Measuring the effectiveness of Environmental Management Systems Phase 1: Desktop Report, June 2009

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1 Measuring the effectiveness of Environmental Management Systems Phase 1: Desktop Report, June 2009

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3 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Measuring the effectiveness of Environmental Management Systems Phase 1: Desktop Report, June 2009 Background to the Project 1

4 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Background to the Project DoE Environment and Heritage Service (now Northern Ireland Environment Agency, NIEA) commissioned An Evaluation into the Effectiveness of Environmental Management Systems as part of the Better Regulation agenda, which includes assessing aspects of a risk based approach to regulation, a more integrated approach to enforcement and improving awareness of obligations and best practice (EHS Tender Brief). The main aims of the study are to measure the effectiveness of EMS and analogous systems implemented by NI businesses in: 1. Having a demonstrable impact on the level of legislative compliance, 2. Improving an organisations environmental performance / reducing its environmental impacts. This study has been undertaken on behalf of NIEA by White Young Green in two distinct phases. The first is the completion of research and a desk top study into the types of management system, certification process and uptake from an international, national and local perspective. The desk top review has also collated research information relating to the effectiveness of Environmental Management Systems (EMS) undertaken within the last decade. The second phase is data analysis and interpretation from 1000 Northern Ireland organisations in June 2008 (subject to a separate report). Background to Environmental Management Systems Environmental Management Systems are a systematic, planned approach to the management of environmental issues at an organisation and should be adopted as part of the overall company management structure. They are based on a Plan-Do-Check-Act methodology that aspires to continual improvement. There are a number of differing types of EMS. These can be summarised as : Management Review Continual improvement Environmental Policy Planning EMAS (Eco-Management and Audit Scheme) BS EN ISO (International standard) BS8555 : 2003 & the Acorn Scheme (Phased approach) Green Dragon (Arena Network) (phased approach) Checking Implementation and operation EMS is a risk management tool and all EMS standards have a similar framework and can be applied to any public or private sector organisations. EMAS is often viewed as the most stringent management system, as there is an explicit requirement for legal compliance and reporting of this status to the Regulator. All other systems require identification of legislation relevant to an organisations activities, products and services and a commitment to assess the level of compliance against the identified legislation. Whilst blatant non-compliance with legislation will result in a company incurring penalties with respect to any management systems certification body audit (e.g. a category 1 noncompliance), refusal or removal of certification is rare. Generally, companies reporting non-compliances with legislation, within their EMS, are encouraged to develop a detailed Action Plan to address the noncompliant issues. Certification bodies provide recognition of the EMS against the standards noted above (e.g. EMAS, ISO etc). In addition, all EMS standards require organisations to commit to continual improvement 2

5 Measuring the Effectiveness of Environmental Management Systems: Phase 1 and evidence of this commitment is usually found in the setting of environmental objectives, targets, management plans or environmental performance indicators. Certification bodies are regulated by a strict code administered by the United Kingdom Accreditation Service (UKAS) in the UK, BS EN ISO/IEC 17021:2006. This code ensures consistency of the assessment process. There has been an amount of bad press associated with EMS and legal compliance in recent years and UKAS and the accreditation bodies have been working hard to provide some clarification on the issue of the association between EMS and legal compliance (paper EA 7/04 seeks to add clarification to the certification bodies as regards auditing legal compliance as part of ISO 14001:2004). The Drivers & Uptake There are a number of drivers for organisations wishing to develop and implement EMS, above and beyond legislative compliance or performance improvements. A key driver for organisations operating in England and Wales are the Opra requirements relating to risk screening of activities and the relative proportion of effort applied to regulating organisations. In regulating through Opra Environment Agency (England & Wales) demonstrates a policy commitment that for those organisations regulated under the Environmental Permitting Regulations an effective EMS is important in managing the risks associated with and delivering permit requirements. ISO is the most favoured type of management system to be implemented within organisations in the UK, with over 6000 registrations (at the end of 2006). EMS drivers Legal compliance Improved environmental performance Cost savings Customer / client pressure Supply chain management Enhanced PR Environmental Risk Management EMS in Northern Ireland Northern Ireland business and industry has been served by a range of EMS support mechanisms over the last 15 years. These have been : IRTU (now Invest NI) Environmental Audit Support Scheme grant IRTU Environmental Management Support Scheme grant Invest NI Building Blocks to a Better Business pilot programme for 11 no. manufacturing companies The STEM Programme cross border programme involving implementation of BS8555 for up to 240 businesses and 11 no. district councils Easy Access (BS8555 for construction companies) BiTES - Belfast City Council (Green Dragon through Arena Network) for 9 organisations in the Belfast CC area Coleraine BC (Green Dragon through Arena Network) 3

6 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Whilst research and evaluation of the above programmes has been on an ad-hoc basis, there have been some positive outcomes in relation to specific projects accumulating environmental improvements and indicating compliance with environmental legislation. This compares to less than 400 registrations to the EMAS standard within the same period. There is evidence that levels of ISO uptake are stabilising in the UK, however significant growth in uptake in all standards have been seen in Spain and Italy. To conclude : Whilst desk top analysis of research would indicate strong evidence that EMS has a positive outcome in terms of improved environmental performance, the research is inconclusive in terms of legislative compliance. There is also not enough evidence to support the measurement of the effectiveness of the EMS in terms of its type (e.g. EMAS, ISO etc), particularly in relation to the collation of data in a local setting. The findings indicate the need for the detailed study into 1000 Northern Ireland organisations* and an evaluation of the data for organisations with accredited EMS, non accredited EMS and no systems in place. Validation of that data against regulator and certification body records would also be a valuable exercise. * This research has been carried out in conjunction with this desk top study. EMS Research The last decade has seen a plethora of research studies into EMS with a number considering their effectiveness in relation to compliance and improvements. These are summarised below: Survey EMAS Ever Indicative of legal compliance? Indicative of improved Environmental Performance? International Findings National Findings Northern Irish Findings Remas MEPI and follow up study ISO a National Study in Austria SME-enviroment Survey 2007 EMS and company Performance STEM BITES EASS Building Blocks 4

7 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Contents 1 Introduction 8 2 What is an Environmental Management System History of EMS Types of EMS Accreditation Certification Management Systems and Legal Compliance 37 3 Drivers to Implementation of an EMS Overview of legislation and policy Formulation of Legislation NI Legislation Enforcement in Northern Ireland Procurement Policy and Promotion of EMS Central Procurement Directorate Other Local Procurement Drivers Compliance Drivers in England and Wales Other Drivers for Implementing an EMS 51 4 Uptake of EMS The International Scene Europe UK Wide Northern Ireland Invest NI Support Schemes Building Blocks STEM BITES Easy Access Green Dragon Coleraine Borough Council Arena Network Survey 69 5

8 Measuring the Effectiveness of Environmental Management Systems: Phase Research Studies SME-nvironment Survey (NetRegs) Ever Evaluation of EMAS and Eco-label for their revision EMS and Company Performance REMAS MEPI ISO Experiences, Effects and Future Challenges: a National Study in Austria USA National Database Urban Government Review in Japan 82 6 Conclusion 83 7 Recommendations 87 References 88 Appendix 1 Appendix 2 Appendix 3 Appendix 4 Appendix 5 Chapter 1 Key Targets Northern Ireland Sustainability Strategy Chapter 6 Key Targets Northern Ireland Sustainability Strategy Implementation of EMAS outside EU List of Figures NI PPC Permits NIEA Organisational Structure Figure 1 Figure 2 Figure 3 Figure 4 Figure 5 Figure 6 Figure 7 Figure 8 Figure 9 Key elements of legal compliance in an EMS Regulatory value of an EMS ISO14001:2004 EMS EMAS EMS BS8555:2003 EMS Green Dragon EMS EMAS Registration process ISO14001:2004 Assessment process Evolution of EMAS organisations 6

9 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Measuring the effectiveness of Environmental Management Systems Phase 1: Desktop Report, June

10 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Introduction In March 2008, Environment and Heritage Service (now NIEA) published Better Regulation for a Better Environment. This position statement defines the principles of streamlining the regulation process for organisations. Many of the businesses in Northern Ireland are not subject to direct regulation by EHS [NIEA] but are nonetheless required to comply with environmental legislation. The differing scales and activities covered by our regulations demand that we adopt a smarter range of tools and approaches to suit the nature and risk of an organisation and this falls within the overall aim of working closely with those we regulate to raise awareness of obligations and good practice, to simplify compliance and engagement with our regulatory teams and to reward those organisations who actively identify and manage their risks to the environment. As part of this strategy, a commitment is made to assess effectiveness of Environmental Management Systems (EMS) as a measure of environmental performance and compliance. WYG successfully tendered to the EHS, now re-branded Northern Ireland Environment Agency (NIEA), to undertake this study on its behalf. The main aims of the study are: 1. To evaluate the effectiveness of an EMS in improving an organisations legal compliance and, 2. To evaluate the effectiveness of an EMS in improving an organisations environmental performance. The study is in two distinct phases, the first is desk based and concentrates on analysis of existing data and studies relating to the implementation of an Environmental Management System on a world wide scale. The results of this desk based research are presented in this report. The second element of the study involves a large scale survey of NI businesses and public sector organisations to capture evidence of legal compliance and environmental performance of organisations with, and without, EMS s. Full data analysis and verification is enclosed within Report 2. Running in parallel to this study, Scotland & Northern Ireland Forum for Environmental Research (SNIFFER) are currently conducting report and survey UKCC19 - entitled Better Regulation Rethinking the Approach for SMEs. SNIFFER has looked at how best regulatory bodies should target their resources in the future, and finds that SMEs are neglected at present, while resources currently go to firms with the most resources to self regulate. The findings are also likely to suggest that SMEs would be best suited by a supportive command and control framework of regulation, since their limited resources mean they are less able to meet the requirements of regulated selfregulation. Methodology of firm categorisation enables SMEs and large firms to be divided into four separate categories related to size, and capacity for, or efficacy of, self regulation. Since SNIFFER seem to be advocating a trend towards allowing larger companies to exercise a greater degree of selfregulation, and that a greater proportion of resources to be focused on SMEs, it could be seen as a logical step that these larger, more environmentally proactive companies should be encouraged to implement, and have certified, EMS in place to allow this shift of regulatory resources which has 8

11 Measuring the Effectiveness of Environmental Management Systems: Phase 1 been witnessed in terms of the encouragement on those firms appraised by the Environment Agency (England & Wales) under Opra to implement certified EMS. Since the Better Regulation programme is actively considering the shift towards a more risk based system of regulation and were this to be the case, then it is of great importance to know whether there is empirical evidence that an EMS can reduce the risk associated with a particular organisation. It is the aim of this project and report to establish statistically robust data to be able to support or discount the hypothesis that an EMS improves an organisations compliance with applicable environmental legislation, and / or its environmental performance. This is in line with the Environment Minister Sammy Wilson s vision of a new Agency that will help business implement improved environmental management systems (keynote speech 1st July 2008). In detail, this project has involved: 1) A desktop survey and review of existing data and literature relating to development and implementation of EMS internationally, regionally and locally. The aim of this is to develop an understanding of the trends seen by those companies that have developed formal EMS to the various different standards including, but not limited to: EMAS; ISO and BS ) Survey of 1,000 Northern organisations throughout Northern Ireland, including public and private, SMEs and large organisations. 3) Data Evaluation, statistical analysis and verification of information gathered through the survey and questionnaires 4) Preparation of an Interim and Final report and recommendations to the NIEA regarding the potential role of EMS within the Department of Environments programme for Better Regulation. EMS Evaluation Project Overview Desk Top Research Data Collection Interim Desk Top Report Data Analysis & Review Final Report with Recommendations 9

12 Measuring the Effectiveness of Environmental Management Systems: Phase What is an Environmental Management System? The British Standards Institute have defined an EMS as part of the overall management system that includes organisational structure, planning activities, responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining the environmental policy (BS8555; 2003). It can be seen as a risk management tool also since the standards to which organisations are assessed are not prescriptive, they provide the framework within which an organisation must identify it s own potential impacts upon the environment, and seek to control these as well as to identify opportunities to reduce the associated risks. An EMS can be considered to follow the Deming cycle of Plan Do Check Act Plan The role of an EMS is in delivering the commitments within an environmental policy. The policy should commit an organisation to legal compliance and continual improvement (BS8555 phase 1, Stage 3; ISO 14001:2004 clause 4.2). The organisation should then identify all applicable environmental aspects that may create an environmental impact and also all relevant environmental legislation. Compliance with legislation must also be demonstrated in order to meet the requirements of BS8555 Phase 2 Stage 1-5; ISO 14001;2004 clause and While in relation to Environmental performance, the organisation will have made a commitment to continually improve, and should set out Objectives and Targets and a programme to achieve these (BS8555 Phase 3 Stage 3-7; ISO 14001:2004 clause 4.3.3). The objectives and targets provide the organisation with an improvement plan specifically tailored to ensure improvements in environmental performance related to it s environmental aspects (BS8555 Phase 3 Stage 1; ISO 14001: ) associated with the range of activities it carries out, the product(s) manufactured or the service(s) provided. Do Control measures and procedures are intrinsic to the successful implementation and maintenance of an EMS, whether this is related to Training (BS8555 Phase 1 Stage 6 and Phase 4 Stage 2; ISO 14001: ), Operational Control (BS8555 Phase 3 Stage 6; ISO 14001: ), or Emergency Preparedness and response (BS8555 Phase 4 Stage 5; ISO 14001: ). Most organisations will have a clearly defined, written set of procedures that will outline what needs to be done to ensure compliance with the EMS. Check The success of implementation should be reviewed within the management system through a programme of Internal Audits (BS8555 Phase 5 Stage 1; ISO 14001: ) and identification of corrective and preventive actions to deal with identified non-conformances (BS8555 Phase 5 Stage 2: ISO 14001: ). Conformance of an organisation against the procedures will be evaluated during the audit process. Compliance with legislation will also be checked during auditing as a number of Operational 10

13 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Procedures are drafted to ensure legal compliance of the activity as a minimum. Act The results of the checking stage of the process should be used to inform Management of areas of progress, or problems within the system as part of Management Review (BS8555 Phase 5 Stage 3: ISO 14001: ). This management review process should, in turn, then be used to re-address the issues of Environmental Policy, the organisations environmental aspects & impacts, legal compliance and objectives and targets. The continually improving organisation will then be able to adjust to any changes that may have occurred and set objectives and targets for forthcoming years. According to a study conducted by Business in the Community (Environmental Index Report 2006) an EMS helps an organisation to improve its environmental performance. Common requirements of an EMS (such as a policy, objectives, targets, training and reporting) demonstrate a commitment to incorporating environmental issues into key practices with the resultant benefits of: improved risk management reduced liability costs increased competitive advantage more employee involvement and improved public image ( These benefits are further support by findings from a NetRegs survey conducted in 2007 of small and medium sized enterprises (SMEs) across the UK (including Northern Ireland) to reveal their attitudes and behaviours. In relation to benefits in addressing environmental issues, the three main business benefits of addressing environmental issues were: Reduced risk of prosecution (81% strongly agree / agree); Creates good relations with customers (67% strongly agree / agree); and Reduces operating costs (66% strongly agree / agree) 2.1 History of Environmental Management Systems The World s first formal EMS developed by the British Standards Institute (BSI) was BS7750, first published in March The standard was based on a two year pilot implementation programme with 230 implementing organisations and was then modified on the basis of feedback, with the publication of this modified standard in January 1994 (Starkey, 1998). At the same time as the development of BS7750, the European Commission was setting out it s proposal for an eco-audit scheme, after some initial proposals and changes the Commission published what has become known as the Eco-Management and Audit Scheme (EMAS), this was adopted by the Council of Ministers on June 29th 1993, and became open to company participation in April 1995 (Starkey, 1998). The development of ISO14001 came about because of the need for improved environmental performance expressed at the United Nations Conference 11

14 Measuring the Effectiveness of Environmental Management Systems: Phase 1 on Environment and Development (UNCED) in Rio de Janeiro in The International Organisation for Standardization (ISO) was charged with creating an internationally recognised environmental management system (Bansal and Bogner, 2002). ISO14001 was developed in under three years, much quicker than it usually takes to develop an international standard mainly because it relied heavily on the content of BS7750 as a framework (Schaltegger et al., 2003). The Comité Europé de Normalisation (CEN) realised that some companies would prefer to meet the EMS requirements of an equivalent standard to EMAS meaning that it had to adopt ISO14001 as a European standard, which meant that equivalent national standards had to be withdrawn, and as a result BS7750, that had influenced ISO14001 so much, was withdrawn by March 1997 (Starkey, 1998). This led to two EMS standards being available to organisations in European countries, the international standard ISO14001 and the European EMAS scheme. The EMAS regulation was revised in April 2001 and based on ISO 14001, one of the principle benefits of this meant it made it easier for ISO certified organisations to progress to what is considered the more rigorous EMAS regulation (LRQA, 2004). BS8555 was launched after an initial pilot programme called Project Acorn. Through Project Acorn, the Acorn Method for implementation of an EMS was run between October 2001 and March 2003, supported by British Standards Institution and White Young Green Consultants (Sheldon, 2003) Funded in the main by the UK Department of Trade and Industry (DTI), and supported by the UK Department of Environment, Food and Rural Affairs (DEFRA). On the completion of Project Acorn the Acorn Method was withdrawn and the new British Standard BS8555, the phased approach to the implementation of an Environmental Management System, was published in April 2003 (The Acorn Trust, 2003). 2.2 Types of Environmental Management Systems There are now five main recognised standards in relation to environmental management. The five main standards are: ISO 14001:2004 International Standard for Environmental Management. Eco-Management and Audit Scheme (EMAS). IEMA - Acorn Scheme BS8555:2003 Environmental Management Systems. Green Dragon (Arena Network). The first four can be subject to UKAS accredited certification and Green Dragon can be subject to UKAS accredited inspection. ISO 14001:2004 International Standard for Environmental Management ISO, the International Standards Organisation, has developed a series of voluntary standards and guidelines in the field of environmental management which collectively are known as the EN ISO series. Developed under ISO Technical Committee 207, the series of standards addresses many aspects of environmental management including the following: 12

15 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Environmental Management Systems requirements with guidance for use (ISO : 2004) Environmental Management Systems General Guidelines on principles, systems and support techniques (ISO 14004: 2004) Environmental Management Systems Draft Guidelines for a staged implementation of an environmental management system, including the use of environmental performance evaluation (ISO 14005) due for publication in September Environmental Performance Evaluation (ISO 14031:1999) Within this series, EN ISO environmental management systems specifications with guidance for use is the only certifiable standard, the remainder being supportive guidelines. The aims of EN ISO are to promote environmental protection in light of socio-economic concerns. Clause No Clause Title Clause No Clause Title 4.1 General Requirements Environmental Policy Implementation & Operation Resources, roles, responsibility & authority Competence, training & awareness Communication Documentation Control of Documents Operational Controls Emergency Preparedness & Response Checking Monitoring and measurement Evaluation of Compliance Nonconformity, corrective action and preventive action Control of Records Internal Audit Planning Environmental Aspects Legal & Other Requirements Objectives, Targets & Programmes 4.6 Management Review 13

16 Measuring the Effectiveness of Environmental Management Systems: Phase 1 An effective environmental management system based on ISO14001 provides an organisation with a defined structure to allow them to more confidently and effectively manage environmental issues by: Establishing a policy and awareness that good environmental performance is a strategic objective of the organisation. Focusing on the prevention of waste and pollution and on continual improvement of environmental performance. Systematic analysis, planning, control and monitoring of all activities that may affect environmental performance. Assisting companies to more effectively meet legislative and regulatory requirements. Demonstrating to regulators, stakeholders and other interested third parties that a formal environmental management system is operational and effective ( The main rationale for the creation of ISO14001 was that its world wide acceptance should facilitate international trade by harmonising otherwise diffuse environmental management standards and by providing an internationally accepted blueprint for sustainable development, pollution prevention and compliance assurance (Delmas Magali A., 2002). Continual improvement Management Review Environmental Policy Planning Checking Implementation and operation Figure 3 ISO14001:

17 Measuring the Effectiveness of Environmental Management Systems: Phase 1 ISO is very similar to EMAS but at the time of registration, Environmental regulators are consulted to make sure that they are satisfied that organisations have identified and know the implications [to the organisation] of all environmental legislation and that their system is capable of meeting these on an ongoing basis., it can take a more prescriptive approach to environmental management issues. The ISO standards, by contrast, rely on voluntary acceptance by all interested parties, and therefore must maintain a balance between the needs and expectations of each of these parties. ( Eco-Management and Audit Scheme (EMAS) The EU Eco-Management and Audit Scheme, known as EMAS, is a voluntary market based instrument designed to encourage better environmental performance from all types of organisation. EMAS is completely compatible with the international standard for environmental management systems, ISO 14001, but goes further in its requirements for performance improvement, employee involvement, legal compliance and communication with stakeholders. Uniquely EMAS requires organisations to produce an independently verified report about their performance ( EMAS is a direct response to some of the key principles in the European Union s Environmental Action Programmes and the challenge of sustainable development. Behind EMAS stands the concept of broadening the range of policy instruments and promoting an approach of shared responsibility in environmental protection. EMAS was first adopted by the European Environment Council on 29th June 1993 and became open to industrial participation from April 1995 onwards. EMAS was revised in 2001, and eligibility widened to include all sectors of public and private economic activity (DEFRA). The EMAS Regulation applies to all 27 EU Member States, and the 3 European Economic Area States (Iceland, Norway and Liechtenstein) all candidate countries (e.g. Turkey, Croatia and the Former Yugoslav Republic of Macedonia) are obliged to implement the scheme in preparation for their accession to the EU. Some international companies operating sites outside of the EU / EEA, have opted to pursue EMAS registration. However, since these countries are not members of the EU / EEA, their registrations do not hold the same legal status; in this instance they are referred to as quasi-registrations currently these quasi-registrations exist in countries such as Brazil, Switzerland, China and the USA. 15

18 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Figure 4 EMAS Source of Diagram : EMAS: A Practical Guide, ISBN : Institute of Environmental Management and Assessment (IEMA) Acorn Scheme Acorn is the name of a project with a main objective to help British SMEs improve their environmental performance through a five-level approach to the implementation of an environmental management system (EMS) in line with ISO 14001, and a sixth level that facilitated external certification to ISO and / or registration to EMAS. Once the project was completed a not for profit organisation, the Acorn Trust, was founded in order to develop a standard based on the project s methodology ( The IEMA Acorn Scheme, an officially recognised EMS standard, offers accredited recognition for organisations evaluating and improving their environmental performance through the phased implementation of an environmental management system (EMS). Acorn focuses on environmental improvements that are linked to business competitiveness and is flexible so that all types of organisation, whatever their size, can participate. Acorn offers a unique feature whereby organisations can engage environmental performance indicator (EPI) reporting within the procurement process in accordance with ISO This compliments the one size fits all aspects of ISO14001 & EMAS and provides the opportunity to set environmental requirements in supplier contracts and monitor operational/product performance a strength acknowledged by the Government in a recent EMS position statement published by DEFRA. A system of independent inspection is central to providing recognition that an organisation has met the achievement criteria of a particular Acorn phase and continues to improve its environmental performance ( 16

19 Measuring the Effectiveness of Environmental Management Systems: Phase 1 BS 8555:2003 Environmental Management Systems Work on Project Acorn led to recognition by the British Standards Institute (BSI) of the phased approach to development of an EMS and the benefits for small to medium sized enterprises (SMEs). As with Acorn, the standard, BS8555:2003, sets out a six phase implementation programme, to work towards a formal EMS that can be certified to BS EN ISO or the EU Eco- Management and Audit Scheme (EMAS) at Phase 6. Each phase is broken into a number of specific stages, with guidance and process planning spreadsheet available to organisations to assist their development. Progress can be acknowledged against the standard, with certification at any of the six phases, allowing SMEs greater control and freedom over the project plan. After full certification to ISO 14001, at phase 6, the second most popular certification for SMEs is at Phase 3. This allows for actual cost, compliance and environmental benefits to be realised before detailed written procedures are required. Although principally aimed at SMEs, the guidance can be used by any organisation, regardless of size, the nature of their business undertaken or their location (Environmental Management Systems Fact Sheet No. 4). The Six Phases of BS8555: 1. Commitment & establishing the baseline 2. Identifying & ensuring compliance with legal and other requirements 3. Developing objectives, targets & programmes 4. Implementation and operation of the EMS 5. Checking, audit & management review 6. Certification to either ISO or EMAS The International Standards Organisation (ISO) is currently reviewing the incorporation of BS8555:2003 into the international family of standards. ISO Guidelines for the staged implementation of an environmental management system, including the use of environmental performance evaluation is currently in development with a proposed publication date of September

20 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Figure 5 BS8555: Overview of the phased implementation of an environmental management system. 18

21 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Figure 6 Green Dragon Green Dragon Green Dragon was developed by ARENA Network and Groundwork Wales with support from the Welsh Assembly Government, Environment Agency Wales, Welsh Local Authorities and the European Regional Development Fund. Funding for the project was provided from a mix of Welsh Assembly, private companies and also several high profile multinationals funded the pilot scheme. There are 971 organisations from a variety of sectors and across a broad range of size that have already made the commitment to the implementation of Green Dragon to date. The Green Dragon Standard offers an environmental management system relevant to the specific needs of any organisation, large or small in the UK or Republic of Ireland. Green Dragon is a stepped approach aimed at simplifying the approach to implementation of environmental management systems ( The standard is made up of five steps each incorporating the key elements of Planning, Taking Action, Checking Progress and Reviewing Achievements to realise continual environmental improvement. Some organisations may progress through each of the steps until they reach level 5. However, an organisation can enter the process at a suitable level and can remain at whichever level is most appropriate. Organisations achieving Green Dragon feature on a register of certified companies. The register is a resource similar to that maintained by IEMA of organisations registered under EMAS and the Acorn scheme which enables quick validation of an organisations claim to hold valid certification In-Brief The Five Steps Commitment to Environmental Management Understanding Environmental Responsibilities Managing Environmental Impacts Environmental Management Programme There are five main recognised standards or schemes in relation to environmental management. Continual Environmental Improvement ISO International Standard for Environmental Management. Eco-Management and Audit Scheme (EMAS). IEMA Acorn Scheme BS8555:2003 Environmental Management Systems (developed as direct result of Project Acorn and adopted as a British Standard). Green Dragon (Arena Network). 19

22 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Summary Table: Comparative Analysis of the main standards For the purposes of this analysis BS8555 and Acorn are taken together EMAS ISO14001 BS8555 : 2003 / IEMA Acorn Scheme Green Dragon Environmental Policy Environmental Policy Phase 1 Commitment and Establishing the baseline Stage 1 Gaining Top Mgt Commitment Stage 2 Baseline Assessment Stage 3 Developing draft environmental policy Stage 4 Developing environmental indicators Stage 5 Developing draft environmental management system implementation plan Audit Environmental Review Planning Environmental aspects Legal & other requirements Objectives targets and programmes Environmental Programme Implementation and operation Roles, resources, responsibility and authority Competence, training and awareness Communication Documentation Control of documents Operational Control Emergency preparedness and response Phase 2 Identifying and ensuring legal and other requirements Stage 1 Identify Legal Requirements Stage 2 Identify other requirements Stage 3 Checking compliance Stage 4 Ongoing compliance Stage 5 Developing compliance indicators Audit Phase 3 Developing objectives, targets and programmes Stage 1 Evaluation of environmental aspects and impacts Stage 2 Finalizing the environmental policy Stage 3 Developing objectives and targets Stage 4 Establishing indicators for environmental performance evaluation Stage 5 Developing the environmental management programme Stage 6 Developing operational control procedures Stage 7 Launch environmental policy; objectives; targets and indicators Audit Step 1 Commitment to environmental management Responsibility Environmental Review Environmental Policy Environmental Monitoring Improvement Plan Step 2 Understanding environmental responsibilities Register of legal & other requirements Managing legal requirements emergency preparedness Communication and competence Environmental records Step 3 Managing environmental impacts Register of environmental aspects Evaluation & control of environmental aspects Pollution prevention plan Objectives and targets Monitoring environmental performance Carbon data collection Environmental statement External communication 20

23 Measuring the Effectiveness of Environmental Management Systems: Phase 1 EMAS ISO14001 BS8555 : 2003 / IEMA Acorn Green Dragon Environmental Management System Environmental Audit Cycle Checking Phase 4 Implementation and operation of the environmental management system Stage 1 Finalise management structure and responsibilities Stage 2 Training, awareness and competence, plans and records Stage 3 Establishing and maintaining formal communication Stage 4 Documentation and record keeping Stage 5 Reviewing and testing emergency preparedness and response Stage 6 Developing indicators of the environmental management system Audit Phase 5 Checking, audit and review Step 4 Environmental management Programme Training Environmental manual Control of documents System procedures System monitoring Carbon data collection Step 5 Continual environmental Monitoring and measurement Evaluation of compliance Nonconformity; corrective action and preventive action Control of records Internal audit Stage 1 Establishing audit programmes Stage 2 Correcting non conformances and taking preventive action Stage 3 Management review Stage 4 Improving environmental performance Stage 5 Improving the environmental management system Audit Environmental Statement Management review Phase 6 Environmental management system acknowledgement: improvement Internal audit programme Management review Addressing sustainability Supply chain Reducing greenhouse gas emissions Environmental report Validation (independent validation of the environmental statement, and therefore of environmental performance) Preparing for EMAS Registration or Preparing for ISO14001 Assessment 21

24 Measuring the Effectiveness of Environmental Management Systems: Phase Accreditation The UK Picture In the UK, the United Kingdom Accreditation Service (UKAS) performs the accreditation function for ISO 14001:2004 certification bodies, EMAS verifiers and IEMA Acorn inspection bodies. Accreditation criteria and guidance is developed at an international level by organisations such as the International Accreditation Forum (IAF) and accreditation bodies are required to comply with BS EN ISO/IEC 17011:2004 Conformity assessment General requirements for accreditation bodies accrediting conformity assessment bodies. Certification assessments are carried out according to international standards and guidelines, such as EA 7/02 (IAF, 2003). It is of particular note within the context of Northern Ireland that the Irish National Accreditation Board operates as the UKAS equivalent in the Republic of Ireland: they, along with UKAS co-operate with one another and European wide accreditation bodies ensuring that a multilateral agreement applies to the recognition of accredited certificates. The Accreditation Process: Accreditation Body BS EN ISO/IEC 17011: 2004 United Kingdom Accreditation Service (UKAS) CERTIFICATION BODIES (CAB) BS EN ISO/IEC 17021:2006 Certification Body Auditors Certification Body Auditors Certification Body Auditors Certification Body Auditors 22

25 Measuring the Effectiveness of Environmental Management Systems: Phase 1 While in order to accredit conformity assessment bodies (CABs), the Accreditation body e.g. UKAS, must meet the requisite standards (detailed above) the CABs (or Certification Bodies {CBs}) must in turn comply with an international standard - BS EN ISO/IEC 17021:2006 Conformity assessment - Requirements for bodies providing audit and certification of management systems. To apply for accreditations to certify organisations, the CAB must seek approval from UKAS (in the UK) to conduct the certification to the defined scope. Individual auditors working on behalf of the CAB must also have the competence to carry out this certification and they will also be subject to individual approvals by UKAS. UKAS accreditation underpins the validity of testing, inspection, calibration and certification activities including those relating to: air, soil and water quality, the development of renewable energy sources, environmental management systems and energy efficiency. UKAS is the sole national accreditation body recognised by UK Government to assess, against internationally agreed standards. Accreditation on an International Scale In most developed economies there are bodies similar to the United Kingdom Accreditation Service. Were these to operate only national accreditation systems, barriers to trade would be accentuated. Instead, however, they have set up international accreditation infrastructures to facilitate the acceptance of goods for import and export across international borders. In order that these can work, the national accreditation bodies agree the elements of mutually acceptable international accreditation systems, develop the necessary technical detail for these to have integrity, and operate peer evaluation so as to confirm the basis for acceptance of accredited results worldwide ( UKAS is a member of three international accreditation organisations: International Laboratory Accreditation Cooperation (ILAC) International Accreditation Forum (IAF) European cooperation for Accreditation (EA) UKAS represents the UK Government in these international organisations and, generally through these, negotiates mutual recognition arrangements with other overseas accreditation bodies. The international functions are undertaken on behalf of Government and are supported by the Department of Trade and Industry. The international recognition of UKAS as a signatory to multilateral agreements enables government to use accredited bodies to meet its obligations under world trading agreements such as those deriving from EU Directives and the World Trade Organisation s Agreement on Technical Barriers to Trade. EA-7/04: Legal Compliance as a part of Accredited ISO 14001: 2004 certification. The European Co-operation for Accreditation (EA) is the European Network of nationally recognised accreditation bodies operating within the European region. Including organisations such as UKAS and INAB - all members must be able to demonstrate compliance with the applicable standards, and are 23

26 Measuring the Effectiveness of Environmental Management Systems: Phase 1 subject to peer review. EA-7/04 was produced by a working group within the EA with the purpose to provide useful information on the relationship between an organisation s accredited Environmental Management System (EMS) certification according to ISO 14001:2004 and that organisation s degree of compliance with applicable environmental requirements (EA, 2007). The document provides a summary of the areas within the system and of the auditing process (internal and external) which should serve to ensure and demonstrate compliance with applicable environmental legislation. The main purpose of EA-7/04 is to provide clarification over the issue of whether the implementation and maintenance of an EMS enhances environmental performance, and therefore can lead to a relaxation in regulatory oversight, by focusing on the issue of legal compliance. As such, it has become the benchmark tool regarding legal compliance for certification bodies which via accreditation through UKAS, fall under its remit. EA-7/04 defines legal compliance as full implementation of applicable environmental legislation. Compliance occurs when requirements are met and desired changes are achieved (IMPEL, 1992); and goes on to state that legal compliance with respect to the interface between the organisation and the environmental regulators can be understood as the situation when no reactive enforcement actions are made or can be expected by the organisation (EA, 2007). The issue remains, however, as to what extent certification of an EMS can and does demonstrate legal compliance, and the European Co-operation for Accreditation assert that while certification of an EMS against the requirements of ISO 14001:2004 is not a guarantee of compliance they add that neither is any other means of control, including legal compliance inspections, {but} it is a proven and efficient tool to achieve and maintain such legal compliance (EA, 2007)). EA-7/04 specifically states that any organization failing to demonstrate their initial or ongoing commitment to legal compliance shall not be certified or continued to be certified [and] deliberate or consistent non-compliance shall be considered a serious failure to support the policy commitment to achieving legal compliance and should preclude certification or cause an existing ISO certificate to be suspended or withdrawn (EA, 2007) The issue regarding whether the system ensures compliance is further complicated by the assertion that it is not the role of certification body auditors to make a direct evaluation of legal compliance, but it is the role of the organisation, and a function of the EMS to be able to demonstrate compliance status. Within the section on Compliance Criteria for the Certification decision, there are three important clauses: 1) The organisation should be able to demonstrate that it has achieved compliance with environmental legal requirements through it s own evaluation of compliance prior to the certification body granting certification 24

27 Measuring the Effectiveness of Environmental Management Systems: Phase 1 2) Where the organisation may not be in legal compliance, they should be able to demonstrate a documented agreement with the environmental regulator on a plan to achieve full compliance. The successful implementation of this plan should be considered as a priority within the management system 3) Exceptionally the certification body may still grant certification but shall seek objective evidence to confirm that the EMS is capable of achieving the required compliance once the above documented agreement is fully implemented In summary, this document has become the benchmark assessment tool with respect to legal compliance for both certification bodies as well as for the Accreditation body (e.g. UKAS). The document stresses throughout that assessors are not inspectors of the environmental regulator, and should not provide statements or declarations of legal compliance, but that they verify the evaluation of legal compliance and that whilst ISO cannot be an absolute and continuous guarantee of legal compliance, neither can any legal scheme. The EMS provides a framework whereby compliance can be assessed and achieved consistently, and provides the support for continual improvement of the organisations environmental performance. Confidence in Accreditation UKAS sought to bolster confidence in UKAS-accredited EMS via a review of the EMS accreditation processes. The assessment process is conducted in a more robust and challenging manner, scrutinising the assessment methodologies of EMS certification bodies in greater detail. The transition from the current accreditation standard ISO / IEC Guide 66:1999(E) to a new International Standard ISO / IEC 17021:2006 (see pgs ) in tandem with EA-7/04 places greater emphasis on the impartiality of the certification process and the competence of all certification body personnel, managers, administrators and auditors. Certification bodies face significant work to demonstrate to UKAS that their processes meet the requirements of the standard by the transition deadline of 15 September UKAS has recognised that the ability to provide feedback plays an important role in maintaining confidence in the integrity of EMS. Consequently, each UKASaccredited certification body is required to have a complaints procedure and make this information available to its clients. Additionally, EMS certification holders can make customer feedback to UKAS directly and these matters are managed with strict confidentiality. The International Standard ISO 14001:2004 and the EMAS Regulation (EC No 761 / 2001) are also under revision, which presents an ideal opportunity to direct the purpose of the standards. UKAS has a clear voice in the revision process through its roles on the relevant British Standards Institution Committee and the Forum of Accreditation Bodies established by the European Commission. Other avenues for UKAS to influence the development of accreditation guidance include involvement in the European Cooperation for Accreditation and the International Accreditation Forum. The UKAS EMSAC (Environmental Management Systems Advisory Committee) provides one of the main opportunities for engagement in EMS accreditation. UKAS also continues to work closely with IEMA, Defra and the regulators, such as the Environment Agency and the Scottish Environment Protection Agency, to enhance the value of accreditation at a government level. 25

28 Measuring the Effectiveness of Environmental Management Systems: Phase Certification of EMS s Defra believes that a robust and effective EMS should be externally audited to a recognised international or national standard by a Certification Body accredited by the United Kingdom Accreditation Service (UKAS) (Defra Positioning Statement April 2008), with the view that accredited third party certification is important to realise many of the benefits of an EMS. Companies with an accredited certified EMS are given greater recognition by the Environment Agency under Integrated Pollution and Prevention Control (IPPC) and some other regulatory regimes. Accredited certification means that organisations can demonstrate to shareholders, regulators and the public that their system has been audited, in the same way as are their financial accounts, by those with appropriate professional skills, and knowledge. The information provided by a certified system is often seen as being more credible and reliable. The Scottish Environmental Protection Agency in their position statement has stated support for EMS and believes that they can benefit the company and the environment and assist companies in understanding how environmental law applies to their site, products and operations. However, at the time of publication (prior to remas) they were unconvinced that EMS had a sufficiently positive impact upon: permit compliance, frequency of incidents, and numbers of public complaints. They stated that if, as a regulator, they were to consider provision of financial incentives (such as available via the Environment Agency s Opra scheme) they would have to be provided with a clear case to the contrary (SEPA, 2004) Certification is the process by which an organisation s system (e.g. its EMS) is assessed for its conformity to the requirements of a standard (e.g. ISO 14001:2004). Certification Bodies (CBs) may be accredited to perform such assessments where they meet the criteria in ISO/IEC Guide 66 (ISO, 2003) or ISO/IEC 17021:2006 (from September 2008). Accreditation bodies check on a regular basis via surveillance at the CB s offices, witnessed assessments at their client s sites and other activities that certification bodies are capable of providing accredited certification. Similar processes are operated to accredit environmental verifiers to carry out verification under EMAS, including the validation of EMAS environmental statements, and IEMA Acorn inspection bodies. Accredited CBs are bound by the requirements under which they operate to maintain confidentiality. They must have arrangements to safeguard the confidentiality of the information they obtain in the course of their certification activities, including on-site audits. CBs cannot disclose information to a third-party about the organisation that has been certified without the written consent of that organisation. If there are circumstances where the law requires information to be disclosed, then the CB must inform the organisation beforehand of the information that they have been required to provide. 26

29 Measuring the Effectiveness of Environmental Management Systems: Phase 1 There are different types of audits that are required within an EMS and that usually make up an organisations audit programme. These are a combination of: 1st Party - An audit performed within an organisation by the organisation s own auditing resource. Also referred to as an internal audit. 2nd Party - Audits of contractors/suppliers undertaken by or on behalf of a purchasing organisation. This may include the assessment of companies or divisions supplying goods or services to others within the same group. 3rd Party - Audits of organisations undertaken by an independent certification body or registrar or similar third party organisation. Purpose of certification Third-party certification assessment provides an independent appraisal of a management system. The assessment is designed to determine whether or not an organisation satisfies the requirements of the relevant clauses of the standard. It will involve preparation, a review of documentation, on-site audit and a consideration of audit reports. It also includes other activities such as a site tour and staff interviews at all levels within an organisation. On completion of an assessment, a CB should have sufficient information to enable a decision on the grant of certification to be made. An important element of the certification and verification process is that, in addition to evaluating whether the system elements have been implemented, the assessor will determine whether the organisation is capable of running the system and improving it in the future. As such, the award of an accredited ISO 14001:2004 certificate or EMAS registration indicates an organisation s ongoing commitment to legal compliance and gives some indication of its capability to comply in the future. The certification and verification process will also determine the extent to which the organisation has set objectives and targets, instigated improvement programmes, and how well they are linked to its legal compliance and performance improvement policy commitments. The IEMA Acorn Scheme uses accredited inspection, rather than accredited certification, for determining whether an organisation has met the scheme s requirements. The reason for this is that the certification standards used by accreditation bodies can only be used for assessing organisations that have a fully implemented and functioning system; organisations using the IEMA Acorn Scheme will not have all the system elements implemented in the earlier phases, hence the use of inspection standards. EMAS Registration ( The route to EMAS begins with a document review normally conducted on site to meet accreditation requirements for ISO 14001, and an on-site verification audit and validation of the environmental statement. The process is illustrated in Figure 7. As a first step, the verifier ensures that an EMS has been implemented according to the requirements of Annex 1 of the EMAS Regulation. The process of verification of the EMAS management system is essentially similar to that for ISO 14001:2004 as described above except for the additional environmental statement, although there is also additional emphasis on legal compliance and environmental performance 27

30 Measuring the Effectiveness of Environmental Management Systems: Phase 1 improvement ( Statement validation: when the requirements of the EMAS Regulation have been adequately addressed by the organisation, the verifier checks the accuracy and adequacy of the statement and, once satisfied, confirms (or validates ) it by signing and dating each page and counter-signing the final page of the statement. The statement is then forwarded to the verification body along with the report. Importantly, the verifier shall not validate the environmental statement if during the verification process he/she finds through spot-checks that the organisation is not in legal compliance. Statement amended by verifier: when the requirements in the EMAS Regulation have not been fully addressed by the organisation, the verifier issues corrective actions or nonconformities and the organisation then amends the environmental statement as necessary. The verifier agrees a timescale for the revised statement to be forwarded for validation once the changes have been made. Statement reviewed: the statement will be reviewed by the verification body and the original signed statement is returned to the organisation. The organisation can then apply for EMAS registration with the appropriate competent body by completing the application form and enclosing the appropriate fee. The competent body in the U.K. is the Institute of Environmental Management and Assessment. The organisation should also forward a copy of the final printed version of the environmental statement to the verification body. Verification frequency: following EMAS registration, the verifier ensures that all elements required to maintain EMAS registration are verified in a period not exceeding 36 months. This is usually through a surveillance programme of a visit every 12 months in the 36 month period. In addition, any updated information on the environmental statement is validated at intervals not exceeding 12 months. In smaller organisations, the verification may take place in one visit, at a frequency to be agreed between the verifier and the organisation. Even so, the whole system must be verified at least every 36 months. Deviations from the frequency with which updates are performed can be made in certain circumstances. Figure 7 EMAS registration process Source: IEMA Vol 6 Legal Compliance 28

31 Measuring the Effectiveness of Environmental Management Systems: Phase 1 ISO14001 Certification ( Certification assessment is conducted in two stages (in accordance with ISO / IEC 17021:2006): Stage 1 audit: the purpose is to check that the requirements of the standard are adequately addressed by the organisation s EMS. Stage 1 also assesses the extent to which the EMS has been implemented and applied in order to determine a suitable time frame for the organisation to move towards the stage 2 audit. The assessment programme for the stage 2 audit is also agreed at this stage. With reference to legal compliance, the stage 1 audit should ensure that the: EMS is designed to meet the environmental policy the policy should include a commitment to comply with applicable legal requirements and other requirements relating to its environmental aspects; organisation has appropriate environmental permits in place, e.g. discharge consents and process licences, relevant to its activities, products and services; organisation has identified all applicable legal requirements relevant to its activities, products and services within the scope of its EMS and determined how the legal requirements apply to its environmental aspects; and an overview has been carried out of applicable regulations (including licences and permits) and any agreements with regulators, (such as the Environment Agency or the local authority), that the organisation may have. The assessor also informs the organisation of any additional information that will be required for inspection at the stage 2 audit, such as: licence and permit requirements; and records, including records of incidents, breaches of regulation or legislation and relevant correspondence with regulators and relevant authorities and any other information on which the organisation based its assessment of compliance with regulatory requirements. Stage 2 audit: the objective of the stage 2 audit is to ensure that the requirements of the standard are being met in practice. This stage of the assessment focuses on many issues. Key issues are control, monitoring and improvement to ensure compliance with legal and other requirements. An assessor examines matters relating to legal compliance in detail, including ensuring that the organisation has established, implemented and is maintaining a procedure for periodically evaluating its compliance with legislation. The assessor will inspect the results of the periodic evaluation of legal compliance. The Stage 2 assessment has a standard format consisting of: an opening meeting at which the assessor confirms the scope of the registration and the audit programme this will relate to the scope of the EMS which the organisation is required to define and document under clause 4.1; the assessment itself including a tour of the premises, interviews with 29

32 Measuring the Effectiveness of Environmental Management Systems: Phase 1 staff at all levels, examination of documentary evidence and observation of tasks being carried out it is at this stage that any deviation from procedures or the requirements of the standard is noted by the assessor these non conformances are discussed with the organisation which is given an opportunity to challenge or agree to them; and a closing meeting, during which the assessor presents a report on the assessment and summarises the agreed non-conformities. Depending upon the nature of the non-conformities, the assessor recommends either certification or non-certification. Certification: the assessor s report is forwarded to the CB with a recommendation regarding certification. The report will be reviewed and if approved a certificate will be issued. Regular surveillance: an EMS is, or should be, dynamic and regular surveillance visits are undertaken to ensure continued conformance with the standard and to confirm continual improvement in the performance generated by the EMS. With respect to legal compliance, the surveillance audit ensures the functioning of procedures for the periodic evaluation and review of compliance with applicable legal requirements. CBs carry out a reassessment of the entire EMS over a three-year period, ensuring that all the elements of the system are audited. Enquiry Application Stage 1 audit Stage 2 audit Certification not recommended Reassessment Certification recommended Surveillance Figure 8 ISO14001 Assessment Process Source: IEMA Vol 6 Legal Compliance 30

33 Measuring the Effectiveness of Environmental Management Systems: Phase 1 BS8555 Certification The BS8555 implementation process has been designed as a series of iterative cycles or phases. There are six phases in all with a number of stepby-step actions or stages within each phase. The first five phases relate to implementation of an environmental management system. At the end of each phase and prior to embarking on the next, organisations can consider an internal audit to satisfy themselves that the stages are complete, and that the associated guidance has been considered and, where appropriate, implemented. A sixth phase is included for those organisations that wish to achieve accredited certification to BS EN ISO and/or that decide to pursue external reporting on their environmental performance and/or registration under the EMAS scheme. Green Dragon Certification (Arena Network) The standard made up of five steps incorporates the key elements of Planning, Taking Action, Checking Progress and Reviewing Achievements to realise continual environmental improvement. Some organisations progress through each of the steps until they reach Step 5, a certificate is issued at each of the 5 steps and upon achieving all 5 steps. Organisations are re-audited annually to ensure the standard is being maintained and those achieving Step 5 may also be successful in achieving ISO or EMAS. Role of Assessors and auditors An assessor conducts a visit as part of the initial certification process. Subsequent periodic surveillance and re-assessment visits are made to verify the continuing conformity of the organisation s EMS to the standard and that the EMS has been properly implemented and maintained and that continual improvement is evident. An assessor checks that the requirements of the ISO 14001:2004 or EMAS standard have been met. The assessment focuses on the resources committed to satisfying these requirements to ensure that they are being applied in a manner which benefits the environment, the organisation and the local community in which the organisation operates. This is accomplished through close examination of the factors that give rise to ongoing environmental performance improvement. It assists the organisation in meeting regulatory requirements and delivering reductions in its environmental impacts, thus improving environmental performance as a whole. Assessors play a key role in ensuring that certified EMS s are delivering meaningful results. This requires them to meet comprehensive competence criteria. Competence of assessors and auditors The competence requirements for assessors are laid down in the accreditation criteria of CBs offering certification of EMS s. In addition, minimum criteria are prescribed in ISO (ISO, 2002). The qualification criteria for EMS auditors cover: personal attributes; the ability to apply knowledge and skills; audit principles, procedures and techniques; 31

34 Measuring the Effectiveness of Environmental Management Systems: Phase 1 management systems knowledge; organisational situations such as organisational size and structure; applicable laws, regulations and other such requirements; environmental management methods and techniques; environmental science and technology; and technical and environmental aspects of operations. An assessor should have knowledge of environmental management systems, environmental terminology, pollution abatement and control techniques and the type of organisation being audited this includes knowledge of the sector and issues such as the size and complexity of the organisation. In addition, an assessor should have a sufficiently detailed knowledge of environmental laws and regulations to know whether an organisation has correctly identified all its applicable legal requirements related to its environmental aspects. Inspectors involved in the IEMA Acorn Scheme require the same competencies as those already outlined, but with additional training given in order ensure consistency of interpretation when judging degrees of EMS development against the guidance in BS Auditors may gain certification to the International Register of Certified Auditors (IRCA) or other recognised national schemes such as the IEMA Register of Auditors. These registers provide programmes of Continuing Professional Development and recognition for the competence of auditors across environment, quality and health and safety auditing roles. In-Brief Certification is the process by which an organisation s system (e.g. its EMS) is assessed for its conformity to the requirement of a standard (e.g. ISO 14001:2004). Certification to any environmental standard will require : - A detailed understanding of legal requirements and a commitment to comply - Evidence of continual improvement in environmental issues Certification Bodies (CBs) may be accredited to perform such assessments where they meet the criteria in ISO/IEC Guide 66 (ISO, 2003) or ISO / IEC 17021:2006 (from September 2006). 1st, 2nd and 3rd party audits will make up an organisations audit programme. Third-party certification assessment provides an independent appraisal of a management system. An assessor conducts a visit as part of the initial certification process. Subsequent periodic surveillance and re-assessment visits are made to verify the continuing conformity of the organisation s EMS to the standard and that the EMS has been properly implemented and maintained. Continual improvement must be evident. Validation for EMAS can only take place when there is evidence of full legal compliance. The competence requirements for assessors are laid down in the accreditation criteria of CBs offering certification of EMS s and auditors may be placed on international (IRCA) or national (IEMA) registers. 32

35 Measuring the Effectiveness of Environmental Management Systems: Phase 1 EMS Certification: the ENDS Survey 2003 & 2006 In December 2003, the ENDS Report published the results of an opinion survey conducted jointly with the Institute of Environmental Management and Assessment. It revealed widespread concern regarding the perceived integrity of certified EMS, with almost half of respondents believing that certification bodies are not sufficiently competent (ENDS, 2003), and 67% believing that EMSs provide the basis for achieving significant environmental performance improvement that otherwise would not have been achieved. Following this survey, and speaking at the EMS national Forum later that month, the UKAS external affairs Director, Roger Brockway, stated we have let things slide and I think certification bodies have let things slide, and we have to take some responsibility for that (ENDS, 2003). Subsequently UKAS began a review to the system of accreditation in order to reassert the integrity of the certification process. In 2006, ENDS, along with IEMA, UKAS and the Environment Agency engaged in another survey to ascertain the opinions of professionals once again with around 600 respondents, participation was almost twice that of Interestingly, respondents views regarding the role of an EMS in enhancing environmental performance had changed relatively little, with 70% citing EMS as the basis for driving performance improvements a 3% gain on 2003, which while perhaps lower than one might expect, the report does suggest that few if any other voluntary tools could provide such assurance. With regards the question of legal compliance: over 90% believed that the implementation of an EMS leads to better identification of legislative noncompliance. Key findings are demonstrated below, and they demonstrate a belief among respondents that confidence in UKAS and certification bodies was growing, though it should be noted that organisations would be principally operating under the revised standard of ISO 14001:2004 at this point, and that to some extent this may have driven the confidence in the certification process also. The findings are outlined on the next page: 33

36 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Over 95% of respondents were of the belief that an EMS can/ will reduce risk 64% stating that performance between different organisations is variable. 85% of prospective purchasers said a supplier s EMS would have some influence on their decision to buy but they would want additional evidence or product-specific criteria to be met. Greater than 80% believe certifiers and verifiers check at least for documentary evidence that a full internal evaluation of compliance has been carried out. Over 70% feel that verifiers and certifiers spend an appropriate amount of time on-site. One-fifth felt that individual assessors within certifying/ verifying bodies do not provide consistent or comparable conclusions. 34

37 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Three-quarters of respondents feel certifiers/verifiers spend an appropriate amount of time on assessments. A small majority said their confidence in UKAS has not grown in the last 12 months Source: Ends, 2006 Half of respondents feel that the credibility of accredited certified/verified EMSs has improved. 35

38 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Since these surveys UKAS has undertaken an extensive review of its own accreditation processes based on stakeholder consultation. Greater attention was given to the assessment of auditor competence, the reporting of environmental performance and legal compliance and the role of the advisory committee within certification bodies. UKAS also increased its awareness campaign, promoting the benefits of UKAS-accredited certification to businesses across all industries. The most important acknowledgement of the benefits of accredited certification has been given through the work of the remas project. This three-year pan-european project provides evidence directly linking EMS with improved environmental performance, which in turn leads to improved regulatory performance. These findings effectively restored confidence in the integrity of UKAS-accredited EMS certification (see section 5.4 remas ). In Brief An Accredited Certification Body is an organisation accredited by an authorising body such as UKAS (the United Kingdom Accreditation Service) to undertake third party assessment of management systems such as ISO14001 and to award and withdraw Certificates of registration to these standards. Accredited certification means that organisations can demonstrate to shareholders, regulators and the public that their system has been audited, in the same way as are their financial accounts, by those with appropriate professional skills, and knowledge. The British Government in its position statement believes accredited third party certification is important to realise many of the benefits of an EMS. In most developed economies there is a body similar to the United Kingdom Accreditation Service. In October 2006 a professional opinion survey involving more than 600 environmental professionals revealed how effective they think environmental management systems (EMSs) really are. The survey was carried out jointly by ENDS, the Institute of Environmental Management and Assessment, the Environment Agency and UK Accreditation Service and concluded that whilst confidence in UKAS had not grown significantly in the 3 no. years since the previous survey, many respondents had increased confidence in the credibility of certification bodies and 97% believed that an EMS will reduce environmental risk. 36

39 Measuring the Effectiveness of Environmental Management Systems: Phase Management Systems and Legal Compliance Continual management of environmental impacts requires a structured approach and EMS s provide a way for an organisation to do this. Legal compliance (BS8555 Phase 2 Stage 1-5; ISO 14001; and 4.5.2) and good environmental performance are fundamental requirements of an EMS. A robust EMS should lead to improved environmental performance, including better and more consistent legal compliance. Regulators are supportive of accredited certification to ISO 14001:2004 as the basis for a systematic approach to managing environmental legal compliance ( Environmental impact assessment (identify legal requirements) of Activities, products and services Risk assessment (assess legal compliance) of Environmental impacts Control measures to mitigate environmental impacts (achieve legal compliance) System and procedures - to operate and maintain control measures (manage legal compliance) Figure 1 Key Elements of legal compliance in an EMS Source: IEMA Practioner Vol 6,

40 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Regulators may also support EMAS (which incorporates conformance to ISO 14001) as a way for organisations to demonstrate their green credentials beyond ISO 14001:2004 accredited certification. A company registered to EMAS must comply with legislation, and assurance must be sought from the environmental regulator. EMAS also places additional emphases on environmental performance and public environmental reporting. The regulatory approach at any site will always be informed by the observed standards of environmental protection and management, including permit breaches, incidents and complaints from the public. When regulators carry out assessments of compliance, information from an EMS may be used to demonstrate (i.e. give assurance) that an organisation is or has been in compliance. EMS records provide an objective means for the regulator to make such appraisals and may provide evidence for an audit trail. Figure 2 Regulatory value of an EMS Source: IEMA Practioner Vol 6,

41 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Source: IEMA Practioner Vol 6, Regulators have been previously concerned at the lack of consistency in approach between certification bodies during assessments with not enough attention paid to compliance with legislation. IEMA also states that regulators have expectations of accredited certification these are detailed below: Assurance that legal compliance is being effectively managed, regulators expect: certification assessments to provide assurance that organisations are conforming to the standard s key requirements concerning legal compliance (ISO : 2004, clauses 4.3.2, Legal and Other Requirements and 4.5.2, Evaluation of Compliance); a greater emphasis on identifying and correcting legal non-compliances, as well as detecting and correcting non-conformances with the standard; better communication and information exchange, particularly with regard to the identification and notification (to regulators) of noncompliances found or reported during a certification assessment; greater transparency in the circumstances and process for suspension or withdrawal of certification, including dealing with complaints from third parties; and that organisations that have regular legal non-compliances (due to management failures) would not retain their ISO certificates, or EMAS registrations, Competencies and training of certification assessors: regulators expect: assessors and assessment teams to be selected according to relevant environmental and legal competencies and experience related to the organisation being assessed; and all UKAS accredited certification bodies to have access to and use the same criteria for selecting assessors. It should be stressed that accredited certification bodies are required to use auditors who meet the requirements of ISO (ISO, 2002). 39

42 Measuring the Effectiveness of Environmental Management Systems: Phase Drivers to the Implementation of an EMS 3.1 Overview of Legislation & Policy Formulation of Legislation Environmental legislation is changing all the time. Much of it originating from the European Union, but there is a great deal of national regulation as well. Most legal requirements fall into one of the following categories: EU Regulations - Binding on all Member States in their entirety and directly applicable in law. Normally used for detailed and specific issues. EU Directives - These must be transferred into the national law of each Member State. EU Decisions - Binding in their entirety, they may be addressed to a government, a private enterprise or an individual. Acts of Parliament - Laws generated by the UK. They will include laws derived from EC Directives. Regulations - Enabled by Acts of Parliament and made by Ministers. These are made by government ministers under rights, powers and duties which stem from Acts. Orders - Give the force of law to enabling actions of Ministers Northern Ireland Legislation Within Northern Ireland, the Planning and Environmental Policy Group (PEPG) is the key department within the Department of the Environment (DoE), responsible for policy and legislation relating to environmental issues. It has set out a number of objectives which among others, include: Develop Integrated and effective environmental policies and legislation Ensure the timely and effective transposition of EU Environmental Legislation Promote sustainable development within Northern Ireland Working alongside devolved institutions in Wales and Scotland as well as other Northern Irish Agencies particularly the NI Environment Agency, DoE PEPG has responsibilities covering issues as diverse as Waste, Climate Change, Biodiversity, Contaminated land and protection of Water Bodies Enforcement of Legislation in Northern Ireland (see Appendix 5) The main authority responsible for enforcing environmental legislation in Northern Ireland is the Northern Ireland Environment Agency. NIEA incorporates four directorates, three of which administer and enforce diverse sub-sectors of legislation. The four directorates are as follows: Environmental Protection: Water Management Unit Land and Resource Management Unit Industrial Pollution and Radiochemical Inspectorate Drinking Water Inspectorate Strategy Unit 40

43 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Built Heritage: Protecting Historic Buildings Protecting Historic Monuments Recording Built Heritage Corporate Services: Learning and Development Finance Co-ordination Unit Information Technology Corporate Communication Freedom of Information Natural Heritage: Conservation Science Conservation Designations and Protection Countryside and Coast Regional Operations Biodiversity Three of the key units responsible for regulation of NI organisations are as follows: The Water Management Unit has responsibility for the protection of the aquatic environment. It carries out a variety of activities including: 1) Monitoring water quality 2) Controlling effluent discharges 3) Taking action to combat or minimise the effects of pollution. The Land and Resource Management Unit is responsible for the implementation of waste management policy. Towards Resource Management (NI s current waste management strategy) reinforces the proposed activity as enshrined within the Framework for waste prevention in Northern Ireland to encourage the implementation of Environmental Management Systems, stating that EMS s provide a systematic way of managing the environmental concerns of a business addressing immediate and long term impacts of all practices within an organisation. The remit of LRM includes among others: 1) Waste Management Licensing 2) Control and Management of Hazardous Waste 3) Development of guidance for contaminated land 4) Management of land quality database The Industrial Pollution and Radiochemical Inspectorate is the unit responsible for the regulation of operators in Northern Ireland which fall under Part A and Part B of the Integrated Pollution Prevention and Control Regulations and with responsibility relating to the controlled keeping, use and disposal of radioactive waste. Those operators which would fall under 41

44 Measuring the Effectiveness of Environmental Management Systems: Phase 1 only Part C of these regulations are regulated by the local District Council. The system of Integrated Pollution Prevention and Control (IPPC) applies an integrated environmental approach to the regulation of certain industrial activities. This means that emissions to air, water (including discharges to sewer) and land, plus a range of other environmental effects, must be considered together. It also means that the enforcing authority must set permit conditions so as to achieve a high level of protection for the environment as a whole. These conditions are based on the use of the Best Available Techniques (BAT), which balances the costs to the operator against the benefits to the environment. IPPC aims to prevent emissions and waste production and where that is not practicable, reduce them to acceptable levels. IPPC also takes the integrated approach beyond the initial task of permitting, through to the restoration of sites when industrial activities cease. In order to ensure a high level of environmental protection, effective management systems are considered useful tools. Under IPPC, some operators will apply environmental management systems at their installations, certified to standards such as EMAS, ISO 14001:2004, BS8555 and Green Dragon, while a number of permitted organisations have informal (un-certified) management systems in place. Across Northern Ireland, 82 Permits have already been determined for Part A and B processes, with a further 209 Permits pending. A full list of these can be seen in Appendix 4. Along with the responsibilities of District Councils in regulating the impacts on the environment, NI Water Ltd holds some responsibility, particularly in the area of Trade Effluent Discharges. Since the 1st April 2007, NI Water took over from the Department of Regional Development s Water Service. While still 100% Government owned, NI Water Ltd has now lost Crown Immunity. This has been important in ensuring the NI Water increases the quality of it s own effluent discharges, whilst increasing the importance placed on the quality and quantity of effluent it will receive from domestic and commercial / industrial premises. To date there is no reliable NI specific information on the level of compliance with legislation of companies with or without Environmental Management Systems. The next phase of this project for NIEA will provide data surrounding this compliance evaluation issue. 42

45 Measuring the Effectiveness of Environmental Management Systems: Phase Procurement Policy in Northern Ireland Northern Ireland Sustainable Development Strategy First Steps towards Sustainability ( First Steps is the first ever sustainable development strategy for Northern Ireland, published in May 2006 the strategy presents the opportunity to achieve a better balance between social, environmental and economic progress. One of the visions of the strategy is a vision of Northern Ireland as a one planet economy. (reference Northern Limits) The priority is to reduce dramatically the amount of resources consumed and, just as important, the amount wasted and to get much more from the resources used in production. Three strategic objectives on sustainable consumption and production have been chosen for the strategy. To become more resource efficient; To make the Northern Ireland public sector a UK regional leader in sustainable procurement To minimise the unsustainable impacts of consumption The government will meet the objectives by: Communicating and promoting the one-planet living concept and regularly updating the ecological footprint for Northern Ireland to illustrate impact and to measure progress. Promoting the wider use of Environmental Management Systems (EMS) and the uptake of environmental reporting such as the annual survey of the largest Northern Ireland companies. Significantly reducing leakage of mains water and developing campaigns to encourage reductions in the demand for consumption of potable water. Pursuing sustainable development objectives through purchasing and expenditure decisions and make Northern Ireland a regional leader in sustainable public procurement. Developing a database to monitor the implementation of existing guidance on integrating environmental, social and economic considerations into procurement decisions. Working with the Food Standards Agency and other partners to promote healthy eating. Introducing across the Northern Ireland Civil Service a wide-ranging programme known as Workplace 2010 which aims to make better use of space and reduce energy consumption. Implementing a rolling plan to require public sector office 43

46 Measuring the Effectiveness of Environmental Management Systems: Phase 1 accommodation to achieve a BREEAM rating of at least very good. Environmental Management Systems (EMS) will reinforce the progress made. Promoting the Travelwise initiative to achieve a modal shift in terms of how staff travel to and from work Central Procurement Directorate ( Governance can be defined as the process of decision making and implementation. Central Government is one key component of good governance. Sustainable development has profound implications for governance. A society committed to sustainable development will be characterised by a system of governance that focuses on mainstreaming and balancing social, economic and environmental progress. There are two strategic objectives on governance in the Northern Ireland sustainability strategy: To mainstream sustainable development across Government; To strengthen the network of accountability for governance for sustainable development The key targets and important steps from Chapter 6 of the sustainability strategy are outlined in appendix 2 The public procurement policy for Northern Ireland was agreed in 2002 by the Northern Ireland assembly outlining key governing principles and the implication of those principles. One implication is that the Executive s economic, social and environmental strategies and initiatives should be more closely integrated into procurement policy. Construction can affect communities and businesses and can make heavy demands on limited natural resources. When planned successfully it can also lead to positive outcomes. The Government recognises this and is committed to addressing these issues in order to achieve the delivery of sustainable development in Northern Ireland. The CPD Policy Framework for the Procurement of Public Sector Construction Projects (June 2005) is testament to this commitment with a 5 point plan outlining procurement strategy. Point 2 embraces Excellence with the OGC Achieving Excellence Procurement Guide 11: Sustainability identified as the mechanism for delivering sustainable development. The suite of guides set out the processes by which public sector clients can procure and deliver construction projects that best promote sustainable development while still achieving optimum whole life value for money. Whilst Procurement Guide 11: Sustainability covers in some detail the sustainable development issues that should be considered at each key decision making stage from preparing the initial business case, to operating and decommissioning the completed facility, it does not fully reference the benefits of the implementation of an Environmental Management System and the reader could therefore deem that sustainability and EMS were 44

47 Measuring the Effectiveness of Environmental Management Systems: Phase 1 entirely separate entities. Point 5 of the CPD Policy Framework outlines the implementation plan for construction sustainability Sustainability Action Plan with a deadline date of March The requirement for all public sector construction projects to have a BREEAM (or equivalent) rating of excellent for new build and very good for refurbishment projects, is a commitment by March 2006 and evidence of this has been seen in public sector tenders since this date. EMS as a requirement, is again not mentioned in the Sustainability Action Plan. A large proportion of construction and construction supply companies in Northern Ireland do however have a fully certified EMS. Recent QPA figures cite that 49 no. quarrying (and associated road contractor) companies are accredited to ISO This could be due largely to the stringent quality and health and safety systems requirements imposed by DRD Roads Service for tendering contractors. The Highways Agency National Sector Schemes has a minimum need for an accredited ISO 9001 (Quality Management System). Many contractors have used this as an opportunity to integrate systems with ISO and the health and safety specification OHSAS 18001, or Northern Ireland specific Safe-T-Cert standard (administered by Construction Employers Federation). In addition, the Aggregates Levy Credit Scheme requires all quarry operators to undergo a detailed Environmental Audit process to enable them to pay a significantly reduced aggregate tax. The DoE and HMCE have stipulated that this audit must be carried out by an IEMA accredited Environmental Auditor to a strict protocol covering 104 environmental issues, with a section on Environmental Management Systems. There is however, no specific requirement for quarry operators to implement EMS and in the second round of Audits (in 2008) Improvement Notices issued by DoE under the scheme have yet to stipulate any conditions relating to the implementation or accreditation of Environmental Management Systems. At present the government procurement regime focus appears to be on sustainability rather than on EMS. The evidence based credits of BREEAM and its civil engineering equivalent (CEEQUAL) lend themselves well to organisations with formal or informal environmental management systems yet, these do not seem to have been recognised by procurement bodies in a strategic manner. The DRD Roads Service pre-qualification questionnaire for Term Contract for Road Markings 2009 Question C2.4 Has your organisation a third party certified Environmental Management System? If yes, provide a copy of the certificate and a third party audit report of your system. If no, provide a concise overview of any internal management system that your organisation has is typical of recent invitations. This one environmental question however will be judged amongst 21 no. very specific health and safety questions. Sustainable Operations on the Government Estate Action plans have already been produced by a number of government agencies in order to support the Governments Sustainable Development Strategy. These aim to intertwine the CPD policy as detailed above along with sustainably managing the Governments estate in order to encourage each body the department sponsors, to among other aspects, lead by example in publicly demonstrating commitment to sustainable development 45

48 Measuring the Effectiveness of Environmental Management Systems: Phase 1 in the way they run their estates. Objectives and targets are set in relation to waste; water; energy; estate; travel; and procurement. There is also a commitment within the Estate section of some of the departments plans, to identify and commence a pilot Environmental Management System (ISO 14001) on minimum of one site by October This demonstrates the increased importance placed upon EMS in not only managing the impact of government Departments, but also of the need to display that the greening Government agenda is actually in process. The Northern Ireland Environment Agency was the first agency of the Department of the Environment to receive certification for their environmental management system to ISO Speaking after certification in June 2005, the then Chief Executive of the EHS, Richard Rogers commented that the system would give staff an effective way to control and minimise their impact on the environment, and continued on to express his delight that the agency is taking a lead in attaining systems and standards that will not only help the environment, but also save public money Other local (NI) procurement drivers Despite the sustainability focus from CPD outlined above, other public sector procurement initiatives give examples of EMS at the heart of the procurement process. One of the leaders in this field is Belfast City Council Belfast City Council has implemented management systems by Department over the last 5 years. Individual heads of Department have made independent decisions relating to management systems development. The procurement unit led the way with an integrated management system that included ISO and ISO This has subsequently been a significant driver for companies (particularly in the greater Belfast area) that are providing goods and services to Belfast City Council, to prove their environmental credentials. All tenders issued by Belfast City Council now include an Environmental Management Questionnaire with a list of eight questions. These are as follows: 1) Does your organisation have a named officer responsible for Environmental Management? If yes, please state the name, position and qualifications of that person: 2) Does your organisation have an Environmental Policy? If yes, please enclose a copy 3) Does your organisation have in place an Environmental Management System? If yes, do you have any objection to this being inspected? 4) Does your organisation hold either of the following accreditation s? EMAS ISO ) Has your organisation compiled a register of Environmental Regulations and Legislation relating to your business operations? 46

49 Measuring the Effectiveness of Environmental Management Systems: Phase 1 If yes, do you have any objection to this being inspected? 6) Has your organisation compiled an Environmental Effects Register? If yes, do you have any objection to this being inspected? 7) Do you have an Environmental Action Plan in place to reduce your adverse impact on the Environment? If yes, do you have any objection to this being inspected? 8) Please identify (on a separate sheet) the environmental impact in the provision of your supply/service. Belfast City Council Events Unit and Fleet Management Unit have also implemented integrated management systems that meet the requirements of ISO 14001, ISO 9001 (quality) and OHSAS 18001(health and safety) and Project Management Unit has embarked upon development of procedures in readiness of certification. Constructionline Constructionline is the UK s register of local and national construction and construction-related suppliers pre-qualified to work for public and private sector buyers. It is owned for the department for Business, Enterprise and Regulatory Reform (formerly the DTI) and supported by the Office of Government Commerce and the Department of Communities and Local Government. Its aim is to provide efficiency savings to public and private sector procurers and the construction industry as a whole by streamlining procedures (Constructionline Registration Criteria, 2008). It follows current Public Procurement criteria, and aims to reduce the administrative burden on buyers and suppliers alike since the relevant information is submitted and then revised annually; thus reducing time spent preparing tender submissions. It is of note that there is a specific set of criteria encompassed within an environmental questionnaire which was developed alongside Constructing Excellence. Answers must be provided, and where relevant, supporting documentation should be submitted. This also demonstrates the growing role of environmental issues within the public procurement process. It is becoming clear that the Public Sector is quickly beginning to understand the importance of environmental issues, and the role they can play in championing value for money throughout the whole life of the project, however, the role of EMS specifically within the procurement process is still unclear. 47

50 Measuring the Effectiveness of Environmental Management Systems: Phase Compliance Drivers EA approach to Opra in England and Wales Environmental Permitting Regulations Operational Risk Appraisal (Opra for EPR) (England and Wales) ( The Environment Agency has sought to streamline the Regulation process for organisations in England and Wales culminating in the absorption of the Pollution Prevention and Control Regulations within the Environmental Permitting Regulations. An important tool within this approach has been the Opra methodology which has been amended and revised frequently since it s inception. The latest revision occurred in line with the The Opra scheme is a risk screening methodology that builds on the principles developed by the Environment Agency s EP Opra scheme, which it supersedes. Its role is to provide a common tool with which to undertake risk assessments of organisations and to target appropriate regulatory resources. Operator Performance and Risk Assessment (Opra) in turn evolved from schemes developed separately for Integrated Pollution Control (Opra for IPC) and Waste Management Licensing (Opra for Waste). The new scheme assesses both the environmental hazards of an operation and the operator s performance using information from operators, checked by the Environment Agency. Opra is a risk-screening tool used to regulate operators under the Environmental Permitting (England and Wales) Regulations 2007 ( EPR ). It allows the EA to identify and score the following elements of an activity: what the activity is; where it is being carried out; how competent the operator of the activity is; how well the operator complies with the conditions in the permit; in order to risk evaluate the activity being conducted by that operator at that location. EA use the resulting risk profile to decide how much effort they need in order to regulate a facility, based on a range of factors related to their risk, such as where they re located and what their performance has been like in the past. This information is then used to decide the charges each operator needs to pay. Opra is one step towards the EA s goal of developing a common approach to regulation across a range of regulatory regimes. EA want to: make regulation more effective and efficient make the process easier for both industry and regulators target their resources at activities that pose the greatest risks to the environment. Each attribute is scored to produce a band value (A to E) where A equates to low risk and good performance and E high risk and poor performance. The scores for each attribute are added to generate the overall Opra risk profile (A to E). The information from each Opra assessment is used in two ways: 48

51 Measuring the Effectiveness of Environmental Management Systems: Phase 1 in planning compliance assessments; and in determining application and annual subsistence charges using the principle that lower risk requires less Agency regulatory effort and hence lower fees are charged to the operator. Opra attributes The risk assessment is based on the five attributes set out below. complexity: the complexity of the activities and processes operated and regulated; emissions: permitted to all environmental media air, water and land; location: proximity to and sensitivity of environmental receptors; operator performance: the extent and effectiveness of the operator s environmental management system covering compliance history, operation and maintenance, competence and training, emergency planning, performance evaluation and external reporting; and compliance rating: compliance with permit conditions, driven by the number and significance of permit breaches, classified using the Compliance Classification Scheme (CCS). The principle of which is to evaluate non-compliance in accordance with the potential environmental effect and rate the non-compliance accordingly (EA). They are rated from CCS Category 1 (potentially major environmental effect) through to CCS Category 4 (no potential environmental effect). Operator performance (management systems) attribute Operator performance consists of an assessment of the operator s ability, preparedness and commitment to meet permit conditions and other regulatory requirements. This takes into account the management systems in place. EA call this OP1. It also considers previous formal enforcement action taken by regulatory bodies at the site. EA call this OP2. While OP3 is the Compliance rating attribute and is based upon any non-compliances noted and scored using CCS. EA s position statement outlines the policy that effective management systems are important to managing the risk associated with an activity and to delivering permit requirements. Operators are responsible for managing their facility s impacts and for ensuring compliance with permit conditions. EA also believe that the absence of an effective and documented environmental management system (EMS) indicates a need for an increased level of regulatory oversight. The management systems in place and the regulatory enforcement history determine the operator performance (management systems) attribute. 49

52 Measuring the Effectiveness of Environmental Management Systems: Phase 1 This attribute takes into account the following factors: Presence or absence of management systems or recognised procedures covering areas such as: - Operations and maintenance - Competence and training - Emergency planning - Auditing, monitoring, reporting and evaluation. Enforcement history at the regulated facility. Management systems EA s position statement (Version 2 January 2005) says: The Agency strongly encourages the implementation and use of robust EMS s. A robust EMS should lead to improved environmental performance, including better and more consistent legal compliance. We fully support EMAS (which incorporates ISO 14001) and recognise its additional emphases on legal compliance, environmental performance and public environmental reporting. The detailed requirements for a management system are proportional to the risks the system seeks to manage. The presence of accredited certified management systems will be taken into account when determining risk profiles. Greater weight will be given to certified systems such as EMAS and ISO 14001, but other robust and auditable environmental management systems (EMS) will be taken into account. These systems provide EA with insight into commitment to comply with the permit whether EA are present or not. The amount of credit given by the Environment Agency reflects the reduced effort in determining permit applications due to information generated by the EMS, and the potential for reduced compliance assessment effort. Of the points available within the Operator Performance Section of Opra, the percentages achievable directly through certification to different EMS standards are as follows: - 40% for EMAS certification - 30% for ISO 14001:2004 certification - 24% for certification to a published standard subject to external verification (e.g. BS8555 or Green Dragon) - Up to 24% for an extensive uncertified EMS which produces a public statement While these are directly achievable due to the EMS in place, the remaining 60% of credits are likely to be more achievable if an EMS is in place since they are predominantly related to procedures: for instance - Operations and Maintenance - Competence and training - Emergency Planning 50

53 Measuring the Effectiveness of Environmental Management Systems: Phase 1 The final section of the Operator Performance section can apply a weighting of up to negative 40% based on the organisations enforcement history.- which considers aspects such as enforcement actions, prohibitions and convictions brought not just by the Environment Agency, but also by the Health and Safety Executive (HSE) if relevant to the COMAH Regulations, and Local Authorities Other Compliance Drivers Supply Chain Management: The importance of market forces in the implementation of Environmental Management Systems should not be underestimated. The implementation of an EMS can be driven down the supply chain by operators with high public visibility; i.e. a company with a large supplier base may decide that that the next logical step for their own continued improvement is to ensure that it s suppliers conform to an environmental management standard, thereby re-enforcing the company s claims to be strong environmental stewards. The Ford Motor Company in October 1999 detailed a requirement that all suppliers with manufacturing facilities were to certify at least one manufacturing facility to ISO by the end of 2001 and all facilities by the 1st July At the time, Ford was operating 140 Manufacturing facilities in 26 countries around the world. Therefore those companies supplying parts were under pressure to certify Environmental Management Systems or lose high profile, high value, business. Customer Perception: Often it is felt that improvements in environmental performance can prove a useful marketing tool. Sir Stuart Rose, the Chief Executive of Marks and Spencer has said that in the longer-term, a successful business also has to be an environmentally and socially sustainable business too (Marks and Spencer, 2008). Marks and Spencer introduced their Plan A eco plan in January 2007, and fifteen months into its implementation, energy and waste costs had been reduced, but also industry surveys such as the Chatsworth FTSE 100 Green Survey and the Covalence Ethical Ranking show how Plan A is having a positive effect on how people regard Marks & Spencer retaining the loyalty of existing customers and winning us new business (Marks and Spencer, 2008). Therefore, the development of certified EMSs by NI companies could lead to improved corporate image among customers and the public, as well as the regulators. Improved Environmental Performance Examples of improved environmental performance through the implementation of EMS can be seen in case studies published by Envirowise (a government funded organisation aimed at assisting business with resource efficiency and waste minimisation). These case studies include: 1) Dairy Produce Packers Ltd. located in Coleraine, Northern Ireland, decided to undertake a waste audit in the run-up to the certification of their EMS, with the intention of producing a waste minimisation strategy. The results 51

54 Measuring the Effectiveness of Environmental Management Systems: Phase 1 of the implementation of the strategy greatly improved the environmental performance of the company for instance: waste disposed to landfill reduced by 140 tonnes per annum; water use fell by 14,000 m3 per annum; and greatly improved the ratio of materials such as wooden pallets that were re-used and cardboard recycled. As well as this reduction in terms of environmental impact, the company made cost savings of an estimated 46,000 per annum. Alan McMinn, the Factory General Manager summed up the improvements made the company, in promoting a culture of reduce, re-use and recycle, has attained its waste minimisation goals and reaped the financial rewards. 2) Based in Beith in Ayrshire, McKechnie Plastic Components appointed an environmental co-ordinator, in response to customer requirements, to develop a certified EMS. The cost savings that could be achieved through simple environmental improvements and reducing waste surprised the company and more than paid for the co-ordinator s salary. Cost savings have been estimated at over 93,000 per annum, while environmental benefits include 40 less tonnes of waste to landfill per year, and reductions in new packaging and the generation of scrap. Other local companies noted for successfully implementing and running certified EMS include: 3) Michelin which chose to implement ISO 14001:2004 in order to improve the impact of site activity on the environment The requirements imposed by this standard are incorporated into the EMS with the following two objectives: - to lessen the impact of the Group s activities on the environment - reduce the environmental risks linked to this activity Specific targets have been set in relation to reducing energy consumption, reducing in-process waste, controlling liquid waste and to limit gaseous emissions, particularly of Volatile Organic Compounds (VOCs). In relation to VOCs, Michelin announce that they have achieved a 54% reduction in solvent use and therefore in VOC emissions based upon the 1992 reference level and have since targeted reductions of 75%. 4) LaFarge Cement, based in Cookstown operates an EMS certified to EMAS. Objectives have been set for emissions, which are subsequently monitored and publicly reported. One of the key emissions monitored and targeted is Carbon dioxide (kgs) per tonne of cement (PCE). In 1999, for every tonne of cement produced, the Cookstown works was emitting 1014 kgs of CO2. By 2005, this had been reduced to 833kgs per tonne PCE a reduction of over 17%. LaFarge continues to monitor and target these emissions as well as to produce Biodiversity action plans, and has targeted reductions in the annual tonnage of waste disposed of to landfill. 5) GPS Colour Graphics, Belfast the first Carbon Neutral printing company in Northern Ireland. The company was awarded Irish Environmental Printer of the Year status in 2005 and again in 2006 for initiatives including the implementation of their ISO certified EMS. Whilst reducing their carbon footprint, GPS Colour Graphics also benefited from reducing waste by 14%, improved efficiency the introduction of a CtP Platemaker has reduced chemical usage at the site by 50% within the first year. The management team also expound the virtues of the system for encouraging positive 52

55 Measuring the Effectiveness of Environmental Management Systems: Phase 1 engagement with their 57 no. staff. Business has not suffered at GPS since the implementation of the EMS and Carbon Neutral status. Derek Bell, MD states We have worked hard and fortunately successfully at maintaining our high standards whilst our business experienced significant growth over the last few years. In 2005 GPS increased in size in terms of sheets printed to 54 million compared with 32.8 million in (source Irish Printer, February 2007) In-Brief There are a number of drivers for an organisation implementing an EMS - Legal compliance - Procurement (particularly government procurement strategy - Supply Chain Pressures - Enhanced public image and PR - Improved environmental efficiencies and cost savings Government procurement strategy relates to EMS in an ad hoc manner on a tender by tender basis. As yet, procurement strategy does not provide structured guidance for the public sector bodies on how to assess or evaluate organisations with a management system against those that do not. First Steps is the first ever sustainable development strategy for Northern Ireland, the strategy presents the opportunity to achieve a better balance between social, environmental and economic progress. It also makes the commitment to promote the wider use of EMS as well as the uptake in the Arena Survey (see section 4.4.6) The Opra scheme is a risk screening methodology which builds on the principles developed by the Environment Agency s EP Opra scheme, which it supersedes. With points available for the implementation of certified EMS in particular EMAS and ISO 14001:2004, in the knowledge that the methodology is linked to fees and charges levied on IPPCregulated sites so having an EMS can result in lower costs (Defra Position statement on EMS, 2008) 53

56 Measuring the Effectiveness of Environmental Management Systems: Phase Uptake of EMS 4.1 The International Scene Up to the end of December 2006, at least 129,199 ISO 14001:2004 certificates had been issued in 140 countries and economies. The 2006 total represents an increase of 18, 037 (+16 %) over 2005, when the total was 111, 162 in 138 countries and economies. Service providers accounted for 27 % of all ISO 14001:2004 certificates issued up to the end of From The ISO Survey of Certifications 54

57 Measuring the Effectiveness of Environmental Management Systems: Phase Europe ISO14001 EMAS There are currently 6,205 sites in 4,138 EMAS registered organisations 55

58 Measuring the Effectiveness of Environmental Management Systems: Phase 1 High uptake rates in Spain and Italy can be explained as over the last years, legislation has been put in place in Italy with allowances for a higher score for EMAS registered organisations concerning permits for use of water; an EMAS registration replaces application for renewal for permits for waste management activities; longer life of permits 8 years instead of the usual 5 years; Reductions in some regions taxes for EMAS registered organisations; Reductions in fees for inspection; and in Spain exemptions from inspections for EMAS registered companies; Regional governments give financial support to new EMAS registered companies every year. Ref: The firm, Environmental Management and Environmental Measures: lessons from a Survey of European Manufacturing Firms. N. Johnstone, P. Scapecchi, B. Ytterhus and R. Wolf in Journal of Environmental Planning and Management; vol. 47, N , September Source: Europa: sites_en.htm Figure 9 Evolution of organisations and sites Quarterly Data 13/3/2008 EMAS STATISTICS EVOLUTION OF ORGANISATIONS AND SITES Quarterly Data 13/3/ Organisations in the EU and EEA Organisations (before the correction) Sites To facilitate comparisons, the previously reported figures are kept on the graph. The Commission started to collect the number of sites in addition to number of organisations in March 2004 to provide a more accurate picture of EMAS development. Germany reported a significant number of corrections in March Germany and Spain reported corrections in June The UK corrected their number of sites in December /12/97 31/03/99 30/09/99 31/03/00 30/09/00 31/03/01 30/09/01 31/03/02 30/09/02 31/03/03 30/09/03 31/03/04 30/09/04 31/03/05 30/09/05 31/03/06 30/09/06 31/03/07 29/02/ (Europa. 56

59 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Corrections were undertaken in order to accurately ascertain the numbers of organisations which had implemented EMAS, and how many sites were incorporated within the organisations system. Interesting to note is the slow down which occurred during this period of corrections, but that subsequently, while the number of organisations implementing EMAS has developed at a relatively steady rate, the number of sites has grown much more rapidly. This could suggest that for those organisations which have implemented EMAS clear benefits have been seen in the sites covered, and this has been extended to other sites within the groups. 4.3 UK Wide ISO14001 UK organisations have made rapid progress in implementing EMS s over the last few years. Globally, the UK is now ranked 6th amongst countries with the highest number of ISO certificates (as of the end of 2007 there were over 6,000 UKAS accredited certifications to ISO in the UK) UKAS have details of 52 certification bodies which are accredited to certify EMS to ISO 14001, however, only 40 of these are recorded as having issued UKAS accredited certificates to organisations operating in the United Kingdom. It should also be noted that certification bodies must be approved under the various European Co-operation for Accreditation Scope References, and even then it may be full or limited accreditation. In 2006, over 100 ISO 14001:2004 certificates were withdrawn from organisations within the UK (around 1.5%). The figures though are provided as a rough indicator (ISO, 2007) as not all certification bodies provide information relating to withdrawn certificates. Unfortunately no explanation is provided for why these were withdrawn whether through noncompliances or company withdrawal from the system etc. 4.4 The Situation in Northern Ireland Invest NI Support The Technical and Sustainable Development Unit at Invest NI is aimed at helping business to solve technical energy and environmental problems. This remit is served through the support of organisations such as Carbon Trust, NISP (National Industrial Symbiosis Programme) and Envirowise but also through the development of training packages, grant aid and loans for delivery by the Invest NI Sustainable Development team. A number of the initiatives detailed below will have been delivered by IRTU (pre-invest NI) Support Scheme Grants The Environmental Audit Support Scheme (EASS) provided financial assistance to businesses conducting environmental audits. The scheme offered 66.67% grant towards the cost of up to 15 consultancy days and reasonable expenses, subject to a maximum grant of 5,000. It had the overall aim of assisting industry in taking its first step towards improving environmental performance, with the objective of encouraging industrial and commercial enterprises to commission environmental audits with a 57

60 Measuring the Effectiveness of Environmental Management Systems: Phase 1 view to formulating and implementing environmental policy. Within the audit, detailed on-site examinations were carried out of environmental activities by an independent consultant selected by the business: a wide range of potential impacts were covered: with the aim of helping businesses create a baseline of environmental performance and highlight areas of weakness. First launched in November 1993, circa 560 businesses were assisted; with an approx. Invest NI spend of 420,000, 95% of which went towards consultancy costs - circa 80 audits per annum. A follow up evaluation with 49 businesses which received support revealed the following information. Factors Influencing an Audit: The 49 respondents were surveyed on which of the following factors influenced their decision to undertake the audit: Influencing Factor Number of responses % of respondents Compliance with legislation 30 61% Customer influence/demand 8 16% Availability of grant 8 16% Previous Environmental Concern 9 18% Reduce Operating Costs 3 6% PR Opportunity 10 20% Other 6 14% Total 74 *Does not add to 100% as some respondents gave more than one response The vast majority undertook the audit to determine compliance with legislation (61%), while the other section is stated by Invest NI to represent those wishing to achieve ISO accreditation. One fifth of respondents felt it was a valuable PR tool, and a further 16% undertook it due to customer influence / demand. Respondents were then asked to identify the potential environmental impacts that their business was seeking to address through the audit. Of these, four impacts (waste management 65%, EMS 29%, Energy Efficiency 26%, and Elimination of waste, recycling and recovery 24%) show a trend towards the areas of legal compliance and cost reduction. Perhaps surprising is that only 8% of respondents cited pollution abatement as an impact requiring addressed, but this may suggest that companies that are more proactive regarding environmental audits and management systems pose less of a risk to the environment due to an already heightened awareness of environmental issues. 58

61 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Implementation of Recommendations: Respondents were asked to outline the key recommendations, and to what extent they had implemented them: Of the 47 that were implementing, or had implemented, the suggestions, 98% felt their business environmental performance had improved, and they were subsequently asked to comment on the benefits. At the time of survey: Two businesses had achieved ISO following completion of the programme; One business achieved ISO 9000 accreditation; A number of businesses confirmed that it gave them a greater understanding of environmental recycling issues; and A number of businesses confirmed that their costs and waste had reduced Summary Throughout this survey, there are two prevalent themes: firstly, compliance with legislation; and secondly, cost reduction through improved efficiency. There is no doubt that the availability of EASS meant that many businesses went through the formal audit process that otherwise may not (85% claim financial support was a key factor in their decision to undertake an Audit) but that virtually all felt this had led to an improvement in their environmental performance (98% of those implementing recommendations). A third of whom went on to make further investments, and almost half of all respondents were now setting quantifiable targets for environmental improvement. Invest NI had also sponsored the Environmental Management System Support Scheme (EMSS). This scheme operated for a shorter duration than the Environmental Audit Support Scheme and provided up to 75% grant on consultancy and certification fees for businesses seeking to implement an EMS to a recognised standard. A large number of companies participating in the EASS will have gone on to avail of the EMSS to assist with the achievement of ISO accreditation. While this scheme has now ceased, unfortunately, Invest NI were unable to provide information on analysis undertaken under the EASS programme. 59

62 Measuring the Effectiveness of Environmental Management Systems: Phase Building Blocks Launched in September 2003, funded by Invest NI and delivered by White Young Green, this Pilot Programme was designed to help companies achieve certification to BS8555 the phased approach to implementation. Through a series of workshops, and designated consultancy days, the 11 companies that were selected to participate all went on to have their systems certified by an accredited body to Phase 3 of BS8555. Nine of these companies continued through the later Phases of the Standard, and at the time the evaluation of the Programme was undertaken (May 2005), six of these had been certified to ISO The evaluation of this Pilot Programme included making contact with all of the eleven companies which participated in the programme focusing on: Drivers for undertaking the Programme; Perceived benefits of undertaking the Programme; and Realised Benefits of undertaking the Programme. Drivers for Application: 1) 68% due to the availability of funding. 2) 58% to improve legislative compliance. 3) 34% due to customer influence / demands. Perceived Benefits: 1) 86% thought they would see an improvement in environmental performance. 2) 46% felt they would benefit from improved liability control. 3) 38% thought they would see financial benefits. If improved environmental performance was sought, the organisations were asked to detail how they hoped this would manifest itself: 1) 100% hoped to improve waste disposal routes. 2) 90% expected reduced energy consumption. 3) 80% were targeting a reduction in the waste generated. Realisation of perceived benefits: Organisations were to allocate responses on a scale of 1-4, where 1 equalled not a lot and 4 equated to a lot. By combining the scores 3 and 4 (i.e. the positive responses), the top three were as follows: 1) 100% felt they had improved liability control. 2) Just over 80% believed they had improved their environmental performance. 3) Just over 50% felt they had improved their public image. Improved Liability Control: The organisations reported a greater awareness of environmental legislation applicable to their activities; and felt more able to demonstrate compliance 60

63 Measuring the Effectiveness of Environmental Management Systems: Phase 1 through the measures the EMS had initiated such as a register of legal and other requirements; demonstration of control measures in place to maintain compliance and collation of supporting evidence (e.g. Waste Transfer Notes, and Licenses of waste contractors) Improved Environmental Performance: The organisations had initiated a wide range of different measures, depending on the nature of the industry, but improvements cited by the participants included: installation of oil / water separators to improve storm water discharge; improved waste segregation and recycling; and improved bunding; through to the recruitment of personnel dedicated to environmental issues. Improved Public Image: While only around half of respondents felt they had improved their public image, all received publicity through their engagement in the scheme and successful completion up to Phase 3 of BS8555, while others reported that it enabled them to set an example to sister companies, as well as promoting a positive image with customers, the public, and demonstrating green commitment to the supply chain STEM The STEM (Sustainable Together through Environmental Management) Project was established in 2004 to run until June Funded by the EU INTERREG IIIA programme for Ireland / Northern Ireland, nine participating councils and Southern Group Environmental Health Committee. It had three key objectives: Deliver ISO to the nine councils and SGEHC Assist 270 businesses (within the council areas) to achieve accreditation to BS8555 (phase 3) Offer project management support to businesses that have achieved BS8555 and are willing to commit extra resources in order to attain ISO STEM was designed to assist the local authorities in meeting their targets and to demonstrate the commitment of public bodies to environmental improvement, and also for those SMEs that sought to reduce their environmental impact though EMS, but may not have had the resources to do so, STEM was able to provide a service that could otherwise have been very costly. For councils, the key objective was to achieve joint certification to ISO 14001:2004 for a minimum of 3 services in each of the 9 councils and SGEHC it was exceeded in 2007 when a number of councils completed certification of their civic buildings and therefore the services within. The below table demonstrates the councils and certified services / facilities. 61

64 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Council Env. Health Technical/ Leisure services Civic Building Grounds Maintenance Ards Borough Council Armagh City and District Council Banbridge District Council Craigavon Borough Council Oxford Island Site Down District Council Dungannon and South Tyrone Council Newry and Mourne District Council SGEHC Monaghan County Council Louth County Council Water Services Roads Services Civic Building Environment Section When asked about the motivating factor for businesses to participate in STEM, the qualitative information available suggests a range of factors. The free advice and guidance was obviously attractive for those SMEs that were already considering the implementation of an EMS; and the usual crop of responses relating to desires to reduce costs and improve efficiencies, as a marketing tool or due to supply chain pressure were present. There was also an interesting story relating to legislative requirements for many EMS represent the best available technique to monitor and demonstrate legal compliance, though for some others, legislation was seen as a barrier to implementation, based on the cost to comply but also regarding the potential of becoming visible to the regulator and therefore leaving themselves open to prosecution. In terms of businesses, the below table shows the breakdown of total participants in the scheme and associated employee numbers: NI ROI Total Business Participants Employees A further split shows the recruitment of businesses from both sides of the border and by business sector. 62

65 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Northern Ireland Businesses by Sector ROI Businesses by Sector Business Sector Number of businesses Number of employees Business Sector Number of businesses Number of employees Construction Engineering Food and Drink Garage/Repair 6 67 Horticulture Hotel/Tourism Manufacturing Quarry Recycling Services Transport 5 81 Wholesale /Retail Total Construction Engineering Food and Drink Garage/Repair 0 0 Horticulture 2 95 Hotel/Tourism Manufacturing Quarry 2 80 Recycling 1 60 Services Transport 2 32 Wholesale /Retail 5 89 Total

66 Measuring the Effectiveness of Environmental Management Systems: Phase 1 STEMs second key objective was to assist 270 businesses to achieve accreditation to BS8555 (phase 3): the programme fell slightly short of this target due to drop out rates. Below is the data relating to total businesses accredited to BS8555 throughout the life of the project. Business Sector Number of businesses Construction 43 Engineering 17 Food and Drink 26 Garage/Repair 4 Horticulture 4 Hotel/Tourism 12 Manufacturing 33 Quarry 18 Recycling 11 Services 42 Transport 4 Wholesale/Retail 19 Total 233 The graph on the next page depicts the amount of business participants that received accreditation, plotted against total business participants and the associated percentage. In total, almost three-quarters of participants in the scheme (233 businesses) were successfully certified to BS8555 (phase 3) and 11 of these went on to become certified to ISO (3% of total participants). 64

67 Measuring the Effectiveness of Environmental Management Systems: Phase 1 The STEM project demonstrates that there is demand among NI Businesses for support in the implementation of EMS and that the reasons for participation range from desire for improvements in environmental performance through to legal compliance and customer demand. The twenty-five percent drop out rate could suggest that for some SMEs it was felt that benefits could be derived without a certified EMS Further information relating to the rates of re-certification for the above companies is slightly more limited since due to the nature, and timing, of the re-inspection process, some organisations have yet to receive their first surveillance audit. Therefore information is only available for those companies certified by the end of December 2006, and have subsequently undergone the surveillance process by the end of December

68 Measuring the Effectiveness of Environmental Management Systems: Phase 1 In total, only 47% of those certified prior to end December 2006 were successfully re-audited. This could demonstrate that upon certification, and therefore the end of STEMs involvement, SMEs were unwilling to dedicate the necessary resources to maintain the system. If this figure were to be extrapolated for total businesses certified within the life of STEM, then only 110 of the originally accredited participants can be expected to retain this after the original certification audit. It is possible therefore that an absence of any financial support to keep the EMS up to date has had a detrimental impact on the going registrations to BS8555: 2003 within the STEM project. Interestingly, as the graph below and table demonstrate, there is a definite trend regarding the likelihood of an organisations propensity to maintain the system when considered in relation to employee numbers: as employees numbers increased, so too did the proportion of successful re-audits. This would indicate that it is likely that there is a dedicated resource available within larger organisations to assist in the ongoing implementation process. 66

69 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Number of Employees Certified Re-certified Percentage % % % % > % Total Percentage of Companies Re-certified % Percentage re-certified 80.00% 60.00% 40.00% 20.00% 0.00% >150 Employee Numbers Percentage 67

70 Measuring the Effectiveness of Environmental Management Systems: Phase Bites Business Improvements through Environmental Solutions (BITES) is a programme funded by Belfast City Council s Economic Development Unit and Better Belfast the Landfill Communities Fund Distribution programme which was administered by Bryson Charitable group on the behalf of Belfast City Council. The programme was developed by Belfast City Council, Arena and Queen s University. The aim of BITES is to help companies create an environmental management system which is tailor made for their own business. By doing this they will both improve their carbon footprint and make financial gains. The programme has at this stage only been run once, (though recruitment is currently under way for the second programme) and six organisations (public and private sector) took part. The programme lasts for a year and comprises five modules: EMS; Resource and Efficiency; Energy; Water and; Purchasing and Transport. Throughout the programme, the organisations develop management systems in line with Green Dragon. Of the 6 organisations which participated, all successfully attained Level 3 of the Green Dragon standard and most received Waste Awareness Certificates from CIWM and an IEMA Associate Certificate in Environmental Management. All organisations reported improvements in resource efficiency, and environmental performance, for instance; Patient and Client Support Services of The Royal Hospitals made savings of 22,000 through better waste recycling; and ASG (a marketing solutions company) diverted 30 tonnes per annum of waste from landfill through improved recycling, as well as identifying and implementing a solution to a boiler which was running inefficiently thereby improving their environmental performance as well as making cost savings of 300 per annum. Other companies also reported how changes implemented had reduced the potential of pollution incidents, and subsequently reducing risk of non-compliance with applicable environmental legislation CEF Easy Access The Constructors Employers Federation (CEF), in partnership with CIRIA and White Young Green, provide an EMS training programme tailored to meet the needs of the Construction Sector. The programme is known as Easy Access. The programme follows the BS8555 methodology. Training is provided over the course of a month period on each of the 6 phases of BS8555. Up to ten firms can be accredited at any of the six phases of Easy Access. However most use Easy Access to prepare them for ISO14001 the international Environmental Management standard. A key focus of the programme is compliance with environmental legislation. A full day training session is dedicated to helping companies identify and comply with environmental legislation. As environmental compliance is a minimum requirement for an EMS, the topic is also covered throughout the course of the programme, 68

71 Measuring the Effectiveness of Environmental Management Systems: Phase Green Dragon Coleraine Borough Council was the first Council in NI to offer support to businesses to implement Green Dragon. In partnership with Arena Network and part funded by the EU Building Sustainable Prosperity Programme, it was able to provide the service to some local businesses free of charge. Approximately 40 organisations in NI have implemented EMS to the Green Dragon standard. Of these around 80% have been inspected to level 2, and the remaining 20% have undergone inspections at level 3. In the region of 90% of these organisations have received support through funded programmes including BITES and Coleraine Borough Council initiatives Arena Network Survey Published in late September 2008, the 10th Annual Arena Network Survey represents the largest annual environmental survey in Northern Ireland. 250 of NI s largest organisations are invited to take part in the online survey which culminates in the publicly available document which ranks organisations into quintiles depending on their performance in the Survey. The Survey underwent a significant revision which was in recognition of the fact that as the performance of NI s organisations improved Arena Network needed to raise the bar (Arena, 2008) This 10th Survey: - places more emphasis on performance less about policy and processes and more about delivering actual improvements on the ground - New sections were added to cover areas such as compliance, advocacy and transport requiring evidence for the first time in some areas - Verification also became a more rigid process, with 15% of participants subjected to an independent review. 13 industry sectors were represented by 128 organisations a fall on previous years, though this was expected due to the changes to the survey and rationalisation among the public sector participants. The overall score fell also, again attributable to the revised process thus the results of this report are due to form a new baseline to facilitate future comparisons. However, though comparisons are made difficult, some of the results which were found prove interesting as stand alone issues: for instance; 98% of organisations have an environmental policy, the same percentage have also appointed a senior manager with environmental responsibility. 97% have set environmental objectives and targets. Arena believes these to be the basic tenets of an EMS 91% of participants claimed to have an EMS, or were developing one; and 49% of all businesses had a certified EMS in place The new questions relating to compliance addressed whether organisations had registers of applicable environmental legislation (4% had) though there were no further questions relating to noncompliance / prosecutions or enforcement actions. 69

72 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Due to the revision of the Survey, it is difficult to ascertain whether or not performance has improved across the organisations this will become apparent as the Survey is undertaken again in subsequent years. Though the survey does not actively consider whether or not an EMS contributes to legal compliance and enhance environmental performance, it did ascertain that 94% of organisations have a formal register of environmental legislation, and two-thirds of participants engage with decision makers to influence policy or take an active stance to promote environmental practice (Arena, 2008). In-Brief There have been large increases internationally in the uptake of accredited EMS In the UK, more than 6,070 certificates have been awarded to organisations with EMS to ISO 14001:2004, and 69 organisations (encompassing 366 sites) to EMAS. Northern Ireland Support Schemes have been very successful in terms of numbers of organisations applying, and where available, the analysis of these schemes have generally demonstrated benefits (both environmental and financial) for the organisations. However, analysis of the information available from STEM suggests that smaller businesses are less likely to maintain an EMS following withdrawal of the support structure. The revision of the Arena Survey and the subsequent results demonstrate the growing commitment of the leading NI organisations in towards environmental management systems with 98% having in place the basic tenets of an EMS and 49% of respondents operating certified EMS. 70

73 Measuring the Effectiveness of Environmental Management Systems: Phase Research into EMS The effectiveness of Environmental Management Systems has been long debated and there has been a significant body of research undertaken in recent years. Relevant research papers have been considered for this review and summarised in this chapter. Research relating to the effectiveness of EMS in relation to legislative compliance and improvements in environmental efficiencies have been closely regarded below. 5.1 SME-nvironment Survey, 2007 In 2007, NetRegs Undertook the SME-nvironment Survey the purpose was to examine progress and knowledge advancements since the similar surveys undertaken in 2003 and Including England, Scotland, Wales and NI, the survey is a useful tool in comparing SMEs across the UK with regards to perceived environmental performance. As the graph demonstrates knowledge across all SMEs regarding their environmental impact was very low, with a UK average of 15% of businesses which thought their activities could cause environmental harm, this rose to an average of 49% when prompted with a list of harmful activities: businesses in Northern Ireland were least likely to admit to undertaking any activities that were deemed to be harmful to the environment (44%) (NetRegs, 2007). This demonstrates a lack of understanding at the vast majority of organisations as to the effects their activities can have on the environment. 71

74 Measuring the Effectiveness of Environmental Management Systems: Phase 1 *Should be noted that multiple responses were accepted under the Motivations category. In Northern Ireland and England, businesses were the least likely to have taken actions to improve their environmental performance (46%). The main driver common for all regions was general environmental concern rather than to ensure legislative compliance. This is perhaps unsurprising when further questions probe the respondents awareness of environmental legislation only 23% of NI businesses were able to name a piece of environmental legislation 36% of those who could, cited the Packaging Waste Regulations. It is even less surprising then, that when questioned about the main business benefits of addressing environmental issues, 81% strongly agreed / agreed with reduced risk of prosecution. Environmental Policies and Management Systems: Businesses with between employees were much more likely than those businesses with 9 or fewer members of staff to have an environmental policy in place: 71% compared to 28% respectively. Northern Irish businesses were the least likely to have an environmental policy in place (35%) when compared to the other regions (39% in England and Wales, and 43% in Scotland). The take-up rates of EMS throughout the UK was consistent, with around 15% already having one in place, and a further 6% planning to introduce one in the future. 72

75 Measuring the Effectiveness of Environmental Management Systems: Phase EVER Evaluation of EMAS and Eco-label for their revision Carried out on behalf of the European Commission, and published in December 2005, the Ever Report aimed to provide recommendations for the revision of EMAS and the EU Eco-Label. With reference to EMAS, it specifically considered the impact of EMAS on environmental performance. Environmental performance was classified into four sub-sectors: - Absolute Improvement - Continuous Improvement - Relative Improvement - Target-led improvement Using three different methodological techniques, the authors considered Quantitative Analysis of eco-efficiency and impact indicators, environmental management indicators and interview and survey data to draw their conclusions. Despite the variety of methodologies, it was still found that whether and to what extent EMAS improves the environmental performance of organisations is difficult to assess... This may appear surprising, given that the continual improvement of environmental performance is a key objective of the EMAS Regulation and given that EMAS organisations are required to publish environmental data (EVER, 2005). It is their belief that the difficulty stems from issues regarding the definition of performance improvement, establishing cause/effect relationships and the availability of data. The findings in relation to the four improvement sub-categories are summarised below: EMAS and Absolute Improvement Based on interview results, the authors found that EMAS is perceived to have a positive effect on environmental performance, especially in facility-related aspects such as waste, water and air pollution but that other areas such as environmental regulation and technical progress have a greater impact on performance. EMAS and Continuous Improvement Again based on interview results, the large majority of respondents (89%) hold the view that their EMS contributes to environmental improvement year on year. EMAS and target-led Improvements Targets tended to be set on the basis of economic and technical feasibility rather than public policy objectives, and the targets tended to be qualitative rather than quantitative. Two-thirds of those surveyed believed they obtained their targets often, while just under a quarter said they always met theirs. 73

76 Measuring the Effectiveness of Environmental Management Systems: Phase 1 EMAS and Relative Improvements Conducting a comparison between EMAS registered and non-emas registered organisations (of whom, 22.5% had no EMS); it was found that very little difference existed in perceptions about performance. In fact, the only area of questioning where there was divergence was in relation to targetsetting. EMAS organisations were less likely to consider public policy targets when setting their own objectives than non-emas organisations, but were twice as likely to always achieve their targets. Summary: The survey found that EMAS has a positive effect on environmental performance, and that for those that have adopted it, it is seen as a useful tool, however, it is not one of the most important determinants of environmental performance and it appears not to be a strong autonomous driver for improvement. It also suggests that ISO 14001:2004 is as strong as EMAS as regards facilitating and stimulating environmental performance improvement. 5.3 Environmental Management Systems and Company Performance: Assessing the case for extending risk-based regulation. Prior to the issue of ISO 14001:2004 and looking exclusively at sites regulated under Industrial Pollution Control (rather than its successor IPPC and subsequently Environmental Permitting - EP) in England and Wales, this study sought to examine the case for regulatory relief for those companies with formal, certified EMS s. It also took place prior to the variety of changes to the Opra methodology which have subsequently seen it become Opra however, it produced some interesting findings pertinent to the questions posed by NIEA, in that the authors sought to answer many of the same questions such as the links between certified EMS and environmental performance and legislative compliance. The validity of the Opra scheme in England and Wales was considered along with it s incentivisation of the uptake in EMS s through reduced compliance assessment activities and with the potential to reduce regulatory monitoring where there is overlap between the outputs of an EMS and regulatory reporting requirements, i.e. to prevent the duplication of effort on behalf of the operator. EMS and Company Performance In order to assess whether sites with an EMS were associated with higher levels of Operator Performance, the sample was split into three groups: Sites without a certified EMS; Sites certified to ISO 14001; and sites certified to ISO and EMAS. Comparing the most recent Overall Performance Assessment (OPA) scores at the time of publication; it found that mean OPA scores are significantly higher for sites with an externally validated EMS than for those without, and that EMAS registered sites score higher than sites certified only to ISO Differences were also noted with regards to the range of scores attained: with fewer poor performers, as judged by fewer low scores and a higher concentration of high OPA scores, among the groups 74

77 Measuring the Effectiveness of Environmental Management Systems: Phase 1 with externally validated environmental management systems having an EMS cuts off a tail of poor performance (Dahlstrom et al, 2003). However, further analysis demonstrated that five of the six questions that the OPA scores referenced at this point were related to aspects of performance that a management system is intended to improve, while for the one attribute related to incidents, complaints and non compliance events there was no significant difference between the three groups. This could support one of the findings of remas (see below) that a certified EMS could appear to raise levels of non-compliance events as the EMS increases awareness of the organisations compliance status. EMS and Continuous Improvement To analyse this, the study compared the first and last OPA scores for sites assessed more than once, and discounting those which occurred within twelve months of each other, leaving a sample of just over 400 sites. Of these, almost 40% experienced no change, 46.4% improved with the remainder deteriorating. There were significant differences in the rate of improvement of OPA scores between the three groups. Sites with either ISO or EMAS started from a higher baseline than those without and improved more rapidly. EMS and Enforcement Action From a regulatory perspective, legal compliance is a key aspect of environmental performance however, the available dataset to enable a comparison of the links between EMS and compliance was too small to allow accurate analysis of the links, thus fails to provide evidence that sites with an externally validated EMS are more or less likely to be subject to enforcement action. Summary: Sites with a certified EMS have higher levels of operator performance than those without, with EMAS registered sites out-performing those with ISO However, they do not have a lower likelihood, as assessed by enforcement officers, of suffering from incidents, complaints and noncompliance events. The context within which this study was undertaken should be noted, in that it pre-dated ISO 14001:2004, and was prior to the expansion in coverage of the PPC Regulations. 5.4 REMAS remas was a three-year project designed to examine environmental management systems (EMS s) currently in place in business and industry across EU Member States. remas aimed to demonstrate that companies and organisations that implement environmental management systems, such as EMAS and ISO 14001, show better environmental performance overall. The IEMA is one of the project partners, along with the Environment Agency, Scottish Environment Protection Agency and the Irish EPA. Unfortunately, DOE EHS were not part of the remas review and so opportunities to examine the effectiveness of EMS with a proportional representation of Northern Ireland companies were not utilised during this three year period. Businesses around the world are facing increasing demands for improvement 75

78 Measuring the Effectiveness of Environmental Management Systems: Phase 1 in environment performance. They are exposed to greater pressures from customers, employees and competitors and are having to deal with a plethora of rapidly changing regulations and guidelines in their field. To deal with these pressures, many companies have chosen to implement environmental management systems (EMS) that essentially allow the environmental impact of a company or organisation to be more easily controlled. Implementing an EMS should improve a company s environmental performance, but prior to the remas project there has been little data to back this up. remas commenced on 1 November 2002 and remas collected data from European sites until October remas sought data from sites with formal, informal and no EMS. remas used this information to demonstrate ways of avoiding duplication from the overlap of regulatory process work and EMS implementation. remas set out to achieve the following objectives: Demonstrate mechanisms to meet Article 10 of the Eco-Management and Audit Scheme (EMAS) (relates to the consideration of how to avoid unnecessary duplication of effort by both organisations and enforcement authorities) Demonstrate where EMAS improves performance and compliance with environmental regulation Demonstrate how effective implementation of EMAS improves environmental performance faster or further than command and control regulation Encourage uptake of the approach through dissemination with key European Community stakeholders remas findings The project used a bespoke mathematical model to interpret the relationships between the adoption of a particular type of EMS and the management activities or behaviours a regulator expected on a good site, and then the subsequent impact of these on regulatory compliance performance and environmental performance. The latter metric was normalised to allow comparisons against raw materials and emissions benchmark levels defined as best available techniques within the European Union s Integrated Pollution Prevention and Control Directive. Whereas the benchmarks were known, the derivation of the model and comparisons techniques is groundbreaking with a number of spin-off learning points established during the work which adds to the value of the project. The data gathered was subjected to a number of quality control audits, including site visits by the team and cross reference to local regulatory inspectors. The website used to gather data remains available as an additional project deliverable, and is translated into five languages. Data on various types of EMS were collected, but these were classified into five: 1. Sites with no defined EMS approach 2. Sites with an informal EMS but no third party auditing 3. Sites that had achieved certification to ISO14001 using an accredited 76

79 Measuring the Effectiveness of Environmental Management Systems: Phase 1 certification body 4. Sites within group (3) that had also taken the steps to reach EMAS but have not registered under the scheme 5. Sites registered under EMAS. remas results - link between EMS and performance (based on data from 320 sites in Europe) In summary the project measured the relationship between implementing different types of EMS and: The change in behaviours at a site, (defined as site environmental management activities) The impact of these on emission levels, (benchmarked against best available techniques) Compliance with legislation. Behaviours are measured against those expected on a well managed site as defined by IMPEL (European network of regulators). Collectively these are known as the remas criteria ( those elements of an EMS that are considered to be key to improving environmental performance and regulation. Improved self knowledge of permit breaches (better detection usually means increased numbers of non-compliances) Compliance management (better management leads to reduction of non-compliance events). remas Summary Results There is strong evidence that the adoption of an accredited certified EMS improves site environmental management activities. Overall environmental management is better under ISO14001 than under an informal system; which in turn is better than under no system at all. There is evidence that overall site environmental management is better under EMAS than under ISO14001; driven largely by better performance in performance monitoring, documentation control and (self) reporting of environmental performance. There is some evidence that improved site environmental management leads to lower average emission levels. However, the strength of the evidence differs significantly between receiving media, regions of Europe and sectors. There is strong evidence that improved environmental management has an impact on the number of self recorded permit / licence breaches. The impact may be observed both as positive (i.e. reducing the number), or as negative (i.e. increasing the number), and varies between regions and sectors. The mix of positive and negative impacts for the two compliance indicators demonstrates that improved site environmental management results both in a reduction of the rate at which non-compliance incidents (such as permit breaches) occur and in an improvement in the detection and reporting of incidents when they do occur. 77

80 Measuring the Effectiveness of Environmental Management Systems: Phase 1 remas conclusion The remas project concludes that there is a relationship between EMS s and performance driven through better site management activities. An interesting point to note is that the authors assert that high levels of noncompliance issues (for instance in respect of emission levels) may not be a bad thing, and suggest that a comparison of whether a site has an EMS and whether these result in lower numbers of compliance, is too simplistic. This is explained in terms of the below diagram: (remas, 2006) This illustrates that higher levels of non-compliance may occur under an EMS not due to slipping management standards, but because of a greater awareness of non-compliance. [O]ne of the better behaviours expected on a site is looking for non-compliance events and registering these where they occur Clearly where the better behaviour identifies non-compliance events that were previously unknown, this may lead to an increase in the number this is not necessarily seen as a bad thing since identification of non-compliance is necessary in order to correct any issues, and remas seem to suggest that the implementation of a robust EMS can greatly contribute to a greater extent of self-regulation. 78

81 Measuring the Effectiveness of Environmental Management Systems: Phase Measuring Environmental Performance in Industry (MEPI) It should be noted that whilst the MEP1 and subsequent studies carried out robust sampling methodologies and statistical analysis, the work related to the old EMS standard ISO14001 : This predicted the changes made to the 2004 standard. Furthermore the dataset is over ten years old and only covered two years past adoption of the 1996 standard. If a follow up survey was to be carried out, the quality and availability of information may have improved significantly, and facilitate the drawing of clear conclusions, as well as encompassing the changes made in the way that EMS are implemented and certified. Funded under the EC s fourth framework research programme, the groundbreaking measuring environmental performance in industry (MEPI) project was coordinated by the Science Policy Research Unit (SPRU) at the University of Sussex ( In cooperation with six other European research institutes, it set out to compare the economic and environmental performance of 280 companies and 430 production sites in six industrial sectors - electricity generation, pulp and paper, fertilisers, book and magazine printing, textile finishing and computer manufacture - across six countries: the UK, the Netherlands, Germany, Austria, Belgium and Italy covering the years 1985, 1990 and 1994 to A lack of reliable data due to the large proportion of overseas manufacture of components forced the re-searchers to drop computer manufacture from the results. Researchers extracted technically sound data from publicly available sources and fed these into core economic and environmental indicators for each sector and even sub-sector, where there were significant differences in the production technology used. The MEPI project aimed to answer several questions dogging policymakers, including whether several years of EC regulation have succeeded in narrowing differences between companies performance; whether large firms perform better than small ones; whether there is a link between economic and environmental performance; and whether environmental management systems have improved performance. On this last question, the report concludes: Firms and sites with a certified environmental management system [ISO14001 or EMAS] did not appear to perform better than those without. For example, it points out that fertiliser manufacturers with certified systems produced higher levels of NOx emissions than those without, although their discharges of nitrogen to water were lower. For the other four sectors, the researchers could not find any statistically significant results to demonstrate improved performance ( 79

82 Measuring the Effectiveness of Environmental Management Systems: Phase 1 However, the survey finds as a key conclusion that the level of publicly available, robust information was insufficient to enable many conclusions to be firmly made, and that the lack of a clear link between companies with certified EMS and improved environmental performance could be down to: A lag effect in which companies with an EMS do not immediately experience an environmental performance improvement A catching up effect in which companies which perceive themselves to be poor performers are those that seek to implement a system as a way of reaching the best practice frontier The requirement for continuous improvement is interpreted weakly by verification agencies Additional research In a follow up research study published in March 2008 using the MEPI dataset, the authors (Hertin et al, 2008) found that while it is not appropriate to conclude either that EMS are ineffective or that policy support for EMS should be withdrawn. Any conclusion about the link between EMS and environmental performance is necessarily preliminary moreover EMS may have other benefits regulatory certainty, internal or external communication or awareness raising that may justify policies encouraging their diffusion Though, they further add the weak link between EMS and performance is a matter of concern if EMS are envisaged as serving as a substitute for other policy instruments it could be argued that there is currently no evidence to suggest that EMS have a consistent and significant positive impact on environmental performance. 5.6 ISO Experiences, Effects and Future Challenges: a National Study in Austria This study undertaken by Schylander and Martinuzzi sought to explore the perspectives of Austrian ISO organisations. It was identified that there were 501 ISO certified sites, with 297 environmental mangers (due to multiple site certifications). All were contacted, and 71 responses to the questionnaire were received. While the survey looked at issues including future tools to assess environmental performance, and the role of integrating management systems, it also considered the questions of legal compliance and environmental performance improvement. Using a Likert Scale, the organisations were asked how important 10 different motives were for deciding to implement ISO [and] how well these expectations were fulfilled (Schylander and Martinuzzi, 2007). Results of the survey are demonstrated in the below table, where the left y-axis shows the differences between expected benefits and received benefits in order to investigate the degree of happiness or frustration related to each motive; the values are expressed in terms of number of organisations. The right y-axis shows the averages of how the organisations assessed their expectations (4 = very high expectation) and perceived benefits (4 = very high benefits). (Schylander and Martinuzzi, 2007) 80

83 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Expectations and Perceived Benefits of ISO (Schylander and Martinuzzi, 2007) The expectations regarding ensuring legal compliance seemed to be fulfilled by the implementation, [as did] improvements in environmental performance, a systemization of environmental activities, and risk minimization (Schylander and Martinuzzi, 2007). The survey also found that the largest environmental improvements were made within waste and recycling, and that in-depth analyses show a high correlation between the awareness of environmental issues and improvements in energy consumption, waste and recycling (Schylander and Martinuzzi, 2007). 5.7 USA National Database A national database on environmental management systems (NDEMS) has been set up with the aim of determining whether an EMS delivers environmental performance improvements ( The project is funded by the Environmental Protection Agency and a consortium of state governments interested in using ISO14001 and other systems to further their policy goals. Their primary purpose was to answer the question What effects does the implementation of an EMS have on a facility s environmental performance, regulatory compliance and economic performance? So far, it has collected comprehensive baseline data on 50 public and private facilities, which describe their structure, past environmental performance, compliance history, and extent of public outreach efforts and the nature of the management system being used but no conclusive recommendations have been reached as the study is currently ongoing. 81

84 Measuring the Effectiveness of Environmental Management Systems: Phase Urban Government review of the use of EMS (Japan) ( Many cities in Japan are turning to the approach of developing an EMS with the goal of attaining certification to ISO The establishment of an EMS is seen as a tool for creating the structures to integrate changed responsibilities for the urban government to plan and allocate the resources to implement and deliver services so that they address community priorities. The development of an EMS provides a number of general benefits. It creates structured management systems, from which a cycle of continuous improvement can be established. It brings the many environmental issues of concern expressed by the community into daytoday operations and development of long term work plans and programs of the urban government. It also improves the understanding amongst an urban government s personnel of where operations interact with the natural environment and the role that various groups play in the delivery of urban services. The Japan studies have concluded that there are several internal and external benefits for urban governments if they seek ISO certification. While internal benefits ensure wider and deeper participation on the part of an urban government s employees, it is the external benefits that form the key justification for an urban government seeking to obtain ISO certification. The view from Japan report states the external benefits of ISO certification as: With growing prioritization of the global and local environment, ISO acquisition demonstrates a city s green face to its citizens and also helps in emphasizing the need for greater environmental action on the part of urban stakeholders at the local level. A city s acquisition of ISO certification helps in serving as a model for other urban and regional governments to emulate and replicate. An urban government that has obtained ISO certification can, from a position of strength, promote replication of acquiring ISO Certification from other stakeholders in the city, particularly private sector businesses and industry, where a properly and strategically implemented EMS can have far-reaching and long-term impacts. It emphasizes the concept, environmental-action-starts-athome, where local and immediate actions at the grassroots have longterm global implications. 82

85 Measuring the Effectiveness of Environmental Management Systems: Phase Conclusions The project as commissioned by the NI Environment Agency aims to address two key questions relating to the role of EMS and to guide future strategies in Northern Ireland as to whether a more risk-based policy of environmental regulation could be adopted. Generated by the needs of the Better Regulation programme this desktop review of existing studies forms one part of a process to address the questions of: How effective is an EMS in contributing to improvements in an organisations environmental performance; and How effective is an EMS as a measure of legal compliance. This desktop study has considered the history of environmental management systems, along with the most commonly implemented systems. Reviewing the different types of standards which are most prevalent: from what is seen as perhaps the most stringent, though Euro-centric (EMAS), to the most widely adopted standard internationally (ISO 14001:2004) through to those systems such as BS8555 and Green Dragon which implement EMS through staged approaches and are perhaps more suited to SMEs. The certification process for each of these types of EMS has also been considered, to ascertain how robust in nature certifications are. This evaluation found that while EMAS certifications undergo a more thorough process culminating in the production of a public statement and comments on the degree to which objectives and targets have been met, this may not be appropriate for all organisations due to the time and therefore cost implications that may occur. For most, ISO 14001:2004 is seen as sufficient to ensure a high level of environmental management, and in fact, the standard has become incorporated within EMAS to facilitate those companies that wish to be accredited to the EU approved scheme doing so. BS8555 is the most recent of the three standards and has been specifically designed with SMEs in mind. The staged approach to implementation provides a more obviously structured method of managing environmental impacts and also enables recognition of progress at each stage, which means the organisations which implement it, can do so to the level of their own requirement. Similar to Green Dragon in many ways, it differs in that it is audited by an accredited certification body sanctioned, and therefore endorsed, by UKAS. The accreditation process is also considered since while informal EMS are often encouraged, it is the view of DEFRA among others, that an EMS is demonstrated to be sufficiently robust if certified by a body accredited by UKAS. This allows for a greater degree of quality assurance and trust to be placed on an EMS since the certification body which awards the certificate, must also conform to an international standard (ISO 17021:2006). The current situation regarding the uptake of management systems on a worldwide and local scale has also been addressed through this desk study, along with the drivers to the implementation of an EMS. The UK has the third highest uptake of ISO in Europe (2006) with Spain and Italy ahead however, levels of uptake remained constant over the 2005 / 06 period in comparison to high levels of growth over the same period in both Spain and Italy. Levels of uptake of EMAS in the UK are significantly 83

86 Measuring the Effectiveness of Environmental Management Systems: Phase 1 lower than ISO (380 against 6000) with the UK coming 4th in the uptake tables behind Germany, Italy, Spain and Austria. There have been a number of local, Northern Ireland initiatives and programmes regarding environmental management systems over the last decade however, there is limited evaluation of data and no collation of overall statistics relating to improvements or compliance assistance. Northern Ireland businesses have been involved in some EMS key projects over the last 5 years including the introduction of BS8555 to Northern Ireland (Invest NI s Building Blocks programme) and STEM, the expansion of BS8555 to business and local authorities in the border council areas. The Environment Agency in England and Wales has already asserted the view that effective environmental management systems aid risk management in permitting and have developed the Opra methodology for this purpose. In tandem with this EMS Evaluation research, the SNIFFER project has looked at how best regulatory bodies should target their resources in the future, finding that SMEs would be less able to respond to reflexive law instruments. This has been borne out through the work of the STEM project indicating significant drop out rates when consultancy support is withdrawn from the SME companies. There have been a range of international and national independent studies into Environmental Management Systems and a number of key studies have been included within this desk top research. This review established to what extent the questions relating to performance improvements and legislative compliance have been addressed, and a summary of the findings. A summary table of the findings has been produced below which aims to address how they dealt with the two key questions under consideration. Indicative of neutral role of EMS Indicative of positive role of EMS Indicative of negative role of EMS 84

87 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Survey Summary of Main Findings Sufficient Coverage of Legal Compliance? Ever - EMAS The survey found that EMAS has a positive effect on environmental performance, and that for those that have adopted it, it is seen as a useful tool, however, it is not one of the most important determinants of environmental performance and it appears not to be a strong autonomous driver for improvement. remas The remas project concludes that there is a relationship between EMS s and performance driven through better site management activities. An interesting point to note is that the authors assert that high levels of non-compliance issues (for instance in respect of emission levels) may not be a bad thing, and suggest that a comparison of whether a site has an EMS and whether these result in lower numbers of compliance, is too simplistic. MEPI and follow up study ISO Experiences, Effects and Future Challenges: a National Study in Austria SME-nvironment Survey 2007 EMS and Company Performance While it is not appropriate to conclude either that EMS are ineffective or that policy support for EMS should be withdrawn. Any conclusion about the link between EMS and environmental performance is necessarily preliminary moreover EMS may have other benefits regulatory certainty, internal or external communication or awareness raising that may justify policies encouraging their diffusion Though, it could be argued that there is currently no evidence to suggest that EMS have a consistent and significant positive impact on environmental performance. The expectations regarding ensuring legal compliance seemed to be fulfilled by the implementation, [as did] improvements in environmental performance, a systemization of environmental activities, and risk minimization (Schylander and Martinuzzi, 2007). The survey also found that the largest environmental improvements were made within waste and recycling, and that in-depth analyses show a high correlation between the awareness of environmental issues and improvements in energy consumption, waste and recycling (Schylander and Martinuzzi, 2007). Among SMEs there is a gap in understanding regarding the environmental impact of activities - principally due to the low uptake of EMS among SMEs Sites with a certified EMS have higher levels of operator performance than those without, with EMAS registered sites outperforming those with ISO However, they do not have a lower likelihood, as assessed by enforcement officers, of suffering from incidents, complaints and non-compliance events. x x Indicative of Legal Compliance? Sufficient Coverage of environmental performance? Indicative of improved Environmental Performance? International Findings National Findings 85

88 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Survey Summary of Main Findings Sufficient Coverage of Legal Compliance? STEM The STEM project demonstrates that there is demand among NI Businesses for support in the implementation of EMS and that the reasons for participation range from desire for improvements in environmental performance through to legal compliance and customer demand. Though the high drop out rates could undermine the effectiveness with regards to the benefits realised by businesses BITES All 6 companies involved reported and demonstrated improvements in environmental performance and legal compliance issues - principally in the areas of waste management. Thereby securing annual cost savings and reduced resource use. EASS Analysis of the scheme revealed two prevalent themes, both in terms of reasons for undertaking the audits, and in benefits derived - these related to improving legal compliance and cost savings through improved efficiencies. Building Blocks 100% of those that took part in the Building Blocks Programme felt they had improved liability control and 80% felt they had improved their environmental performance through the implementation of BS8555. Arena Survey There is no data relating to comparison in performance between the 49% of organisations with certified EMS compared to the51% without. This means that the Survey contributes little to the debate regarding the effectiveness of an EMS in addressing the questions of performance and compliance. x Indicative of Legal Compliance? Sufficient Coverage of environmental performance? x Indicative of improved Environmental Performance? The research summary indicates that in general, environmental management systems do provide environmental improvements (7 of the 11 no. research papers). Overall, the research is inconclusive regarding an EMS s ability to provide improvements in legislative compliance with 4 of the 11 no. research papers highlighting this, however 3 of the papers did not include compliance within the evaluation criteria. Interestingly, 3 of the 4 local (Northern Ireland) studies suggest that an EMS has both a positive impact on environmental improvements and compliance with environmental legislation. 86

89 Measuring the Effectiveness of Environmental Management Systems: Phase Recommendations It is not been possible to fully ascertain the effectiveness in EMS in delivering environmental improvements and compliance with environmental legislation within a local context (Northern Ireland. A gap in the data is evident, since the Northern Ireland studies include figures that are very project specific, and tend towards being anecdotal evaluations. To date, there has not been a Northern Ireland wide survey or statistical analysis of data relating to EMS. In addition, the SME-nvironment Survey that was carried out sheds some light on the uptake of EMS in Northern Ireland, suggesting it to be around 15% of SMEs, but it also exposed huge areas of misunderstanding and knowledge gaps among SMEs regarding the environmental legislation relevant to them, and the impacts their activities can have on the environment. This is the only instance where some analysis was conducted comparing organisations with an EMS against those without, but this was done at a cursory level, and merely differentiated those who were deemed to be actively involved in addressing issues i.e. those which have an EMS are planning to introduce one, have an environmental policy or have introduced a practical measure to address environmental harm (SME-nvironment 2007) from those which had none of the above. It will therefore be necessary to carry out an in depth analysis of organisations within NI to enable a comparison of organisations with an EMS (of any type, formal or informal) to be compared to those with no EMS against environmental or compliance improvements. Further research has been commissioned alongside this desk top review to provide some additional verification and detail relating to EMS, compliance and environmental improvements in Northern Ireland business and public sector organisations. The basis of this research has been questionnaire survey of 1000 organisations in Northern Ireland, with statistical analysis of the results of the survey. In addition, it has become apparent that there is a need for validation of this research against factual statistics held by the Agency and also by the certification bodies operating in Northern Ireland. This data has been requested for use in the final report. NB. The results of this research and data analysis will be published under separate cover as part of this project, for NIEA. 87

90 Measuring the Effectiveness of Environmental Management Systems: Phase 1 References Acorn Trust, The (2003): New British Standard (BS 8555) and phased implementation of environmental management Arnold, R., and Whitford, A., (2006) Making Environmental Self-Regulation Mandatory in Global Environmental Politics 6:4, November 2006 Bansal, P and C Bogner (2002): Deciding on ISO 14001: Economics, Institutions, and Context, Long Range Planning Business in the Community (2006): Environmental Index 2006 Report ww.bitc.org.uk Business in the Community (2006): Coleraine Green Dragon: Case Studies in Environmental Management BS8555:2003: Environmental Management Systems Fact Sheet 4 sustainabledevelopment/environment/iso14001ems/bs htm British Standard (2003) BS 8555:2003, Environmental Management Systems Guide to the phased implementation of an environmental management system including the use of environmental performance evaluation British Standard (2004) BS EN ISO 14001:2004 : Environmental Management Systems Requirements with Guidance for Use British Standard (2006): BS EN ISO/IEC 17021:2006: Conformity assessment Requirements for bodies providing audit and certification of management systems Dahlström, K., Howes, C., Leinster, P., and Skea, J.,(2003): Environmental Management Systems and Company Performance: Assessing the case for extending risk-based regulation; in Eur. Env. 13, (2003) Department for Environment, Food and Rural Affairs (DEFRA) (2003): An Introductory Guide to EMAS: The Pinnacle of Environmental Management Department for Environment, Food and Rural Affairs (DEFRA) (2008): DEFRA Position Statement on Environmental Management Systems Delmas, Magali, A. (2002): Journal Article, Policy Scenes. Volume 35, Number 1, March Eco-Mapping: 88

91 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Elliott, C (2001): A WWF perspective on ISO (ISO Management Systems) ENDS Report 347 (2003): EMS survey reveals widespread concerns over certification ENDS Report 371 (2005): EMS credibility is at the crossroads ENDS Report 360 (2005): EMS auditors face increased scrutiny Envirocentre: Environment Agency (2008): Environmental Permitting Regulations Operational Risk Appraisal (Opra for EPR) Environment Agency (2007): Analysis of final REMAS project datasheet Europa: European co-operation for Accreditation (2007) EA-7/04 Legal Compliance as a part of Accredited ISO 14001:2004 certification EVER (2005) Evaluation of EMAS and Eco-Label for their Revision, Fresner, J (2004): Small and medium enterprises and experiences with environmental management Journal of Cleaner Production, 12(6), pages Green Dragon: Gunningham, N (2002) Regulating Small and Medium Sized Enterprises Journal of Environmental Law, 14(1), pages Hertin, J., Berkhout, F., Wagner, M., and Tyteca, D., (2008): Are EMS environmentally effective? The link between environmental management systems and environmental performance in European companies; in, Journal of Environmental Planning and Management, 51:

92 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Hillary, R (2004): Environmental management systems and the smaller enterprise Journal of Cleaner Production, 12(6), pages Hillary, R (1999): Evaluation of study reports on the barriers, opportunities and drivers for small and medium sized enterprises in the adoption of environmental management systems (Network for Environmental Management and Auditing. Paper submitted to UK Government. Department of Trade and Industry: Environment Directorate (5/10/99). London) Institute of Environmental Management and Assessment: IEMA Practitioner, Vol 6, (2005): Managing compliance with environmental law: a good practice guide LRQA (2004): How can EMAS benefit my organization LRQA (2005): IEMA Acorn Scheme Marks and Spencer (2008) How we do Business Report 2008 corporate.marksandspencer.com National Database on Environmental Management Systems and University of North Carolina at Chapel Hill (2003): Environmental Management Systems: Do they improve environmental performance. National Standards Authority of Ireland: Northern Ireland Environment Agency (2008): EHS Better Regulation Programme: Better Regulation for a Better Environment NetRegs: Office of Government Commerce (2005): Achieving Excellence in Construction, Procurement Guide 11 Sustainability Roberts, H., and Robinson, G. (1998): ISO EMS Implementation Handbook Russomanno, G (2004): EMAS: SME s specific barriers and needs 90

93 Measuring the Effectiveness of Environmental Management Systems: Phase 1 Schylander, E., and Martinuzzi, A., (2007): ISO Experiences, Effects and Future Challenges: a national study in Austria. In; Business Strategy and the Environment 16, Schaltegger, S., Burritt, R., and Petersen, H., (2003): An Introduction to Corporate Environmental Management:- Striving for sustainability. Science and Technology Policy Research University of Sussex (2000) Measuring Environmental Performance of Industry (MEPI) Scotland and Northern Ireland Forum For Environmental Research (SNIFFER) (2009) UKCC20 - Targeted Risk Based Approaches to Compliance Assessment Sheldon, C (2003): The Acorn Trust and BS Sustainable Development Strategy for Northern Ireland (2006): First Steps Towards Sustainability Starkey, R (1998): The Standardization of Environmental Management Systems: ISO 14001, ISO14004 and EMAS, in Corporate Environmental Management 1: Systems and Strategies United Kingdom Accreditation Service (UKAS) United Nations University, Tokyo, Japan (1999): Cities, Environmental Management Systems and ISO 14001: A View from Japan Walley, L (2000): The environmental champion: making a start. Westfield: an SME success story in Small and Medium-Sized Enterprises and the Environment 91

94 Measuring the Effectiveness of Environmental Management Systems: Phase 1 APPENDIX ONE : Chapter 1 : NI Sustainability Strategy Targets Chapter 1 Sustainable Consumption and Production Strategic Objectives Key Targets Important Steps To become more resource efficient To make the Northern Ireland public sector a UK regional leader in sustainable procurement To minimise the unsustainable impacts of consumption Northern Ireland economy will achieve 85% resource efficiency by 2025 Stabilise Northern Ireland ecological footprint by 2015 and reduce it thereafter By 2008 ensure that all public sector procurement is channelled through recognised Centres of Procurement Expertise (COPEs) By 2008 ensure that SD principles guide capital investment decisions on all major publicly funded building and infrastructure projects By 2008 produce a Sustainable Procurement Action Plan for Northern Ireland By 2008 produce Sustainable Consumption Action Plan for Northern Ireland By 2008 put in place measures which optimize the flexibility of retained and refurbished buildings Progressive reduction of quantities of biodegradable waste going to landfill and reduction of waste in general across all sectors Encourage and incentivise the business case for resource efficiency and waste minimization Promote materials recovery, re-use, and recycling through initiatives such as the Waste and Resources Action Plan (WRAP) Progressive reduction in leakage of mains water Develop training and guidance on sustainable procurement for all public sector purchasing officers Embed whole life costing into procurement decisions and policy Underpin the Investment Strategy for Northern Ireland with excellence in construction programmes that integrate SD principles Ensure that public sector housing and public properties are constructed or refurbished to maximise sustainability and flexibility of use Consider how the recommendations from Sustainable Procurement Task Force can be applied to Northern Ireland with particular reference to access for Small Medium Enterprises and Social Economy Enterprises Promote market Transformation initiatives and the work of WRAP Work with the Food Standards Agency and other partners to promote more sustainable food procurement in the public sector Consider how the recommendations from the Sustainable Consumption Roundtable can be applied to Northern Ireland Make it easier for consumers to make more reasonable, less damaging choices Implement Workplace 2010 on the Government estate SD action plans for each Government department Reduce demand for potable water Press for amendments to VAT rates for new versus refurbished buildings and support amendments to planning and building regulations 92

95 Measuring the Effectiveness of Environmental Management Systems: Phase 1 APPENDIX TWO : Chapter 6 : NI Sustainability Strategy Targets Chapter 6 : Governance and Sustainable Development Strategic Objectives Key Targets Important Steps To mainstream sustainable development across government By 2007 introduce a statutory duty on relevant public bodies to contribute to the achievement of sustainable development By 2007 ensure that all policy development actively considers sustainable development By 2007 link sustainable development objectives to the Priorities and Budgets and Comprehensive Spending Review Processes By 2007 ensure all Departments have a sustainable development Action Plan in place Embed sustainable development principles into the governance arrangements of new councils Develop a revised sustainable development input to OFMDFM Practical Guide to Policymaking Deliver a training programme focusing on sustainable development knowledge and skills across the NICS By 2007 develop and pilot the use of and Integrated Impact Assessment for use by all Government Departments By 2007 have in place a system of information provision, support and guidance on sustainable development for those involved in policy and decision-making Strengthen the network of accountability for governance for sustainable development By 2009 ensure that community planning is implanted within the revised local authority By 2008 strengthen and modernise environmental regulation By 2006 finalise appropriate monitoring and reporting arrangements for sustainable development and establish an implementation role for the Ministerial Led Group Agree the role of a sustainable development Forum by 2006 Agree the way forward on the review of environmental governance in respect of sustainable development by summer 2007 By 2009 build capacity to enable meaningful civic participation and identify participatory mechanism for decision making By 2006 ensure that the principles and objectives of sustainable development have been incorporated into the Regional Development Strategy and planning legislation Determine how best to develop an appropriate audit/scrutiny role to ensure implementation of the objectives of the strategy Determine how best to utilise the role of the Sustainable Development Commission in Northern Ireland Ensure planning legislation and Planning Policy Statements are updated to reflect sustainable development principles and provide guidance on key areas Consider the outcomes of the review of environmental governance in respect of sustainable development by

96 Measuring the Effectiveness of Environmental Management Systems: Phase 1 APPENDIX THREE : Implementation of EMAS outside EU (List of Figures) Appendix 4 Implementation of EMAS outside the EU 94

97 Measuring the Effectiveness of Environmental Management Systems: Phase 1 APPENDIX FOUR: PPC Permits Northern Ireland Northern Irish PPC Permits Determined and Pending PPC No. Site Operator Name Council Area Determined/Pending 0143/01A Du Pont ( UK ) Ltd Derry CC Determined 0163/01A Queen s Isand Belfast CC Determined P0043/04A North West Galvanising Ltd. Derry CC Determined P0044/04A Drumee Landfill Site Fermanagh DC Determined P0046/04A NK Coatings Ltd Newtownabbey BC Determined P0050/04A Silverwood Enterprise Ltd. Craigavon BC Determined P0051/04A Ultra Building Products Ltd Strabane DC Determined P0052/04A Lafarge Cement (Ireland) Ltd Cookstown DC Determined P0053/04A Quinn Glass Ltd Fermanagh DC Determined P0054/04A Gortmullan Cement Works Fermanagh DC Determined P0055/04A Calcast Ltd Derry CC Determined P0056/04A Montupet ( UK ) Ltd Lisburn BC Determined P0057/04A Michelin Tyre PLC Ballymena BC Determined P0058/04A Ryobi Aluminium Castings (UK) Ltd Carrickfergus BC Determined P0059/04A Sperrin Galvanisers Ltd. Magherafelt DC Determined P0060/04A Tyrone Brick Ltd Dungannon DC Determined P0061/04A Huhtamaki (Lurgan) Ltd. Craigavon BC Determined P0062/04A Kiel Pharma Ltd. Carrickfergus BC Determined P0063/04A S & B Production Limited Newtownabbey BC Determined P0064/05A Police Service of Northern Ireland Carrickfergus BC Determined P0065/05A Lisburn Proteins Lisburn BC Determined 95

98 Measuring the Effectiveness of Environmental Management Systems: Phase 1 P0066/05A Ulster Farm By-Products Lisburn BC Determined P0067/05A Grampian Country Pork Ltd Cookstown DC Determined P0068/05A Omagh Meats Omagh DC Determined P0069/05A WD Meats Coleraine BC Determined P0071/05A O Kane Poultry Ltd. Ballymena BC Determined P0072/05A Dunbia Dungannon DC Determined P0074/05A Stevenson and Company Ballymena BC Determined P0075/05A Foyle Meats/Proteins Derry CC Determined P0076/05A Linden Foods Ltd. Dungannon DC Determined P0077/05A Langford Processors Ltd. Antrim BC Determined P0078/05A ABP Lurgan Craigavon BC Determined P0079/05A ABP Newry Newry & Mourne DC Determined P0080/05A Moy Park Ltd. Dungannon DC Determined P0081/05A Belfast Sewage Sludge Incinerator Facility Belfast CC Determined P0084/05A The Royal Group of Hospitals Belfast CC Determined P0086/05A Linergy Ltd Dungannon DC Determined P0087/05A Craigmore Landfill Site Coleraine BC Determined P0089/05A Dairy Produce Packers Ltd Coleraine BC Determined P0090/05A Cottonmount Landfill Newtownabbey BC Determined P0091/05A Glanbia Cheese Ltd Craigavon BC Determined P0092/05A Dale Farm Ltd (Dromona) Ballymena BC Determined P0093/05A Dale Farm Ltd (Pennybridge) Ballymena BC Determined P0094/05A Dale Farm Ltd (Dunmanbridge) Cookstown DC Determined P0095/05A TMC Dairies (NI) Ltd Strabane DC Determined 96

99 Measuring the Effectiveness of Environmental Management Systems: Phase 1 P0096/05A Armaghdown Creameries Ltd Banbridge DC Determined P0097/05A Scotts Feeds Ltd Omagh DC Determined P0098/05A Diageo Global Supply IBC Group Castlereagh CC Determined P0099/05A ABN Knockmore Lisburn BC Determined P0100/05A John Thompson and Sons Ltd Belfast CC Determined P0101/05A G.E. McLarnon & Sons Ltd Antrim BC Determined P0102/05A United Feeds Limited Belfast CC Determined P0103/05A Moy Park Ltd Craigavon BC Determined P0104/05A Ballyrashane Co-op Coleraine BC Determined P0105/05A Coca Cola Bottlers (Ulster) Ltd Lisburn BC Determined P0107/05A Whitemountain Quarries Ltd Lisburn BC Determined P0108/05A ENVA (NI) Ltd Castlereagh CC Determined P0109/06A Biofuels Carryduff Castlereagh CC Determined P0110/06A Aughrim Landfill Ltd Lisburn BC Determined P0118/06A 3M (UK) PLC North Down Determined P0119/06A Almac Sciences Craigavon BC Determined P0120/06A Kilroot Power Ltd Carrickfergus BC Determined P0121/06A Ulster Carpet Mills Ltd Craigavon BC Determined P0123/06A Polypipe (Ulster) Ltd Craigavon BC Determined P0124/06A Tennants Textile Colours Limited Belfast CC Determined P0125/06A Premier Power Ltd Larne BC Determined P0126/06A Coolkeeragh ESB Ltd. Derry CC Determined P0127/06A Langford Lodge Engineering Antrim BC Determined 97

100 Measuring the Effectiveness of Environmental Management Systems: Phase 1 P0128/06A Clinty Chemicals Ltd Ballymena BC Determined P0129/06A Invista Textiles (UK) Limited Derry CC Determined P0130/06A Ulster Industrial Explosives Carrickfergus BC Determined P0131/06A Balcas Timber Ltd Fermanagh DC Determined P0132/06A Norbrook Laboratories Ltd Newry & Mourne DC Determined P0133/06A Norbrook Laboratories Ltd Newry & Mourne DC Determined P0134/06A Shorts Brothers PLC (Newtownards) Ards BC Determined P0135/06A Short Brothers PLC (Belfast) Belfast CC Determined P0137/06A Bio Fue Moyle BC Determined P0138/06A Spanboard Products Ltd Coleraine BC Determined P0139/06A Clinty Regen Ltd Belfast CC Determined P0140/06A Dalkia Utilities Service Plc Belfast CC Determined P0148/06A Craigahullier Landfill Site Coleraine BC Determined P0167/07A Antrim Area Hospital Antrim BC Determined P0001/03A Harland and Wolff Heavy Industries Ltd Belfast CC Pending P0082/05A P Clarke & Sons Ltd Fermanagh DC Pending P0143/06A Magheraglass Landfill Site Cookstown DC Pending P0145/06A Lisbane Landfill Site Armagh City & DC Pending P0151/06A Sales Corner Landfill Site Lisburn BC Pending P0152/06A Aughnagun Landfill Site Newry & Mourne DC Pending P0153/06A Ballymacombs Landfill Site Magherafelt DC Pending P0154/06A Drumanakelly Landfill Site Down DC Pending P0155/06A Kilroot Landfill Site Carrickfergus BC Pending P0156/06A Ballyduff Landfill Site Newtownabbey BC Pending P0158/07A The Old Mill - Drumaness Down DC Pending P0160/07A Clooney Road Landfill Site Derry CC Pending 98

101 Measuring the Effectiveness of Environmental Management Systems: Phase 1 P0161/07A Duncrue Street Belfast CC Pending P0162/07A Colinglen Road - Belfast Lisburn BC Pending P0178/07A 33 Greenogue Road Banbridge DC Pending P0179/07A Killough Road Industrial Estate Down DC Pending P0184/07A Tullyvar Landfill Site Dungannon DC Pending P0186/07A Duncrue Street - Belfast Belfast CC Pending P0187/07A Caulside Drive Antrim BC Pending P0235/07A Blue Circle Industries PLC t/a Lafarge Cement Cookstown DC Pending P0236/07A Ballyhome Road Landfill Site Coleraine BC Pending P0237/07A McParlands Landfill Newry & Mourne DC Pending P0238/07A Dunmurry WWTW Lisburn BC Pending P0239/07A Newtownbreda WWTW Belfast CC Pending P0240/07A Enniskillen WWTW Fermanagh DC Pending P0242/07A New Holland WWTW Lisburn BC Pending P0244/07A Omagh Sludge Treatment Plant Omagh DC Pending P0245/07A Dupont Maydown Works Landfill Installation Derry CC Pending P0246/07A Colinglen Road Landfill Lisburn BC Pending P0247/07A Rumbling Hole Landfill Site Lisburn BC Pending P0248/07A Ballynacor Sludge Dewatering Centre Craigavon BC Pending P0257/07A Mr D Robinson Derry CC Pending P0259/07A Blackmountain Phrase II/III Landfill Site Lisburn BC Pending P0260/07A Eastwood Envirowaste Belfast CC Pending P0277/07A Michael McAlary Strabane DC Pending 99

102 Measuring the Effectiveness of Environmental Management Systems: Phase 1 P0278/07A Michael McAlary Derry CC Pending P0281/07A Ever Green Energy Biofuel Belfast CC Pending P0287/08A Coca Cola Bottlers (Ulster) Limited Lisburn BC Pending P0288/08A AES Kilroot Generating Limited Carrickfergus BC Pending P0289/08B Murphy s Construction Materials Ltd. Limavady DC Pending P0290/08B Whitemountain Quarries Ltd N/A (Mobile) Pending PPC0002/08B Belfast Terminal Belfast CC Pending PPC0006/08B NuStar Terminals Limited Belfast CC Pending PPC0012/08B Calor Gas Northern Ireland Ltd Belfast CC Pending PPC0013/08B M.P. Coleman Ltd. Cookstown DC Pending PPC0014/08B Lisbane Quarry Craigavon BC Pending PPC0014/08B Lisbane Quarry Craigavon BC Pending PPC0016/08B J Robinson & Sons Ltd Ballymena BC Pending PPC0017/08B Sounding Hill Quarry Magherafelt DC Pending PPC0018/08B Grange Limestone Mills Armagh City & DC Pending PPC0019/08B Charles Tennant & Co (NI) Ltd Belfast CC Pending PPC0020/08B Cashel Quarry Castlereagh CC Pending PPC0021/08B Kilwaughter Chemical Company Ltd Larne BC Pending PPC0022/08B R J Mitten & Sons Fermanagh DC Pending PPC0023/08B R J Mitten & Sons Fermanagh DC Pending PPC0024/08B W & J Chambers Ltd Derry CC Pending PPC0025/08B James Stevenson (Quarries) Ltd Ballymena BC Pending PPC0026/08B Coote s (Concrete Products) Ltd Armagh City & DC Pending 100

103 Measuring the Effectiveness of Environmental Management Systems: Phase 1 PPC0027/08B Northstone (NI) Ltd - Concrete Division Down DC Pending PPC0029/08B Northstone (NI) Ltd - Concrete Division PPC0030/08B Northstone (NI) Ltd - Concrete Division Banbridge DC Castlereagh CC Pending Pending PPC0031/08B Northstone (NI) Ltd Ballymena BC Pending PPC0032/08B Northstone (NI) Ltd Omagh DC Pending PPC0033/08B Northstone (NI) Ltd Coleraine BC Pending PPC0034/08B Northstone (NI) Ltd Cookstown DC Pending PPC0035/08B Northstone (NI) Ltd Magherafelt DC Pending PPC0036/08B Northstone (NI) Ltd Omagh DC Pending PPC0038/08B Northstone (NI) Ltd Ards BC Pending PPC0039/08B W J McCormick & Sons Ltd Down DC Pending PPC0040/08B Northstone (NI) Ltd - Concrete Division Ballymena BC Pending PPC0041/08B Knockloughrim Quarry Magherafelt DC Pending PPC0042/08B Craigantlet Quarry North Down Pending PPC0043/08B Aughrim Quarry Lisburn BC Pending PPC0044/08B Clinty Quarry Ballymena BC Pending PPC0045/08B Glassdrummond Quarry Down DC Pending PPC0046/08B Mallusk Coating Plant Newtownabbey BC Pending PPC0047/08B Northstone (NI) Ltd - Concrete Division Newtownabbey BC Pending PPC0048/08B Edentrillick Quarries Ltd Banbridge DC Pending PPC0049/08B Legavannon Quarry Limavady DC Pending PPC0050/08B Kennedy Concrete Products Ltd Coleraine BC Pending PPC0051/08B Budore Quarries Lisburn BC Pending PPC0052/08B Barrack Hill Quarries Ltd Dungannon DC Pending 101

104 Measuring the Effectiveness of Environmental Management Systems: Phase 1 PPC0053/08B B McCaffrey & Sons Ltd Fermanagh DC Pending PPC0054/08B Craigall Quarry Coleraine BC Pending PPC0054/08B Craigall Quarry Coleraine BC Pending PPC0055/08B B Mullan & Sons (Contractors) Ltd Coleraine BC Pending PPC0056/08B ALT Quarry Newry & Mourne DC Pending PPC0058/08B Lagan Bitumen Ltd. Belfast CC Pending PPC0059/08B Moyard Properties Limited Newry & Mourne DC Pending PPC0060/08B James Boyd & Sons ( Carnmoney ) Ltd Newtownabbey BC Pending PPC0061/08B M W Johnston & Son Lisburn BC Pending PPC0062/08B Acheson & Glover Ltd Fermanagh DC Pending PPC0063/08B Crievehill Quarry Fermanagh DC Pending PPC0064/08B Douglas Acheson Ltd Armagh City & DC Pending PPC0065/08B Tynan Quarry Armagh City & DC Pending PPC0066/08B Armagh City Quarries Armagh City & DC Pending PPC0067/08B Ardverness Quarry Coleraine BC Pending PPC0068/08B Loughside Quarries Larne BC Pending PPC0069/08B John Finlay (Concrete Pipes) Ltd Armagh City & DC Pending PPC0070/08B Eden Quarry Limavady DC Pending PPC0071/08B Clady Quarry Armagh City & DC Pending PPC0072/08B Miskelly Bros Ltd Ards BC Pending PPC0073/08B Sean Quinn Group Ltd Fermanagh DC Pending PPC0074/08B Sean Quinn Group Ltd Fermanagh DC Pending PPC0075/08B P Clarke & Sons Ltd Fermanagh DC Pending PPC0077/08B Leod Quarry Newry & Mourne DC Pending PPC0078/08B T H Moore (Contracts) Ltd Newry & Mourne DC Pending PPC0080/08B Gibsons Bros Ltd Banbridge DC Pending 102

105 Measuring the Effectiveness of Environmental Management Systems: Phase 1 PPC0081/08B Portadown Quarry Craigavon BC Pending PPC0082/08B ICB Emulsions Ltd. Craigavon BC Pending PPC0083/08B Aughrim Quarry Newry & Mourne DC Pending PPC0085/08B Aughafad Quarry Strabane DC Pending PPC0086/08B Hightown Quarry Newtownabbey BC Pending PPC0089/08B Patrick Keenan Magherafelt DC Pending PPC0091/08B Craigantlet Quarry North Down Pending PPC0092/08B Bonds Glen Quarries Limavady DC Pending PPC0093/08B Patrick Keenan Magherafelt DC Pending PPC0094/08B Gortree Quarry Derry CC Pending PPC0095/08B Patrick Keenan Cookstown DC Pending PPC0097/08B Martin s Quarry Down DC Pending PPC0098/08B Letterloan Quarry Coleraine BC Pending PPC0099/08B Castlereagh CC Pending PPC0100/08B Lisowen Quarry Down DC Pending PPC0101/08B Castlenavan Quarry Down DC Pending PPC0102/08B OMYA ( UK ) Ltd Larne BC Pending PPC0103/08B Corkey Quarry Ballymoney BC Pending PPC0104/08B Ballyboyland Quarry Ballymoney BC Pending PPC0106/08B Banbridge Quarry Complex Banbridge DC Pending PPC0107/08B Carrowdore Quarry Ards BC Pending PPC0108/08B Tullyraine Quarry Banbridge DC Pending PPC0109/08B Whitemountain Quarries Ltd Belfast CC Pending PPC0110/08B Whitemountain Quarries Ltd Lisburn BC Pending PPC0111/08B Whitemountain Quarries Ltd Lisburn BC Pending PPC0113/08B Whitemountain Quarries Ltd Ards BC Pending 103

106 Measuring the Effectiveness of Environmental Management Systems: Phase 1 PPC0114/08B Outlack Quarry Armagh City & DC Pending PPC0115/08B Tullyraine Quarries Ltd Banbridge DC Pending PPC0116/08B Loughran Rock Industries Armagh City & DC Pending PPC0117/08B WG Ballantine Strabane DC Pending PPC0118/08B Francis McCone & Sons Ltd Armagh City & DC Pending PPC0119/08B Carn Quarry Fermanagh DC Pending PPC0120/08B Dunaree Quarry Omagh DC Pending PPC0121/08B Drogan Quarry Fermanagh DC Pending PPC0122/08B M Leer Armagh City & DC Pending PPC0123/08B Glebe Quarry Armagh City & DC Pending PPC0123/08B John O Hagan Newry & Mourne DC Pending PPC0124/08B Irish Asphalt Ltd Armagh City & DC Pending PPC0128/08B Mobile Crushing Unit N/A (Mobile) Pending PPC0131/08B Whitemountain Quarries Ltd Lisburn BC Pending PPC0133/08B Conway Bros Coleraine BC Pending PPC0135/08B FP McCann Ltd Newtownabbey BC Pending PPC0140/08B Technical Metals Ltd Ards BC Pending PPC0147/08B Tyrone Crystal Ltd Dungannon DC Pending PPC0152/08B G & G Ross (Mobile Stone Crushing ) N/A (Mobile) Pending PPC0155/08B Milburn Concrete Ltd. Cookstown DC Pending PPC0156/08B LSS Ltd. Derry CC Pending PPC0157/08B DCC Energy (NI) Ltd ( Flogas ) Belfast CC Pending PPC0167/08B Deane Public Works Ltd N/A (Mobile) Pending PPC0168/08B DARD - Veterinary Science Division Belfast CC Pending PPC0169/08B Roadmix Ltd N/A (Mobile) Pending 104

107 Measuring the Effectiveness of Environmental Management Systems: Phase 1 PPC0174/08B Patrick Megoran N/A (Mobile) Pending PPC0175/08B Boville - McMullan Ltd Antrim BC Pending PPC0177/08B Clady Quarries N/A (Mobile) Pending PPC0178/08B Cairnhill Quarry (Mobile Plant) Ards BC Pending PPC0179/08B McCaffrey Concrete Products Ltd Fermanagh DC Pending PPC0182/08B Eskra Quarry Omagh DC Pending PPC0183/08B HMG Powder Coatings Ltd Castlereagh CC Pending PPC0184/08B Dromalane Quarry Newry & Mourne DC Pending PPC0185/08B Rockmount Quarries/ Mobile Crusher N/A (Mobile) Pending PPC0187/08B Robert George McCullough N/A (Mobile) Pending PPC0188/08B Northstone (NI) Ltd N/A (Mobile) Pending PPC0189/08B Harold Graham Fermanagh DC Pending PPC0190/08B Stoneyford Concrete/ Flomix Ltd Lisburn BC Pending PPC0191/08B Crocknamolt Quarry Coleraine BC Pending PPC0194/08B Chris McCormick Contracts N/A (Mobile) Pending PPC0195/08B Toneymore Fermanagh DC Pending PPC0196/08B Northstone (NI) Ltd N/A (Mobile) Pending PPC0197/08B Swan Rock Quarries Newry & Mourne DC Pending PPC0198/08B McGeown International Ltd Newry & Mourne DC Pending PPC0199/08B Northstone (NI) Ltd N/A (Mobile) Pending PPC0200/08B B Mullan & Sons (Contractors) Ltd Limavady DC Pending PPC0201/08B Loughran Quarries Omagh DC Pending PPC0202/08B Eskrahoole Quarry Omagh DC Pending PPC0203/08B Stanley Bell & Sons N/A (Mobile) Pending PPC0205/08B Shaughan Quarries Ltd. Newry & Mourne DC Pending 105

108 Measuring the Effectiveness of Environmental Management Systems: Phase 1 PPC0207/08B Portadown Quarry Craigavon BC Pending PPC0208/08B Patrick Keenan N/A (Mobile) Pending PPC0209/08B Castle Contracts Ltd N/A (Mobile) Pending PPC0210/08B Colton Quarries Ltd Fermanagh DC Pending PPC0211/08B MGR Crushing Ltd N/A (Mobile) Pending PPC0212/08B MAR Properties Ltd N/A (Mobile) Pending PPC0213/08B Fox Building and Engineering Ltd N/A (Mobile) Pending PPC0214/08B Omagh Minerals Ltd Omagh DC Pending PPC0215/08B C E Stevenson & Sons Down DC Pending PPC0216/08B CE Stevenson and Sons N/A (Mobile) Pending PPC0217/08B F.P. McCann Ltd N/A (Mobile) Pending PPC0219/08B King Brothers Armagh City & DC Pending PPC0220/08B Conexpo (NI) Ltd N/A (Mobile) Pending PPC0221/08B S. McConnell & Sons Ltd N/A (Mobile) Pending PPC0222/08B Gerry McManus Plant Hire Ltd N/A (Mobile) Pending PPC0223/08B G&G Ross N/A (Mobile) Pending PPC0224/08B DJ McAleese & Co. N/A (Mobile) Pending PPC0225/08B Martin s Quarry (Mobile) N/A (Mobile) Pending PPC0226/08B P.T. McWillams N/A (Mobile) Pending PPC0228/08B Norman Emerson & Sons Ltd Craigavon BC Pending PPC0231/08B Geotech Construction Ltd Dungannon DC Pending PPC0232/08B Whitemountain Quarries Ltd Coleraine BC Pending PPC0233/08B Klargester Ireland Newry & Mourne DC Pending PPC0234/08B P.T. McWillams N/A (Mobile) Pending PPC0235/08B Craigantlet Quarry North Down Pending 106

109 Measuring the Effectiveness of Environmental Management Systems: Phase 1 APPENDIX FIVE: NIEA Organisational Structure 107

110 Measuring the Effectiveness of Environmental Management Systems: Phase

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112 Northern Ireland Environment Agency Klondyke Building Cromac Avenue Gasworks Business Park Belfast BT7 2JA T Our aim is to protect, conserve and promote the natural and built environment for the benefit of present and future generations. Printed on 100% post consumer waste ISBN No