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Management Systems for Cleaner Production

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In the early 1990s, two formal systems for managing environmental aspects of facilities were established.  In Europe the Eco-Management and Audit Scheme (EMAS) was created and many European countries made implementation of EMAS mandatory for many large manufacturing facilities.  Meanwhile, because of concern about the proliferation of multiple different management standards, the  international ISO 14000 series of standards for Environmental Management were established.  These include the ISO 14001 standard for Environmental Management Systems.  EMAS and ISO 14001 are not very different; EMAS has two significant elements more than ISO 14001, namely a baseline environmental assessment and a public environmental performance report.  

These two standards rapidly became the most common "official" management systems for implementing Cleaner Production and Pollution Prevention programs around the world.  Of course such formal system are not absolutely necessary for implementing programs, but because they are widely recognized and provide public labels for organizations indicating some level of environmental responsibility, they became widely used.

However, over time the weaknesses of these standards started to become apparent.   They do not necessarily promote CP and P2.  They can be and sometimes are used simply to help assure compliance with regulations.  Also they are often implemented as systems separate from the main business management systems and not connected to the basic need to add business value to the organization. 

Consequently some experts and organizations began examining other recognized management systems or tools as a basis for implementing CP and P2.  These include Total Quality Management, the Malcolm Baldridge Quality Award and the Balanced Scorecard.  The concern has been to use management models designed to increase business value and strategic performance, and integrate environmental issues into them instead of managing environmental issues on a separate track.  The future of management systems for Cleaner Production is going to see much more use of "business management systems".

This page describes resources for management systems related to Cleaner Production.  Because I believe that business management systems are the most important direction for CP implementation, this is the first topic.  However there are many resources for Environmental Management Systems and they should also be considered.

Business Management Models for Cleaner Production

An excellent overview of the different approaches to implementing CP and P2 is found in A New Vision: An Organizational Guide to Pollution Prevention, by the US EPA.  This describes how Pollution Prevention (P2) can be achieved through three different management approaches:  P2 opportunity assessments, Environmental Management Systems, and quality management. 

The leading system for quality management in North America is the Malcom Baldridge Quality Award.  This is a system for evaluating organizational management of quality in seven major areas with many sub-sections.  The Baldridge system has helped many organizations significantly improve their performance; it is claimed that an market "index" of publicly-traded companies that have won the Baldridge Award has out-performed the Standard and Poor´s market index by over 500%.  The Baldridge System explicitly includes environmental issues and many other issues related to CP and P2.  Anyone seriously considering using a formal management system for environmental performance should understand and consider using the Baldridge System.

The Baldridge system is the basis of the New Mexico Green Zia program for encouraging and rewarding environmental performance of companies in that state.  The Green Zia program is supported by the manual, Nothing to Waste (also available in Spanish), which describes six tools for involving employees in CP and P2.

The other widely-recognized management system that can support CP and P2 is the Balanced Scorecard.  This is a relatively simple - thus popular - framework for establishing and managing indicators of business performance that are linked to strategy and vision.  Many organizations around the world are now using the Balanced Scorecard and it supported by many software companies.  Several academics have been exploring the concept of the Sustainable Balanced Scorecard as a framework for managing for sustainable development and cleaner production.  This promises to be the most significant development in environmental management systems since the creation of ISO 14000 and EMAS.

Another management model is the Business Charter for Sustainable Development, from the International Chamber of Commerce.   It describes 16 important issues or functions for organizations to cover in their management of environment and sustainability.  The Global Environmental Management Initiative has developed an Environmental Self-Assessment Program based on the Charter and it provides detailed guidance about integrating environment into business functions.

Environmental Management Systems (EMS)

Overviews

EMS Frequently Asked Questions, from a major EMS website, has clear answers and bullets outlining the main components of EMS and ISO 14001, and links to several presentations from business and government about EMS implementation. 

Frequently asked questions about ISO 14001 is more specific about the official ISO EMS standard.  There are also fact sheets for different interest groups, such as Local Governments, and Business Executives.

Several online slide shows provide excellent introductions to EMS.  This one explains ISO 14001 basics and how a state government is using EMS strategies to promote environmental improvement.   Using The ISO 14000 Series Standards For Increasing Profits also touches on community aspects and eco-labeling.  Moving to the Peak of the Pyramid gets more into the details of EMS implementation and includes numerous examples of benefits, and some guidance to EPA perspectives on EMS.  The page has links to several other related slide shows.

Examples

The US EPA provides an example EMS manual for "Smith Company". 

The Ford Motor Company has made available its ISO 14001 Environmental Management System Workbook that it uses in training suppliers among others. 

For a government example, the Model Environmental Management System for Commonwealth Agencies has highly detailed procedures. 

Who cares about EMS? 

Organizations subject to environmental regulations need to care because EMS is fast becoming a tool in regulation.   The US EPA, Environment Canada, and the European Union maintain primary programs and websites with links to their initiatives.  States such as Wisconsin and Pennsylvania are incorporating EMS principles into their programs, and states such as North Carolina have developed excellent EMS websites with extensive general and local information.  City governments in the US and Europe are establishing EMS programs.   Some developing countries are experimenting with EMS in regulation, as documented in the report Greening Industry from the World Bank. 

What's happening with EMS? 

Most of the major sites listed above have some schedule information.  For US government, the Multi-State Working Group lists meetings concerned mostly with policy and coordination.  EMS is a regular topic at the semi-annual conferences of the National Pollution Prevention Roundtable.  The states of North Carolina and Pennsylvania have regular newsletters with local and national news. 

The best reporting on current EMS activity is provided by subscription newsletters including ISO 14000 Update and International Environmental Systems Update.  There are extensive EMS activities in Europe, which is moving ahead faster with EMS adoption than North America.  The ISO 14000 Information Center and GlobeNet offer news, links to EMS consultants and registrars, articles and discussion.  The ISO 9000, ISO 14000 and QS 9000 Support Group is a forum for discussing the integration of quality and environmental programs.

Why is EMS important? 

Perhaps the best general publication on why EMS is important to global environmental protection is the report, Global Green Standards.  It details the objectives, history and applications of EMS and the policy frameworks that support it.   The business perspective is well documented in Code Green: Business Adopts Voluntary Environmental Standard.  This article examines the range of voluntary environmental standards including EMS and why they are an important complement to regulation for improving environmental performance.  The OECD argues that EMS is an important part of global efforts on Promoting Global Corporate Responsibility. OECD has also tried to answer the question, "What Do Standards for Environmental Management Systems Offer?" as an alternative to regulation. 

One of the best general policy analysis articles is "Managing a Better Environment: Opportunities and Obstacles for ISO 14001 in Public Policy and Commerce," (needs MS Word or MS Word Viewer) which explores some of the important implications for EMS in international trade.  The article's sponsoring organization also makes available the proceedings of a conference on ISO 14001 Environmental Management Systems and Public Policy (needs PDF reader).  All these perspectives are important to persons working with multi-national corporations or industries with foreign suppliers, as well as to local regulated organizations.

In the USA, many government agencies are exploring ways to link EMS to regulation, perhaps in the form of providing reduced regulatory oversight to organizations with recognized EMS.  The US EPA specifically includes EMS in the National Environmental Performance Track for regulated facilities.  At the state level, the Multi-State Working Group on Environmental Management Systems believes that EMS is a very important approach for regulatory innovation and provides numerous policy resources.  Its recommendations are considered by many state agencies and it includes links to state EMS pilot programs.

In Europe, the Eco-Management and Auditing Scheme version of EMS is now used in numerous regulatory and economic development strategies, including the EMAS program for local governments.  This article argues that the EMAS standard is more performance-based than ISO 14001 but the two systems can be bridged.

EMS is an important strategy for environmental protection in countries without strong regulatory enforcement systems.  The World Bank's program on New Ideas in Pollution Regulation is the best site for exploring the ways that EMS can be used in developing countries, and many of the ideas apply just as well to developed countries and to local communities everywhere.   The World Bank also offers a policy analysis paper on ISO 14001.

Is EMS compatible with other management approaches? 

Many experts argue that eventually an EMS should be fully absorbed by the general management system of an organization so its principles affect all aspects.  Not only should EMS be compatible, it should eventually be invisible within a quality management system that addresses economic, social and environmental aspects.  This short articles shows the elements of ISO 14000 Compared to Other Standards such as ISO 9000.  The EMS Matrix is an excellent presentation showing the fundamental similarities of leading standards and includes case studies.  The Business and Sustainable Development site has a page with tools related to EMS. 

EMS is compatible with Pollution Prevention and Cleaner Production, when it is implemented with a prevention or quality-based approach.  EPA has revised its main Pollution Prevention guidance manual; the new version, A New Vision: An Organizational Guide to Pollution Prevention, explains three approaches to P2, one of which is the EMS approach.  Short articles about the Systems Approach to P2 are available from PollutionPrevention.Com.   The report "ISO 14001: A Discussion of Implications for Pollution Prevention" is the leading policy report on this important issue.   Several US States, such as Kentucky and Ohio, are explicitly integrating EMS and P2. 

But an EMS does not necessarily promote P2/CP.  The article "Pollution Prevention: The Cost-Effective Approach to ISO 14001 Compliance" explains why and provides explicit guidance how to incorporate P2 principles into an EMS.  Many US states require regulated facilities to prepare Pollution Prevention Plans that include many elements similar to EMS.  The policy analysis paper, Facility Pollution Prevention Planning White Paper - an Overview of State Program Evaluations, is important reading to understand what aspects of P2 Planning are most important and should be considered in an EMS.

The US EPA believes that EMS is compatible with Design for the Environment principles and provides the website on Integrated Environmental Management Systems with extensive resources based on this belief.  

Is your organization ready for an EMS?  The Strategic Toolbox for EMS offers an online questionaire to determine how compatible your organization's philosophies are with the principles of EMS.  This collection of On-Line Self-Assessments includes an evaluation of "Do You Need an EMS?" as well as other interactive questionnaires about EMS.   The ISO 14001 Environmental Management System Self-Assessment Checklist will help you determine the gap between your existing structures and a formal EMS.  

How do I cope with complex EMS issues? 

The identification of environmental aspects is often considered one of the most challenging aspects of establishing an EMS.  Fortunately there is good step-by-step guidance for this task; see the Implementation section below.  The topic that seems to generate the most controversy in EMS is auditing and certification of an EMS to one of the standards, because there are many (deliberately) gray areas in the various EMS standards.  This topic generates lots of discussion!  To ask questions of experts, use the interest groups.  The most active bulletin board for ISO 9000, quality management and some ISO 14000 discussion is from the ISO Support Group.   It is particularly valuable because of the range of perspectives represented and the generally high quality of discussion.  The ISO 14000 Discussion List, another bulletin board, is more focused on EMS.   The Discussion List on ISO 14000 for the Environmental and Related Industries is an email-based group with good participation especially in the gray areas of what EMS auditors need to look for.

Who is doing EMS pilot projects? 

Over a dozen US states are sponsoring EMS pilot projects.  The US EPA sponsors many EMS activities in its various performance-track programs.  EPA is also sponsoring a second pilot project on EMS for local governments.  EMS pilot projects are underway in many countries for both industries and local governments.   Most are sponsored by international donors such as the World Bank, US Agency for International Development and many others.   Industrial EMS pilot projects are typically implemented by environmental agencies specifically for this purpose.  In contrast, municipal EMS pilot projects are most often implemented by urban management programs with a broader scope than just the environment.  This page of Sustainable Cities links has comprehensive coverage of such programs.

What results have been achieved by EMS so far? 

The National Database on Environmental Management Systems is the most comprehensive effort to track EMS implementation.  An early and important pilot project was in using Total Quality Management principles (from the Baldridge Award) to implement EMS in industries in the Great Lakes region.  The US EPA sponsored a pilot project on EMS implementation with 18 companies, and the Federal Facilities Council reviewed EMS implementation in various Federal agencies and states.  The most recent  survey of ISO implementation in the USA is available by this emailed report.   USAID sponsored a report on Candid Views of Fortune 500 Companies regarding ISO 14001 and its use particularly with suppliers.  EMS implementation in Europe was surveyed in 1998.  There are reports of EMS implementation in small industries in Europe and in Swedish firms.   Academic studies of ISO implementation are available on line from Duke University, UCLA, and University of Oregon.

Case studies of EMS implementation abound.  The P2PAYS program has one of the best collections of case studies and slide shows on EMS implementation by those who lived through it.  Also see their page on EMS by industry sector.  The Pennsylvania DEP also offers a great collection of "real world" presentations.  An edited collection of short EMS case studies is useful for awareness training.  Ford Inc. and Pfizer Inc. have both put their actual facility EMS documentation on line.

All the evidence about EMS so far can be summarized thus:  An EMS, implemented earnestly, almost always improves profits and resource efficiency and reduces waste and pollution.   It usually also improves other organizational aspects such as teamwork.   Almost all who implement an EMS say it is worthwhile and has a bottom-line payoff, even though it does take a good amount of work.  However, most observers feel that most EMS could have much bigger payoffs if they were more focused on fundamental improvements in design and in pollution prevention.  Organizations considering whether to establish an EMS should first conduct a thorough pollution prevention opportunity assessment and start implementing P2 solutions.  Then the EMS can be established to make implementation of P2 solutions into a solid foundation for progress.  The Canadian Centre for Pollution Prevention has an excellent online guide to P2 resources.

Implementation

Before implementing an EMS itself, it is first necessary to figure out what it is supposed to achieve.  The Business Charter for Sustainable Development is perhaps the best-known guide for what a business is actually supposed to be doing on environmental sustainability.  The Global Reporting Initiative is the most international effort to standardize what organizations are supposed to talk about to their environmental stakeholders and the public; the GRI Guidelines also specify the areas where an EMS is supposed to actually accomplish something.   These are helpful for determining what strategies to implement.  Developing Performance Measures for Sustainable Development Strategies is a helpful guide for "big picture" thinking and organizing once the strategic visions have been decided.

Once an organization has established its environmental strategies it must implement the tools that actually improve environmental performance.  The job of the EMS is to ensure these tools are used properly.  The handbook on Environmental Management Tools for SMEs is one of the best overviews of the things that an EMS should accomplish.   Generally, the first thing to accomplish is getting baseline data.  The Environmental Good Housekeeping Guide for Small and Medium-sized Enterprises provides useful guidance to the basic tasks that will support more advanced efforts.   Besides improving business performance, a major reason for an EMS is compliance with regulations.  The Guide to Environmental Legal Compliance as an Element of ISO 14001 and EMAS is written for small businesses to help them ensure that an EMS will improve compliance (available by order only).  EMS Tools is a good site with links to many practical tools and guidance documents.

The EMAS Toolkit for Small Companies is a step-by-step online guide that leads users through the full range of activities needed to implement an EMS meeting the EMAS guidelines.  It is applicable to any EMS project.

There are numerous comprehensive manuals and implementation guides available for EMS.   The ones written for small businesses are good to start.  "A Simple Guide to Set Up and Environmental Management System", from the Hong Kong EPA, is one of the best simple guides to getting the leadership and teamwork needed in place.  It also walks through the basics of an EMS.  The US EPA has recently revised its primary manual on EMS for small business; this extensive guide has many examples and other resources and strongly focuses on Pollution Prevention.   EPA also offers the Integrated Environmental Management Systems Implementation Guide, which is oriented to small busineses and incorporates Design for Environment principles.  The EMS Manual for Small and Medium Enterprises from the International Finance Corporation is particularly good at practical suggestions for EMS and includes case studies.  It is also important because of its source; the IFC has the status to encourage financial institutions to consider EMS as an indicator of good business performance in general.

For "official" EMS, the ISO 14001 Guidance Manual is perhaps the best step-by-step manual of its kind on line.   ISO14000: Implementing an Environmental Management System is a full online book with more extensive discussion of issues.  The EMAS Toolkit for Small and Medium Enterprises includes on-line evaluation tools for an EMS meeting European and international standards; it is more focused on meeting the requirements of EMAS.  

There are several comprehensive guides for implementing EMS in government. The UK has a good site with many EMS resources including Implementing Environmental Management Systems in Government.  The US EPA produces the EMS Primer for Federal Facilities.  Governments are increasingly using EMS in environmental enforcement.   The US EPA provides Enforcement Agreement Guidance for Compliance-Focused EMS.  EPA also provides Environmental Management Systems and Enforcement Reference Materials for training staff in EMS and enforcement.

EMS have numerous components and there are "stand-alone" detailed guides for most of them.  Euro-EMAS Interactive offers five highly detailed manuals for elements of EMS.  The US EPA site on Integrated Environmental Management Systems includes six topical manuals.  Specific guides are available elsewhere for Environmental Reviews, Third-Party Auditing and Certification, and Information Systems. 

It is always helpful to have practical tips on EMS implementation from people who have gone through it.  ISO 14000 Keys to Success presents dozens of such tips. Other tips are offered by experts on topics that include Overcoming Obstacles to Implementation, and How to Help Small Business with EMS. 

EMS always include checking and reviewing tools.  EMS Plus is an interactive Environmental Management Systems Evaluation Tool that provides a scoring and evaluation of how well an EMS is working.  A number of other On-Line Self-Assessments are available for checking various elements of an EMS.  The EMS Self-Assessment Checklist was designed to help university campuses implement EMS.  The ISO 14001 Environmental Management System Self-Assessment Checklist is a similar though more complex tool.  For a more strategic review of what an EMS is actually supposed to be achieving, the Concise Self-Assessment Guide to Environmentally Sustainable Commerce evaluates a broad range of issues facing companies.  The Environmental Self-Assessment Program is a more complex evaluation of how well an organization is doing compared the Business Charter for Sustainable Development. 

As we noted at the beginning, an EMS is one valuable way, but not the only way, to improve environmental performance in an organization.  Many Pollution Prevention / Cleaner Production programs offer valuable resources for performance improvement.  Most industry sector-specific guidance is found in these programs.  Once you are familiar with the EMS resources listed here, visit the Envirosense Cooperatives to find Pollution Prevention and Cleaner Production programs worldwide.  They provide many examples of EMS applications in specific industries and other useful resources for improving environmental and bottom-line performance.