ajpBectorStrategies
Encouraging EMS:
Lessons Learned from a
Sector Approach
Sharing with
EMS Implementation Guide'
September 2004
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Table Of Contents
Executive Summary 1
Value of a Sector Approach 2
Background and User's Guide 3
Introduction to the Sector Strategies Program 3
Purpose of this Report 4
Summary of Pilot Projects 5
Die Casting Sector Pilot Project 5
Foundries Sector Pilot Project 5
Meat Processing Sector Pilot Project 6
Shipbuilding and Ship Repair Sector Pilot Project 6
Evaluation Methodology 7
Figure 2-1: Pilot Project Comparison Snapshot 4
Figure 2-2: Project Element Descriptions 5
Evaluation Results by Project Element 8
EMS Implementation Guides 9
Group Activities 10
Sharing with Peers 10
Training Workshops 11
Online Communication Tool 12
Conference Calls 13
One-On-One Activities 14
EMS Document Review 14
On-Site Assistance 15
Telephone Assistance 16
Recognition 17
Figure 3-1: Participant Rating of the Value of EMS Implementation Guides 9
Figure 3-2: Participant Rating of the Value of Sharing with Peers 10
Figure 3-3: Participant Rating of the Value of Training Workshops 11
Rgure 3-4: Participant Rating of the Value of Online Communication Tool 12
Figure 3-5: Participant Rating of the Value of Conference Calls 13
Figure 3-6: Participant Rating of the Value of EMS Document Review 14
Rgure 3-7: Participant Rating of the Value of On-Site Assistance 15
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Figure 3-8: Participant Rating of the Value of Telephone Assistance 16
Figure 3-9: Participant Rating of the Value of Recognition 17
Evaluation Results by Other Parameters of Interest 18
Business Size 19
ISO 9000 Certification 22
Rgure 4-1: Participant Rating — Less than or Equal to 150 Employees 19
Rgure 4-2: Participant Rating — 151 to 2,200 Employees 20
Rgure 4-3: Participant Rating — 2,201 or More Employees 21
Rgure 4-4: Participant Rating — Businesses without ISO 9000 Certification 23
Rgure 4-5: Participant Rating — Businesses with ISO 9000 Certification 23
Additional EPA Sector-Based Initiatives 24
Sector Strategies Program Metal Finishing Pilot Project 24
Office of Water "EMS for Local Government Entities" Initiatives 24
Conclusions 25
Rgure 6-1: Summary of All Participant Ratings of Project Elements 25
Appendix A. List of Feedback Providers and TAPs by Sector 27
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Executive Summary
Sector-based approaches are well-tested mechan-
isms that are often a preferable option for Techni-
cal Assistance Providers (TAPs) who are inter-
ested in a collaborative, customized approach
to problem solving. Sector-based programs are
tailored to the characteristics and needs of a sec-
tor and typically involve a broad group of stake-
holders.
The objectives of this report are to encourage
TAPs to take a sector-based approach to help
businesses achieve environmental gains and to
arm TAPs with an understanding of "what works"
and "what doesn't work" when promoting envi-
ronmental management systems (EMSs) in sec-
tors.
The U.S. Environmental Protection Agency's
(EPA) Sector Strategies Program (SSP) is one of
many sector-based programs conducted by EPA
to leverage opportunities provided by this ap-
proach. Between 2001 and 2004, SSP partnered
with the following four industry sectors to pro-
mote widespread adoption of EMS:
• Die casting;
• Foundries;
• Meat processing; and
• Shipbuilding and ship repair.
In each of these sectors, SSP worked with TAPs
and key trade associations to sponsor a pilot
project. During the course of each pilot project,
SSP used various project elements — EMS im-
plementation guides, group activities, one-on-one
activities, and recognition — to encourage and
facilitate the adoption of EMS within participants'
facilities.
Following the pilot projects, ICF Consulting con-
tacted the sector participants to gather feedback
on the value of project elements used during
the pilot projects. Based on their feedback, ICF
Consulting was able to draw the following con-
clusions regarding the value of individual project
elements:
• The two project elements that were consistently
agreed upon as valuable across the sectors
were the sector-specific EMS implementation
guides and sharing with peers.
• Also deemed valuable, but slightly less so, were
instructor-led training workshops, online com-
munication tools, EMS document review by
TAPs, and on-site assistance.
• The project element that was consistently
ranked the lowest across sectors was recogni-
tion.
While a business's ISO 9000 certification was
found to be insignificant in terms of its perceived
value on project elements, a business' size (in
terms of the number of employees) does seem to
provide some indication as to the potential effec-
tiveness of project elements. In particular.
• Small- and medium-sized businesses highly
value getting feedback from and working with
their peers. These businesses are not moti-
vated by recognition.
• Large businesses value one-on-one assistance
much more than working in groups. Large busi-
nesses are also much more likely to see value
in being recognized by their state or EPA.
Armed with the knowledge of "what works" and
"what doesn't work" in terms of project elements,
as well as the wealth of sector-specific resources
and publications available from EPA atwww.epa
gov/sectors. SSP hopes that TAPs will be better
able to make efficient decisions as to the best
use of their funding to promote EMS in sectors.
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Value of a Sector Approach
Sector-based programs are well-tested mechan-
isms that help organizations achieve results
through customized and flexible approaches.
Sector-based programs are tailored to the char-
acteristics and needs of a sector and typically
involve a broad group of stakeholders.
Sector-based approaches are often a preferable
option for Technical Assistance Providers (TAPs)
who are interested in a collaborative, custom-
ized approach to problem solving. Many sector-
specific tools are readily available free-of-charge
and can prevent TAPs from having to "reinvent
the wheel" when starting their own sector-based
program.
The U.S. Environmental Protection Agency (EPA)
has worked with sectors for years to achieve bet-
ter environmental protection. Through programs
such as the Public Entity Environmental Manage-
ment System Resource (PEER) Center, Design
for the Environment, and the Sector Strategies
Program (SSP), EPA has learned that sector ap-
proaches can add value by:
• Providing a manageable way to frame issues;
• Identifying unique environmental challenges
facing different parts of the regulated
community;
• Improving existing regulatory programs and
providing a forum for addressing environmental
problems from sources that are not regulated;
• Improving compliance and performance
through targeted assistance and enforcement;
SECTORS DEFINED
An industry "sector" is any discrete production
system in the U.S. economy.
A "sector approach" to environmental protec-
tion focuses on a sector as the basic analytical
unit for identifying ways to reduce industrial
contributions to environmental problems.
• Engaging broad groups of stakeholders to
tackle tough problems and test new ideas in a
focused setting; and
• Leveraging industry associations to help create
then sustain sector initiatives.
TAPs considering a sector-based approach should
be aware that there are several elements that in-
crease the likelihood of success for a sector-based
program, including:
• The willingness of a sector's leaders to engage
in dialogue to solve problems;
• TAPs' prior understanding of the sector and
factors that affect facilities' performance; and
• Full engagement and support of stakeholders
in problem-solving and implementation of
solutions.
EPA hopes that the information and lessons
learned provided in this report, as well as sector-
specific materials developed and made available
by EPA sector-based programs, will help TAPs de-
velop their own effective sector-specific programs.
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Background and User's Guide
Introduction to the
Sector Strategies Program
The U.S. Environmental Protection Agency's (EPA)
Sector Strategies Program (SSP) promotes wide-
spread improvement in environmental performance
in 12 sectors. Technical Assistance Providers
(TAPs) can draw from SSP's approach, as well as
SSP's wide array of sector-specific publications, to
develop the framework for their own sector-based
programs.
SSP appoints staff members to serve as sector li-
aisons and to develop expertise in the operations
and issues of each participating sector. These liai-
sons work collaboratively with sector participants
as well as national associations, governments,
advocacy groups, and citizens to develop unique,
sector-based strategies to:
• Promote environmental management systems
(EMS);
• Overcome regulatory or other barriers to
performance improvement; and
• Track improvements in environmental
performance.
SSP currently works with 12 sectors representing
over 750,000 facilities across the U.S.:
• Agribusiness;
• Cement Manufacturing;
• Colleges & Universities;
• Construction;
• Forest Products,
• Iron & Steel Manufacturing;
• Metal Casting;
• Metal Finishing;
• Paint & Coatings;
• Ports;
• Shipbuilding & Ship Repair; and
• Specialty-Batch Chemical Manufacturing.
Since the program's inception, SSP has established
a strong national liaison role with each sector and
developed a wide range of sector-specific publica-
tions, such as EMS guides, EMS marketing tods,
a performance report, and a voluntary programs
guide. These publications, as well as links to ad-
ditional resources from other EPA sector-based pro-
grams, are available online at www.epa.gov/sec-
tors/pubs.html
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Purpose of this Report
The objectives of this report are two-fold: to en-
courage TAPs to take a sector-based approach
in helping businesses and organizations achieve
high environmental standards; and to arm TAPs
with an understanding of "what works" and "what
doesn't work" to most effectively promote EMSs
in sectors.
To that end, this report takes an in-depth look at pilot
projects that SSP recently conducted in the follow-
ing four sectors:
• Die casting;
• Foundries;
• Meat processing; and
• Shipbuilding and ship repair.
Each of these pilot projects was a unique, sector-
specific attempt to achieve environmental perfor-
mance improvement through EMS. As illustrated
in Figure 2-1 below, the pilot projects differed
from each other on a number of fronts, including
number and size of participating firms and source
of pilot funding.
As shown in Figure 2-2, during the course of
each pilot, SSP used a variety of project elements
to collaborate with industry participants. Individual
elements ranged from inexpensive conference
calls to more resource-intensive on-site assis-
tance.
This report evaluates the perceived value of each
of the project elements used in the four pilot pro-
jects. EPA hopes that this information, as well as
a discussion of several other parameters of inter-
est — specifically business size and ISO 9000
certification status — will assist TAPs in the de-
velopment of their own effective, sector-specific
programs.
Figure 2-1: Pilot Project Comparison Snapshot
Sector
Die Casting
Foundries
Meat
Processing
Shipbuilding &
Ship Repair
Number of
Pilot Facilities
5
6
5
10
Number
of TAP
Organizations
3
5
4
1
Range in
Number of
Employees
120-240
40-1,000
80-2,200
800-19,000
Number
of States
Represented'
5
1
1
8
Length of
Pilot (months)
18
13
13
20
Source of
Pilot Funding
EPA
Participants
EPA
EPA
1 Number of different states within which the participants are headquartered.
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Summary of Pilot Projects
The following summaries highlight key character-
istics of each of SSP's four sector pilot projects,
including:
• When each pilot project was conducted;
• The number of pilot project participants;
• Participating TAPs; and
• Project elements used.
EPA hopes that TAPs are able to identify similari-
ties between the characteristics of the sectors
discussed below and their own sectors of inter-
est. The findings presented in this report will
enable TAPs to apply lessons learned and best
practices to their own sector-based efforts.
DIE CASTING SECTOR PILOT PROJECT
The die casting industry is made up of mostly
small businesses. Die casting is cost effective
for producing large numbers of a casting, and
can achieve a wide variety of sizes and shapes
— from automobile parts to medical devices.
The SSP die casting sector pilot project was
conducted between June 2001 and December
2002 with five die casting companies in as many
states. The team of TAPs was led by SSP, and
also included representatives from the North
American Die Casters Association (NADCA) and
RMT, Inc.
The team worked individually and in groups with
the participating companies using an 18-module,
sector-specific EMS guide, developed jointly by
SSP and the TAPs. Other program elements in-
cluded: periodic on-site assistance; telephone as-
sistance; reviews of company EMS documents;
and three training workshops.
FOUNDRIES SECTOR PILOT PROJECT
Foundries are mostly small businesses that cast
molten metals — such as iron, steel, and alumi-
num — into objects of a variety of shapes often
used as parts of larger products.
The SSP foundries sector pilot project was con-
ducted between October 2001 and November
2002 with six Indiana foundries. The team of
Figure 2-2: Project Element Descriptions
Element
EMS Implementation Guides
Definition
Sector-specific EMS guides, developed jointly by SSP and
the TAPs in each sector.
Group Activities
Sharing with Peers
Training Workshops
Online Communication Tool
Conference Calls
Sharing of EMS tools and information among peers,
facilitated by group activities.
A series of workshops led by knowledgeable instructors who
walked participants through the steps of implementing an
EMS.
A Web site that allowed participants to download up-to-date
information about the pilots and EMS.
A meeting by telephone in which three or more participants in
different locations participated.
One-On-One Activities
EMS Document Review
On-Site Assistance
Telephone Assistance
Recognition
TAP review of pilot participants' EMS documents.
Technical assistance at pilot participants' facilities that
included an on-site gap analysis and, in some cases,
included multiple one-on-one visits.
One-on-one telephone calls between pilot participants and
TAPs to answer questions that participants were having with
the implementation of their EMS.
Incentives such as recognition ceremonies from the
participants' state or ERA.
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TAPs included SSP staff and representatives from
the American Foundry Society (AFS), the Indiana
Cast Metals Association (INCMA), the Indiana De-
partment of Environmental Management (IDEM),
and RMT, Inc. Unlike other SSP pilot projects,
industry participants in this pilot project provided
all of the funding required for contractor support.
The team worked individually and in groups with
the companies using an 18-module, sector-spe-
cific EMS guide, developed jointly by SSP and the
TAPs. Other program elements included: periodic
on-site assistance; telephone assistance; reviews
of company EMS documents; and five training
workshops.
MEAT PROCESSING SECTOR PILOT PROJECT
Meat processing is one of the focal points for the
SSP's agribusiness sector initiative, given the pre-
dominant role that processors play in food pro-
duction. Meat processing companies convert raw
meats into finished goods, ready for the grocer or
wholesaler to sell to households, restaurants, or
institutional food services.
The SSP meat processing sector pilot project
was conducted between July 2001 and July
2002 with five Iowa-based meat-processing
companies. The TAP team included representa-
tives from SSP, the Iowa Waste Reduction Center
(IWRC), the Iowa Department of Natural Resources
(IDNR), EPA Region VII, and ICF Consulting.
The TAP team worked individually and in groups
with the participants using a 10-module, sector-
specific guide, developed jointly by SSP and the
TAPs. Other program elements included: a se-
ries of 10 training workshops; periodic site visits;
as-needed telephone consultation; reviews of
company EMS documents; and monthly group
conference calls. An awards ceremony was held
in September 2002 to recognize the outstanding
efforts of these companies.
SHIPBUILDING AND SHIP REPAIR SECTOR
PILOT PROJECT
The shipbuilding and ship repair sector builds and
repairs ships, barges, and other large vessels.
The sector also includes operations that convert
or alter ships as well as facilities that manufacture
offshore oil and gas well drilling and production
platforms.
The SSP shipbuilding and ship repair sector pilot
project was conducted between November 2001
and June 2003 with 10 shipbuilding and ship
repair facilities across eight states. The TAP team
included SSP staff and a consultant from ICF
Consulting. Seven facilities completed the pilot
project while three others removed themselves
due to unanticipated budgetary constraints or
other events.
TAPs worked individually and in groups with the
facilities using an 18-module, sector-specific EMS
guide, developed jointly by SSP, ICF Consulting,
and pilot project facilities. Other program ele-
ments included: three training workshops; group
conference calls; one-on-one telephone assis-
tance; reviews of facility EMS documents; one
on-site visit; and an online communication tool.
An awards ceremony was held in July 2003 to
recognize the efforts of these companies.
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Evaluation Methodology
Between November 2002 and May 2004, ICF
Consulting contacted pilot project participants
from the four sectors by telephone to solicit their
feedback. A list of the participants interviewed for
this report, as well as a list of TAPs and SSP con-
tacts, are provided in Appendix A.
Participants were asked to rate how strongly they
agreed or disagreed about the value of each pilot
project element utilized during their pilot projects.
Once this data was collected, the participants'
ratings were averaged.
For the sake of objectivity, only ICF Consulting staff
not previously involved in the pilot projects con-
tacted the participants and synthesized results.
While the sample sizes were too small to provide
results that were scientifically valid across entire
Participants were asked to rate how strongly
they agreed or disagreed about ffie value of
each pilot project element
3 = Undecided/neutral
2 = Disagree
1 = Strongly disagree
sectors, SSP feels that the participants' experi-
ences will resonate with other similar sectors and
facilities.
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Evaluation Results by Project Element
This section provides insight into which project
elements were deemed most and least valuable
by SSP pilot project participants. TAPs can use
these results to identify which project elements
may work most effectively within their own sector-
based programs.
For the purposes of this report, we grouped the
project elements into four categories:
1. EMS implementation guides;
2. Group activities (including sharing with peers,
training workshops, online communication
tools, and conference calls);
3. One-on-one activities (including EMS document
review, on-site assistance, and telephone
assistance); and
4. Recognition.
Below are descriptions of each project element
as well as the ratings attributed to each by the
participants interviewed.^ Anecdotal feedback
from participants and TAPs are also provided,
which may give TAPs additional insight into the
perceived value of each project element.
The project elements within each group are listed
from most to least valuable, as determined by
project participants.
1 The focus Of We evaluation is on what worked or did not work from a participant's perspective. Thus, while TAP comments are provided by project
dement, the corresponding graphics depict solely feedback from industry participants.
8
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EMS Implementation Guides
EMS implementation guides were tied with anoth-
er project element — sharing with peers — as the
most valuable project elements overall, according
to pilot participants.
These sector-specific guides, consisting of be-
tween 10 and 18 modules, were customized
jointly by SSP contacts and TAPs for each sector.
In some cases, the pilot participants also assisted
with the development of the guides. Sector-spe-
cific responses as to the value of the EMS imple-
mentation guides are provided in the figure and
summaries below.
Das CASTING SECTOR
Participants strongly agreed that their 18-module
EMS implementation guide was a valuable tool. Par-
ticipants noted that the EMS implementation guide
was more useful after it had been tailored to their
sector, and suggested that it could benefit from sev-
eral subsequent improvements (e.g., clearer layout,
more examples, and deletion of redundancies).
FOUNDRIES SECTOR
Participants did not collectively agree that their
EMS implementation guide was valuable. In fact,
one participant argued that the EMS implementa-
tion guide provided neither "how to" instructions
nor practical examples. Another participant found
the EMS implementation guide to be of great
value for a collaborative effort with his Quality
Manager to integrate their procedural documents.
The remaining participants' feedback on the EMS
implementation guide was generally positive,
with suggestions that the aspects and impacts
portions of the EMS implementation guide cou d
have been better clarified.
TAPs felt that the EMS implementation guide was
essential to the overall structure of the workshop
and noted that the guide would be of more value to
facilities that were developing an EMS on their own.
MEAT PROCESSING SECTOR
Participants agreed that their EMS implementation
guide was valuable. The implementation guide was
found to be especially useful in jump-starting the
aspect-identification process, although some com-
panies did not make extensive use of it.
SHIPBUILDING AND SHIP REPAIR SECTOR
Participants strongly agreed that their EMS imple-
mentation guide was valuable. One participant
noted that facilities just starting to develop an EMS
would likely find the guide essential, while another
said that it was excellent compared to several
books he owns on the subject of ISO 14000. The
books say a lot, but you still don't know how to
actually do it," he said. The EMS Guide that [the
TAP] put together really shows you, step-by-step,
how to put together an EMS program." The TAP
commented, "Having an EMS guide specifically for
the shipbuilding industry should make EMS adop-
tion easier for a large number of shipyards." In this
sector, the pilot participants helped to create the
implementation guide.
Figure 3-1: Participant Rating of the Value of EMS Implementation Guides
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Group Activities
Group activities conducted during the pilot projects
included: sharing with peers; training workshops;
online communication tool; and conference calls.
The group activities, however, varied by pilot
project — with some pilot projects using all four
of the activities and others using only a few. The
group activities are listed below from most to
least valuable, as rated by the pilot participants.
SHARING WTTH PEERS
Sharing with peers, which consisted of the shar-
ing of EMS tools among participants, tied with
EMS implementation guides as the most valuable
project element overall.
Sharing with peers was facilitated by other group
activities and helped participants to improve
their work. Participants learned different ways to
conduct tasks by networking and sharing similar
experiences. Sector-specific responses as to the
value of sharing with peers are provided in the
figure and summaries below.
Die Casting Sector
Participants, on average, strongly agreed that the
sharing of information with peers was valuable.
Participants commented that the meetings resem-
bled brainstorming sessions, and that they were
able to learn different ways to approach documen-
tation. Another participant indicated that he would
like to have seen less concentrated participation
by a few and a more uniform level of participation
overall. One TAP observed that the varying levels
of experience allowed peers to learn from each
other, and that a "cooperative" atmosphere was
pervasive.
Foundries Sector
All but one participant strongly agreed that the
element was valuable. Participants benefited from
learning different ways of conducting a particular
task. One TAP suggested that sharing could have
been more substantive if the project had included
secure online communications in addition to other
forms of communication. Most TAPs commented
that there was a great degree of mutual support,
and one indicated that foundries are a collegial
industry sector whose members are accustomed
to friendly interaction.
Meat Processing Sector
Participants on average agreed that the element
was valuable. One TAP noted that while sharing
with peers is often a valuable element of pilot pro-
jects, it did not happen often during this particular
pilot project.
Shipbuilding and Ship Repair Sector
Participants agreed that this element was valu-
able. One participant commented that sharing in
a group process with peers enabled him to make
a stronger case to senior management that EMS
was necessary because it was becoming more
common in the industry, and that he observed
Figure 3-2: Participant Rating of the Value of Sharing with Peers
5 - Strongly Agree
4 - Agree
3 - Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
VA1J t AGREEMENT
10
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the benefits of learning from each other. A TAP
commented that the varying levels of experience
allowed peers to learn from each other, while
regular interactions enabled them to build poten-
tially valuable professional relationships across
the country.
TRAINING WORKSHOPS
Training workshops, led by knowledgeable in-
structors, were identified by pilot project partici-
pants as the second most valuable of the group
activities.
Workshop instructors walked participants through
the steps of implementing an EMS. Sector-spe-
cific responses as to the value of the training
workshops are provided in the figure and sum-
maries below.
Die Casting Sector
Overall, participants did not feel that the training
workshops were valuable. Some participants,
however, felt that the workshops provided a win-
win situation in which a knowledgeable instructor
led them through the steps of an EMS and par-
ticipants helped each other improve their work.
One TAP believed that the workshops could have
been more valuable if they had been structured
as working sessions rather than as presentations.
Foundries Sector
Participants were largely in agreement on the
workshops' value. However, one respondent
suggested that the training should have included
more "how to" information. Most participants
thought that the training content supplemented
the EMS implementation guide well, and several
participants specifically approved of the group
format, which facilitated sharing experiences and
knowledge between facilities. The TAPs indicated
that the workshop design helped keep partici-
pants on an implementation schedule, but that
on-site and telephone contact were also neces-
sary because the facilities were at varying stages
of completion.
Meat Processing Sector
Participants either agreed or strongly agreed
that the training workshops were valuable. TAPs
commented that the workshops were crucial to
stimulating and maintaining implementation prog-
ress. However, some participants and TAPs felt
that the content of the training workshops should
have been consolidated into fewer sessions, per-
haps five or six rather than 10.
Shipbuilding and Ship Repair Sector
Participants either agreed or strongly agreed that
the training workshops were valuable. One partici-
pant was pleased with the TAPs' expertise. Another
commented that the workshops "made for a more
worthwhile discussion" among peers about envi-
ronmental improvements within the sector. A third
Figure 3-3: Participant Rating of the Value of Training Workshops
5 - Strongly Agree
-t -Agree
3 - Undecided, Neutral
2 - Disagree
1 - Strongly Disagree
-
11
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participant said it was "an eye-opening experience
to realty become involved in the work process using
Visio [software]." The TAP rated the workshops as
essential, commenting that they "created momen-
tum as well as insight...they were crucial to EMS
adoption."
ONLINE COMMUNICATION TOOL
The online communication tool, which consisted
of a Web site that allowed participants to down-
load up-to-date information about the pilots and
EMS, was identified as valuable by the partici-
pants of the one pilot project that used it.
The response from the shipbuilding and ship
repair pilot participants as to the value of the
online communication tool is provided in the
figure and summary below.
Shipbuilding and Ship Repair Sector
Overall, participants agreed that the online com-
munication tool was valuable. One participant was
unable to access it due to technical difficulties,
while another felt it would have required more ef-
fort than it was worth to figure out how to use it.
One participant commented that he used the tool
for cost analysis work with the TAP, while another
stated that he "pulled a lot of material off of it."
Another felt that the online communication tool
was valuable for keeping the group on task, but
that the tool was not updated often enough, nor in
the ways he would have preferred (e.g., with dates
and events).
Figure 3-4: Participant Rating of the Value of Online Communication Tool
3 - Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
12
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CONFERENCE CALLS
Conference calls were identified by pilot project partic-
ipants as the least valuable of the group activities and
one of the least valuable project elements overall.
"The conference calls were meetings conducted via
telephone in which three or more participants in dif-
ferent locations participated. Only two of the sectors
— meat processing and shipbuilding and ship repair
— used conference calls during their pilot projects.
Sector-specific responses as to the value of the con-
ference calls are provided in the figure and summaries
below.
Meat Processing Sector
On average, participants did not find conference
calls to be valuable. One participant felt that the
conference calls were more of a "roll call" than an
activity where major progress could be made.
Shipbuilding and Ship Repair Sector
Participants did not find the conference calls to
be valuable. One participant commented that the
conference calls enabled sharing among peers,
which was beneficial but not essential. Another
commented that there were too many people on
the calls, inconsistent attendance, and "less friend-
ly" interactions than would be possible in person.
Figure 3-5: Participant Rating of the Value of Conference Calls
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One-On-One Activities
TAPs conducted one-on-one activities with each of the
participants in the pilot projects, including: EMS docu-
ment review; on-site assistance; and telephone assis-
tance. The one-on-one activities are listed below from
most to least valuable, as rated by the pilot participants.
EMS DOCUMENT REVIEW
EMS document review, which involved TAPs' re-
view of participants' company EMS documents,
tied with on-site assistance as the most valuable
one-on-one activity, according to pilot project
participants. Sector-specific responses as to the
value of TAPs' review of their EMS documents
are provided in the figure and summaries below.
Die Casting Sector
Participants agreed that review of their EMS
documents was valuable. One participant com-
mented that the EMS document review helped
him to stay on the right track with several docu-
ments, while another said that having third-party
comments helped him get his environmental
policy approved by upper management.
Foundries Sector
Overall, participants did not find the EMS docu-
ment review to be valuable. Participants' com-
ments indicated that the value of TAP feedback
may depend, in part, on a company's stage of
implementation and comfort level with the con-
cepts behind an EMS. Two participants noted
that they did not receive any feedback.
On average, TAPs found EMS document review
to be somewhat valuable to participants. For
example, one TAP said the comment process
helped one foundry better prepare for a pre-cer-
tification interview. However, the TAPs also indi-
cated that while feedback could improve firms'
documents, it was unclear whether the firms
acted on the feedback. A TAP suggested that
participants would have benefited from the use of
secure online communications to compare their
work.
Meat Processing Sector
All of the participants agreed on the value of EMS
document review. From the TAP perspective, this
element was valuable. One TAP noted that hav-
ing established document submittal milestones
was crucial to driving progress along the path to
implementation.
Shipbuilding and Ship Repair Sector
Participants agreed that EMS document review
was valuable. One participant stated that he
"would create a new procedure, send it to [the
TAP] and we'd talk about it," and another com-
mented that the TAP "spent a whole day review-
ing everything." The TAP noted that participants
seemed to derive greater benefit from face-to-
face interaction during the training workshops,
and that the process for submitting documents
for review could have been improved by making it
a more stringent requirement of pilot participation.
Figure 3-6: Participant Rating of the Value of EMS Document Review
5 - Strongly Agree
4 - Agree
3 • Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
14
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ON-SITE ASSISTANCE
On-site assistance, which consisted of technical
assistance at pilot participants' facilities, tied with
EMS document review as the most valuable of
the one-on-one activities.
On-site assistance included an on-site gap analysis
and, in some cases, multiple one-on-one visits.
Sector-specific responses as to the value of on-site
assistance are provided in the figure and summaries
below.
Die Casting Sector
All participants strongly agreed to the value of this
element. One participant commented that he found
the on-site gap analysis helpful because it was
conducted after he had already completed several
steps. Another said that more information was cov-
ered in less time at the site visit, and that the infor-
mation tended to be more specific.
Foundries Sector
On average, participants did not see the value of
on-site assistance. Participants indicated that it
was beneficial to have one-on-one attention given
to their specific facility, but that the gap analysis,
conducted early on, would have been more useful
later during implementation.
Most TAPs overwhelmingly commented that on-
site assistance was essential to the success of
the project so that participants could have their
concerns addressed within the context of their
facility. One TAP commented that the effective
delivery of technical assistance requires a force-
ful personality that will motivate firms to focus on
EMS. Another TAP commented that, although
some participants were ultimately unable to com-
mit the resources necessary to complete EMS
implementation, the progress that was achieved
would not have been possible without the on-site
assistance.
Meat Processing Sector
Participants did not feel that on-site assistance
was a valuable element of the pilot project, but
one participant commented that it enabled him to
address specific concerns directly with the TAPs.
Shipbuilding and Ship Repair Sector
On average, participants agreed to the value of this
element. One participant commented that he found
it helpful that the TAP "was able to come out to the
site, look at what we'd done and give guidance;
for us it was guesswork, but he knew what he was
doing." Another participant, while deeming the visit
beneficial, found he derived greater value from the
immediate turnaround of a telephone call. "By the
time we had the visit, I had a lot of questions already
answered on the phone," he said. The TAP com-
mented that other support (e.g., an additional day of
training) pemaps could have substituted for the on-
site assistance.
Figure 3-7: Participant Rating of the Value of On-Site Assistance
5 - Strongly Agree
4 - Agree
3 - Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
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TELEPHO\E ASSISTANCE
Telephone assistance, which included one-on-
one telephone calls between pilot participants
and TAPs, was identified by pilot project partici-
pants as one of the least valuable project ele-
ments overall and the least valuable of the one-
on-one project elements.
During the one-on-one telephone calls, TAPs an-
swered questions regarding the implementation
of participants' EMSs. Sector-specific responses
as to the value of telephone assistance are pro-
vided in the figure and summaries below.
Die Casting Sector
On average, participants agreed to the value of
telephone assistance, with some variation in re-
sponses. Participants either strongly agreed to the
element's value, commented that the assistance
was likely more valuable after a site visit took
place, indicated that the efficiency of telephone
contact was somewhat hampered by "phone
tag," or suggested that TAPs should check in with
participants and offer assistance. The TAPs rated
telephone assistance to be, on average, not as
valuable as some of the other project elements
and one commented that, in practice, telephone
contact served primarily to encourage the partici-
pants rather than to directly solve problems.
Foundries Sector
Most participants did not make use of one-on-
one telephone assistance. One participant com-
mented that his work was sufficiently supported
by the training workshops and by phone calls
to other participants. However, another partici-
pant said telephone assistance was essential
and more important than on-site assistance be-
cause the phone calls made it possible to obtain
quick responses to specific questions. The TAPs
overwhelmingly agreed that, while this element
is valuable, face-to-face interaction adds more
value than does telephone contact.
Meat Processing Sector
Participants agreed that telephone assistance
was valuable, but stated that they preferred face-
to-face assistance. One TAP commented that it is
important to have a single TAP who consistently
provides both telephone and on-site assistance,
stating that specific knowledge of the facility op-
erations is crucial when assisting by telephone.
Shipbuilding and Ship Repair Sector
On average, participants felt that telephone as-
sistance was a valuable project element. One par-
ticipant commented, however, that the assistance
served the same function as the on-site visit but
was less resource-intensive. The TAP didn't feel
that the telephone assistance was very valuable,
because the participants did not take advantage
of telephone assistance as often as expected.
Instead, most questions were raised during the
training workshops.
Figure 3-8: Participant Rating of the Value of Telephone Assistance
5 - Strongly Agree
4 - Agree
3 - Undecided/Neutral
2 - Disagree
1 • Strongly Disagree
VAll I AI.HIKVtl
16
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Recognition
Recognition was identified by pilot project par-
ticipants as the least valuable project element
overall.
Recognition included recognition ceremonies
from the participants' state or EPA. Sector-spe-
cific responses as to the value of recognition are
provided in the figure and summaries below.
MEAT PROCESSING SECTOR
While participants agreed to the value of recogni-
tion more so than the shipbuilding and ship repair
sector, on average, participants did not find rec-
ognition to be particularly valuable. The TAPs, on
the other hand, perceived recognition from the
states/EPA to be very valuable.
SHIPBUILDING AND SHIP REPAIR SECTOR
On average, participants were undecided as to
the value of recognition. Although three partici-
pants agreed or strongly agreed to the value,
two strongly disagreed. One participant com-
mented, "The project brought state and industry
in the same room at a time when...shipbuilders
were under a lot of scrutiny." Another stated
that, whereas recognition was not a primary mo-
tivation for their involvement, the project "gave
us an opportunity to work with EPA to improve
relationships."
Figure 3-9: Participant Rating of the Value of Recognition
5 - Strongly Agree
-Agree
3 - Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
VAULE AGREEMENT
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Evaluation Results by
Other Parameters of Interest
In addition to analyzing the results of participant • Whether the facility was certified for ISO 9000
interviews purely from a sector standpoint, we de- quality assurance.
cided to take a closer look at the interview results. TAPS workjng within sectors that consist either of
We combed through the results to try to determine facj|jties of the same busjness sjze or those with
if pilot participants, regardless of sector, valued sjmi|ar |SO certification status may find tne fol.
certain project elements more than others due to |owjng resu|ts usefu, jn determining which project
business-oriented parameters, such as: e|ements mjght be most effective
• Business size as measured by the number of
employees; and
18
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Business Size
After reviewing the number of employees at each
of the businesses interviewed, we decided to
break the businesses into three categories:
• Facilities with up to 150 employees;
• Facilities with between 151 and 2,200
employees; and
• Facilities with more than 2,200 employees.
Figures 4-1 through 4-3 present the feedback on
each of the project elements provided by each
business size grouping.
Figure 4-1 shows that businesses with 150
or fewer employees agreed that, sharing with
peers, training workshops, EMS implementa-
tion guides, conference calls, and on-site as-
sistance were valuable. Conference calls were
more valuable for this business size than for
the other two analyzed.
Figure 4-2 shows that businesses with between
151 and 2,200 employees agreed to the value of
sharing with peers, training workshops, EMS imple-
mentation guides, and online communication tools.
Rgure 4-3 shows that businesses with more than
2,201 employees agreed that all project elements
used during the pilot projects were valuable, with the
exception of conference calls. Of particular interest
is that, unlike the other two categories of business
sizes, the largest businesses interviewed agreed that
recognition was a valuable project element.
Below is a summary of the value attributed to
each broad category of project element by the
three categories of business size.
• EMS implementation guides: All participants
in each of the business size categories valued
the EMS implementation guide, with the largest
businesses valuing the guides the most and the
smallest businesses the least.
• Group activities:
• Sharing with peers was consistently agreed
upon as valuable by all of the business size
categories.
Figure 4-1: Participant Rating - Less than or Equal to 150 Employees
5 - Strongly Agree
4 - Agree
3 - Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
-------
• All three business size categories agreed
that training workshops were also a valuable
project element, with all participants in the
"medium" size category strongly agreeing to
its value.
• The online communication tools were only
used by the medium and largest business
size categories, and were agreed upon as
being valuable by both groups.
• Conference calls, on the other hand, were
only perceived as valuable by the smallest
business group.
One-on-one activities:
• The only group that agreed that EMS
document review was valuable was the
largest business size category.
• The small and large business size categories
agreed to the value of on-site assistance, while
the medium size business category did not.
• The only group that agreed that telephone
assistance was valuable was the largest
business size category.
• Recognition: The only group that found
recognition to be valuable was the largest
business size category.
As a result of the findings presented above, below
are some takeaway messages for TAPs regard-
ing project elements to use within sectors made
up mostly of small, medium, or large businesses.
Whereas all business size categories agreed to the
value of EMS implementation guides, sharing with
peers, and training workshops, the findings below
are specific to individual business category sizes.
• Small- and medium-sized businesses are
similar in that they enjoy getting feedback from
and working with their peers. These business
categories consistently ranked group activities
significantly higher than one-on-one assistance.
Therefore, activities that bring small and
medium-sized businesses together to share
ideas, collectively improve their work, and
collaborate on solutions will be most valuable
to these groups. These businesses are also not
motivated by recognition, as most are probably
investing in EMS to improve their operations
Figure 4-2: Participant Rating - 151 to 2,200 Employees
20
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and not particularly to gain a public relations
advantage.
Large businesses, on the other hand, value
one-on-one assistance much more than
working in groups. The interviews showed that
one-on-one telephone assistance, for instance,
was deemed to be much more valuable than
conference calls attended by other parties. Also
in opposition to the preferences of fre smal -
and medium-sized business categories s fre
value that large businesses give to recognrt or.
Large businesses are much more likely to see
value in being recognized by their state or EPA,
and value it even more than group or one-on-
one assistance.
Figure 4-3: Participant Rating - 2,201 or More Employees
5 - Strongly Agree
- Agree
3 - Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
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ISO 9000 Certification
ISO 9000 is an international standard of quality
assurance and quality control that is implemented
by businesses within almost all sectors. To de-
termine if a business's ISO certification had any
impact on their preferred project elements, we
analyzed our interview results based on partici-
pants' ISO 9000 certification.
Rgure 4-4 depicts the ratings for the individual pro-
ject elements as given by participants who identified
that they did not have ISO 9000 certification. In es-
sence, this group highly valued training workshops,
EMS implementation guides, and sharing with
peers, but did not find online communication tools
or recognition particularly valuable.
Rgure 4-5 depicts comparable information provided
by the sector participants who indicated that they
have ISO 9000 certification. They, too, valued shar-
ing with peers and the EMS implementation guides,
but did not value tra'ning workshops as much as
those businesses without ISO certification. It is also
interesting to note that those companies with ISO
certification found online communication tools to be
significantly more valuable than those that were not
ISO certified.
After reviewing the results of our analysis of busi-
nesses that do and do not have ISO certification,
it seems that ISO certification is not a contributing
factor in the determination of the value of particular
project elements. In fact, other than slight differences
in opinion as to the value of training workshops and
online communication tools, both groups attributed
basically the same value to each of the other project
elements.
22
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Figure 4-4: Participant Rating - Businesses without ISO 9000 Certification
Figure 4-5: Participant Rating - Businesses with ISO 9000 Certification
5 - Strongly Agree
4 - Agree
3 - Undecided/Neutral
2 - Disagree
1 - Strongly Disagree
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Additional EPA Sector-Based Initiatives
Below are brief summaries of two additional sec-
tor-based projects conducted by EPA — an SSP
EMS pilot project within the metal finishing sector
and two "EMS for Local Government Entities"
initiatives undertaken by EPA's Office of Water.
While the evaluation methodology of these initia-
tives differed from that of the SSP pilot projects
previously discussed, both examples are similar
to those SSP pilot projects in that they include
collaboration between a broad group of stake-
holders and promote EMS within the sectors.
The following information may provide additional
insight to TAPs considering a sector-based ap-
proach to environmental protection.
Sector Strategies Program
Metal Finishing Pilot Project
Between 1999 and 2001, 30 metal finishing
companies participated in three different EMS
workshop series that ran for approximately nine
months. Twenty-four of these companies report-
ed improvements in compliance, environmental
performance, and cost benefits; 20 companies
completed the workshop series and implemented
an EMS as prescribed in the workshop series.
Typical of the metal finishing sector, participating
companies were all small- and medium-sized
businesses that ranged from four to 250 employ-
ees. For each of the three metal finishing cohorts,
Tetra Tech EM Inc. served as the TAP and con-
ducted a seven-workshop series, provided on-
site technical assistance and support to individual
companies, and documented the companies'
costs and benefits.
The most useful and productive elements, from
both an industry and TAP perspective, were: on-
site assistance visits, comments on documents,
training workshops, and sharing with peers. The
EMS guide was found almost as valuable as
these four top-rated elements. These findings are
largely consistent with those small- and medium-
sized companies analyzed in the other four SSP
pilots. To learn more about SSP's efforts with the
metal finishing industry, visit www.epa.gov/sec-
tors/metalfinishing
Office of Water "EMS for Local
Government Entities" Initiatives
Since August 1997,23 public entities participated
in two "EMS for Local Government Entities" initia-
tives, which were conducted by EPA and the Global
Environment & Technology Foundation (GETF). Both
initiatives tested the applicability and benefit of an
EMS on environmental performance, pollution pre-
vention, and stakeholder involvement in government
operations.
A third EMS initiative is currently underway with
nine local government participants who will re-
ceive EMS training and technical assistance over
two years from EPA and GETF. The participants
will be guided through the EMS development and
implementation process over four phases.
Project elements used in these three initiatives
include training, materials, and technical assis-
tance. Although no formal evaluation has been
completed, more information about these initia-
tives and EMS resources tailored to public entities
are available online at www.peercenter.net
24
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Conclusions
Based on our interview findings, as well as analy-
sis of those findings based on other business
parameters, several conclusions can be drawn
regarding the effectiveness of project elements
used in the four SSP pilot projects. TAPs should
use these conclusions to help identify which pro-
ject elements will be most effective when working
with similar sectors.
As shown in Figure 6-1, the two project elements
that were consistently agreed upon as valuable
across the sectors were the sector-specific EMS
implementation guides and sharing with peers.
• The EMS implementation guides were
found to be most effective when they were
highly customized per sector, including
specific information about the processes
and environmental aspects attributed to the
particular sector. The EMS implementation
guides that were developed for use in these
pilots are available for TAPs to download from
EPA's SSP Web site at www.epa.gov/sectors/
pubs.html
• Sharing with peers was found to be an effective
way to improve participants' work and sustain
momentum, through the interaction of peers
going through similar stages in their EMS
implementation process.
Also deemed valuable, but slightly less so, were
instructor-led training workshops, online com-
munication tool, conference calls, EMS document
review by TAPs, and on-site assistance.
• While training workshops were found to
promote interactivity and lend momentum,
fewer sessions and/or a compressed schedule
may improve their effectiveness.
• Online communication tools, which were used
by only one sector, were seen as valuable ways
to share data but fell victim to participants'
unfamiliarity with the Internet. As the overall
Figure 6-1: Summary of All Participant Ratings of Project Elements
-------
comfort level with the Internet increases,
this project element may be perceived as
increasingly valuable.
• TAPs' review of companies' EMS documents
was more valuable to companies who had
already established an advanced level of
documentation for their EMSs. Therefore,
companies in the very early stages of EMS
development did not find this project element
to be of much value.
• On-site assistance was found to be valuable,
although in some cases all of the participants'
questions had already been answered before
the visit. While on-site assistance is often
deemed valuable, it is important to evaluate its
value as compared to the resources this project
element requires.
The project element that was consistently ranked
the lowest across sectors was recognition. Over-
all, participants did not feel that recognition from
EPA or their state was of significant value to their
development of EMSs.
While a business' ISO 9000 certification seems to
be insignificant in terms of its perceived value on
project elements, a business' size does seem to
provide some indication as to the potential effec-
tiveness of project elements. In particular:
• Small- and medium-sized businesses highly
value getting feedback from and working with
their peers. These businesses consistently
ranked group activities significantly higher than
one-on-one assistance. Therefore, activities
that bring small and medium-sized businesses
together to share ideas, collectively improve
their work, and collaborate on solutions will
be most valuable to these groups. These
businesses are also not motivated by
recognition, as most are probably investing
in EMS to improve their operations and not
particularly to gain a public relations advantage.
• Large businesses, on the other hand, value
one-on-one assistance much more than
working in groups. The interviews showed that
one-on-one telephone assistance, for instance,
was deemed to be much more valuable than
conference calls attended by other parties. Also
in opposition to the preferences of the small-
and medium-sized business categories is the
value that large businesses give to recognition.
Large businesses are much more likely to see
value in being recognized by their state or EPA,
and value it even more than group or one-on-
one assistance.
TAPs interested in developing a sector-based
environmental program are encouraged to down-
load the EMS implementation guides used during
these pilot projects, as well as sector-specific
EMS marketing tools available online at www.
epa.gov/sectors/pubs.html. Through the use of
a combination of effective project elements, such
as those outlined above, TAPs have the oppor-
tunity to create effective, sector-based programs
that focus on issues that matter to the sector
both environmentally and economically.
26
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Appendix A.
List of Feedback Providers and TAPs by Sector
Die Casting Sector Pilot Project
INDUSTRY
Jeff Brennan Premier Tool and Die Cast Corporation
Paul Kennedy Kennedy Die Castings
Doug Littler Littler Die Casting
TAPs
Michael Bacon RMT, Inc.
Amy Blankenbiller North American Die Casters Association
EPA
Jerry Newsome Headquarters Sector Strategies Program
Foundries Sector Pilot Project
INDUSTRY
Kathy Cole Fort Wayne Foundry
John Haney Atlas Foundry
Cynthia Hann Dalton Foundry
Ken Moore Interstate Castings
Kyle Morton Bremen Castings
Doug Smith Rochester Metal Products
TAPs
Wayne Swallow RMT, Inc.
Amy Blankenbiller Waterman & Associates (American Foundry Society)
Marc Hancock Indiana Department of Environmental Management
Blake Jeffery Indiana Cast Metals Association
EPA
Jerry Newsome Headquarters Sector Strategies Program
27
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Meat Processing Sector Pilot Project
INDUSTRY
Dave Frotz Excel Corporation
Larry Hill Farmland Foods
Michelle Miller West Liberty Foods
Terry Mott Humbolt Sausage
TAPS
Marci Carter Iowa Waste Reduction Center
Chris Horan Iowa Waste Reduction Center
Lisa Hurban Iowa Waste Reduction Center
Scott Vanderhart Iowa Department of Natural Resources
Ken White Iowa Department of Natural Resources
EPA
Shana Harbour Headquarters Section Strategies Program
Ruben McCullers Region VII
Chet McLaughlin Region VII
Shipbuilding and Ship Repair Sector Pilot Project
INDUSTRY
Vincent Dickinson Bath Iron Works
Donna Elks Electric Boat
Kay Freeman Northrop Grumman Ship Systems (2 facilities)
Shaun Halvax Southwest Marine
Jack Holmes First Wave Marine
Jackie Morris Bender Shipbuilding & Repair Co.
TAP
Will Gibson ICF Consulting
28
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Notes
29
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Notes
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