FSM 1300.pdf

Forest Service Manual National Headquarters - Washington Office

Washington, DC

Forest Service Manual 1300 – Management Chapter 1330 - Management Systems

Amendment: 1300-2008-2

Effective date: November 20, 2008

Duration: This amendment is effective until superseded or removed.

Superseded Directive: 1330, Amendment 1300-2006-1, March 3, 2006

Approved by: Charles L. Myers, Associate Deputy Chief, NFS

Date approved: November 18, 2008

Responsible Staff:

Explanation of changes: Following is an explanation of the changes throughout the directive by section.

Revises chapter and incorporates direction to be consistent with 36 CFR 219 (National Forest System Land Management Planning (2008 Planning Rule)).

1331.01: Replaces reference to E.O. 13148 with E.O. 13423, which revoked E.O. 13148.

Updates Title 36, Code of Federal Regulations, Part 219, Subpart A authority updated to reflect 2008 Planning Rule.

1331.03: Updates paragraph 2 to reflect the intent of the Forest Service to implement a National Environmental Management System (EMS) that conforms to ISO 14001.

1331.04a: Adds responsibility to the Chief for implementing the national EMS and appointing a National EMS Representative. Adds, at paragraph 3e, responsibility to the Director of Engineering to assign Washington Office EMS representatives, and at paragraph 3f, to coordinate with the Director of Acquisitions Management on E.O. 13423 goals. Removes, in paragraph 2a, reference to FSM 1921.9.

1331.04b: Removes the following responsibilities for regional foresters, station directors, and Area Director; the requirements to prioritize EMS initiation and to develop EMS procedures through supplements to FSM 1331.

USDA Forest Service

Adds the following responsibilities for regional foresters, station directors, and Area Director; to ensure resources are available to implement EMS and to appoint EMS Representatives.

Removes the following responsibilities for forest, grassland, and Prairie Supervisors (EMS Responsible Officials); to establish one or more EMSs, to define the EMS scope and determine which units are to be included in a single EMS, to develop EMS procedures through supplements to FSM 1331, to conduct annual EMS management reviews, and to ensure roles and responsibilities of Unit EMS representatives are fulfilled.

Adds the following responsibilities for forest, grassland, and prairie supervisors (EMS responsible officials); to ensure resources are available to implement EMS, to identify local significant environmental aspects, to appoint EMS representatives, to provide EMS quality assurance and accountability, to conduct annual EMS management review, and ensure roles and responsibilities of unit EMS representatives are fulfilled.

1331.05: Adds definitions for “ANSI”, “EMS Technical Guide”, “First-Party EMS Audit”, “Implementing Administration Unit (IAU)”, “Internal audits”, Project Implementation”, “Responsible Official”, and “Second-party EMS Audit.” Removes the definition for “Facility.”

1331.1 : Removes caption “EMS Documentation” and direction, including exhibit 01.

1331.2: Moves caption and direction to 1331.1. Adds new caption “EMS Technical Guide” and sets forth direction for content of guide and web site address.

1331.21: Removes code and direction. Moves direction to 1331.1.

1331.22: Removes code and directions direction to1331.6.

1331.3: Removes caption and direction. Adds new caption “Establishing the EMS - 36 CFR 219.5” and sets forth direction for establishing EMS.

1331.31: Removes caption and direction. Adds new caption “National and Local Significant Environmental Aspects” and sets forth direction for identifying and applying significant environmental aspects.

1331.32: Adds new code and caption “Auditing the EMS and sets forth direction on audit procedures.

1331.4: Removes caption and direction. Adds new caption “Transitioning Independent Unit EMSs into the National EMS” and set forth direction on transitioning existing EMSs to the national EMS.

1331.5: Adds new code and caption “Declaration of Conformance” and sets forth direction on declaring conformance of EMS.

1331.6: Adds new code and caption “EMS Availability to the Public” previously found at 1331.21, and sets forth direction on releasing EMS information to the public. Incorporates direction previously found at 1331.21.

Table of Contents

1331 - Environmental Management Systems (EMS)

1331.01 - Authority

1331.02 - Objective

1331.03 - Policy

1331.04 - Responsibility

1331.04a - Washington Office 1331.04b - Field Units

1331.05 - Definitions

1331.1 - ISO 14001 Use Limitations

1331.2 - EMS Technical Guide

1331.3 - Establishing the EMS

1331.31 - National and Local Significant Environmental Aspects

1331.32 - Auditing the EMS

1331.4 - Transitioning Independent Unit EMSs into the National EMS

1331.5 - Declaration of Conformance

1331.6 - EMS Availability to the Public

1331 - Environmental Management Systems (EMS)

1331.01 - Authority

The following are the primary authorities related to Environmental Management System (EMS) establishment, implementation, and maintenance.

Executive Order 13423, Strengthening Federal Environmental, Energy, and Transportation Management, January 24, 2007. This Executive Order requires Federal agencies to use an EMS as the primary management approach for addressing environmental aspects of internal agency operations and activities.

Title 36, Code of Federal Regulations, Part 219, Subpart A. Section 219.5 requires that the scope of an EMS include land management environmental aspects and that the Agency’s EMS conform to standard 14001 developed by the International Organization for Standardization (ISO).

Departmental Manual (DM) 5600-1 Pollution Prevention, Control and Abatement Manual. DM 5600-1 lists applicable laws for facilities management and United States Department of Agriculture EMS direction.

1331.02 - Objective

Provide a management system to enhance environmental performance and accountability through continual improvement.

1331.03 - Policy

1. Environmental Policy. In conjunction with its mission (FSM 1020.21), vision (FSM 1020.22), and guiding principles (FSM 1021) the Forest Service is committed to complying with applicable legal and other requirements, pollution prevention, and continual environmental improvement.

2. National EMS. The Forest Service will implement a national EMS that conforms to the ISO 14001 standard and is applicable to all administrative units of the Forest Service.

1331.04 - Responsibility

1331.04a - Washington Office

1. Chief. The Chief shall serve as the responsible official who is responsible for the establishment, implementation and maintenance of the Agency’s National EMS and shall appoint one or more National EMS representatives to manage the EMS.

USDA Forest Service http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&rgn=div6&view=text&node=36:2.0.1.1.8.1&idno=36 http://www.usda.gov/da/hmmg/hmmgguidance.pdf http://www.usda.gov/da/hmmg/hmmgguidance.pdf

2. Director of Ecosystem Management Coordination. The Director of Ecosystem Management Coordination is responsible for:

a. Providing technical support and coordination for implementing and maintaining EMS on National Forest System administrative units and maintaining agency-wide EMS directives in FSM 1331.

b. Coordinating with the Washington Office Director of Engineering in all aspects of EMS activities.

c. Coordinating on EMS with the President’s Council on Environmental Quality (CEQ) and the Office of the Federal Environmental Executive (OFEE).

d. Maintaining the Forest Service ISO 14001 license for agency use.

3. Director of Engineering. The Director of Engineering is responsible for:

a. Providing technical support and coordination for implementing and maintaining EMS related to EO 13423 on National Forest System administrative units including maintaining a current list of Forest Service facilities and administrative units responsible for implementing an EMS, and tracking agency-wide EMS accomplishments.

b. Coordinating with the United States Department of Agriculture Environmental Executive, the USDA Sustainable Operations Council, Office of Management and Budget, Environmental Protection Agency, Office of the Federal Environmental Executive, and others on EMS accountability at Forest Service administrative units.

c. Coordinating Forest Service activities related to the Interagency Environmental Leadership Work Group and annual reports established under EO 13423.

d. Coordinating with the Director of Ecosystem Management Coordination in all aspects of EMS activities.

e. Coordinating with Director of Acquisitions Management on EO 13423 goals in regard to leased facilities.

f. Directing the Environmental Compliance Program (ECP) described in FSM 1480.

4. Executive Oversight Committee. This committee, comprised of senior leadership from the Washington Office, regions and stations, directs the development of the EMS.

The Executive Oversight Committee approves strategies and recommends EMS policy.

1331.04b - Field Units

1. Regional Foresters, Station Directors, and Area Director may serve as the responsible official for oversight of the EMS within their administrative area of responsibility.

Regional foresters, station directors, Area Director are responsible for:

a. Ensuring resources are available to implement and maintain the appropriate components of the EMS on their administrative units.

b. Providing quality assurance and accountability for EMS for the administrative units and facilities under their authority.

c. Appointing EMS Representative(s) for their Unit(s).

2. Forest supervisors, grassland and prairie supervisors, (or any other EMS Implementing Administrative Unit Line Officer) may serve as the responsible official for implementation of the EMS within their administrative area of responsibility. EMS responsible officials are responsible for:

a. Ensuring that resources are available to implement, and maintain the appropriate components of the EMS on their administrative unit.

b. Conducting annual EMS management reviews as described in the EMS Technical Guide.

c. Identifying any locally needed significant environmental aspects through the management review.

d. Appointing EMS Representative(s) for their administrative unit. (Multiple units may consider zoning EMS Representatives as appropriate.)

e. Providing quality assurance and accountability of the EMS for the administrative units and facilities under their authority.

f. Ensuring roles and responsibilities of Unit EMS representatives are fulfilled as described in the EMS Technical Guide section 4.4.1.

1331.05 - Definitions

Administrative Unit. A Forest Service organizational unit (organizational entity or component (FSM 1225.05)), including, but not limited to, the Washington Office, regional offices, a national forest, grassland, prairie, or monument; a ranger district; and research work units.

ANSI. Abbreviation for American National Standards Institute. ANSI is the holder of the United States copyright for ISO 14001.

Environmental Management System (EMS). Part of an organization’s management system used to develop and implement its environmental policy and manage its activities or products or services that can interact with the environment (ISO 14001).

EMS Technical Guide. The official documentation describing the national EMS. The Technical Guide identifies EMS-related information, material, and references to supporting documents. The EMS Technical Guide is maintained on the intranet at https://fs.usda.gov/wps/myportal.

First-Party EMS Audit. See Internal audit.

Implementing Administrative Unit (IAU). The organizational level at which the national EMS is implemented. The IAU is typically a national forest, national recreation area, or research station. Regional offices and the Washington Office are may also be IAUs.

Internal audit. An audit conducted by or on behalf of, the organization itself for management review and other internal purposes, and may form the basis for an organization’s self-declaration of conformity (ISO 19011).

ISO. The abbreviation for the International Organization for Standardization.

ISO 14001. An international standard that specifies requirements for an EMS written and maintained by the ISO and adopted by the American National Standards Institute

(ANSI).

Project Implementation. In reference to 36 CFR 219.5(d) “implementing” a project implemented under a plan developed, amended or revised under the 2008 planning rule requirements means that “on-the-ground” activities have started.

Responsible Official. Forest Service line officer with the authority and responsibility to implement and oversee the EMS for the administrative unit(s) within their area of authority.

Second-Party EMS Audit. Reviews led by qualified auditors from outside the control or scope of the EMS.

1331.1 - ISO 14001 Use Limitations

The Forest Service has a limited ANSI license for using “ISO 14001: Environmental Management Systems: Specification With Guidance For Use.” Forest Service employees may access the standard through the agency EMS Intranet site.

Use of this standard must comply with copyright restrictions as provided in the Forest Service limited use license, which provides that the Licensed Standards are to be used in an electronic format by the Forest Service for the use by its employees (termed internal use) under the

USDA Forest Service https://fs.usda.gov/wps/myportal

‘fs.fed.us’ domain. Electronic access to the Licensed Standards by any third party is not allowed. Forest Service authorized users may reproduce the electronic version of the Licensed Standards, as needed, on paper for temporary use by Forest Service users as long as all paper copies retain the ISO's copyright notice.

1331.2 - EMS Technical Guide

The EMS Technical Guide contains the procedures the Agency must follow to implement the national environmental management system. The EMS Technical Guide addresses all EMS requirements identified in ISO 14001. The Technical Guide addresses EMS requirements of 36 CFR 219.5. The Technical Guide will be reviewed annually for any needed updates. The current version is maintained on the intranet at https://fs.usda.gov/wps/myportal under Environmental Management.

1331.3 - Establishing the EMS

1. Responsible Officials identified in section 1331.04 are responsible for ensuring that the applicable provisions of the national EMS, as described in the EMS Technical Guide, are followed.

2. Units with EMSs established prior to 2008. These administrative units meet the requirements of 36 CFR 219.5(c) conforming to the ISO 14001 and 36 CFR 219.5(d) establishing an EMS.

3. Implementing Administrative Units (IAU) without an established EMS. The following actions are necessary to establish the EMS. This is required before projects or activities approved under a plan developed, amended, or revised under the 36 CFR 219 (73 FR 21468) provisions can be implemented.

a. Be subject to a first-party internal audit of the EMS in accordance with the EMS Technical Guide, section 4.5.5;

b. The Responsible Official shall determine whether the nationally identified significant environmental aspects appropriately address the IAUs concerns (see FSM 1331.31), or identify additional local significant environmental aspects. This result must be documented in the IAUs EMS management review; and

c. Conduct an EMS management review (EMS Technical Guide, section 4.6 Management Review), and document the results following the procedures in the EMS Technical Guide, section 4.6.

1331.31 - National and Local Significant Environmental Aspects

1. The EMS Technical Guide, section 4.3.1 - Environmental Aspects, describes the criteria for identifying nationally and locally significant environmental aspects.

USDA Forest Service https://fs.usda.gov/wps/myportal

2. After applying the criteria for identifying locally significant environmental aspects, the responsible official shall document the results of that determination with the EMS management review.

3. In the EMS management review, document that the responsible official concurs that the nationally identified significant environmental aspects are appropriate, suggests changes to nationally identified significant environmental aspects, and/or identifies the need for additional local significant environmental aspects for consideration at the next level of management review.

1331.32 - Auditing the EMS

1. The EMS Technical Guide, section 4.5.5 EMS Internal Audit, describes the procedures for auditing the national EMS and the IAU’s implementation of the national EMS.

2. An EMS internal audit includes development of a corrective action plan for any non-conformant items found during the audit.

3. ISO 14001 conformance must be assured by adherence to the procedures detailed in the EMS Technical Guide. A “non-conformity” identified by a management review or audit under 1331.3 is not a failure to conform to 36 CFR 219.5(c), but is part of the Plan- Do-Check-Act cycle of continuous improvement that makes up an ISO 14001 conformant

EMS.

1331.4 - Transitioning Independent Unit EMSs into the National EMS

Prior to the development of the national EMS, several administrative units developed their own independent EMSs under a pilot program to test approaches to EMS development and application. EMS pilot units will also implement the national EMS. In addition, pilot units may retain, or modify their pilot EMSs within the national EMS to improve resource management on their units.

1331.5 - Declaration of Conformance

1. 2008 Planning Rule - 36 CFR 219.5(c). After conducting a first-party EMS audit, sharing the audit findings at appropriate management levels within the Agency, and developing a corrective action plan to address any nonconformities, the responsible official for the Agency’s EMS may declare the EMS to be in conformance to ISO 14001.

2. Executive Order 13423. Upon completing the requirements of CEQ Instructions for Implementing EO 13423, Section IIc, the responsible official for the Agency’s EMS may declare the EMS in conformance with the Executive Order.

1331.6 - EMS Availability to the Public

In accordance with the Freedom of Information Act, the following are subject to public availability; implementing regulations, Agency policies (FSM 6270), and EMS documentation including EMS audit results.

The ISO 14001 standard may be provided to third parties only as expressly permitted by the Forest Service ANSI license.