IMPLEMENTING AN ENVIRONMENTAL MANAGEMENT SYSTEM …
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IMPLEMENTING AN ENVIRONMENTAL MANAGEMENT SYSTEM IN AN AUTOMOTIVE COMPONENT MANUFACTURING FIRM CARLOS MANUEL DA FONSECA 2009 Treatise submitted in partial fulfilment of the requirements for the degree Magister in Business Administration in the Faculty of Business and Economic Sciences of the Nelson Mandela Metropolitan University Business School Promoter: Marius Keet November 2009 East London brought to you by CORE View metadata, citation and similar papers at core.ac.uk provided by South East Academic Libraries System (SEALS)
Transcript of IMPLEMENTING AN ENVIRONMENTAL MANAGEMENT SYSTEM …
IMPLEMENTING AN ENVIRONMENTAL MANAGEMENT
SYSTEM IN AN AUTOMOTIVE COMPONENT
MANUFACTURING FIRM
CARLOS MANUEL DA FONSECA 2009
Treatise submitted in partial fulfilment of
the requirements for the degree
Magister in Business Administration
in the Faculty of
Business and Economic Sciences
of the
Nelson Mandela Metropolitan University Business School
Promoter: Marius Keet
November 2009
East London
brought to you by COREView metadata, citation and similar papers at core.ac.uk
provided by South East Academic Libraries System (SEALS)
i
CONTENTS
DECLARATION ii
ACKNOWLEDGEMENTS iii
ABSTRACT iv
TABLE OF CONTENTS v
LIST OF FIGURES x
LIST OF TABLES xi
LIST OF ANNEXURES xii
LIST OF ACRONYMS xiii
ii
DECLARATION
I, Carlos Manuel Da Fonseca hereby declare that:
• the work in this paper is my own original work;
• all other sources used or referred to have appropriately been referenced
and documented; and
• this treatise has not been previously submitted in full or partial fulfilment
of the requirements for an equivalent or higher qualification at any other
recognised educational institution.
Signed: ……………………………………………
Student number: 20026454
Date submitted: 30 November 2009
iii
ACKNOWLEDGEMENTS
I hereby extend my appreciation and thanks to the following persons and
institutions for their contribution and support, thus enabling me to successfully
complete this study:
• Marius Keet for his guidance, motivation and commitment shown during
this study. The professionalism and consultation sessions conducted
were of great value.
• Vuyani Mhlontlo, Faculty Librarian, Business and Economics Sciences,
at the Nelson Mandela Metropolitan University, South Campus, for the
great service in obtaining research material to complete this treatise.
• To Sydney Niemand, Principal Auditor at the South African Bureau of
Standards, for his professionalism and knowledge.
• To my family, wife, children and parents for all the sacrifices made and
interest shown in this study.
• To Dedré van Tonder, for the wonderful work in proof reading this
treatise.
• To my colleagues and friends for their assistance, motivation and care
shown during this study.
Carlos Manuel Da Fonseca
East London
November 2009
iv
ABSTRACT
Environmental issues seem to be one of the most important topics in the
globalised world. Organisations of all sizes are subject to pressure from
suppliers, customers and governments to be more environmentally responsible.
This research focuses on implementation of an Environmental Management
System (EMS) in the automotive industry, both internationally and in South
Africa, and examines the background and concepts of the International
Organization for Standardization (ISO), as well as the key implementation
phases associated with the implementation of an EMS, in accordance with ISO
14001.
The problem statement of this research is to determine if it is possible to
transfer, apply and sustain environmental concepts to small, medium or large
organisations. The primary objectives of this research, therefore, were to
determine: does implementation of an EMS provide economic benefits to
organisations; what drives an organisation to first implement an EMS; does
implementation of an EMS improve environmental awareness and performance;
and what implementation barriers are faced by small, medium and large
organisations. To achieve these objectives, a literary review and an empirical
survey were conducted. The survey consisted of an electronic, self-
administered questionnaire that was circulated to respondents at various
automotive organisations. Data collected from completed, returned
questionnaires were analysed and graphically presented to complete the
research and achieve the primary research objectives toward solving the afore-
mentioned problem statement.
Based on the findings of this research, it can be concluded that there is much to
gain from implementing an EMS.
v
TABLE OF CONTENTS
PAGE
CHAPTER 1: SCOPE OF THE STUDY 1
1.1 INTRODUCTION 1
1.2 MAIN PROBLEM STATEMENT 4
1.3 SUB-PROBLEMS 4
1.4 SIGNIFICANCE OF THE RESEARCH 4
1.5 RESEARCH METHODOLOGY AND STRATEGY 5
1.5.1 Literature overview 5
1.5.2 Empirical study 6
a. Qualitative or quantitative data analysis 6
b. Questionnaire 7
c. Measurement 7
d. Population, sampling and data analysis 7
1.6 KEY ASSUMPTIONS 7
1.7 DELIMITATION OF THE RESEARCH 8
1.7.1 Automotive industry in the Eastern Cape 8
1.7.2 Size of the organisation 9
1.7.3 Geographical demarcation 9
1.8 DEFINITION OF KEY CONCEPTS 10
1.8.1 International Organization for Standardization (ISO) 10
1.8.2 ISO 14000 10
1.8.3 ISO 14001 11
1.8.4 ISO 9001 11
1.8.5 ISO/TS 16949 12
1.8.6 Environmental aspects and impacts 12
1.8.7 Environmental management system (EMS) 13
1.8.8 Original equipment manufacturers 14
1.9 RESEARCH LAYOUT 14
1.10 CONCLUSION 15
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CHAPTER 2: THE BACKGROUND AND CONCEPTS OF ISO
STANDARDS 16
2.1 INTRODUCTION 16
2.2 GLOBAL AUTOMOTIVE SECTOR 16
2.3 SOUTH AFRICAN AUTOMOTIVE SECTOR 17
2.3.1 Exports markets for the South African automotive sector 20
2.3.2 Registrars for automotive sector in South Africa 21
2.4 ISO BACKGROUND AND STRUCTURE 22
2.4.1 ISO 14000 history 23
2.5 SOUTH AFRICAN BUREAU OF STANDARDS’ LINK TO ISO 24
2.5.1 ISO 14001 EMS 25
2.6 EMS CONCEPTS AND MODELS FOR ISO 14001 27
2.6.1 Environmental management system model 27
a. Environmental policy 28
b. Planning 28
c. Implementation and operation 29
d. Checking and corrective actions 29
e. Management Review 29
2.6.2 EMS concept (PDCA Cycle) 30
a. Plan: What is to be done? 31
b. Do: Implement the plan 32
c. Check: Has the objectives of the plan been met? 32
d. Act: Are any changes required? 32
2.7 TOTAL QUALITY MANAGEMENT 33
2.8 ECO-MANAGEMENT AND AUDIT SCHEME 33
2.9 REASONS FOR IMPLEMENTING ISO 14001 35
2.10 ENVIRONMENTAL MOTIVATIONS AND CERTIFICATION 36
2.11 BUSINESS OPPORTUNITIES AND BENEFITS 38
2.11.1 External business – new markets 38
2.11.2 Internal business – current markets 39
2.11.3 Loss of business 39
2.12 CONCLUSION 39
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CHAPTER 3: KEY IMPLEMENTATION PHASES TO GAIN ISO
REGISTRATION 42
3.1 INTRODUCTION 42
3.2 COST OF IMPLEMENTATION 43
3.2.1 Internal cost 43
3.2.2 External costs 44
3.3 KEY POINTS OF IMPLEMENTATION 44
3.3.1 Choosing the standard and getting more information 45
3.3.2 Developing an environmental policy 45
3.3.3 Review and produce objectives 45
3.3.4 Consider training 46
3.3.5 Implementation and assessment of a third-party registrar 46
3.4 ASSESSMENT PROCESS 47
3.4.1 Stage one: Audit of intent 47
3.4.2 Stage two: Audit of implementation and effectiveness 48
3.4.3 Certification and beyond 48
3.5 CHOOSING A REGISTRAR 48
3.6 BARRIERS AND PITFALLS TO IMPLEMENTATION 49
3.7 SIMILARITY AND INTEGRATION OF ISO 9000 AND ISO 14001 50
3.8 IMPROVED ENVIRONMENTAL PERFORMANCE 52
3.9 REQUIREMENTS FROM THE AUTOMOBILE INDUSTRY 53
3.9.1 Ford Motor Corporation 54
3.9.2 General Motors 55
3.9.3 Daimler-Benz 55
3.9.4 Volkswagen 55
3.9.5 Honda 55
3.9.6 Nissan 56
3.9.7 Toyota Motor Corporation 56
3.9.8 BMW South Africa 56
3.10 GOVERNMENTS 57
3.11 CONCLUSION 57
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CHAPTER 4: RESEARCH METHODOLOGY 60
4.1 INTRODUCTION 60
4.2 SURVEY RESEARCH 60
4.2.1 Face to face interview 60
4.2.2 Telephone interview 61
4.2.3 Written and electronic questionnaire 61
4.3 CHOICE OF SURVEY USED 62
4.4 DESIGNING A QUESTIONNAIRE 63
4.4.1 Questionnaire wording 64
4.4.2 Questionnaire formulation 65
4.4.3 Scale rating construction 66
4.4.4 Questionnaire construction 67
4.5 QUESTIONNAIRE PRE-TESTING 68
4.5.1 Amendments to the questionnaire 69
4.6 QUESTIONNAIRE DISTRIBUTION 69
4.7 ADMINISTERING THE QUESTIONNAIRE 70
4.7.1 Data coding the questionnaire 71
4.8 RESPONSE RATE TO THE QUESTIONNAIRE 72
4.9 ANALYSIS OF QUESTIONNAIRE DATA 73
4.10 CONCLUSION 73
CHAPTER 5: RESULTS, DISCUSSIONS AND INTERPRETATION 74
5.1 INTRODUCTION 74
5.2 ANALYSIS OF THE RESULTS 74
5.2.1 Section A: General information 75
a. Analysis of Question A2 75
b. Analysis of Question A3 76
c. Analysis of Question A4 77
5.2.2 Section B: Implementation statements 78
a. Analysis of ISO implementation drivers 78
b. Analysis of ISO barriers / constraints 80
c. Analysis of ISO 14001 advantages and benefits 83
d. Analysis of elements of ISO 14001 85
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5.2.3 Section C: Attitude statements regarding ISO implementation 87
a. Analysis of Question 5.1 88
b. Analysis of Question 5.2 89
c. Analysis of Question 5.3 89
d. Analyses of Questions 5.4 and 5.5 90
e. Analyses of Questions 5.6, 5.7, 5.8 and 5.9 92
5.3 CONCLUSION 95
CHAPTER 6: CONCLUSION, FINDINGS & RECOMMENDATIONS 96
6.1 INTRODUCTION 96
6.2 RESOLUTION OF THE FIRST SUB-PROBLEM 97
6.3 RESOLUTION OF THE SECOND SUB-PROBLEM 98
6.4 RESOLUTION OF THE THIRD AND FOURTH SUB-PROBLEMS 98
6.5 RESOLUTION OF THE MAIN PROBLEM 99
6.6 RECOMMENDATIONS AND SUGGESTIONS 99
6.6.1 Government subsidies 99
6.6.2 Training assistance 99
6.6.3 Certification costs can be halved 99
6.7 OPPORTUNITIES FOR FUTURE RESEARCH 100
6.8 FUTURE OF ISO 14001 100
6.9 CONCLUSION 101
REFERENCE LIST 103
x
LIST OF FIGURES
Chapter 1
Figure 1.1 Environmental Aspects 13
Chapter 2
Figure 2.1 Global automobile production data 19
Figure 2.2 Global employment data in the automotive industry 19
Figure 2.3 ISO structure 23
Figure 2.4 Number of ISO 14001 certifications per country 27
Figure 2.5 EMS model 28
Figure 2.6 PDCA cycle 31
Figure 2.7 Number of EMAS certifications per country 34
Chapter 3
Figure 3.1 Assessment process 47
Chapter 5
Figure 5.1 Management levels held by respondents 75
Figure 5.2 Management systems 76
Figure 5.3 Integrated systems 77
Figure 5.4 Very Important / Important categories 79
Figure 5.5 Other categories 80
Figure 5.6 Strongly Agree / Agree categories 81
Figure 5.7 Other Categories - Neutral, Disagree, Strongly disagree 82
Figure 5.8 All categories for key environmental advantages 84
Figure 5.9 All categories for key elements of ISO 14001 85
Figure 5.10 Analysis of Questions 5.1, 5.2 and 5.3 88
Figure 5.11 Analysis of Questions 5.4 and 5.5 91
Figure 5.12 Analysis of Questions 5.6, 5.7, 5.8 and 5.9 93
xi
LIST OF TABLES
Chapter 1
Table 1.1 2007 South African automotive statistics 9
Chapter 2
Table 2.1 Domestic automobile assemblers’ EMS and QMS standards 18
Table 2.2 Automobile export data 21
Table 2.3 PDCA approach 31
Chapter 4
Table 4.1 Example of questionnaire using 5-point Likert scale 66
Table 4.2 Section B rating scale 67
Table 4.3 Section C rating scale 68
Table 4.4 Example used to data code the questionnaire 72
Table 4.5 Response rate to questionnaire 72
Chapter 5
Table 5.1 Summary of positions held by respondents 75
Table 5.2 Summary of current management systems 76
Table 5.3 Summary of integrated systems 77
Table 5.4 Summary of Question B1 78
Table 5.5 Possible drivers for ISO 14001 implementation
(Question B1) 78
Table 5.6 Summary of Question B2 81
Table 5.7 Questionnaire statements of Question B2 81
Table 5.8 Summary of Question B3 83
Table 5.9 Questionnaire statements of Question B3 83
Table 5.10 Summary of Question B4 85
Table 5.11 Summary of questions in Section C 87
Table 5.12 Summary of Question 5.4 and 5.5 in Section C 90
Table 5.13 Summary of Questions 5.6, 5.7, 5.8 and 5.9 in Section C 93
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LIST OF ANNEXURES
ANNEXURE 1 ISO 14001 Gap Analysis ...................................................... 114
ANNEXURE 2 ISO 14001Environmental Implementation Plan .................... 115
ANNEXURE 3 Environmental aspect - impact matrix ................................... 116
ANNEXURE 4 Third-party Registrar Process Flow....................................... 117
ANNEXURE 5 Comparison between ISO 14001:2004 and
ISO 9001:2007 ...................................................................... 118
ANNEXURE 6 Environmental Awareness (visual aids) ................................ 120
ANNEXURE 7 Environmental Training Material............................................ 121
ANNEXURE 8 Environmental Display Posters ............................................. 122
ANNEXURE 9 Cover Letter ........................................................................... 123
ANNEXURE 10 Questionnaire ......................................................................... 124
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LIST OF ACRONYMS
CASCO Committee of Conformity Assessment
COPOLCO Committee on Consumer Policy
DEVCO Committee on Developing Countries Matters
DQS German Association for Certification
EA Environmental Auditing
EL Environmental Labelling
EMAS EU’s - Eco-Management and Auditing Scheme
EMS Environmental Management Systems
EPE Environmental Evaluation
ISO International Organization for Standardisation
ISO 14001 International Organization for Standardisation for
Environmental Management System
ISO 9001 International Organization for Standardisation for Quality
Management System
LCA Life Cycle Assessment
MSDS Material Safety Data Sheets
OEM Original Equipment Manufactures
OHSAS Occupational Health and Safety Assessment Series
PDCA Plan, Do, Check Act
SABS South African Bureau of Standards
T&D Terms and Definitions
TC Technical Committee
TC 207 Technical Committee for Environmental Management
TQM Total Quality Management
TS Technical Standards
TÜV Rheinland Technischer Überwachungsverein (German safety and
standards institution ( Technical Inspection Association)
VDA Verband der Automobilindustrie (German Automobile
Industry Association)
1
CHAPTER 1
SCOPE OF THE STUDY
1.1 INTRODUCTION Environmental issues seem to be one of the most important topics in the
globalised world. A continuous, as well as increasingly rapid rate of population
growth, in addition to an unremitting pressure on the environment, imposes an
ever-rising pressure on the country's natural resources, the human habitat and
both the economic and social infrastructure. Pollution, engendered by means of
air emission, effluent, land contamination, etcetera, exerts various impacts on
people throughout the world. Organisations are seeking to understand how their
operations affect the environment, in addition to determining which management
systems may serve to control any such impacts (BSI, 2009).
Large organisations may not have the informational capacity or the resources to
manage new environmental demands. Such organisations may have to depend
on small- or medium-sized organisations, using them as suppliers or outsourced
providers of environmental solutions. The management of a large organisation
may find it quite difficult to understand and incorporate, let alone implement,
environmentally compliant measures into the business philosophy of the
organisation.
In response to the afore-mentioned difficulties, 25 countries participated in
establishing a technical committee, the International Organization for
Standardization (ISO), and developing an environmental management standard,
known as the ISO 14000 Series. Registering with the ISO and implementing the
ISO 14001 Environmental Management System enables organisations to satisfy
the increasing demand to demonstrate a commitment to the environment, as
well as participation in good environmental practices (International, 2009b).
Some countries and organisations are quickly embracing it, while
others, including the United States and most American
organisations are waiting to see if it becomes a requirement for
doing international business and if there are benefits to adopting it.
As many American organisations already have EMS’s that may be
2
different than ISO 14000, so their reluctance is understandable
since they have invested in their existing systems (Haklik, 2003).
Many organisations are subject to environmental regulations without realising it.
Any business, irrespective of size or nature, which emits vapours or dust into
the air; discharges process waste water into a main sewer or on the ground; or
generates solid waste for disposal, may be subject to environmental regulations.
Organisations that use large volumes of chemicals or possess files of material
safety data sheets (MSDSs) may be subject to reporting requirements.
Additionally, storm water that comes in contact with facility process materials
may require the implementation of a management plan (Forbes, 1999).
A substantial number of organisations are not readily recognised as being
subject to environmental regulations. These organisations may provide services
such as car washing, dry cleaning, furniture refinishing, air conditioning,
restaurants, auto repairs, body shops and medical and dental. Exemptions and
variances do exist and it is possible that environmental regulations will not apply
to such organisations. Immediate implementation of corrective action, in the
event that these regulations do apply, will result in the organisation realising
cost efficiencies. Implementing an Environmental Management System (EMS)
can be complex and confusing and may lead to frustration and anxiety, but once
compliance is achieved and a process for ongoing maintenance is implemented
it may result in significant benefits for the organisation (Forbes, 1999).
Organisations already registered to other quality management systems, such as
ISO 9001 or ISO/TS 16949, will have no difficulty in recognising the ISO 14001
Environmental Management System. This may be ascribed to similarities in the
two management systems, as well as advantages achieved through integration,
such as potential cost savings and improved efficiency and effectiveness
(Beechner & Kock, 1997).
Environmental compliance may be considered an additional cost which
negatively impacts on the organisational bottom line; however, the impact
thereof can be minimised. Recycle and pollution prevention programmes reduce
or eliminate waste and may, in turn, generate significant savings. Furthermore,
3
increased public awareness has resulted in automotive manufacturers
demanding environmental compliance from their suppliers, to the extent that
future business may depend on it (Forbes, 1999).
The foremost task for any organisation undertaking the implementation of an
EMS is to establish the reason for doing so. There is a danger that the system
will simply focus on the ISO standard should the sole driver for obtaining an ISO
14001 certificate be to appear on a customer’s tender list. The result may,
therefore, not serve any useful purpose and may simply act as a drain on the
organisation’s resources. Developing a system based on aspects such as
performance improvement, improved efficacy of risk management or
implementing a culture for opportunity will result in a satisfactory and useful
system.
Edwards (2001) provides four more reasons why every organisation should take
environmental factors into account in its management processes, namely:
• ethical responsibility - human beings have a duty to preserve the world
and to hand it to future generations in a good shape;
• realise economies from conserving resources, not generating waste
products or wasting energy, and saving costs;
• legislative adherence to avoid fines and reputational damage; and
• commercial benefits from winning new markets and opportunities to grow
through demonstrating good environmental practice.
Rapid advances to technology require that today’s successful organisation must
be on the cutting edge of environmental implementation in product design, as
well as in the manufacture, installation and servicing realms (Edwards, 2001).
The aim of this research is to identify those environmental elements key to an
organisation, as well as to establish the most effective process for implementing
an EMS, thereby enhancing the organisation’s stature and, in turn, leading to full
compliance to International Organization for Standardization regulations.
Ultimately, everyone needs to consider how each of us is exerting a major
impact on the environment and that survival is dependant on change.
4
1.2 MAIN PROBLEM STATEMENT
Organisations need to move toward environmental compliance to do business
with larger and globally recognised automotive organisations. Environmental
Management Systems have increasingly become almost compulsory in many
branches of the automotive industry over the past few years. In addition, the
management of any organisation must consider maintenance of industrial health
and safety standards. A main problem arises from this analysis:
How is it possible to transfer, apply and sustain environmental concepts
to small, medium or large organisations?
1.3 SUB-PROBLEMS The following sub-problems were identified to develop a research strategy to
resolve the main problem:
1. Does implementation of an EMS provide economic benefits to
organisations?
2. What drives an organisation to first implement an EMS?
3. Does implementation of an EMS improve environmental awareness and
performance?
4. What implementation barriers are faced by small, medium and large
organisations?
1.4 SIGNIFICANCE OF THE RESEARCH
The focus of this research is to analyse the methodologies employed to
implement an EMS, better known as ISO 14001, at TI Automotive SA, an
organisation that supplies fuel and brake lines to all Original Equipment
Manufactures (OEMs) in the Eastern Cape region of South Africa.
The finding from this research could lead to the development of a training
course in the implementation of EMS in small to medium organisations.
5
The research will also cover the barriers and constraints associated with
implementing such a system, an analysis of relevant factors that impact thereon,
as well as the general costs and benefits associated with implementing ISO
14001.
1.5 RESEARCH METHODOLOGY AND STRATEGY The following research strategies were employed to solve the main problem and
the sub-problems thereto:
1.5.1 Literature overview This section provides an in-depth discussion on the previously-defined research
questions, in addition to reporting on the findings of other investigators into the
implementation of an EMS. The researcher will seek to discuss more fully the
questions that need addressing.
The literature survey further provides the basis for implementing a best-practice
process that may serve as a benchmark against which to evaluate the
methodology used by an organisation. Interviews were conducted with selected
personnel who are involved in the implementation of such a system.
Certain elements of the EMS need to be managed to ensure both successful
implementation, as well as the subsequent realisation of performance and
efficiency benefits. Implementing a new EMS in the organisation may be a
lengthy, costly and difficult process and it may take a long time to realise the
resulting benefits.
The literature study included an investigation of both primary and secondary
data to identify the key elements an organisation needs to follow to become fully
accredited in the implementation of an EMS. Literature was obtained from
various university libraries, journals, periodicals and the Internet, as well as
Company Corporate documents. Primary data was obtained by means of a
questionnaire and this provided the main source of information for the study.
Secondary data sources included books, published and electronic journals
available online and from the open shelves at various universities, as well as
information from associates and colleagues.
6
1.5.2 Empirical study
Data collected for inquiry, evaluation or research may either be qualitative or
quantitative in nature. The difference is determined by the type of data collected.
Data is required for any empirical study and such data may be one of two types,
namely a:
• quantitative study, comprising data in the form of numbers; or
• qualitative study, comprising non-numeric data.
a. Qualitative or quantitative data analysis
Qualitative data analysis allows the use of information toward making sensible
decisions (Swift & Piff, 2005). This form of analysis does not involve counting or
dealing with numbers; rather, it is a data-gathering instrument that deals with
words, pictures or objects. Qualitative data analysis is subjective and deals with
an individual’s interpretation of events; uses participant observation; and in-
depth interviews.
Quantitative data analysis is considered a more reliable method than that of
qualitative data analysis. This may be due to quantitative data being easier to
measure, in addition to it being less speculative than the qualitative method.
Tools, such as questionnaires or equipment, were employed to collect numeric
data, or information in the form of numbers and statistics. This type of data is
objective and seeks precise measurement and analysis of target concepts by
means of surveys and questionnaires. According to Walliman (2006):
The essential difference between quantitative analyses and
qualitative analyses is that with the former, you need to have
completed your data collection before you can start analyzing,
while with the latter, analysis is often carried out concurrently with
data collection.
A quantitative approach was used to obtain the data used for analysis and
illustrative purposes in this study.
7
b. Questionnaire
A questionnaire was developed and sent out. Responses obtained from the
completed questionnaires were analysed, subsequent to which the results were
statistically combined and represented graphically in Chapter 5.
c. Measurement A comprehensive questionnaire was used to collect the primary data. It
comprised of both closed and open questions and was developed based on
information obtained from the literature study.
d. Population, sampling and data analysis
A population sampling method was employed to collect data from organisations
that supply and support the automotive industry. The questionnaires were
submitted to managers at all levels of these organisations as it was assumed
that such managers represent the key decision makers regarding environmental
issues. It is important to note that the operations function in any organisation
plays a key role in the implementation of environmental strategies. All the
questionnaires, as well as an accompanying cover letter, were submitted to
respondents via email. Respondents were requested to return completed
questionnaires to the researcher by a pre-determined date.
The afore-mentioned was preceded by a telephone call to identify the
appropriate respondents and to request their collaboration. A reminder
telephone call was made to all those respondents who did not return the
questionnaire within a few days subsequent to the deadline for the return of the
questionnaires.
1.6 KEY ASSUMPTIONS The following assumptions were made for the purposes of this study:
• There are fundamental elements within the process that need to be
followed to ensure successful accreditation from third party accreditation
bodies.
8
• Respondents contacted, such as supervisors and managers, understand
the importance of implementing an EMS.
• Organisations wanting to implement an ISO 14001 EMS have already
implemented a quality management system, such as the ISO 9001 or
ISO/TS 16949, as defined at the end of this chapter.
• Senior management at such organisations have committed themselves in
allocating the resources required for full implementation.
1.7 DELIMITATION OF THE RESEARCH
Research demarcation serves the purpose of rendering the research topic
manageable. The omission of certain topics does not imply that there is no
need to research them. For the purposes of this study
• only those organisations in the automotive industry working with quality
and environmental management systems were included; and
• the questionnaire was only submitted to employees at management and
supervisory level.
1.7.1 Automotive industry in the Eastern Cape
This study took place in the South African automotive sector which consists of
seven Original Equipment Manufacturers (OEMs), amongst which the
Volkswagen Group, General Motors and Mercedes Benz are located in the
Eastern Cape Region. The three Eastern Cape OEMs manufactured, on
average, 191 811 automobiles in 2007, thereby contributing 39.31 per cent to
the automotive industry (refer Table 1.1). This renders the Eastern Cape the
biggest automotive sector in South Africa (Barnes, 2009). Many people are
employed indirectly in automotive-related manufacturing and services industries,
such as those relating to textiles, glass, plastics, carpeting, computer chips,
rubber and steel, amongst others. The growth of the local OEMs is crucial to
real automotive industry growth and is highly dependent on the local first and
second tier supply base, and vice versa. Chapter 2 describes the importance of
the automotive sector in South Africa in detail.
9
Table 1.1: 2007 South African automotive statistics
Province OEM Model Volume
produced (units)
Change %
Total Volume
Produced (Units) per Province
Province %
E.Cape VW Group Polo 49 538 10.15 E.Cape VW Group Golf 5 /Jetta 5 37 357 7.66 E.Cape VW Group Citi Golf/Pick up 27 080 5.55 E.Cape General Motors Corsa Utility 24 766 5.08 Eastern E.Cape General Motors Isuzu KB 20 509 4.20 Cape E.Cape General Motors Corsa 13 680 2.80 E.Cape MBSA C Class 7 476 1.53 E.Cape General Motors Hummer H3 6 061 1.24 E.Cape MBSA Mitsubishi Colt 5 344 1.10 191 811 39.31 Gauteng BMW 3 Series 50 300 10.31 Gauteng Ford Mazda 3/Focus 26 369 5.40 Gauteng Nissan Hardbody 21 691 4.45 Gauteng Gauteng Ford Ikon/Bantam 19 322 3.96 Gauteng Ford Ranger/Drifter 16 490 3.38 Gauteng Nissan Tiida 10 623 2.18 Gauteng Nissan 1400 LDV 8 494 1.74 153 289 31.42 Kzn Toyota Hilux/Fortuner 100 947 20.69 Kwazulu Kzn Toyota Corolla/Run x 31 208 6.40 Natal Kzn Toyota Hi Ace 10 656 2.18 142 811 29.27 Total 487 911 100.00
1.7.2 Size of the organisation
The organisation used in this research has either a direct or indirect link to the
automotive industry and has a sizeable staff quotient. The target population for
this study will be individuals with direct involvement in the EMS implementation
process within the organisation. Due to the relatively small number of people
involved in this process, and the consequently small sample size of the study, a
non-probability sampling strategy will be employed which, according to
Singleton, Straits and Straits (1993:16), is the most suitable strategy under such
circumstances. Non-probability sampling is considerably less expensive than
probability sampling; it is limited to one group, often with similar characteristics;
and does not involve random selection.
1.7.3 Geographical demarcation The empirical component of this study primary focused on the Eastern Cape,
Gauteng and Kwazulu Natal, specifically within the following geographical
areas:
Source: Barnes, 2009
10
• Nelson Mandela Metropolitan Municipality, which includes Port Elizabeth
and Uitenhage; Buffalo Municipality, which includes East London.
• Tshwane metropolitan Municipality, which includes Rosslyn in Pretoria
and
• Ethekwini Municipality, which includes Durban
The empirical survey was conducted by e-mail questionnaire.
1.8 DEFINITION OF KEY CONCEPTS
The key concepts relevant to this study will be explained in this section.
1.8.1 International Organization for Standardization (ISO) The International Organization for Standardization (ISO), based in Geneva,
Switzerland, is a worldwide federation of national standards bodies (ISO
member bodies). The work of this federation is normally carried out through ISO
Technical Committees. Each member body, interested in a subject for which a
Technical Committee has been established, has the right to be represented on
that committee. International organisations, both governmental and non-
governmental, also take part in such work in liaison with ISO (International,
2004). The background and structure of ISO is discussed in depth in Chapter 2.
1.8.2 ISO 14000 The ISO 14000 environmental series consists of 21 standards developed by
various sub-committees within the ISO. These standards are intended to
provide a framework for international recognition and to assist organisations in
managing environmental requirements. These environmental standards are
divided into six categories (International, 2009a, 2009b), namely:
• Environmental Management Systems (EMS);
• Environmental Auditing and Related Environmental Investigations (EA);
• Environmental Labelling (EL);
• Environmental Performance Evaluation (EPE);
• Life Cycle Assessment (LCA); and
• Terms and Definitions (T&D).
11
The standards do not prescribe environmental performance targets, but rather
provide organisations with the tools to assess and control the environmental
impact of organisational activities, products or services (International, 2009b).
ISO 14001 is a blueprint for an organisation’s EMS and is the only specification
standard in the ISO 14000 Series (Krut & Gleckman, 1998).
1.8.3 ISO 14001 ISO 14001 was officially published in September 1998. It is one of many
environmental standards within the International Environmental Management
standard family and serves as the cornerstone of the ISO 14000 Series which
specifies the requirements for a comprehensive EMS. A key objective is to
reduce pollution at source, rather than to treat or recycle pollution which, in
many respects, may be considered corrective actions or so-called “end of pipe”
solutions (Whitelaw, 2004:136).
The ISO 14001 standard, discussed in depth in Chapter 2, has five major
sections, in comparison to the 20 clauses in the ISO 9001 standard. The five
sections in the environmental standard are the:
• environmental policy;
• planning;
• implementation and operation;
• checking and corrective action; and
• management review (Pun & Hui, 2001).
1.8.4 ISO 9001
This standard is one of many within the quality management system family. It
specifies the minimum requirements for a quality management system (QMS)
and organisations are required to demonstrate the ability to consistently provide
a product that meets both customer, as well as applicable regulatory
requirements. The objective of ISO 9001 is to prevent out-of-specification
product or service at source, as opposed to using inspection or corrective action
to prevent such non-conforming products from reaching the customer
(Whitelaw, 2004:136).
12
1.8.5 ISO/TS 16949
ISO/TS 16949:2002 is an ISO Technical Specification, based on ISO 9001. It
defines the QMS requirements for the design and development, production and,
when relevant, installation and service of automotive-related products. It aligns
and supersedes existing American (QS-9000), German (VDA6.1), French
(EAQF) and Italian (AVSQ) automotive quality systems standards within the
global automotive industry, thereby eliminating the need for multiple
certifications to satisfy customer requirements (BSI, 2009).
ISO/TS 16949:2002 is relevant to all types of automotive supply organisations,
from small manufacturers to multi-site multinational organisations located
anywhere in the world; however, it is only applicable to sites where production
or service parts are manufactured. The aim of ISO/TS 16949:2002 is the
development of a QMS that provides for continual improvement, emphasis of
defect prevention and the reduction of variation and waste in the supply chain.
ISO/TS 16949:2002 was developed by the International Automotive Task Force
(IATF), in conjunction with the International Organization for Standardization
(BSI, 2009). The IATF consists of an international group of automobile
manufacturers, namely the BMW Group, DaimlerChrysler, Fiat, Ford Motor
Company, General Motors Corporation, PSA Peugeot-Citroen, Renault and
Volkswagen, in addition to national trade associations, such as AIAG (America),
VDA (Germany), SMMT (UK), ANFIA (Italy) and FIEV (France). Japanese
automobile manufacturers’ associations, JAMA, were also involved in the
development of ISO/TS 16949:2002, thereby providing Japanese automobile
manufacturers the opportunity to join IATF in the future (International, 2009b).
1.8.6 Environmental aspects and impacts
Environmental aspects are those elements, such as spills, chemical release, air
emissions or water usage, of an organisation’s activities, products or services
which can interact with the environment (Sturm, 2009: 80).
ISO 14001 requires the organisation to identify the environmental aspects (refer
Figure 1.1) of its activities, products, or services to identify those which could
have significant impacts. It neither prescribes what aspects should be
significant, nor how to determine significance. It is, however, expected that a
13
consistent and verifiable process is used to determine significance (Sturm,
2009:80).
Impacts are defined as any change to the environment, positive or negative,
wholly or partially resulting from an organisation’s activities, products or
services, such as storm water contamination, air pollution or recycling (Sturm,
2009:80).
Figure 1.1: Environmental aspects
Source: Lear, 2009
1.8.7 Environmental management system (EMS)
The EMS is the only part of the overall management system that includes the
• organisational structure;
• planning activities;
• responsibilities;
• practices;
• procedures;
• processes; and
• resources
required for developing, implementing, achieving, reviewing and maintaining the
environmental policy (International, 2004).
14
1.8.8 Original equipment manufacturers
The term Original Equipment Manufacturer (OEM) in the automotive industry
refers to manufacturers of automobiles which provide the original product design
and materials for automobile manufacture and assembly, as opposed to
manufacturers of sub-components. (Nation, n.d.). Automotive organisations in
South Africa, such as BMW, Ford, Nissan, VW Group, Mercedes Benz, General
Motors and Toyota, are known as OEMs.
1.9 RESEARCH LAYOUT
The research includes the following chapters:
Chapter 1: This background chapter provides an introductory overview of
the research, problem statement, assumptions, delimitations of
the research, key concepts, as well as the structure of the study.
Chapter 2: A literature study introduces the importance of the automotive
industry, the background of the standard, the environmental
concepts and models, reasons for the implementation of such a
standard, as well as the benefits and core elements of
implementation.
Chapter 3: Current and future theoretical framework regarding key
implementation phases, gaining registration, adding value
through integration and customer-specific requirements are
addressed in this chapter.
Chapter 4: This chapter provides information on the research methodology
followed.
Chapter 5: The results of the empirical study are discussed and interpreted
in this chapter.
Chapter 6: The conclusion is resented in this chapter, as well as
recommendations for further research.
15
1.10 CONCLUSION
This chapter indicated that concerns for the environment are growing daily.
Damage to the environment is caused by ever-increasing demands that, in turn,
consume the world’s natural resources through pollution of land, water and air
caused by activities and the wastes create to satisfy such demands.
It has also become apparent that global climate change can be associated with
a variety of health effects, from those relating to heat and floods, as well as an
increased distribution of infectious diseases.
Mankind has become its own worst enemy by creating and engineering tools to
make life easier, in addition to extending life expectancy; however, in doing so
the life expectancy of all living creatures on the planet are destroyed, depleted
and deteriorated. Balance is required in everything and the onus is on mankind
to ensure that future generations will benefit and learn from previous mistakes.
This paper is primarily aimed at small and medium organisations, but may also
serve as a guide for larger organisations that have decided to create a simple,
yet effective, EMS.
The literature study in the next chapter provides the background history of the
environmental standard, reasons why implementation of this standard is of the
utmost important to future generations, as well as the benefits associated with
the successful implementation thereof.
16
CHAPTER 2
THE BACKGROUND AND CONCEPTS OF ISO STANDARDS
2.1 INTRODUCTION In the previous chapter, the researcher discussed the importance of three
issues, namely: being environmentally friendly; for society to understand the
implications of not getting it right; as well as the actions that must be taken
regarding individuals and organisations that do not conform to environmental
principles.
It is assumed (refer Chapter 1) that the management of an organisation wanting
to implement ISO 14001 has a basic idea and understanding of a quality
management system, such as ISO 9001. In this context, this chapter provides a
discussion on the ISO organisation, importance of the automotive industry,
background and various standards of ISO Series 14000 and 14001, EMS
concepts and models, reasons why organisations should implement an EMS, as
well as internal and external effects thereof on the organisation. The role of
senior management as an environmental driver, their commitment toward
implementation, in addition to making resources, such as training and
personnel, available, is further discussed.
According to Forbes (1999), President of Forbes Environmental Engineering,
many organisations are subject to environmental regulations without realising it.
Forbes further asserts that any business, big or small, commercial or industrial,
which emits vapours or dust into the air, discharges process waste water into a
sewer or on the ground, or generates a solid waste for disposal, is subject to
environmental regulations.
2.2 GLOBAL AUTOMOTIVE SECTOR
Mobility is one of the fundamental needs of humans in a modern society. Motor
automobiles are synonymous with prestige and wealth; however, together with
industries and electric and thermal plants, automobiles have negative
repercussions on our daily lives. It is also a principal source of pollution
emissions. The automotive industry significantly contributes to global
17
environmental degradation and, in particular, to the increase of greenhouse gas
emissions (Orecchini & Sabatini, 2003).
According to the International Organisation of Motor Vehicles Manufacturers
(OICA, 2009), the world’s automobile industry manufactured in excess of 66
million cars, vans, trucks and buses in 2005. This level of output is equivalent to
a global turnover of €1.9 trillion and, if automobile manufacturing were a
country, it would be the sixth largest economy in the world (OICA, 2009).
Building 66 million automobiles requires more than eight million people to be
directly employed in making the automobiles and the parts that go into them.
This represents more than 5 per cent of the world’s total manufacturing
employment (OICA, 2009).
The automotive industry may further be viewed as a major innovator, investing
over €84 billion in research, development and production. The industry plays a
key role in the technology level of other industries and of society. The
manufacture and use of motor vehicles further represent a significant
contribution to government revenues around the world, contributing well over
€400 billion (OICA, 2009).
2.3 SOUTH AFRICAN AUTOMOTIVE SECTOR Automobile production is the second-biggest industry in South Africa’s
manufacturing sector, with automobiles now accounting for nearly 7 per cent
and 7.5 per cent of the country’s exports and gross domestic product (GDP),
respectively, as well as providing employment to approximately 36 000 people.
The automotive industry intends to increase automobile production to 1.2 million
units by 2020, while significantly increasing local content at the same time. This
has resulted in the South African government identifying it as a key growth
sector (SA, n.d.).
All the major automobile manufacturers are represented in South Africa, in
addition to eight of the world's top 10 auto component manufacturers and three
of the four largest tyre manufacturers. Many of the major multinational
18
organisations use South Africa to source components and assemble
automobiles for both the local and overseas markets (SA, n.d.).
The automobile assembly industry in South Africa (SA) is concentrated in three
of the country’s nine provinces:
• Gauteng is home to BMW, Nissan (incorporating assembly for Renault),
as well as Ford Motor Company of South Africa;
• Kwazulu Natal is home to Toyota SA; and
• Eastern Cape is home to Volkswagen Group SA, Mercedes Benz SA and
General Motors.
All the afore-mentioned domestic automobile assemblers have implemented
recognised quality and environmental standards (refer Table 2.1).
Table 2.1: Domestic automobile assemblers’ EMS and QMS standards
Domestic automobile assemblers Quality and environmental standards
BMW SA (Pty) Ltd ISO 9001, ISO 14001 and BS 8800
General Motors (Pty) Ltd ISO 9001, ISO 9002 and ISO 14001
DaimlerChrysler SA (Pty) Ltd ISO 9001, TS 16949 and ISO 14001
Nissan / Renault SA (Pty) Ltd Conforms to ISO 9002, ISO 14001
Ford Motor Company of Southern Africa (Pty) Ltd Conforms to ISO 9002 , ISO 14001
Toyota SA Ltd Conforms to ISO 9002 , ISO 14001
Volkswagen Group of SA (Pty) Ltd ISO 9001, ISO 14001 and VDA 6.1
Source: Department, n.d.
According to OICA statistics (refer Figures 2.1 and 2.2), the South African
automotive industry directly employed 112 300 people and produced
approximately 534 490 automobiles, in addition to providing indirect
employment to a significant number of people in other industries, in 2007. South
Africa is not well-placed internationally; the country is situated 23rd in terms of
global automobile production (0.73 per cent) and 18th in terms of employment
(1.34 per cent) (OICA, 2009).
19
Figure 2.1: Global automobile production data
Figure 2.2: Global employment data in the automotive industry
2007 Employment
0
200,000
400,000
600,000
800,000
1,000,000
1,200,000
1,400,000
1,600,000
1,800,000
China
USA
German
y
Russia
Japa
nSp
ain
Fran
ceBr
azil
India
Kore
a
Turke
y UKIta
ly
Thail
and
Canad
a
Swed
en
Mexico
Sout
h Afric
a
Czech
Rep
Polan
d
Employment
19.18%
1.34%
2007 Gobal Vehicle Production Data
01,000,0002,000,0003,000,0004,000,0005,000,0006,000,0007,000,0008,000,0009,000,000
10,000,00011,000,00012,000,000
Japa
nUSA
China
German
y
Sout
h Kor
ea
Fran
ceBr
azil
Spain
Canad
aInd
ia
Mexico UK
Russia
Thail
and
Italy
Turke
yIra
n
Czech
Rep
Belgi
um
Polan
d
Slov
akia
Arge
ntina
Sout
h Afric
a
Malays
ia
Indon
esia
CarsCommercial Vehicles Total
15.77%
0.73%
Source: OICA, 2009
Source: OICA, 2009
20
2.3.1 Exports markets for the South African automotive sector
South Africa is well-placed to export its products worldwide due to an excellent
infrastructure, as well as low energy and input costs. Logistics costs,
competitive in relation to that of other emerging markets, in addition to socio-
political stability and an abundance of natural resources are major factors
working in South Africa's favour (General, 2009b). All of the large manufacturers
in the country have launched major export programmes in recent years, the
latest being Ford Motor Company of South Africa. Completed, built-up
automobiles were exported to over 70 countries in 2008, including Japan
(around 29 per cent of the value of total exports), Australia (20 per cent), the
United Kingdom (12 per cent) and the United States of America (11 per cent).
African export destinations included Algeria, Zimbabwe and Nigeria (SA, n.d.).
Automobile export is emerging as a profitable business in developing markets.
Developing economies have embarked on the global market with automobiles of
improved quality and performance. Countries, such as Mexico and South Africa,
have become preferred manufacturing hubs for export automobiles. The
similarity in freight costs from Asia to South Africa and from Asia to Europe
implies that South African exports can compete with European exports in the
Asian region and West European countries, the United States of America and
Japan have become the main trading partners to South Africa (Masterseek,
n.d.).
The Eastern Cape, in particular Port Elizabeth and East London, is fast
becoming one of the southern hemisphere’s prime export zones. Home to
GMSA, Volkswagen and Mercedes Benz, it is seen as the strategic gateway for
the rest of the world into Africa's relatively untapped business potential. It is
already home to some of the country's major motor and automotive component
manufacturers, most of which are involved in export-driven manufacturing
programmes (SA, n.d.).
21
Table 2.2: Automobile export data
Category 1995 2004 2005 2006 2007
Cars 8 976 100 699 113 899 119 171 101 072
Light commercials 6 356 9 360 25 589 60 149 64 127
Medium, heavy commercial and buses 432 448 424 539 650
Total 15 764 110 507 139 912 179 859 156 849
Mercedes-Benz SA manufactures Mercedes-Benz C-Class cars in right-hand
drive for the local market and in left-hand drive execution for export to the
United States of America (Mercedes, n.d.). General Motors, South Africa
(GMSA), is an exporter of fully-assembled automobiles to right-hand drive
countries in sub-Saharan Africa, including Zimbabwe, Zambia, Mozambique,
Malawi, Kenya and Mauritius. Other export markets include Australia, Brazil,
Mexico, Germany, France, the United Kingdom and the United States of
America (General, 2009b).
Another automotive manufacturer, BMW SA, had produced 560 000 3-series
models to date, with 385 000 of these automobiles exported to countries such
as Japan, the United States of America, Australia and Canada. BMW SA will be
responsible for 25 per cent of global 3-series production in 2009 and, of the
47 000 units produced, almost 75 per cent will be exported (Venter, 2009a).
2.3.2 Registrars for automotive sector in South Africa
Ford, BMW, Nissan, Toyota, Mercedes Benz, Volkswagen and General Motors
all support EMS ISO 14001. Nissan is one of the first South African automobile
manufacturers to achieve the internationally recognised ISO 9001, as well as
subsequent 14001 certifications, in all its plants from the South African Bureau
of Standards (SABS) (New, 2008).
DQS, the German association for certification, has certified Ford Motor
Company an ISO 14001 environmentally friendly organisation where the
recycling of resources is a prime area of focus. Water consumed by the
Source: NAACAM, 2008
22
manufacturing plant, for instance, is recycled and reused, while the percentage
of recyclable components in Ford-built automobiles is both high and
continuously improving (Ford, 2009).
General Motors South Africa was awarded ISO 14001 certification by TUV
Rheinland, Germany, in 2003. Volkswagen, BMW and Mercedes Benz, which
are affiliated to the German Automotive Industry, have ISO 14001 certification
through TÜV, affiliated to Germany (General, 2009a).
2.4 ISO BACKGROUND AND STRUCTURE The term ISO is derived from the Greek isos, meaning equal. It is a non-
governmental organisation and the world’s leading developer of international
standards. ISO is a global network that identifies what international standards
are required by business, governments and society; develops them in
partnership with the sectors that will put them to use; adopts them by means of
transparent procedures, based on national input; and delivers them for
worldwide implementation (International, 2009b).
Delegates from 25 countries met in London in 1946 with the intention to create a
new international organisation, one of which the objective would be "to facilitate
the international coordination and unification of industrial standards"
(International, 2009b). The new organisation, namely International Organization
for Standardization (ISO), officially commenced operations on the 23rd February
1947 (International, 2009b).
The central secretariat of the ISO is based in Geneva, Switzerland. Whilst the
organisation is represented by 162 countries (refer Figure 2.3) from all regions
of the world, only one body from each country is accepted for membership and
that body serves as the principal standards organisation in its country.
Members, including the SABS, have full voting rights, may propose new
standards and are supported by experts in their respected fields. A primary
reason for the existence of this organisation is that it levels the playing fields by
providing standards, on an equal basis, for markets everywhere. All ISO
standards are revised on a 5-year cycle to ensure that they remain current and
useful for users (International, 2009b).
23
The ISO 14000 and ISO 9000 standards are amongst the ISO’s most widely
known standards and has become an international reference for quality and
environmental requirements worldwide.
Figure 2.3: ISO structure
2.4.1 ISO 14000 history Often, when people talk about ISO 14000, they are actually referring to one
standard in the series: ISO 14001 EMS - Specification with guidance for use.
The ISO standard development committee, TC 207, started to develop the ISO
14000 Series, including ISO 14001, in 1994. ISO 14001 was published in
September 1996 and provides a reference model for implementing
environmental systems in organisations. Such systems can be defined as part
of the global management of an organisation, encompassing the organisational
Source: International, 2009b
GENERAL ASSEMBLY
• Principal officers• Delegates of: - Member bodies - Correspondent members - Subscriber members
Policy development committee:
• CASCO• COPOLCO• DEVCO
Council standing committee:
• Finance• Strategy
COUNCIL
Ad hoc advisory groups
CENTRAL SECRETARIAT
Strategic and technical advisory groups and REMCO
Technical commitees
162 Member Countries(Including South Africa(SABS), USA(ANSI), Germany(DIN), Japan(JISC), China(SAC)
208 Technical CommiteesSuch as TC 207 (Environmental Management)TC 176 (Quality Management)
TECHNICAL MANAGEMENT BOARD
24
structure, planning activities, responsibilities, practices, procedures, processes
and resources required to elaborate, apply, review and maintain the
environmental policy of the organisation. It addresses critical environmental
management issues within the organisation toward both minimising harmful
effects on the environment caused by its activities, as well as to achieve
continual improvement in its environmental practices (International, 2009b).
The ISO 14000 Series is considered the ”most important reference for eco-
management of any type of organisation” (Orecchini, Sabatini & Cedola, 2001).
It addresses various aspects of environmental management by providing
various standards, including:
• ISO 14001 - EMS Specification with guidance for use;
• ISO 14004 - EMS General guidelines on principles, systems and support
techniques;
• ISO 14010 - General principals of environmental auditing;
• ISO 14011 - Audit procedures; and
• ISO 14012 - Qualification criteria for environmental auditors (Orecchini,
Sabatini & Cedola, 2001).
ISO 9001 (quality) and ISO 14001 (environmental) are considered generic
management systems as the same standard can be applied to any organisation,
large or small. ISO 9001 is concerned with quality management and its main
objective is to meet, as well as exceed customer satisfaction. The ISO 14001
standard, which is described in detail in the next section, concerns itself almost
exclusively with environmental management issues. Its main objective is to
control and minimise any harmful effects organisational activities may have on
the environment, whilst continually improving its environmental performance
(International, 2009b).
2.5 SOUTH AFRICAN BUREAU OF STANDARDS’ LINK TO ISO
The SABS is an autonomous body, established through an act of Parliament.
Legislation governing the SABS has been promulgated several times to cater for
changing circumstances and to amend the scope of its activities (International,
2009b).
25
The SABS participates in various committees and sub-committees as a member
body of the International Organization for Standardization (ISO), including the:
• Policy Development Committee, consisting of the Committee of
Conformity Assessment (CASCO), Committee on Consumer Policy
(COPOLCO) and Committee on Developing Countries Matters (DEVCO);
and
• Technical Committees (TC), such as TC 207, Environmental
Management, to ensure that it remains abreast of the latest
developments in: accreditation standards and guidelines thereto;
certification auditing requirements;
auditing best practices; and
good laboratory practices.
The SABS is committed to providing standardisation services that improve the
competitiveness of South Africa through the understanding and development of
standardised products and services within South Africa, as well as
internationally (South, 2009a).
2.5.1 ISO 14001 EMS The ISO 14001 standard provides an organisation with the elements of an
effective EMS that may be integrated with other quality requirements, such as
ISO 9001. This standard has been developed in such a way that it can be
applied to all types and sizes of organisations, within any cultural or socio-
economic setting (South, 2009b).
ISO 14001 is applicable to any organisation that wishes to establish, implement
and maintain an EMS. It places the emphasis on prevention and continuous
improvement, while aiming to balance environmental protection and prevention
of pollution with socio-economic needs. It provides both a mechanism for self-
regulation, as well as the ability to demonstrate conformity to the standard by:
• making a self-determination and self-declaration;
26
• seeking confirmation of its conformance by parties, such as customers,
having an interest in the organisation;
• seeking confirmation of its self-declaration by a party external to the
organisation; or
• seeking certification and/or registration of its EMS by an external
organisation (Thornton, 1997).
The standard further enables organisations to formulate policies and objectives
within a structured framework while taking into account legislative requirements,
plant-specific environmental concerns and public issues (Thornton, 1997). The
ISO 14001 standard is based on the five key management principals from the
Plan-Do-Check-Act Cycle introduced by Shewart and Deming, world-renounced
quality theorists, and are discussed in depth later in this chapter.
An international survey in 2007 on the number of ISO 14001-registered
organisations per country confirmed that most ISO 14001-registered
organisations were found in Japan (16.88 per cent) and China (14.71 per cent).
South Africa (0.31 per cent), the leading country in Africa, was placed in 36th
position amongst the 406 registered organisations (ISO, 2007).
The number of ISO 14001-registered organisations in countries not illustrated in
Figure 2.4 is as follows: Hong Kong, 486; Norway, 475; Israel and Mexico, 422
each; Turkey, 415; South Africa, 406; and Indonesia, 381 (ISO, 2007).
27
Figure 2.4: Number of countries with ISO 14001certification
Source: ISO, 2007
2.6 EMS CONCEPTS AND MODELS FOR ISO 14001 The following section provides an in-depth discussion on the EMS, as well as
the concepts associated thereto.
2.6.1 Environmental management system model This EMS model refers to five key management principles, as indicated in
Figure 2.5, in the context of continual improvement. The framework of ISO
14001 provides organisations some guidance for implementation and
sustainability.
21,779
18,979
11,2059,825
8,081
5,8935,800 5,400
4,8653,629
2,579 2,5101,964
1,7041,597
1,5001,454
1,3691,315
1,140
0
2,500
5,000
7,500
10,000
12,500
15,000
17,500
20,000
22,500
Japa
n
Chi
na
Spa
in
Italy
US
A
Kor
ea
Ger
man
y
UK
Sw
eden
Fra
nce
Can
ada
Bra
zil
Aus
tral
ia
Sw
itzer
land
Tai
wan
Indi
a
Rom
ania
Tha
iland
Cze
ch R
ep
Hun
gary
Worldwide No of ISO 14001 Certification
ISO 14001 Total 129,031
Dec 2006/ Jan 2007
28
Figure 2.5: EMS model
Source: International, 2009a
Much like its counterpart ISO/TS 16949:2007 (QMS), ISO 14001:2004 includes
five key elements within this framework, thereby forming the basic structure of
the system (International, 2009a)
a. Environmental policy
This policy should include the organisation’s commitment to continuous
improvement, pollution prevention and regulatory compliance. The policy should
also provide a framework for establishing environmental objectives and targets
(Erickson & King, 1999: 237).
b. Planning
This is the stage where the organisation develops procedures that allow it to
identify those environmental aspects and legal requirements relating to its
activities. Objectives and targets, consistent with the organisation’s
environmental policy, are further established during this stage and programmes
for meeting such targets and objectives are created and documented (Erickson
& King, 1999: 237).
29
c. Implementation and operation
Erickson and King (1999: 238) assert that the organisation should devote
adequate resources to the implementation and operation of the EMS. The
organisation should further develop documents and clearly communicate
environmental management responsibilities, identify training needs and provide
employees with appropriate training. Furthermore, internal and external
communication regarding the EMS is an important requirement of ISO 14001.
Organisations are expected to document procedures and to provide adequate
document control. Procedures ensuring adequate emergency preparedness and
response planning is another essential EMS requirement (Erickson & King,
1999: 238).
d. Checking and corrective actions
Erickson and King (1999: 238) emphasises that procedures for checking, as
well as potential corrective actions, must be developed by the organisation to
ensure regular monitoring and measurement of any key process characteristics
that may exert a significant impact on the environment.
Compliance to applicable environmental requirements must be evaluated and
corrective actions should be raised against any instances of non-compliance.
The organisation must also establish a system for managing environmental
records and conducting periodic audits of its EMS (Erickson & King, 1999: 238).
e. Management Review
Senior management of the organisation must periodically review the overall
EMS to ensure its continued suitability, adequacy and effectiveness in light of
any changing circumstances. The review should include assessing opportunities
for improvement, as well as the need for changes to the QMS, including
changes to either the quality policy or quality objectives. Such reviews should be
conducted annually, at a minimum, although they may be performed more
frequently. Minutes must be kept of each review (Erickson & King, 1999,
International, 2009a).
30
2.6.2 EMS concept (PDCA Cycle)
An effective EMS should be found on Total Quality Management (TQM). Most
EMS models, including ISO 14001, is based on the Deming-Shewart Plan-Do-
Check-Act Cycle and is designed to improve environmental performance
beyond regulatory compliance. An EMS creates a more level playing field in
environmental control in the world market, thereby providing both a competitive
advantage to organisations and giving credibility to environmental programmes
(PDCA, n.d.).
Shewhart, a pioneering statistician, developed statistical process control in the
Bell Laboratories in the United States during the 1930s and was the developer
of the concept of the PDCA Cycle. The PDCA Cycle (refer Figure 2.6), is often
referred to as the Shewhart Cycle. Deming, an authority on quality
management, promoted this concept from the 1950s and it subsequently
became known as the Deming Wheel (PDCA, n.d.).
Deming, as early as the 1950s, proposed that business processes should be
analysed and measured to identify sources of variations that cause products to
deviate from customer requirements. He recommended that business processes
be placed in a continuous feedback loop, thereby allowing managers to identify
and change those parts of the process that require improvements. Deming
created a diagram, commonly known as the PDCA Cycle, to illustrate this
continuous process (Arveson, 1998).
The PDCA Cycle provides a simple process for support of continuous
improvement by means of a repetitive logistical sequence with no end. The
cycle is continuous because an EMS is a process of continual improvement and
one in which an organisation is constantly reviewing and revising the system
(Arveson, 1998). The PDCA Cycle is a valuable process that can be applied to
practically anything. All EMS standards have basic components, as summarised
in Table 2.3.
31
Table 2.3: PDCA approach
EMS COMPONENT Plan-Do-Check-Act Cycle
Management commitment Environmental policy Aspects, impacts, goals and objectives - Plan Implementation and operation - Do Measure - Check Checking and corrective action - Act Management review Continual improvement
Source: Researcher’s own construction
Figure 2.6: PDCA cycle
Source: Bulsuk, 2009
a. Plan: What is to be done? This stage allows the organisation to identify opportunities for improvement,
thereby allowing revision of current activities toward continuous improvement.
Tools used during this stage include flowcharts and brainstorming (PDCA, n.d.).
Flowcharts provide an illustration of the logical relationship between operational
sequences, movements, activities and inspections. It promotes better
understanding of processes - a pre-requisite for improvement (Flowcharts, n.d.).
32
Brainstorming comprises a process for developing creative solutions to
problems and is used to generate a large number of ideas quickly. This is
achieved by focusing on the problem, deliberately generating as many solutions
or ideas as possible and exploring such solutions as far as possible (Oakland,
1996:2002).
b. Do: Implement the plan
This phase of the cycle comprises identification of responsibilities, development
and implementation of procedures and processes and measurement of
performance. Changes are implemented on a small scale to allow for on-the-job
training and experience (PDCA, n.d.).
On-the-job training occurs in the work place and allows the employee to learn
while doing the job and while being remunerated. It is also referred to as hands-
on training. On-the-job training is one of the best training methods as it is
planned, organised and conducted at the employee's worksite (Cyprus, 2009).
c. Check: Has the objectives of the plan been met?
Control charts and graphical analysis allows for the assessment of
measurement, reporting of results, as well as review of the efficacy of remedial
actions, during this phase. Control charts are used to access and monitor the
manufacturing ability. It provides a graphic display and is a popular statistical
tool for monitoring and improving quality (Besterfield, 1998:30).
d. Act: Are any changes required?
The organisation decides on the probability of achieving benefits from changes
during this phase. This requires identifying specific adjustments, comparing
similar processes, implementing selected changes and documenting any
associated learnings. This, in turn, is used to plan new improvements, thereby
repeating the cycle. Tools employed during this phase include standardisation
of processes and process mapping (PDCA, n.d.).
Standardisation of processes requires creating uniform work and/or business
processes, across various divisions or locations. This improves performance
and allows management more control over operational performance. Well-
33
defined practices facilitate organisational processes in achieving cost and
performance objectives, thus reducing the risk of failure (Goetsch & Davis,
1997:463). Process mapping comprises the identification, documentation,
analysis and development of an improved process. It is primarily used to
facilitate understanding of the business and to improve the performance of the
organisation’s processes. A process map is a visual aid for picturing work
processes which shows how inputs and tasks are linked (Stangenberg, 2003).
2.7 TOTAL QUALITY MANAGEMENT
Total Quality Management (TQM) requirements may be defined separately and
applied to any type of organisation. It is an approach to the art of management
that originated in the Japanese manufacturing industry in the 1950s and which
has become steadily more popular in the West since the early 1980s (Stark,
1998). TQM promotes adherence to established standards, such as ISO 9000,
and serves to effect changes in the culture of the organisation, as well as a
fundamental reappraisal of business practices. It can be quite revolutionary in
its outcome and has been adapted for use in almost every type of organisation,
including schools, hotels and churches (TQM, 2009a).
TQM comprises a set of management practices, implemented throughout the
organisation, which is geared to ensure the organisation consistently meets or
exceeds customer requirements. TQM emphasises process measurement and
controls as a means of continuous improvement (Stark, 1998).
Important aspects of TQM include customer-driven quality and customer first
orientation, driven and led by senior management's leadership and commitment,
continuous improvement, fast response, actions based on facts and employee
participation (TQM, 2009b).
2.8 ECO-MANAGEMENT AND AUDIT SCHEME Similar to ISO 14001, the Eco-Management and Audit Scheme (Eco, n.d.) is
another form of EMS. It is mostly an European Union management tool for
organisations to evaluate, report on and improve their environmental
performances. The scheme has been in operation since 1995 and was originally
restricted to organisations in the industrial sector (Directorate, n.d.).
34
EMAS requirements and benefits are similar to those of ISO 14001. It is
voluntary and extends to public and private organisations operating in the
European Union and the European Economic Area. It was developed to
promote industries’ continuous environmental performance, such as reducing
pollution, saving energy or recycling wastes (Eco, n.d.)
ISO 14001 certification is accepted internationally. South African organisations
that trade with European organisations will probably have to adhere to EMAS
requirements in the future to compete with European businesses (Eco, n.d.).
According to an international survey in 2007 on EMAS-registered organisations
in Europe, Germany emerged as the country with the highest number (36.72 per
cent) of EMAS-registered organisations in the European Union, followed by
Spain, Italy and the United Kingdom (15.64 per cent, respectively) (ISO, 2007).
Figure 2.7: Number of EMAS certifications per country
Source: ISO, 2007
1,979
843 761
451364 334
278
85 59 54 50
0
1,000
2,000
Ger
man
y
Spa
in
Italy
Aus
tria UK
Bel
gium
Dem
mar
k
Sw
eden
Por
tuga
l
Gre
ece
Fin
land
Worldwide No of EMAS Certification
EMAS Total 5389
Dec 2006/ Jan 2007
35
2.9 REASONS FOR IMPLEMENTING ISO 14001
The ISO 14001 certification has become increasingly popular. This is partly due
to its recognition by influential organisations in some industries. This is the case
in the automotive industry, where car assemblers have begun to require that
their suppliers should be ISO 14001 certified (Erickson & King, 1999: 238).
The major advantage of ISO 14001 is that it provides a widely accepted method
of designing and implementing an EMS. Most importantly, strong market forces
are pushing organisations to ISO 14001 certification. This is evidenced by a
number of organisations having already obtained ISO 14001 certification and
requiring their suppliers to obtain the same certification (Erickson & King, 1999:
238).
The decision to move towards obtaining ISO 14001 certification must make
good business sense to the organisation. Certainly, there are numerous benefits
that will be realised by an organisation meeting the requirements, regardless of
whether or not it obtains certification from an accredited third-party registrar. In
the international market place, however, it makes good business sense to be
certified. Organisations that export, especially to Europe, will find it quite difficult
to sell their products if they do not have evidence of an approved EMS
(Blackmores, 2008).
Prior to taking the decision to pursue ISO 14001 certification, senior
management in the organisation should ask the following questions:
• where does the organisation want to be;
• is there pressure from current or potential customers to be certified;
• is the organisation planning to export its products;
• is certification viewed as demanding or wasting of time;
• does the view exist that ISO 14001 will go away and that it is just the
flavour of the month;
• does the organisation have any need to comply with, or be certified to
ISO 14001;
• will it improve organisational image and competitive advantage; and
• will it foster cost savings through improved use of resources and utilities?
36
It should not be assumed that certification is an option. Increasingly, local and
international customers are imposing strict pre-requisites for doing business,
such as quality (ISO 9001, ISO/TS 16949) and environmental (ISO 14001)
management systems.
2.10 ENVIRONMENTAL MOTIVATIONS AND CERTIFICATION ISO 14001 certification can be applied throughout the organisation, at site level,
or to a part of the organisation’s operations. The exact scope of ISO 14001 is at
the discretion of the organisation and may have a manufacturing facility, storage
facility and a retail outlet, each under separate management (Krut & Gleckman,
1998).
Boiral and Sala (1998) conducted a study at one of the world’s leading primary
aluminium producers and found substantial disagreement as to the appropriate
attitude about the new environmental management standards. Boiral and Sala
(1998) further found that managers of certain units believed that ISO 14001
closely correspond to organisational needs, while managers of other units did
not believe that implementation of ISO 14001 would enhance environmental
performance. From those in favour of ISO 14001, three broad reasons arose:
• The intrinsic worth of the management system proposed by the standard,
the rigorous nature of the standard, follow up, effectiveness and that it is
a highly systematic process.
• Better control of human behaviour, thereby eliciting greater compliance
with work procedures and instructions.
• Socio-economic benefits, such as an active approach to customers’
future requirements, generated by implementation of the standard (Boiral
& Sala, 1998).
The first reason was due to the organisation having to adopt policies, plan
objectives, measure systems and take corrective actions in ensuring minimum
follow-up activities that could result in a potential environmental impact.
Performing regular audits, based on checklists, would further ensure all
37
elements covered by the standard are systematically taken into account (Boiral
& Sala, 1998).
The second reason cited by the managers for implementing the standard is that
of the control of improvement of both human behaviour and work methods with
potential environmental impact. This would result in an improved general
awareness of reducing and controlling pollution, not only at the work place, but
also away from the work place (Boiral & Sala, 1998).
The final advantage mentioned by managers lies in the socio-economic benefits
that may be realised from ISO 14001 certification. Increasingly, customers add
ISO 14001 certification to their contract clauses, thereby imposing the ISO 9000
and ISO 14000 series of standards as a pre-requisite for entry to certain
markets. In addition, customers are not the only ones concerned with ISO
14001; governments, banks and insurance companies are increasingly
interested in the standard and its use in assessing the environmental risks of
industrial operations. One of the prime objectives of ISO 14001 is to set
procedures for identifying, complying with, and anticipating regulations and
social pressures. Managers cite market pressure as the most influential factor
affecting environmental management decisions. They concurred that
environmental management is a “customer-driven thing” (Jiang & Bansal, 2003).
Krut and Gleckman (1998) consider ISO 14001 a ticket of entry into a global
market place.
Hamschmidt and Dyllick (2002) surveyed ISO 14001 certified organisations in
Switzerland on the ecological and economic effectiveness on EMSs, as well as
the expectations from implementing an EMS. The top five reasons for
implementation included:
• to improve public image;
• to achieve ISO 14001 certification;
• systemisation of existing environmental activities;
• risk minimisation; and
• to improve market position (Hamschmidt & Dyllick, 2002).
38
The findings by Hamschmidt and Dyllick (2002) further demonstrated that
organisational EMSs were strongly focused on processes and structures.
Morrow and Rondinelli (2002) expanded on the organisational motivations for
environmental certification and incorporated reasons such as the search for
improved environmental performance, improved compliance to regulations, cost
savings, improved image, competitive advantages or increased efficiency.
According to Boiral (2007), environmental certification served to correct certain
deficiencies, promote a preventive approach and integrate environmental
concerns into daily activities. Additionally, an EMS projects an image of rigour,
objectivity, precision and control that lead to improvements in noise reduction,
recycling programmes and energy and water consumption (Boiral, 2007).
2.11 BUSINESS OPPORTUNITIES AND BENEFITS
The following section examines business opportunities which may arise in new
and current markets due to the implementation of ISO 14001, as well as the
potential to lose business through failure to do so.
2.11.1 External business – new markets A well-established automotive industry is an important contributor to any
economy. ISO 14001 may be used as a marketing tool, thereby allowing the
organisation to obtain new, and expand existing business, in addition to
improving customer satisfaction. ISO 14001 is becoming a pre-requisite in doing
business in European Countries and organisational compliance will:
• increase organisational image and competitive advantage in the global
market;
• allow compliance with a customer who may require registration to ISO
14001;
• improve compliance to applicable environmental laws, regulations and
standards (Blackmores, 2008);
• reduce organisational exposure to environmental liability; and
• reduce the number of audits required by Regulatory Agencies (Rezaee &
Elam, 2000).
ISO 14001 further places the organisation in a proactive, rather than reactive
mode of doing business.
39
2.11.2 Internal business – current markets
Implementing ISO 14001 allows the organisation to anticipate customer
demands, save money and reduce potential environmental non-compliance
issues. Additionally, reducing any potential for accidental release of hazardous
materials and using newer technologies may result in reduced operational costs.
Other benefits include:
• decreased electricity usage; energy and water cost
• increased community goodwill by preventing pollution;
• increased recyclable waste collections which can be offset against
operational costs;
• Improve internal communication and morale;
• tighten production processes in reducing in the risk of incidents; and
• improve overall performance and efficiency (Blackmores, 2008).
It also assists the organisation in improving its bottom line and overall
profitability.
2.11.3 Loss of business
Failure to meet ISO 14001 environmental standards can lead to disruptions in
business, fines, loss of global markets or even prison sentences. Bad publicity
surrounding incidents or accidents can be very damaging to an organisation’s
credibility and, ultimately, adversely affect the long-term success of a business
through the loss of good reputation. Many organisations are now facing
exposure to environmental costs and obligations under environmental laws and
regulations. Environmental risks are very uncertain and environmental outlays
are significant (Rezaee & Elam, 2000).
2.12 CONCLUSION
Why do organisations pursue ISO 14001 certification? Is it merely to obtain a
certificate to hang on the wall, or is there a real need to improve the business? If
registration is the goal, then that is all the organisation will achieve for its efforts.
A focus on business goals and improvements may yield benefits that are more
significant.
40
Some organisations pursue certification to be considered an industrial
environmental leader or, alternatively, certification may be demanded by
customers as a pre-requisite for business dealings. Organisations may also
pursue ISO 14001 certification because it offers a well-defined path for
developing and implementing an effective and integrated EMS. Finally, there
are those organisations who pursue certification when it is economically justified
and when perceived benefits are seen as outweighing any perceived costs
(Vastag & Melnyk, 2002).
Regardless of the strategy an organisation adopts with respect to ISO 14001,
the standard should be considered a tool, not an end in itself. The ISO 14000
series of standards provide for the integration of improved environmental
management practices into the business. It fosters self-organisation and self-
regulation that represents the groundwork from which continuous improvement
of environmental performance can be sustained. Over the years, ISO 14001 has
generated a great deal of interest among both industries and governments. It is
becoming a condition for doing business in the global marketplace and is used
as a tool to improve public image, motivate individuals, systematically correct
certain deficiencies and above all, to create a more rigorous EMS. ISO 14001 is
intended for any kind of organisation that wants to implement or improve its
EMS, including businesses, hospitals, schools, non-profit organisations,
etcetera. ISO 14001 provides sufficient flexibility to customise the EMS to the
unique needs of the organisation.
Organisations voluntarily seek registration or because it is imposed by
multinational organisations, market pressure or as a pre-requisite for future
business. It further allows the organisation to gain more recognition in the
industry than other organisations. The benefits are significant and far outnumber
the disadvantages. In future, organisations wanting to do business
internationally, especially in Europe, will not be able to do so if they are not
registered to ISO 14001.
Certification may be viewed as a diploma earned after preparatory work and a
final exam, or the certification audit. Environmental management has to be
41
result-driven, with the goal being to improve the natural environment for the
benefits of today’s population and future generations.
The next chapter address the key implementation phases required for gaining
registration; cost implications to the organisation; barriers and pitfalls of
implementation; and the possible integration to an existing quality management
system, taking into account the voice of the customer.
42
CHAPTER 3
KEY IMPLEMENTATION PHASES TO GAIN ISO REGISTRATION
3.1 INTRODUCTION The background and concepts of ISO standards 14000 and 14001 were
discussed in Chapter 2, as well as why there is a need for organisations to
move towards full environmental certification. This chapter provides a
discussion on the key implementation phases that organisations need to
complete to gain ISO 14001 registration.
The period required for implementation of ISO 14001 may be several months or
several years, depending on the size of the organisation. This process may,
however, be accelerated should the organisation already be ISO 9000 or
ISO/TS 16949 certified. Successful implementation, as well as the speed at
which this is accomplished, solely depends on resources allocated and, most
importantly, full commitment from senior management.
A focused Implementation and training programme can result in ISO 14001
being implemented in five to 12 months in a small organisation with
approximately 200 people. This allows the organisation the time to develop and
implement the system, whilst considering whether an application should be
submitted for formal certification. It is recommended that the system, including
the internal audits and management reviews, should be in operation for at least
three months prior to application for certification. Staff who do not fully
understand ISO 14001 or who lack the systems experience required to develop
procedures and plans may result in the organisation having to delay its
application for certification.
The organisation should know what is required prior to embarking on
implementation of an ISO 14001 system. The first course of action is to acquire
a copy of the standard as this will clearly indicate the requirements for
successful implementation. A gap-analysis may used to identify any variance
between existing practices and requirements of the standard. Based on the
results of the gap analysis, cross-functional teams need to be set up to address
each issue. It is also important to invite feedback from all employees, thereby
43
demonstrating that the system is not only applicable to certain organisational
levels.
In medium to small organisations, cost will always be an issue, especially as
environmental compliance is considered an additional cost and one that will
negatively affect the organisation's bottom line; however, such effects can be
minimised. This may be achieved by means of pollution prevention and recycle
programmes that can reduce or eliminate waste generation, thereby resulting in
significant savings and, possibly, exemption from environmental regulations
(Edwards, 2001).
3.2 COST OF IMPLEMENTATION A study by Low and Tan (2005) has found that an integrated management
system may result both in additional costs, as well as a reduction of costs, in
different areas of management. It appears there was a good understanding that
resources were being fully utilised when two management systems were
managed under a single integrated system.
3.2.1 Internal cost
Low and Tan (2005) found that some of the internal costs were not tracked as
these were considered part of the normal job function. The bulk of time and
costs involved creating and preparing documentation, internal staff training, as
well as launching and maintaining the EMS. The time required for implementing
the afore-mentioned ultimately depends on the size of the organisation,
appropriate allocation of resources and commitment from the operational
managers.
The organisation may run the risk of creating a system which is too complicated.
The aim should be to create a system which is as simple as possible, whilst
covering all essential aspects. By doing so, the effort needed to create and
maintain the system is reduced, less paper is used and it is easier for the
workforce to understand what is required to ensure the success of the system
(Edwards, 2001: 2).
44
3.2.2 External costs
Third-party registration is conducted in two stages and this represents an
external cost to the organisation. This cost cannot be avoided; however, the
organisation could avoid paying too much by obtaining quotations from
competitive suppliers (South, n d).
Most accreditation systems require surveillance audits no less than once per
year. In addition, most accreditation systems require a full re-assessment audit
every three years (Jackson, 1997: 247).
Third-party registration can differ from organisation to organisation and the
following key issues need to be considered:
• single or multiple sites;
• size of the sites (large, medium or small);
• number of employees (to determine the number of audit days required);
• location of site(s) (to determine specific legal or local municipality
requirements);
• significant aspects and impacts on the environment; and
• classification of such aspects and associated impacts (high, medium or
low) thereof on air, water and ground (BSI, 2009).
Many organisations have realised cost-savings exceeding the cost of the project
in one year. This was achieved by paying attention to electricity and water
consumption, as well as the costs associated with disposal of unnecessary
waste (Edwards, 2001: 2).
3.3 KEY POINTS OF IMPLEMENTATION Most organisations implementing an EMS already have some type of
management system in place. Ignoring those existing systems will result in
parallel or duplicative systems, thereby creating inefficiencies and placing an
excessive burden on the organisation. There are certain key points which
facilitate successful implementation.
45
3.3.1 Choosing the standard and getting more information
It is vital to obtain information regarding the requirements for implementing the
EMS and, to this end, the specifications for ISO 14001 and ISO 14004 (EMS
guidance standard) may be purchased from national standards body (Jackson,
2001).
3.3.2 Developing an environmental policy
As in ISO 9000, a policy must be developed and senior management is the key
driver in developing this policy. The environmental policy is the primary driving
force of the EMS and, when finalised, it becomes a public declaration of the
organisation's intentions and commitment to improving its environmental
performance. The policy further declares the organisation's commitment to
compliance to legal and regulatory demands, continual improvements and the
prevention of pollution. This policy may be made available to the public and
customers, on request (Baxter, 2004:15).
3.3.3 Review and produce objectives
The first step in implementing an environmental system is to conduct a gap
analysis (refer Annexure 1). A gap analysis allows for a quick, but
comprehensive assessment, provides an overall view of the organisation's
existing management practices and procedures and compares them with
requirements of the standard. Not only will this analysis identify any
shortcomings, but it should also provide an indication of the time-line required
for implementation. It may also be used as a tool to identify priorities for
improvements, determine the resources required and formalise an
implementation plan, thereby resulting in cost-savings to the organisation (refer
Annexure 2) (Martin, 1998).
Secondly, current system documentation should be assessed against the
requirements of the standard, guided by a matrix of questions applicable to ISO
14001. The organisation should determine its priorities for improving existing
systems and developing new systems, based on both the results of the gap
analysis, as well as the projected time-line required for completion and review
(South, 2009a, 2009b).
46
Thirdly, ISO 14001 requires the organisation to identify the environmental
aspects of its activities, products or services to determine those that could have
significant impacts. All elements of the organisation's processes should,
therefore, be assessed for compliance. Such an assessment may identify that
compliance to EMS requires changes to those operational aspects that have
significant impacts on the environment. An aspect matrix may be compiled and
activities may be rated from one (insignificant impact) to 10 (significant impact),
based on the environmental impact associated with each such activity (refer
Annexure 3). All activities ascribed a significant impact requires the
implementation of operational controls and training needs should be considered.
The aspects matrix needs to be reviewed annually (South, 2009a, 2009b).
3.3.4 Consider training
Basic environmental awareness training may be required for all employees,
thereby ensuring an organisation-wide awareness of the environmental policy.
Such training should emphasise that it is not necessary for the EMS to be
perfect from the start and that continuous improvement is part of the objective.
Training may be conducted through routine safety meetings, presentations,
organisation-wide briefing sessions and postings on bulletin boards. It is crucial
that strategies are agreed upon as top-down understanding and involvement
must be entrenched prior to implementation (South, 2009a, 2009b).
3.3.5 Implementation and assessment of a third-party registrar
The system needs to be in place for at least four to 12 months prior to
registration and, if possible, the organisation should seek assistance from other
organisations that have successfully implemented the system. The certification
flow process (refer Annexure 4) should be understood prior to contacting a third
party registrar (South, 2009a, 2009b).
Before applying for registration senior management should decide whether the
organisation needs registration in its entirety, for multiple branches or for a
single location. Additionally, senior management should ensure that the EMS
meets the requirements of ISO 14001 and that complete commitment is
obtained from all sectors and resources of the organisation (Rezaee & Elam,
2000).
47
The organisation should next approach a credible third-party certification body
(registrar). This stage may pose the organisation with challenges in terms of
time and it is important to incorporate sufficient time into the time-line for this
phase of the process. The initial registration to ISO 14001 involves a two-stage
assessment process and the registrar will, therefore, perform a first and second-
stage audit, prior to the organisation attaining registration. The key task of the
registrar is to ensure implementation is proceeding smoothly through the various
key stages, in addition to confirming that areas for improvement are identified
and that the necessary improvements are implemented (South, n.d.).
3.4 ASSESSMENT PROCESS
The EMS initial assessment includes at least two site visits and most
assessments bodies, therefore, divide the audit into two stages, as illustrated in
Figure 3.1.
Figure 3.1: Assessment process
Source: Hilary, 2000
3.4.1 Stage one: Audit of intent The purpose of the audit of intent is to assess document review and to focus on
the following main critical issues:
• review the adequacy of both the process for identifying environmental
aspects and impacts, as well as determining the significance thereof;
• establish identification of compliance with environmental legal
requirements;
• determine the effectiveness and adequacy of internal audits and
corrective action system;
• evaluate the implementation of the environmental policy;
Stage 1 – Audit of Intent
Document Review
Environmental Management
Procedural Audit
Stage 2 – Audit of Implementation effectiveness
48
• evaluate compliance of documentation to ISO 14001 requirements;
• determine environmental awareness; and
• determine whether the EMS has the capacity to achieve regulatory
compliance (South, n.d.).
3.4.2 Stage two: Audit of implementation and effectiveness The stage two audit establishes if the EMS is appropriate and if it meets all the
requirements of ISO 14001. The registrar determines if the system has been
implemented and if is effective at managing environmental performance. Key
issues for review include:
• performance monitoring, measuring, reporting and evaluation against the
pre-defined objectives and targets;
• management review;
• management responsibility; and
• links between the environmental policy, environmental aspects and
impacts, objectives and target, as well as Environmental Management
Programmes (South, n.d.).
3.4.3 Certification and beyond
Once the registrar considers the EMS successfully implemented, the
certification body issues a certificate of registration. This certificate is valid for
three years and clearly explains the scope of the management system. The
registrar will regularly visit the organisation to ensure it remains compliant and to
support the organisation in the continual improvement of its EMS system.
3.5 CHOOSING A REGISTRAR There are many ISO 14001 accredited registrars and choosing a registrar is a
critical decision as the relationship between the registrar and the organisation is
likely to be long-term. It is important, therefore, that this critical decision be
approached with the same due regard as that of selecting any critical, long-term
supplier to the organisation. Registrars often operate quite differently from one
another and it is important to find one that meets the needs of the organisation
in terms of qualifications, philosophy, global acceptance and cost (Jackson,
1997).
49
A three-year contract is entered into when procuring the services of a registrar.
This contract includes registration audits, as well as surveillance audits. The
registration audit is the initial audit conducted to confirm that the organisation
may achieve registration. This is followed by annual or bi-annual audits to
confirm the organisation is maintaining its system and continuing to meet the
requirements of the standard (Jackson, 1997).
Although it’s not impossible to switch registrars after being registered it can
prove costly, especially if this is done within the 3-year contract. It is, therefore,
important to consider all relevant factors before entering into this agreement
(Jackson, 1997). The certificate is valid for three years, subsequent to which the
registrar is required to do another registration audit to renew the organisation's
certification. The organisation may use an existing supplier evaluation system
as a framework for selecting a registrar. This process may commence with a list
of options which is gradually narrowed down, using other organisations and
customers as references to assess how well each registrar would meet the
needs of the organisation. There are currently various accredited ISO 14001
registrars operating in South Africa under license and more are available in
other countries.
The costs associated with the audits and registration are dependant on the size
of the organisation, the number of locations, the accreditations required, as well
as the distance between the organisation and its registrar. These costs are
typically dependant on the number of audit days which, in turn, is determined by
the number of employees required for the registration audit and the surveillance
audits, the travel costs for the registrar and the administration and accreditation
fees for the registration (South, n.d.).
3.6 BARRIERS AND PITFALLS TO IMPLEMENTATION
Insufficient awareness and/or understanding amongst employees regarding the
requirements for the successful implementation of an EMS may pose a key
barrier to implementation. A change in mindset amongst employees and
management may, therefore, be a pre-requisite for successful implementation.
50
There are always perceived advantages, as well as disadvantages, when
moving into new areas of certification. Advantages include improved public
relations and greater marketing appeal, increasing competitiveness, promotion
and standardisation of good working practice, reduce environmental liabilities,
increasing awareness and participation as well as improving profit through:
• potential process improvements,
• compliance to legislative laws;
• compliance to customers, regulators and global requirements; and
• improving employee moral (Smithers, 2009).
Conversely, perceived disadvantages of ISO 14001 certification can include the
following:
• time-consuming development;
• lengthy time scale to obtain certification;
• lack of good, professional advice, internal and external;
• limited understanding of the tolerance allowed in responding to many ISO
14001 clauses (implementation difficulties);
• costly to obtain and maintain certification; and
• staff and organisational resistance to change (Lister, 1998).
Mroz (1997) considers a lack of time, resources, management commitment and
employee commitment the four most noteworthy barriers to implementation.
Removal of such barriers to implementation requires serious commitment from
senior management.
3.7 SIMILARITY AND INTEGRATION OF ISO 9000 AND ISO 14001
Quality (ISO 9000) and environmental (ISO 14001) management systems share
similar roots and objectives and are so intertwined that integration is almost
inevitable. Together, these two systems provide a framework to help
organisations achieve quality and environmental requirements (Low & Tan,
2005). Numerous studies (Beechner & Kock, 1997; Jackson, 1997; Stapleton,
1997) have been published regarding the integration of the two systems.
Wilkinson and Dale (1999) commented on the concepts and theory of an
51
integrated management system, while Karapetrovic and Willborn (1998)
examined the integration of quality and environmental systems.
A major incentive for an integrated management system is the elimination of
multiple efforts for documentation, operation and certification of the
management system. Often, integration of management systems is restricted to
areas such as quality, health and safety aspects and environmental
management (Hamschmidt & Dyllick, 2002). Low and Tan (2005) identify a list
of possibilities of integration, the difficulties associated with integration, as well
as key benefits of an integrated system.
Karapetrovic and Willborn (1998) consider an integrated system the ”system of
systems” where individual systems are interlinked without relinquishing
individual identities. This results in a system which is more effective and which
provides significant benefits, including:
• improved technology development and transfer;
• improved joined operational performance;
• improved internal management methods and cross-functional teamwork;
• improved staff motivation;
• reduced inter-functional conflicts;
• reduced number of audits and improved efficiency thereof;
• enhanced confidence of customers and positive market/community
image; and
• reduced costs and increased efficiency in re-engineering (Karapetrovic &
Willborn, 1998).
Annexure 5 provides a comparison of an EMS to ISO 9001.
Further advantages of such an integrated system include potential cost savings
and an improvement in efficiency and effectiveness. Integration is encouraged
by certification bodies as it reduces certification costs associated with multiple
audits, in addition to reducing the potential for duplication of quality
documentation. The following key elements bear similarities which are avoided
through integration:
52
• general requirements;
• policy;
• structure and responsibility;
• training (refer Annexure 6);
• documentation;
• document control;
• operational control;
• monitoring and measurement;
• non-conformance and corrective and preventive actions;
• records;
• audits; and
• management review (Jackson, 1997).
3.8 IMPROVED ENVIRONMENTAL PERFORMANCE It is the researcher’s opinion that for an EMS to improve an organisation’s
environmental performance, it must influence behavioural aspects in the
organisation. Managers’ attitudes should include environmental considerations
in all aspects of planning, organising and controlling of manufacturing and
administrative processes.
The primary requirements of an ISO 14001 registered EMS is explicit
management commitment to regulatory compliance, prevention of pollution and
continual improvement, publicly documented in an environmental policy
statement and implemented through a detailed and ongoing management
process.
There are, however, other issues that organisations need to be aware of when
considering improving environmental performance. It is entirely possible that
introducing an EMS would make no observable difference at all to an
organisation’s environmental performance. The EMS could merely articulate
and document existing organisational practices, rather than setting new goals.
Furthermore, it may exhibit a pre-existing management commitment to high
performance, perhaps to satisfy external demands or to present a more
favourable image to the public, without any observable change in performance.
53
Another possibility, particularly in the short term and at the time of audits, is that
performance could appear to deteriorate. Implementation may serve to identify
performance problems that had previously gone undetected; however, this could
be corrected over a longer term as corrective actions are taken to address the
short falls.
3.9 REQUIREMENTS FROM THE AUTOMOBILE INDUSTRY
Most automobile manufacturers have announced their commitment to the
environment over the years and have requested other organisations, such as
their suppliers, to follow suit by demonstrating environmental responsibility
through ISO 14001 EMS and registration. Automobile manufacturers have
ongoing recycling projects; they continuously investigate programmes and
teams in search of the means to increase the number of recycled materials and
components in automobiles going to market. These programmes have been
extended to their suppliers and suppliers are encouraged to explore the use of
eco-effective and eco-friendly components for future automobiles (Bulltek,
2009).
Automotive manufacturers require their suppliers to be certified as many OEMs
have, since becoming ISO 14001 certified, achieved measurable bottom-line
benefits, seen increased environmental awareness and realised significant
savings by introducing environmental programmes within their manufacturing
processes, including:
• reduced water and energy consumption (Gilbert-Miller, 2001);
• reduced production waste;
• increased recycling waste collection;
• improved efficiency and profitability; and
• increased employee awareness and communication.
Achieving the afore-mentioned benefits has resulted in organisations introducing
market pressure by asking their suppliers to comply with, or register to the ISO
14001 standard. Additionally, automotive OEMs have been pressurised by
governments in recent years to reduce the environmental impacts of the
automotive supply chain. In response to such government demands
manufacturers, such as Honda, General Motors, Daimler Benz, Chrysler, Ford
54
and Toyota Motor Corporation, now have fuel cell-powered test automobiles in
operation around the world (Morrow & Rondinelli, 2002).
3.9.1 Ford Motor Corporation Ford Motor Company has saved millions of dollars since becoming the first
automobile manufacturer to have the EMS at all its manufacturing facilities, both
domestic and international, certified to the internationally accepted ISO 14001
standard in 1998 (Ford, 2001). This resulted in ISO 14001 gaining significant
exposure, both in the United States of America and internationally. This
landmark achievement set the benchmark for the future in the automobile
manufacturing industry (Ford, 2001).
ISO 14001 certification has become a pre-requisite for organisations wanting to
conduct business with Ford Motor Corporation. Reasons why such importance
is attached to ISO 14001 include:
• Ford’s truck facility in Michigan reduced its water consumption by almost
one million gallons per day. The facility further saves $66 000 a year in
electricity costs by having replaced 1 975 fluorescent globes with metal
halide globes.
• Ford reduced the quantity of disposable packaging used by 163 million
pounds by replacing cardboard and plywood boxes with reusable plastic
or metal containers (Fielding, 2000).
Ford Motor Company’s Silverton manufacturing plant in South Africa is one of
the largest and most modern facilities of its kind in Southern Africa. Water
consumed by the manufacturing plant is recycled and reused, while the
percentage recyclable components used in Ford-built automobiles is high and
continuously improving (Ford, 2009).
55
3.9.2 General Motors
Two weeks following Ford Motor Company’s announcement, General Motors
announced that all of its suppliers will be required to register for, or self-certify to
ISO 14001, by the 31st December 2002 (Fielding, 2000). The following
statement was issued by Ford:
As a responsible corporate citizen, General Motors South Africa
(GMSA) is dedicated to protecting human health, natural resources
and the local and global environment. This dedication reaches
further than compliance with the law to encompass the integration
of sound environmental practices into business decisions. It also
extends to our suppliers, contractors and visitors to GMSA
(General, 2009a, 2009b).
3.9.3 Daimler-Benz (Mercedes Benz)
For more than a decade Daimler-Benz, (Mercedes Benz) has had ongoing
environmental initiatives, such as an aggressive programme to build cars from
recycled materials (Bulltek, 2009).
3.9.4 Volkswagen In 1993 Volkswagen become one of the first automobile manufacturers in
Europe to be tested to the European Union EMAS (Eco, n.d.). The European
Union EMAS is similar to the ISO 14001 EMAS, as discussed in Chapter 2.
Volkswagen has further achieved major environmental improvements in all their
sites around the world. The Wolfsburg plant in Germany recorded a 27 per cent
reduction in water consumption in 2004, whilst the Braunschweig plant, also in
Germany, improved its recycling of all sorts of waste to 98.6 per cent in 2003
(Directorate, n.d.).
3.9.5 Honda
Honda of America required all its major suppliers to be registered to ISO 14001
by the end of 2001 (Fielding, 2000). The implementation of EMS resulted in
Honda recording noticeable improvements in the areas of waste and
56
wastewater generation, energy consumption, recycling, improved lighting control
and adoption of reusable packaging (Morrow & Rondinelli, 2002).
3.9.6 Nissan Nissan’s Rosslyn Plant (South Africa) established a water-treatment facility to
purify its industrial effluent water, subsequent to which the water is safely
returned to the environment. In addition to this, a dam and wetlands area have
been developed next to the Rosslyn plant. Fish were introduced and bird life has
become abundant. All rain and storm water is directed to the dam, which joins a
local river (Thomaz, 2009).
3.9.7 Toyota Motor Corporation Toyota has a long history of concern for the environment and actively seeks
ways to meet the growing transportation needs of society in ways that are less
harmful to the Earth. The Toyota Earth Charter, based on the guiding principals
of Toyota, was adopted in 1992 and embodies comprehensive approaches to
global environmental issues (Toyota, n.d.).
In 1999, Toyota became the first automobile manufacturer to receive ISO 14000
certification for all its plants. The organisation started to encourage its key
suppliers to implement ISO 14001 and required all suppliers to register all
production facilities by the end of 2003, in addition to having to comply with
Hazardous Materials Transportation regulations. Toyota’s recycling programme
for scrapped automobiles achieved an automobile-recycling rate of 88 per cent,
the highest level in the world (Hino, 2006: 55).
Over the years, Toyota Motor Corporation has identified hundreds of chemicals
and substances that suppliers must forego using in their manufacturing
processes. Environmental stipulations such as these have forced small and mid-
size manufacturers either to accommodate additional demands on their
resources, or to risk losing the business (Gilbert-Miller, 2001).
3.9.8 BMW South Africa
BMW South Africa has reduced electricity and gas consumption by 30 per cent
and 36.5 per cent respectively, since 2006. At the same time, maximum
57
electricity demand – which is the organisation’s peak electricity use – has been
reduced by 7.3 per cent, whilst electricity consumption during non-production or
idle time has been reduced by 40 per cent. The net result constitutes a saving
on energy overheads of approximately R18 million a year and a total saving of
R29,3 million since the inception of the project in 2006 (Venter, 2009b).
3.10 GOVERNMENTS
State and provincial governments are increasingly taking the initiative to
evaluate the usefulness of ISO 14001 in organisations, as well as encouraging
its use in industry. As with organisations pursuing ISO 14001 certification for
recognition and a means of entry into new markets, governments are following a
similar course of action. Governments need to be viewed as pro-active in its
efforts in contributing to the worldwide drive for reducing carbon dioxide (CO2)
emissions, as well as in conforming to internationally accepted business
standards, including those pertaining to environmental issues.
3.11 CONCLUSION
Environmental issues are not going away. National and international regulations
and laws are continually being created, revised and made more stringent at all
government levels. The use of standards and integration thereof are supported
by organisational theory and there is a growing interest in the integration of
management systems. The integration of ISO 9001 and ISO 14001 may present
an ideal solution should an organisation want to improve the quality and
environmental performance of its activities. Beechner and Kock (1997) assert
that ISO 9001 and ISO 14001 are so similar that integration is required to
facilitate improved performance and to remain focused on objectives.
The economic cost of implementing ISO 14001 standards will largely depend on
the international marketplace. ISO 14001 is being sold and bought because of
its implied trade advantages, rather than its environmental benefits. The ISO
14001 standard requires very little specific documentation. It is a common
misconception that an ISO-compliant management system only requires
documentation. Well-defined processes are critical to an effective management
system, thus ISO 14001 leaves the amount and type of documentation at the
discretion of the organisation. The organisation, therefore, defines the critical
58
processes and decides what should be documented. The ISO 14001 standard
does not contain any regulations in terms of format, style or approach for
procedures or documentation. Such decisions are left entirely at the discretion
of the organisation implementing the system. Regular review of existing
procedures may identify that some are outdated or less effective than they
should be.
Customer demand will prove the dominant reason for implementing ISO 14001
in the future. In addition to this market pressure, provinces and central
governments are staring to use initiatives and reductions in fines to encourage
organisations to adopt ISO 14001 EMSs. Unfortunately, small and medium
manufacturers are reluctant to follow voluntary standards until adherence
becomes mandatory. They also do not have the internal resources or expertise
to implement an EMS or meet the requirements of ISO 14001.
The leading automobile manufacturers have massive fuel-cell development
programmes for the future and they continue to make significant investments
into hydrogen fuel cells as these fuel cells generate electricity by combining
hydrogen and oxygen in a controlled electrochemical reaction (Orecchini &
Sabatini, 2003). A distinct disadvantage is that, currently, hardly any
infrastructure exists for production, delivery and storage facilities of hydrogen.
Ultimately, registration is not the primary goal of implementing ISO 14000 and
implementation thereof is not limited to one achievement. An organisation that
merely achieves ISO 14001 registration will not succeed in the long haul. The
EMS must become an integral part of the business, thereby enabling the
organisation to adhere to the EMS and, consequently, realise an investment
from the successful establishment thereof.
The literature reviewed in this chapter indicates that implementing an EMS will
produce improvements in an organisation’s environmental performance.
Plausible reasons for such improvements include the fact that the EMS includes
explicit articulation of senior management commitment to environmental goals,
objectives and targets; that the EMS process assigns specific and accountable
59
responsibility for achieving those objectives; and that the process of integration
of similar systems will facilitate improved performance.
A research questionnaire, based on the literature reviewed in Chapters 2 and 3,
was designed and will be discussed in Chapter 4.
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CHAPTER 4 RESEARCH METHODOLOGY
4.1 INTRODUCTION
Chapter 3 addressed the second sub-problem by investigating the key
implementation phases, cost of implementation and the various assessment
processes required to gain registration. It further touched on the barriers and
pitfalls to implementation, as well as the possibilities of an integrated
management system comprising both quality and environmental standards.
Finally, Chapter 3 provided a focus on one of the most important aspects of the
automotive industry, namely the impacts and commitments of OEMs globally
when dealing with EMS implementation.
This chapter presents the research methodology followed and is divided into
various sections. Firstly, it explains the conceptual framework, as well as the
survey research and design which incorporate important components requiring
consideration during research. This is followed by a discussion on the survey
method, questionnaire, population and administration, as well as the question
formulation and response rate to the survey.
4.2 SURVEY RESEARCH Survey research involves acquiring information about one or more groups of
people, possibly about their characteristics, opinions, attitudes or previous
experiences, by asking applicable questions and tabulating responses received
(Leedy & Ormrod, 2004). It captures a fleeting comment in time, much as a
camera takes a single-frame photograph of an ongoing activity. Drawing
conclusions from one transitory collection of data allows for extrapolation about
the state of affairs over a longer period. Survey research typically employs a
face-to face interview, a telephone interview or a written questionnaire (Leedy &
Ormrod, 2004).
4.2.1 Face to face interview
A personal interview, commonly known as face-to face interview, is the
traditional method mostly used. An interview may last between 30 minutes to
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an hour; the interviewer communicates directly with the respondent; and they
are generally easier for the respondent, especially if an opinion or impression is
sought from the respondent (Trochim, 2006). Some disadvantages of this
method include that:
• they are time-consuming and it may prove difficult to obtain a
representative sample;
• they are resource intensive;
• it may be difficult to ask personal questions without embarrassing the
respondent;
• the interviewer needs to be well-trained; and
• associated costs are high, especially when interviewer has to travel
extensively (Trochim, 2006).
4.2.2 Telephone interview
Telephone interviews enable a researcher to gather information rapidly. The
respondents do not perceive themselves as being in a survey situation as much
as with a face-to-face interview; however, a professional interviewer does the
questioning and receives the information sought. This method has some
disadvantages, including:
• respondents may not have publicly-listed telephone numbers;
• respondents may not have telephones;
• respondents may not like the intrusion of a call to their homes; and
• the survey call need to be relatively short or respondents will feel
imposed upon (Trochim, 2006).
4.2.3 Written and electronic questionnaire
Questionnaires tend to fail because participants do not understand them, cannot
complete them, get bored or offended by them or dislike how they look
(Boynton, 2004). The greatest advantage is that questionnaires are relatively
inexpensive to administer and can be submitted to a large respondent sample.
Further advantages include that:
• questionnaires are quicker and cheaper to administer;
• questionnaires provide convenience for respondents;
• there is an absence of interviewer effects;
62
• no interviewer variability exists (Bryman & Bell, 2007); and
• the process offers greater anonymity (Kumar, 2005).
Disadvantages to this method include that:
• there is no control and no way of knowing if the selected respondents
have received the questionnaire;
• response rates are often very low (Bryman & Bell, 2007);
• questionnaires may not provide the best method for obtaining detailed
written responses (Trochim, 2006);
• there is a self-selecting bias; and
• application is limited (Kumar, 2005).
The growth of the Internet, particularly the World Wide Web, has resulted in the
expanded use of electronic mail for business communication and the electronic
survey is becoming a more widely used survey method. These surveys can be
distributed to potential respondents as electronic mail messages and this form
of survey includes the following advantages:
• it is less expensive to send questionnaires online than to pay for postage;
• it is easier to make changes or to sort data;
• invitations can be sent and responses received in a very short time,
thereby allowing for estimation of participation levels;
• a higher response rate is achieved; and
• respondents can be reminded regularly to submit completed
questionnaires (Barribeau et al, 2005).
4.3 CHOICE OF SURVEY USED A self-administrated written questionnaire was employed for the purposes of this
study. Respondents were assured their responses would be kept anonymous.
This provided respondents the confidence to be more truthful than during a
personal interview, particularly regarding sensitive or controversial issues.
Questionnaires do, however, have certain drawbacks. Typically, the majority of
people who receive questionnaires do not return them; in other words, there
may be a low return rate.
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According to Meyburg and Metcalf (n.d.), self-administrated questionnaires
require a special attention to appearance since they will be e-mailed to
respondents. The professional appearance of the questionnaire, or lack thereof,
can determine during the first minute of encounter whether the potential
respondent will complete the questionnaire. Meyburg and Metcalf (n.d.) note
that the following factors should be considered with particular care:
• length of the questionnaire;
• spacing of questions;
• size of typefaces used;
• layout of questions and answers;
• logical order to questions;
• minimized writing;
• simple language;
• provision of survey/question instructions; and
• pre-testing the questionnaire.
All the above concerns and suggestions were considered and introduced into
developing the research questionnaire. Questionnaires further often make use
of checklists and rating scales and these are discussed in more detail later in
this chapter. A well-designed questionnaire is essential to improving response
rate and increasing the quality of the data collected.
4.4 DESIGNING A QUESTIONNAIRE Questionnaires seem simple, yet they can be complex to construct and
administer. Imprudent questionnaire development can lead to un-interpretable
data or an abysmally low return rate. Leedy and Ormrod (2004) suggest the
following guidelines need to be considered when submitting a questionnaire by
mail:
• Consider the timing: middle of the month may be the most convenient for
some; winter versus summer months; avoid peak holiday or vacation
times.
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• Ensure a good first impression; this is critical when sending
questionnaires by mail.
• Motivate potential respondents, give respondents a reason to want to
respond, such as making the respondents feel that they are contributing
to a good cause.
• Thank the respondents for their support and co-operation.
4.4.1 Questionnaire wording The choice of words and phrases in a question is critical to expressing the
meaning and intent of the question so that all respondents interpret the question
the same way. Appropriate questionnaire wording provides respondents with an
easy method of indicating the answer so that not much thinking is needed to
articulate an answer. Respondents are on their own when a self-administrated
format is used and the only support is provided through the written instructions
and the questions themselves (Bryman & Bell, 2007).
Robson (2002: 245), as well as Leedy and Ormrod (2004), suggest the following
guidelines may serve as a questionnaire development checklist to avoid
potential problems when formulating questions:
• Keep the language simple.
• Keep questions short, long and complex questions are difficult to
understand.
• Avoid double-barrelled questions that pose two questions at once, such
as: Is your key worker caring and supportive? Divide such questions into
separate questions.
• Avoid leading questions that encourage a particular answer, such as: Do
you agree that ....
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• Avoid negatively framed questions, they are difficult to understand
particularly when the respondent is required to agree or disagree. An
example of a negatively framed question is: Marijuana use should not be
decriminalised: Agree / Disagree.
• Ask questions only when respondents are likely to have the knowledge
needed to answer, such as: Do you agree with the government’s policy
on foreign aid?
• Try to ensure that the question has the same meaning to all respondents.
Interpretation may vary according to age groups, regions, etcetera.
• Avoid direct questions on sensitive topics during interview situations.
• Ensure the questions’ frames of reference are clear; specify the period
when asking for frequency of an event.
• Avoid creating opinions. Respondents do not necessarily hold opinions
on topics and a “no opinion” alternative should be provided.
• Avoid unnecessary or objectionable details. It is unlikely that precise
income or age information will be required and income or age groupings
provide a more suitable option.
• Avoid prior alternatives by providing the substance of the question first,
then the alternative, not the reverse.
• Avoid producing response sets, particularly in interviews. Respondents
may tend to agree with agree/disagree questions, regardless of their real
opinion.
4.4.2 Questionnaire formulation
The formulation of the questionnaire followed the majority of the
recommendations for a self-administrated survey, as discussed previously (refer
66
Chapter 4, Section 3.1). Questions were kept as simple as possible, everyday
language was used and it was ensure the questionnaire appeared professional.
This last aspect was of extreme importance as the questionnaire was distributed
to various management levels. Closed questions with check boxes were
included to provide for a quick response.
4.4.3 Scale rating construction
There are different approaches to scale construction; however, most
researchers employ summated rating scales, also known as the Likert scale.
This entails the use of several items that are aggregated to form a score for
each respondent (Kumar, 2005).
Five-point Likert scales are perhaps the most popular and commonly used form
of scale construction. It is easy for researchers to prepare and interpret and
simple for respondents to answer. The scale consists of an equal number of
agreement/ disagreement choices on either side of a neutral choice and these
choices are treated as having the same weight. Table 4.1 shows an example of
the 5-point Likert scale used for the purposes of this study.
Table 4.1: Example of questionnaire using 5-point Likert scale
Source: Researcher’s own construction
C
Example Strongly Agree Agree Neutral Disagree Strongly
Disagree
5.1
5.2
5.3
5.4
5.5
5.6
Do you feel that a lot of time will be needed or wasted to get certified?
Do you feel that ISO 14001 will go away and that it is just the flavour of the Month?Do you feel that the company has NO need for complying or to be certified to ISO 14001?
The Following is a set of statements about attitudes towards Environmental Management. For each statement please say whether you agree strongly, agree, are neutral, disagree or disagree strongly with it. (Tick the appropriate box.)
Will this foster cost saving , improve the use of resources and utilities?
Do you feel, by having other Management System, Such as ISO/TS 16949, ISO 9001,ISO18001, implemented of ISO 14001 will be easier?
Is there pressure from current or potential customers to be certified to ISO 14001?
67
4.4.4 Questionnaire construction
In order to maximise the response rate and increase the quality of the data
collected a well-designed questionnaire, based on the literature review and
using short questions, had to be developed.
The cover letter provided the background to and purpose of the research. It also
explained how information would be obtained and provided respondents
assurance of confidentiality. The survey questionnaire consisted of three
sections:
• Section A, a general section, was divided into three sub-sections used to
obtain general information about each respondent’s position in his/her
organisation, the systems currently in place and the existence of an
integrated system.
• Section B was divided into four sub-sections and focused on the main
drivers of, barriers and constraints to and benefits and difficulty in
implementation of an EMS.
• Section C comprised a set of nine statements pertaining to ISO 14001,
Environmental Management.
For this study, two 5-point scales were used, in Sections B and C respectively.
The scale in Section B (refer Table 4.2) ranged from Very Important to Least
Important and allowed respondents to indicate their perceived level of
importance.
Table 4.2: Section B rating scale
Very Important
Important Neutral Not So
Important Least
Important
The second 5-point scale, employed in Section C (refer Table 4.3), ranged from
Strongly Agree to Strongly Disagree, and was used to obtain information
regarding organisational attitudes towards implementation of an EMS.
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Table 4.3: Section C rating scale
Strongly Agree
Agree Neutral Disagree Strongly Disagree
4.5 QUESTIONNAIRE PRE-TESTING
It is advised to pilot the questionnaire prior to submitting the questionnaire to
respondents. Failure to pilot the questionnaire represents a serious risk to the
success of the project. There are two key tests for a questionnaire: Reliability
and validity. A questionnaire is reliable if it provides a consistent distribution of
responses from the same survey sample. The validity of the questionnaire is
determined by whether it is measuring that which is required to be measured for
the purposes of the study (Brace, 2004).
The questionnaire needed to be pre-tested and a Lessons Learned exercise
initiated before it could be used in a full-scale survey. The Lessons Learned
exercise provides knowledge or understanding, either negative or positive,
gained through experience. The exercise allows for lessons to be learnt from
successes, as well as mistakes, and is a principal component of an
organisational culture committed to knowledge management and continuous
improvement (Cowles, 2004).
The questionnaire was submitted to four colleagues for pre-testing. Their task
was to:
• complete the questionnaire;
• scrutinise it for errors;
• ensure the questions made sense and were easily understood;
• review the questionnaire for simplicity in layout and wording; and finally
• give feedback regarding amendments, if required.
Test data obtained was then entered into a test coding scheme which had to be
modified to include tracking on additional feedback issues, such as whether the
questionnaires were read or returned. This is discussed later in this chapter.
69
4.5.1 Amendments to the questionnaire
The returned test questionnaires, as well as feedback thereto, were analysed
and, based on suggestions and recommendations received, the questionnaire
was amended as follows:
• Check boxes were added to facilitate answering of the questions. These
boxes were aligned next to the questions to help distinguish them from
other questions.
• All open-ended questions were removed as it was considered that these
would prove difficult and time-consuming to respondents.
• Question 4 was modified to align it with the other questions, thereby
keeping it simple.
• A hyperlink was included for the return email address to minimise the
time taken to return the completed questionnaire.
• An example was included for each question, thereby reducing the
potential for any confusion in answering the questions.
• The questions were highlighted for emphasis.
• Names and organisational data were removed from the questionnaire
and an identification number was included to facilitate subsequent data
coding.
4.6. QUESTIONNAIRE DISTRIBUTION Once the questionnaire had been tested and revised it was submitted to
potential respondents. Respondents have little, or nothing, to gain by answering
and returning the questionnaire and many respondents, therefore, do not
complete and return the questionnaire. The questionnaire was submitted mid-
month so as not to interrupt month-end reporting responsibilities. Only those
organisations that meet the following criteria were included in the study:
• the organisation belongs to the manufacturing sector; and
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• the organisation is certified to either ISO 9001 (ISO/TS 16949) QMS or
ISO 14001 EMS.
Considerable efforts were put in place to maximise the response rate, as
summarised in Table 4.5. The final list of potential respondents was compiled
from various sources, such as:
• a customer list, including the names and email addresses of
organisations directly related to the automotive sector;
• a list of suppliers to the automotive sector;
• personal contacts within the automotive industry;
• the local telephone directory; and
• the Internet.
Due care was taken to ensure that all duplicates were removed from the final
list. The questionnaire was addressed to all levels of management, including
the operational heads and production managers of the organisations as they
were considered the key decision makers regarding organisational
environmental issues. This decision is supported by the key role of the
operations function in the implementation of environmental strategies.
4.7 ADMINISTERING THE QUESTIONNAIRE A cover letter accompanied each questionnaire. Microsoft Outlook was set up to
provide both a delivery status notification, as well as confirmation that the
message had been read by the intended recipient. Questionnaires were
numbered, thereby facilitating data entry into the data coding database, and a
return date stipulated. In some cases, a phone call preceded the questionnaire
to identify the appropriate respondent and to request the respondent’s
assistance. A second email was sent to all non-respondents one week later to
remind them of the importance of the questionnaire. A final email was sent to
respondents who did not return the questionnaire within a few days after the
return date noted on the initial email. Respondents who returned completed
questionnaires were further thanked for their co-operation.
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4.7.1 Data coding the questionnaire
The first step of data analysis is data coding. Data coding comprises the
transformation of questionnaire data into a format that can be analysed with the
assistance of a computer. Questionnaire data, therefore, was converted into
numbers to facilitate such analysis (Teknomo, n.d.). A comprehensive database
had to be designed in Microsoft Excel (refer Table 4.1) to include all the
questions from the various sections of the questionnaire. Data received was
correlated and systematically entered into this electronic database. The data
entered had to be tabulated by means of binary numbers to ensure accuracy
and to avoid any duplication. Bar graphs, as depicted in Chapter 5, were based
on the data collected and subsequent analysis thereof.
Table 4.4 summarises the data coding for Section A of the questionnaire
received from the first 34 respondents. This assisted in managing the:
• number of questionnaires submitted;
• number of Microsoft Outlook delivery and read receipt notifications
received;
• number of times reminders were sent;
• return rate of questionnaires; and
• corresponding updates to graphs and data analyses.
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Table 4.4: Example used to data code the questionnaire
4.8 RESPONSE RATE TO THE QUESTIONNAIRE
A response rate of 75 per cent (Williams, 2003) to a postal survey is considered
extremely good. A response rate of between 60 and 70 per cent was considered
acceptable for the purposes of this study.
In total, 100 questionnaires were distributed to respondents. Numerous
attempts (as discussed previously) were made to increase the response rate;
however, only 64 completed questionnaires were received, all of which could be
analysed statistically (refer Table 4.5). This computes to an overall response
rate of 64 per cent. The responses to each question was analysed and the
results thereof are presented graphically in Chapter 5.
Table 4.5: Response rate to questionnaire
Questionnaire Response Rate
Number of questionnaires
submitted
Number of questionnaires
returned
Response rate (%)
100 64 64
FIRST EMAILEAD THE EMAIL/ CONFIRMED DELIVERY
SECOND EMAILRETURNED QUESTIONNAIRE
GRAGHS UPDATED
TOTAL NUMBER OF QUESTIONNAIRES RETURNED 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34
SECTION A2 Total 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34
SENIORMIDDLELOWER
SUPERVISOROPERATOR
OTHERNO RESPONSE
SECTION A3 Total 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34
ISO/TS 16949ISO 9001
ISO 14001OHSAS 18001
OTHERNO RESPONSE
SECTION A4 Total 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34
YESWORKING ON IT
NONO RESPONSE
73
4.9 ANALYSIS OF QUESTIONNAIRE DATA
The response rate provides an indication of how representative the findings
from the study are. A poor response rate is likely to be biased because it is
considered that people from higher social groups are more likely to complete
questionnaires than people from other groups (Williams, 2003). The importance
of the response rate, therefore, cannot be understated and needs to be
considered prior to undertaking any analysis. The collected data was entered
into a Microsoft Excel database to facilitate the analysis of significant volumes of
data. Microsoft Excel and Word were used to prepare tables, graphs and charts
to analyse the results, thereby allowing both for presentation of the data in an
easy-to-read and visually attractive representation, as well as providing for an
organised set of results.
4.10 CONCLUSION In this chapter, the basic guidelines for designing and collecting survey data,
based on the literature reviewed, were discussed. Additionally, the importance
of a well-designed questionnaire as an essential component for a successful
survey was examined. The chapter further focused on the research design and
methodology used to accomplish the objectives of the study. The structure of
the research methods employed was discussed, as well as the considerations
taken into account in adopting the selected research methodology. Specifically,
the research methodology selected was considered to assist in providing
complete and accurate information and in maximising the response rate.
The advantages and disadvantages associated with the various survey methods
were examined, followed by a justification for selecting this particular approach
from amongst possible alternatives. This chapter further dealt with the choice of
survey used, as well as the process required for designing, wording,
formulating, pre-testing and distribution of the questionnaire, data coding of the
received questionnaires and, finally, the response rate to the questionnaire.
Chapter 5 examines the research results and provides a discussion on, and
interpretation of such results.
74
CHAPTER 5
RESULTS, DISCUSSIONS AND INTERPRETATION
5.1 INTRODUCTION Chapter 4 described the research methodology of the study, as well as the
various investigative and assessments tools that can be utilised for gathering
empirical information. It further examined the conceptual framework and
research design and described the survey method (questionnaire) used, the
survey population, question formulation, administration of the survey and, finally,
the response rate to the survey.
The main purpose of this chapter is to focus on the second, third and fourth sub-
problems by presenting a critical examination and discussion of the information
received from the respondents. The main findings and recommendations will be
discussed in Chapter 6.
5.2 ANALYSIS OF THE RESULTS
A statistical comparison is provided for the various sections of the questions.
The questions, and responses to each question, are presented by bar chart in
units, but are discussed in percentages. The questionnaire consisted of three
sections:
• Section A, a general section, was divided into three sub-sections used to
obtain general information about each respondent’s position in his/her
organisation, the systems currently in place and the existence of an
integrated system.
• Section B was divided into four sub-sections and focused on the main
drivers of, barriers and constraints to and benefits and difficulty in
implementation of an EMS.
• Section C comprised a set of nine statements pertaining to ISO 14001,
Environmental Management.
75
5.2.1 Section A: General information
Below is a detailed discussion of the general information obtained from the
respondents who completed the questionnaires.
a. Analysis of Question A2
Table 5.1: Summary of positions held by respondents
Level N(64) Senior Middle Lower Supervisor Operator Other
Number of respondents 31 22 4 7 0 0
Percentage 48.4 34.4 6.3 10.9 0.0 0.0
Figure 5.1: Management levels held by respondents
According to the questionnaires received, and as illustrated in Figure 5.1, senior
and middle managed formed the largest proportion of respondents. Of the total
responses, 48.4 per cent were from senior management, 34.4 per cent were
from middle management, 6.3 per cent from lower management and 10.9 per
cent from supervisors or foremen. This was in keeping with the expectations for,
and objectives set by the survey questionnaire, as discussed in Chapter 4.
48.4%
34.4%
6.3%
10.9%
0.0%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
SENIOR MIDDLE LOWER SUPERVISOR OPERATOR
POSITIONS HELD BY RESPONDENTS
76
b. Analysis of Question A3
Table 5.2: Summary of current management systems in place
Level N(64) ISO/TS 16949 ISO 9001 ISO
14001 OHSAS 18001
(Health and Safety) Other
(VDA, EMAS)
Number of respondents 62 29 55 13 4
Percentage 96.9 45.3 85.9 20.3 6.3
Figure 5.2: Management systems
A further objective was to submit questionnaires to organisations that met the
criteria of both belonging to the automotive sector, as well as having been
certified to either a QMS or EMS. The results, as illustrated in Figure 5.2,
demonstrate that 96.9 per cent and 45.3 per cent, respectively, were ISO/TS
16949 certified to an automotive QMS or an ISO 9001 QMS. Of the 96.9 per
cent respondents, 85.9 per cent were also certified to ISO 14001 EMS.
An interesting factor that emerged is that 20.3 per cent of respondents’
organisations were certified to OHSAS 18001 (Occupational Health & Safety
Assessment System). Surprisingly, 6.3 per cent of respondents’ organisations
were certified to other quality and environmental standards, such as VDA 6.1
96.9%
45.3%
85.9%
20.3%
6.3%
0.0%10.0%
20.0%
30.0%
40.0%
50.0%60.0%
70.0%
80.0%
90.0%
100.0%
ISO/TS 16949 ISO 9001 ISO 14001 OHSAS 18001 OTHER
MANAGEMENT SYSTEMS IN PLACE
77
(German Automobile Industry Association) and EMAS (EU’s-Eco-Management
and Auditing Scheme).
c. Analysis of Question A4 Table 5.3: Summary of integrated systems
Level N(64) Yes Working towards integration No No response
Number of respondents 38 12 13 1
Percentage 59.4 18.8 20.3 1.6
Figure 5.3: Integrated systems
Figure 5.3 demonstrates that 59.4 per cent of respondents confirmed that they
have an integrated system in place, whilst 20.3 per cent indicated they did not
have an integrated system. Of the respondents who do not have an integrated
system, 18.8 per cent indicated that they would consider or are working towards
an integrated system. This can be easily recognised, as organisations are
starting to take advantage of major incentives, such as potential cost reductions
and elimination of multiple efforts for documentation, as discussed in Chapter 3.
59.4%
18.8% 20.3%
1.6%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
70.0%
YES WORKING ON IT NO NO RESPONSE
INTEGRATED SYSTEMS
78
5.2.2 Section B: Implementation statements
Analysis of Section B is divided into four sub-groups, namely:
• B1 - drivers of ISO implementation;
• B2 - barriers and constraints during implementation of ISO 14001;
• B3 - advantages and benefits of EMS implementation; and
• B4 - most difficult environmental element to implement.
All responses obtained from respondents were tabulated, analysed and then
graphically displayed with corresponding percentages.
a. Analysis of ISO implementation drivers
Using a 5-point scale, respondents were asked to rate 10 particular statements
regarding main reasons for the implementation of ISO 14001.
Table 5.4: Summary of Question B1
Section B1
Enh
ance
or
gani
satio
n’s
imag
e R
educ
e en
viro
nmen
tal
risk
Impr
ove
com
plia
nce
/ re
gula
tions
A g
ood
thin
g to
hav
e
Ben
efits
of
cost
redu
ctio
n
A p
re-
requ
isite
to d
o bu
sine
ss
Just
an
ethi
cal
issu
e
Acc
ess
to n
ew
mar
kets
Ben
efits
of
prod
uctiv
ity
impr
ovem
ents
In
crea
se
com
petit
ive
adva
ntag
e
A (%)
B (%)
C (%)
D (%)
E (%)
F (%)
G (%)
H (%)
I (%)
J (%)
Very Important 51.6 79.7 75.0 28.1 35.9 71.9 18.8 59.4 43.8 59.4
Important 37.5 17.2 20.3 45.3 37.5 21.9 39.1 28.1 37.5 31.3
Neutral 9.4 3.1 3.1 15.6 25.0 4.7 25.0 12.5 18.8 9.4
Not so important 0.0 0.0 1.6 6.3 1.6 1.6 10.9 0.0 0.0 0.0
Least Important 1.6 0.0 0.0 4.7 0.0 0.0 6.3 0.0 0.0 0.0
Table 5.5: Possible drivers for ISO 14001 implementation (Question B1)
A Enhance organisation’s image F A pre-requisite to do business B Reduce environmental risk G Just an ethical issue
C Improve compliance / regulations H Access to new markets
D A good thing to have I Benefits of productivity improvements
E Benefits of cost reduction J Increase competitive advantage
79
Figure 5.4: Very Important / Important categories
Figure 5.4 illustrates responses indicating Very Important and Important to the
main reasons for organisations to implement ISO 14001 EMS.
Using the 5-point scale, respondents assigned importance to reasons why
organisations seek certification. Of the respondents, 79.7 per cent selected the
reason for seeking certification that of reducing environmental risk, 75 per cent
did so to improve organisational relations with local communities and
government offices, while 71.9 per cent indicated they sought certification as a
pre-requisite for business dealings. Other reasons indicated by respondents
include access to new markets and to increase competitive advantage (59.4 per
cent), enhancing the organisation’s image (51.6 per cent), improving productivity
(43.8 per cent) and realising benefits associated with cost reduction (35.9 per
cent).
Conversely, and unexpectedly, were results indicating the following three
reasons as more important than reasons in the Very Important category:
• 45.3 per cent of respondents indicated that environmental certification
was a good thing to have;
• 39.1 per cent or respondents indicated that it is merely an ethical issue;
while
51.6%
37.5%
79.7%
17.2%
75.0%
20.3%
28.1%
45.3%
35.9%37.5%
71.9%
21.9%
18.8%
39.1%
59.4%
28.1%
43.8%37.5%
59.4%
31.3%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
70.0%
80.0%
90.0%
100.0%
A B C D E F G H I J
VERY IMPORTANT IMPORTANT
80
• 37.5 per cent of respondents indicated organisations sought certification
for the benefits associated with cost reduction.
Figure 5.5: Other categories
Figure 5.5 illustrates the Other Categories, such as Neutral, Not so Important
and Least Important.
It is interesting to note that, where respondents indicated a neutral stance on the
certain statements, they were unsure if organisations benefited from being
certified. The afore-mentioned statements dealt with organisations obtaining
certification to benefit from cost reduction (25 per cent), comply with ethical
issues (25 per cent), improved productivity benefits (18.8 per cent) or because it
is a good thing to have (15.6 per cent).
Conversely, respondents indicated that compliance to ethical issues (10.9 per
cent) or because it is a good thing to have (6.3 per cent) were not considered
important reasons for acquiring certification.
b. Analysis of ISO barriers / constraints Respondents were asked to rate possible barriers and/or constraints to
implementation of ISO 14001.
9.4%
3.1% 3.1%
15.6%
25.0%
4.7%
25.0%
12.5%
18.8%
9.4%
0.0%
5.0%
10.0%
15.0%
20.0%
25.0%
30.0%
A B C D E F G H I J
NEUTRAL NOT SO IMPORTANT LEAST IMPORTANT
81
Table 5.6: Summary of Question B2
Section B2
Lack
of s
taff
train
ing
in E
MS
Lack
of
expe
rienc
e
Cos
t of I
SO
14
001
certi
ficat
ion
Inad
equa
te
reso
urce
s
Iden
tifyi
ng
obje
ctiv
es,
targ
ets
with
lega
l re
quire
men
ts
Lang
uage
pr
oble
ms
Lack
of
com
mun
icat
ion
unde
rsta
ndin
g La
ck o
f m
anag
emen
t in
volv
emen
t /
com
mitm
ent
Lack
of
pers
onne
l to
impl
emen
t EM
S
A (%)
B (%)
C (%)
D (%)
E (%)
F (%)
G (%)
H (%)
I (%)
Strongly Agree 37.5 37.5 21.9 18.8 25.0 3.1 7.8 25.0 17.2
Agree 50.0 46.9 42.2 50.0 34.4 25.0 40.6 29.7 42.4
Neutral 6.3 7.8 21.9 18.8 15.6 35.9 25.0 18.8 12.5
Disagree 6.3 7.8 14.1 10.9 21.9 26.6 23.4 20.3 21.9
Strongly Disagree 0.0 0.0 0.0 1.6 3.1 7.8 3.1 7.8 6.3
Table 5.7: Questionnaire statements of Question B2
A Lack of staff training in EMS F Language problems B Lack of experience G Lack of communication / understanding
C Cost of ISO 14001 certification H Lack of management involvement / commitment
D Inadequate resources I Lack of personnel to implement ISO 14001
E Identifying objectives, targets with legal requirements
Figure 5.6: Strongly Agree / Agree categories
37.5%
50.0%
37.5%
46.9%
21.9%
42.2%
18.8%
50.0%
25.0%
34.4%
3.1%
25.0%
7.8%
40.6%
25.0%
29.7%
17.2%
42.2%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
70.0%
A B C D E F G H I
STRONGLY AGREE AGREE
82
Figure 5.6 illustrates the Strongly Agree and Agree categories regarding the
barriers and constraints organisations experience during implementation of ISO
14001 EMS.
Of the respondents, 75 per cent strongly agreed and 96.9 per cent agreed that a
lack of staff training and experience in EMS contributed most as the main
barriers to implementing the system.
Of the afore-mentioned 75 per cent respondents, additional contributors cited to
barriers and/or constraints included lack of management involvement or
commitment (25 per cent), lack of identified objectives and targets with legal
requirements (25 per cent) and the cost of ISO 14001 certification (21.9 per
cent).
Of the afore-mentioned 96.9 per cent respondents, 50 per cent considered
inadequate resources as a barrier to implementation, followed by the cost of
ISO 14001 certification (42.4 per cent) and a lack of personnel to implement the
system (42.2 per cent).
Figure 5.7: Other Categories - Neutral, Disagree, Strongly disagree
6.3%7.8%
21.9%
14.1%
18.8%
10.9%
15.6%
21.9%
35.9%
26.6% 25.0%
23.4%18.8%
20.3%
12.5%
21.9%
0.0%
5.0%
10.0%
15.0%
20.0%
25.0%
30.0%
35.0%
40.0%
45.0%
A B C D E F G H I
NEUTRAL DISAGREE STRONGLY DISAGREE
83
Figure 5.7 demonstrates Neutral, Disagree and Strongly Disagree categories
regarding the barriers and constraints organisations experience during
implementation of ISO 14001 EMS.
A surprising fact emerging from the results is the ratings (Agreed - 25 per cent,
Neutral – 35.9 per cent, Disagree – 26.6 per cent) assigned to language as a
barrier to implementation, especially considering the diversity of culture in South
African organisations. A much higher percentage was expected on respondents
considering language a barrier to implementation.
c. Analysis of ISO 14001 advantages and benefits
Respondents were requested to rate various statements comprising potential
advantages that may be realised from implementation of ISO 14001.
Table 5.8: Summary of Question B3
Section B3 W
ater
co
nsum
ptio
n
Ele
ctric
ity
cons
umpt
ion
Red
uctio
n of
ha
zard
ous
raw
mat
eria
l
Was
te
sepa
ratio
n th
ough
out t
he
orga
nisa
tion
Env
ironm
enta
l aw
aren
ess
of
empl
oyee
s
A (%)
B (%)
C (%)
D (%)
E (%)
Very Important 64.1 60.9 73.4 56.3 71.9
Important 31.3 31.3 23.4 37.5 25.0
Neutral 4.7 7.8 3.1 6.3 3.1
Not so important 0.0 0.0 0.0 0.0 0.0
Least Important 0.0 0.0 0.0 0.0 0.0
Table 5.9: Questionnaire statements of Question B3
A Water consumption B Electrical consumption
C Reduction of hazardous raw material D Waste separation thoughout the organisation
E Environmental awareness of employees
84
Figure 5.8: All categories for key environmental advantages
Respondents were provided five potential advantages of implementation of ISO
14001, as discussed in Chapters 2 and 3, and were requested to rate these
statements ranging from Very Important to Least Important, as illustrated in
Figure 5.8.
Respondents indicated the following as Very Important and with the most
beneficial gains to the organisation when implementing ISO 14001:
• reduction of hazardous raw material (73.4 per cent);
• increase in environmental awareness amongst employees (71.9 per
cent);
• reduction in water consumption (64.1 per cent);
• reduction in electricity consumption (60.9 per cent); and lastly
• increased waste separation throughout the organisation (56.3 per cent).
This trend continued into the Important category where:
• 37.5 per cent selected waste separation;
• 31.3 per cent selected reduction in water and electricity consumption;
• 25 per cent selected environmental awareness amongst employees; and
• 23.4 per cent selected hazardous raw material reduction.
64.1%
31.3%
4.7%
60.9%
31.3%
7.8%
73.4%
23.4%
3.1%
56.3%
37.5%
6.3%
71.9%
25.0%
3.1%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
70.0%
80.0%
A B C D E
VERY IMPORTANT IMPORTANT NEUTRAL NOT SO IMPORTANT
85
d. Analysis of elements of ISO 14001
Using a 4-point scale, ranging from Most Difficult to Least Difficult, respondents
were requested to rate the following key elements:
Table 5.10: Summary of Question B4
Section B4
Env
ironm
enta
l po
licy
Pla
nnin
g
Impl
emen
tatio
n an
d op
erat
ions
Che
ckin
g an
d co
rrect
ive
actio
ns
Man
agem
ent
revi
ew
Con
tinua
l im
prov
emen
ts
A (%)
B (%)
C (%)
D (%)
E (%)
F (%)
Most Difficult 9.4 9.4 26.6 17.2 3.1 12.5
Difficult 18.8 37.5 48.4 39.1 17.2 37.5
Not so difficult 54.7 48.4 25.0 39.1 65.6 45.3
Least Difficult 17.2 4.7 0.0 4.7 14.1 4.7
Figure 5.9: All categories for key elements of ISO 14001
18.8%
54.7%
37.5%
48.4% 48.4%
25.0%
39.1%39.1%
17.2%
65.6%
37.5%
45.3%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
70.0%
EnvironmentalPolicy
Planning Implementation &Operations
Checking &Corrective
Actions
ManagementReview
ContinualImprovements
MOST DIFFICULT DIFFICULT NOT SO DIFFICULT LEAST DIFFICULT
86
Respondents were asked to indicate which elements would be the most or least
difficult to implement. The results to this question are illustrated in Figure 5.9.
These results do not show any major surprises; in fact, the results showed a
trend and it was, therefore, decided to combine the results into Most Difficult
and Least Difficult categories.
The Most Difficult elements, as indicated by respondents, included:
• implementation and operations (75 per cent);
• checking and corrective actions (56.3 per cent);
• continual improvements (50 per cent);
• planning (46.9 per cent);
• environmental policy (28.2 per cent); and lastly
• management review (20.3 per cent).
Implementation and operations being considered the most difficult elements
came as no surprise as this element will take the longest time to complete. The
successful implementation of an EMS calls for the commitment of all employees
of the organisation. Environmental responsibility should not be seen as confined
to the environmental functions, but may also include other areas of an
organisation, such as the operations management or staff functions other than
environmental.
Implementation and operations also deals with responsibilities and
accountabilities and should begin at the highest levels of management. Senior
management should establish the organisation’s environmental policy, mission,
goals and objectives and ensure that the EMS is implemented. This involves
establishing environmental procedures, work instructions, processes and other
records to meet the requirements of the EMS. This forms the corner stone of the
entire system.
The least difficult element, according to the respondents, is that of the
management review. This review is instigated by senior management to
address the potential for changes to existing documents. It may form part of the
organisation’s day-to-day management; however, a formal review must be
87
conducted periodically, at least annually, to consider the overall state of affairs
with regard to the organisation’s EMS.
5.2.3 Section C: Attitude statements regarding ISO implementation Below is a set of statements about attitudes towards EMS which all respondents
were asked to rate according to a 5-point scale, as indicated below.
Table 5.11: Summary of questions in Section C
Section C
Que
stio
n 5.
1
Que
stio
n 5.
2
Que
stio
n 5.
3
Que
stio
n 5.
4
Que
stio
n 5.
5
Que
stio
n 5.
6
Que
stio
n 5.
7
Que
stio
n 5.
8
Que
stio
n 5.
9
5.1 (%)
5.2 (%)
5.3 (%)
5.4 (%)
5.5 (%)
5.6 (%)
5.7 (%)
5.8 (%)
5.9 (%)
Strongly Agree 34.4 1.6 1.6 1.6 32.8 42.2 51.6 40.6 42.4
Agree 42.4 12.5 0.0 1.6 51.6 40.6 43.8 43.8 43.8
Neutral 15.6 18.8 7.8 4.7 12.5 10.9 4.7 14.1 9.4
Disagree 3.1 48.4 39.1 42.4 3.1 6.3 0.0 1.6 4.7
Strongly Disagree 3.1 15.6 51.6 50.0 0.0 0.0 0.0 0.0 0.0
As questions 5.1, 5.2 and 5.3 were similar in design, they were grouped for
analysis and graphic presentation purposes. Respondents were asked the
following questions:
• Question 1: Do you feel that, by having another management system,
such as ISO/TS 16949, ISO 9001 or ISO 18001, implementation of ISO
14001 will be easier?
• Question 2: Do you feel that a lot of time will be needed or wasted to be
certified?
• Question 3: Do you feel that ISO 14001 will go away and that it is just the
flavour of the month?
88
Figure 5.10: Analysis of Questions 5.1, 5.2 and 5.3
Figure 5.10 demonstrates respondents’ responses to these questions and these
are analysed in depth.
a. Analysis of Question 5.1
Respondents were asked the following question:
Do you feel that, by having another management system, such as ISO/TS
16949, ISO 9001 or ISO 18001, implementation of ISO 14001 will be easier?
Thirty-four and 42 per cent of respondents, respectively, strongly agreed and
agreed with the statement. These results were not surprising as many benefits,
such as cost savings, improved efficiency and effectiveness, is associated with
integration, as discussed in Chapter 3.
It was interesting to note that 15 per cent of respondents said they were
uncertain, or remained neutral regarding this question. This can only be
ascribed to an organisation being in transition or an organisation that have not
yet been certified to more than one management system. Only 3.1 per cent of
respondents disagreed with the statement.
34.4%
42.2%
15.6%
3.1%3.1%
12.5%
18.8%
48.4%
15.6%7.8%
39.1%
51.6%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
QUESTION 5.1 QUESTION 5.2 QUESTION 5.3
STRONGLY AGREE AGREE NEUTRAL DISAGREE STRONGLY DISAGREE
89
b. Analysis of Question 5.2
Respondents were asked the following question:
Do you feel that a lot of time will be needed or wasted to be certified?
Figure 5.10 illustrates that 15 per cent of respondents strongly disagreed with
the statement, followed by 48 per cent of respondents disagreeing and 18 per
cent of respondents uncertain regarding this question. Not surprising is that only
1 per cent of respondents strongly agreed with the statement.
A surprising finding, however, is that 12 per cent of respondents agreed with the
statement. Virtually everyone involved in the automotive industry is aware that
the implementation of an ISO 14001-compliant EMS has been mandated or
strongly encouraged by all the major manufacturers. Some organisations
consider implementation of an ISO system a waste of time, creating paperwork,
increasing the organisation’s costs and enriching consultants and registrars.
Management systems are designed to increase and save the organisation’s
money and, if this is not happening, it should be considered whether the
organisation has a weak or poorly-maintained system without any direction.
c. Analysis of Question 5.3
Respondents were asked the following question:
Do you feel that ISO 14001 will go away and that it is just the flavour of the
month?
Figure 5.10 illustrates an overwhelming consensus amongst respondents: 51
per cent strongly disagreed and 39 per cent disagreed, whilst 7 per cent and 1
per cent, respectively, were neutral or agreed with the statement.
Respondents realise that environmental issues are not going away; global
organisations will continue to push for a reduction in carbon emissions.
Automobile manufacturers are investing millions and governments must be seen
as proactive in committing themselves to global targets. Customer demands will
continue to increase and senior management should realise compliance makes
90
very good business sense and something which can be converted into many
positive attributes, including a positive return on investment.
d. Analyses of Questions 5.4 and 5.5 Question 5.4 and 5.5 were grouped for analysis and presentation purposes.
Respondents were posed a set of questions about attitudes towards EMS and
were requested to rate these according to a 5-point scale.
• Question 5.4: Do you feel that the organisation has NO need for
complying or to be certified to ISO 14001?
• Question 5.5: Will this foster cost saving, improve the use of resources
and utilities?
Table 5.12: Summary of Question 5.4 and 5.5 in Section C
Section C
Que
stio
n 5.
1
Que
stio
n 5.
2
Que
stio
n 5.
3
Que
stio
n 5.
4
Que
stio
n 5.
5
Que
stio
n 5.
6
Que
stio
n 5.
7
Que
stio
n 5.
8
Que
stio
n 5.
9
5.1 (%)
5.2 (%)
5.3 (%)
5.4 (%)
5.5 (%)
5.6 (%)
5.7 (%)
5.8 (%)
5.9 (%)
Strongly Agree 34.4 1.6 1.6 1.6 32.8 42.2 51.6 40.6 42.4
Agree 42.4 12.5 0.0 1.6 51.6 40.6 43.8 43.8 43.8
Neutral 15.6 18.8 7.8 4.7 12.5 10.9 4.7 14.1 9.4
Disagree 3.1 48.4 39.1 42.4 3.1 6.3 0.0 1.6 4.7
Strongly Disagree 3.1 15.6 51.6 50.0 0.0 0.0 0.0 0.0 0.0
91
Figure 5.11: Analysis of Questions 5.4 and 5.5
• Question 5.4
Respondents were asked the following question:
Do you feel that the organisation has NO need for complying or to be certified to
ISO 14001?
Figure 5.11 illustrates that 50 per cent of the respondents strongly disagreed
with the question, followed by 42 per cent of respondents disagreeing with this
question. Not surprising is that only 1 per cent of respondents strongly agreed.
Organisations serving the automotive industry who do not consider
implementing an EMS run the risk of not surviving. Automobile manufacturers
are exerting a lot of pressure on organisations and non-compliance with ISO
14001 requirements may result a deterioration of the supplier/client relationship.
Failure to comply with ISO 14001 requirements may result in the loss of future
business.
1.6% 4.7%
42.2%50.0%
32.8%
51.6%
12.5%
3.1%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
QUESTION 5.4 QUESTION 5.5
STRONGLY AGREE AGREE NEUTRAL DISAGREE STRONGLY DISAGREE
92
• Question 5.5
Respondents were asked the following question:
Will this foster cost saving, improve the use of resources and utilities?
Figure 5.11 illustrates that 83 per cent of the respondents strongly agreed, while
12 per cent were neutral and less than 3 per cent disagreed with the question.
Generally, employees are usually happier and more proud to be a part of an
organisation that is environmentally responsible, reduces cost of waste
management, realises savings in consumption of energy and materials and
improves its corporate image. Implementation of ISO 14001 saves money and
reduces risk, and could be considered the first step towards making a real
difference to the business bottom line.
e. Analyses of Questions 5.6, 5.7, 5.8 and 5.9
Question 5.6, 5.7, 5.8 and 5.9 were grouped for analysis and presentation
purposes. Respondents were asked to rate the following set of questions about
attitudes towards EMS according to a 5-point scale.
• Question 5.6: Is there pressure from current or potential customers to be
certified to ISO 14001?
• Question 5.7: In implementing EMS, will this improve the organisation’s
image and competitive advantage?
• Question 5.8: Do you believe, in implementing ISO 14001, it will reduce
your monthly expenses on energy and water costs?
• Question 5.9: Do you feel that it is your organisation’s responsibility to
push your suppliers to be ISO 14001 certified?
93
Table 5.13: Summary of Questions 5.6, 5.7, 5.8 and 5.9 in Section C
Section C
Que
stio
n 5.
1
Que
stio
n 5.
2
Que
stio
n 5.
3
Que
stio
n 5.
4
Que
stio
n 5.
5
Que
stio
n 5.
6
Que
stio
n 5.
7
Que
stio
n 5.
8
Que
stio
n 5.
9
5.1 (%)
5.2 (%)
5.3 (%)
5.4 (%)
5.5 (%)
5.6 (%)
5.7 (%)
5.8 (%)
5.9 (%)
Strongly Agree 34.4 1.6 1.6 1.6 32.8 42.2 51.6 40.6 42.4
Agree 42.4 12.5 0.0 1.6 51.6 40.6 43.8 43.8 43.8
Neutral 15.6 18.8 7.8 4.7 12.5 10.9 4.7 14.1 9.4
Disagree 3.1 48.4 39.1 42.4 3.1 6.3 0.0 1.6 4.7
Strongly Disagree 3.1 15.6 51.6 50.0 0.0 0.0 0.0 0.0 0.0
Figure 5.12: Analysis of Questions 5.6, 5.7, 5.8 and 5.9
Figure 5.12 illustrates the results for the four questions, Questions 5.6 to 5.9.
Respondents indicated that they strongly agreed with the statements. All of
these questions have been addressed in one form or another in the previous
chapters.
42.2%
40.6%
10.9%6.3%
51.6% 43.8%
4.7%
40.6% 43.8%
14.1%
1.6%
42.2%43.8%
9.4%
4.7%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
QUESTION 5.6 QUESTION 5.7 QUESTION 5.8 QUESTION 5.9
STRONGLY AGREE AGREE NEUTRAL DISAGREE STRONGLY DISAGREE
94
• Question 5.6
Of the respondents
42 per cent and 40 per cent, respectively, strongly agreed and agreed
that there is a lot of pressure being put onto organisations by customers;
and
10 per cent remained neutral.
• Question 5.7 Of the respondents
51 per cent and 43 per cent, respectively, agreed that the implementation
of an EMS would improve organisational image and competitive
advantage; and
4 per cent remained neutral.
• Question 5.8
Of the respondents
40 per cent and 43 per cent, respectively, agreed implementation would
reduce monthly expenses on energy and water costs; and
14 per cent remained neutral.
• Question 5.9 Of the respondents
42 per cent and 43 per cent, respectively, agreed that all organisations
have a role to play in pushing suppliers to be ISO 14001 certified; and
9 per cent remained neutral.
Few respondents disagreed with Questions 5.6 to 5.9; the highest rate of
disagreement (6.3 per cent) was recorded for Question 5.6. Generally, the
majority of respondents agreed the implementation of EMS encourages more
on-going awareness throughout all levels of management and amongst workers.
Whether they’re looking for cost reductions, improved environmental
performance, energy savings or an enhanced corporate image, implementing
ISO 14001 allows organisations to address the environmental impact of their
activities, services, products and people. The standard provides a framework so
95
that organisations can identify significant environmental issues and implement
appropriate management programmes to control and improve them. The bottom
line is that ISO 14001 saves money and reduces risk (Gilbert-Miller, 2001).
5.3 CONCLUSION
The responses from the respondents to the various sections were analysed and
discussed in this chapter. Strong evidence was found that organisations today
have to adopt a viable EMS to ensure organisational survival. Although many
organisations have implemented an EMS, others are still standing at a decision
crossroads. Such indecision is risky; organisations will gradually lose business
and eventually be forced out in the cold.
Customers are considering environmental values in their supplier selection and
are increasingly buying products with identifiable environmental attributes (Pun
& Hui, 2001). Moreover, there are pressing needs to maintain and improve the
quality of the environment. These factors necessitate a paradigm shift in
management from environmental appraisal to prevention.
In the next chapter, the response data will be interpreted and evaluated against
the fundamental aspects of EMS implementation, as established in the previous
chapters. Chapter 6 also comprises the main findings, conclusions,
recommendations and plans for further research.
96
CHAPTER 6
CONCLUSION, FINDINGS & RECOMMENDATIONS
6.1 INTRODUCTION Chapter 5 provided the analytic results, as well as the graphic representations
thereof, based on respondents’ responses to each of the questions contained in
the questionnaire.
This chapter focuses on the conclusion, findings and recommendations, as well
as possible further research.
The main problem for this research posed the question:
How is it possible to transfer, apply and sustain environmental concepts to small, medium or large organisations?
The following associated sub-problems were identified:
1. Does implementation of an EMS provide economic benefits to
organisations?
2. What drives an organisation to first implement EMS?
3. Does implementation of an EMS improve environmental awareness and
performance?
4. What implementation barriers are faced by small, medium and large
organisations?
The aim of this paper was to contribute to the knowledge and understanding of
the work that needs to be done to contribute to the successful implementation of
EMS, particularly in the automotive industry. The advantage of this is that the
principles of this system are universal and can be incorporated into any type of
industry, such as pharmaceuticals, mining, pulp, electronics, etcetera.
97
In this chapter, four sub-problems will be posed to reach the aim of the
research. The questions and answers obtained will be presented briefly in each
section below, followed by recommendations based on the findings and for
future research.
6.2 RESOLUTION OF THE FIRST SUB-PROBLEM The first sub-problem identified was:
1. Does implementation of an EMS provide economic benefits to
organisations?
This was dealt with in Chapter 2 by identifying the concepts and benefits of
implementing an EMS ISO 14001. These include:
• increased export programmes;
• continuous development of an improved infrastructure;
• to continue being competitive in logistical costs, in relation to other
emerging markets;
• developing new export markets; and
• to remain Africa’s preferred manufacturing hub for export automobiles.
6.3 RESOLUTION OF THE SECOND SUB-PROBLEM Chapter 3 addressed the second sub-problem, namely:
2. What drives an organisation to first implement an EMS?
This was addressed by examining the drivers of implementation, as well as the
key implementation phases and the process of gaining registration. The analysis
of Question B1 (refer Chapter 5) clearly indicates a strong consensus amongst
respondents regarding what drives organisations into implementing ISO 14001.
Implementation of ISO 14001 was viewed as:
• a pre-requisite for doing business;
• contributing to a reduction in environmental risks;
• improving compliance to regulations; and
• enhancing the organisation’s image.
98
6.4 RESOLUTION OF THE THIRD AND FOURTH SUB-PROBLEMS
The third and fourth sub-problems regarding whether the implementation of an
EMS would improve environmental awareness and performances, as well as the
existence of barriers associated with implementation, were identified in Chapter
3 and analysed in Chapter 5. These sub-problems were:
3. Does implementation of an EMS improve environmental awareness and
performance?
4. What implementation barriers are faced by small, medium and large
organisations?
It was noted that a lack of resources, management commitment, etcetera, would
serve as barriers to implementation of the system.
Some of the strongest impacts on ISO 14001 certification and the adoption of a
strengthened EMS are behavioural. It serves to increase awareness of the
environmental aspects, as well as regulations and impacts, not only at work, but
also at home and in the community.
Employee commitment increases, resulting in increased sensitivity to
opportunities for recycling. This leads to waste reduction and assists the
organisation in achieving its environmental goals and objectives. Third-party
auditing further has a significant impact as it keeps people more honest when
they know that shortcomings may be exposed.
6.5 RESOLUTION OF THE MAIN PROBLEM
Owing to economies of scale, organisations with larger facilities, high profitability
and low debt rations are more likely to seek ISO 14001 certification than those
with smaller facilities and low profitability and high debt ratios. Owing to factors
such as the business cycle, an organisation’s decision to obtain ISO 14001
certification primarily depends on its long-term profitability, rather than its
profitability over a single year.
99
ISO 14001 is like many things in life - you get out of it what you put into it. The
way in which the organisation implements the standard determines the benefits
it receives. Many organisations that have implemented ISO 14001 report a
variety of benefits, including improved environmental performance, greater
operating efficiency, cost reductions, improved employee awareness and
enhanced public image.
6.6 RECOMMENDATIONS AND SUGGESTIONS Following from the study, the following recommendations and suggestions may
be offered.
6.6.1 Government subsidies
This may provide positive incentives for South African organisations to seek ISO
14001 certification and may possibly be achieved by reducing the costs
associated with certification. The successful implementation of ISO 14001, and
the associated reduction in environmental hazards from production of products,
would result in benefits to society. This may serve as motivation for local
government to subsidise an organisation in its preparation for, and
implementation of ISO 14001, although it may pose a cost to tax revenues.
6.6.2 Training assistance
Staff training represents a substantial factor in the high cost of implementation
of ISO 14001. Private training bodies offer environmental courses; however,
these courses are not cheap, especially when training is required throughout the
organisation, as recommended by ISO 14001. Effective self-training courses
could be explored and implemented, but not everybody would benefit from such
courses. Government-owned training institutions should be encouraged to offer
this service to organisations at a much-reduced rate.
6.6.3 Certification costs can be halved
Finance assistance could be introduced for organisations that display a genuine
and positive attitude toward improving environmental issues, such as waste
reduction, encouraging recycling and reducing water, energy and material
consumption. Every organisation has to pay an annual or monthly fee to a third-
100
party registrar to maintain ISO 14001 registration; this fee could be halved with
government assistance.
6.7 OPPORTUNITIES FOR FUTURE RESEARCH ISO 14001 does not state specific environmental performance criteria or metrics
to achieve and future research may focus on developing a set of ISO 14001
metrics.
Implementation of ISO 14001 is voluntary, consensus-based and market-driven.
There are, however, indications that the requirement for the implementation of
this system is gaining momentum and that it is fast becoming the norm for doing
business due to stricter requirements being introduced into, and placed on
organisations. Future research may, therefore, focus on the impact to business
should implementation of ISO 14001 become mandatory.
Future research is further required to clearly define and link the merits of
implementing EMAS, versus ISO 14001, for organisations. EMAS is
performance-based and requires action to protect the environment and to
prevent, reduce or eliminate pollution at source. This is absent in the ISO
14001 policy.
Additionally, a need exists for empirical studies on the costs and benefits
associated with implementing and maintaining an EMS in developing countries.
6.8 FUTURE OF ISO 14001
It is not possible to predict the future; however, the trends of today set the
actions of tomorrow. It is a certainty that time never stands still for anybody and
organisations adopting an approach of “lets see what happens” will surely not
survive and will become another statistic in the ever-increasing number of
business going under. Gagnier and Smith (2006) assert:
The global village is shrinking and the nature of international
cooperation is becoming more complex. Countries and trading
partners are becoming increasingly dependent on each other for
business, prosperity and socioeconomic change and
101
environmental responsibility. The risks of not doing things right
are high so the standards and guidelines we develop have to be
carefully positioned because they maintain the foundation of
international consensus on which ISO is built.
Gagnier and Smith (2006) continue by saying that the ISO vision is about
international co-operation for the global good and that the contribution of the
standards to the well-being of all people is known and has been a proven
catalyst of international trade.
ISO 14001 is like many things in life - you get out of it what you put into it. The
manner in which an organisation implements the standard determines the
benefits it receives. Many organisations that have implemented ISO 14001
report a variety of benefits, including improved environmental performance,
greater operating efficiency, cost reductions, improved employee awareness
and enhanced public image.
6.9 CONCLUSION Chapter 2 of South Africa’s Constitution states that everyone has the right:
a) to an environment that is not harmful to their health or wellbeing; and
b) to have the environment protected, for the benefit of present and future
generations, through reasonable legislative and other measures that -
i. prevent pollution and ecological degradation;
ii. promote conservation; and
iii. secure ecologically sustainable development and use of natural
resources, while promoting justifiable economic and social
development (Constitutional, 1996).
Public awareness of environmental issues, as well as anxiety about the effects
of criminal acts which damage the environment, have been increasing in recent
years. It is no longer unusual for non-compliant organisations to be fined for
causing environmental pollution. Additionally, more and more individuals, rather
than organisations, are being sentenced for such offences.
102
The quality of the environment affects everybody, irrespective of where they
live. The environment is our home; if it is not healthy then neither are we. When
people abuse the environment, it affects everybody. Polluted water, air filled
with smoke and chemicals, as well as food containing poisons, result in
illnesses in people, plants and animals. Everybody, therefore, has a
responsibility to protect and use the environment in a way that will protect it for
current and future generations.
An EMS has become an integral and permanent part of daily business activities.
Today’s organisations demonstrate commitment to preserving the environment
in their local communities and around the world by implementing an EMS that
guide organisational performance. Clients increasingly expect proof of this
commitment. ISO 14001 is the most widely recognised international marker for
EMS development. This research, although limited in its deeper studies of
EMS, has resulted in the conclusion that it is possible to transfer, apply and
sustain environmental concepts to any organization, regardless of its size. In
conclusion:
ISO 14001 is not:
• registration as an end purpose;
• limited to one achievement;
• the flavour of the month; or
• going to die a slow death.
Rather, ISO 14001
• registration provides improved understanding of what the organisation
needs to commit to;
• is a never-ending process of continual improvement;
• is an international standard with significant potential;
• is a necessity for all organisations and is on par with QMSs; and
• represents an implement or die strategy.
The decision to implement ISO 14001 is one which each organisation has to
decide for itself.
103
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114
ANNEXURE 1 ISO 14001 Gap Analysis
4.1 GENERAL REQUIREMENTS ANSWERS ASSIGNED TASK TO
START DATE
FINISH DATE
Has an Environmental Management System been established that meets the requirements of this system (at least 4- 6 months)? YES NO 4.2 POLICY AND MANAGEMENT RESPONSIBILITY ANSWERS ASSIGNED
TASK TO START DATE
FINISH DATE
Is there an environmental policy? YES NO
Has the policy been approved by senior management? YES NO
Does the policy reflect the organisation’s guiding principals (commodity)? YES NO Does the policy support continual improvement? YES NO
Does the policy support meeting or exceeding legal requirements? YES NO
Does the policy guide the setting of environmental objectives and targets? YES NO
Is the policy reviewed regularly? YES NO
Are employees aware of the Environmental Health and Safety Policy and is it understood and maintained throughout the organisation? YES NO
Has someone in the organisation some knowledge of and access to relevant environmental legislation? YES NO
Is there an assigned person responsible for environmental management system? (Appointment Letter) YES NO
4.3.1 IDENTIFY ENVIRONMENTAL ASPECTS ANSWERS ASSIGNED
TASK TO START DATE
FINISH DATE
Has procedures been established to identify the environmental aspects of organisational activities, products and services? YES NO Do the above include new projects? YES NO Do procedures identify those environmental aspects inf luenced indirectly by the organisation? YES NO Do procedures help to pinpoint significant environmental aspects, those that currently have or could have a significant impact on the environment? YES NO Has procedures been implemented to identify the environmental aspects of organisational activities, products and services? YES NO Are procedures used to identify the environmental aspects of organisational activities? YES NO Are environmental aspect documents kept up to date? YES NO Were significant environmental aspects considered when establishing the environmental management system? YES NO Were significant environmental aspects considered when implementing the environmental management system? YES NO 4.3.2 LEGAL AND OTHER ANSWERS ASSIGNED
TASK TO START DATE
FINISH DATE
Are there procedures in place to identify and have access to relevant legal requirements pertaining to the organisation’s activities, products or services that it can control? YES NO
Does the above procedure identify how the requirements are kept up to date? YES NO Are relevant legal requirements communicated to the appropriate employees? YES NO
115
ANNEXURE 2 ISO 14001 Environmental Implementation Plan
STRATEGY ACTION HOW WHO TIME REQUIRED
Training • Induction for floor staff • Foreman and team leader training
• Include an EMS in induction and as part of organisation’s training needs
• Complete training Management , supervisors 4 months
System documentation (top and middle tiers)
Developing: (top level documentation) • 14001 Policy Manual • Top level procedures
• Policy and procedure to cover all aspects of ISO 14001 Management, quality and engineering. 1 to 1.5 months
System documentation (lower tiers)
Developing: (lower level documentation) • Lower level work instructions, forms
etcetera
• Set up and document internal process controls for lower level, very important plant floor activities
Management, quality and . engineering. 1 month
Identification of aspects and impacts
• Aspect and impact identification • Development of rating criteria • Aspect/impact rating and register • Prioritisation of aspects and impacts
• Identification to be done per cell • Rating criteria to be organisation-specific • To be done by an EMS committee
Contractor 1 month
Preparation of Legal Register • Compile legal register • Register to be in line with organisational activities MS, contractor 1.5 months
Environmental policy • Development of Environmental Policy • Approved by senior management
• Policy to be in line with ISO 14001 requirements • Policy to be in line with prioritised aspects/impacts
EMS committee I month
Objectives and targets • To be set • Are there adequate resources to fulfil
responsibilities? • To be in line with identification and prioritised aspects/impacts EMS committee 1 month
Monitoring strategy • To be developed • Partial implementation • To be in line with prioritised aspects/impacts EMS committee, contractor 1 month
System audit • Internal audit • Have corrective actions been taken?
• To be conducted on selected areas of ISO 14001 • Corrective actions on deviations to be documented and implemented
EMS committee, Management System relevant sections
1.5 to 2 months
Stage 1 certification • To be arranged and conducted • To be conducted by registered body Certification Body 1 to 2 months
Stage 2 certification • To be arranged and conducted • Take corrective actions from Stage 1
• Complete action plan for Stage 1 finding and close out • To be conducted by registered body
Management Certification Body 1 to 3 months
116
117
ANNEXURE 3
ENVIRONMENTAL ASPECT - IMPACT MATRIXALL SATELLITES
PROBABILITY(Pro) EXPOSURE SEVERITY MITIGATION (Mit) SIGNIFICANT RATING
Original Date 01/09/2003 1 = Not Likely / Rare 1 = Site / Plant 1 = Minor Disturbances 1 = Procedure (Probability x Exposure x Severity) / Mitigation S.M = Satellite Managers Rev 7Site TI Automotive 2 = Likely 2 = Municipality 2 =Short Term 2 = Trained SUP = SUPERVISORSPrevision Review Date: 14/10/2008 3 = Quite Possible 3 = Region 3 = Medium Term 3 = Monitoring ADD ALL CATEGORIES ADMIN = IN THE VARIOUS SATELLITES
4 = Possible 4 = National 4 = Long Term 4 = Planned Maintenance OF MITIGATION EMS Rep = ENVIRONMENTAL MANAGEMENT REP5 = Certain 5 = International 5 = Irreversible Damages 5 = Engineered (Environmental Values etc) Above 30 Major Significant Aspects MP = MONITORING PROGRAMME
Last Review Dates: (Ref to History Record) 26/04/2007, 20/02/2008, 14/10/2009
REF
Audits
Evacuation Work Instruction & Plan
Visual, Walk about, Laws
Work Instruction
Declaration of Heavy Metals
Work Instruction
Audits
Work Instruction
Work Instruction
CONTROLS
Visual
Audits
Walk About
Referring to QSP 5.1-1 Statutory and Legislation
requirements
Occupational Health and Safety Act of 1993, ref To Part 3 - legal register Pg 6
,7
Occupational Health and Safety Act of 1993, ref To Part 3 - legal register Pg 6
,7
Waste Management Ref to Part 4 - Legal register pg 2 -
4
LEGAL REG
Environment Conservation Act 73 of 1989 -Ref to legal Register Pg 8 Section 8,20
Occupational Health and Safety Act of 1993, ref To Part 3 - legal register Pg 6
,7
Atmospheric pollution Ref to Part 2 - Legal register pg
5-6
Constitution of the Republic of South Africa Act 108 of
1996
---
---
---
---
---
---
YES
YES
---
MP
---
---
YES
100% compliance legislation
All products used on site to have MSDS and that steps
are taken to prevent any accidents.
All parts to comply with Environmental Standards -(List of substances banned
by OEM's)
No Water Leaks
TARGET
No oil marks , monitoring Aspect
saving per year
saving per year
Reducing Waste usage per Set produced.
No Air Leaks
Total Evacuation Within 5 Minutes.
All fire equipment to be operational during fire
100% compliance with fire drills
YES
N (Monitoring)
N (Monitoring)
N (Monitoring)
N (Monitoring)
YES
YES
N (Monitoring)
N (Monitoring)
OBJECTIVE No
N (Monitoring)
YES
YES
Satellite Manager & Supervisor
Satellite Manager & Supervisor
Satellite Manager & Supervisor
Satellite Manager & Supervisor
RESP.
Security Contractor
Supervisors
Supervisors
Satellite Manager & Supervisor
Satellite Manager & Supervisor
Satellite Manager & Supervisor
Satellite Manager & Supervisor
Satellite Manager & Supervisor
2
4
10
6
11
4
4
4
4
SIGNIFICANT RATING
24
2
2
2
1
3
2
MIT
1
2
2
2
1
2
2
1
1
1
5
2
4
SEVERITY
2
1
1
2
1
1
1
4
1
2
1
1
1
EXPOSURE
3
1
1
1
1
2
3
2
4
4
4
4
4
Production
Production
Production
Production
Vehicle Movement
Energy
Energy
Production
Lighting not switched off
General Waste - Internally
Compressed Air leaks
Fire
Contractors on Site Adhering to safety and environmental legislation
Production
Production
Production
Air / Waste Pollution - Environmental impact
Water Wastage - Increased water usage
Air Pollution - Fire hazard
Personnel could Sustain injuries
Personnel could Sustain injuries
Air / Waste Pollution - Environmental impact
Energy Loss - Impact on energy usage
Waste Pollution - Generating waste
Energy loss - Increased energy usage
Air / Water Pollution
IMPACT
Ground Pollution - Leaking into ground / storm water drains
Energy Loss - Impact on energy usage
Oil Spill from Delivery Trucks
Heaters / Fans not switched off
AREA ACTIVITY
Fire equipment not operational during a fire
Emergency exits not known to personnel
Plant
Plant
Security
Production
Production
Plant
Plant
Plant
Plant
Plant
Plant
Plant
Purchasing new substances.
Suppliers using banned substances in products
Water Wastage (Dripping Taps)
PRO
4
4
4
4
4
ASPECTS
118
ANNEXURE 4 Third-party Registrar Process Flow
RESP: CERTIFICATION BODYSUBMIT QUOTE
RESP: CERTIFICATION BODY INITIAL VISIT
- Establish Contact.- Determine size of organization in order to submit an official quote.- Provide guidance and information regarding the certification process.
RESP: CERTIFICATION BODYSTAGE ONE PLANNING
- Determine dates for assessment Stages 1 and 2
ACCEPT QUOTE No
Yes
No Further Action / Queries Cost and issues in quotation
RESP: CERTIFICATION BODY & ORGANIZATIONCONDUCT STAGE 1 ASSESSMENT AUDIT
- Man days in accordance quotation
RESP: CERTIFICATION BODYCONFIRMATION AND SATISFIED WITH
CORRECTIVE ACTIONS- Confirmation date for stage 2 Assessment
STAGE 2
READINESS No
Yes
RESP: ORGANIZATIONTAKE CORRECTIVE ACTIONS
- Submit to certification body for assessment and close out
RESP: CERTIFICATION BODY & ORGANIZATIONCONDUCT STAGE 2 ASSESSMENT AUDIT
- Man days in accordance quotation
MIN REQUIREMENTS
MET
Yes
Does the organization comply with
MIN assessment
criteriaRESP: CERTIFICATION BODY & ORGANIZATION
ISSUE REPORT OF ASSESSMENT AUDIT- Indicating shortfalls in the System. (Audit Findings)- Given up to 3 months to correct and introduce better controls.
No
Organization Reviews Quote
RESP: CERTIFICATION BODY CLEARANCE OF FINDINGS
- Verification carried out (on site / or off site depending on the severity of findings) on corrective actions taken on the findings by the organization.
RESP: CERTIFICATION BODY APPROVAL BOARD
- Submits all necessary information( reports, findings, evidence of corrective actions) to the approval board for organizations registration.
BOARD DECISION
POSITIVE
RESP: CERTIFICATION BODY CERTIFICATION
- Certificate is issued and organization is placed on the international data base.
RESP: CERTIFICATION BODY CERTIFICATION BODY
- Reviews the Approval Board findings
NEGATIVE
RESP: CERTIFICATION BODY STAGE 2 ASSESSMENT
- Reviews STAGE 2 assessment
RESP: CERTIFICATION BODY BI ANNUAL SURVEILLANCE AUDITS
- Provides company with dates for the year.
RESP: CERTIFICATION BODY TRIENNIAL ENVIRONMENTAL MANAGEMENT SYSTEM REVIEW
- Year 0 - 1 = Certification / Re-certification- Year 1 - 2 = Surveillance - Year 2 - 3 = Surveillance. - Year 3 – 4 = Re-certification
119
ANNEXURE 5 Comparison between ISO 14001:2004 and ISO 9001:2007
ISO 14001:2004 (Environmental)
ISO 9001:2007 (Quality)
--- Introduction
----
0.1
0.2
0.3
0.4
Introduction
General
Process approach
Relationship with ISO 9004
Compatibility with other management systems
1 Scope
1
1.1
1.2
Scope
General
Application
2 Normative references 2 Normative references
3 Terms and definitions 3 Terms and definitions
4 EMS system requirements (title
only) 4 Quality management system (title Only)
4.1 General requirements
4.1
5.5
5.5.1
General requirements
Responsibility, authority and communication
Responsibility and authority
4.2 Environmental policy
5.1
5.3
8.5.1
Management commitment
Quality policy
Continual improvement
4.3 Planning (title only) 5.4 Planning (title only)
4.3.1 Environmental aspects
5.2
7.2.1
7.2.2
Customer focus
Determination of requirements related to the product
Review of requirements related to the product
4.3.2 Legal and other requirements 5.2
7.2.1
Customer focus
Determination of requirements related to the product
4.3.3 Objectives, targets and
programme(s)
5.4.1
5.4.2
8.5.1
Quality objectives
Quality management system planning
Continual improvement
4.4 Implementation and operation
(title only) 7 Product realization (title only)
4.4.1 Resources, roles, responsibility
and authority
5.1
5.5.1
5.5.2
6.1
6.3
Management commitment
Responsibility and authority
Management representative
Provision of resources
Infrastructure
4.4.2 Competence, training and
awareness
6.2.1
6.2.2
(Human Resources) General
competence, awareness and training
4.4.3 Communication, participation
and consultation
5.5.3
7.2.3
Internal communication
Customer communication
4.4.4 Documentation 4.2.1 (Documentation Requirements) General
4.4.5 Control of documents 4.2.3 Control of documents
120
ANNEXURE 5 Comparison between ISO 14001:2004 and ISO 9001:2007(continued)
ISO 14001:2004 (Environmental)
ISO 9001:2007 (Quality)
4.4.6 Operational control 7.1 Planning of product realization
4.4.6 Operational control 7.2 Customer–related processes
4.4.6 Operational control 7.2.1 Determination of requirements related to the product.
4.4.6 Operational control 7.2.2 Review of requirements related to the product
4.4.6 Operational Control
7.3.1
7.3.2
7.3.3
7.3.4
7.3.5
7.3.6
7.3.7
Design and development planning
Design and development inputs
Design and development outputs
Design and development review
Design and development verification
Design and development validation
Control of design and developments changes
4.4.6 Operational control
7.4.1
7.4.2
7.4.3
Purchasing process
Purchasing information
Verification of purchased product
4.4.6 Operational control 7.5
7.5.1
Product and service provision
Control of production and service
4.4.6 Operational control 7.5.2 Validation of processes for production and service
provisions
4.4.6 Operational control 7.5.5 Presentation of product
4.4.7 Emergency preparation and
response 8.3 Control of non-conforming product
4.5 Checking (title only) 8 Measurement, analysis and improvement (title only)
4.5.1 Performance measurement and
monitoring
7.6
8.1
8.2.3
8.2.4
8.4
Control of monitoring and measurement equipment
(measurement ,analysis and improvements) general
Monitoring and measurement of process
Monitoring and measurement of product
Analysis of data
4.5.2 Evaluation of compliance 8.2.3
8.2.4
Monitoring and measurement of process
Monitoring and measurement of product
4.5.3
Incident investigation, non-
conformity, corrective action and
preventive action (title only)
8.3
8.4
8.5.2
8.5.3
Control of non-conforming product
Analysis of data
Corrective action
Preventative action
4.5.4 Control of records 4.2.4 Control of records
4.5.5 Internal audits 8.2.2 Internal audits
4.6 Management review
5.1
5.6
5.6.1
5.6.2
5.6.3
8.5.1
Management commitment
Management review (Title Only)
General
Review input
Review output
Continual improvement
(Source: International Standard, ISO 14001:2004)
121
ANNEXURE 6 Environmental Awareness (visual aids)
122
ANNEXURE 7 Environmental Training Material
123
ANNEXURE 8 Environmental Display Posters
ENVIRONMENTAL NOTICE
SORT AT SOURCE
Place Plastic and paper in different
bins
ENVIRONMENTAL NOTICE
Help Conserve Energy
Please turn off lights
before leaving work
124
ANNEXURE 9 Cover Letter
Bird Street Campus Tel. +27 (0)41 5043795 Fax. +27 (0)41 5049795
28 September 2009
To whom it may concern This is to certify that Mr Carlos Da Fonseca (student number 20026454) is a registered student for the degree of Master in Business Administration at the Nelson Mandela Metropolitan University. Kindly assist him in completing the attached questionnaire The title of his treatise is: IMPLEMENTING AN ENVIRONMENTAL MANAGEMENT SYSTEM IN AN AUTOMOTIVE COMPONENT MANUFACTURING FACILITY IN THE EASTERN CAPE Feel free to contact me if you need any other information regarding Mr Da Fonseca.
Dr Annelie Pretorius Research coordinator – NMMU Business School
• PO Box 77000 • Nelson Mandela Metropolitan University • Port Elizabeth • 6031 • South Africa • www.mbasouthafrica.com
125
ANNEXURE 10 Questionnaire
EMS (Environmental Management System , ISO 14001)
N.B - your details will not be divulged in the final report.
Senior Middle Lower Supervisor (Forman's) Operator Other
(Specify)
A2 Position in your organisation
ISO/TS 16949
ISO 9001
ISO 14001
ISO 18001
Other (Specify)
A3
YES Working on it NO
A4
B1
Example Very important Important Neutral Not so
ImportantLeast
Important
a
b
c
d
e
f
g
h
i
j
B2
Example Strongly Agree Agree Neutral Disagree Strongly
Disagree
a Lack of staff training in EMS Awareness
b
c Cost of ISO 14001 Certification
d Inadequate Resources
e
f Language Problems
g Lack of understanding into internal / external communication.
h Lack of Top Management involvement / Commitment
iLack of personnel to implement / Manage Environmental Management System
Benefits of productivity improvements
Indicate what system you already have in Place. (Tick single or multiple)
Enhance Firm's Image
Reduce environmental risk.
A good thing to have
What would you say are the main reasons / drivers for implementing an Environmental Management System, ISO 14001. For each statement please say whether you think is Very Important, important, neutral, not so important, the least important.
Benefits of Cost reduction
A Pre-requisite requirement to do business (Customer Requirement)
Improve compliance / regulations with Government and local communities
ISO 14001 SURVEY QUESTIONNAIRE
Just a ethical issue
Identifying objectives and targets with Legal requirements
Lack of Experience in understanding ISO 14001 Requirement.
Increase competitive Advantage
Access to new markets
The Following is a set of Barriers / Constraints foreseen during ISO 14001 implementation. For each statement please say whether you agree strongly, agree, are neutral, disagree or disagree strongly with it. (Tick the appropriate box.)
If you have more than one System - do you have an integrated system in Place. (Tick appropriate Box)
Page 1
126
ANNEXURE 10 Questionnaire (continued)
B3
Example Very important Important Neutral Not so
ImportantLeast
Important
a Water Consumption
b Electrical consumption
c Reduction of hazardous raw material
d Waste separation through-out the organisation
e Environmental Awareness of employees
B4
Example Most Difficult Difficult Not So
DifficultLeast
Difficult
a Environmental Policy
b Planning
c Implementation & Operations
d Checking & Corrective Actions
e Management Review
f Continual improvements
C
Example Strongly Agree Agree Neutral Disagree Strongly
Disagree
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
Mobile: +27 (0) 82 334 7603 Email: [email protected] Fax to Email: 086 646 7650
Will this foster cost saving , improve the use of resources and utilities?
Do you feel, by having other Management System, Such as ISO/TS 16949, ISO 9001,ISO18001, implemented of ISO 14001 will be easier?
THANK YOU VERY MUCH FOR YOUR COOPERATION
Is there pressure from current or potential customers to be certified to ISO 14001?
In Implementing Environmental Management system , will this improve company image and competitive advantage?
PLEASE RETURN QUESTIONNAIRE TO CARLOS DA FONSECA
SUBMIT QUESTIONNAIRE EMAIL BELOW
ISO 14001 SURVEY QUESTIONNAIRE
Do you feel that it is your organisation's responsibility to push your suppliers to be ISO 14001 certified?
Do you feel that a lot of time will be needed or wasted to get certified?
Do you feel that ISO 14001 will go away and that it is just the flavour of the Month?
Do you feel that the company has NO need for complying or to be certified to ISO 14001?
Do you believe in implementing ISO 14001, it will reduce your monthly expenses on energy and water costs
Out of the following key Environmental elements -which would you say are most difficult to implement. For each statement please say whether you thing from Most Difficult, Diffcult, Not so Difficult, to Least Difficult
The Following is a set of statements about attitudes towards Environmental Management. For each statement please say whether you agree strongly, agree, are neutral, disagree or disagree strongly with it. (Tick the appropriate box.)
What, in your opinion is the Environmental advantages and benefits achieved based on EMS Implementation. For each statement please say whether think is Very Important, important, are neutral, not so important, the least important. (Tick the appropriate box)
Page 2
