1、AASHTO PRACTITIONERS HANDBOOKThe Practitioners Handbooks are produced by the Center for Environmental Excellence by AASHTO. The Handbooks provide practical advice on managing the range of environmental issues that arise during transportation agency activities.This Handbook is intended for use by man
2、agers and others who are responsible for coordinating compliance with a wide range of regulatory requirements. With these needs in mind, this Handbook includes:key issues to consider;a background briefi ng; practical tips for developing and implementing an EMS.In addition, key documents and other re
3、ference information for this Handbook are posted on the Centers web site at http:/environment.transportation.orgDEVELOPING AND IMPLEMENTING AN ENVIRONMENTAL MANAGEMENT SYSTEM IN A STATE DEPARTMENT OF TRANSPORTATION (DOT)DOTs face ever-mounting pressure to enhance environmental and business performan
4、ce and to demonstrate their commitment to environmental stewardship. This Handbook provides recommendations for developing and implementing an Environmental Management System (EMS) to help meet these goals and expectations.Issues covered in this Handbook include:Understanding what constitutes an EMS
5、Using PlanDoCheckAct for an effective EMSProviding environmental and business value to your organizationUsing AASHTOs EMS roadmapApplying an EMS to any activity or facilityDeciding upon a focus for initial effortsIdentifying expectations and objectivesBuilding upon existing successesMeasuring perfor
6、manceContinually improving performanceAmerican Association of State Highway and Transportation Offi cials08September 2007Center for Environmental Excellence by AASHTOCopyright 2007, Center for Environmental Excellence by AASHTO (American Association of State Highway and Transportation Offi cials). A
7、ll Rights Reserved. This book, or parts thereof, may not be reproduced in any form without written permission of the publisher. Printed in the United States of America.This material is based upon work supported by the Federal Highway Administration under Cooperative Agreement No. DTFH61-07-H-00019.
8、Any opinions, fi ndings, and conclusions or recommendations expressed in this publication are those of the Author(s) and do not necessarily refl ect the view of the Federal Highway Administration.Developing and Implementing an Environmental Management System in a State DOT 1OverviewEnvironmental Man
9、agement Systems (EMSs) have demonstrated measurable environmental as well as business performance improvements for numerous Federal, state, and local governments and private sector companies throughout the United States over the last decade. Recognizing these benefi ts, several state departments of
10、transportation (DOTs) have developed and implemented EMSs to achieve similar enhancements in various transportation activities and facilities.EMSs also offer the means to pursue, as well as demonstrate, an organizations commitment and methods to achieve environmental stewardship. This demonstration
11、of commitment and methods is increasingly refl ected in directives, legislation, and stakeholder expectations.Environmental benefi ts realized through DOT EMSs include:Reductions in the number and severity of compliance incidents,Pollution and waste quantity reductions,Recovered resources, andStream
12、lined permit and document reviews and approvals. Business performance improvements attained through these EMS initiatives include:Reduced regulatory oversight schedule and cost burdens,Faster project delivery and, in turn, labor savings through streamlined reviews and approvals,Increased work force
13、effi ciency, andCost savings and cost avoidances.This Handbook introduces EMS concepts, describes basic EMS components that can be applied to any DOT activity or facility, and presents suggestions on how to consider, develop, and implement an EMS. The EMS approach and content described herein are ba
14、sed upon well-established overall approaches as well as detailed actions. At the higher levels of a DOT, an EMS provides the structure to establish (possibly as a component of other strategic and business planning efforts) broad environmental performance goals, objectives, and targets and to assess
15、organizational performance in meeting these goals. At the “detail” level of a DOT, an EMS provides the instructions, training, assignments, and performance monitoring methods to meet performance goals on a day-to-day basis. This Handbook updates, refi nes, and expands upon the information presented
16、in the AASHTO EMS Implementation Guide which was originally issued in August 2003.Appendix A presents an example that demonstrates how the information provided in this Handbook can be used to develop and implement an EMS in a DOT.Key Issues to ConsiderConsidering Use of an EMSIs an EMS already in pl
17、ace or are you establishing a new EMS?How can you get approval to take the fi rst steps toward an EMS? If management is already interested generally what are the next steps?What are the “drivers” (internal and/or external) for establishing or expanding an EMS in your DOT?What DOT activity or facilit
18、y should be the focus of the EMS?2 Developing and Implementing an Environmental Management System in a State DOTWho are the stakeholders, internal as well as external, for the EMS?Will the EMS be a stand-alone effort?What additional resources will you need to establish an EMS?How will you defi ne in
19、itial responsibilities and expectations?Developing an EMSWho will lead EMS development efforts in your organization? Who will support these efforts? Is a team approach needed?How can you identify and select a DOTs EMS objectives, measures, and targets?Should you start big or small with an EMS?How ca
20、n you prepare a plan for EMS development and implementation?Who would be involved in (i.e., directly support) subsequent EMS efforts? Who would be affected by these efforts?How should these personnel be informed of their involvement? When should they be informed?Implementing an EMSWhat are your basi
21、c requirements/desired results for detailed EMS instructions and practices in the selected focus area? How can we determine when to use or modify existing initiatives and practices for the EMS?How can we integrate an EMS with other quality and continual improvement efforts?How can we determine when
22、to develop new EMS practices (e.g. work instructions or responsibilities)?Should we develop an EMS manual or document?What is contained in an EMS training program?How do you roll out the EMS in a unit, region/district, or facility? Does it help to roll out the EMS in stages (e.g., as a pilot in one
23、district or facility)?How can you track and use performance monitoring and assessment information?What can you do to identify and implement corrective and preventive actions to maintain and enhance performance?How do you track EMS performance/results?Can anything be done to improve performance?How w
24、ould you use EMS performance information in dealings with regulators? Elected offi cials? The public? Other stakeholders?Maintaining an EMSOnce implemented, can an EMS continue without oversight and guidance?Who would keep an EMS going?Are there any opportunities for improvement? How would you ident
25、ify these opportunities?What would be the next focus for a DOTs EMS?Developing and Implementing an Environmental Management System in a State DOT 3Background BriefingDefi ning an EMS. An EMS is the organizational structure and associated responsibilities and processes, procedures, and tools for inte
26、grating environmental considerations and objectives into the ongoing management decision-making processes and operations of an organization. An EMS is not simply an information system, document, compliance checklist, set of plans, or project.EMS PROCESSES, PROCEDURES, AND TOOLSProcess. A series of a
27、ctivities used to manage environmental performance. Processes are fulfi lled through and may include one or more procedures.Procedure. A defi ned series of steps used to perform an activity or process. Procedures are documented and communicated to ensure consistency. Consistency is also achieved thr
28、ough training in use of the procedures. Procedures may also be referred to as work instructions or standard operating procedures (SOPs). Tool. An aid that facilitates task completion. A tool may be used to reduce the level of effort required for a task, improve consistency, and/or aid in record keep
29、ing (e.g. a form, a template, or an electronic data or record capture system).The above EMS defi nition incorporates key elements of defi nitions presented in EPAs Compliance Focused Environmental Management System (CFEMS) guidance and the International Organization for Standardization (ISO) 14001 E
30、nvironmental Management System (EMS) Standard. The EPA and ISO defi nitions incorporate additional specifi c requirements that refl ect the compliance and conformance needs of EPA and ISO. In non-enforcement actions, EPA and Federal Environmental Executive EMS information and guidance generally refl
31、 ects the criteria and approach of the ISO 14001 Standard. The AASHTO defi nition, originally developed in 2003, provides greater fl exibility for DOTs to implement EMSs that meet their specifi c needs and objectives.ISO 14001 Use and Certifi cation. ISO is an international organization that has est
32、ablished standards in numerous areas to provide consistency in compliance and conformance throughout the world. ISO 14001 is the Standard for EMSs and is comprised of 17 basic elements and numerous criteria within each element, including requirements for document control and record keeping. Certifi
33、cation to ISO 14001 requires routine third-party audits (costing several thousand dollars a year for a typical DOT unit or facility) and is based on conformance to all criteria. It is important to note that while a very small number of state and Federal government agencies and facilities have obtain
34、ed certifi cation, DOT implementation of an EMS as described in this Handbook does not require ISO certifi cation. An EMS that is not ISO-certifi ed can provide substantial environmental and business performance enhancements for DOTs. Pursuit of ISO-certifi cation should be considered on its own env
35、ironmental and business merits.EMS and Environmental Stewardship. Over the last decade there has been an ever-increasing demand for DOTs to practice environmental stewardship in all facets of their operationsfrom planning through routine maintenance. Environmental stewardship means making decisions
36、and conducting operations in a manner to protect and improve the environment. An EMS directly supports environmental stewardship by providing the means to routinely and consistently consider (not just on a project-by-project basis) environmental effects and requirements in transportation decision-ma
37、king as well as day-to-day activities.The PlanDoCheckAct Approach. A common, well accepted framework for any management system that strives for continual improvement is the PlanDoCheckAct structure. This framework has been proven over a number of years in a wide variety of applications in both gover
38、nment and industry. The concepts behind this framework, which can be easily understood by personnel at all level of an organization, can be easily adapted for a management system, be it environmental or otherwise. Following is an illustration of the PlanDoCheckAct structurethe arrows highlight the s
39、ystematic continual improvement nature of this approach.4 Developing and Implementing an Environmental Management System in a State DOTValue of an EMS. DOTs and other public sector organizations that have implemented EMSs have achieved environmental as well as business benefi ts. These include:Signi
40、fi cant reductions in the time and effort to obtain project and permit reviews and approvals.Enhanced and ensured compliance.Ensured tracking and fulfi llment of project environmental commitments.Savings through reductions in resources required and wastes to be disposed.Increased productivitymore pr
41、oject work from same work force; no need to revisit work site to correct environmental mistakes.PLANWhat are we going to do?Identify needs and opportunitiesSet your expectationsDefine your basic plan to meet your needs and opportunitiesDetermine financial and personnel requirements and the scheduleD
42、OLets do what we said!Identify whos responsible and affectedDevelop procedures and tools to fulfill objectives and meet the planDevelop and provide training relevant to the plan and the people involvedFollow the procedures, processes, and toolsCHECKHave we met our expectations?Assess our performance
43、Determine if we met objectives and targetsDid things work as planned/expectedIdentify any “root causes”Determine corrective actionsACTDo we need any changes? Where do we go from here?Determine what, if anything, needs to be changedIdentify specific adjustmentsDetermine if we stay with our current pl
44、an, or can we take on anything elseDeveloping and Implementing an Environmental Management System in a State DOT 5A recent AASHTO report1found that 27 state DOTs either had implemented or were in the process of developing EMSs. This level of activity reinforces the growing awareness on the part of D
45、OTs of the performance achievements available through an EMS.Elements of an EMS. As developed by AASHTO, and other government and private sector organizations, EMSs are comprised of the following elements which are fundamentally consistent with EPAs Compliance Focused EMS (CFEMS) guidance and the IS
46、O 14001 EMS Standard.Environmental Policy. Statement of the broad environmental goals and commitments of the organization; the policy should be signed by senior management.Focus. The activity and/or facility to be addressed by initial and, if applicable, subsequent EMS efforts.Requirements. DOT dire
47、ctives and regulatory requirements relevant to the focus area and that set minimum compliance and conformance constraints.Expectations. Performance (environmental and business) objectives, measures, and targets.Responsibilities. The personnel who will lead EMS efforts as well as the personnel (at al
48、l levels) who will use the EMS.Processes, Procedures, and Tools. Refer to the defi nitions provided at the beginning of the Background Briefi ng.Training. Description of how involved and affected personnel can follow the procedures.Assessment. Performance evaluation (vis-vis expectations). Review. T
49、he actions and responsibilities to attain, maintain, and improve performance.AASHTO EMS Process Roadmap. The EMS Process Roadmap presented on the following page can be used by transportation professionals at various levels and in various units (environmental as well as non-environmental) to help develop and implement an EMS in their DOT. This Roadmap is based upon the PlanDoCheckAct approach and incorporates the elements and qualities described above. The Roadmap sequence and ste
