This Guide addresses the goals listed below in Sections 2.0
through 5.0. Following are the goals
and brief descriptions of the information provided in each section to address
each goal.
Challenges and Opportunities – Improve transportation
program delivery and foster environmental stewardship through environmental
management.
Section 2.0, An EMS – The Right Thing to do
·
Describes the environmental and program delivery
challenges that DOTs face,
·
Discusses environmental opportunities that DOTs can use
to meet their challenges,
·
Highlights benefits that DOTs have realized as a result
of implementing an EMS,
·
Introduces the concept of an EMS, and
·
Shows how an EMS can be used to meet the challenges and
realize environmental opportunities.
EMS Overview – Introduce State DOTs to environmental
management systems (EMSs) and provide EMS information and tools.
Section 3.0, Developing and Implementing a DOT EMS
·
Introduces the concepts behind an EMS, and
·
Presents a step-by-step EMS Process Roadmap along with
instructions that a DOT can use to develop and implement an EMS.
An EMS – DOT “How to’s” – Build on existing environmental
management initiatives within a DOT, learn to conduct a gap analysis, and
recognize that a DOT need only to implement the system in part of their
organization to achieve some success..
Section 4.0, EMS Specifics for a DOT
·
Provides a series of templates, based on the EMS
Process Roadmap, that DOTs can use to develop and implement EMSs in planning,
design, construction, and operations and maintenance activities or
facilities. These templates contain
suggested detailed step-by-step instructions.
DOT EMS Information – Provide information on the current
status of State DOT EMS efforts and form a State DOT EMS network for ongoing
sharing of information.
Section 5.0, DOT EMS Information
·
Presents the results of a DOT EMS benchmarking
survey conducted by AASHTO in conjunction with preparing this Guide.
·
The results include the current status of EMS
implementation efforts in state DOTs and, in particular, contact information
that transportation professionals in DOTs across the US can use to develop
their own information network.
Federal, State, and local transportation professionals face
a variety of challenges that both affect and are affected by a multitude of
environmental concerns. Without
minimizing the importance of specific issues, these challenges can be
summarized as:
·
Program Delivery – Meeting public
transportation demands as fast as possible while coping with diminishing
resources and conforming to complex and extensive regulation. There are more than 70 laws and regulations
which affect DOT activities and operations.
·
Environmental Stewardship – While
fulfilling program delivery, demonstrate to the public, elected officials, and
regulators that DOT employees maintain and improve the environment.
During the implementation of a DOT’s programs, DOT personnel
are presented with opportunities to enhance environmental protection as well as
improve operations while meeting the challenges described above in Section
2.1. These opportunities go beyond
environmental protection to include:
·
Using resources efficiently, both
capital and human;
·
Improving project schedules; and
·
Capturing and disseminating institutional
knowledge and initiatives that may reside within one individual or
group.
State DOTs that have implemented
EMSs in various parts of their organizations have realized a variety of
benefits, including:
·
Cost savings/cost avoidance and improved use of
available resources,
·
Regulatory oversight eased as regulatory agencies gain
confidence in a DOT’s environmental management processes, and
·
More timely regulatory reviews.
The following sections of this guide explain an EMS and
provide details on how to implement an EMS.
Exhibit 2-1 presents examples of DOT EMS benefits;
additional details are provided in Attachment 2 – DOT EMS Case Studies. These Case Studies also describe other EMS
benefits and provide information on the resources needed to implement EMSs by
these DOTs.
Exhibit 2-1
EMS Benefits from DOTs
|
Protect
our environmental legacy.
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During the PENNDOT ISO 14001
registration, a PENNDOT employee summarized his role in environmental
stewardship in the following comment to the ISO Registrar:
“I’ve worked here for more
than 20 years. We never did this
before but that doesn’t mean we were right.
This is what I want to do for my children and grandchildren.”
|
|
Save
money, avoid costs, and reduce resource consumption.
|
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|
New Hampshire’s Traffic Bureau EMS provided
the consistent, structured process to identify previously unrecognized
requirements and opportunities for operational improvements. One such improvement (waste separation)
has provided savings of $25,000 per year.
The Massachusetts EMS provides the means to
identify and correct compliance issues and maintain a focus on compliance. This EMS has helped to significantly reduce
the potential for and cost of fines.
Pennsylvania’s procedures and practices for
erosion and sedimentation control provide an estimated 2 weeks of work crew
and equipment productivity across an Engineering District at no increase in
cost. This translates to cost avoidance of $25,000/year for District labor
and equipment.
Pennsylvania’s environmental management
program provided the basis for reducing monitoring and oversight burdens and,
in turn, the associated costs.
Texas’ Pollution Prevention and Abatement
(PPA) compliance audits identify issues that can be corrected before
additional costs are incurred and opportunities that provide resource
consumption and waste materials savings.
|
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Ease
the burden of regulatory oversight
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Maryland’s Stormwater Management Program
procedures and processes helped it to obtain one of the first NPDES Municipal
Separate Storm Sewer System Permits issued to a DOT. This permit incorporates features that ease
compliance and oversight burdens.
Pennsylvania’s environmental management
program was recognized as best management practices by Department of
Environmental Protection (DEP) regional staff. This recognition led to eased oversight, monitoring, and permitting
requirements.
Texas’ relationships with regulators have
been improved through the implementation of its design, construction, and
operational environmental management processes. The improved relationships with regulators has helped to ease
oversight burdens (in terms of both time and resources).
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Improve
review cycles.
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Florida’s Efficient Transportation Decision
Making (ETDM) Process has significantly shortened the time required for
transportation project reviews by the public and regulators and approvals
provided by regulators. Project
alternatives are identified and screened much earlier in the project cycle.
Pennsylvania’s EMS efforts (beginning in one
Engineering District) to enhance consistency and planning in habitat
assessments have improved relationships with and eased oversight of US Fish
and Wildlife Services staff.
|
The definition of each word within the term “EMS” provides
insight into what an EMS is and gives a foundation for subsequent
discussion. Each word is defined as
follows:
·
ENVIRONMENTAL – One definition
states, “pertaining to the complex of physical, chemical, and biotic factors
that act upon an organism or an ecological community.” In the context of this manual, environmental
considerations include pollution prevention and compliance with environmental
regulatory requirements.
·
MANAGEMENT – One definition states
the “judicious use of means to accomplish an end.”
·
SYSTEM – Definitions include “an
organized or established procedure” and “an organized set of doctrines, ideas,
or principles.”
A MANAGEMENT SYSTEM may, therefore,
include an organizational structure with defined responsibilities and
procedures. Please
Note: there is a difference
between management system tools and management system components (e.g., an
information system is a tool to support management system responsibilities,
procedures, and responsibilities.
Consolidating these definitions and the concepts behind each
leads us to the EMS definition that will be used throughout and forms the basis
for the information and suggestions presented in the Guide.
As illustrated in Exhibit 2-2, an EMS provides the structure
(i.e., the system) to help a DOT –
As shown in Exhibit 2-2, an EMS provides the structure
(i.e., the system) to help a DOT:
·
Understand and make best use of the
environmental/operational relationships,
·
To meet its challenges and opportunities.
Exhibit 2-2
The EMS Interface
This system (the EMS) consists of
planning, operational, and review procedures, processes and tools that
incorporate various features and benefits as described below:
Exhibit 2-3
EMS Features, Benefits, and Relevance
|
EMS Features
|
Associated
Benefits and Relevance to a DOT
|
|
Needs Identification Framework
|
An EMS offers the step-by-step process (i.e., framework)
to identify, characterize (e.g., resource needs, time required, and expected
results), and prioritize DOT environmental as well as operational and
management challenges and opportunities.
|
|
Solution Identification
Framework
|
Provides a DOT with the framework to identify specific
best practices, both within the DOT and in other DOTs, which can help meet identified
needs.
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|
Consistency
|
EMS procedures, processes, and tools establish the
instructions and expectations to be followed by all personnel involved in an
identified activity or function, from simple day-to-day efforts to senior
management reviews and decision-making.
|
|
Repeatability
|
The consistency of EMS procedures, processes, and tools
helps to ensure that successes are reproduced (wherever an activity or
function is located throughout a state) and that problems are not replicated
(i.e., lessons learned are captured).
|
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Adaptability and Flexibility
|
The EMS process described in this Guide is designed to:
support the goals and typical operations of a DOT, address the needs and
constraints of a DOT, and be useable by DOT organizational units – from a
handful of employees to hundreds of employees.
|
|
Integration with Existing
Initiatives
|
The EMS process outlined in this Guide recognizes that the
success of any new undertaking depends on avoiding change for the sake of
change. Therefore, the EMS includes
steps to identify existing initiatives, programs, and successes on which EMS
procedures, processes, and tools can build.
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Involvement of All Affected
Employees
|
The EMS process also incorporates steps calling for the
identification of all employees, regardless of position, who could be
involved in or affected by EMS procedures, processes, and tools. Involvement of all affected by an EMS
promotes environmental ownership and stewardship.
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Easily Understood
|
The EMS process outlined herein also includes steps to
develop EMS-related instructions and training that are relevant and limited
to the information which an employee needs to know. Simplicity facilitates employee ownership.
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Provide Measurable Performance
|
The EMS process described in this Guide also includes
actions to identify and examples of performance measures that can be used to
track progress and determine success.
These measures of success can then be used to promote further
management “buy-in” and, quite importantly, demonstrate to regulators and the
public that the DOT is environmentally responsible.
|
There are several key points that should be noted before
moving forward into the details of developing and implementing a DOT EMS. Exhibit 2-4 (on the following page) presents
these EMS implementation keys.
The next section of this Guide presents information on the
process that a DOT can use to develop and implement an EMS.
Exhibit 2-4 – EMS Implementation Keys
|
MANAGEMENT
COMMITMENT
|
|
P
|
The continued support
of a DOT’s top management is critical to the successful development and
implementation of an EMS. Not only
does senior management commitment ensure that resources are provided, this
commitment also tells managers and employees throughout the DOT that this
“change in culture” is here to stay.
|
|
P
|
Management commitment may
begin in two ways:
·
DOT senior management
may direct staff or a unit to investigate and develop an EMS, or
·
DOT staff may develop
an EMS implementation “proposal” to submit to senior management.
In either case, senior
management will want answers to the questions: (1) What is our near-term and
long-term focus (environmental issues and opportunities); (2) What will it
take to get there (time, people, and money)?; (3) What will it do for me
(expected results and benefits)?; and, (4) How can I measure progress and
performance and how will I know when I get there (objectives, targets,
milestones, and performance measures)?
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|
EMS MODELS
|
|
P
|
Development and
implementation of an EMS does NOT mean that a DOT is committed to
obtaining ISO 14001 certification. A
DOT can use/adapt the ISO 14001 Standard whether or not the EMS is submitted
for certification.
|
|
P
|
Other models (e.g., Baldrige
and other continual improvement tools) can also be used as EMS models.
|
|
P
|
Make the model fit the
DOT. You do not need to make your DOT
fit the model or its criteria.
|
|
EMS FOCUS
|
|
P
|
Focus EMS development and
implementation efforts on actions and facilities that the DOT directly
controls. While EMS efforts may be
expected to have a benefit that influences individuals or organizations
outside of the DOT, the DOT cannot control the response or perceptions of
others but it can control what it does to achieve the desired perception or
response.
|
|
P
|
An EMS can be as specific
(addressing certain activities or small groups of employees) or as
all-encompassing (addressing entire units or deputates with hundreds of
employees) as deemed necessary and appropriate by a DOT. The key is to do what works for you and
meets your needs and opportunities.
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|
BUILD ON EXISTING INITIATIVES AND
SUCCESSES
|
|
P
|
Identify, build upon, and
incorporate existing successes. When
conducting a gap analysis it is at least as important to recognize what is in
place and applicable as it is to identify what needs to be developed.
|
|
MEASURE EMS PERFORMANCE AND
SUCCESS
|
|
P
|
Identifying achievable and
relevant expectations and measures helps in several ways. First, the measures keep employees
involved in EMS efforts focused on the value of their efforts and on the actions
needed to achieve the expected results.
The measures also help to maintain senior management commitment, even
if there is a change of administration.
|
|
P
|
Use “low hanging fruit”
opportunities to the advantage of the EMS.
EMS benefits achieved in the near-term build interest, participation,
and commitment of all involved – from senior management throughout the work
force.
|
|
NOT JUST FOR ENVIRONMENTAL STAFF
|
|
P
|
EMS development and
implementation requires the participation of a wide-range of DOT skills. EMS decisions, procedures, processes, and
tools cannot be made without considering implementability or impact on the
EMS focus activities or facilities.
|
|
EMPLOYEE INVOLVEMENT
|
|
P
|
Successful EMS
implementation requires addressing the day-to-day training and operational
procedure needs of all employees involved in the EMS focus activities or
facilities.
|
When considering EMS development
it is useful to establish both:
·
The basic framework (or overall approach) for an EMS
and
·
A step-by-step process (i.e., roadmap) for EMS
development and implementation.
A useful example of this methodology is the transportation
project procurement process. The basic
framework entails: 1) establish the procurement need, 2) solicit bids or
proposals, 3) review responses, 4)
award a contract, and 5) complete the effort.
As we all know, the step-by-step process to accomplish this basic approach
is detailed and involves a number of elements including setting expectations,
defining requirements, assigning a review panel, managing the procurement
process, monitoring contract performance, and ensuring that all obligations are
fulfilled prior to contract closeout.
The next section describes how the basic framework approach
and step-by-step process discussed above can be used to develop and implement a
DOT EMS.
A common, well accepted framework for any management system
that strives for continual improvement is the Plan – Do – Check – Act (PDCA)
structure. This framework has been
proven over a number of years in a wide variety of applications in both
government and industry. The concepts
behind this framework can be easily understood. In addition, this structure can be easily adapted for a management
system, be it environmental or otherwise.
Exhibit 3-1 illustrates the basic PDCA framework.
Exhibit 3-1
The Plan–Do–Check–Act Framework
A DOT is generally organized along the lines of the PDCA
framework as shown below.
ACT
• Strategic planning
• Goal setting
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PLAN
• Planning
• Preliminary engineering
|
|
CHECK
• Compliance assessment
• Needs determinations
• Project review
• Performance measurement and review
|
|
DO
• Design
• Construction
• Operations
• Maintenance
|
|
As the next step in understanding how this framework is
applied to transportation activities, consider how the PDCA framework is then
applied down the DOT organization (as opposed to across the organization as
shown above).
As an example, apply the PDCA framework to the planning and
performance of maintenance activities. Please Note:
the activities listed are presented as examples; the list is not
intended to be all-inclusive.
PLAN
• Determine needs
• Set budget
• Develop maintenance plans/priorities
• Set maintenance objectives and targets
(e.g., lane miles)
• Identify applicable permits
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This understanding of the PDCA framework and its application
across a DOT and within separate DOT activities and operations provides the
basis for determining the step-by-step process to develop an EMS that addresses
DOT environmental challenges and opportunities.
The suggested EMS process roadmap presented as Exhibit 3-2
can be used by transportation professionals at various levels and in various
units (environmental as well as non-environmental) to help develop and
implement an EMS in their organization.
This Process Roadmap identifies a basic EMS development and
implementation process that can then be adapted for use to meet the wide
variety of challenges and opportunities that face a DOT.
Referring to the EMS features noted in section 2.3 of this
Guide, the EMS Process Roadmap has been developed to:
·
Ensure consistent and repeatable environmental
performance,
·
Capture existing successes and initiatives that may be
dependent on the efforts of a single individual or unit and establish the means
to implement these initiatives in the future and throughout the DOT,
·
Involve and communicate with all employees who can
affect environmental performance,
·
Identify environmental management performance
measurements and routinely assess performance, and
·
Pursue environmental performance improvement on an
ongoing basis.
Please Note: The EMS Process
Roadmap (Exhibit 3-2) steps assume that management direction to pursue EMS
development is to be obtained. However,
in some cases the initial direction for development of an EMS may originate
with senior management. In these
instances the information developed in EMS Process Roadmap Steps 1 through 3
would be used to refine further efforts, maintain management commitment, and
assess performance.
Your organization already has a number of management
systems. It may even have some or most
of the elements that comprise an EMS.
Exhibit 3-3 lays out how to approach creating a fully-functional
EMS. It provides step-by-step
instructions, examples, and details for application of the EMS Process Roadmap
for DOT use. When using the
instructions provided in Exhibit 3-3 consider the systems, processes, and tools
which may already be in place.
Please Note: Exhibit 3-3, Using the EMS Process Roadmap in a
DOT, immediately follows Exhibit 3-2, Environmental Management System Process
Roadmap.
Referring to Step 4 in Exhibits 3-2 and 3-3, management
commitment may begin in two ways:
·
DOT senior management may direct staff or a unit to
investigate and develop an EMS, or
·
DOT staff may develop an EMS implementation “proposal”
to submit to senior management.
In either case, senior management will want answers to the
questions:
·
What is our near-term and long-term focus
(environmental issues and opportunities)?
·
What will it take to get there (time, people, and
money)?
·
What will it do for me (expected results and
benefits)?; and,
·
How can I measure progress and performance and how will
I know when I get there (objectives, targets, milestones, and performance
measures)?
Steps 1 through 3 of the EMS Process Roadmap are designed to
answer these questions.
As a further aid to help DOTs implement an EMS, Section 4, EMS
Specifics for a DOT, presents templates that apply the step-by-step
instructions in Exhibit 3-3, Using the EMS Process Roadmap in DOT, to several
DOT planning, design, construction, and operations and maintenance activities
and facilities.
Exhibit 3-2
ENVIRONMENTAL MANAGEMENT SYSTEM PROCESS
ROADMAP
(Please
Note: this
is a continual improvement process – you can use the results of one step to
enhance the actions and results of a prior step.)
Exhibit 3-3
USING THE EMS PROCESS ROADMAP IN A DOT
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|
|
|
|
 |
|
Gather and prioritize environmental information and
select focus:
+
List problems, prior Notices of Violation, prior
formal notifications from regulatory authorities, citizen complaintsassociated
environmental issues – these may include: recent compliance ,
increased potential for violations or complaints, lack of employee
familiarity with relevant requirements, changing conditions.
+
List relevant environmental opportunities –
consider: cost savings, cost avoidance, increased productivity (e.g., do
more work with existing resources),
+
Rank/prioritize the issues and opportunities (IOs)
– considerations may include: resources needed to fulfill the IOs, time
required, relative magnitude of environmental effect from fulfilling the
IOs (may be viewed as “low hanging fruit”), relative
acceptance/acknowledgement by public and regulators, ability to get and
affect on employee “buy-in”, and management interest or view that an issue
is a problem.
+
Identify the specific aspect(s) of
the activity, operation, or location associated with the IOs (e.g.,
materials handling and storage at stockpiles, storm water control during
roadway maintenance, or storm water management permit process for
construction projects).
+
Identify the specific aspects and IOs
(using the ranking information from above) to be addressed by the EMS and
BRIEFLY document your rationale (for presentation to the group).
Please Note: Keep your EMS effort manageable,
you don’t need to fix everything at once.
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|
Identify results. Referring to: the selected activity, operation, or facility;
selected aspects; and chosen issues and opportunities –
+
List associated environmental benefits that
can be measured (to the extent practical) – these may include: quantities
or volumes, customer satisfaction score re: the environment, improved
regulatory relationships, and # of violations or incidents prevented or
avoided (based on recent history).
+
Identify associated business benefits
(including benefits related to the noted environmental benefits) that can
also be measured – including: dollars saved, cost avoided, manhours saved
or available for other use as a result of avoiding incidents or
violations, dollars and hours associated with reduced monitoring or
regulatory oversight, time saved (and associated hours, dollars, and
schedule advancement) as a result of improved regulatory relationships/enhanced
review process.
Please Note: EMS implementation and
acceptance can be facilitated through the use of existing tracking and
measurement systems/processes, and existing data and measures. Identify systems, measures, and data
in your organizations that would be applicable.
|
|
|
Exhibit 3-3
(cont’d)
USING THE EMS PROCESS ROADMAP IN A DOT
|
|
|
|
|
|
Set measures for performance and success.
+
Identify actions to address the selected
issues, opportunities, and activity, operation, or facility and to realize
the benefit(s) identified in step 2.
PLEASE NOTE: There may be
near-term and future actions – consider a step-by-step approach.
+
Keep the list of actions short – too many
actions can lead to confusion, loss of focus, and an effort that is
difficult to manage.
+
Identify objectives that provide a goal/focus
for each action. For example,
an action could be to train employees in a certain requirement, the
objective could be to reduce incidents of notices of violation. Keep the list as short as practical.
+
Establish a performance measure(s) for each
objective. The measures could
be near-term as well as long-term.
In the example noted in the preceding bullet a near-term measure
could be % of work force trained, while the long-term measure would be #
of incidents. In this example, the
measure(s) should address the real reason/benefit for an action.
+
Establish a target(s) for each measure. The target(s) should be realistic and
achievable, but should challenge an organization to improve. Realistic targets help to ensure
success and, thus, build buy-in for future EMS efforts that may present a
greater challenge. Referring to
the example, the targets could be 95% of work force trained leading to
zero incidents without a follow up to prevent recurrence.
+
Establish a milestone(s) for meeting each
target.
+ Identify
the position(s) who would be responsible for taking the action and meeting
the target(s)
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|
|
 |
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|
Prepare the EMS Business Case.
+
Estimate the resources (personnel, financial,
contractors, etc.) needed to implement the actions and meet the
targets.
+
If the resource needs span 2 or more
planning/business cycles estimate the relative splits (% of total or
estimate for each cycle).
+
Using the information developed in Steps 2 and 3, summarize
the expected benefits, when they would be realized, and for how long.
+
Identify the position who will manage the EMS
effort and the positions who will play key roles (e.g., those
responsible for an objective and target.
+
Identify the senior management position who
will serve as the leader (i.e., management “champion”). This leader would ensure that:
resources are available when needed, units outside of the EMS managers
area coordinate with and support the EMS effort, and employees throughout
the organization recognize the commitment of senior management.
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Exhibit 3-3
(cont’d)
USING THE EMS PROCESS ROADMAP IN A DOT
|
|
|
|
|
 |
|
Obtain management approval and commitment for EMS.
+ Present
the Business Case (see Step 4) to senior management.
+
Solicit management input on EMS:
-
Issues,
-
Opportunities,
-
Objectives,
-
Targets,
-
Goals,
-
Focus,
-
Resource requirements,
-
Schedule,
-
Expected results, and
-
Designated management “champion.”
+
Incorporate/address management comments in
EMS plans.
+
Obtain specific, public commitment of management
commitment to EMS and planned efforts.
+
Publicize management commitment to EMS to
all potentially involved employees.
Consider possibility of and schedule for announcing initial
commitment to the public.
Please Note:
Management direction and commitment is critical to the success of
EMS development and implementation efforts. If DOT management provided the initial directive to
pursue EMS development, this Approval step may not be as structured and
detailed as shown or described.
However, Steps 1 through 4 should still be followed to provide the
focus and structure for an EMS and to help ensure EMS effectiveness and
success.
|
|
|
Using the information
developed in Step 4 and the issues, opportunities, aspects, actions,
objectives, and targets developed in Steps 2 and 3:
+
List the initiatives, etc. that could be
used or adapted for use in the EMS to fulfill the selected actions and meet
the targets.
+
Initiatives would be strategic in nature (e.g.,
plans to improve environmental performance).
+
Programs could be department- or unit-wide
directives (e.g., activities to fulfill an initiative).
+
Procedures would be step-by-step instructions.
+
Processes would be activities to fulfill programs
or procedures (e.g., training courses).
+
Tools would be used to support programs,
procedures, and processes (e.g., checklists, computer databases, or
performance “scorecards.”)
Please
Note:
This effort is intended to focus on WHAT IS ALREADY IN PLACE that can be
used or adapted for use in an EMS effort.
Experience shows that use of existing procedures, processes, and tools
helps to break through the inherent resistance to change.
|
|
5. Identify existing initiatives, programs, procedures,
processes, and tools relevant to the EMS.
|
|
Exhibit 3-3 (cont’d)
USING THE EMS PROCESS ROADMAP IN A DOT
Continue the analysis begun in Step 5, identify
gaps/needs for procedures, processes, and tools.
+
Identify the desired procedures, processes, and
tools that will:
-
Address the issues and opportunities of the
specific aspects selected in Step 1,
-
Achieve the environmental and business benefits
identified in Step 2,
-
Fulfill the actions, objectives, and targets
established in Step 3, and
-
Meet the commitments and expectations of management
determined in Step 4.
+
Keep in mind the EMS attributes:
-
Consistency,
-
Repeatability,
-
Adaptability and flexibility (to accommodate
various situations),
-
Integrated with existing actions (see Step 5), and
-
Easily understood by the user.
Please
Note: This Step, in conjunction with Step 5, provides the means to
move the DOT from “what is in place” to “what should be used.”
|
|
6. Identify improvements to achieve EMS objectives
|
|
|
|
|
|
|
|
 |
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|
Identify personnel for an EMS Development Team who
will help in the development AND implementation of the EMS procedures,
processes, and tools.
+
Identify a Team leader (this may be the EMS
Manager) who will coordinate Team activities and maintain the Team’s focus
on “results.”
+
The Team should be small enough to be manageable
and meet routinely.
+
Set a clear, agreed upon time table for Team
efforts.
+
The Team should represent all levels and units
affected by the EMS.
Please
Note: The EMS Development Team can support identification of the
desired EMS procedures, processes, and tools (see Step 6). In this case, Steps 6 and 7 would
progress concurrently.
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|
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|
The EMS Development Team identifies ALL personnel
who would play a role in implementing, or following, the EMS
procedures, processes, and tools.
+
Develop BRIEF responsibility statements for
the identified personnel.
+
The responsibility statements should be related
to the actions required by the procedures, processes, and
tools.
+
Identify the means by which these responsibilities
will be communicated.
+
Establish a schedule for communicating the
environmental responsibilities.
+
Determine who will communicate the
responsibilities (Note: may be based on existing personnel
practices).
Please
Note: Incorporate these statements of environmental responsibility
into existing performance review/job description practices.
Please
Note: These activities may proceed concurrently with Steps 6 and 7.
|
|
|
Exhibit 3-3 (cont’d)
USING THE EMS PROCESS ROADMAP IN A DOT
|
|
|
|
|
|
 |
|
The EMS Development Team develops a training
program.
+
Determine the training type and content
that would best achieve implementation of the EMS procedures, processes,
and tools.
-
Consider the intended audience (different types
and content may be needed).
+
Determine the training schedule/frequency.
+
Identify existing training materials,
schedules, and/or programs (refer to Step 5) that could be adapted for
EMS use or to which EMS content could be added.
+
Identify the presenter(s) for the
training.
+
Develop the training materials. This could be performed by:
-
The EMS Development Team,
-
A subgroup of the Team, or
-
Others identified by the EMS Manager and Team.
·
Present the training to the intended
recipients and in accordance with the established schedule.
|
|
|
|
|
Monitor EMS progress and performance.
+
The EMS Manager and EMS Development Team identify
criteria and schedule that can be used to assess EMS progress and
performance on an ongoing basis.
Refer to:
-
The actions, objectives, and targets from Step 3;
-
The benefits identified in Step 2; and,
-
The management commitments and expectations
identified in Step 4.
+
Develop a progress summary report for
senior management and present the report.
+
Identify problems that may occur during EMS
development and implementation and the means by which they could be
overcome (either as they occur or before they occur).
-
Include these solutions in the management report.
-
Identify actions that may require management
comment or action.
+
The EMS Manager and Development Team identify
criteria and develop a report format that will be used to assess overall
success of the EMS project.
Refer to Steps 2, 3, and 4.
+
Submit the project review report to senior
management.
-
Characterize lessons learned and successes.
-
Identify opportunities for improving upon and/or
expanding EMS efforts within or beyond the current organizational unit
(refer to Steps 1 through 3).
|
|
|
Exhibit 3-3 (cont’d)
USING THE EMS PROCESS ROADMAP IN A DOT
|
|
|
|
|
 |
|
Senior management review progress and performance
and set course of action.
+
The EMS Manager submits the progress report,
reviews progress, and identifies any problems and suggested corrections.
+
Management identify, commit to, and assign
responsibility(ies) for next actions.
+
The EMS Manager submits the project review
report.
-
Identify opportunities/next steps.
-
Review how lessons learned to be incorporated in
next actions.
-
Solicits management commitment to next actions.
+ Management
identify, commit to, and assign responsibility(ies) for next actions.
|
|
|
4.0 EMS SPECIFICS FOR A DOT
Attachment 1 provides
a series of templates (based on Exhibit 3-3, Using the EMS Process Roadmap in a
DOT) that DOTs can use to develop and implement EMSs.
Exhibit 4-1 identifies the functions and
activities/locations for which EMS Templates have been prepared.
Exhibit 4-1
EMS Templates
|
Template No.
|
DOT Function
|
DOT
Activity/Location
|
|
1
|
Planning and Design
|
NEPA and Permitting Processes
(including Context Sensitive Design, Commitments and Requirements
Identification and Implementation, and Project Development)
|
|
2
|
Construction
|
Construction Inspection
|
|
3
|
Construction, and Operations and
Maintenance
|
Instructions and Procedures
(including Standard Specifications and Maintenance Manual Development)
|
|
4
|
Operations and Maintenance
|
Stockpile and Garage Operations
|
|
5
|
Operations and Maintenance
|
Roadway Maintenance
|
|
6
|
Operations and Maintenance
|
Rest Areas
|
These templates contain suggested detailed step-by-step
instructions that DOT personnel can follow “as is” or adapt for use in their
specific applications. As noted
previously in this Guide, a DOT can be as all encompassing or as focused as the
organization deems appropriate, based on available resources, level of
management commitment, needs, opportunities, etc. Please use the information provided in the templates to develop
and implement an EMS that:
·
Provides the greatest benefit to your DOT, and
·
Forms the foundation for subsequent EMS initiatives.
Please Note: The templates are provided as examples to help DOT
personnel apply the EMS Process Roadmap to their own organizations and
activities. Some information, such as
the assigned responsibilities and details on expected benefits and targets, is
therefore presented as an example only – DOT personnel would be responsible for
developing specific details that reflect their own situations.
To help DOT personnel evaluate EMS opportunities in their
own organizations and learn from the EMS experiences of other DOTs, this
section provides information from other DOTs including:
·
Information on the status of EMS efforts;
·
EMS accomplishments and lessons learned;
·
Sample EMS procedures, processes, and tools developed
by DOTs that could be adapted for use in other DOTs; and,
·
DOT contacts who can exchange information on their own
EMS efforts.
In the spring of 2003 AASHTO support staff surveyed state
DOTs nationwide to characterize the status of their EMS development and
implementation activities and plans.
The survey also was used to develop an EMS knowledge base regarding:
·
Considerations that affect DOT EMS decisions and
implementation efforts,
·
Benefits realized or expected from EMS implementation,
·
Lessons learned, and
·
EMS development and information that would benefit
state transportation professionals (presented in an EMS Guide and/or at an EMS
implementation conference).
For the purposes of this survey the following EMS definition
was used, and communicated as necessary to the survey participants:
An EMS may be considered as the
organizational structure and associated responsibilities and procedures to
integrate environmental considerations and objectives into the ongoing
management decision-making processes and operations of an organization.
Exhibit 5-1 shows the status of DOT EMS development and implementation
efforts.
In conducting the EMS Benchmarking Survey DOTs with an EMS
in-place (at least in part) or under development were asked several questions
and to provide information that could be of value to other DOTs interested in
developing and implementing an EMS. EMS
Case Study information was developed for DOTs with an EMS in-place or under
development – these Case Studies are presented in Attachment 2, DOT EMS Case
Studies. The information presented in
these Case Studies includes:
·
Status of EMS efforts,
·
Focus (e.g., Planning or Maintenance) of the EMS,
·
Basis for selection of the focus,
·
Relevance to the EMS Process Roadmap presented in this
EMS Guide,
·
EMS accomplishments and benefits,
·
Keys to EMS development and implementation success,
·
Implementation needs for the EMS,
·
EMS background information,
·
Points of contact for EMS information, and
·
Sample EMS tools and procedures.
Exhibit 5-2 lists the Case Studies presented in Attachment
2.
Exhibit 5-2
DOT EMS Case Studies
|
Case Study No.
|
Description
|
|
1
|
Florida Department of
Transportation (FDOT)
Efficient Transportation
Decision Making (ETDM) Process
|
|
2
|
Texas Department of
Transportation (TxDOT)
Internal Environmental
Management Systems Supporting Project Development, Construction Operations
and Facility Operations
|
|
3
|
Maryland State Highway
Administration (MDSHA)
Environmental Strategic Plan and
Management Systems
|
|
4
|
Washington Department of
Transportation (WSDOT)
Environmental Management System
|
|
5
|
Maine Department of
Transportation (MDOT)
Environmental Management System
|
|
6
|
Massachusetts Department of
Transportation (Mass Highway)
Environmental Management System
|
|
7
|
New Hampshire Department of
Transportation (NHDOT)
Environmental Management System
for Traffic Bureau
|
|
8
|
New York State Department of
Transportation (NYSDOT)
New York State DOT’s
Environmental Initiative
|
|
9
|
Pennsylvania Department of
Transportation (PENNDOT)
Strategic Environmental
Management Program (SEMP)
|
To help DOT personnel develop a network to exchange EMS
information, Exhibit 5-3 (on the following pages) presents state DOT EMS
contacts identified through the benchmarking survey. This exhibit also provides the background information for
Exhibit 5-1.
Please use the information provided in Exhibit 5-3 to
develop, tailor, and implement your own EMS information network.
