Data Protocols for Use in Environmental Management System Research

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    The primary function of the protocols is to guide the collection of standardized and comparable data from a wide variety of pilot project and non-pilot project control facilities. Only in this way can the information be incorporated into the National Database on Environmental Management Systems (NDEMS). The data called for in the protocols represent the kinds of information that facilities seeking to establish an EMS based on ISO 14001 would generally need to collect. As such, the protocols have been constructed so as to minimize any additional reporting burden that participating facilities might face.

     There are two groups of facilities and state agency personnel who are the primary users of the protocols. The first group comprises the MSWG pilot project participants—both state personnel managing pilot projects and participating facilities themselves, as well as USEPA’s municipalities project participants, and USEPA Region I StarTrack facilities. Among these users, state and federal agency personnel have chosen to take on primary responsibility for ensuring that the necessary data are collected according to the protocols. These agencies and their facilities are assisted with data collection, as needed, by staff from both UNC and ELI. In these cases, state and federal agency staff must have a thorough understanding of the protocols. To that end, UNC and ELI have provided training on use of the protocols to agency staff who interact with pilot facilities. Also, UNC and ELI staff work closely with state and EPA staff and their pilot facilities to resolve any ambiguities or other questions about the protocols in a consistent and timely manner and to perform quality assurance and control (QA/QC) on the data from all the pilot facilities. Finally, some states have elected to have UNC and ELI play a larger role in primary data collection, requiring fewer state resources and more direct interaction with facilities by UNC and ELI.

     The second group of protocol users comprises facilities that are interested in collecting and reporting comparable data but are not participating in federal or state pilot projects. From a research standpoint, these facilities serve as "controls" for comparison with pilot facilities, and some have been specifically recruited by ELI to provide data for that purpose.

     UNC and ELI welcome the participation of additional facilities as "controls" for this research. To that end, UNC and ELI will provide training on use of the protocols, if needed, to managers of control facilities. UNC and ELI staffs are also available to answer these managers’ questions, as needed.

     Facility managers who are already participating or are considering participation in either the pilot project or the control study should review these protocols as soon as possible. State agency staff should be in a position to answer questions posed by pilot facilities. UNC and ELI staff are also available to assist states, their pilot facilities, and managers of control facilities and answer their questions, as needed.

     UNC and ELI are responsible for establishing the National Database on EMS to receive and process data from both pilot and control facilities. UNC and ELI are also responsible for ensuring data quality, maintaining the integrity of the database, and producing periodic reports based on the data submitted to NDEMS. Over time, data will also be available to other organizations that wish to pursue their own independent research. In all cases, states and EPA will seek to ensure the confidentiality of facility-specific data in NDEMS.

     To assure completeness and true comparability of the data across facilities included in the database, it is important that participating facilities do their best to provide answers to all questions asked in the protocols and to participate in all three stages of the protocols (baseline, EMS design, and updates). Only in this way can the NDEMS project succeed in its effort to provide systematic and reliable information to facilities themselves and to the public on the impacts of EMS adoption.

     We are grateful to all participating facilities for their generosity in sharing information and cooperating in this study.

     The protocols cover the following seven categories of data:

1. Existing Management Systems
2. Environmental Performance
3. Regulatory Compliance
4. Pollution prevention
5. Interested Party Involvement
6. Economic Performance (Cost and Benefits)
7. EMS Design and Implementation.

     The protocols are organized into three documents – Baseline Protocols, EMS Design Protocols, and Update Protocols – as described below.

     The Baseline Protocol is the first of the three protocols. It is a one-time study to be completed during the first year of each facility's participation. The Baseline Protocol elicits a detailed description of the facility's baseline performance in the main data categories before its adoption of a formal EMS. Only by establishing pre-participation performance can researchers identify how the adoption of an EMS alters performance. This protocol is available on this site for facilities to download and complete.

     The EMS Design Protocol represents the second of the three protocols and should be completed while a facility designs its EMS. It is a one-time study, which asks the facility to describe in detail the nature of its EMS and the process the facility used to create its EMS. Facilities should complete as much of this protocol as is relevant by November 30, 1999. It is currently available for facilities to download from this site. For facilities that are further along in their EMS design process, more (or all) sections of the protocol should be completed by this time. For facilities that will not be able to fully complete the EMS Design Protocol by November 1999, because they have not fully designed their EMS, the Update Protocol will be available for facility use in June 2000 and will provide them an opportunity to submit data related to the completion of their EMSs. The EMS Design Protocol is available on this site for facilities to download and complete.

     The Update Protocol is the third protocol. This document should be completed every six months, starting from June 2000. In the Update Protocols, facilities will be asked to update their baseline data as well as their EMS design data, including any additions or changes to their EMSs. In this way, researchers can identify how the adoption of an EMS alters performance and how the operation of EMSs evolves over time. The Update Protocol will be available for downloading June 2000.

Protocol Versions

     The Baseline Protocol and EMS Design Protocol, described above, are available for downloading on this site. One set of protocols is intended for use by the state pilot facilities. The second set of similar, but slightly revised protocols is available for other facilities ("controls") that volunteer to contribute data directly to the national database.

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Questions or comments about the protocols can be directed to any of the following: