sustainable Universities Initiative (SUI) a study was conducted to determine the best structure in the development of an Environmental Management System (EMS) Lead Auditor course for USC graduate students. Working with Pillar Management Associates, an accredited Registrar Accreditation Board (RAB) EMS course provider, a USC course was developed for students interested in gaining the knowledge and skills necessary to plan, conduct, report, and lead audits of an EMS. The University EMS Lead Auditing Course is the only course in the U.S. accredited through the American National Standard Institute (ANSI)/(RAB). Offered in the May and Summer Sessions, the course provides students 36 hours of auditing instruction required by ANSI/RAB to become a certified EMS auditor. The course is restricted to students enrolled at USC or other institutions of higher learning if the program at their home institution has a prearranged agreement with USC. Students earn three 3 credit hours, as well as the accredited training through RAB.

During the past 2001/2002 May and Summer II sessions, twenty-eight (28) students have enrolled in the EMS course, including four (4) staff members from the USC EH&S Department. The EH&S staff members were trained to become lead EMS auditors as part of the EMS implementation process at USC. And, in the Summer II session-2002, two (2) managers from industry, who had been informed of the course enrolled in USC as non-degree seeking students.

Through the success of the EMS auditing course an Environmental Management Systems Program (EMSP) was established at USC as a foundation to build a series of courses

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focused on environmental management tools. During and after EMSP completion, students were provided the opportunity to participate in EMS applied research projects. The EMSP emphasizes EMS assessment, implementation, management systems integration, life cycle analysis, environmental performance evaluation and auditing.

The EMSP is directed by Phil Barnes, USC School of the Environment, and has been established for one year. Since its creation the EMSP students have participated in six applied research projects. Overviews of each project are included in the following report.

EMS Importance in Business and Environmental Planning

International Environmental Management System (EMS) standards are rapidly becoming a key ingredient in strategic business planning. Today’s most successful multinationals have integrated the EMS structure within their business management system. The implementation of an EMS into business operations increases internal efficiency, opens communication with external parties, and reduces management risk. Global corporate responsibility begins with environmental and social accountability, which is continuing to have more of an impact on business decisions. Senior managers in global organizations have reduced management risk through integrating an EMS into the organization’s business system.

The EMS is a key aspect of competing in today’s global market. Ford, GM, Toyota, Xerox, Philips Electronics, BMW, Owens Corning, and many other global companies have registered to ISO 14001, and are urging, and in some cases requiring their suppliers to implement an EMS. Employees from senior management to shop floor personnel have been trained to understand their job’s impact has on business operations, in relation to environmental responsibility of the organization.

The International Organization for Standardization (ISO) began development of international management system standards in 1987 with the ISO 9000 quality management system standard series. In 1996, the ISO 14001 EMS standard was published. As international management standards continue to be developed, organizations will stress management systems integration, to increase business efficiency. Through the EMSP and the EMS Lead Auditor Course students will better understand the significance of international management system standards on business operations. Students of business, engineering, environmental sciences, etc., will have the opportunity to gain experience and knowledge regarding the methodologies of implementing and auditing international management system standards and the process for integration into the organization’s existing management systems. As organizations in various countries integrate international management systems, each country’s culture and environmental laws and regulations will affect management decisions on implementation methods. U.S. based companies with facilities in various countries and foreign-based companies with facilities in the U.S. must have a clear knowledge and understanding of international management system standards in order to stay competitive in the global market.

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As one of the two ISO published international management system standards the ISO 14001 EMS has become the foundation of management systems integration, because it affects all aspects of business decision-making. Unlike the ISO 9000 quality management standard, which applies to manufacturers and product quality, the ISO 14001 standard addresses not only product quality, but also environmental and social impact. ISO 14001 assist managers in analyzing the management risk involved within the total business system through review of all the organization’s activities, products and services.

As future managers in a global economy, students from universities in developed and developing countries will be prepared to meet the challenges of designing competitive strategies for economic development efforts. Faculty will work to increase their understanding of environmental planning in business decisions and how integration of international management system standards, including ISO 14001 EMS, ISO 9001 QMS, and Health and Safety are implemented to enhance continual improvement in strategies focused on economic development, and environmental protection, which will enhance society’s quality of life.

EMSP Applied Research Projects

Students participating in the EMSP have assisted in the assessment, implementation and auditing of six organizations in the past year. Students assisting in the projects below completed two EMSP courses, ENVR 725—Environmental Assessment and Implementation, and ENVR 800—EMS Lead Auditor Course.

Projects:

Square D Corporation—This project encompassed the assessment of the ISO 14001 EMS standard and the integration of the EMS into Square D’s quality management system standard (ISO 9000). Square D has approximately 600 employees and is located in Columbia, SC. Square D manufacturers electrical devices, such as safety switches, cam switches, low, medium, and high switches, and transformers.

Harrell Industries, Inc.—A small organic chemical processor in Rock Hill, SC with 26 employees and two significant customers. Customers, DOW Chemical and E.I. Lilly, required management to establish quality and environmental management systems to demonstrate supplier continual improvement. This project was the first program where a single management systems manual was developed which integrated quality, environmental and health and safety.

BC Components—Manufactures transistors and has approximately 260 employees. Corporate directive required BC Components to implement the ISO 14001 EMS standard. Beginning the 2nd week in April a USC EMSP student began working with Barnes in the implementation process. Registration to the standard was completed in nine months.

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Drexalmaier Automotive of America—Supplier to the automotive industry, which manufactures auto interior parts, with 175 employees. This project included training and auditing of the ISO 14001 EMS. A presentation of the implementation process was provided to the EMSP students. BMW a customer of the company was impressed with the environmental management program implemented and included Drexalmaier in its newsletter with reference to USC and the School of the Environment.

Southeast Millwork Company—Manufactures custom doors for the building industry. This was a waste reduction project initiated by the SC Department of Health and Environmental Control. Students in the EMSP conducted a study implementing waste solutions using elements of the ISO 14001 EMS. The project focused on the environmental cause and impact (ISO 14001—Element 4.3.1) of waste generation.

Charleston Commission of Public Works (CPW)—The management of CPW requested the EMSP director to develop a risk reduction model based on the implementation of ISO 14001 EMS. A student within the EMSP program developed a risk reduction model by modifying a physical protection model. The abstract of the paper was accepted and the completed paper has been submitted for presentation at the International Sustainable Business Conference in Bangkok, Thailand.

EMSP and International Development

The director of the EMSP is forming a network of educational institutions and multinational companies to establish an international student environmental management auditing exchange program for international environmental business education. The International Management Standards Auditing Network (IMSAN) program will educate students through providing courses on management systems integration and auditing, and placing students into large and small organizations in different countries to assist in a detailed audit of the organization’s EMS integration with existing management systems. The hands-on auditing experience and gathering of empirical data, coupled with the theoretical applications in the classroom will provide students with the ability to make better business decisions as they apply them to their positions in organizations. The relationship to business planning, economic development, environmental protection and social well-being will foster improved business decisions based on knowledge gained through learning how international management system standards are influenced by country culture, including the country’s laws and regulations.

A network of U.S. and European Universities will begin development of the network for the IMSAN program. U.S. universities include, University of South Carolina and Clemson University. European Universities include, University of Bayreuth, (Germany), Erasmus University (Netherlands), and Lund University (Sweden). Graduate Students from each of the Universities will have the opportunity to take the USC EMSP courses including the EMS Lead Auditor course, which will include the European Union’s Environmental Management and Auditing Scheme (EMAS).

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The IMSAN will be linked through an Internet protocol for video conferencing, and other information technology based tools. Annual conferences for presentations and quarterly video conferencing among universities will enrich the business education network. Multinationals with facilities in various countries will enhance the network by allowing students to gain auditing experience, which will provide detailed learning of the organization’s integration methods of international management standards. For example, in the U.S., managers from BMW, Square D, Draxelmaier Automotive, Sonoco Products and BC Components, will work with faculty from the host universities to set up schedules for student audits.

The IMSAN program will begin with faculty from the pilot universities and managers from large and small corporations attending a workshop to give presentations and provide input on international business and management systems/EMS standards integration. The result of the workshop will provide a set of core IMSAN courses for students involved in the program. Students will begin the program by attending an International Management Systems Integration/EMS course within the University they are enrolled. Students completing the course will begin EMS audits of various organizations in order to gain knowledge of implementation methods used for international management systems integration, and the effects of the country’s culture and regulatory issues.

Summary

The SC Sustainable Universities Initiative provided seed funding to establish the initial EMS auditing course, which has created opportunities for USC students to gain a better understanding of environmental management tools. Students were also given the opportunity to participate in applied research projects involving SC organization’s EMS assessment, implementation and auditing. The foundation of sustainable development is an EMS. The EMS provides a path to continual environmental improvement and methodologies for enhancing sustainable development initiatives. Once the EMS is structured and implemented within the organization, continual improvement is an ongoing process that enhances the ability of the organization to reduce its environmental impact and increase business efficiency. Institutions of higher learning operate within a global economy and should encourage students, no matter the discipline, to gain an understanding of international environmental management system standards, the effect of the standards on their field of study, and on the organizations they will work for. Students with the ability to use the EMS as an environmental management tool within organizations can contribute to the organization’s overall goal of economic development while protecting the environment and enhancing society’s quality of life.

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Environmental Management Systems Program (EMSP)

The EMS program established by the School of the Environment (SOE) at the University of South Carolina (USC) is the only program of its kind in the U.S. Established to educate students in various functions of environmental management systems, the EMS program emphasizes EMS assessment, implementation, management systems integration, and auditing.

The SOE-EMS program offers the only University EMS Lead Auditing Course accredited through the American National Standard Institute (ANSI)/Registrar Accreditation Board (RAB). Offered in the May and Summer Sessions, the course provides students with 36 hours of auditing instruction required by ANSI/RAB to become a certified EMS auditor.

Working with Pillar Management Associates, an accredited RAB EMS course provider, the SOE developed an EMS course schedule designed for students interested in gaining the knowledge and skills necessary to plan, conduct, report, and lead audits of an EMS. This course will enhance environmental management and auditing skills, including report writing and preparing corrective actions.

Summer II Course Schedule for 2002

Course title: ENVR 800B -- ISO 14001 EMS Auditor - 3 credit hours

*Dates and Time: Monday through Friday – July 8 through July 26 – 8:00am-10:45am Class size limited to 10 students----Final Exam – Friday, July 26

Required Text: ISO 14001 Lead Auditor Manual Students taking the EMS auditing course will:

• Meet the training requirements for RAB auditor certification

• Develop skills to assess the organization for EMS implementation

• Learn and practice techniques needed to conduct EMS audits

• Understand the ISO 14001 EMS standard requirements

• Gain knowledge of integrating other management system audits

• Benefit from lessons learned by experienced auditors *Students must attend each class session as required by RAB.

For more information call: Phil Barnes, Research Associate Professor, USC- School of the Environment at 777-1373 or email: [email protected]

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ENVR 800B EMS-Lead Auditor Course Agenda

Session 1-5/14 TOPICS TIME

8:00 - 9:00 Introductions Section A (19 slides)

Course Objectives, Expectations, Student Evaluations Administrative (lunch, restrooms, breaks)

Exercise 1 - Divide group into pairs and have each member of the pair introduce the other members (30 min.)

Instructor Introduction

60 min.

9:00 - 9:30 Environmental Management Systems Presentation Section B (8 slides) 30 min.

9:30 - 9:45 Break 15 min.

9:45 – 10:45 Terminology and Definitions Section C (15 slides) Exercise 2 - Each team to define in their own words with examples for 3 or 4 terms. Presentation and discussed by teams.

Presentation of additional definitions

10 min. to define the exercise, 20 min. for the to work. 10 min.for each team to present (10,10, 10)

60 min.total

8:00 - 8:45 Introduction to ISO 14001 and EMS Concepts Section D (23 slides)

Background, purpose, standards and their creation, the model. Includes slides on labeling, epe and lca c 25-29.

45 min.

8:45 - 9:15 Aspects and Impacts Section E (22 slides) 30 min.

9:15 - 9:25 Break 10 min.

9:25 – 10:45 Exercise 3: Aspects and Impacts 80 min.

8:00 - 8:40 Exercise 3 (cont.): Aspects and Impacts 40 min.

8:40 – 10:10 ISO 14001 Requirements Section F (66 slides) 90 min.

10:10 - 10:20 Break 10 min.

10:20 - 10:45 Exercise 4: Lone Mountain Mining

Slide Show Lone Mountain Mining (25 min.) Aspects, Impacts, Objectives and Targets (60 min.) Presentation (15 min.)

25 min.

Homework Exercise 4 can be continued as Homework

8:00 – 9:15 Exercise 4 (cont): Lone Mountain Mining

Slide Show Lone Mountain Mining (30 min.); Aspects, Impacts, Objectives and Targets (60 min.); Presentation (15 min.)

75 min.

9:15 - 9:25 Break 10 min.

9:25 – 10:25 Discussion of identifying documented requirements Section F cont. 60 min.

10:25 – 10:45 Exercise 4 and 5 Discussion 20 min.

Homework Homework: Exercise 5: Highlight and count all “shalls” in 14001 (30 min.)

30 min.

Number: Instructor USC Issue Date: October 10, 2000

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8:00 - 8:50 Exercise 4 and 5 Discussion (cont.) 50 min.

8:50 - 9:35 Historical Perspective Section G (40 slides)

Regulations EMS Philosophy

45 min.

9:35 - 9:45 Break 10 min.

9:45 – 10:45 Documentation in the EMS, Section H (25 slides)

Documentation Hierarchy

Exercise 6 Truth or Assumption (45 min.)

60 min.

8:00 - 8:45 Audit Roles, Responsibilities and Activities Section I (25 slides)

45 min. 8:45 – 9:30 EMS Auditor Certification/Qualification Section J (23 slides)

Education, Training & Experience Auditing Experience

Limited Time Option

Personal Attributes and Skills Code of Conduct

45 min.

9:30 – 9: 40 Break 10 min.

9:40 – 10:10 ANSI-RAB Accreditation Program Section K (15 slides) 30 min. 10:10 – 10:45 The EMS Audit Process Section L (23 slides)

Discussion of auditing EMS audit criteria

Audit categories (1st , 2nd and 3rd party audits) Auditing and comparing documents

Auditee’s Organization and Scope Audit Objectives

Preliminary review of documentation Audit Planning

Audit Planning Matrix

35 min.

8:00 - 9:00 Exercise 7: Audit Plan (for 1 or 2 elements) 60 min. 9:00 - 9:30 The EMS Audit Process (cont.) Section M (14 slides)

Working Documents Types of Audits System (Desktop) Audit

30 min.

9:30 – 10:00 The EMS Audit Process (cont.) Section N (8 slides)

Writing Good Checklist Questions

30 min.

10:00 – 10:10 Break 10 min.

10:10 –10:45 Exercise 8 (for 1 element and 1 LMM procedure)

Prepare a Checklist to be used in the audit of your first department.

35 min.

Homework HOMEWORK (continue Exercise 8) 25 min.

Homework HOMEWORK Exercise 9: Desk Audit of Lone Mountain Mining Read and take notes

105 min

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8:00 - 9:00 Discussion of Exercise 9 60 min.

9:00 - 9:15 The EMS Audit Process (cont.) Section O (9 slides)

Opening Meeting

15 min.

9:15 – 9:25 Break 10 min.

9:25 – 9:55 Exercise 10

Opening Meeting Topics/Agenda

30 min. 9:55 – 10:25 The EMS Audit Process (cont.) Section P (10 slides)

Audit Techniques, Interviewing, Questioning Techniques and Communication

Collecting evidence Audit findings

30 min.

10:25 – 10:45 Review 20 min.

8:00 – 10:00 Exercise 11: Conducting a (mock) Audit (25 min. for each of the three audit groups and 5 min. each for feedback)

30 minute discussion about the audit experience

120 min.

10:00 –10:10 Break 10 min.

10:10 - 10:45 The EMS Audit Process Section Q (19 slides)

Writing and Documenting Nonconformances

35 min.

8:00 – 8:45 Exercise 12

Examining poorly written nonconformances (rewrite)

45 min. 8:45 - 9:30 Exercise 13

Three nonconformances (classify as obs., minor or major and follow-up)

45 min.

9:30 –9:35 Break 5 min.

9:35 – 10:05 The EMS Audit Process (cont.) Section R (20 slides)

Evaluation of Conformance

30 min. 10:05 - 10:20 The EMS Audit Process (cont.) Section S (10 slides)

Closing Meeting

15 min.

10:20 - 10:45 Exercise 14 Closing Meeting 25 min.

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8:00 – 8:15 The EMS Audit Process (cont.) Section T (15 slides)

Audit Report Distribution

Follow-up Activities

15 min.

8:15 – 8:45 Exercise 15 Audit Report 30 min.

8:45-9:45 Exercise 16 Team Exercise

Review the EMS manual and procedure for your department and records of activities in your department.

Identify any gaps/nonconformances and list on findings worksheet. Prepare yourself to be the audited representative of your department

by being able to locate the applicable procedures and records.

60 min.

9:45 – 9:55 Break 10 min.

9:55 – 10:45 Exercise 17: Planning a (Mock) Audit Plan the Lone Mountain Mining EMS Audit Audit Plan

Audit Schedule

Preparing the Opening Meeting Preparing a full checklist

50 min.

Homework Exercise 17: Planning a (Mock) Audit Plan the Lone Mountain Mining EMS Audit Audit Plan

Audit Schedule

Preparing the Opening Meeting Preparing a full checklist

70 min.

8:00 – 9:00 Exercise 18: Conduct the Opening Meeting 60 min. 9:00 – 9:30 Exercise 19: Conducting the (mock) Audit (25 min. for each of the three

audit groups and 5 min. each for feedback) 1st Audit

30 min.

9:30 – 9:40 Break 10 min.

9:40 – 10:40 Exercise 19 (cont.) 2nd and 3rd audit 60 min.

10:40 – 10:45 Review 5 min.

8:00 – 8:30 Exercise 19 (cont.) Review audits 30 min.

8:30 - 9:00 Exercise 20: Documenting Audit Findings/Nonconformances 30 min.

9:00 - 9:10 Break 10 min.

9:10 – 10:10 Exercise 21: Summarizing the audit findings/nonconformances (matrix) Preparation of Audit Report

Preparation of the Closing Meeting

60 min.

10:10 – 10.45 Exercise 22: Conduct Closing Meeting 35 min.

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8:00 – 8:25 Exercise 22 (cont.): Conduct Closing Meeting 25 min.

8:25 - 8:55 Closing Meeting Discussion 30 min.

8:55 – 9:05 Break 5 min.

9:05 – 9: 50 Exercise 23: Evaluating Corrective Action 45 min. 9:50 -10:20 Evaluating System Effectiveness Section U (13 slides)

Value-Added Auditing

30 min.

10:20 – 10:45 Review 25 min.

Final Exam TOPICS TIME

ELEMENT

Two Hours Final Exam 120 min.

Total Time with Breaks: 2540 min. (42.33 hr.) Total Time without Breaks: 2410 min. (40.17 hr.)

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REVISIONS Instructor 05 Revisio

n No:

Revision Date

Nature of Change Review and Approval

1 3/1/98 Orignal Issue: 3/1/98 CJR

2 4/27/98 Added Exercise 23 Added Section U

CJR 3 7/16/98 Changed time w/out breaks on Day 1 to 10 hours (it

was incorrect)

Clarified times for exercises.

CJR

4 10/10/00 Corrected “time” error on day 4 (60 min to 90 min.) CJR