United States
Environmental Protection
Agency
An Organizational Guide to
Pollution Prevention
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Model
Pollution Prevention Plan
February 1995
WDCR828/001.WP5
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CONTENTS
Preface
Section 1
Section 2
Section 3
Section 4
Section 5
Section 6
Introduction and Regulatory Requirements
Commitment and Program Implementation
Baseline Survey
Pollution Prevention Opportunity Assessment
Pollution Prevention Implementation Plan
Annual Pollution Prevention Reporting
Appendix A
Appendix B
Appendix C
Appendix D
Abbreviations
Definitions
References
Sample Pollution Prevention Survey Forms
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Preface
Introduction
The Army's Model Pollution Prevention Plan (P2 Plan) is a tool for assisting an installation in a
comprehensive program for defining responsibilities, developing guidelines, and establishing
operating standards in preparing its individual pollution prevention plan.
The main objectives of the P2 plan are to establish standardized methods of doing the following:
Identifying and tracking hazardous material usage and generation of waste at each of
the installation's shops or operations.
Identifying opportunities for reducing the volume of hazardous material usage and
waste disposal through source reduction, recycle, or treatment.
Identifying a procedure for preparing an implementation plan for the orderly
adoption of pollution prevention projects.
Executive Order 12856 targets chemicals that are reportable on the Emergency Planning and
Community Right-to Know Act (EPCRA) Section 313 Toxics Release Inventory (TRI), but the
installation should focus its initial efforts on the largest material usage or waste streams generated at
the installation. The largest streams typically offer the greatest opportunities for reduction.
Model P2 Plan Methodology
The P2 Plan was prepared in accordance with the methodology outlined in U.S. Environmental
Protection Agency (EPA) guidance documents. The following specific activities are included as part
of the model plan:
commitment and program implementation
setting of goals
baseline inventory
identification of pollution prevention opportunities
preparation of an implementation plan
annual pollution prevention reporting
The activities are described in the following paragraphs.
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Commitment and Program Implementation
For a P2 Plan to be effective, it needs top management support in both policy statements and
financial resource requests. Pollution prevention needs to be made a part of the organizational
policy. An installation commitment statement and a sample pollution prevention policy statement are
included as part of this model P2 plan.
We recommend that the installation designate the Environmental Quality Control Committee
(EQCC) or equivalent body to be the policy-setting and decision-making body for pollution
prevention for the installation.
Each installation should designate a Pollution Prevention Coordinator who is responsible for
facilitating effective implementation, monitoring, and evaluation of the program.
A Pollution Prevention Assessment Team(s) (PPAT) should be formed as needed to assess
pollution prevention opportunities. The teams should be temporary, having a specific charter to
evaluate a particular waste generation activity, hazardous material usage, or pollution emission from
the installation. The primary responsibilities of the Pollution Prevention Assessment Team(s) are to:
perform pollution prevention opportunity assessments
present the findings of the assessment to the EQCC or equivalent body for approval
and funding
implement projects approved by the EQCC or equivalent body
monitor the performance of their pollution prevention projects
The PPAT should include personnel representing key installation functions that contribute to material
usage or waste streams targeted for analysis. Other support elements necessary for implementing
change in operations to facilitate the reductions also need to be represented. The team should
include members who have direct knowledge of the processes that produce waste or other harmful
emissions and technical advisors. Technical expertise can be supplemented by outside consultants
and by calling on expertise from the following Army technical centers:
Office of Director of Environmental Programs
U.S. Army Environmental Center
U.S. Army Environmental Hygiene Agency
U.S. Army Environmental Policy Institute
U.S. Army Acquisition Pollution Prevention Support Office
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U.S. Army Center for Public Works
U.S. Army Construction Engineering Laboratory
U.S. Army Armament Research, Development, and Engineering Center
National Defense Center for Environmental Excellence
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Setting of Goals
Each installation must set explicit goals for reducing the use of specific hazardous materials and
reducing the volume and toxicity of waste generation within a reasonable time frame. The goals
should support the overall goals of the installation's major command and Army-wide goals.
Baseline Inventory
A baseline inventory shall be conducted to identify the waste streams generated and hazardous
material usage at the installation and to determine the locations from which each stream originates.
The baseline inventory shall be performed on the basis of data obtained from a review of data from
industrial hygiene/safety staff (OHMIS/HHEVI); the facility's Biennial Hazardous Waste Report;
the Water and Waste Department's Hazardous Waste Operations Log for the RCRA-permitted
hazardous waste storage area; DA Form 3917, "Refuse Collection and Disposal"; and DA Form
2788-R, "Facilities Engineering Technical Data," for turn-in of recyclable materials.
Shops identified as major sources of waste or as key components in the installation's handling
system for hazardous waste shall be investigated during a site visit. Investigations may consist of
interviews with shop supervisors and other personnel, a tour of the shop, and a review of the waste-
generating procedures. The information gathered during shop visits can be used for the following
activities:
identifying specific waste-generating processes
highlighting process efficiencies and inefficiencies
identifying specific waste problems
evaluating existing pollution prevention practices
increasing concern of shop personnel for waste reduction
questioning the need for use of particular hazardous materials
Information obtained in the baseline inventory shall be used to rank waste streams or material usage
for reduction efforts. Ranking normally is based on noncompliance issues first, then on the cost of
waste disposal, and finally on the volume of waste generated. Data from the waste audit also will be
evaluated to identify the major sources of each type of waste. The results will allow a more narrow
focus on the larger waste streams and generators.
Identification and Evaluation of Pollution Prevention Opportunities
A range of pollution prevention alternatives shall be developed and screened for each of the major
waste streams and for waste management practices at the installation as a whole. Technological,
operational, and managerial pollution prevention alternatives will be identified.
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Pollution prevention alternatives that pass preliminary screening will be evaluated further for
technical and economic feasibility. Economic analyses will be performed by comparing potential
reductions in treatment and disposal costs with the estimated costs of implementing the change.
Improvements in working conditions and worker safety also should be considered.
Preparation of an Implementation Plan
An implementation plan shall be prepared to incorporate all pollution prevention alternatives that
were found economically feasible and technically practical. The plan shall outline the installation's
overall commitment and planned approach to pollution prevention and describe how each of the
chosen pollution prevention alternatives will be implemented, demonstrated, or evaluated further.
Annual Pollution Prevention Reporting
Installations have the following reporting requirements that relate to pollution prevention:
hazardous waste generator biennial or annual report, from RCRA
annual EPCRA TRI reporting, from EO 12856
Army Compliance Tracking System (ACTS) hazardous waste disposal and
recycling roll-ups, from AR 200-1
RCS 1383 reporting of programming, budgeting, and execution for all
environmental projects, including P2, from AR 200-1
Army Material Command in its ACTS data call requires its installations to report
waste generation and disposal by process category
How To Use This Model Plan
This document has been prepared as a model P2 plan for installations to use in developing their
individual plans. The P2 plan is written to be easily adaptable to meet individual site conditions.
Instructions for personnel using the plans is marked with shading ("redlining") in the text. When the
individual plan is prepared, the shaded text should be deleted. Information is included that may not
apply to a given installation. If a section does not apply, delete it. Additional sections probably will
need to be added to reflect the individual waste streams that are significant at a given installation.
For your ease, at places in the text where the individual installation name should be used, a general
installation name, "INSTALLATION-XXX," is used. When writing the plan using WordPerfect,
do a search-and-replace to replace this term with your installation name.
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Section 1
Introduction and Regulatory Requirements
Introduction
Preventing pollution is INSTALLATION-XXXs top environmental priority. The current emphasis
on pollution prevention is necessary to meet state and national pollution prevention policy goals,
reduce long-term liabilities of waste disposal, save money by reducing the installation's raw material
purchases and waste treatment and disposal costs, and protect public health and the environment.
Pollution prevention is a cost-effective means of meeting environmental objectives in an era when
Army installations are simultaneously subject to stricter standards for pollution control, public
criticism of their environmental records, and declining budgets. The costs of failing to prevent
pollution are dramatically evident; at some installations, cleanup costs are estimated in the hundreds
of millions of dollars.
Environmental liabilities increase directly with the volume of hazardous substances and materials in
use and increase to a lesser extent as a result of other materials used and the solid waste generated.
Reducing these long-term liabilities requires a positive commitment, a sound plan, and an aggressive
program for modifying past attitudes toward the conservation of all materials. Reducing liabilities
also requires actively searching for opportunities to reduce the amount of waste generated and the
use of toxic materials, fuels, and chemicals while still accomplishing INSTALLATION-XXX's
mission.
Background
Identify the installation's primary mission clearly. Include in this section information about impacts
due to the physical location of the installation: environmental, sociopolitical, cultural, and don't forget
environmental justice issues.
Regulatory and Policy Requirements
The Federal Pollution Prevention Act of 1990 was enacted on November 5, 1990. Its purposes
are as follows:
Prevent or reduce pollution at the source whenever feasible.
Promote recycling if pollution cannot be prevented.
Permit treatment if pollution cannot be prevented or recycling cannot
be implemented.
Discourage disposal or other releases into the environment.
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The Act is not limited to hazardous waste or chemicals subject to Toxics Release Inventory (TRI)
reporting under Section 313 of the Emergency Planning and Community Right-to-Know Act of
1986 (EPCRA). It also encompasses all hazardous substances, pollutants, or contaminants.
Federal facilities, including Army installations, were included in the requirements of the Act when, in
1993, President Clinton signed Executive Order 12856, setting the Federal Government's policy on
pollution prevention. The President noted:
. . . federal facilities will set the example for the rest of the country and become the
leader in applying pollution prevention to daily operations, purchasing decisions and policies. In the
process, federal facilities will reduce toxic emissions, which helps avoid cleanup costs and promotes
clean technologies.
EO 12856 requires federal facilities to report TRI releases and to set agency goals of reducing TRI
reportable releases by 50 percent from a 1994 baseline by 1999. It also requires that federal
facilities subject to any of the requirements of EPCRA prepare P2 plans by the end of 1995 that
indicate how the facility will support the Agency's P2 goals. Facility P2 plans should include a
detailed inventory of waste generation, an analysis of pollution prevention opportunities and options,
and a plan for implementing pollution prevention measures.
The Department of the Army (DA) also has issued regulations that stress minimizing the negative
effects of the Army's activities on the environment. Army Regulation (AR) 200-1, Environmental
Quality: Environmental Protection and Enhancement., prescribes DA responsibilities, policies,
and procedures for preserving, protecting, and restoring the quality of the environment. AR 200-1
sets the Army's policy for hazardous waste minimization. It requires Army installations to reduce the
quantity or volume and the toxicity of hazardous wastes whenever economically practical or
environmentally necessary.
This P2 plan is based on current Army guidance and is being used by each installation to comply
with the Federal Pollution Prevention Act of 1990; the Superfund Amendments and Reauthorization
Act of 1986 (SARA); the Toxic Substances Control Act (TSCA); the Clean Air Act Amendments
of 1990; the Clean Water Act of 1987; the Montreal Protocol on Substances that Deplete the
Ozone Layer; Executive Order 12856; and DOD Directive 4210.15, Hazardous Material
Pollution Prevention., dated July 27, 1989. The P2 Plan is framed according to the protocol
outlined in EPA guidance manuals, Waste Minimization Opportunity Assessment Manual
(EPA/625/7-88-003, July 1988), and Facility Pollution Prevention Guide (EPA/600/R-
92/088). The plan was prepared in accordance with Guidance to Hazardous Waste Generators
on the Elements of a Pollution Prevention Program (Federal Register., May 28, 1993).
Definitions of Pollution Prevention Terms
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Under Executive Order 12856, pollution prevention means source reduction and other practices
that reduce or eliminate the creation of pollutants through:
increased efficiency in the use of raw materials, energy, water, or other resources
protection of natural resources by conservation
The Federal Pollution Prevention Act of 1990 defines "source reduction" to mean any practice that:
reduces the amount of any hazardous substance, pollutant, or contaminant entering
any waste stream or otherwise released into the environment (including fugitive emissions) before
recycling, treatment, or disposal
reduces the hazards to public health and the environment associated with the release
of such substances, pollutants, or contaminants
The term includes equipment or technology modifications, process or procedure modifications,
reformulation or redesign of products, substitution of raw materials, and improvements in
housekeeping, maintenance, training, and inventory control.
Under the Act, recycling, treatment, and disposal are not included in the definition of pollution
prevention. However, some practices commonly described as "in-process recycling" may qualify
as pollution prevention. Examples include solvent recycling using an integral still, continuous filtering
of a plating bath, and recovery of volatile organic compounds (VOCs) from degreasing vents.
Recycling that is conducted in an environmentally sound manner shares many of the advantages of
prevention: It can reduce the need for treatment or disposal and conserve energy and natural
resources.
Techniques for pollution prevention fall into six categories: source reduction, in-process recycling,
process modification, improved plant operations, input substitutions, and changes in end-product.
Before pollution prevention techniques can be used, a waste assessment must be conducted to
show where reduction methods implemented by a facility can be most effective. Potential pollution
prevention methods then are pinpointed. Pollution prevention requires a multimedia assessment.
Transferring pollution from one medium to another does not constitute pollution prevention.
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Section 2
Commitment Goals and Program Implementation
Commitment
INSTALLATION-XXX is committed to reducing the environmental effects of its activities through
an active pollution prevention program. In support of this commitment, the installation's pollution
prevention policy statement (Figure 2-1) has been prepared and disseminated to all affected
individuals in the installation.
Army Pollution Prevention Goals
This subsection will summarize the Army's Pollution Prevention goals and when they are finalized,
targeting particular classes of wastes or materials used and how the particular installation is to
support these goals, as required by EO 12856.
MACOM Pollution Prevention Goals
This subsection will summarize the MACOM Pollution Prevention goals and when they are finalized,
targeting particular classes of wastes or materials used and how the particular installation is to
support these goals.
Installation Pollution Prevention Goals
The long-term goal of INSTALLATION-XXX is to eliminate the use of hazardous materials,
eliminate the generation of wastes, and eliminate emissions of pollutants to the environment (zero
discharge). Achieving the goal of complete elimination is recognized as not being technically or
economically feasible. Thus, goals have been adopted as interim measures with the ultimate goal of
achieving zero discharge (Table 2-1).
Program Implementation
The Pollution Prevention (P2) program at INSTALLATION-XXX will be managed in accordance
with AR420-47 and AR 200-1. This plan and the policies and procedures established to
implement the plan are developed and approved by the EQCC or equivalent. The Pollution
Prevention Program is implemented by the Installation's Pollution Prevention Coordinator, with the
assistance of Pollution Prevention Assessment Teams as needed to develop, evaluate, and
implement specific pollution prevention projects.
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Table 2-1
INSTALLATION-XXX POLLUTION PREVENTION GOALS
Waste Type
Hazardous
Waste
Hazardous
Waste
Hazardous
Waste
Hazardous
Waste
Solid Wastes
Ozone -
Depleting
Chemical Use
TRI Reportable
Releases
Subtype
EPA Toxic 17
Wastes
Solvent Wastes
Acids and
Bases
Reduction Goal
(%)
50%
Baseline Year
1994
Target Year
1999
Environmental Quality Control Committee
The EQCC is the policy-setting and decision-making body for pollution prevention at
INSTALLATION-XXX. The EQCC will closely coordinate their actions with the installation's
Hazardous Waste Management Board (Ref. AR 420-47) to complement actions, not duplicate
them. The following list summarizes the responsibilities of the EQCC:
Brief the installation commander (1C) on all actions necessary or under way to make
a pollution prevention program successful.
Establish overall pollution prevention policies and procedures.
Establish pollution prevention goals.
Direct activities of the Pollution Prevention Coordinator.
Rank the waste streams, processes, or facility areas for assessment.
Establish priorities for implementation of proj ects.
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Obtain funding and establish schedule for implementation.
Monitor or direct implementation progress.
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The EQCC or equivalent is chaired by the following individual:
• Insert EQCC Chairperson here
A field grade officer from any major contributor to the installation's waste stream shall be the
chairperson of the EQCC.
Figure 2-1
INSTALLATION-XXX
Pollution Prevention Policy Statement
INSTALLATION-XXX is committed to an active policy of protecting the environment in all of
our activities. This pollution prevention policy statement is based on our commitment to the
following:
providing a clean and safe environment in our community
ensuring a safe and healthy workplace for our staff
complying with all applicable laws and regulations
efficiently accomplishing our mission
reducing future liability for waste disposal
reducing waste management costs
To accomplish these objectives, we will implement programs for reducing or eliminating
generation of waste through source reduction and other pollution prevention methodologies. This
policy extends to air, wastewater, and solid and hazardous wastes. In addition to meeting the
objectives, there are other important benefits related to pollution prevention.
INSTALLATION-XXX is committed to reducing the weight and toxicity of generated wastes.
As part of this commitment, INSTALLATION-XXX gives priority to source reduction. Where
source reduction is infeasible, other pollution prevention methods, such as recycling, will be
implemented where feasible. The wastes that cannot be prevented will be converted to useful
products or used beneficially, where feasible. Remaining wastes for which no pollution
prevention option is warranted will be effectively treated (to decrease volume or toxicity) and
responsibly managed. INSTALLATION-XXX will select waste management methods that
minimize present and future effects on human health and the environment.
Pollution prevention is the responsibility of all of our staff. INSTALLATION-XXX is
committed to identifying and implementing pollution prevention opportunities through solicitation,
encouragement, and involvement of all employees.
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The EQCC includes the organizations or departments that have significant operational or
administrative interest in developing a pollution prevention plan. The EQCC has representatives of
the following organizations:
Directorate of Public Works
Directorate of Resource Management
Directorate of Logistics
Directorate of Contracting
Directorate of Personnel and Community Activity
Directorate of Transportation
Directorate of Industrial Operations
U.S. Army Medical Activity (MEDDAC)
Additional members of the EQCC could include representatives of Safety and Health; Fire
Protection: Preventive Medicine Services: Public Affairs Office: Staff Judge Advocate: Defense
Reutilization Marketing Office (DRMO), Finance and Accounting; and Army, Air Force Exchange
System (AAFES). An existing council if qualified, may be used instead of establishing a new
board.
Pollution Prevention Coordinator
The Pollution Prevention Coordinator has overall responsibility for the development and
implementation of the P2 plan. The Pollution Prevention Coordinator has the responsibility for
organizing, implementing, managing, or monitoring the following pollution prevention methods and
programs:
integrating pollution prevention in the installation's comprehensive planning
preparing and updating baselines for hazardous material use and waste generation
coordinating the performance of pollution prevention opportunity assessments
(PPOAs) to identify and evaluate pollution prevention procedural changes, projects, and equipment
recommending priorities for funding pollution prevention projects and equipment
establishing policies for identifying, procuring, and tracking hazardous materials
developing the installation's pollution prevention training programs
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Pollution Prevention Assessment Team(s)
Pollution Prevention Assessment Team(s) (PPAT) will be formed as needed to perform PPOAs.
The teams will be temporary, having a specific charter to evaluate a particular waste generation
activity, hazardous material use, or pollution emission from the installation. The primary
responsibilities of the PPAT are to:
perform PPOAs
present the findings of the assessment to the EQCC for approval and funding
implement proj ects approved by the EQCC
monitor the performance of their pollution prevention proj ects
The PPAT may be led by the installation's Pollution Prevention Coordinator or by a team leader
who has a vested interest in the particular waste streams or operations to be investigated.
The PPAT will include personnel representing key installation functions that contribute to material
use or waste streams targeted for analysis. Other support elements necessary for implementing
changes in operations to facilitate the reductions also will be represented. The team will include
members who have direct knowledge of the processes that produce waste or other harmful
emissions and technical advisors.
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Section 3
Baseline Inventory
A baseline inventory is necessary for two reasons. The quantities of waste generation or toxic
material use are assessed to target specific waste streams, materials being used, or activities for
pollution prevention. Annual reports on waste generation and toxic material use will be compared
with the baseline inventories to evaluate the effectiveness of pollution prevention projects and to
monitor progress in achieving INSTALLATION-XXXs pollution prevention goals. For facilitating
this comparison, the same formats are used for the baseline inventory and annual reports.
Measurements of materials used and wastes generated take into account production levels (such as
vehicles maintained or number of soldiers trained), so that P2 is not accomplished solely due to
reductions in training or maintenance.
Baseline inventories have been prepared for the following categories and subcategories of waste
and material use:
Hazardous Waste Generation (Table 3-1)
Solvent Waste Generation
Waste Acids and Bases Generation
EPA Toxic 17 Waste Generation (Table 3-2)
Solid Waste Generation (Table 3-3)
Ozone-Depleting Chemicals (ODCs) Usage (Table 3-4)
TRI Reportable Releases (Table 3-5)
All data in these tables are reported in annual quantities.
Some categories overlap (e.g., solvent wastes, waste acids and bases, and EPA Toxic 17 wastes
also will appear as hazardous waste; some of the EPA Toxic 17 wastes can be solvents). The use
of the baseline inventories will assist in developing projects for meeting the pollution prevention goals
of INSTALLATION-XXX.
This section contains the summary of the Baseline Inventory. Detailed baseline information is in the
appendices.
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Table 3-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 19 of 3
Waste Type
1. Solvent
Wastes
2. Acids &
Bases
3 . Wastewater
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 19 of 3
Waste Type
Treatment
Sludges
4. Fuels
5.
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 19 of 3
Waste Type
6.
7.
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 19 of 3
Waste Type
8.
9.
10.
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 19 of 3
Waste Type
11.
12.
TOTAL
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
100 %
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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WDCR828/013.WP5
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
1 . Benzene
2. Cadmium &
compounds
3. Carbon
Tetrachloride
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
4. Chloroform
5. Chromium &
compounds
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
6. Cyanides
7. Dichloromethane
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
8. Lead & compounds
9. Mercury &
compounds
10. Methyl Ethyl
Ketone
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
11. Methyl Isobutyl
Ketone
12. Nickel &
compounds
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
13.
Tetrachloroethylene
14. Toluene
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
15. Trichloroethane
16. Trichloroethylene
17. Xylene
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-2
199 ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 25 of 5
Waste Type
TOTAL
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
100%
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 3-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 3 3 of 3
Waste Type
1. Aluminum Cans
2. Corrugated
Cardboard
3. Office Paper
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
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Table 3-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 3 3 of 3
Waste Type
4. Newspaper
5. Glass
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
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Table 3-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 3 3 of 3
Waste Type
6. Ferrous Cans
7. Plastic (PET soft
drink
bottles, HDPE milk
jugs,
etc.)
8. Yard Waste
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
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Table 3-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 3 3 of 3
Waste Type
9. Unclassified Waste
10. Engine Oils
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
3-36
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Table 3-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 3 3 of 3
Waste Type
11. Engine Coolants
12.
TOTAL
Waste
(Ibs)
% of Total
Waste
100%
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
WDCR828/015.WP5
3-37
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Table 3-4
199 USAGE OF OZONE DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 3 8 of 3
ODC Type
1 . Freons
2. Halons
3. Cleaning Solvents
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
3-38
-------
Table 3-4
199 USAGE OF OZONE DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 3 8 of 3
ODC Type
4. Paint Strippers
5.
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
3-39
-------
Table 3-4
199 USAGE OF OZONE DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 3 8 of 3
ODC Type
6.
7.
8.
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
3-40
-------
Table 3-4
199 USAGE OF OZONE DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 3 8 of 3
ODC Type
9.
10.
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
3-41
-------
Table 3-4
199 USAGE OF OZONE DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 3 8 of 3
ODC Type
11.
12.
TOTAL
Usage
(Ibs)
% of Total
Use
100%
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
WDCR828/016.WP5
3-42
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Table 3-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 43 of 3
TRI Chemical
1.
2.
3.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
Obs)
% of TRI
Chemical
3-43
-------
Table 3-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 43 of 3
TRI Chemical
4.
5.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
Obs)
% of TRI
Chemical
3-44
-------
Table 3-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 43 of 3
TRI Chemical
6.
7.
8.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
Obs)
% of TRI
Chemical
3-45
-------
Table 3-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 43 of 3
TRI Chemical
9.
10.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
Obs)
% of TRI
Chemical
3-46
-------
Table 3-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 43 of 3
TRI Chemical
11.
12.
TOTAL
Code
Releas
e (Ibs)
%of
Total
Release
100 %
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
Obs)
% of TRI
Chemical
WDCR828/052.WP5
3-47
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Section 4
Pollution Prevention Opportunity Assessment
The PPOA enables INSTALLATION-XXX to examine the alternatives available for pollution prevention. The modules identify the waste
stream and the operation from which the stream may be generated, describe the process, and present several pollution prevention alternatives.
Each alternative is described along with its advantages and disadvantages.
INSTALLATION-XXX will use these forms to perform the assessment. Included in Appendix D are sample pollution prevention survey
forms. The form should be used by the Pollution Prevention Coordinator or the EQCC as a tool during the survey. The forms contain
questions and note areas to examine when interviewing or working with personnel who generate the waste.
The installation will be required to furnish information on the assessment forms. The needed information is the estimated reduction, a technical
evaluation, and an economic evaluation. Base personnel will have to describe site-specific conditions so that the amount of reduction possible
and the technical and economic feasibility of the alternative can be determined. The information generated by the installation will determine if
these alternatives are good pollution prevention opportunities. Personnel performing the PPOA will have to work with the personnel generating
the waste to find the best methods for reducing the waste stream.
Assessment modules are included for the following areas or waste streams:
Format Example
The following are P2 examples that typically have been found to work. They should be expanded to include materials listed in the format
example. It is important to note that these are example assessment modules and should not be used verbatim. Site-specific information and
cost data will need to be generated to assess the suitability and feasibility of each alternative process or chemical for your installation.
Waste Solvent from Parts Cleaning
Cleanup Solvents from Painting
VOC Emissions from Painting
Scrubber Sludge from Paint Booths
Liquid Paint- Stripping Waste
Dry Paint- Stripping Waste
4-48
3-48
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Battery Acids
Radiator-Cleaning Waste
Solid Waste
Used Oil from Vehicle Maintenance
Used Oil Filters from Vehicle Maintenance
Used Antifreeze from Vehicle Maintenance
Halon Used in Fire Extinguishers
Freon Used in Refrigeration
WDCR828/006.WP5
4-49
3-49
-------
Pollution Prevention Opportunity Assessment Module
Waste Solvents From Parts Cleaning
Waste Stream: Waste Solvents
Operation: Parts Cleaning
Description
Waste solvents are routinely generated at military facilities during parts cleaning. Parts cleaning typically takes place during maintenance
of vehicles and heavy equipment. The waste stream generated during these activities includes liquid waste solvent and degreasing compounds
containing unwanted film material, air emissions of volatile solvents, solvent-contaminated wastewater, and solid waste consisting of oil, grease,
soil particles, and other film material. There are three common solvent cleaning methods: cold cleaning, vapor degreasing, and precision
cleaning. During cold cleaning, the solvent is applied either by brush or by dipping the items in a solvent dip tank. Vapor degreasing uses steam
coils for heating the solvent to produce a vapor, and the item to be cleaned is inserted into the vapor region, where the solvent condenses,
removes dirt and grease, and drips back into the tank. Precision cleaning flushes the article being cleaned with a solvent.
Alternative 1: Onsite Recycling Using Distillation
Description
Distillation is a recycling method for spent solvents that involves boiling and recovering the solvent. A small amount of sludge remains.
The sludge is the dirt and grease from the cleaning process. Distillation reduces the need for offsite transportation and manifesting. Distillation
units come in various sizes and types. Small batch-style units would be appropriate for facilities with low solvent usage. Larger units are
available that could be centrally located to service several users.
The advantage of onsite distillation is that the facility controls its own hazardous waste. Sending solvents off the site is expensive and
requires manifesting of the waste. The disadvantages are that distillation requires labor, energy, cooling water, and maintenance. Solvents that
are to be recovered by distillation must be segregated.
Prevention Type: Recycling
Estimated Reduction: To be determined by the installation
4-3
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Pollution Prevention Opportunity Assessment Module
Waste Solvents From Parts Cleaning
Technical Evaluation: To be determined by the installation
4-4
-------
Economic Evaluation
Investment Cost: To be determined by the installation
Annual Savings: To be determined by the installation
Payback Period: To be determined by the installation
Alternative 2: Off-Facility Recycling
Description
Companies exist that provide the equipment and solvent for parts cleaning. The equipment is rented, and the company is contracted to
pick up the spent solvent, supply fresh solvent, and recycle the spent material. The spent material will require a manifest. These units typically
are dip tanks.
The advantage of this alternative is that the user does not have to dispose of waste solvents. The disadvantage is that the alternative is
subject to the availability of local recyclers, is more expensive than having an in-house unit, is less convenient, and has the added liability of
having an outside entity responsible for handling the installation's hazardous waste.
Prevention Type: Offsite Recycling
Estimated Reduction: To be determined by the installation
Technical Evaluation: To be determined by the installation
Economic Evaluation
Investment Cost: To be determined by the installation
Annual Savings: To be determined by the installation
4-5
-------
Payback Period: To be determined by the installation
Alternatives: Water-Based Cleaners
Description
Aqueous and semiaqueous cleaners are available that may be substituted for solvents. The cleaners can be alkaline or acidic or alcohol-
based. The advantage of water-based cleaners is that solvent use can be eliminated. Eliminating solvents will reduce environmental liability and
reporting and documentation requirements. The disadvantages are that the effectiveness of water-based cleaners for a specific task will have to
be measured. Water-based cleaning may not be acceptable for all materials or processes. Another disadvantage is that aqueous cleaning still
can produce a significant volume of waste that has to be managed and may be classified as hazardous waste because of its contents or pH.
Prevention Type: Product Substitution
Estimated Reduction: To be determined by the installation
Technical Evaluation: To be determined by the installation
Economic Evaluation
Investment Cost: To be determined by the installation
Annual Savings: To be determined by the installation
Payback Period: To be determined by the installation
WDCR828/022.WP5
4-6
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Pollution Prevention Opportunity Assessment Module
Cleanup Solvents From Painting
Waste Stream: Cleanup Solvents
Operation: Painting
Description
Most painting on Army installations is performed by conventional liquid spray technologies. The paint is mixed with a carrier, usually an
organic solvent, and is applied to the surface with an air-pressurized sprayer. A major source of waste generated during painting is solvents
used to clean painting equipment. Most paints are solvent-based, so they require solvents for cleanup. The solvents used depend on the type of
paint used. Some of 1he more common solvents are methyl ethyl ketone (MEK); xylene; 1,1,1-trichloroethane; toluene; butyl acetate; ethylene
glycol; and alcohol.
Alternative 1: Use painting methods that minimize solvent use.
Description
Solvent use can be reduced by changing painting methods. Powder coating or electrostatic dry-powder painting are two methods that
minimize solvent use. Dry powder is air-blown onto the equipment, and the equipment is cured in an oven to bond the paint to the substrate.
Electrostatic dry-powder painting sprays ionized dry powder onto a surface that has the opposite charge. The major limitation of dry-powder
painting is that the items to be painted must be able to withstand the typical curing temperature of 350°F for 30 minutes.
Alternative 2: Use water-based paint when possible.
Description
Water-based paint is used to eliminate the need for solvent cleaners. The disadvantages of water-based paint are that the surface must
be free of oil and grease so that the paint will adhere, longer drying times are required, and the transfer efficiency may not be as high as solvent-
based paints.
Alternative 3: Use specialized cleaning equipment.
4-7
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Pollution Prevention Opportunity Assessment Module
Cleanup Solvents From Painting
Description
Specialized equipment is available for cleaning paint guns and other paint-application equipment. Waste solvents requiring disposal as a
hazardous waste can be eliminated.
Alternative 4: Collect and recycle cleaning solvent.
Description
Cleaning solvents can be collected and recycled using distillation. Several companies manufacture small distillation units or batch stills.
Solvent can be recovered and reused. The residue from the distillation will have to be disposed of properly, most likely as a hazardous waste.
WDCR828/023.WP5
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Pollution Prevention Opportunity Assessment Module
VOC Emissions From Painting
Waste Stream: Volatile Organic Compounds Emission
Operation: Painting
Description
Volatile organic compounds (VOCs) are used during painting operations and are emitted to the air. Most painting on Army installations
is performed by conventional liquid spray technologies. The paint is mixed with a carrier, usually an organic solvent, and is applied to the
surface with an air-pressurized sprayer. One of the largest volumes of waste generated during painting is air emissions. During typical spray
painting in a spray booth, 50 percent of the paint is deposited on the surface being painted, and the other 50 percent is sprayed into the air. As
the paint dries, the solvent evaporates into the air.
USEPA regulates VOCs emitted from paint coating. Federal VOC limits for paint are 420 g/L for paints that cure below 90°C and
360 g/L for paints that cure above 90°C. Some state air-pollution control agencies are setting strict VOC content limits for paint. For example,
the South Coast Air Quality Management District in California has set a 300 g/L VOC limit for general air-dried paints used for coating metal
parts and products in fabricating and painting shops. Local regulatory agencies also control VOCs by setting total permissible discharge limits
from facilities. The limits include point sources and fugitive sources. The U.S. Environmental Protection Agency is required to develop limits for
toxic air emissions. The limits probably will have an effect on both the types of solvents used in paint and those used in cleanup.
Alternative 1: Use painting methods that minimize solvent use.
Description
VOC emissions can be reduced by changing painting methods. Powder coating or electrostatic dry-powder painting are two methods
that minimize solvent use. Dry powder is air-blown onto the equipment, and the equipment is cured in an oven to bond the paint to the
substrate. Electrostatic dry-powder painting sprays ionized dry powder onto a surface that has the opposite charge. The major limitation in
dry-powder painting is that the items to be painted must be able to withstand the typical curing temperature of 350°F for 30 minutes.
-------
Alternative 2: Use paint formulations that minimize or eliminate solvent use.
Description
VOC emissions can be reduced by using high-solid or low-VOC coatings. The coatings contain about 50 to 95% solids. The coatings
require special spray equipment for application because of their high viscosity. Surface preparation for reducing the presence of grease or oil is
more critical because of less solvent in the paint. In addition, spray application can be wasteful because there is a tendency to apply too much
coating to achieve a "wet" appearance similar to that obtained with normal solvent coatings.
Alternative 3: Use water-based paint when possible.
Description
Use water-based paint to eliminate the need for solvents and the resulting VOC emissions. Water-based paint uses a water-based
solvent as the carrier. The disadvantages of water-based paint are that the surface must be free of oil and grease so that the paint will adhere,
longer drying times are required, and the transfer efficiency may not be as high as for solvent-based paints.
WDCR828/024.WP5
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Pollution Prevention Opportunity Assessment Module
Paint Booth Scrubber Sludge
Waste Stream: Scrubber Sludge from Paint Booths
Operation: Painting
Description
Most painting on Army installations is performed by conventional liquid spray technologies. The paint is mixed with a carrier, usually an
organic solvent, and is applied to the surface with an air-pressurized sprayer. The largest volume of hazardous waste generated in painting
involves air emissions that create paint sludge. For instance, during typical spray painting in a spray booth, 50 percent of the paint is deposited
on the surface being painted, and the other 50 percent is sprayed into the air. As the paint dries, the solvent evaporates into the air. The air
from the paint booth then is exhausted through a water scrubber that separates the paint from the air. The scrubber water normally is recycled,
and paint solids are concentrated into a scrubber sump. When the sumps fill, the sludge is removed and put in drums for disposal.
Alternative 1: Use painting methods with higher transfer efficiencies.
Description
The amount of overspray from painting equipment should be minimized. Conventional air-atomized spray painting techniques are very
inefficient. Some other coating methods that have higher transfer efficiencies include electrostatic spraying, airless spraying, dip coating, and
powder coating.
Alternative 2: Use dry-filter paint booths.
Description
Changing the air-treatment system to dry filters will eliminate the scrubber system. This will reduce water use and potentially the amount
of sludge to be disposed of. However, the filters from the system will have to be disposed of. Testing will be required to determine if the filters
are hazardous waste.
4-10
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Alternative 3: Use water-based paint when possible.
Description
Water-based paint is used to eliminate the need for solvents and the resulting VOC emissions. Water-based paints use a water-based
solvent as the carrier. The disadvantages of water-based paint are that the surface must be free of oil and grease so that the paint will adhere,
longer drying times are required, and the transfer efficiency may not be as high as for solvent-based paints.
Alternative 4: Implement better employee operating practices.
Description
Paint-spray systems often are manually operated, so employee training will reduce the amount of paint used and promote waste
reduction. Keeping the air pressure low and the spray gun perpendicular to the surface adds several degrees of accuracy to the system by
preventing overspray and minimizing sludge in the air-treatment system.
WDCR828/025.WP5
4-11
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Pollution Prevention Opportunity Assessment Module
Liquid Paint-Stripping Wastes
Waste Stream: Liquid Paint-Stripping Waste
Operation: Paint Stripping
Description
Paint stripping is the process of removing paint and paint-type coatings from surfaces, usually as a preparation for inspection,
dismantling, reconditioning, or repainting. Solvents or solvent-chemical mixtures are applied to the surface to destroy either the paint coating
itself or the coating's ability to stick to the surface. When this process is complete, the residue of paint or solvent is removed from the surface,
usually by a pressurized water wash or by scraping. In many instances, the solvent stripper must be reapplied to remove multiple coats or paint
that is particularly resistant.
The wastes generated in the stripping process are a significant source of pollutants. The wastes include solvent or paint residue, which
can be collected separately, and waste washwater, which contains solids and dissolved chemicals from paints and solvents. Collected solvent
or paint residue typically is put in drums and transported to a licensed hazardous waste disposal site. Waste washwater requires treatment in an
industrial wastewater treatment plant to remove the paint-stripping solvents (usually phenolic or methylene chloride components) and the metals
either in the paint or in the material being stripped.
Alternative 1: Use mechanical methods for removing paint.
Description
A new plastic medium has been developed for blast-stripping painted surfaces without damaging the undersurface. This new material
has many advantages over other materials, including engineered abrasive characteristics. It is recyclable, durable, and nonhazardous. The
material is constructed of soft plastic formed into rough-edged granular media. Old paint is dislodged using the new media and conventional
sand-blasting equipment. The resulting dry waste of pulverized paint and plastic media has significantly less volume and is more readily disposed
of than the wastewater produced in solvent-based paint stripping. The plastic medium can be separated from the paint using a cyclone. The
medium also can be recycled or reclaimed.
4-12
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Pollution Prevention Opportunity Assessment Module
Liquid Paint-Stripping Wastes
One disadvantage is that mechanical stripping is not appropriate for the equipment. Another problem may be that the volume of material
requiring paint stripping may not be great enough to justify the capital cost of the system. Advantages include elimination of solvent use, which
results in less environmental liability, lower solvent emissions, and less waste shipped off the site as hazardous waste.
Alternative 2: Use different stripping solution.
Description
Nonphenolic stripping solutions can be substituted for traditional stripping solutions. Substances such as benzyl alcohol can be used to
remove paint. Benzyl alcohol is not a regulated substance under SARA. The effectiveness of any substituted product will have to be evaluated.
The disadvantage of this alternative is that the effectiveness of the new product must be determined. While eliminating solvent use, the new
product may generate more waste than before. If product substitution works, then the liabilities, solvent emissions, and disposal costs
associated with traditional paint stripping will be eliminated or greatly reduced.
WDCR828/026.WP5
4-13
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Pollution Prevention Opportunity Assessment Module
Dry Paint-Stripping Waste
Waste Stream: Dry Paint-Stripping Waste
Operation: Paint Stripping
Description
Conventional sand blasting, abrasive blasting, and glass-bead blasting have been used to remove paint and rust from metal surfaces.
These techniques cannot be used in many applications, because the abrasive media can damage aluminum or fiberglass surfaces and small or
delicate steel parts. In the late 1980s, plastic media blasting was developed and manufactured for blast-stripping painted surfaces without
damaging the undersurface. The new material has many advantages over other materials: It is recyclable, durable, and nonhazardous.
Today, spent plastic media are used routinely at Army corrosion-control and paint shops during normal paint- and corrosion-removal
activities. Both media are used to remove paint from aluminum and steel vehicles, aircraft, and ground equipment parts. The operation takes
place in a sealed booth. The spent media and the paint dust are removed through a vacuum and mechanically sorted. Reusable media are
returned to the hopper for reuse; spent (pulverized) media and paint dust are discharged to a drum for disposal. This waste normally is
characterized as hazardous because it contains concentrations of chromium, cadmium, and lead.
Alternative: Recycle and Reuse
Description
Plastic media that cannot be recovered through mechanical sorting could be recycled into other products. Vendors may be able to
accept the spent material and reprocess the material back into basic plastic materials. Other options include mixing the spent material with paint
to create a rough finish where needed, such as for a floor or other surface. Some companies rent the blasting media. When it becomes spent,
the vendors take the material back. The vendor then reprocesses or separates the usable material for inclusion as raw materials into other
products.
The advantage of recycling is the reduction or elimination of a waste stream. The disadvantages are that vendors may not be readily
available or capable of accepting the facility's specific waste stream.
4-14
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Pollution Prevention Opportunity Assessment Module
Dry Paint-Stripping Waste
WDCR828/027.WP5
4-15
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Pollution Prevention Opportunity Assessment Module
Battery Acid from Vehicle Maintenance
Waste Stream: Battery Acid
Operation: Vehicle Maintenance
Description
Battery acid is a main component of lead acid batteries from vehicles. Sulfuric acid typically is used in lead acid batteries. Military
installations have a high demand for batteries. There are two typical methods for handling battery acid from dead batteries: (1) draining the
battery and neutralizing the acid and (2) shipping the battery to a recycler without removing the acid. Potential environmental and safety
problems of battery acid are its corrosive nature and the typically high concentrations of lead. Use of metal equipment during draining
operations should be prohibited.
Alternative: Return wet batteries.
Description
If the current operating practice is to drain batteries, explore the opportunities for returning or recycling batteries with the acid still inside.
Returning wet batteries eliminates potential environmental problems from draining or treatment. The advantages include elimination of the acid
waste stream that contains corrosive waste and lead. The disadvantages may include the limited number of vendors that want to accept
batteries containing acid. Wet batteries also will require heated storage areas to prevent freezing and cracking of the batteries. This alternative
is more desirable if such a storage area is readily available.
WDCR828/046.WP5
4-16
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Pollution Prevention Opportunity Assessment Module
Radiator-Cleaning Wastes
Waste Stream: Radiator-Cleaning Wastes
Operation: Radiator Cleaning
Description
Spent radiator-cleaning solution must be disposed of as hazardous waste because of its heavy-metal content. Radiators are drained and
then cleaned by immersing them in a tank that is covered and heated. The tank is commonly called a "boil-out tank" or a "hot tank."
Radiator-cleaning solution, typically sodium hydroxide-based, is prepared from a powdered concentrate and added to the boil-out tank.
Depending on use, the radiator-cleaning solution is spent after 3 to 12 months of use. The buildup of dissolved oils and grease causes the
solution to become buffered. There usually is no visual indication of a loss in strength, such as buildup of floating oil and grease in the tank.
Increased foaming during heating can indicate a loss of strength. The spent solution typically contains up to 50,000 mg/L of lead at a pH of 11
to 12. The spent solution also contains solids, which normally settle to the bottom of the boil-out tank as sludge.
Alternative 1: Minimizing Change- Out of Boil- Out Tank
Description
The manufacturers of the cleaning solution typically state that the minimum change-out frequency is once per year. Depending on the
number of radiators cleaned, precleaning procedures, and bath maintenance, however, bath life can be extended to as long as 10 years. Sludge
should be shoveled from the boil-out tank weekly, and a maintenance charge of fresh chemical should be added to the bath every 2 weeks.
Bath life also can be extended by minimizing the buildup of oil and sludge by some combination of draining, rodding, flushing, or blowing
out radiators before they are inserted into the boil-out tank. Also important is removing as much oil as possible from the oil cooler before
insertion of the radiators into the boil-out tank.
Alternative 2: Reducing Waste Volume
Description
4-17
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Pollution Prevention Opportunity Assessment Module
Radiator-Cleaning Wastes
The volume of waste requiring disposal as a hazardous waste can be minimized by removing the bath and trapping the solids by settling
or filtration. The separated liquid can be returned to the tank for reuse. Alternatively, the boil-out tank can be outfitted with a side-stream
filter/strainer and pump to remove solids and oil from the bath, thereby minimizing sludge generation and extending bath life.
Another technique is to increase the temperature of the bath, open the bath cover, and evaporate as much of the bath as possible,
thereby minimizing the volume for disposal. The sludge may be removed by shovel, and the bath may be reused.
Alternative 3: Replacing Boil- Out Tank
Description
The volume of waste generated may be minimized by modifying or replacing the existing boil-out tank. Consideration should be given to
obtaining a smaller-volume boil-out tank capable of processing the same number of radiators. For example, 120-gallon tanks are available for
processing up to 64 radiators per day. The dimensions of the cleaning bath must be matched to each radiator's dimensions.
Ultrasonic cleaning tanks that use as low as 50 gallons of cleaning solution also are available.
Alternative 4: Sludge Dewatering
Description
The sludge generated by the boil-out tank probably is heavily contaminated with lead. Disposal cost can be minimized by removing as
much water as possible from the sludge. Sludge shoveled from the boil-out tank can be placed into drums and allowed to air-dry over time or
can be placed in 5-gallon buckets, allowing the solids to settle before decanting the liquid to the boil-out tank. A cloth or paper filter can be
used to separate the liquid from the solids. Sludge also can be dried in drums by using electric band drum heaters.
WDCR828/028.WP5
4-18
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Pollution Prevention Opportunity Assessment Module
Solid Waste
Waste Stream: Solid Waste
Operation: All Base Activities
Description
Solid waste is generated throughout INSTALLATION-XXX and is disposed of at to be inserted by installation A waste audit was
performed, and tons of solid waste were estimated as being generated in 19—.
Alternative 1: Modification of Purchasing Practices.
Description
Purchase products that are reusable and durable and that have reduced volume or weight.
1. Require suppliers to ship orders in reusable or returnable packaging, such as wooden pallets and polystyrene peanuts,
so that those items can then be reused in INSTALLATION-XXX packaging and shipping operations.
2. Install hot-air dryers or cloth-towel rolls instead of using paper towels in restrooms.
Alternative 2: Staff Education
Description
Educate staff to use fewer materials:
1. Use central bulletin boards or computer bulletin boards for memos, reports, and announcements instead of making one
copy for each staff member.
2. Use electronic mail.
4-19
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Pollution Prevention Opportunity Assessment Module
Solid Waste
3. Use double-sided copying.
4-20
-------
Alternative 3: Donation or Sale of Usable Materials.
Description
Donate or sell usable materials:
1. Donate leftover and surplus food to a food bank.
2. Identify and donate old supplies to a charity or a school or offer them for sale to staff or to the general public.
Alternative 4: Reduction of Yard Waste
Description
Reduce the amount of yard waste generated:
1. Recycle grass clippings by leaving them on the lawn and allowing them to decompose naturally.
2. Convert clippings, brush, and pruned branches to yard mulch.
Alternative 5: Office Recycling
Description
Reduce the amount of solid waste disposed of:
1. Recycle waste paper by locating recycling bins at copy machines and other locations. Equip each office with a separate
container for disposing of waste paper.
2. Recycle aluminum soft drink cans by locating recycling bins in kitchens, lunch rooms, break rooms, and other areas
where soft drink machines and refrigerators are located. Provide manual can compactor to reduce volume of waste and quantity of cans that
can be stored in the recycling bin.
4-21
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4-22
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Alternative 6: Residential Recycling
Description
Reduce the amount of solid waste disposed of by segregating the following from the trash for curbside pickup:
1. Newspapers
2. Aluminum Cans
3. Ferrous Cans
4. Glass
Alternative 7: Mixed-Waste Recycling
Description
Mixed-waste or back-end recycling relies on separating recyclables from a mixed-waste stream at a centralized processing facility on
the installation or off the installation if recycling is mandatory in the local community. Glass, plastic, aluminum cans, and ferrous cans can be
removed from the mixed-waste stream and recycled. Organic materials (food, yard waste, etc.) can be composted. Other remaining wastes
can be disposed of in a landfill or incinerated.
1. Newspapers
2. Aluminum Cans
3. Ferrous Cans
4. Glass
WDCR828/029.WP5
4-23
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Pollution Prevention Opportunity Assessment Module
Used Oil From Vehicle Maintenance
Waste Stream: Used Oil
Operation: Vehicle Maintenance
Description
Waste included under this general clarification are lubricating and hydraulic fluids generated from servicing vehicles and other equipment.
The major source of waste oil is the used motor oil generated by regular engine oil changes performed at motor pools. Oil changes routinely
are performed on a set schedule as determined by Army policy. Standard vehicles receive oil changes every 6 months or 6,000 miles. Special
vehicles are serviced every 400 to 600 operating hours. A single oil change can generate anywhere from 6 quarts for a gasoline engine in a
typical automobile to 33 gallons for a 12-cylinder diesel engine.
Alternative 1: Motor Oil Testing (to extend life)
Description
Generation of used oil can be reduced by extending the time between oil changes. The current oil change standards are based on
service-wide policy. However, the performance characteristics and life of motor oil varies, depending on the conditions under which the
equipment is operated.
In an oil analysis program, oil samples are collected at a set interval and are submitted to a field laboratory for analysis. Analyses
include a spectrometric test for metals and physical tests for water content, viscosity, and other contaminants.
Alternative 2: On-Board Bypass Filtration
Description
Most internal-combustion engines are equipped with a full-flow oil-filtration system. In this type of system, all of the oil that lubricates
the engine first passes through an oil filter. The filter must be quite porous for the oil to pass at the required flow rate, so the filter is designed to
remove only relatively large particles (larger than 40 microns) that could seriously damage an engine. Other contaminants that could degrade the
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Pollution Prevention Opportunity Assessment Module
Used Oil From Vehicle Maintenance
oil's protective properties, create sludge, and cause engine wear, such as metals, microscopic dirt and carbon particles, and water, pass through
readily.
A bypass filter system consisting of a much less porous element slowly filters a portion of the oil flow (usually less that 1/2 gpm
compared with the 4 to 5 gpm that is typical for a full-flow oil filter). Oil is drawn from the bottom of a crankcase, passed through the bypass
filter, and returned to the crankcase. Some bypass filters remove not only solids to the submicron level but also moisture.
Oil analyses have shown that a properly serviced bypass oil filter system can maintain motor oil in a condition where it need not be
replaced. These systems have been shown to prolong engine life. Bypass filtration appears to be particularly effective on expensive large
engines.
One filter system uses inexpensive paper-towel rolls as filter elements. These filters remove particulate contaminants down to 1 micron
and reduce moisture to less than 40 ppm. Filter changes are recommended at 5,000 to 10,000 miles.
Alternative 3: Burning in Space Heaters
Description
Specially designed space heaters are available that can burn used oil and similar waste streams, such as automatic-transmission fluid,
with little or no pretreatment. The heat generated from burning the waste oil is used for space heating, saving on disposal costs and lowering
heating-fuel costs.
A typical space heater that burns used oil can generate between 150,000 and 500,000 BTU/hour by burning from 1 to 3.6 gallons of oil
per hour. The heaters generally are located in a vehicle maintenance facility where the oil is produced.
Federal regulations for burning used oil in space heaters are addressed in 40 CFR 279 Subpart C. On-specification used oil generated
on the site can be burned in space heaters without restriction. Off-specification used oil can be burned only if the oil is generated on the site, the
heater has a maximum capacity of 500,000 BTU/hour, and combustion gases are vented to the ambient air. Hazardous oil cannot be burned in
space heaters.
Alternative 4: Offsite Oil Rerefining
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Description
Rerefining involves processing used lubricating oil to return it to virgin oil specifications so that it can be reused as a motor oil. Rerefining
involves elaborate and expensive processing and is therefore only feasible as an offsite recycling program, handled either through a broker or
directly with a rerefining facility. Current rerefining techniques include filtration, heating, settling, flash dehydration, vacuum stripping, and vacuum
distillation.
WDCR828/030.WP5
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Pollution Prevention Opportunity Assessment Module
Used Oil Filters From Vehicle Maintenance
Waste Stream: Used Oil Filters
Operation: Vehicle Maintenance
Description
Used oil filters are generated during the regular maintenance of vehicles and equipment. DOD establishes the policy that dictates
scheduled intervals. Normally, standard vehicles receive oil changes every 6 months or 6,000 miles. Special vehicles are serviced every 400 to
600 operating hours. Oil filters normally are changed as an integral part of the oil change.
Federal regulations covering the disposal of used oil filters are in 40 CFR 261. The regulations require that used oil filters be tested for
toxicity characteristics and disposed of accordingly. However, an exemption from testing is provided for non-tin-lead alloy plated used filters
that are drained in any of the following ways:
puncturing the filter and hot-draining for 12 hours
hot-draining for 12 hours and crushing
dismantling and draining for 12 hours
using an equivalent oil-draining method that removes used oil
Alternative 1: Crush filters to reduce volume.
Description
Used filters are drained of as much oil or fuel as possible and then are crushed and disposed of in 55-gallon drums. This can be
accomplished in a specially designed filter crusher. Filter draining and crushing is done for several reasons. First, it separates the liquid oil waste
from the solid filter to the greatest extent possible. Second, it compacts the filter and allows more filters to be disposed of in each drum, thereby
reducing the number of drums and pounds for disposal.
Alternative 2: Recycle off the site.
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Pollution Prevention Opportunity Assessment Module
Used Oil Filters From Vehicle Maintenance
Description
Recycling vendors for oil filters operate in many parts of the country. They process spent filters by shredding them and then separating
the paper element from the metal casing. The metal casing is recycled as scrap metal, and the paper is disposed of or burned as a fuel. Most
recyclers require that filters be drained for 12 hours and that they not be crushed.
Alternative 3: Separate filter elements and recycle metal.
Description
Oil filters can be cut open, and the paper element can be removed from the casing. The metal casing then can be drained and sold as
scrap metal. There is an oil filter element cutter that, like a large can opener, cuts the bottom off the filter casing so that the element can be
removed.
WDCR828/031.WP5
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Pollution Prevention Opportunity Assessment Module
Used Antifreeze From Vehicle Repair and Maintenance
Waste Stream: Used Antifreeze
Operation: Vehicle Repair and Maintenance
Description
Used antifreeze is generated during repair and maintenance of gasoline and diesel engines. Antifreeze becomes a waste when it no
longer meets the specifications required to perform its intended purpose (temperature and corrosion protection). Disposal and replacement are
rarely based on performance; instead, they are based on engine running time or mileage.
Although antifreeze is not by itself regulated as a hazardous waste, contaminants, such as heavy metals, can make it hazardous.
Alternative 1: Antifreeze Testing (to extend life)
Description
Antifreeze properties that typically would be tested include specific gravity, freezing point, boiling point, pH, general corrosivity,
aluminum corrosivity, and foaming. The American Society for Testing and Materials (ASTM) has established standard specifications for
properties of antifreeze for automobile and light-duty engines and for heavy-duty engines. The standards and the ASTM test methods used to
determine them are shown in Table 1.
Antifreeze testing can be applied through several types of programs. For large engines, such as power generators, when the appropriate
laboratory facilities are available, it may be cost-effective to test antifreeze on an engine-by-engine basis. At regular intervals, samples would be
collected and tested. Antifreeze not meeting specifications would be replaced, and the used antifreeze would be recycled or disposed of.
A less-extensive program would involve testing antifreeze samples from representative vehicles in a motor pool to establish an average
antifreeze life for each vehicle class. On the basis of test results, a schedule for changing the antifreeze of all vehicles in that class would be
implemented.
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Pollution Prevention Opportunity Assessment Module
Used Antifreeze From Vehicle Repair and Maintenance
A third type of program would involve changing antifreeze on a regular basis and consolidating and testing the used antifreeze from a
number of vehicles. Test results would govern whether the antifreeze would be reused, recycled, or disposed of.
Table 1
ASTM ANTIFREEZE SPECIFICATIONS
Parameter
Freezing point °F (°C)
(50% volume in distilled water)
Boiling point °F (°C)
(50% volume in distilled water)
pH
(50% volume in distilled water)
Chloride (ppm)
Corrosion in glassware
(weight loss, mg/specimen)
Copper
Solder
Brass
Steel
Cast Iron
Aluminum
Corrosion of cast aluminum
(mg/cm2/week)
Range
-34 (-37)
226 (107)
7.5 to 11.0
25 maximum
10 maximum
30 maximum
10 maximum
10 maximum
10 maximum
30 maximum
1.0 maximum
ASTM Test Method
D 1177
D 1120
D 1287
D3634
D 1384
D4340
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Foaming tendency
(volume, ml)
150 maximum
D 1881
Source: Reference 8
Alternative 2: Onboard Recycling
Description
Onboard recycling involves the use of filter systems that are installed on the engine. Antifreeze traveling through the engine cooling
system is filtered to remove contaminants that adversely affect its properties. Onboard filtration systems can be either full-flow or bypass.
Supplemental coolant additives can be added on a regular basis to replace corrosion and foam inhibitors.
Onboard filtration is particularly effective and often is necessary for long-running heavy-duty gasoline and diesel engines that need
antifreeze to be maintained in prime condition to protect expensive components and reduce maintenance cost and vehicle downtime. This
technology has been used in this application for more than 25 years. Most engines are not factory-equipped with onboard filters; typically, the
filters are installed by the owner. Recommended coolant life can be as long as 240,000 engine miles when onboard recycling is used, compared
with 36,000 to 40,000 miles when it is not. Onboard filtration has not been used much on automobiles and light trucks because it is not cost-
effective. For small engines, off-board recycling technologies appear to be more useful.
Alternative 3: Antifreeze Recycling
Description
Off-specification antifreeze often can be restored through simple physical processes that remove contaminants and through replacement
of chemical additives. Specific recycling methods that are seeing relatively widespread use include:
standard particle filtration
ultrafiltration
distillation
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In standard particle filtration, multistage filters in the 5- to 25-micron range are used to remove solids, such as dirt, rust, and suspended
metals, that can act as abrasives and cause engine wear. This can be followed up with ion exchange, which removes dissolved metals that cause
corrosion, or with aeration/filtration, which removes oils that can affect the freezing and boiling point or increase foaming. Additives usually must
be added to precipitate out metals, reduce foam, and restore color. Virgin antifreeze can be added to lower the freezing point.
Several types of standard filtration systems are available in the automotive repair industry. Large stationary fleet-sized treatment units
operate in 50- to 100-gal batches. The units can be set up to draw used antifreeze from a feed drum or a small tank, treat it, and discharge the
recycled product to a second container. Portable units are available that can be hooked up directly to a vehicle's radiator. With all of these
filtration units, filter elements must be replaced regularly and often have to be disposed of as a hazardous waste.
Another type of filtration system for antifreeze recently has been developed at the request of the U.S. Air Force. This relatively simple
system uses rolls of household paper towels as elements and can remove particles smaller than 1 micron. The filters can be mounted on a
portable skid or trailer and used throughout a maintenance facility to recycle antifreeze that has been collected in containers, or the filters can be
attached directly to the engine to provide continuous filtration during engine use.
Ultrafiltration uses a multistage filtration process where the initial filter typically is in the 5-micron range and the final filter is in the 0.001-
micron range. Ultrafiltration is designed to remove molecular-size contaminants, such as sulfates and chlorides, which are the primary causes of
corrosion.
There is an Ultrafiltration unit that uses 5- and 0.0025-micron filters. This device is reportedly capable of restoring antifreeze to meet all
applicable ASTM standards, including corrosion. As with other antifreeze-recycling technologies that use filtration, additives and new antifreeze
must be added to restore some properties.
Antifreeze distillation is a two-step process. In the first step, water is distilled under atmospheric pressure. In the second step, ethylene
glycol is distilled under a vacuum. The two streams are condensed separately and collected in drums as processed ethylene glycol and distilled
water. Dissolved and suspended solids and other contaminants remain in the process vessel and are disposed of. The recycled ethylene glycol
then can be mixed with the proper amount of distilled water and additives and can be reused.
A batch-operated still, applicable for use in a maintenance garage, will operate in 15- to 20-gal batches. Each batch takes 10 to 15
hours to treat and generates 0.5 to 1 gal of still bottoms requiring disposal.
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WDCR828/032.WP5
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Pollution Prevention Opportunity Assessment Module
Halon Use in Fire Extinguishers
Waste Stream: Halons
Operation: Portable Fire Extinguishers
Description
Halon is used as a liquid fire suppressant (streaming agent) in portable fire extinguishers. The fire extinguishers are used for To be
inserted by installation. Approximately of these units are located throughout INSTALLATION-XXX, containing approximately
pounds of Halon. Approximately pounds of halons are emitted during testing of the fire extinguishers.
Alternative 1: Discontinue testing of fire extinguishers containing Halon.
Description
Testing of fire extinguishers containing Halons will be discontinued. Alternative chemicals and methods are available for testing.
Alternative 2: Substitute fire suppressant.
Description
Carbon dioxide, water, dry-chemical, or foam portable fire extinguishers are currently available. Therefore, complete replacement of
portable fire extinguishers using halon could be accomplished in the short term.
WDCR828/033.WP5
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Pollution Prevention Opportunity Assessment Module
Refrigerants (CFCs) from Refrigeration,
Cooling-Equipment Maintenance
Waste Stream: Refrigerants (CFCs)
Operation: Refrigeration, Cooling-Equipment Maintenance
Description
Chlorofluorocarbons (CFCs) are used as heat-transfer fluids in the refrigeration cycle of air conditioners, freezers, and refrigerators.
The refrigerant remains in a sealed system throughout the refrigeration cycle and is not emitted until the unit is disposed of, although small
quantities may leak from the system or be emitted during servicing. The Clean Air Act Amendments require capture and recycling of
refrigerants during servicing operation. The Clean Air Act Amendments and DOD Directive 6050.9 require phasing out various CFCs.
Alternative 1: CFC Substitution
Description
Much research has been and is being performed on finding replacements for CFCs. The advantage to CFC replacements is the
reduced use of ozone-depleting chemicals. Reducing CFC use will comply with regulatory requirements and DOD directives.
Two problems are associated with CFC substitution. Replacement compounds not requiring retrofitting of equipment are not
commercially available, and replacements that are available require equipment modification.
Fluoroiodocarbons recently were announced as true "drop-in" replacements for CFCs. However, these compounds are still
undergoing testing and are not expected to be available for commercial use until 1996.
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Pollution Prevention Opportunity Assessment Module
Refrigerants (CFCs) from Refrigeration,
Cooling-Equipment Maintenance
Most of the alternative refrigerants proposed and marketed today require physical retrofits of the equipment and the lubricants. They
are less efficient than the CFCs they are replacing, which can lead to the need to replace existing equipment with higher-capacity equipment to
accomplish the same level of service.
Substitute refrigerants include the following:
HCFC-123 or HCFC-124 for CFC-11
HFC-134a or HCFC-22 for CFC-12
HFC-125 or HCFC-22 for CFC-502
Alternative 2: CFC Recycling
Description
CFCs, like other solvents, can by recycled through distillation. The CFCs must be removed from the equipment by certified technicians
using registered equipment. The CFCs then are reprocessed either on the site or off the site, using distillation technology. The CFCs removed
from the equipment will be replaced with recycled CFCs. The advantage of CFC recycling is that it allows continued use of equipment until a
suitable CFC replacement is commercially available, and no new supplies of CFCs will have to be purchased. The disadvantage is that DOD is
directing the phase-out of ozone-depleting chemicals, so reusing CFCs contradicts regulatory and DOD requirements. The availability of CFC
recyclers also may be a hindrance to this alternative.
WDCR828/047.WP5
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Section 5
Pollution Prevention Implementation
The following plan was developed to implement the pollution prevention options that have been determined to be feasible. Pollution prevention
projects are separated into three categories:
Past Pollution Prevention Proj ects
Current Pollution Prevention Projects
Future Pollution Prevention Proj ects
Current and future pollution prevention projects are summarized in Table 5-1.
The installation should demonstrate management commitment to P2 by giving the dollars spent on P2 and P2 activities in the past and projected
expenditures for the future.
In this section, discuss how P2 success has been measured in past efforts and how it will be measured in the future. Note that units of
measurement should take into account production levels so that P2 is not accomplished simply by reducing the workload.
In this section, identify barriers expected. Barriers include institutional (mission priorities, MILSPECS), financial, technical, and regulatory.
Identify how the installation will find ways to reduce the effect of the barriers during implementation of P2. The following procedures can be
tried to overcome the barriers.
Institutional Barriers
Institutional barriers can be overcome by raising the environmental awareness of the troops, civilian employees, contractors, and tenant
organizations. Methods of accomplishing this include the following:
• Installation Commander's pollution prevention directives
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Pollution prevention news stories in post newspaper
Outreach bulletins from environmental groups
Pollution prevention training
; Clear definition of communication channels between groups
Financial Barriers
Financial barriers can be overcome by demonstrating that a pollution prevention project will result in a cost saving. Tools that may help in
overcoming economic stumbling blocks include the following:
• Selecting projects with the greatest "bang for the buck"
; Using well-defined economic analyses. POD has guidelines on economic analysis in POD Initiative 7041 3, "Economic
Analysis and Program Evaluation for Resource Management."
; Investigating alternative funding sources - IC's discretionary funds, recycling proceeds, O&M funds
Technical Barriers
Technical barriers can be overcome by attempting the following:
; Include installation's best technical expertise (personnel who operate the processes) during assessment evaluation, planning, and
implementation of P2 options.
; Include other expertise on the installation (civil engineering, logistics, design, maintenance).
; Consult with organizations external to the installation (your major Command, other Commands, Corps of Engineers).
Regulatory Barriers
Typical environmental regulations emphasize control, treatment, and end-of-pipe treatments. It may be difficult to break the thinking of doing
only what is necessary to come into regulatory compliance. Try to be proactive and take a multimedia approach. Determine the regulatory
effects on all media of implementing a P2 project.
Note awards and incentives offered, both Army-wide (POD P2 awards) and within the installation. Available awards include the following:
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; ASA(FM) has an Army-wide hazardous waste reduction award program.
; Each installation is required to have an incentive award for encouraging and promoting maximum awareness of the installation's
P2 program.
; The Secretary of Defense presents an annual award to the POD installation that has achieved noteworthy improvements in
environmental quality in the preceding 2 years. An individual award is given to the military or civilian employee who has made the most
significant contribution to the environmental quality program during the preceding 2 years.
; The Secretary of the Army presents an environmental quality award to the individual and the installation that have shown the
most noteworthy contributions toward protecting and preserving the quality of the environment during the preceding 2 years (see AR 200-1 for
nominating procedures).
Past Pollution Prevention Projects
The status of past pollution prevention projects are discussed. Each project will be described to include location implemented, implementation
date, targeted waste type (e.g., hazardous waste, EPA Toxic 17 Wastes, ozone-depleting chemicals), actual waste reduction, actual
implementation costs, actual savings, and funding sources. The following example is provided for guidance.
Project Title: Paint-Booth Conversion to Dry Filtration
Description: Paint-booth scrubber sludge was eliminated through installation of dry filters. Filters are replaced on a month interval.
Location: Paint booths in Motor Pool , Building
Implementation Date: December 10, 1993
Targeted Waste Type(s): Hazardous Wastes, Waste Solvents
Waste Reduction: 19,000 Ibs/year
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4-34
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Implementation Costs: Parts and Labor: $9,500
Savings: Elimination of the waste stream has saved the installation $6,000 per year in reduced waste disposal cost.
Funding Source: O&M account
Current Pollution Prevention Projects
The status of currently funded pollution prevention projects are discussed next. Each project will be described to include location to be
implemented, anticipated implementation date, targeted waste type (e.g., hazardous waste, EPA Toxic 17 Wastes, ozone-depleting chemicals),
expected waste reduction, estimated implementation costs, estimated savings, and funding sources. The following example is provided for
guidance.
Project Title: Antifreeze Recycling
Description: Used antifreeze from nontactical vehicles is disposed of as a waste, sometimes as a characteristic hazardous waste. Planned
equipment is a used-antifreeze filtration system, which will allow used antifreeze to be filtered and returned to the vehicle.
Location: Motor Pool , Building
Implementation Date: CY 1994
Targeted Waste Type(s): Hazardous Wastes, Solid Wastes
Waste Reduction: 5,000 Ibs/year
Implementation Costs: $7,200
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Savings: Elimination of the waste stream has saved the installation $1,000 per year in reduced costs of waste-antifreeze disposal and drum and
drum handling.
Funding Source: O&M account
Future Pollution Prevention Projects
The status of proposed pollution prevention projects is discussed next. Each project will be described to include location to be implemented,
anticipated implementation date, targeted waste type (e.g., hazardous waste, EPA Toxic 17 Wastes, ozone-depleting chemicals), expected
waste reduction, estimated implementation costs, estimated savings, and funding sources. The following example is provided for guidance.
Project Title: Cardboard Balers
Description: The installation will be able to recycle corrugated cardboard currently disposed of in an off-base landfill. The corrugated
cardboard will be collected by Recycling Program employees, baled at the recycling center, and sold.
Location: Recycling Center
Implementation Date: CY 1995
Targeted Waste Type(s): Solid Wastes
Waste Reduction: 400,000 Ibs/year
Implementation Costs: $99,000
Savings: Waste Reduction - $10,000/year
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Cardboard Sales - $20,000/year
Total Savings - $30,000/year
Funding Source: Capital account
1383 Status: Submitted
WDCR828/049.WP5
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Table 5-1
INSTALLATION-XXX POLLUTION PREVENTION IMPLEMENTATION PLAN
Project Title
Cardboard Baler
Location
Recycling Center
Waste Type
Solid Waste
Reduction
Expected
(Ibs./year)
400,000
Estimated
Cost ($)
$99,000
Estimated
Savings
($/yr.)
$30,000
Expected
Implemen-
tation Date
CY95
1383
Status
Entered
5-38
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WDCR828/048.WP5
5-39
4-39
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Section 6
Annual Pollution Prevention Reporting
To assess progress in achieving the installation's pollution prevention goals, the following reports will be generated annually and are in this P2
plan:
Annual Hazardous Waste Generation Report (Table 6-1)
Annual EPA Toxic 17 Waste Generation Report (Table 6-2)
Annual Solid Waste Generation Report (Table 6-3)
Annual Ozone-Depleting Chemicals (ODCs) Usage Report (Table 6-4)
Annual Toxics Release Inventory Emissions Report (Table 6-5)
Annual Pollution Prevention Goals Achievement Report (Table 6-6)
In addition, the following report will be prepared and disseminated to identify the costs of hazardous waste disposal.
Annual Hazardous Waste Cost Allocation Report (Table 6-7)
The goal of INSTALLATION-XXX is to charge individual operations for the costs of managing and disposing of their hazardous wastes.
WDCR828/008.WP5
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199
Table 6-1
ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 41 of 3
Waste Type
1. Solvent
Wastes
2. Acids &
Bases
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-41
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Table 6-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 41 of 3
Waste Type
3 . Wastewater
Treatment
Sludges
4. Fuels
5.
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-42
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Table 6-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 41 of 3
Waste Type
6.
7.
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-43
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Table 6-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 41 of 3
Waste Type
8.
9.
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-44
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Table 6-1
199 ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 41 of 3
Waste Type
10.
11.
12.
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-45
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199
Table 6-1
ANNUAL HAZARDOUS WASTE GENERATION AT INSTALLATION-XXX
Page 41 of 3
Waste Type
TOTAL
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
100 %
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
WDCR828/017.WP5
6-46
4-46
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199
Table 6-2
ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
1 . Benzene
2. Cadmium &
compounds
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-47
4-47
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199
Table 6-2
ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
3. Carbon
Tetrachloride
4. Chloroform
5. Chromium &
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-48
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Table 6-2
199 _ ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
compounds
6. Cyanides
7. Dichloromethane
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-49
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199
Table 6-2
ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
8. Lead & compounds
9. Mercury &
compounds
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-50
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199
Table 6-2
ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
10. Methyl Ethyl
Ketone
11. Methyl Isobutyl
Ketone
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
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Table 6-2
199 _ ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
12. Nickel &
compounds
13.
Tetrachloroethylene
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-52
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Table 6-2
199 _ ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
14. Toluene
15. Trichloroethane
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-53
4-53
-------
Table 6-2
199 _ ANNUAL EPA TOXIC 17 WASTE GENERATION AT INSTALLATION-XXX
Page 47 of 5
Waste Type
16. Trichloroethylene
17. Xylene
TOTAL
Waste
Code(s)
Waste
(Ibs)
%of
Total
Waste
100%
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight
by Shop
(Ibs)
% of Waste
Type
6-54
4-54
-------
WDCR828/018.WP5
6-55
4-55
-------
Table 6-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 56 of 3
Waste Type
1. Aluminum Cans
2. Corrugated
Cardboard
3. Office Paper
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
6-56
4-56
-------
Table 6-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 56 of 3
Waste Type
4. Newspaper
5. Glass
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
6-57
4-57
-------
Table 6-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 56 of 3
Waste Type
6. Ferrous Cans
7. Plastic (PET soft
drink
bottles, HDPE milk
jugs,
etc.)
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
6-58
4-58
-------
Table 6-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 56 of 3
Waste Type
8. Yard Waste
9. Unclassified Waste
10. Engine Oils
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
6-59
4-59
-------
Table 6-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 56 of 3
Waste Type
11. Engine Coolants
12.
Waste
(Ibs)
% of Total
Waste
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
6-60
4-60
-------
Table 6-3
1 99 SOLID WASTE GENERATION AT INSTALLATION-XXX
Page 56 of 3
Waste Type
TOTAL
Waste
(Ibs)
% of Total
Waste
100%
Generator
Unit/Shop
Process or Operation
Generating Waste
Weight by
Shop (Ibs)
% of Waste
Type
WDCR828/019.WP5
6-61
4-61
-------
Table 6-4
199 USAGE OF OZONE-DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 62 of 3
ODC Type
1 . Freons
2. Halons
3. Cleaning Solvents
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
6-62
4-62
-------
Table 6-4
199 USAGE OF OZONE-DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 62 of 3
ODC Type
4. Paint Strippers
5.
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
6-63
4-63
-------
Table 6-4
199 USAGE OF OZONE-DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 62 of 3
ODC Type
6.
7.
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
6-64
4-64
-------
Table 6-4
199 USAGE OF OZONE-DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 62 of 3
ODC Type
8.
9.
10.
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
6-65
4-65
-------
Table 6-4
199 USAGE OF OZONE-DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 62 of 3
ODC Type
11.
12.
Usage
(Ibs)
% of Total
Use
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
6-66
4-66
-------
Table 6-4
199 USAGE OF OZONE-DEPLETING CHEMICALS (ODCS)AT INSTALLATION-XXX
Page 62 of 3
ODC Type
TOTAL
Usage
(Ibs)
% of Total
Use
100%
ODC
Compound
User/Shop
Process or Operation
Using ODC
Usage by
Shop (Ibs)
% of Type
Usage
WDCR828/020.WP5
6-67
4-67
-------
Table 6-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 68 of 3
TRI Chemical
1.
2.
3.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
(Ibs)
% of TRI
Chemical
6-68
4-68
-------
Table 6-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 68 of 3
TRI Chemical
4.
5.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
(Ibs)
% of TRI
Chemical
6-69
4-69
-------
Table 6-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 68 of 3
TRI Chemical
6.
7.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
(Ibs)
% of TRI
Chemical
6-70
4-70
-------
Table 6-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 68 of 3
TRI Chemical
8.
9.
10.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
(Ibs)
% of TRI
Chemical
6-71
4-71
-------
Table 6-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 68 of 3
TRI Chemical
11.
12.
Code
Releas
e (Ibs)
%of
Total
Release
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
(Ibs)
% of TRI
Chemical
6-72
4-72
-------
Table 6-5
199 ANNUAL TOXICS RELEASE INVENTORY (TRI) EMISSIONS FOR INSTALLATION-XXX
Page 68 of 3
TRI Chemical
TOTAL
Code
Releas
e (Ibs)
%of
Total
Release
100 %
Generator
Unit/Shop
Process or Operation
Emitting
Weight
by Shop
(Ibs)
% of TRI
Chemical
WDCR828/053.WP5
6-73
4-73
-------
Table 6-6
INSTALLATION-XXX 199 _ POLLUTION PREVENTION ACHIEVEMENT REPORT
Waste Type
Hazardous Waste
Hazardous Waste
Hazardous Waste
Hazardous Waste
Solid Wastes
Ozone- Depleting
Chemical Use
TRI Chemicals
Subtype
EPA Toxic 17
Wastes
Solvent Wastes
Acids and Bases
Reduction Goal (%)
Baseline
(Ibs./year)
Current
(Ibs./year)
Achieved to Date
(%)
WDCR828/009.WP5
6-74
4-74
-------
Table 6-7
199 ANNUAL WASTE DISPOSAL COST ALLOCATION AT INSTALLATION-XXX
Page 75 of 3
Generator
Unit/Shop
Waste Type
Waste Code(s)
Disposed by Shop
(Ibs)
Unit Cost ($/lb.)
Disposal Cost ($)
TOTAL For Shop
2.
TOTAL For Shop
3.
6-75
4-75
-------
Table 6-7
199 ANNUAL WASTE DISPOSAL COST ALLOCATION AT INSTALLATION-XXX
Page 75 of 3
Generator
Unit/Shop
TOTAL For Shop
Waste Type
Waste Code(s)
Disposed by Shop
(Ibs)
Unit Cost ($/lb.)
Disposal Cost ($)
4.
TOTAL For Shop
5.
6-76
4-76
-------
Table 6-7
199 ANNUAL WASTE DISPOSAL COST ALLOCATION AT INSTALLATION-XXX
Page 75 of 3
Generator
Unit/Shop
TOTAL For Shop
Waste Type
Waste Code(s)
Disposed by Shop
(Ibs)
Unit Cost ($/lb.)
Disposal Cost ($)
6.
TOTAL For Shop
7.
6-77
4-77
-------
Table 6-7
199 ANNUAL WASTE DISPOSAL COST ALLOCATION AT INSTALLATION-XXX
Page 75 of 3
Generator
Unit/Shop
TOTAL For Shop
Waste Type
Waste Code(s)
Disposed by Shop
(Ibs)
Unit Cost ($/lb.)
Disposal Cost ($)
TOTAL For Shop
9.
TOTAL For Shop
6-78
4-78
-------
Table 6-7
199 ANNUAL WASTE DISPOSAL COST ALLOCATION AT INSTALLATION-XXX
Page 75 of 3
Generator
Unit/Shop
Waste Type
Waste Code(s)
Disposed by Shop
(Ibs)
Unit Cost ($/lb.)
Disposal Cost ($)
10.
TOTAL For Shop
11.
TOTAL For Shop
12.
6-79
4-79
-------
Table 6-7
199 ANNUAL WASTE DISPOSAL COST ALLOCATION AT INSTALLATION-XXX
Page 75 of 3
Generator
Unit/Shop
TOTAL For Shop
TOTAL
Waste Type
Waste Code(s)
Disposed by Shop
(Ibs)
Unit Cost (Wo.)
Disposal Cost ($)
WDCR828/021.WP5
6-80
4-80
-------
Appendix A
Abbreviations
AAFES
AR
CAAA90
COE
DA
DEH
DFE
DIG
DLA
DOD
DRMO
EO
EQCC
EPA
EPCRA
FAO
FOA
FE
Army, Air Force Exchange System
Army Regulation
Clean Air Act Amendment of 1990.
Corps Of Engineers
Department of the Army
Director of Engineering and Housing
Director of Facility Engineering
Director of Industrial Operations
Defense Logistics Agency
Department of Defense
Defense Reutilization and Marketing Office
Executive Order
Environmental Quality Control Committee
Environmental Protection Agency
Emergency Planning and Community Right-to-Know Act of 1986
Finance and Accounting Office
Field Operating Agency
Facility Engineer
6-81
4-81
-------
GMP
GOCO
HMIS
HWM
fflWM
1C
ISCP
MACOM
MCA
MEDDAC
MWR
O&M
PPAT
POL
PPOA
RCRA
SARA
SOP
SPCC Plan
TRI
TSCA
Good Management Practice
Government-Owned, Contractor-Operated
Hazardous Material Information System
Hazardous Waste Management
Installation Hazardous Waste Manager
Installation Commander
Installation Spill Control Plan
Major Army Command
Military Construction, Army
Medical Department Activity
Moral, Welfare, and Recreation
Operation and Maintenance
Pollution Prevention Assessment Team
Petroleum, Oil, and Lubricants
Pollution Prevention Opportunity Assessment
Resource Conservation and Recovery Act
Superfund Amendments and Reauthorization Act of 1986
Standard Operating Procedure
Spill Prevention Control and Countermeasures Plan
Toxics Release Inventory
Toxic Substance Control Act
6-82
4-82
-------
TSDF Treatment, Storage or Disposal Facility
TSG The Surgeon General
VOC Volatile Organic Compound
WDCR828/010.WP5
6-83
4-83
-------
B-84
4-84
-------
Appendix B
Definitions
B-85
4-85
-------
Appliance: Any device that contains and uses a Class I or Class n substance as a refrigerant and that is used for household or commercial
purposes, including any air conditioner, refrigerator, chiller, or freezer.
Cartridge Filter: A discrete filter unit containing both filter paper and activated carbon that traps and removes contaminants from petroleum
solvent, together with the piping and ductwork used in installing this device.
Characteristic Waste: The characteristics of ignitability, corrosivity, reactivity, and toxicity that identify hazardous waste.
Chemical Warfare Agent: A substance that because of its chemical properties is used in military operations to kill, seriously injure, or
incapacitate humans or animals or deny use of indigenous resources.
Container: Any portable device in which a material is stored, transported, treated, disposed of, or otherwise handled.
Designated Facility: A hazardous waste treatment, storage, or disposal facility (TSDF) that is identified on a manifest as the destination of a
hazardous waste shipment. The facility must have an appropriate permit, have interim status, or be regulated under specific recycling
requirements.
Nonattainment Area: Any area designated as being in nonattainment with the National Ambient Air Quality Standard (NAAQS) for ozone
pursuant to rulemaking under section 107(d)(4)(A)(ii) of the CAA.
B-86
4-86
-------
Disposal: The discharge, deposit, injection, dumping, spilling, leaking, or placing of any solid waste or hazardous waste into or onto any land or
water so that such solid waste or hazardous waste or any constituent thereof may enter the environment or be emitted into the air or discharged
into any waters, including groundwaters.
EPA Hazardous Waste Number: The number assigned by USEPA to each hazardous waste listed in 40 CFR 261, Subpart D, and to each
characteristic identified in 40 CFR 261, Subpart C.
Facility: All contiguous land and structures, other appurtenances, and improvements on the land, used for treating, storing, or disposing of
hazardous waste. A facility may consist of several treatment, storage, or disposal operational units (i.e., one or more landfills, surface
impoundments, or combination of them).
Federally Enforceable: All limitations and conditions enforceable by the Administration, including those requirements developed pursuant to 40
CFR, requirements within any applicable state implementation plan, and any permit requirements established pursuant to 40 CFR.
Generator: Any person or group whose act or process produces hazardous waste identified or listed in 40 CFR 261 or whose act first causes a
hazardous waste to become subject to regulations.
Good Management Practice (GMP): A practice that, although not mandated by law, is encouraged to promote safe operating procedures.
Hazardous Waste: A solid waste, not specifically excluded from the restrictions of Federal regulation (42 USC 6901), that meets the criteria
listed in 40 CFR 261 or is specifically named as a hazardous waste in Federal regulations.
B-87
4-87
-------
Household Waste: Includes material discarded by single and multiple residential dwellings, hotels, motels, and other similar permanent or
temporary housing.
Incinerator: Any furnace used in the process of burning solid waste for the purpose of reducing the volume of the waste by removing
combustible matter.
Infectious Waste: 1. Equipment, instruments, utensils, and fomites of a disposable nature from the rooms of patients who are suspected to have
or have been diagnosed as having a communicable disease and who must therefore be isolated as required by public health agencies. 2.
Laboratory waste, such as pathological specimens and disposable fomites (any substance that may harbor or transmit pathological organisms).
3. Surgical operating room pathological specimens and disposable fomites attendant thereto and similar disposable materials from outpatient
areas and emergency rooms.
Landfill: A disposal facility or a part of a facility where waste is placed in or on land and that is not a land treatment facility, a surface
impoundment, an underground injection well, a salt bed formation, an underground mine, or a cave.
Hazardous Waste Management: The systematic control of the collection, source separation, storage, transportation, processing, treatment,
recovery, and disposal of hazardous waste.
Material-Tracking System: Each generator developing an in-house system to ensure that all hazardous materials and wastes are controlled from
purchase to release or disposal in order to reduce loss and spillage.
B-88
4-88
-------
Medical Waste: When defined as applicable to municipal waste combustors, any solid waste generated in the diagnosis, treatment, or
immunization of human beings or animals, in research pertaining thereto, or in production or testing of biological agents. Medical waste does not
include hazardous waste identified under RCRA-C or any household waste as defined in RCRA, subpart C.
Off-Specification Used Oil: Used oil burned for energy recovery and any fuel produced from used oil that exceeds the following allowable
limits:
Arsenic
Cadmium
Chromium
Lead
Flash Point
Total halogens
5 ppm max.
2 ppm max.
10 ppm max.
100 ppm max.
100 °F min.
4000 ppm max.
Particulate Emissions: Any airborne finely divided solid or liquid material, except uncombined water, emitted to the ambient air.
Pollution Prevention: Source reduction and other practices that reduce or eliminate the creation of pollutants through increased efficiency in the
use of raw materials, energy, water, or other resources, or protection of natural resources by conservation. Recycling, energy, treatment, and
disposal are not included in the definition of pollution prevention. However, some practices commonly described as "in-process recycling" may
qualify as pollution prevention. Examples might include solvent recycling, metal recovery from a spent plating bath, and recovery of volatile
organic compounds (VOCs).
B-89
4-89
-------
Qualifying Recycling Program: Organized operations that require concerted efforts to (a) divert or recover scrap or waste from waste streams;
(b) identify, segregate, and maintain the integrity of the recyclable materials to maintain or enhance the marketability of the material.
Recyclable Material: Material that normally has been or would be discarded (such as scraps and waste) and material that may be reused after
undergoing some type of physical or chemical processing. Recyclable materials may include discarded materials that have undergone
demilitarization or mutilation at an installation before being transferred to the property disposal office for sale. Recyclable materials do not
include (1) precious-metal-bearing scrap; (2) those items that may be used again for their original purpose or functions without any special
processing, such as used vehicles, vehicle or machine parts, bottles (not scrap glass), electrical components, and unopened containers of unused
oil or solvent.
Recycling: The process by which recovered materials are transformed into new or usable products.
Resource Recovery Facility: Any physical plant that processes residential, commercial, or institutional solid waste biologically, chemically, or
physically and recovers useful products (such as shredded fuel, combustible oil or gas, steam, metal, or glass) for resale or reuse.
Sludge: Any solid, semi solid, or liquid waste generated from a municipal, commercial, or industrial wastewater treatment plant, water supply
treatment plant, or air pollution control facility exclusive of the treated effluent from a wastewater treatment plant.
Source Reduction: Any practice that reduces the amount of any hazardous substance, pollutant, or contaminant entering any waste stream or
emitted to the environment (including fugitive emissions) before recycling, treatment, or disposal. The term includes equipment or technology
modifications, process or procedure modifications, reformulation or redesign of products, substitution of raw materials, and improvements in
housekeeping, maintenance, training, and inventory control.
B-90
4-90
-------
Source Separation: The setting aside of recyclable materials at their points of generation by the generator.
Sump: Any pit or reservoir that meets the definition of tank and the troughs or trenches connected to it that serve to collect hazardous waste for
transport to hazardous waste TSDFs, except that as used in the landfill, surface impoundment, and waste pile rules, "sump" means any lined pit
or reservoir that serves to collect liquids drained from a collection and removal system or a leak-detection system for subsequent removal from
the system.
Treatability Study: A study in which a hazardous waste is subjected to a treatment process to determine one or more of the following:
Whether the waste is amenable to the treatment process
What pretreatment, if any, is required
The optimal process conditions needed to achieve the desired treatment
The efficiency of a treatment process for a specific waste or wastes
The characteristics and volumes of residuals from a particular treatment process.
Treatment: Any method, technique, or process (including neutralization) designed to change the physical, chemical, or biological character or
composition of any hazardous waste.
B-91
4-91
-------
Used Oil: Any oil that has been refined from crude oil or any synthetic oil that has been used and as a result of such is contaminated by physical
or chemical impurities.
B-92
4-92
-------
Volatile Organic Compound (VOC): Any compound of carbon, excluding carbon monoxide, carbon dioxide, carbonic acid, metallic carbides,
carbonates, and ammonium carbonate, that participates in atmospheric photochemical reactions.
WDCR828/011.WP5
B-93
4-93
-------
Appendix C
References
ENVIRONMENTAL PROTECTION AGENCY GUIDANCE
General Guidance
Waste Minimization Opportunity Assessment Manual, EPA/625/7-88/003, 1988.
Facility Pollution Prevention Guide, EPA/600/R-92/088, 1992.
Pollution Prevention in the Federal Government: Guide for Developing Pollution Prevention Strategies for Executive Order 12856
andBeyond,EPA/300/B-94/007, 1994.
Pollution Prevention andRight-to-Know in the Government: Executive Order 12856, EPA/100/K-93/001, 1993.
Setting Priorities for Hazardous Waste Minimization, EPA/530/R-94/015, 1994.
A Primer for Financial Analysis of Pollution Prevention Projects, EPA/600/R-93/059, 1993.
Pollution Prevention Act of 1990, Public Law 101-508, 1990.
Industry-Specific Guidance
These guides list source-reduction and recycling techniques for specific industries. The guides have been published by the Pollution Prevention
Research Branch of EPA's Office of Research and Development as a series of industry-specific pollution prevention guidance manuals.
C-94
4-94
-------
Industrial Category
EPA Document No.
Date
Automotive Refinishing Industry
Auto Repair Industry
The Commercial Printing Industry
The Fabricated Metal Industry
Fiberglass Reinforced and Composite Plastics
Marine Maintenance and Repair
The Paint Manufacturing Industry
The Pesticide Formulating Industry
Pharmaceutical Preparation
Photoprocessing Industry
Printed Circuit Board Manufacturing Industry
Research and Educational Institutions
Selected Hospital Waste Streams
Mechanical Equipment Repair Industry
Metal Casting and Heat Treating Industry
Metal Finishing Industry EPA/625/R- 92/011
EPA/625/7-91/016
EPA/625/7-91/013
EPA/625/7-90/008
EPA/625/7-90/006
EPA/625/7-91/014
EPA/625/7-91/015
EPA/625/7-90/005
EPA/625/7-90/004
EPA/625/7-91/017
EPA/625/7-91/012
EPA/625/7-90/002
EPA/625/7-90/010
EPA/625/7-90/009
EPA/625/R-92/008
EPA/625/R-92/009
10/91
10/91
1990
7/90
1991
1991
1990
1990
1991
1991
1990
6/90
6/90
1992
1992
1992
C-95
4-95
-------
Fact Sheets
The following fact sheets contain overviews, tips, or guidelines for pollution prevention. Some provide only general information or advice on
how to set up programs; others identify pollution prevention opportunities for specific industries, processes, or materials. EPA, state agencies,
and local governments produced the fact sheets. In many cases, multiple sources have published fact sheets on particular topics. Fact sheets on
the topic areas below are available from the EPA library, 401 M Street, SW, Washington DC 20460 (202/260-1963). The source of this
information is Pollution Prevention Resources and Training Opportunities in 1992, EPA, Office of Pollution Prevention and Toxics and
Office of Environmental Engineering and Technology Demonstration, EPA/5650/8-92-002, January 1992.
FACT SHEETS
General and Introductory Information
Conservation Tips for Business
General Guidelines
Getting More Use Out of What We Have
Glossary of Waste Reduction Terms
Guides to Pollution Prevention
Hazardous Waste Fact Sheet for Minnesota Generators
Hazardous Waste Minimization
How Business Organizations Can Help
Increase Your Corporate and Product Image
C-96
4-96
-------
Industrial Hazardous Wastes in Minnesota
Local Governments and Pollution Prevention
Pollution Prevention (General)
Pollution Prevention Fees
Pollution Prevention Training and Education
Pollution Prevention Through Waste Reduction
Recent Publications
Reduce Hazardous Waste
Reuse Strategies for Local Government
Source Reduction Techniques for Local Government
U.S. EPA's Pollution Prevention Program
Video Tapes Available from the Virginia Waste Minimization Program
Waste Exchanges: Everybody Wins!
Waste Exchange Services
Waste Minimization Fact Sheet
Waste Minimization in the Workplace
Waste Reduction Can Work For You
Waste Reduction Overview
Waste Reduction/Pollution Prevention: Getting Started
Waste Reduction Tips for All Businesses
Waste Source Reduction
Waste Source Reduction Checklist
C-97
4-97
-------
What is Pollution Prevention
Why Reduce Waste?
Legislative Information/EPA and State Initiatives
About Minnesota's "But Recycled Campaign"
Alaska State Agency Waste Reduction and Recycling
EPA's 2 % Set Aside Pollution Prevention Projects
C-98
4-98
-------
EPA's "List of Lists" Projects
EPA's Pollution Prevention Enforcement Settlement Policy
EPA's Pollution Prevention Incentives for States
EPA's Pollution Prevention Strategy
Introducing the Colorado Pollution Prevention Program
Michigan's Solid Waste Reduction Strategy
Minnesota's Toxic Pollution Prevention Act
New Form R Reporting Requirements
Oregon's Toxic Use Reduction Act
Pollution Prevention Act of 1990
Promoting Pollution Prevention in Minnesota State Government
Setting Up A Program
1991 Small Business Pollution Prevention Grants
An Organization Strategy for Pollution Prevention
Considerations in Selecting a Still for Onsite Recycling
Colorado Technical Information Center
Onsite Assistance (Colorado only)
Pollution Prevention Grant Program Summaries and Reports
Procuring Recycled Products
Recycling Market Development Program
C-99
4-99
-------
Selecting a Supplier, Hauler, and Materials Broker
Solid Waste Management Financial Assistance Program
Source Reduction at Your Facility
Starting Your Own Waste Reduction Program
The Alexander Motor's Success Story
The Eastside Plating Success Story
The Wacker Payoff
C-100
4-100
-------
Waste Reduction Checklists
- General
- Cleaning
- Coating/Painting
- Formulating
- Machining
- Operating Procedures
- Plating/Metal Finishing
Waste Source Reduction: Implementing a Program
Process/Material Specific
Aerosol Containers
Aircraft Rinsewater Disposal
Acids/Bases
Chemigation Practices to Prevent Groundwater Contamination
Corrugated Cardboard Waste Reduction
Demolition
Empty Containers
Gunwasher Maintenance
Lead Acid Batteries
Machine Coolants:
C-101
4-101
-------
- Prolonging Coolant Life
- Waste Reduction
Metal Recovery:
- Dragout Reduction
- Ion Exchange/Electrolytic Recovery
- Etchant Substitution
Old Paints, Inks, Residuals, and Related Materials
Pesticides:
- Disposal of Unused Pesticides, Tank Mixes, and' Rinsewater
- In-Filled Sprayer Rinse System to Reduce Pesticide Wastes
- Pesticide Container Disposal
- Preventing Pesticide Pollution of Surface and Groundwater
- Preventing Well Contamination by Pesticides
- Protecting Mountain Springs from Pesticide contamination
- Reducing and Saving Money Using Integrated Pest Management
Metals Recycling
Office Paper Waste Reduction
Plastics:
- The Facts About Production, Use, and Disposal
- The Facts on Degradable Plastics
- The Facts on Recycling Plastics
- The Facts on Source Reduction
C-102
4-102
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Printing Equipment
Refrigerant Reclamation Equipment/Services
Reverse Osmosis
Safety Kleen, Inc. Users
Shop Rags from Printers
Small Silver Recovery Units
Solvents:
- Alternatives to CFC-113 Used in the Cleaning of Electronic Circuit Boards
- Onsite Solvent Reclamation
- Reducing Shingle Waste at a Manufacturing Facility
- Reducing Solvent Emissions from Vapor Degreasers
- Small Solvent Recovery Systems
- Solvent Loss Control
- Solvent Management: Fiber Production Plant
- Solvent Reuse: Technical Institute
- Trichloroethylene and Stoddard Solvent Reduction Alternatives
- Solvent Recovery: Fiber Production Plant
- Solvent Reduction in Metal Parts Cleaning
Ultrafiltration
Used Containers: Management
Used Oil Recycling
Waste Management Guidance for Oil Cleanup
C-103
4-103
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Water and Chemical Reduction for Cooling Towers
Waste Water Treatment Opportunities
Industry- Specific
Aerospace Industry
Auto Body Shops
Automotive Painting
Automotive/Vehicle Repair Shops
Auto Salvage Yards
Asbestos Handling, Transport, and Disposal
Chemical Production
Coal Mining
Concrete Panel Manufacturers
Dairy Industry:
- Cut Waste and Reduce Surcharges for Your Dairy Plant
- Dairy CEO's: Do You Have a $500 Million Opportunity?
- Liquid Assets for Your Dairy Plant
- Water and Wastewater Management in a Dairy Processing Plant
Dry Cleaners
Electrical Power Generators
Electroplating Industry:
C-104
4-104
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- Dragout Management for Electroplaters
- Plating 'with Trivalent Chrome Instead of CR+6
- Water Conservation Using Counter Current Rinsing
- Water Conservation: Tank Design
- Water Conservation: Rinsewater Reuse
- What Should I Do With My Electroplating Sludge ?
Fabricated Metal Manufacturers
Fiberglass Fabricators: Volatile Emissions Reduction
Machine Toolers
C-105
4-105
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Metal Finishers:
- General
- Effluent Minimization
- Rinsewater Reduction
Oil Refiners
Paint Formulators
Paper Manufacturers
Pesticide Formulating Industry
Photofmishers/Photographic Processors
Poultry Industry:
- Poultry CEO's: Do You Have a $60 Million Opportunity?
- Poultry Processor: You Can Reduce Waste Load and Cut Sewer Surcharges
- Survey Shows That Poultry • Steel Manufacturers
Processors Can Save Money By • Textile Industry:
Conserving Water - Dye Bath and Bleach Bath
- Systems for Recycling Water in Reconstitution
Poultry Processing - Water Conservation
Printed Circuit Board • Wire Milling Operations: Process
Manufacturers Water Reduction
Printing Industry
Radiator Service Firms
Shrimp Processors
C-106
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U.S. ARMY GUIDANCE
General Assistance
U.S. Army Construction Engineering Research Laboratory. P.O. Box 4005, Champaign, IL, 61820. 800-USA-CERL.
U.S. Army Cold Regions Research and Engineering Laboratory (CECRL), Hanover, NH 03755-1290. 603-646-4200, DSN 684-4200.
U.S. Army Environmental Hygiene Agency. Aberdeen Proving Ground, MD, 21010. (301) 671-3651 or DSN 584-3651.
U.S. Army Environmental Office. The Pentagon, Washington, DC, 20310-2600, (703) 693-5032 or DSN 223-5032.
U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Materials Agency). Aberdeen Proving Ground, MD, 21010.
800-USAEVHL, (301) 671-2427 or DSN 584-2427.
U.S. Army Environmental Policy Institute. Champaign, IL, 61820. (217) 373-3320.
Pollution Prevention
U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Material Agency). Environmental Compliance Division. (301)
671-2427 or DSN 584-2427.
Recycling
U.S. Army Engineering and Housing Support Center (USAEHSC). Directorate of Public Works. (703) 704-1606/1601.
Defense Logistics Agency. Check local Defense Reutilization and Marketing Organization (DRMO).
C-107
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Air Pollution
U.S. Army Environmental Hygiene Agency. Air Pollution Engineering Division. Air Pollution Source Management (301) 671-3500 or DSN
584-3500; or Ambient Air Quality Management (301) 671-3954 or DSN 584-3954.
U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Material Agency). Environmental Compliance Division. (301)
671-2427 or DSN 584-2427.
CFCs and Halon
U.S. Army Environmental Office. The Pentagon, Washington, DC 20310-2600, (703) 693-5032 or DSN 223-5032.
U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Material Agency). Environmental Compliance Division. (301)
671-2427 or DSN 584-2427.
Endangered Threatened Species, Natural Resources
U.S. Army Environmental Center. Natural and Cultural Resource Division (703) 355-7968 or DSN 345-7968.
U.S. Army Engineering Waterways Experiment Station (CEWES), Vicksburg, MS 39180-6199, (601) 634-2512, FTS 542-2513.
Hazardous and Toxic Waste and Material Management
C-108
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U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Material Agency). Environmental Compliance Division. (301)
671-2427 or DSN 584-2427.
U.S. Army Environmental Hygiene Agency. Waste Disposal Engineering Division. (301) 671-3651 or DSN 584-3651.
Environmental Protection Agency-RCRA/Superfund Hotline. (800) 424-9346.
Environmental Protection Agency-TSCA Hotline. (202) 554-1404
Hazardous Waste Minimization
U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Agency). Environmental Compliance Division. Army
HAZMIN Program. (301) 671-2427 or DSN 584-2427.
U.S. Army Environmental Hygiene Agency. Waste Disposal Engineering Division, (301) 671-3651 or DSN 584-3651.
Solid Waste Management
U.S. Army Environmental Hygiene Agency. Ground Water and Solid Waste Management. (301) 671-2024.
U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Material Agency). Environmental Compliance Division. (301)
671-2427 or DSN 584-2427.
General Environmental/Pollution Prevention
National Defense Center for Environmental Excellence. 1415 Scalp Avenue, Johnstown, PA 15904. 814-269-2432.
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Air Force Center for Environmental Excellence, Pollution Prevention Division, Brooks Air Force Base, TX 78235-5318. 210-526-4214,
DSN 240-4214.
Navy Energy and Environmental Support Agency (NEESA). PortHueneme, CA. 805-982-4897.
Annapolis Detachment of the Carderock Division, Naval Surface Warfare Center, Environmental Protection Branch, Craig Alig, Director, 410-
267-3526, DSN 281-3526.
Publications
U.S. Army Environmental Strategy into the 21st Century, 1992.
U.S. Army Engineering and Housing Support Center, Installation Recycling Guide, 1991.
U.S. Army Environmental Hygiene Agency, A Commander's Guide to Infectious Waste Management at Army Health Care Facilities.,
1990.
U.S. Army Environmental Hygiene Agency, A Commander's Guide to Hazardous Waste Minimization at Army Health Care Facilities,
1990.
U.S. Army Corp of Engineers, A Commander's Guide to EnvironmentalManagement, 1990.
U.S. Army Corp of Engineers, Hazardous Waste Management Systems Study., 1991.
U.S. Army Environmental Center (formerly the U.S. Army Toxic and Hazardous Material Agency), The Environmental Update, published
quarterly.
Army Environmental Policy Institute, Army Pollution Prevention Plan Manual: A Guide for Army Installations, 1993.
Environmental Health Engineering Directorate. U.S. Army Center for Health Promotion and Preventive Medicine Pollution Prevention
Opportunity Assessment Protocol, 1994.
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WDCR921/009A.WP5
C-lll
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Appendix D
Sample Pollution Prevention Survey Forms
This appendix includes forms that are examples of interviews used at other POD installations in preparing P2 plans. The forms are examples
and are not to be used verbatim but to spark ideas and assist in performing a PPOA. Similar assessments of your facility should be included in
the appendix to your plan, along with feasibility studies of P2 opportunities that were evaluated.
WDCR828/012.WP5
D-112
4-112
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SAMPLE D-l
Pollution Prevention Survey
(insert base name and location)
Date:
Unit Designation, Shop Name, Building:
Type of Operation:
Process Description: Include process flow diagram showing hazardous material usage, wastes, products, and other releases (e.g., air
emissions).
Wastes Generated:
Waste Disposal:
D-2
4-2
-------
Releases to Air, Land, or Water From Operation:
Current Waste Minimization Practices:
Problems:
Waste Minimization Opportunities (In Shop):
D-3
4-3
-------
WDCR828/034.WP5
D-4
4-4
-------
SAMPLE D-2
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Paint Shop
Type of Operation: General Painting of Installation
Wastes Generated:
Waste paints, paint thinner (mineral spirits, naphtha, toluene, xylenes), and empty 55-gallon paint drums generated from
painting post structures and lines on the post's roads and runways and from cleaning painting trucks and equipment (20,106 Ibs/year in 1990-
91) (D001.,D007, D008, D018, D019, D035, F003, F005). The majority of the waste is nearly empty 55-gallon paint drums.
Paint-coated gravel from testing and adjusting spray nozzles of the line-painting trucks on a gravel lot behind the paint shop.
This practice was stopped in September 1993.
Building paints are generally water based and generate little to no hazardous wastes.
D-3
4-3
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Waste Disposal:
Paint and paint-related waste, including paint-coated gravel, is put in drums and disposed of as a hazardous waste.
Wastes generated from water-based paints are disposed of as nonhazardous wastes in the post landfill.
Current Waste Minimization Practices:
The paint shop recently switched to ordering traffic paint in returnable 350-gallon Super Drums. The shop used to generate
300 empty drums of waste per year.
A diked concrete pad has been proposed to be constructed at the shop. The contained area will be used to load and clean
the line-painting truck.
D-4
4-4
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Problems:
Drums of hazardous wastes, paint, and solvent products are stored in areas without secondary containment.
Paint used in miscellaneous jobs is ordered often in quantities greater than necessary, and excess paint must be disposed of
as hazardous waste.
Waste Minimization Opportunities (In-Shop):
Construct diked areas for storing drums of wastes, paint, and solvent products.
Revise procedures for changing colors on line-painting truck if possible.
Consolidate paint wastes in as few containers as possible.
Order specialty paints in smaller-size containers to prevent waste.
Rotate stock to prevent exceeding paint shelf life.
WDCR828/038.WP5
D-5
4-5
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SAMPLE D-3
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Cargo Helicopter Maintenance
Type Of Operation: Between-Flight Servicing, Refueling, and Unscheduled Maintenance of Helicopters
Wastes Generated:
Fuel-soaked absorbent pads from JP-4 and cleanups of hydraulic-fuel spills (13,900 Ibs/year in 1992-93) (D001, D008,
other regulated nonhazardous waste). Spills occur during aircraft maintenance and refueling and when temperature increases cause fuel to
expand and overtop fuel tanks.
Waste Disposal:
Used pads are disposed of in metal drums as hazardous waste.
Current Waste Minimization Practices:
D-5
4-5
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Aircraft fuel tanks are not filled to capacity before being stored in the hangars to prevent overspill from expansion of JP-4.
Problems:
Pads often are not used efficiently.
Shop personnel do not like to use foam soak-up pads, preferring fiber pads or rolls.
Using metal drums to dispose of pads increases disposal weight.
Maintenance personnel use rolls of pads as one-time disposable drop cloths during aircraft servicing.
Waste Minimization Opportunities (In Shop):
Supply the shops with both fiber rolls and individual fiber pads for more-efficient use.
Design fuel-catch pan to attach under unified fuel-control apparatus during maintenance.
Paint hangar floors with nonskid paint.
Use large (95-gallon) plastic overpacks rather than metal drums for disposal containers.
D-6
4-6
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Provide incentives for using pads more efficiently.
WDCR828/036.WP5
D-7
4-7
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SAMPLE D-4
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Power Plant
Type of Operation: Base-Wide Power and Heat Generation
Wastes Generated:
Waste oil (fuel, lubricating, and hydraulic) from leaks in diesel feed pumps, turbines, and turbine hydraulic system (2,800
Ibs/year in 1992-93) (D001, D018, D019, D029, D039, other regulated nonhazardous waste).
Spill-cleanup pads, rags, and absorbent material from oil leaks (1,600 Ibs/year in 1992-93) (D001, other regulated
nonhazardous waste).
Fuel oil and Citri-clean from parts cleaning (other regulated nonhazardous waste).
D-8
4-8
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Hydrochloric and phosphoric acid (700 Ibs/year in 1992-93) (D002)
1,1,1-trichloroethane from parts cleaning (198 Ibs/year in 1992-93) (F001).
Waste Disposal:
All wastes are collected in 55-gallon drums and disposed of as hazardous waste.
Current Waste Minimization Practices:
In the process of replacing the turbine hydraulic system, which will reduce or eliminate leaks from that source.
Problems:
There was an unsuccessful attempt to use a blend of waste oil and JP-4 as a fuel for three of the boilers. The mixture was
uncontrolled and was fed into the units without pretreatment.
The plant has no stack scrubbers. Pollution control is performed by monitoring emissions for carbon monoxide and oxygen
and adjusting the boilers when necessary.
Boilers are fueled primarily by gas and have a backup supply of arctic diesel. EPA is trying to restrict the burning of diesel to
10 percent.
D-9
4-9
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Additional stack testing (hydrocarbons, NOx, 802) would likely be necessary if a greater percentage of diesel or waste oil
was to be used for fuel.
Feed pumps are 35 years old, leak, and need replacing. Leaking oil contains lead from pump bearings.
Current oil-water separator does not work adequately and therefore is not used.
Sulfuric acid is supplied in 55-gallon drums that require excessive handling and present opportunities for spills.
Waste Minimization Opportunities (In Shop):
Replace leaking flanges in fuel-oil lines.
Construct new oil-water separator and use high-pressure steam/hot water cleaning operation to replace the fuel-oil cleaning
of parts.
Replace the six feed pumps and oil purifiers to reduce leaks. Estimate cost at $70K and $22K per unit, respectively.
Install 500-gallon tanks for sulfuric acid storage to replace the current use of drums.
D-10
4-10
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Use waste oil, diesel, and JP-4 as a fuel mixture in one or more of the boilers. Fuel and oil first would have to be blended
and treated.
WDCR828/037.WP5
D-ll
4-11
-------
SAMPLED-5
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Hazardous Waste Storage Area
Type of Operation: RCRA and TSCA Regulated Waste Storage Facility
Wastes Generated:
This shop is a RCRA and TSCA permitted facility that collects all hazardous wastes generated on the post as well as waste
from other DOD facilities throughout Alaska.
This shop also is used as a consolidation point for used oil from other nearby DOD facilities (970,000 Ibs over a 2-year
period) (D001, D018, D029, D039, F001, F003, other regulated nonhazardous waste).
D-9
4-9
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Solvent-contaminated soil from the cleanup of a past recurring spill at a waste-solvent drum-storage area near Building 6
(110,000 Ibs as of 9/10/91; the cleanup is still under way) (D018, F005). The storage area had been operated by a tenant organization. They
have improved their storage practices.
Waste Disposal:
Used oil is being stockpiled on the site in railroad tank cars. The majority of the oil is off-specification, nonhazardous
material. Some contains hazardous concentrations of solvents or metals.
Hazardous wastes are shipped through a contractor to the lower 48 states, where they are incinerated or otherwise treated
and/or landfilled.
Current Waste Minimization Practices:
Used to send used oil off the site, where it was mixed with coal and burned in the power plant. Because of improper
handling, the State no longer allows this practice. The oil is being stockpiled at the base in railroad tank cars.
Converting several shops to use Black Gold furnaces that will burn up to 100 gpd of used oil to generate heat.
Accumulation points for hazardous waste are in some instances housed in specialized storage sheds.
Problems:
D-10
4-10
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Waste oils sometimes contain hazardous concentrations of metals, organics, and solvents.
Often, drums of waste paint are received from the paint shop 90 percent empty, and drums of cleanup pads are received
light (dry and unused). A good portion of the disposal costs in these instances is for the weight of the drum.
Large plastic overpacks are difficult to handle and store.
Waste Minimization Opportunities (In Shop):
Better use of cleanup pads and lighter drums would lessen disposal costs.
Burn waste oil and JP-4 as a fuel in the existing base power plant.
Construct an incinerator or a separate power facility for burning waste oil and solid waste.
Install additional Black Gold furnaces for heating buildings using waste oil.
WDCR828/039.WP5
D-ll
4-11
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SAMPLE D-6
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Transportation Company
Type of Operation: Stripping and Painting of Vehicles
Wastes Generated:
Methyl ethyl ketone (MEK) paint thinner and waste paint from cleaning painting equipment (-4,500 Ibs/year in 1990-91)
(D007, D008, F005).
Plastic paint-stripping media are used to remove old paint from aluminum aircraft parts (soft, Type n media) and steel
ground equipment parts (hard, Type HI media). Spent beads and paint residue are collected and disposed of (27,200 Ibs/year in 1990-91)
(D006, D007, D008).
D-ll
4-11
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Glass beads from stripping corrosion from steel parts. Spent beads and corrosion residue are disposed of (-9,000 Ibs/year
in 1990-91) (other regulated nonhazardous waste).
Spent Turco (cold solvent) paint stripper and rinse water are generated from spot-stripping paint, particularly Boeing
primer, from thin parts that cannot be stripped with plastic media. Turco is hand-applied with brushes. In addition, spent fine organic 606 (hot
solvent) paint stripper and contaminated rinse water are generated from a dip tank stripping process used to remove paint from small parts
(8,300 Ibs/year in 1990-91) (D002, D007, D008, F001, F002, F003, F005).
Used filters and paint-booth paper are generated from two dry paint booths (1,500 Ibs/year in 1990-91) (D007, D008,
other regulated nonhazardous waste).
Waste Disposal:
MEK and waste paints, spent plastic stripping media, spent Turco, and organic 606 paint stripper and rinse water are
collected in drums and disposed of as hazardous waste.
Glass stripping beads and air filters have been disposed of in the past as hazardous waste but recently have tested as
nonhazardous and have been disposed of in the base landfill.
Current Waste Minimization Practices:
D-12
4-12
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Plastic-media stripping process was installed in June 1990 and has greatly reduced the use of Turco stripping and the total
waste generated from parts stripping.
Paint booths recently were switched over from wet to dry filter. This has eliminated a 3,000 gallon/week waste stream of
water.
Problems:
Plastic media break down and create hazardous wastes because of metals from paint residue.
There is no system set up for reusing MEK paint thinner.
Paint shop foreman is concerned about using a still to recycle MEK. He feels that the recycled (off-spec) MEK may be
used inadvertently to mix paints.
Waste Minimization Opportunities (In Shop):
Switch to water-base paints, thereby eliminating the need for MEK. In the long term, use of hazardous paint strippers
would be eliminated, and spent plastic media could be disposed of as nonhazardous waste.
Recycle spent plastic beads.
D-13
4-13
-------
Install a still for recycling spent MEK.
Use CO2 paint stripping.
Use organic-media paint stripping.
WDCR828/040.WP5
D-14
4-14
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SAMPLE D-7
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Company Motor Pool
Type of Operation: General Motor Pool Maintenance and Repair
Wastes Generated:
Motor oil (3,000 Ibs/yr in 1992-93) and oil filters (5,900 Ibs/yr in 1992-93) from regular vehicle maintenance. Oil is
changed every 6 months or 6,000 miles on standard vehicles and every 400 to 600 operating hours on special vehicles. Approximately 1,300
vehicles are serviced. These quantities include wastes generated at the Heavy Equipment Maintenance Shop (D001, other regulated
nonhazardous waste).
Antifreeze from regular vehicle maintenance (700 Ibs/yr in 1992-93) (other regulated nonhazardous waste).
Waste paint and related materials from painting fleet vehicles in two wet paint booths (1,800 Ibs/year in 1992-93) (F005).
D-13
4-13
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Waste Disposal:
Used oil is being consolidated in a waste POL sump and tanks.
Oil filters, used antifreeze, and waste paint and related materials are disposed of as hazardous waste.
Solvents are disposed of by Safety Kleen.
Current Waste Minimization Practices:
The floor of the garage is swept daily with a dry sweeping machine to eliminate dirt accumulation in the oil-water separators.
Oil filters are crushed before disposal.
Citrus (orange peel) solvent has been replacing PD-680.
A test (litmus) for evaluating antifreeze has been implemented that has extended the life of antifreeze from 2 to 4 years.
Diesel fuel is tested and reused if possible.
A dry-filter, down-draft work area has been installed and is used for bodywork, such as sanding and touch-up painting.
D-14
4-14
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Problems:
Shop supervisor does not like the idea of recycling antifreeze.
Synthetic motor oils are not acceptable to the Army because they may void vehicle warranties.
This shop has been designated as an area to receive two Black Gold furnaces. Shop supervisor foresees a problem with
open flames in his building. Furnaces would have to be located in a separate building if they operate with open flames.
Shop supervisor feels that waste management requires a full-time supervisor and a dedicated staff, which he does not have.
Minimization Opportunities (In Shop):
Institute a program for testing motor oil and antifreeze to increase the time between changes.
Switch from wet to dry paint booth.
WDCR828/041.WP5
D-15
4-15
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SAMPLED-8
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Transportation Company, Heavy Equipment Maintenance
Type of Operation: Maintenance and Repair of Heavy Snow-Removal Equipment and Other Heavy Vehicles
This shop is operated under the motor pool maintenance department
Wastes Generated:
Motor oil, oil filters, and antifreeze from regular vehicle maintenance. Oil is changed every 4 to 6 months or 200 to 400
hours of vehicle running time; 300 vehicles are serviced, some needing as much as 132 quarts of oil per change. The quantities of used oil and
filters generated at this shop are included in those listed.
PD-680 degreaser from cleaning vehicle parts (2,000 Ib/year in 1992-93) (D001).
D-16
4-16
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Contaminated diesel is generated when trucks are drained before overhaul (other regulated nonhazardous waste).
Waste Disposal:
Used motor oil is being consolidated in 55 gallon drums.
Used oil filters are disposed of in drums as hazardous waste.
Spent PD-680 is disposed of in drums as hazardous waste.
Current Waste Minimization Practices:
Used oil filters are crushed and drained before disposal.
If diesel fuel is not contaminated, it is reused.
D-16
4-16
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Problems:
Synthetic motor oil is not acceptable by the Army because its use may void vehicle warranties.
Waste Minimization Opportunities (In Shop):
Institute a testing program for motor oil to increase the time between changes.
Use high-pressure hot water or detergent wash rather than a degreaser to clean parts. Treat washwater in an oil/water
separator.
Filter PD-680 for reuse (may already be doing this).
WDCR828/042.WP5
D-17
4-17
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SAMPLE D-9
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Transportation Company, Diesel Maintenance
Type of Operation: Diesel Generator Tear down and Rebuild
Wastes Generated:
Used motor oil and diesel fuel in unknown condition are generated when diesel generators are drained before teardown
(1,000 Ibs/yr in 1992-93) (D001, other regulated nonhazardous waste).
Waste Disposal:
Used motor oil is put in drums and disposed of as waste.
Diesel fuel is reused if possible or disposed of as waste.
D-17
4-17
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Current Waste Minimization Practices:
Diesel fuel is tested for water content and reused if possible.
Problems:
In the past, generator parts were cleaned with tetrachloroethylene (PCE) and then rinsed off down the building floor drains.
The shop received a notice of violation from EPA for this practice. Parts are currently cleaned at Fort Richardson, but this is an unacceptable
practice because of the delays involved. New procedures are being investigated.
There is no Army-approved method for testing motor oil for reuse.
Waste Minimization Opportunities (In Shop):
Institute a testing program for motor oil to determine if it can be reused.
D-18
4-18
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Potential alternatives for parts-cleaning technologies are:
High pressure steam or hot water
Alkaline cleaning system
WDCR828/043.WP5
D-19
4-19
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SAMPLED-10
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Public Works, Operating Engineers
Type of Operation: Hazardous Waste and Materials Response
Wastes Generated:
Various wastes are generated from emergency response cleanup actions at off-post locations. Examples of wastes
generated and sent to the RCRA storage facility in 1992-93 include asphalt cutback (4,600 Ibs), waste oil (9,700 Ibs), and PCB-contaminated
material (1,200 Ibs).
Waste diesel fuel, antifreeze, transmission fluid, etc., from maintenance of shop vehicles.
Waste Disposal:
D-19
4-19
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Nonhazardous waste oil is being stockpiled at the base in railroad tank cars.
Other wastes are placed in drums and disposed of as hazardous waste.
Current Waste Minimization Practices: None
Problems:
Little can be done to minimize waste at the source because most wastes originate off the site and are a result of cleanup
activities.
Waste Minimization Opportunities (In Shop):
Institute a testing program for motor oil and antifreeze to increase the time between changes.
WDCR828/044.WP5
D-20
4-20
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SAMPLED-11
Pollution Prevention Survey
Date:
Unit Designation, Shop Name, Building: Defense Reutilization and Marketing Office (DEMO)
Type of Operation: Hazardous and Nonhazardous Material Collection, Storage, Redistribution, and Sale.
Wastes Generated:
DRMO is a consolidation point for unused products from military installations throughout the state. The wastes are those
that have exceeded their shelf life or are no longer needed by the original purchaser. DRMO tries to find other uses for them. Materials include:
Paints
Sulfuric acid
Cleaners
Adhesives
Petroleum products
D-20
4-20
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Chemical DECON kits
DRMO spent approximately $3.6 million on disposal of materials received from Army installations in 1992.
Waste Disposal:
Where possible, materials are sold or given away for reuse. Remaining materials are disposed of as hazardous waste
through a RCRA-permitted hazardous waste storage area.
Current Waste Minimization Practices:
Try to resell or reuse products.
Problems:
Many items are received without MSDS sheets. They cannot be reused and must be analyzed before disposal.
Waste Minimization Opportunities (In-Shop):
Shops should obtain MSDS sheets with purchases of all chemical products and should keep MSDS sheets with products
even during disposal.
D-21
4-21
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Shops need to rotate stock so that shelf lives are not exceeded, and shops should limit purchases to the amount needed.
Shops should use proper storage to keep materials longer.
WDCR828/045.WP5
D-22
4-22
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July 1998
RG-133
Pollution Prevention
Assessment Manual
A Guide for Large Quantity Generators and
TRI Reporters in Preparing a Source
Reduction and Waste Minimization Plan
Office of Pollution Prevention and Recycling
TEXAS NATURAL RESOURCE CONSERVATION COMMISSION
-------
Barry R. McBee, Chairman
R. B. "Ralph" Marquez, Commissioner
John M. Baker, Commissioner
Jeffrey A. Saitas, Executive Director
Authorization for use or reproduction of any original material contained in this
publication—that is, not obtained from other sources—;'s freely granted. The
commission would appreciate acknowledgment.
Published and distributed
by the
Texas Natural Resource Conservation Commission
PO Box 13087
Austin TX 78711-3087
The TNRCC is an equal opportunity/affirmative action employer. The agency does not allow discrimination on the
basis of race, color, religion, national origin, sex, disability, age, sexual orientation or veteran status. In compliance
with the Americans with Disabilities Act, this document may be requested in alternate formats by contacting the
TNRCC at (512)239-0028, Fax 239-4488, or 1 -800-RELAY-TX (TDD), or by writing P.O. Box 13087, Austin, TX
78711-3087.
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Contents
1. Pollution Prevention Makes Good Business Sense 1
Pollution Prevention in Texas 2
How Does Pollution Prevention Make Sense? 2
It Pays to Reduce Waste 3
Reduce Your Regulatory Burden 4
It's Your Responsibility 5
It's the Law 5
It's the Right Thing to Do 6
It's Our Future 6
2. Complying with the Waste Reduction Policy Act 7
Does the WRPA Affect Me? 7
Groups Affected by the WRPA 7
Groups Not Affected by the WRPA 8
Getting Below Reporting Thresholds 8
What Does the WRPA Require? 8
Prepare a Pollution Prevention Plan 9
Send in an Executive Summary 9
Report Annually 10
How Can I Comply? 10
Table 1. Which Worksheet Do I Use for Each Requirement? 11
Where Do I Send My Summary and Reports? 13
Could I be Exempt? 14
3. Planning, Organizing, and Goal-Setting 15
Develop a Company Environmental Policy 15
Organize a Pollution Prevention Program 15
Create a Pollution Prevention Program Task Force 15
Train Employees: Increase Their Awareness 16
Select a Great Assessment Team 16
in
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Worksheet 1 — Corporate Environmental Policy 18
Worksheet 2 — Program Task Force 20
Worksheet 3 — Pollution Prevention Goals 22
Worksheet 4 — Employee Training Program 24
Worksheet 5 — Assessment Team Make-Up 26
4. Doing Your Pollution Prevention Assessment 28
Identify Waste Streams to Eliminate 29
Table 2. Avenues of Waste 29
Where does Waste Happen? 30
How Much Waste Happens? 30
How is That Waste Managed? 30
Assess the Risk Each Waste Represents 31
Prioritize Your Waste Streams 31
Identify Your Options 32
Source Reduction 32
Waste Minimization 34
Treatment Options 35
Finding More Ideas 35
Analyze Technical Aspects 38
Worksheet 6 — Process and Waste Stream or Release Data 38
Worksheet 7 — Waste Stream/Release Summary 40
Worksheet 8 — Assessment of Risk to Human Health and the Environmehl
Worksheet 9 — Waste Stream Prioritization 44
Worksheet 10 — Source Reduction/Waste Minimization Options
Description 46
Worksheet 11 — Treatment Feasibility 48
Worksheet 12 — Technical Feasibility 50
5. Analyzing the Economic Feasibility of Each Project 52
Analyze Economic Aspects 52
Prioritization 52
Crayons to Computers: How Complex Should Your Analysis Be? 53
Crayon Accounting: Preliminary Screening 53
IV
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Using a Pencil: Identifying Hidden Costs 55
Sharpening the Pencil: Full-Cost Accounting 56
Economic Analysis, Step by Step 57
At the Click of a Mouse: Software for Cost Accounting 60
Set Priorities 60
Worksheet 13 — EMS Environmental Accounting 62
Worksheet 14 — Waste Reduction Project Prioritization 66
6. Implementation 68
Documentation 68
Implementation 69
Evaluate Performance 69
Worksheet 15 — Implementation Schedule 70
Worksheet 16 — Evaluate Performance 72
7. Filing your Supporting Documentation 74
Submit the Executive Summary 74
Submit a Certificate of Completion 74
Worksheet 17 — Executive Summary 76
Worksheet 18 — Certification of Completion 80
Appendix A: Basic Facts About Hazardous Waste and TRI A-l
Appendix B: Small-Quantity Generator/Non-TRI Reporter Executive Summary Form and
Instructions B-l
Appendix C: Example Pollution Prevention Plan C-l
Appendix D: TNRCC Pollution Prevention Rules (30 TAC §335, Subchapter Q) Pollution
Prevention: Source Reduction and Waste Minimization D-l
Appendix E: Additional Resources E-l
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VI
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1. Pollution Prevention Makes Good Business Sense
Pollution prevention does make good business sense—and it's the law in Texas. The Waste
Reduction Policy Act (WRPA) of 1991 requires certain industries and businesses that generate
hazardous waste or release toxics to prepare a source reduction and waste minimization
(SR/WM) plan and a SR/WM annual progress report.
This manual is organized to accomplish two objectives:
• to assist you in preparing a pollution prevention plan as required under the WRPA;
• to aid you in planning, developing, and implementing a successful pollution prevention
program.
For more information on how to determine whether your facility is subject to the pollution
prevention plan reporting requirements, refer to TNRCC document RG-209, "Does the Waste
Reduction Policy Act apply to you?"
Non-TRI Small Quantity Generators can gain benefit from following the assessment instructions
in this manual. However, specific requirements for Non-TRI SQGs are outlined Appendix B, or
can be found in TNRCC publication RG-196, Source Reduction and Waste Minimization
Executive Summary and Certificate of Completeness and Correctness for Non-TRI Small
Quantity Generators.
For help preparing a WRPA annual progress report, order TNRCC publication RG-112, Source
Reduction and Waste Minimization Annual Progress Report: Instruction Manual and Forms for
Large-Quantity Generators and TRI Reporters.
Each chapter in this manual contains worksheets, detailed descriptions explaining the worksheets,
and advice on how to complete a pollution prevention assessment and plan. You may need to
modify the procedures and worksheets to fit your specific needs. Appendix C, "Example Pollution
Prevention Plan," includes one facility's simplified plan.
Chapter 2 presents instructions and approaches for preparing a pollution prevention plan as
required by the WRPA. Chapters 3 through 6 present worksheets that will help you prepare your
plan.
The rules governing Texas source reduction and waste minimization planning are included in
1
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Appendix D of this manual: 30 TAG §335, Subchapter Q.
Pollution Prevention in Texas
Pollution prevention begins with a good approach to waste management. The Texas Solid Waste
Disposal Act encourages using this order of preference for methods of managing hazardous
waste:
1. Source Reduction (most preferred)
2. Reuse or Recycling
3. Treatment to destroy hazardous characteristics
4. Treatment to reduce hazardous characteristics
5. Underground injection
6. Land disposal
Throughout this manual we will refer to this order of preference as the "waste management
hierarchy." This hierarchy applies to nonhazardous waste as well. In this manual, we focus on
the most preferred categories
There are two types of pollution prevention: source reduction and waste minimization. As
illustrated in the waste management hierarchy, source reduction is preferred. Pollution prevention
activities may address any hazardous substance, pollutant, or contaminant. Your facility may
already be incorporating pollution prevention activities into plant operations. A pollution
prevention plan helps you document existing activities as well as develop new projects.
This manual focuses on the most preferred categories: source reduction, reuse or recycling, and
some forms of treatment. In addition to evaluating your hazardous wastes, you should examine
cardboard, paper, typewriter ribbons, aluminum cans, and other nonhazardous wastes. Evaluating
your nonhazardous wastes can mean substantial savings through recycling and reduced disposal
costs.
For more information on specific source reduction and pollution prevention options, see Chapter
4, "Doing Your Pollution Prevention Assessment."
How Does Pollution Prevention Make Sense?
There are many reasons to have a pollution prevention plan that reduces both the amount of waste
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generated and the amount of toxic releases to the environment. Six important reasons are:
• economic incentives — it pays to reduce waste.
• paperwork reduction — you can reduce your regulatory burden.
• reduced liability — it's your responsibility.
• state policy — it's the law.
• increased public awareness — it's the right thing to do.
• improved human health and the environment — it's our future.
It Pays to Reduce Waste
Pollution control and waste management costs. Pollution prevention pays. Texas facilities have
reported big savings from developing pollution prevention plans under the WRPA. An
independent survey of Texas facilities with WRPA pollution prevention plans indicates these
results:
• 80 percent considered the plan to be useful to their facility.
• 77 percent broke even or had a cost savings from pollution prevention projects.
• 48 percent had a net cost savings of more than $40,000 from these projects.
• More than one-third of the respondents are now large-quantity generators (LQGs) but
expect to become conditionally exempt small-quantity generators (CESQGs) over the next
three years.
Companies must look beyond the up-front costs of pollution prevention and examine all costs
associated with managing wastes—including disposal, potential liability, and regulatory costs.
Additional benefits include improved public perception and community relations and reduced
overhead.
Lone Star Success
As a result of going through the WRPA pollution prevention planning process and attending a
Texas Auto Dealers' Association assistance workshop, a West Texas auto dealer has:
• cut paint and related waste by 90 percent—from 4,000 to 400 pounds a year;
• eliminated the use of carburetor cleaner by 400 pounds per year;
• switched to a new parts washer solvent that tests nonhazardous even after use;
• had the new solvent re-refined, for a reduction of 5,500 pounds per year;
• changed from small-quantity generator (SQG) to a CESQG in approximately one year.
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Reduce Your Regulatory Burden
The paperwork required for environmental reporting and record keeping is extensive. Time spent doing pape
business expense, so reducing your paperwork can translate into savings and increased efficiency. A reductic
amount of waste managed can translate into a reduction in paperwork.
How can reducing the amount of hazardous waste reduce paperwork? It's simple: the less waste
you have, the fewer manifests and other paperwork you have to fill out. If your facility reduces
enough to change generator status, your facility can reap even greater benefits. For example, if
your facility is a large-quantity generator (LQG) of hazardous waste (see Appendix A, "Basic
facts about hazardous waste and TRI," for hazardous waste information) and becomes an SQG,
your facility may benefit from increased storage time and fewer pollution prevention requirements
(see Chapter 2 for details on WRPA requirements). If your facility is already an SQG, your
regulatory burden could be further reduced by becoming a CESQG. It pays to be aware of your
generator status and to try to reduce it to a lower level.
Lone Star Success
A military station switched from a parts washing system based on off-site waste management to a
continuous filtration parts washing system. By completing this single pollution prevention project,
the facility expects to save over $20,000 per year and reduce their generator status from an LQG
to an SQG. Benefits of changing from an LQG to an SQG include fewer inspections, increased
storage time, and a reduction in paperwork, which the facility estimates will save another $13,000
annually.
Pollution prevention planning may also help you reduce paperwork if your facility is required to
report on the Toxics Release Inventory (TRI) Form R. For more information on TRI, see
Appendix A, "Basic Facts About Hazardous Waste and TRI." Each reportable chemical requires a separate
Form R. If your facility reduces the levels of reportable chemicals managed or released to below the threshol
may be able to use the Form A. The Form A is significantly shorter and easier to complete than the Form
R.
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Lone Star Success
An East Texas manufacturer found that by going through the required pollution prevention
process they developed a plan that reduced emissions and the facility's regulatory burden.
Because the planning process covers air emissions reported to TRI as well as hazardous waste,
they targeted projects that resulted in reductions in air emissions. They reduced volatile organic
compounds (VOCs) below the thresholds required by two regulatory programs.
The facility estimates that by spending about one month preparing the plan, they will save about
four months of work preparing both Title III and Title V permits. These are significant savings
both in time and money.
You may find that by going through the planning process you find ways to reduce or even eliminate the neec
hazardous waste and TRI. You could also apply these techniques to drop below the threshold for other repor
requirements. As the Lone Star Success case studies show, many facilities in Texas have found that reducing
form, is the best way to reduce paperwork.
It's Your Responsibility
Once you generate a hazardous waste, you are legally responsible for the proper management of
that waste forever. In addition, federal and state laws target generators of hazardous waste as
being at least partially responsible for the cleanup of wastes that leak from disposal sites.
Generators using off-site treatment, storage, or disposal, face financial liability when the facility
operators mismanage waste and when facility owners improperly design the disposal facility itself.
Increases in insurance costs or an inability to obtain insurance will result in higher treatment and
disposal costs or the loss of available treatment or disposal capacity. You can reduce this expense
by reducing the cause of the liability, which is your hazardous waste. Preventing pollution can also
reduce health and safety risks and requirements. By reducing the amount of hazardous waste your
business generates, you can reduce your long-term liability.
It's the Law
Texas state policy regarding pollutants and contaminants is to reduce pollution at its source and
to minimize the impact of pollution, reducing the risk to public health and the environment.
The best solution is to generate as little as possible, reduce the volume or the hazardous
properties of what is generated, and dispose of the remaining waste safely.
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Lone Star Success
A Nuevo Laredo facility worked through its vendors to receive raw materials in returnable
containers wherever possible. The facility now receives 90 percent of all chemical deliverables in
returnable totes. By doing this, the facility has reduced the number of drums disposed of annually
by approximately 250 drums. In addition, before disposal, drums had to be rinsed; by eliminating
disposal, it has reduced its wastewater generation by 45,000 gallons a year.
Purchasing chemicals in returnable totes saves money in several ways. Chemicals can now be
purchased at bulk rates, reducing materials handling. There are also no disposal or cleanup costs
associated with the empty drums. The facility estimates that using returnable totes saves the
company $5,000 a year.
It's the Right Thing to Do
The public today is more informed about environmental issues. People are aware of the potential
effects that hazardous waste and the release of pollution can have on human health and the
environment. Therefore, companies that are environmentally aware and work towards waste
reduction can improve their working relationship with the public, their neighbors, and their
customers.
It's Our Future
The most important reason to promote pollution prevention is to protect our health and our
environment. When we improve and protect the environment, we are ultimately protecting
ourselves, our economy, and our future.
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2. Complying with the Waste Reduction Policy Act
WRPA requires facilities that generate hazardous waste or report on the TRI Form R to prepare a
five-year pollution prevention plan, to submit an executive summary of that plan to the TNRCC,
and to report annually on their progress. All companies that recognize the importance of
protecting human health and the environment should incorporate a pollution prevention plan into
their overall business plan.
This chapter is designed to guide businesses in establishing a pollution prevention plan. Included
are an overview of the requirements for complying with pollution prevention rules (see Appendix
D) as well as methods for preparing a plan. Appendix C, "Example Pollution Prevention Plan,"
demonstrates one Texas facility's method for meeting WRPA requirements.
Does the WRPA Affect Me?
WRPA's reporting requirements apply to thousands of facilities throughout Texas. The following
information will assist you in determining if WRPA applies to you. For more information
regarding WRPA applicability, please refer to RG-209, "Does the Waste Reduction Policy Act
Apply to You?"
One way to get out of reporting to WRPA is to reduce your waste generation. See "Getting
Below Reporting Thresholds" on page 8 for more information.
Groups Affected by the WRPA
The pollution prevention rules apply to the following groups:
• all large-quantity generators (LQGs) of hazardous waste
• all small-quantity generators (SQGs) of hazardous waste
• all persons subject to TRI Form R reporting (SARA Title III)
LQGs, SQGs, and TRI Form R reporters must prepare a five-year plan to keep on site for
inspection. The due date for the plan is based on the previous years' amounts of hazardous waste
generated or TRI chemicals released and transferred (as per the total of Sections 5 and 6 on the
TRI Form R).
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If your facility has more than one EPA, solid waste (5-digit), or TRI identification number, you
should report under each number. If a new facility is built or an old facility expands and the rules
suddenly apply to it, the facility has 90 days to have a plan in place and submit an executive
summary to the TNRCC.
Groups Not Affected by the WRPA
The pollution prevention rules do not apply to the following groups:
• conditionally exempt small-quantity generators (CESQGs) that are also not TRI
Form R reporters
• facilities regulated only by the Railroad Commission of Texas
Getting Below Reporting Thresholds
Several facilities have "reduced out" of WRPA planning and reporting requirements by reducing
their wastes to levels below reporting thresholds. If you are no longer a TRI Form R reporter and
a CESQG, you are no longer subject to WRPA. In other words, if you generate less than 1.102
tons of hazardous waste a year and are not subject to TRI Form R requirements, WRPA does not
apply to you.
What Does the WRPA Require?
To comply with WRPA, you must complete these two steps:
• prepare a pollution prevention plan; and
• send the TNRCC an executive summary of your plan.
Large Quantity Generators and/or TRI Form R reporters must also send the TNRCC an annual progress repc
Under the law, if you fail to prepare the plan, send in the executive summary, or submit an annual progress r
can be considered in violation of the Texas Administrative Code. The penalties for such a violation can be as
$10,000 per violation per day. Failing to meet the reduction goals stated in your facility's plan is not a violal
does not expose you to any penalties.
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Prepare a Pollution Prevention Plan
If WRPA applies to you, you need to prepare a WRPA pollution prevention plan. According to
the rules, this plan should be available to the TNRCC for on-site inspection. All WRPA pollution
prevention plans need to include at least the following elements:
> list of all hazardous wastes generated and quantity in tons (using your facility's most
recently submitted annual waste summary);
*• a description of source reduction/waste minimization projects including:
• a discussion of environmental and human health risks associated with these
projects;
• a description of any media transfer and/or change of waste or release associated with projects:
• a schedule for project implementation and completion;
> facility reduction goals; and
> an executive summary and certificate of completion and correctness (see below).
LQG/TRI facility plans must also include a prioritized list of projects. In this list, include the
following information for each project:
• project explanation;
• economic and technical feasibility;
• consideration of environmental/health risks and benefits;
• discussion of media/contaminant transfer possible due to project
implementation;
• type of proj ect (source reduction or waste minimization);
• implementation schedule; and
• individual project goal.
Send in an Executive Summary
You must submit your pollution prevention plan's executive summary and certificate of
completion and correctness to the TNRCC by the time the plan is due to be completed. All
executive summaries must include:
• facility information (name, address, contacts, IDs, etc.);
• estimated amount of hazardous waste to be generated in the fifth year (based on the reduction goals ii
plan);
• prioritized list of contaminants to be reduced;
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• list of source reduction activities; and
• certificate of completion and correctness, signed by the owner or corporate officer.
LQG/TRI facilities must also include:
• list of all hazardous wastes and reportable TRI releases and volumes;
• discussion of media/contaminant transfer possible due to project
implementation;
• project implementation milestones; and
• implementation schedule for future reduction goals.
Report Annually
Large-quantity generators and/or facilities that report on the TRI Form R must also submit a
WRPA annual progress report July 1 of each year. For a copy of RG-112, Source Reduction and
Waste Minimization Annual Progress Report Manual and Forms, call TNRCC publications at
512/239-0028. You may also download RG-112 from the TNRCC Web site at
http://www.tnrcc.state.tx.us.
How Can I Comply?
One possible method for preparing your plan is through the use of the assessment worksheets
provided in this document. Using the worksheets in this document is advisable if the following are
true at your facility:
• facility contains many reportable hazardous waste and TRI "waste" streams;
• past reporting and record keeping has been sketchy or questionable;
• assessment team/environmental component not familiar with processes and wastes;
• facility is probably a large-quantity generator and/or a TRI reporter; and
• limited reduction projects.
Using the worksheets may require more time, but the advantages could be considerable, including
identifying more reduction opportunities. Completing the worksheets can also help you set up a
program that focuses on cost-effective reductions.
Lone Star Success
10
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By utilizing the Pollution Prevention Assessment Manual worksheets and the TNRCC pollution
prevention workshops in setting up their pollution prevention plan, a Dallas-area facility reduced
hazardous waste generation by 63 percent from 1994 to 1995, even while increasing production,
and implemented projects resulting in 88.1 tons of waste that were not shipped off-site for
disposal or incineration. This facility also found employee training and education to be a key
element in reducing waste generation
Not all facilities use the worksheets. Appendix C, "Example Pollution Prevention Plan," includes
an example of a well-written, concise plan whose authors chose not to use the worksheets.
The following table describes the information needed for completing a pollution prevention plan
as required by the Waste Reduction Policy Act and the corresponding assessment worksheets
covering the required information.
While all worksheets are invaluable in conducting a thorough pollution prevention assessment and
in finding additional ways to reduce your wastes and costs, no WRPA reporting requirements
exist for using Worksheets 1, 2, 5, 9, 11, and 16.
Table 1. Which Worksheet Do I Use for Each Requirement?
WRPA pollution prevention plan requirements
Initial survey
An initial survey of the facility's activities which will identify those
activities that cause hazardous waste, and/or will identify activities
that result in the release of pollutants or contaminants.
Prioritized list of projects
A. A list of prioritized source reduction projects, based upon
information obtained during the initial survey, which are
economically and technologically feasible.
B. A list of prioritized waste minimization projects, based upon
information obtained during the initial survey, which are
economically and technologically feasible.
Worksheet(s)
Worksheet 6: "Process and Waste
Stream Data"
Worksheet 7: "Waste Stream or
Release Summary"
Worksheet 14: "Waste
Reduction/Release Project
Prioritization"
SQG/
non-TRI
LQG/
TRI
•
•
•
Page
No.
39
41
67
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Source reduction projects
A. A discussion of technical and economic considerations in
selecting each project to be undertaken.
B. A discussion of environmental and human health risks considered
in selecting each project to be undertaken.
C. An identification and discussion of cases in which the
implementation of a source reduction activity designed to reduce
risk to human health or the environment may result in the release of
a different pollutant or contaminant or may shift the release to
another medium.
D. An estimate of the type and amount of reduction anticipated.
E. A discussion of source reduction goals for the project, including
incremental goals to aid in evaluating progress.
F. A schedule for the implementation of each source reduction
project.
Waste minimization projects
A. A discussion of technical and economic considerations in
selecting each project to be undertaken.
B. A discussion of environmental and human health risks considered
in selecting each project to be undertaken.
C. An identification and discussion of cases in which the
implementation of a waste minimization activity designed to reduce
risk to human health or the environment may result in the release of
a different pollutant or contaminant or may shift the release to
another medium.
D. An estimate of the type and amount of reduction anticipated.
E. A discussion of waste minimization goals for the project,
including incremental goals to aid in evaluating progress.
F. A schedule for the implementation of each waste minimization
project.
Facility goals
A. An explanation of source reduction and waste minimization goals
for the entire facility.
B. An explanation of incremental goals for the entire facility.
Employee awareness and training programs
An explanation of employee awareness and training programs to aid
in accomplishing source reduction and waste minimization goals.
Worksheet 12: "Technical
Feasibility"
Worksheet 13: "EMS
Environmental Accounting"
Worksheet 8: "Assessment of Risk
to Human Health and the
Environment"
Worksheet 12: "Technical
Feasibility"
Worksheet 10: "Option Description"
Worksheet 3: "Goals"
Worksheet 15:
"Implementation/Installation"
Worksheet 12: "Technical
Feasibility"
Worksheet 13: "EMS
Environmental Accounting"
Worksheet 8: "Assessment of Risk
to Human Health and the
Environment"
Worksheet 12: "Technical
Feasibility"
Worksheet 10: "Option Description"
Worksheet 3: "Goals"
Worksheet 15:
"Implementation/Installation"
Worksheet 3: "Goals"
Worksheet 4: "Employee Training
Program"
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
51
63
43
51
47
23
71
51
63
43
51
47
23
71
23
25
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LQG executive summary (also fulfills requirements for
SQG/non-TRI reporter plan)
An executive summary of the plan (included at the end of this
outline) which shall include at a minimum:
A. A description of the facility which shall include:
Name of the facility, address, contact, general description of the
facility, including TNRCC ID numbers.
B. A list of all hazardous wastes generated and a list of all
reportable TRI releases and the volumes of each
C. A prioritized list of pollutants and contaminants to be reduced
and a statement of reduction goals
D. An explanation of environmental and human health risks
considered in determining reduction goals
E. Implementation milestones for individual project development
and an implementation schedule for future reduction goals
F. Identification and description of cases in which the
implementation of source reduction or waste minimization activity
designed to reduce risk to human health or the environment may
result in the release of a different pollutant or contaminant or may
shift the release to another medium
Certification
Certification by the owner of the facility, or, if the facility is owned
by a corporation, by an officer of the corporation that owns the
facility that has the authority to commit the corporation's resources
to implement the plan, that the plan is complete and correct
SQG/non-TRI executive summary form and certificate of
completion
Meets executive summary requirements for SQG/non-TRI facilities
Worksheet 17: "LQG Executive
Summary"
Worksheet 18: "Certification of
Completion"
Worksheet "Appendix B"
'
"
77
81
3
Where Do I Send My Summary and Reports?
Mail your executive summary and the certificate of completion and correctness to:
Industrial Pollution Prevention Team, MC-112
Office of Pollution Prevention and Recycling
TNRCC
POBox 13087
Austin TX 78711-3087
Please mark "SR/WM executive summary" on the envelope.
If you have questions about your submission or about specific WRPA requirements, call 512/239-
3100. Please do not fax your plans, executive summaries or annual progress reports, unless
requested by the TNRCC.
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The plan is kept on-site and is confidential. The executive summary and the certificate of
completeness and correctness are required to be submitted to the TNRCC and are available to the
public. To better inform your community of the positive pollution prevention efforts your facility
has undertaken, we suggest the executive summary be placed in your local library for easy public
access.
Could I be Exempt?
Companies may request an exemption from reporting under the WRPA from the TNRCC
executive director, if they meet all the specific requirements. This exemption request must be
resubmitted yearly. The criteria for exemption will be based on the executive director's
assessment of the following:
• the facility has reduced the amount of pollutants and contaminants generated or released
by 90 percent since the base year (1987, or first completed year of operation);
• the potential impact on human health and the environment of any remaining hazardous
waste generated, or pollutant or contaminant released; and
• a demonstration that additional reductions are not economically and technically feasible.
In order to be granted an exemption, the facility must be able to demonstrate these criteria to the
satisfaction of the executive director. The facility should then consider which would take more
time; obtaining an exemption annually, or preparing a plan once. Please note that very few
exemptions have been granted, and nearly all have been cases in which the facility is closing down
or no longer generates hazardous wastes. If you believe you qualify for an exemption, please
contact the TNRCC Office of Pollution Prevention and Recycling's Industrial Pollution
Prevention Team at 512/239-3100.
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3. Planning, Organizing, and Goal-Setting
Your pollution prevention program will affect your entire company—production, financial,
marketing, and others. This chapter presents ideas for bringing representatives from your entire
facility together to develop a company environmental policy and organize a pollution prevention
program.
A key ingredient to your success will be to train your employees in order to increase their
awareness of pollution prevention issues.
Develop a Company Environmental Policy
Your pollution prevention program depends on management support. In order for senior
management to understand what they are supporting, it may be necessary for you to draft a
corporate environmental policy outlining the program's objectives.
Beyond informing your management of the program's objectives, the policy is also senior
management's formal commitment to follow the program. With your senior management's formal
commitment you will likely find it easier to set up pollution prevention procedures. See
Worksheet 1 on page 19 for one example of a corporate environmental policy.
Organize a Pollution Prevention Program
If your company has established its environmental policy, you can use the policy guidelines to help
establish your pollution prevention program. Your program may include educational, incentive,
and waste assessment components.
Create a Pollution Prevention Program Task Force
Program task force members should include people from departments that have significant interest
in the program. In a large company, this task force may include many people, whereas in a small
company only two or three people may be involved.
Your pollution prevention program task force's primary functions will be to:
• establish a WRPA source reduction/waste minimization plan, including
15
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development of measurable goals which are consistent with the policy adopted by
management;
• implement the source reduction/waste minimization plan; and
• monitor plan results versus goals.
In selecting members, remember that the responsibilities will probably also include:
• establishing a waste tracking system;
• prioritizing waste streams for assessments;
• choosing assessment teams;
• supervising waste assessments;
• selecting and justify feasible options;
• obtaining funding and implement options; and
• promoting pollution prevention within the company.
Although group size will vary, the task force should include members of any department
interested in the program. One of the keys to a successful team is a strong leader who is
committed to pollution prevention. Use Worksheet 2 on page 21 to list your task force members
and Worksheet 3 on page 23 to list your goals.
Train Employees: Increase Their Awareness
Your facility employees are your most valuable resource. Training employees and encouraging
pollution prevention awareness stimulates them to find innovative solutions to waste generation
problems. Use Worksheet 4 on page 25 to describe your employee training strategies.
Select a Great Assessment Team
Your assessment team's job is to review and identify ways that your facility can reduce its waste.
The team will vary depending on company size, complexity, and resources. Generally, it is best to
select people in the company that will be affected by the assessment as well as those who can
contribute to the assessment. Personnel from the following areas should be considered when
developing the assessment team:
• site coordination • facilities
• operations • materials control
• engineering • shipping/receiving
• maintenance • environmental control
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• scheduling • research and development
• procurement • management
• accounting • quality control
• safety/legal • personnel
List your assessment team members and their duties on Worksheet 5, page 27.
17
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Worksheet 1 — Corporate Environmental Policy
Because a successful hazardous waste reduction program requires corporate commitment, it is
recommended that the policy you draft have these three features:
First, the policy should be signed by a senior officer of your corporation, preferably the chief
executive officer (CEO). The CEO's signature indicates that the policy is fully supported by all of
your company's management.
Second, the policy should contain a clear statement that it is company policy to reduce wastes and
releases of pollutant and contaminants to the environment.
Third, the policy should give you and senior management guidelines for your pollution prevention
program.
18
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
CORPORATE
ENVIRONMENTAL POLICY
EXAMPLE — CORPORATE ENVIRONMENTAL POLICY
(Your company) is committed to continued excellence, leadership, and stewardship in protecting the
environment. Environmental protection is a primary management responsibility, as well as the responsibility of
every employee.
In keeping with this policy, our objective as a company is to reduce waste and achieve minimal adverse impact on
air, water, and land through excellence in environmental control.
Our environmental guidelines include the following:
Environmental protection is a line responsibility and an important measure of employee performance. In
addition, every employee is responsible for environmental protection in the same manner he or she is for
safety.
Reducing or eliminating the generation of waste has been and continues to be a prime consideration in
research, process design, and operations; and is viewed by management like safety, yield, and loss
prevention.
Source reduction/waste minimization (reuse and recycling) of materials has been and will continue to be
given first consideration prior to classification and disposal of waste.
Chief Executive Officer
19
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Worksheet 2 — Program Task Force
Use Worksheet 2 to list your program task force members. Three unique functions you might
need to fill are:
Program manager — The program manager is responsible for the entire program including plan
development and pollution prevention assessments. A pollution prevention assessment is a review
opportunities to reduce, recycle, and minimize waste. Area coordinators and assessment team
coordinators are helpful in making these assessments.
Area coordinators — Does your company have more than one site? If so, break your
responsibilities up into site-specific tasks, and get the help of a coordinator at each site.
Assessment team leaders — Assessment team leaders coordinate activities concerning a specific
pollution prevention project and brings together all aspects of the assessment including waste
audits, option generation, engineering, costs, and financial evaluations.
20
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
PROGRAM TASK FORCE
Function
Name
Location
Phone number
Program manager
Organization Chart
(sketch)
21
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22
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Worksheet 3 — Pollution Prevention Goals
Separate goals should be set for both source reduction and waste minimization efforts at the
facility. Goals should include tools to aid in evaluating progress. The company's plan should also
explain both overall goals and incremental goals for the entire facility.
When setting goals, make sure they are flexible, measurable, motivational, understandable, and
achievable with a reasonable level of effort.
23
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
POLLUTION PREVENTION
GOALS
Pollution prevention goals
24
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Worksheet 4 — Employee Training Program
Training is critical to the success of a company's pollution prevention program. Companies should
set goals to help all employees achieve pollution prevention, regardless of the level of knowledge
or experience in the environmental area.
If your company does not have a program in place, now is a good time to start. Worksheet 4,
"Employee Training Program," includes a checklist of important employee training areas.
25
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
EMPLOYEE TRAINING
PROGRAM
Checklist questions:
1. Do you have a pollution prevention training program in place at this time?
2. Is the training program open to all employees?
3. Do key personal require additional training or in-depth training?
4. Have all employees on the task force completed the training program?
5. Does the training course include information on pollution prevention definitions and laws?
Comments or further explanation of the training program.
yes/no
26
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Worksheet 5 — Assessment Team Make-Up
In a small business, the assessment team may be limited to one or two individuals responsible for
facility operations. Each team should include people with direct responsibility and knowledge of
the particular waste streams or plant areas. A team leader should be chosen who is familiar with
the facility, the people, and the processes. It is also very important for the team leader to want to
reduce and eliminate wastes and releases.
On Worksheet 5, fill in the information on the assessment leader and the team members.
27
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Firm
Site
Date
POLLUTION PREVENTION
ASSESSMENT
D Source reduction
D Waste minimization
Worksheet
5
Function/Department
Assessment team leader
Assessment team
ASSESSMENT TEAM
MAKE-UP
Sheet of Page of
Proiect No.
1 U
TNRCC
Name
Telephone
Duties
28
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4. Doing Your Pollution Prevention Assessment
A pollution prevention assessment is a review of a company's opportunities to reduce, recycle,
and minimize waste. The assessment results can be used for planning and allocating resources for
pollution prevention projects, as well as setting the 'baseline' for measuring future pollution
prevention progress. All facilities generating hazardous waste or releasing or transferring toxic
chemicals can benefit from an assessment. The level of detail and exact approach each facility
takes in performing the assessment depends the size of the company, the number of waste
streams, and many other factors.
This chapter contains information on how to perform an assessment. The worksheets can provide
you assistance. You can use many of these worksheets to document the assessment phase of a
source reduction and waste minimization plan as required under WRPA.
There are four major components to conducting a pollution prevention assessment:
• identifying waste streams to eliminate;
• assessing the risk each waste stream represents;
• prioritizing waste streams to reduce; and
• identifying pollution prevention options.
Remember that visiting your site and talking with the employees is essential for completing the
above components. They have an understanding of the plant's functions and inefficiencies that
will prove valuable. Ask questions.
Before visiting the site, all assessment team members should review the processes so they can
evaluate the various processes and ask pertinent questions.
The inspection should cover a full array of process flows and areas of operation at the plant
including:
• shipping and receiving areas
• raw material storage areas
• waste generation points
• waste storage area
• product/by-product areas
• unit processes
29
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Other suggested activities for the team to undertake during the walk-through are:
• document what you see and take notes;
• carefully observe operations and procedures;
• discuss processes and wastes with shop-level employees;
• check for odors, leaks spills, and drips; and
• review waste materials in department trash bins and cans.
Identify Waste Streams to Eliminate
Table 2, "Avenues of Waste," represents areas where waste streams are generated throughout a
process. Every arrow coming out or below the diagram represents a waste. Your initial goal will
be to identify where wastes occur, how much waste is generated, and what risks the wastes pose,
based on the way it is managed. Worksheets 6, 7, and 8 will assist you in documenting this
information.
Table 2. Avenues of Waste
AVENUES OF WASTE
30
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Where does Waste Happen?
When conducting your site visit, look at the big picture for your facility. What wastes do you
see? You may find opportunities to reduce your wastes in every step of your process. Common
avenues of waste include:
• container leaks and spills;
• materials with an expired shelf life;
• infrequent equipment maintenance; and
• improper product handling.
How Much Waste Happens?
Once your team completes the inspection, take some type of approach to analyze the waste
streams and their processes. One method is the material balance approach. Utilize data from the
process and waste stream worksheets (6 and 7) and information from the site inspection.
According to the material balance approach, the weight of all materials entering the process must
equal the weight of all the materials leaving the process. When the final product comes out
weighing less than the amount of materials that went in, the difference is the amount of waste
generated. Locating the reduction possibilities for this waste is your assessment's goal.
To complete your material balance calculations:
• examine each unit and prepare a process flow diagram for each process
• identify all inputs for each unit process (including raw materials, containers, reused waste
and process water)
• identify all unit process outputs (including products, by-products, wastes to be recycled
and disposed)
• identify waste losses by tracking the process using a flow chart
Obtaining an overall picture of the plant's operation and its weaknesses (if any) will help the
assessor(s) determine the areas with the most potential for pollution prevention.
How is That Waste Managed?
You need to know what you do with that waste now—and what effects that waste management
strategy is having—in order to have an idea what effect a different strategy will have.
31
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Determine whether one waste stream management method would be better than the one currently
used. You may find, for example, that a waste you are currently sending off-site for disposal may
be recycled on-site. Look for ways to move your wastes up the waste management hierarchy as
illustrated in Chapter 1 of this manual.
Use Worksheet 7, "Waste Stream Summary," to describe your waste stream management
methods.
Assess the Risk Each Waste Represents
Answering key questions concerning your facility's wastes will assist you in determining the risk
each waste represents. Remember that risk depends on operational procedures and precautions
taken (or not taken) at a facility.
In assessing risk you should consider the waste's:
• compound (chemical) characteristics;
• health hazards; and
• environmental hazards.
Addressing these considerations will help you better determine the potential for risk. Although
this determination is subject to the individual judgement of your assessment team, it will help
others make their own decision about the level of risk associated with each waste stream.
Worksheet 8 "Assessment of Risk," on page 43 will help you determine your waste streams' risk.
Prioritize Your Waste Streams
Prioritizing your waste streams is important in determining which pollution prevention projects
your facility will implement.
The general approach to prioritizing waste streams involves these steps:
> consider the risk presented by the waste; and
*• consider each of the questions below:
• What is the disposal current cost, and if possible, how high or low will future costs
go?
• Examine the current environmental regulations (federal, state, and local), and
potential future laws. Do these laws inhibit current processes for a waste stream or
32
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are they likely to in the future?
• Are the raw material costs high? Might they increase to an unacceptable level
sometime in the future? Are alternative materials available?
• Does the waste pose a direct, immediate, or perceived threat to the workers, the
public, and the environment?
• Does a waste create problems for processing, handling, storing, and discharging?
• How much volume is generated? Will future capacity issues be a problem?
• How long will a chemical (compound) will be hazardous?
Worksheet 9 on page 45 offers a simple system for prioritizing your waste streams efficiently.
Identify Your Options
Your next step in the assessment process is to identify your pollution prevention options. Use
Worksheet 10, page 47 to outline options your facility has identified.
As noted in Chapter 1, the Texas Solid Waste Disposal Act outlines an order of preference when
considering waste management options. Those options are discussed below:
Source Reduction
The rules governing Texas source reduction and waste minimization planning are covered in 30
TAG §335, Subchapter Q. In general, source reduction includes any activity that reduces or
eliminates the generation of hazardous waste at the source or the release of a pollutant or
contaminant, usually within a process.
Source reduction options include technological and material changes as well as changes in
procedure and organization.
The following are specific source reduction activities your facility may want to consider:
Good Operating Practices
• Separate types of hazardous waste to make them more amenable to recycling
• Separate hazardous waste from nonhazardous waste
• Improve maintenance scheduling, record-keeping, or procedures
• Change production schedule
• Other changes in operating practices
33
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Process Modifications
Institute recirculation within a process
Modify equipment, layout, or piping
Use of a different process catalyst
Institute better controls on operating bulk containers to minimize empty container disposal
Change from small containers to bulk containers to minimize empty container disposal
Other process modifications
Inventory Control
Institute procedures to reduce outdated material
Test outdated material
Eliminate shelf-life for stable materials
Use better labeling procedures
Institute clearinghouse to exchange materials
Other changes in inventory control
Surface Preparation and Finishing
Modify spray systems or equipment
Substitute coating materials used and/or improve application techniques
Change from spray to other system
Other surface preparation and finishing modifications
Spill and Leak Prevention
Improve storage and stacking procedures
Improve procedures for loading, unloading, and transfer operations
Install overflow alarms or automatic shut-off valves
Install vapor recovery systems
Implement inspection or monitoring program of potential spill and leak sources
Other spill and leak prevention activities
Cleaning and Degreasing
Modify stripping/cleaning equipment
Change to mechanical stripping/cleaning devices (from hazardous solvents to other
materials)
Change to aqueous cleaners
Modify containment procedures for cleaning units
Improve draining procedures
Redesign parts racks to reduce drag out
34
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• Modify or install rinse systems
• Improve rinse equipment design and/or operation
Raw Material Modifications
• Increase purity of materials
• Substitute nonhazardous for hazardous raw materials
• Other raw material modifications
Product Modifications
• Change product specifications
• Modify design or composition of product
• Modify packaging
• Other product modifications
Waste Minimization
Waste minimization is defined in Texas as any practice that reduces the environmental or health
hazards associated with hazardous wastes, pollutants, or contaminants. The most common waste
minimization methods are reuse, recycling, and some forms of treatment.
For WRPA plan and annual progress report purposes, examples of waste minimization may
include reuse, recycling, neutralization, and detoxification. The federal Environmental Protection
Agency (EPA) definition of waste minimization differs from the Texas definition. In federal
programs, waste minimization is defined as source reduction plus recycling.
The goal of recycling is to recover or reclaim unused material. Generated material can be
recovered either on-site or off-site, depending on the quantity of waste generated, the capital and
operating costs, and availability of in-house expertise.
An alternative to on-site recycling is the use of waste exchanges, which aid in the transfer of
wastes from the generator to another company. Companies interested in waste exchanges can list
and request wastes through the TNRCC RENEW (Resource Exchange Network for Eliminating
Waste) program. The RENEW program helps bring together waste generators and potential
users. For more information on RENEW, contact the TNRCC's Office of Pollution Prevention
and Recycling at 512/239-3100 or visit the RENEW Web page at
http://www.tnrcc.state.tx.us/admin/topdoc/pd/002.
Like source reduction, examining waste minimization options may require outside research. Each
35
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facility's processes and waste streams are unique; a large amount of knowledge may be required to
make an informed decision regarding recycling options.
Treatment Options
Treatment of waste ranks third, below source reduction and recycling, in the state hierarchy of
waste management. If no source reduction, reuse, or recycling option is viable, treatment must be
considered as an option before land injection or disposal.
If the business does not meet each of these requirements and treats hazardous wastes on-site, it
must obtain a RCRA hazardous waste treatment permit. A business may not dispose of its
hazardous waste on-site unless it has obtained a RCRA treatment, storage, or disposal facility
(TSDF) permit. Obtaining a permit is a complex, costly, and time-consuming process. The
process is described in Title 40 of the Code of Federal Regulations (40 CFR 270) and in 30 TAG
Chapters 305 and 335.
If a business has determined that its wastes are not hazardous as defined by the EPA or the state,
it should still take steps to ensure that it is complying with all applicable federal and state
requirements for disposal of nonhazardous waste. It should make all reasonable efforts to ensure
that nonhazardous waste are handled in a way that prevents uncontrolled release to the
environment and the potential future liabilities associated with such releases. A waste can be
classified as nonhazardous and still contain some hazardous chemicals and have the potential to
cause harm to human health or the environment if improperly treated, stored, or disposed.
By answering the questions on Worksheet 11, page 49, you can determine which treatment
options are feasible.
Finding More Ideas
When you are looking for ways to cut waste, don't forget one resource that is always
available—the people who work in your facility every day. Your engineers and operators might
come up with the most practical solutions.
If you look to the outside, consider these sources of information:
• State and local environmental agencies — The TNRCC's Office of Pollution
Prevention and Recycling offers many programs to help businesses and industries
including technical guidance documents, site visits, and workshops. See Appendix F for
36
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more information about available TNRCC resources.
• Equipment vendors — Equipment vendors and other service companies are excellent
sources for identifying equipment-oriented options. Vendors are eager to assist companies
in implementing projects and, in some cases, set up bench-scale test programs.
• Trade associations — Trade associations generally provide assistance and information
about environmental regulations and techniques for complying with these regulations.
• Pollution prevention case studies — The University of Texas at El Paso hosts and
maintains a Web site containing TNRCC pollution prevention case studies at
http://p2.utep.edu/p2/casestudies/p2main.cfm.
• Gulf Coast Hazardous Substance Research Center — The Center at Lamar University
coordinates the activities of a consortium of eight universities to concentrate in the areas
of source reduction, waste minimization, and alternate technology development. For more
information, call 409/880-8768 or refer to the GCHSRC Web site at
http://www.gchsrc.lamar.edu.
• Published literature — Technical magazines, trade journals, government reports, and
research briefs often contain useful pollution prevention information. See Appendix F for
information regarding TNRCC and EPA guidance documents.
• The Environmental Protection Agency (EPA) — The EPA provides many pollution
prevention services, including clearinghouses, databases, bulletin boards, periodicals and
directories, and hot lines. An overview of EPA offerings can be obtained by ordering the
Pollution Prevention Directory (EPA742/B-94-005) from EPA's Pollution Prevention
Information Clearinghouse (PPIC) at 202/260-1023.
The Web sites of the TNRCC (http://www.tnrcc.state.tx.us) and the EPA (http://www.epa.gov)
also have useful information. For a list of helpful publications and the EPA, see Appendix F.
Many of these publications are tailored to a specific industry—perhaps yours!
Once your initial assessment is complete, you should have a list of pollution prevention options.
You can then evaluate potential projects and select the most promising of them based economic
and technical considerations.
37
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Analyze Technical Aspects
The next step in your pollution prevention assessment is to conduct a technical evaluation of your
options. The technical evaluation examines each option considered, regardless of whether it could
be part of current operational procedures. Process changes may need to be tested or researched.
First, define the problem. Many of the solutions to waste generation are very simple. For example,
the problem is not how to consolidate partially empty drums into a single drum for waste disposal,
but rather answer the question: "Why weren't the drums completely emptied?"
Employees who are familiar with the process and equipment can often contribute valuable ideas to
help in the technical feasibility. By listening to employee suggestions and adding engineering
skills, simple, common sense solutions to the problem may become evident.
Because performing a technical feasibility evaluation requires comprehensive knowledge of source
reduction techniques, vendors, relevant manufacturing processes, company resources, and facility
limitations, a consultant may be necessary. For equipment-related options or process changes, the
assessment team may wish to arrange visits to see other businesses.
By selecting up-to-date equipment that prevents pollution and is efficient, waste can be prevented
before it becomes a problem. Since there may be several types of equipment from which to
choose, making the best choice is not always an easy task. Equipment vendors can also be of use
and may install equipment on a trial basis. If using a vendor, it is advisable to seek a second
opinion and to work with more than one vendor.
There are many important considerations involved performing technical evaluations; some key
ones are listed on Worksheet 12, "Technical Feasibility."
Chapter 5, "Analyzing the Feasibility of Each Project," will assist you in determining the
economic feasibility of your options.
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Worksheet 6 — Process and Waste Stream or Release Data
One of the keys to a successful pollution prevention program is a good-cradle-to-grave tracking
system. The pollution prevention battle is almost won when a company knows the type and
location of their chemicals, waste streams, or releases.
Identify each process or waste stream separately. Use a separate worksheet for each waste stream
or release. This worksheet lists several important documents that provide valuable facility
information.
Beside each of the listed documents, check whether the document is available or not and if it is
current. There is also a space to include the location of the document.
39
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
PROCESS AND WASTE
STREAM DATA
Document
Process flow diagram
Material balance
Flow/amount measurements
Stream number
Stream analvses
Stream number
Input materials to process
Shipping/receiving inventory
Process description
Operating manuals
Equipment list
Equipment specification
Piping and instrument diagrams
Hazardous waste manifest
Work flow diagrams
Material safetv data sheets
Production schedules
Emission inventories
Environmental audit reports
Batch sheets
Permit/permit applications
Notice of registration
Available ?
Current ?
Location
40
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Worksheet 7 — Waste Stream/Release Summary
The "Waste Stream/Release Summary" worksheet summarizes the most important information
gathered from the documents identified in Worksheet 6. This worksheet will help the assessment
team prioritize the waste streams or releases and processes at the facility.
This worksheet can also provide the company with documented proof of pollution prevention
assessment efforts for each waste stream or release. It is important to report quantities
consistently using the same unit of measure. For WRPA reporting purposes, please report your
wastes and releases in tons.
• Process/operation — Briefly describe the type of process or operation (e.g. batch,
continuous, semi-batch, etc.)
• Waste/release name — Include the identification number and name of the waste.
• Source/origin — Determine and write down the point of waste generation or release.
• Component/attribute of concern — Include a list of all chemicals and amounts found in
each waste stream or release. Also include a list of all hazardous characteristics found in
the waste streams.
• Amount of waste generated or toxics released — Record the amount of waste or toxics
released or generated for a period of time (e.g., tons per year).
• Consumption rate (input) — Determine the annual consumption rate by identifying
amount of input materials required, in a given year, for production in a process (optional;
for throughput calculation).
• Production rate (output) — Determine the annual production rate by identifying the
amount of product produced in a given year (optional; for throughput calculation).
• Cost of disposal — Calculate the cost of disposal by including unit and overall cost.
• Method of management — Identify the method of management for each waste stream.
These are a few examples of management or disposal methods:
• disposed in a landfill • incineration
• on-site recycling • air releases
• combustion with heat recovery • distillation
• dewatering • deep-well injection
• discharges to surface water • transfers to POTW
41
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
7
WASTE STREAM SUMMARY
1
INRCC
Descriptions
1. Process/operation
2. Waste name
3. Source/origin
4. Component/attribute of concern
5. Amount of waste generated
*6. Consumption rate (input)
*7. Production rate (output)
8. Disposal (waste)
9. Method of management
10. Possible alternate management methods
42
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Worksheet 8 — Assessment of Risk to Human Health and the Environment
Depending on the recorded information for each of the questions, estimate the "Level of Risk" for
each issue.
You can find information that will help you describe compound characteristics and health hazards
in the NIOSH Pocket Guide to Chemical Hazards. This guide is available through the U.S.
Department of Health and Human Services, Public Health Service, Centers for Disease Control,
National Institute for Occupational Safety and Health. Another useful source is Dangerous
Properties of Industrial Materials by N. Irving Sax and Richard J. Lewis, Sr.. You should also
review the MSDSs required by law to accompany all chemicals. If you do not have your MSDSs
readily available, the EPA maintains a Web site containing both chemical substance fact sheets and
MSDSs at http://tis.eh.doe.gov.
The third category, environmental hazards, addresses ways in which the environment is or could
be exposed to compounds in the waste stream, and the potential risks associated with this
exposure. In assessing environmental hazards, consider the exposure pathway. For example, what
is the proximity of your waste stream to waterways, schools, parks, and residents? Record this
information as it will help you evaluate your facility's overall risk.
Another important issue to consider is the health of wildlife and plants near your facility. It is
important that you designate someone to observe and be aware of the health of wildlife and plants
near the facility at all times. This will be especially important if a decline or increase in population
is noted.
43
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
8
ASSESSMENT OF RISK
1
Questions:
1. Compound (or chemical) characteristics:
a. Chemical name:
b. Exposure limits:
c. IDLH (immediately dangerous to life or health) level:
d. Chemical and physical properties:
-
2. Health hazards:
a. Route of health hazard (inhalation, skin absorption, ingestion, eye contact):
b. Symptoms:
c. Target organs:
d. Level of toxicitv:
e. Known carcinogen?:
Level of risk: high,
medium or low
la.
Ib.
Ic.
Id.
2a.
2b.
2c.
2d.
2e.
44
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3. Environmental hazards:
a. Type of exposure (air, land, or water): 3a.
3b.
b. Exposure routes (incinerator, surface containers, underground tanks,
underground injection wells, etc.): 3c.
c. Observation of wildlife and plant health near the facility: 3d.
_d. Proximity (miles, feet) to the following:
School Day care center
Residents Church
Park Restaurants
Other 3e.
e. Proximity (miles, feet) to waterways (ponds, wells, springs, rivers, etc.):
f. Provide brief schematic of facility and the surrounding area.
45
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Worksheet 9 — Waste Stream Prioritization
All waste streams and processes should be reviewed for pollution prevention opportunities.
However, this is not always possible. It is often necessary to prioritize the waste streams and
releases.
The questions listed on the worksheet should be assessed in the following ways:
• Relative weight (W) should be assessed on a plant wide basis, according to each of the
eight criteria listed on Worksheet 8. The relative weight should be between 1 and 10 (1 =
not important, 10 = most important). The weight will depend on company goals, pollution
prevention goals, and other factors. Since the weight reflects company policy, the relative
weights will remain constant on all the waste stream/release sheets.
• Rating (R) represents a waste stream's rank and will vary from one waste stream/release
to the next. The rank for each criteria will reflect the need for waste reduction. The rating,
similar to the relative weight (W), should also be done on a scale of 1 to 10.
The relative weights (W) should be multiplied by each rating (R) to fill in column (R x W). Then
add the (R x W) columns to calculate the sum of priority ratings. Comparing the waste stream
sheets with one another will enable the team to give each stream a priority rank.
46
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
WASTE STREAM
PRIORITIZATION
Waste stream ID:
Priority rating criteria
1. Cost of disposal
2. Environmental regulations
3. Raw material cost
4. Threat to workers, public, and
environment
5. Processing problems
6. Amount of waste generated
7. Residual lifetime
8. Other areas of concern
Sum of priority ratings
Priority rank
Relative
weight (W)
PI ant- wide
Rating
(R)
Waste stream
SUM (R x W)
Rx W
47
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48
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Worksheet 10 — Source Reduction/Waste Minimization Options Description
The first section of Worksheet 10 provides space to record the possible source reduction or
recycling option, and a short description of this option. Estimating the amount of waste reduction
is a WRPA requirement. The estimated waste reduction should specify the amount reduced and
the time involved.
The second section includes an area to indicate the type of option described; whether it involves
source reduction or recycling. This section is also necessary to meet the WRPA planning
requirements.
In the last section, record the names of the person responsible for the option proposal and the
reviewer. Finally, record the decision to approve study of the option and the reason for accepting
or rejecting the option proposal. This explanation is extremely important and should be as explicit
as possible.
Note: This worksheet could be utilized as an employee suggestion form.
49
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Firm
Site
Date
Worksheet
10
Option name:
POLLUTION PREVENTION
ASSESSMENT
D Source reduction
D Waste minimization
Sheet of Page of
Proiect No.
^^^^m
^^g ^^^^g
1 ^^88
MM
TNRCC
1 11IIUU
1
50
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Briefly describe the option:_
Waste stream(s) affected:
Input material(s) affected:.
_Product(s) affected:
Estimated waste reduction:
Indicate type:
Source reduction
Recycling/reuse
On-site
Off-site
Equipment-related change
Personnel/procedure-related change
Material reused for its original purpose
Materials-related change
Material recycled
Material sold
Other
Other
Originally proposed by: Date:
Reviewed by: Date:
Approved for study: yes no, By:
Reason(s) for acceptance or rejection:
51
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Worksheet 11 — Treatment Feasibility
The questions on Worksheet 11 will help you evaluate treatment feasibility. The last part of this
worksheet includes space for final comments about the technical feasibility of the treatment
options under consideration and should help in justifying or explaining the treatment option
selection. Comments may include especially detrimental or beneficial results of the option.
Note: Some forms of treatment may not count toward waste minimization. However, they are still
preferred by the TNRCC over injection and land disposal.
52
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
TREATMENT FEASIBILITY
1
Option:,
Questions:
1. What is the hest available method to treat the waste?
a. Treatment to destroy the hazard
b. Treatment to reduce the hazard
c. Neutralization
d. Bioremediation
e. Vitrification
2. What tvne of containment system will he used for treatment?
3. Will the containment system meet RCRA regulations?
4. How long will waste he stored hefnre treatment?
Comments:
53
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Worksheet 12 — Technical Feasibility
Worksheet 12 provides a list of questions to help evaluate each source reduction option's
technical feasibility. For question 15, it is important to note that concentration is not source
reduction. Reduction in water usage may have the ultimate effect of increasing pollutant
concentrations in the waste water. Therefore, any reduction in water usage without a
corresponding reduction in pollutants should be handled cautiously.
The last part of this worksheet includes space for final comments about the technical feasibility of
the source reduction option under consideration. This should help in justifying or explaining the
source reduction option selection. Comments may include detrimental or beneficial option results.
54
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
12
TECHNICAL FEASIBILITY
1
Option:.
Questions:
Is space available or will new construction be required?
9.
Are utilities available or must these be installed ?
Is the new equipment or technique compatible with current operating procedures, work flow, and
production rates ?
Will product quality be maintained ?
How soon can the system be implemented ?
Will installation stop production ? How long?
Will training be required for the new system?
Does the system alleviate or create human health and environmental problems?
Is the system safe?
10.
Are there any regulatory barriers? Are permits necessary?
11.
Does the vendor provide acceptable service?
12.
Did production, maintenance, and purchasing groups contribute to the technical evaluation?
13.
Is additional labor required?
14.
Is new design required for the system? Can the design be done in-house?
15.
Does a similar system currently exist?
16.
18.
Could water use reductions result in a more concentrated wastewater?
17. Could the system result in the release of a different pollutant or contaminant, or shift the release to
another medium ? If so, describe.
What is the approximate time estimate of the project completion?
19.
What impact does failure of the system have on production, and is a backup system required?
55
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5. Analyzing the Economic Feasibility of Each Project
In the previous chapter, pollution prevention options were selected for closer review and
examined for their technical feasibility. Each source reduction, recycling, or treatment option
should now be examined in more detail using the economic feasibility analysis.
Analyze Economic Aspects
Economic feasibility studies have two benefits:
• Efficiency — identify areas to reduce waste and save money; and
• Evaluation — compare options identified in the technical feasibility study.
By examining economic feasibility, companies save money while reducing waste. This is possible
because waste is, by definition, inefficient use of raw materials. Isolating the costs associated with
wastes allows a company to make an informed decision when implementing their plan.
The core elements of evaluating the economic feasibility of a pollution prevention option are:
• Waste cost evaluation: What is it costing you to generate waste?
• Project cost evaluation: What are the pollution prevention option's costs and potential
savings?
• Comparison: Does the option cost or save money?
Pages 52 through 60 provide detailed information for conducting your economic analysis. Use
Worksheet 13 to show the results of your analysis.
Prioritization
Once you have calculated the total cost of doing business under the current system, you can
compare that cost to the cost of implementing the options you have identified in your technical
evaluation. By going through a detailed economic feasibility study you can identify which option
will save you the most money.
The final step in the feasibility analysis is ranking waste reduction projects. After completing
Worksheet 14, "Waste Reduction Project Prioritization," all projects should have a priority rank.
56
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This will enable the task force to choose the order of pollution prevention projects to be
undertaken.
Crayons to Computers: How Complex Should Your Analysis Be?
WRPA requires an analysis of project's economic feasibility but does not specify how detailed
your analysis must be. Your analysis depends on a variety of factors such as the number of
projects you have, how much capital is needed, internal company policies, etc.
The level of analysis depends on one's needs. For example, some people never reconcile their
personal checking accounts. They have a rough idea of how much they spend, and keep a small
buffer in the account. They may never bounce a check, but aren't always sure where the money
goes. Other people may use software to identify exactly how much money they spend and where
they spend it. These people are able to spot waste in their spending habits and manage their
money more efficiently.
Likewise, with WRPA, your economic analysis may be minimal, ensuring only that the project
doesn't cost too much. This is particularly effective on simple projects. However, a simple cost
comparison could overlook some of the hidden costs, such as labor, liability and regulatory
compliance. To get the most benefit from your plan you may wish to sharpen your pencil and do a
full cost accounting of your projects.
Crayon Accounting: Preliminary Screening
If you have several options, you might want to start your economic feasibility analysis by
comparing the costs of the different projects to identify some of the better projects and to
eliminate some of the impractical options. A simple analysis is particularly good at identifying the
"low-hanging fruit," or options that are easy and inexpensive to implement.
For example, Joe's Paint Shop generates hazardous waste as a result of paint booth operations.
Ed, the shop manager, worked with the employees to develop four options:
57
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1
2
3
4
Option
Rotating filters
Substitute filters for
baffled Styrofoam
elements
Switching to water
based paints
Automated paint gun
washing system
Saves Money by:
Filters last twice as long because ones in
low-use area are switched out with ones in
high-use areas.
Lasts four times longer between
replacements and can be washed off for
reuse.
Water-based paints to meet our needs are
more expensive.
Saves on labor, solvent usage. Reduces gun
clogging.
Savings
$5.00/filter
or
$100/year
$5.00/filter
or
$200/year
?
$900/year
Costs
minimal
$10/filter
or
$100/year
2.00/gal
$800
(once)
Even a simple look at the options showed Ed three things:
• Option 1 saves money; the only costs are for a worker to take a few minutes to rotate the
filter. The shop adopted this option immediately.
• Option 2 costs more initially, but the savings are realized quickly, so they adopted this
option as well.
• Options 3 and 4 looked promising, but Ed decided to do a more detailed analysis before
adopting them.
For options 1 and 2 no further work is needed. Ed wrote "By substituting filters for baffled
Styrofoam elements, we will save $100 a year. Rotating the filters to extend their life span will
save another $100 a year." This met the requirements for an economic feasibility analysis in his
plan and executive summary.
Of course, an analysis like the one above only tells part of the story. More detailed accounting of
option 3 would reveal savings. For instance, under the current system, the shop has to dispose of
the protective clothing as hazardous waste. By switching to option 3 they could reduce disposal
costs, and the clothing would last longer.
The next few sections cover how to use economic analysis to identify ways to save even more
money by reducing waste.
58
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Using a Pencil: Identifying Hidden Costs
Many facilities are not aware of how much they spend on hazardous waste. These costs are
usually counted as overhead. By identifying the hidden costs, the company can identify
opportunities for savings.
In the following example, an auto shop office manager attributed the environmental costs to the
process area. By doing this, she was able to identify inefficiencies and convince some mechanics
to switch to nonhazardous solvents.
Two bays at an automobile repair shop use parts washers. Bay 1 has switched to nonhazardous
parts washer, while auto bay 2 uses a hazardous solvent to clean parts. The solvent is picked up
by a company and recycled off site. Sally, the office manager, would like to switch bay 2 to a
nonhazardous solvent, but the repair technicians claim the soap washers slow down work. The
owner agreed with the bay 1 mechanics because he saw that they were repairing vehicles quicker
than bay 2.
Sally looked at some of the true costs of using a hazardous solvent:
Bay 1 costs
Hazardous solvent costs
costs to pick up waste solvent
Total costs
$3.00/gal) x (l,500gal/yr) =
(4 drums/year) x $450/drum
$4,500/yr
= $l,800/yr
$6,300/yr
Even though the soap costs more per gallon, the mechanics use less. Over a year, they purchase
over a thousand gallons less soap than hazardous solvents.
Bay 2 costs
Soap solvents
pick up costs
Total costs
($5.00/gal)x (300gal/yr) =
$l,500/yr
$0.00/yr
$l,500/yr
Bay 2 cost the service station at least $4,800 more than bay 1! Once the owner realized how
much it cost to use the hazardous solvents, it didn't take long for Bay 2 to switch.
59
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In the previous example, Bay 1 was viewed as more profitable, when in fact they were simply
shifting the cost of handling the waste out of the area. Both bays were paying Bay 1's waste
expenses.
Sharpening the Pencil: Full-Cost Accounting
Of course, the only way to be reasonably sure of a project's economic feasibility is to look at all
of the costs of doing business under the current system. Once you have determined that cost, you
can look at all the costs and savings from implementing your project. You can then compare the
old way to the new way and make an informed decision.
Worksheet 13 is a tool for doing full cost accounting. The worksheet will guide you through six
basic steps to save money by reducing waste:
• draw an input/output 'picture' of each step or process in your business;
• figure how much the raw materials cost for each process;
• calculate your costs to dispose of the waste for each process;
• determine how much you spend to comply with laws for waste you generate;
• add up all of the costs of managing waste; and
• look for ways to reuse or recycle materials, lower costs, and save money.
Dr
eac
do
C
STEP 1
^
STEPS 2 & 3
^
STEP 4
^
STEPS 5 & 6
iwing a picture for How many costs and Identifying the details Money you can save
h step of what you how much total cost in the "pictures"
Process mannine) (Identify the cost of waste) (The cost of compliance) (Cost savings from waste
rr & reduction)
After you have completed these steps, you will:
notice hidden overhead costs;
see things you do in your business that cause waste;
locate areas where you can reduce your waste;
determine operational efficiency;
measure what it may be costing you to dispose of reusable or recyclable things;
find places where you can reduce your costs, save money, and be a cleaner
business.
Economic Analysis, Step by Step
60
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Conducting an economic analysis of your facility's processes may appear to be an involved and
complicated process. By following the steps below and working through Worksheet 13 on pages
63 through 64, you may not only find the process much simpler than you imagined, you may find
the benefits you gain are well worth the effort.
Step 1: Draw a Picture of What You Do
Track the inputs (supplies) used and outputs (wastes) created during each step or process. For
example, imagine that one process in your business involves cleaning the presses with petroleum-
based solvent. You may have many processes in your operation, but for the example, we will look
only at one process. On the next page, there is an example of how the worksheet is used to track
the inputs and outputs for the press cleaning step. Once the inputs and outputs are identified in
Step 1, how the outputs are disposed of is recorded in the far right corner of Step 1.
Step 2: Determine Traditional Input (Supply) Costs per Process per Year
Determine your annual costs for each of the inputs in this process. This includes the cost of labor
and materials. In Step 2 of the example, notice that there is a total cost for doing this one process
throughout the year (A). Your calculations will vary depending on the process.
Note: You will have to calculate the costs for each process in your operation separately and will
need a separate worksheet for each process. Make copies of the blank worksheet to enter costs
for other processes.
Step 3: Determine Traditional Output (Disposal) Costs per Process per Year
Determine your annual costs for each output (disposal) connected with this process. The example
in Step 3 demonstrates the amount spent on each type of disposal method for this process and
then adds them all up for a total cost to dispose of all wastes from this process (B).
Step 4: Identify Hidden Costs per Year
In this step you may identify some of the costs for this process that may be hidden in your
overhead or other accounts such as permit fees and training costs. These additional costs must be
paid by you, but usually do not add value to your final product. Finding the exact dollar amount is
not as important as identifying the various compliance costs linked to the process. In the example,
the costs were estimated and totaled for the year (C).
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Step 5: Sum Total Costs per Year
Add up the cost of materials going into the process (A), the cost of disposal of excess materials
(B), and any hidden costs (C). In the example worksheet, we calculated the total cost for cleaning
the presses. By knowing what each process (press cleaning, for example) costs your business, you
can start to manage your costs more effectively and save money.
Now that you have done the example for Steps 1 through 5, you can use this information to find
ways to save money. Step 6 is to compare the cost of doing business as it is now with alternatives
designed to reduce your waste at the source and save you money. After reading the example, use
the back of the worksheet to identify areas in your business where you can save money.
Step 6: Compare Costs Using a Waste Reduction Option
After determining the cost of materials that are being used, and the cost to dispose of the left over
materials, as well as any hidden costs, you now want to see if you can reduce, reuse or recycle any
of those left over materials. Based on their technical feasibility study, the company decided to a
solvent recycling unit. It reduces raw materials and labor needed to do clean up (see the example
below). Other processes may need different waste reduction options.
The table below makes several assumptions about solvent distillation units based on information
gathered from vendors. Your unit may perform differently than the estimates here. It is important
to figure out how much solvent your unit recovers, because other numbers are based on it (see
below). Even with a solvent recovery unit, some new solvent must be purchased. Usually
machines recover between 50 and 70 percent of the original solvent, so additional solvent that will
need to be purchased will range from 30 to 50 percent of the initial amount.
62
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Waste reduction option table
(Option — installing a two-gallon solvent distillation unit )
A. Amount of solvent you use in a year for this process (number of times you do
process x amount used each time):
B. Annual costs to use this much solvent for this process ($.53/half pint =
$8.48/gallon):
C. Annual disposal costs to dispose of this much solvent as hazardous waste
(Step 3, from the front of Form 1):
D. Minimum average amount (percent) of solvent recovered with a two-gallon
solvent distillation unit:
E. Amount of solvent recovered per year for this process (A x .65) with 65 percent
recovery rate:
F. Additional solvent purchases required for this process, above the amount of
solvent recovered with a solvent distillation unit (A-E):
G. Average amount (gallons) of still bottom sludge disposed of per year with a two-
gallon solvent distillation unit:
New cost to purchase solvent for this process (B x .35). Sixty-five percent recovery
rate means you only need to buy 35 percent as much new solvent:
Cost to dispose of 1 10 gallons of still bottom sludge per year for this process
(contact your local hazardous waste hauler):
117
gallons
$922.16
$231.25
0.65
76.05
gallons
40.95
gallons
110
gallons
$347.26
$185.00
The information from the front of the worksheet (Steps 1 through 5) was used. It appears in the
"Before" column of the second worksheet. Next, the new information from the waste reduction
option table (previous page) was written in the "After" column. Finally, the current operating
costs are compared to the costs of using the new waste reduction option (see Worksheet 13).
At the bottom of back side of the worksheet, there is a comparison calculation which will tell you
how long it will take until you break even on any equipment you had to purchase in the waste
reduction option. This is called the "payback period" and it shows you two things:
• how long it takes to break even on the equipment purchased; and
• how quickly you can start to save money.
63
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At the Click of a Mouse: Software for Cost Accounting
Many companies determine their environmental costs with one of many software packages
available on the market. The TNRCC has developed a software package, the Cost Analysis
Module (CAM). As with the worksheets, you are not required to use the software, but some
facilities may find it a useful tool.
The CAM software package allows you to document and compare the costs associated with two
or more industrial processes The cost comparison shows itemized costs as well as total cost of
one process compared to another. CAM will also analyze the net present value of the cost to
adopt one process or another. Finally, it can provide you with the amount of time it takes to
recover any capital expenditures. Finally, you can generate a graphic of the actual savings
generated over a ten year period. To order CAM, please contact the TNRCC Office of Pollution
Prevention and Recycling at (512)239-3100.
Other sources of cost accounting information include Web sites such as the EPA's Enviro$en$e
Web page at http://es.epa.gov.
The level of analysis is up to you. The purpose is to ensure that the options you choose will not
cause undue financial strain on your company. Whether this can most efficiently be determined
with a simple analysis or a complex cost accounting system is up to you and your facility.
Set Priorities
Now that the technical and economic feasibility of each project has been evaluated, you can use
Worksheet 14, "Waste Reduction Project Prioritization," to help prioritize and select the best
possible project options. The prioritized list may represent the order of implementation or the
order of importance. The most important projects may not be implemented in the order of
importance. You may want to pick projects that are easy to implement, or "low hanging fruit".
Many small easy successes can help lay a solid foundation for large scale projects. Showing the
rationale for the rank order of projects in the plan helps all plan users understand the nature of the
plan.
64
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65
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Worksheet 13 — EMS Environmental Accounting
Step 1: Draw a Picture of What You Do
• Track the inputs (supplies) and outputs (waste costs) created during the process.
• Each input should correspond to one or more outputs.
• This step does not include the final product or service.
• Outputs may require you to control pollution, or to dispose of waste.
• Indicate how you dispose of them.
Step 2: Determine Traditional Input (Supply) Costs per Process per Year
• Determine your annual input costs for each individual input of this process.
Step 3: Determine Traditional Output (Disposal) Costs per Process per Year
• Determine your annual output costs for each output from this process. When
disposal is involved, determine how many times you pay for disposal in a year.
Step 4: Identify Hidden Costs per Year
• Identify some of the hidden costs for this process.*
*Some hidden costs result from compliance requirements your business has triggered. You must
pay these associated costs, but usually do not add value to your final product. These regulatory
and compliance costs are frequently found in overhead. When they are hidden in overhead, they
are not seen as part of your business processes.
Step 5: Sum Total Costs per Year
• Add the cost of materials going into the process, the cost of disposal of excess
materials and controlling pollution, and any hidden costs.
Step 6: Compare Costs Using a Waste Reduction Option
• Determine the cost of materials that are being lost through disposal.
• Choose a waste reduction option from the options you have identified in your
technical feasibility study.
• Compare your current costs to the cost of using an alternative method that reduces
waste.
• Determine the payback period of any new equipment purchased.
66
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Worksheet 13
67
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69
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Worksheet 14 — Waste Reduction Project Prioritization
Worksheet 14 includes space for three projects. Make more copies for additional projects.
Questions 1 through 4 require an actual number to be placed in the "Total" column, then after
comparing the totals for each project, the projects should receive a ranking in order of their
desirability for that criteria. For example, on question number 1, if project 1 reported savings of
$2 million a year (from Worksheet 13), and project 2 reported $1 million a year, then their
ranking would be 2 and 1, respectively. Project 2 would receive the highest ranking (1) because
savings are greatest, thus more would be gained by this project.
Example
Priority rating criteria:
1. Savings (difference in old vs. new)
7. Processing problems
Priority rank
Project: 1
Total
$2 mill/yr
Rank
2
2
Rank
total
4
2
Project: 2
Total
$1 mill/yr
Rank
1
1
Rank
total
2
1
Since they are not quantifiable, you are not required to total questions 5 through 7. However,
they can still be ranked by comparing the projects to one another. For example, since there are
fewer problems associated with this project than project 2, Project 1 above received a 2 for
processing problems.
At the bottom of the worksheet, record the sum of the rank column for each project next to
"Rank Total." Based on this total, prioritize the projects. The project with the lowest rank total
will have the first priority; that with the highest total will have the last priority.
70
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
14
WASTE REDUCTION
PROJECT PRIORITIZATION
Priority rating criteria:
1. Savings (difference in old vs. new)
2. Payback period
3. Projection of potential waste
reduction
4. Risk to workers, public, and the
environment
5. Environmental regulations
6. Processing problems
Priority rank
Project:
Total
Rank
Rank
total
Project:
Total
Rank
Rank
total
Project:
Total Rank
Rank total
71
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6. Implementation
Oral and written reports are the products of the pollution prevention assessment and feasibility
analysis. These reports will be used to justify the project to management and to obtain funding.
Pollution prevention options that involve operational, procedural, or material changes will likely
be implemented without detailed documentation or presentations. You will likely be asked to
include extensive documentation for projects involving equipment modifications, the installation
of new equipment, or major capital expenditures.
This chapter covers what you may include in your written documentation and oral presentations.
In addition, the chapter covers scheduling project implementation and evaluating its effectiveness
after it is implemented.
Documentation
A good final report can be an important tool for convincing your management to fund your
pollution prevention project.
Of primary concern to your management will be:
• What will this project do? (increase production, decrease costs, keep the plant in
compliance with the law, reduce liability exposure, reduce exposure of the public and
environment to risk, etc.).
• What is the project? (location, equipment, personnel, infrastructure, timing of
implementation).
• What will the project cost? (initial capital and net operating cost).
• Is the project profitable?
Carefully describe what the project will do for your plant and the company. If the project's main
impact is to keep the plant in compliance with the law, you should consider including references
to significant statutes and penalties. Any reduction of environmental risk should specifically be
included. Any financial benefits that the project may bring should also be highlighted.
72
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Implementation
Once your management has approved your pollution prevention project, implementation can
begin. Implementation will generally follow the procedures established by your firm for any new
procedure, process modification, or equipment change. Implementing a major pollution
prevention project typically involves several steps described below:
• Prepare the final project design.
• Arrange for construction or procure materials.
• Install new equipment.
• Train operators and maintenance staff.
• Run bench-scale testing.
• Start operation.
• Begin monitoring performance and evaluating results.
Use Worksheet 15, "Implementation Schedule," to outline your implementation procedures.
Evaluate Performance
Evaluating your project's performance is essential to ensuring support for future activities. The
easiest way to evaluate the performance of your waste reduction project is to measure the
economic benefits obtained and reductions in waste generated.
Measurements before the implementation should be recorded on the worksheet as baseline
measurements; and as actual for measurements made after implementation (projected would be
used for the measurements you anticipate when you design the project). You will likely generate a
minimum of three measurement sets; baseline, actual, and projected. Worksheet 16, "Performance
Evaluation," provides a format to document your project's results.
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Worksheet 15 — Implementation Schedule
Record your start and completion dates. Plan ahead and target start dates and completion dates
for all phases; they can be changed later if necessary. Also, make sure to receive guarantees from
the vendor or equipment dealer regarding the equipment you purchase. Your vendor should allow
you time to bench-scale test the equipment. If not, find another vendor.
74
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
15
IMPLEMENTATION SCHEDULE
1
THRCC
Implementation schedule
Prepare a detailed design.
Prepare a construction bid package and equipment specification.
Select construction staff and purchase materials.
Install new equipment.
Train personnel.
Start operation.
Start performance monitoring and evaluation.
Start date
Completion date
75
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76
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Worksheet 16 — Evaluate Performance
Worksheet 16 provides you with a method of calculating your project's effectiveness. Keep in
mind that waste generation, while directly dependent on production, may not be directly related
to production.
This method divides the weight of the material used (or waste generated) by the amount of
finished goods manufactured by your process (e.g., gallons of product, number of cans, etc.). The
calculation is labeled weight/unit product.
Although this method of measuring waste reduction does take into consideration your production
rate there are still other factors that could cause you problems. For example, periodic plant
maintenance can cause one time increases in your hazardous waste generation which could cause
problems in evaluating data. In general, you should distinguish between production-related wastes
and maintenance-related or clean-up wastes.
77
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
16
PERFORMANCE EVALUATION
Option description
Priority Rating Criteria:
1. Future Cost of disposal
2. Future Raw material cost
3. Current amount of waste
generated or toxic release
4. Projection of potential waste
reduction
5. Risk to workers, public, and
the environment
6. Environmental regulations
7. Processing problems
Priority Rank
Project:
Total
Rank
Rank Total
Project:
Total
Rank
Rank Total
Project:
Total Rank
Rank Total
78
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7. Filing your Supporting Documentation
Although your plan remains at your facility and is confidential, you must submit your Executive
Summary and Certification of Completion to the TNRCC's Office of Pollution Prevention and
Recycling.
Submit the Executive Summary
Table 1, "Which Worksheet Do I Use for Each Requirement?" lists the planning elements your
Executive Summary must cover. Completing Worksheet 17 on page 77 is one way to provide all
of the required information.
Regardless of format, your facility's Executive Summary should be written by the person most
involved and most familiar with the pollution prevention plan—probably the task force leader.
This worksheet contains all the Texas Administrative Code requirements found in 30 TAG
§335.474.
Submit a Certificate of Completion
As soon as your facility's plan is complete, present it to the chief financial officer, the plant
manager, and the task force leader for their review. The owner of the facility should sign a
certification of completion—a note that certifies that a plan that meets the requirements of the law
has been prepared. Send this certificate to the TNRCC at the address shown on page 13.
If a corporation owns the facility, then an officer of that corporation who has the authority to
commit the corporation's resources to implement the plan should sign. By signing the
certification of completion, the owner or officer is certifying that the plan meets the specified
requirements and is complete and correct.
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Worksheet 17 — Executive Summary
It is very important that the bold portions of the form be correct — if these items are reported
incorrectly, your submission may not be properly credited to your facility. Please take extra time
to ensure that these are correct. For all identification numbers, if not applicable, please use N/A.
Also, if there is more than one identification number for your facility, please include all
identification numbers.
• Facility name: Include the facility name you use to report TRI and hazardous waste
• Name, address of contact: Please provide the name, title, address and phone number of
the individual who should receive information from the TNRCC about pollution
prevention. Note: If this is at a different address than the facility itself, please state this and
include the actual facility mailing address.
• Plan date: date of actual submittal
• EPA ID: begins with TX; on manifests
• SW ID: on Notice of Registration or Annual Waste Summary
• TRI ID: on form R if facility is TRI reporter
• TNRCC air acct: old Texas Air Control Board account number; on air permits
• NPDES permit: EPA wastewater permit number
• UI well codes: underground injection well identification codes
• Primary SIC code: Standard Industrial Classification code
• Facility description: describe general facility operations
81
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Firm_
Site
Date
POLLUTION PREVENTION
ASSESSMENT
D Source reduction
D Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
17
EXECUTIVE SUMMARY
1
Executive summary - part 1
Provide facility information.
1. Name of the facility:
2. Contact person:
Mailing address:
city, state, zip:
Contact phone:
Contact fax:
3. Plan year:
Plan date due (circle one):
4. EPA ID number (12 digit):
5. TNRCC Solid Waste number: (5-digit; formerly TWC NOR #):
6. Toxic Release Inventory (TRI) ID number (if applicable):
7. TNRCC air account number (formerly TACB#; if applicable):
8. NPDES permit number (if applicable):
9. Underground Injection Well code(s) number (if applicable):
10. SIC code(s) (circle primary code):
11. General description of facility and activities:
82
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83
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Executive Summary — part 2
List all hazardous wastes generated amount for 19
The data should be taken from your Annual Waste Summary form.
Description of waste/TX waste code number: Amount generated in tons
Executive summary — part 3
List all reportable TRI chemicals, CAS numbers and the amount released or transferred for 19
The data should be taken from your TRI Form R — Sections 5 and 6 only.
TRI chemicals and CAS number: Amount released or transferred in tons
Executive summary — part 4
4. Provide a prioritized list of pollutants and contaminants to be reduced during 5-year period:
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Executive summary — part 5
5. State the source reduction and waste minimization goals for the facility:
Executive summary — part 6
6. Explain the environmental and human health risks considered in determining reduction goals:
Executive summary — part 7
7. What are the implementation milestones for individual project development?
Executive summary — part 8
8. What is the implementation schedule for future reduction goals?
Executive summary — part 9
9. Identify cases in which the implementation of source reduction or waste minimization activity designed
to reduce risk to human health or the environment, may result in the release of a different pollutant or
contaminant or may shift the release to another medium.
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I Worksheet 18 — Certification of Completion |
The person who signs the Certification of Completion should have the authority to commit the
corporation's resources to implement the plan.
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Firm_
Site_
Date
POLLUTION PREVENTION
ASSESSMENT
Source reduction
Waste minimization
Sheet_of_Page_of_
Project No.
Worksheet
18
EXECUTIVE SUMMARY
I
Certificate of Completion
This document certifies that the pollution prevention plan has been completed and meets the specified
requirements of the Waste Reduction Policy Act of 1991, the Solid Waste Disposal Act and 30 TAC
§§335.471-335.480 and that the information provided herein is true, correct, and complete.
This document also certifies that the person whose signature appears below has the authority to commit the
corporate resources necessary to implement this plan.
Position (check one):
Signature
Date
n Facility Owner
n Corporate Officer
n Other
87
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Appendix A
Basic Facts About Hazardous Waste and TRI
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Basic facts about hazardous waste and TRI
What is hazardous waste?
Hazardous wastes are a subset of solid wastes. Basically, a solid waste is a liquid, solid, semisolid,
or gaseous material that is either no longer wanted or no longer fit for its intended purpose (see
Federal 40 CFR Part 261 for exemptions).
Federal (40 CFR Part 261) and Texas (TAG, Chapter 335) regulations define a solid waste as
hazardous if it has one or more of the following characteristics:
Ignitability — ignitable hazardous wastes burn under certain conditions.
Corrosivity — corrosive hazardous wastes include those that are acidic and those which can
rapidly eat away (corrode) steel.
Reactivity — reactive hazardous wastes react violently under normal conditions, such as coming
into contact with water.
Toxicity — toxic hazardous wastes are harmful or deadly when swallowed, inhaled or absorbed
through the skin.
Solid waste is also considered hazardous if it is listed on one of three lists developed by the
United States Environmental Protection Agency (EPA):
• Nonspecific source wastes (40 CFR 261.31)— general wastes, commonly produced by
manufacturing and industrial processes (for example, spent halogenated solvents, dioxin
wastes).
• Specific source wastes (40 CFR 261.32)— wastes from specifically identified industries
such as wood processing, petroleum refining, and organic chemical manufacturing (for
example, sludge, still bottoms, wastewater).
• Commercial chemical products (40 CFR 261.33 (e) and (f))— specific commercial
chemical products, or manufacturing intermediates (for example, chloroform, creosote,
sulfuric acid, DDT).
While many wastes have dangerous properties, not all are defined as hazardous. For instance,
radioactive and infectious wastes are considered dangerous, but they are not defined as hazardous
waste and therefore, are regulated differently than hazardous wastes.
For WRPA reporting purposes, facilities that generate 13.2 tons or more of hazardous waste per
year are considered large-quantity generators (LQGs) of hazardous waste. Facilities generating
less than 13.2 tons per year are small-quantity generators (SQGs). For more information on
WRPA applicability, please refer to TNRCC document RG-209, "Does the Waste Reduction
Policy Act Apply to You?"
Waste minimization is a policy mandated by the U.S. Congress in the 1984 Hazardous and Solid
Waste Amendments to the Resource Conservation and Recovery Act (RCRA). This and other
RCRA provisions have led to significant increases in the cost of waste management.
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Generating hazardous waste in Texas
Lone Star Success
Facilities are making efforts to reduce their wastes. From 1993 to 1994, Texas facilities reduced
hazardous waste generation by 19 percent and in 1994 facilities reporting to WRPA reported a
source reduction of more than 40 million tons of hazardous waste.
Data from WRPA reporters also demonstrates the benefits of pollution prevention planning.
Facilities that have gone through the pollution prevention planning process reported a 20 percent
reduction in hazardous waste generation from 1993 to 1994. Facilities that have not completed a
pollution prevention plan showed a 3 percent increase during the same period.
What is the Toxics Release Inventory?
The federal Pollution Prevention Act of 1990 requires facilities reporting under the Toxics
Release Inventory (TRI) provisions of section 313 of SARA Title III to provide information on
pollution prevention and recycling activities with each annual filing. Texas has a similar law, the
Waste Reduction Policy Act (WRPA or Senate Bill 1099), found in the Texas Health and Safety
Code Chapter 361, Subchapter Q, which requires hazardous waste and TRI reporting facilities to
have in place a source reduction and waste minimization plan.
The following are types of TRI releases and transfers:
• any release into the air, whether it is fugitive or stack emission;
• any on-site discharge to a water body or receiving stream (including storm water runoff);
• injection of liquid wastes into on-site underground injection wells;
• any on-site land disposal, including landfills and surface impoundments;
• transfers off-site of wastewater to publicly-owned treatment work;
• transfers off-site to facilities for treatment, storage, or disposal;
• transfers off-site for recycling; and
• transfers off-site to be burned for energy recovery.
It is important to study both hazardous waste generation and TRI releases/disposal when planning
for pollution prevention.
Who must report under TRI?
At this time, a facility must report if it meets all three of the following criteria:
• has 10 or more full time employees;
• conducts manufacturing operations, and is included in the Standard Industrial
Classification (SIC) codes 20 through 39 (primarily manufacturing firms); and
• produces, imports, processes, or uses amounts above a set threshold of any of the
650 chemicals on the TRI list.
The thresholds for determining which of the TRI listed chemicals must be reported are:
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Manufacture, process or import more than 25,000 pounds/year per chemical; or
Otherwise use more than 10,000 pounds/year per chemical.
In Texas, about 1200 facilities report under TRI.
Note: In May 1997, the U.S. Environmental Protection Agency (EPA) expanded the types of
companies that report to TRI to include seven new industry groups.
The new industry groups are:
• metal mining • chemical and allied products-wholesale
• coal mining • petroleum bulk stations-wholesale
• electric utilities • solvent recovery services.
• commercial hazardous waste
treatment
TRI information from the seven new industry groups will be included in the data for reporting
year 1998.
How does Texas rank for TRI releases?
Texas ranks first in the nation for toxic releases and disposals reported by manufacturers for 1995, the most i
which there is data available. However, Texas ranks second in the nation for reductions of releases/disposal
from 1988 to 1995 and ranks first in the nation for reductions of toxic air emissions from 1988 to 1995.
These reductions are especially noteworthy because they coincide with a 24 percent increase in gross state p
the same time period by the manufacturing sector in Texas, according to data compiled by the State Comptrc
For more information about TRI program, please contact the TRI coordinator at the TNRCC,
512/239-3100, or EPA's EPCRA hot line at 1-800-535-0202. You may also visit the TNRCC
TRI Web page at http://www.tnrcc.state.tx.us/exec/oppr/tri/tri.html.
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Appendix B
Small-Quantity Generator/Non-TRI Reporter Executive
Summary Form and Instructions
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Small-quantity generater/non-TRI reporter Executive Summary form and
instructions
Instructions for completing the SQG/non-TRI reporter Executive Summary form
This form is only for SQGs that are not TRI reporters. If a facility is also a TRI reporter, see 30
TAG 335.474 for "LQG-type" plan and Executive Summary requirements.
Following are detailed instructions on filling out the Executive Summary form presented on the
following pages. Please type or neatly print the required information on the form or a clear copy
of the form. You are not required to use the Executive Summary form; however, the same
information should be provided to the TNRCC Office of Pollution Prevention and Recycling, MC-
112.
• Date plan due — Enter the date that your plan is due. If you are unsure of your due date,
please refer to Appendix B, "Does the Waste Reduction Policy Act Apply to You?"
• Executive Summary date — Enter the date that the Executive Summary form is sent to
the TNRCC.
• EPA ID (RCRA)— Enter the 12 character identification code.
• TNRCC SW reg.— Enter the 5 digit solid waste registration number (on your Notice of
Registration) issued by TNRCC.
• Facility name — Enter the name of the facility as it is identified in other reports
submitted to the TNRCC, such as a plant site name or other appropriate facility
designation.
• Mailing address — Enter the mailing address of the facility contact person for this
report. The address can be either street or PO box. Please include state and zip code.
Use the nine-digit zip code (xxxxx-xxxx) when it is known.
• Facility description — Provide a brief description of what is made, processed, and/or
manufactured at the facility.
• Facility contact person — Enter the name of the person who can answer questions about
the facility's plan and Executive Summary from the public and the TNRCC.
• Contact phone — Enter area code and telephone number for the facility contact person.
• SIC code — Enter the 4-digit Standard Industrial Classification (SIC) code that best
describes the principal product or service at the facility.
• Number of employees — Enter the estimated number of full-time employees working for
your entire company in a year. This information is optional, but allows us to better track
the quality of our service.
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Estimated amount of hazardous waste generated the fifth year, in tons — Enter the
estimated amount of hazardous waste you expect to generate in the fifth year, in tons.
This amount is based on your facility's reduction goals.
For example: If your plan due date was 1/1/96, then you need to enter the estimated
amount of hazardous waste you would generate by the year 2001. Your facility reduction
goal and the projects described in your pollution prevention plan should help you estimate
the amount of hazardous waste you would generate by the year 2001.
List of hazardous waste to be reduced and the corresponding source reduction
activities — Enter a prioritized list of hazardous waste generated (from your Annual
Waste Summary waste codes beginning with "9" or ending with "H") that you expect to
reduce in the projects you outlined in your plan. For each hazardous waste, place a check
mark in the appropriate box to identify the source reduction activity you plan to use to
reduce the waste. Table 2 provides a list of examples of source reduction activities.
For example: Suppose one of the projects in your plan is to reduce paint waste generated
in the painting operation through raw material modification. On the form, you need to
enter paint waste as the waste to be reduced and place a check mark under the column
raw material modification to identify the corresponding source reduction activity.
Certificate of completeness and correctness — On the lower part of the form, the
facility owner or corporate officer certifies that the plan has been completed and meets the
specified requirements of the rules and the information provided is true, correct, and
complete.
Check box located in the Certificate of completeness and correctness section of the
Form: Enter "X" if this form is submitted to amend information already submitted.
Optional information for SQG Executive Summary report — On the back of the
form, you will also find the SQG optional information section. If you wish, you can
provide additional information on a separate page. However, there is no requirement that
you complete the optional section of this form.
Revisions to the Executive Summary form — If the information you provide on your
Executive Summary form does not change, you are not required to submit a new
Executive Summary form each year. However, if you update your plan, then you need to
send in a revision to your Executive Summary form within 30 days with any changes from
the prior year.
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SOURCE REDUCTION / WASTE MINIMIZATION EXECUTIVE SUMMARY AND CERTIFICATE OF COMPLETENESS AND CORRECTNESS FOR SMALL-QUANTITY GENERATORS"
Date plan due
Facility name
Facility contact person
Contact phone
Facility description
EPA ID
Mailing address
l
Estimated amount of hazardous waste generated the fifth year, in tons
From your plan, list hazardous waste to be reduced
Hazardous waste (in order of priority)
Source reduction activities you plan to
box.
Good operating
practices
Q
Q
Q
Q
Q
Q
Inventory control Spill ar
prevent
Q
Q
Q
Q
Q
Q
Executive Summary date
TNRCCSWID
SIC code
Number of employees
use to reduce generation of each hazardous waste listed. Place a check mark in
d leak Raw material
ion modification
Q Q
Q Q
Q Q
Q Q
Q Q
Q Q
Process
modification
Q
Q
Q
Q
Q
Q
Cleaning and
decreasing
Q
Q
Q
Q
Q
Q
Surface preparations and P
finishing
Q
Q
Q
Q
Q
Q
the appropriate
roduct modification
Q
Q
Q
Q
Q
Q
Certificate of completeness and correctness
Certificate of completeness: I certify that the source reduction and waste minimization plan has been completed and meets the specified requirements of 30 TAC§§335.471-335.480, and that the
information provided herein is true, correct and complete. I also certify that I am the person who has the authority to commit the corporate or company resources necessary to implement the plan.
Facility owner or corporate officer Date If this is a revision of a previously submitted report, check this box G
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Please complete this form and return to:
Office of Pollution Prevention and Recycling, MC-112
Texas Natural Resource Conservation Commission
PO Box 13087
Austin, TX 78711-3087
If you have questions, please call (512) 239-3100
Optional information for SQG Executive Summary report
If you wish to provide a discussion on any of the sections listed below, please attach separate sheets as needed.
4a. A discussion of the person's previous effort at the facility to reduce hazardous waste or the release of pollutants or contaminants through
source reduction or waste minimization;
4b. A discussion of the effect changes in environmental regulations have had on the achievement of the source reduction and waste minimization
goals;
4c. The effect that events the person could not control have had on the achievement of the source reduction and waste minimization goals; and
4d. A discussion of the operational decisions the person has made that have affected the achievement of the source reduction and waste
minimization goals.
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Appendix C
Example Pollution Prevention Plan
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Example pollution prevention plan
source reduction and waste minimization plan for BJ Services Company
U.S.A., Tomball Research and Technology Center
A) Activities that generate hazardous waste
• spent solvents from laboratory (fuel blended)
• paint solvents (recycled)
• parts washing solvent (recycled)
• waste drilling mud (landfilled)
• contaminated floor dry (landfilled)
• immersion cleaner liquid (recycled)
B) Prioritized list of source reduction and waste minimization projects
I. Parts washing solvent
a. Reduce amount of waste solvent currently generated by changing procedure used to determine solvent
change out (SR).
b. Begin trials with other nonhazardous solvents to select, if possible, a suitable replacement solvent (SR).
II. Laboratory solvent
a. Improve procedures in waste segregation to minimize hazardous waste generation (SR).
b. Begin trials with other nonhazardous solvents to select, if possible, a suitable replacement solvent (SR).
C) Discussion of projects
ItL The hazardous waste generated by parts washers in the manufacturing/rebuild shop can be decreased in
two ways. One is by decreasing the number of times the solvent is changed out. Technically this would
present little difference in the quality of washed parts since the parts are washed until clean. The increase in
time spent washing parts would be negligible. Economically, the cost of the service would be about the
same. Environmental risk would decrease from present practice because the amount of solvent recycled and
handled would decrease. Human health risks would be the same since workers would still be exposed to the
hazardous solvent.
Ilx The second project would involve finding an effective nonhazardous solvent to replace the hazardous
solvent presently being used. The new solvent would have to be as effective as the hazardous solvent and
comparable in cost. The trials could be performed at minimal cost with one parts washer and fluids to be
tested supplied by vendors. The environment would be greatly benefited by the use of a nonhazardous
solvent and the risks to human health would decrease.
2a. The hazardous waste stream from the laboratory can be minimized in two ways. One would be to
ensure that waste is segregated properly and only hazardous waste goes into the hazardous waste stream.
2b. Since a constituent of this hazardous waste stream is solvent used in laboratory operations, the second
project would involve finding effective nonhazardous solvents to replace the hazardous solvents presently
being used. The new solvent would have to be as effective as the hazardous solvent and comparable in cost.
The trials could be performed at minimal cost with the procedures in place now and be substituting fluids
to be tested which will be supplied by vendors. The environment would be greatly benefited by the use of a
nonhazardous solvent and the risks to human health would decrease.
D) Reduction anticipated
la. Changing the parts washing solvent change out schedule in the manufacturing/rebuild shop will result
in an estimated source reduction of 6 tons of hazardous waste per year.
Ib. Replacing the current parts washing solvent with a nonhazardous solvent will result in an estimated
source reduction of 11 tons of hazardous waste per year.
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2a. Improving procedures for the research and development laboratory hazardous waste segregation will
result in an estimated source reduction of hazardous waste of 0.5 ton per year.
2b. Replacing the current solvents in the laboratory with nonhazardous solvents will result in an estimated
source reduction of 0.5 ton of hazardous waste per year.
E) Implementation schedule
la. January 1995 — Select a change out schedule for the parts washer solvent in the
Manufacturing/rebuild shop that will enable employees to effectively clean parts yet reduce the number of
change outs per month to reduce the amount of hazardous waste generated. March 1995 — Start trials of
other solvents for parts washing with the goal of selecting an alternative by December 1997.
2a. January, 1998 — Examine research and development hazardous waste segregation procedures with
goal of placing improved procedures in place by December 1998.
2b. January, 1999 — Start trials of alternate solvents for use in laboratory with goal of making a
determination by December 1999.
F) Facility goals
The goal for the entire facility is to reduce hazardous waste reported on the Annual Waste Summary to 10
tons by 1999.
December 1997 — Reduce manufacturing/rebuild hazardous waste by 40 percent.
December 1999 — Reduce research and development hazardous waste by 10 percent.
G) Employee awareness and training
1. The BJ environmental management guide has under the introduction tab Section IB some of the Valdez
Principles including ones directed at waste minimization.
2. The Tomball Facility has a waste minimization program in place to minimize waste, including hazardous
waste.
3. The manager of each department that generates hazardous waste, as well as the employees directly
associated with hazardous waste generation are give additional instruction on minimization and reduction.
I) Pollutant shift to another medium
1. The solvent used in the manufacturing/rebuild shop will be reduced in volume initially and possibly
replaced with a nonhazardous solution.
2. Improving laboratory procedures will reduce the volume of waste generated. Replacing the solvents used
with nonhazardous solvents will further reduce the volume of hazardous waste.
Plan Executive Summary
Facility: Tomball Research and Development Center
11211FM2920
Tomball, Texas 77375
Contact: David H. Burkett
Date: December 1994
Description: The facility is the site of various support groups for BJ Services Co., U.S.A. including
engineering, instrumentation, and manufacturing/rebuild for oil field service equipment.
Also located at the facility is a research laboratory for oil field service chemicals, and
several administrative departments.
TACB account: HG-1053-L
Solid waste registration: 36611
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EPA ID: TXD000838995
Hazardous waste generated: (1993 volumes)
Waste Quantity
0194203H-Spent solvents from laboratory 2.1 tons
029421 IH-Paint solvents 0.0 tons
0501203H-Parts washing solvent 17.8 tons
000130IH-Waste drilling mud 0.3 tons
0002409H-Contaminated floor dry 0.1 tons
900250-Immersion cleaner fluid 0.4 tons
Pollutant reduction list
1. Parts washing solvent
2. Spent solvents from laboratory
Reduction goal
The goal is to reduce the hazardous waste reported on the annual waste summary for the Tomball facility
to 10 tons by 1999.
Environmental and human health risks considered
The hazardous solvents used at the Tomball facility may be detrimental to the environment and human
health. Therefore, the reduction in use is a reduction in risk to human health and the environment.
Project milestones
January 1995 Select a change out schedule for the parts washer solvent to reduce volume
generated and monitor for two months to determine effectiveness.
March 1995 Begin trials for possible alternate parts washer solvent with goal of selecting an
alternative by December 1997.
January 1998 Examine Research and Development hazardous waste segregation procedures with
goal of placing improved procedures by December 1998.
January 1999 Begin trials of alternative solvents for use in laboratory with goal of making a
determination by December 1999.
Future reduction goals
Future reduction goals will be established in 1999 after evaluation of the effectiveness of the
aforementioned goals and examination of other reduction opportunities.
Pollutants changed or shifted
1. The solvent used in the manufacturing/rebuild shop will be reduced in volume initially and possibly
replaced with a nonhazardous solution.
2. Improving laboratory procedures will reduce the volume of waste generated. Replacing the solvents
used with nonhazardous solvents will further reduce the volume of hazardous waste.
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Appendix D
TNRCC Pollution Prevention Rules (30 TAG §335,
Subchapter Q) Pollution Prevention: Source Reduction and
Waste Minimization
-------
TNRCC Pollution Prevention Rules (30 TAC Chapter 335, Subchapter Q)
Pollution Prevention: Source Reduction and Waste Minimization
§335.471. Definitions.
The words and terms used in this subchapter have the meanings given in the Waste Reduction Policy Act of
1991, Senate Bill 1099, or the regulations promulgated thereunder. The following words and terms, when
used in this subchapter, shall have the following meanings, unless the context clearly indicates otherwise.
Further, the following words and terms, as defined herein, shall only have application to this subchapter.
Acute hazardous waste — Hazardous waste listed by the Administrator of the United States
Environmental Protection Agency (EPA) under the federal Solid Waste Disposal Act, as amended by the
Resource Conservation and Recovery Act of 1976 (42 U.S.C. §6901 et seq.), because the waste meets the
criteria for listing hazardous waste identified in 40 Code of Federal Regulations, §261.1 l(a)(2).
Board — The Texas Air Control Board.
Commission — The Texas Water Commission.
Committee — The waste reduction advisory committee established by the Texas Solid Waste Disposal
Act, Health and Safety Code Annotated, §361.0215.
Conditionally exempt small-quantity generator — A generator that does not accumulate more than
1,000 kilograms of hazardous waste at any one time on his facility and that generates less than 100
kilograms of hazardous waste in any given month.
Environment — Water, air, and land and the interrelationship that exists among and between water, air,
land, and all living things.
Facility — All buildings, equipment, structures, and other stationary items located on a single site or on
contiguous or adjacent sites that are owned or operated by a person who is subject to this subchapter or by
a person who controls, is controlled by, or is under common control with a person subject to this
subchapter.
Generator and generator of hazardous waste — Have the meaning assigned by the Texas Solid Waste
Disposal Act, Health and Safety Code Annotated, §361.131.
Large-quantity generator — A generator that generates, through ongoing processes and operations at a
facility:
(A) more than 1,000 kilograms of hazardous waste in a month; or
(B) more than one kilogram of acute hazardous waste in a month.
Media and medium — Air, water, and land into which waste is emitted, released, discharged, or disposed.
Pollutant or contaminant — Includes any element, substance, compound, disease-causing agent, or
mixture that after release into the environment and on exposure, ingestion, inhalation, or assimilation into
any organism, either directly from the environment or indirectly by ingestion through food chains, will or
may reasonably be anticipated to cause death, disease, behavioral abnormalities, cancer, genetic mutation,
physiological malfunctions, including malfunctions in reproduction, or physical deformations in the
organism or its offspring. The term does not include petroleum, crude oil, or any fraction of crude oil that is
not otherwise specifically listed or designated as a hazardous substance under §101(14)(A)-(F) of the
environmental response law, nor does it include natural gas, natural gas liquids, liquefied natural gas,
synthetic gas of pipeline quality, or mixtures of natural gas and synthetic gas.
Release — Any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping,
leaching, dumping, or disposing into the environment. The term does not include:
(A) a release that results in an exposure to a person solely within a workplace, concerning a claim
that the person may assert against the person's employer;
(B) an emission from the engine exhaust of a motor vehicle, rolling stock, aircraft, vessel, or
pipeline pumping station engine;
(C) a release of source, by-product, or special nuclear material from a nuclear incident, as those
terms are defined by the Atomic Energy Act of 1954, as amended (42 U.S.C. §2011 et seq.), if the
release is subject to requirements concerning financial protection established by the Nuclear
D-l
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Regulatory Commission under §170 of that Act;
(D) for the purposes of §104 of the federal Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (42 U.S.C. §9601 et seq.), or other response action, a
release of source, by-product, or special nuclear material from a processing site designated under
the Uranium Mill Tailings Radiation Control Act of 1978 (42 United States Code, §§7912 and
7942) §102(a)(l) or §302(a); and
(E) the normal application of fertilizer.
Small quantity generator — A generator that generates through ongoing processes and operation at a
facility:
(A) equal to or less than to 1,000 kilograms but more than or equal to 100 kilograms of hazardous
waste in a month; or
(B) equal to or less than one kilogram of acute hazardous waste in a month.
Source reduction — Has the meaning assigned by the federal Pollution Prevention Act of 1990, Pub.L.
101-508, §6603, 104 Stat. 1388.
Tons — 2,000 pounds, also referred to as short tons.
Toxics Release Inventory (TRI)— A program which includes those chemicals on the list in Committee
Print Number 99-169 of the United States Senate Committee on Environment and Public Works, titled
"Toxic Chemicals Subject to the Emergency Planning and Community Right-To-Know Act of 1986
(EPCRA, 42 United States Code Annotated, §11023), 313" including any revised version of the list as may
be made by the Administrator of the EPA
Waste minimization — A practice that reduces the environmental or health hazards associated with
hazardous wastes, pollutants, or contaminants. Examples may include reuse, recycling, neutralization, and
detoxification.
§335.472. Pollutants and Contaminants.
The following pollutants and contaminants are subject to source reduction and waste minimization
planning.
(1) all hazardous wastes generated;
(2) all chemicals which exceed threshold reporting requirements pursuant to Emergency Planning
and Community Right-to-Know Act of 1986, §313.
§335.473. Applicability.
This subchapter applies to facilities which are required to develop a source reduction and waste
minimization plan pursuant to the Waste Reduction Policy Act of 1991, Senate Bill 1099, or the
regulations promulgated thereunder, including:
(1) all large quantity generators of hazardous waste;
(2) all generators other than large quantity generators and conditionally exempt small quantity
generators as defined by Health and Safety Code, §361.431(3);
(3) persons subject to §313, Title III, Superfund Amendments and Reauthorization Act of 1986
(Emergency Planning and Community Right-to-Know Act (EPCRA), 42 United States Code,
§ 11023). These TRI covered facilities would be required to develop source reduction and waste
minimization plans for only the TRI listed chemicals that exceed threshold quantities established
under EPCRA.
§335.474. Source Reduction and Waste Minimization Plans.
All persons identified under §335.473 of this title (relating to Applicability) shall prepare a five year (or
more) source reduction and waste minimization plan which may be updated annually as appropriate
according to the schedule listed in §335.475 (relating to Implementation Dates). Plans shall be updated as
necessary to assure that there never exists a time period for which a plan is not in effect. Prior to
completion of the plan and each succeeding plan, a new five-year (or more) plan shall be prepared. Plans
prepared under paragraphs (l)-(3) of this section shall contain a separate component addressing source
reduction activities and a separate component addressing waste minimization activities.
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(1) With the exception of small quantity generators which are subject to paragraph (3) of this
section, the plan shall include, at a minimum:
(A) an initial survey that identifies:
(I) for facilities described in §335.473(1), activities that generate
hazardous waste; and
(II) for facilities described in §335.473(3), activities that result in the
release of pollutants or contaminants designated under §335.472 of this
title (relating to Pollutants and Contaminants);
(B) based on the initial survey, a prioritized list of economically and
technologically feasible source reduction and waste minimization projects;
(C) an explanation of source reduction or waste minimization projects to be
undertaken, with a discussion of technical and economic considerations, and
environmental and human health risks considered in selecting each project to be
undertaken;
(D) an estimate of the type and amount of reduction anticipated;
(E) a schedule for the implementation of each source reduction and waste
minimization project;
(F) source reduction and waste minimization goals for the entire facility, including
incremental goals to aid in evaluating progress;
(G) an explanation of employee awareness and training programs to aid in
accomplishing source reduction and waste minimization goals;
(H) certification by the owner of the facility, or, if the facility is owned by a
corporation, by an officer of the corporation that owns the facility who has the
authority to commit the corporation's resources to implement the plan, that the
plan is complete and correct;
(I) identification of cases in which the implementation of a source reduction or
waste minimization activity designed to reduce risk to human health or the
environment may result in the release of a different pollutant or contaminant or
may shift the release to another medium; and
(J) an executive summary of the plan which shall include at a minimum:
(I) a description of the facility which shall include:
(I) name of the facility;
(II) address;
(III) contact;
(IV) a general description of the facility; and
(V) Texas Air Control Board account number (TACB), Texas
Water Commission (TWC) solid waste notice of registration
number, TWC Wastewater permit number, United States
Environmental Protection Agency (EPA) identification number
(Resource Conservation and Recovery Act (RCRA) number),
National Pollutant Discharge Elimination System (NPDES)
permit number, and underground injection well code identification
number.
(ii) a list of all hazardous wastes generated and the volume of each;
(iii) a list of all reportable TRI releases and the volume of each;
(iv) a prioritized list of pollutants and contaminants to be reduced;
(v) a statement of reduction goals;
(vi) an explanation of environmental and human health risks considered in
determining reduction goals;
(vii) implementation milestones for individual project development;
(viii) an implementation schedule for future reduction goals; and
(ix) identification and description of cases in which the implementation of
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source reduction or waste minimization activity designed to reduce risk to
human health or the environment may result in the release of a different
pollutant or contaminant or may shift the release to another medium.
Included in this description shall be a discussion of the change in charac-
teristic of the normal waste stream or release and how it will be managed
in that affected medium.
(2) The source reduction and waste minimization plan may also include:
(A) a discussion of the person's previous efforts at the facility to reduce risk to
human health and the environment or to reduce the generation of hazardous waste
or the release of pollutants or contaminants;
(B) a discussion of the effect changes in environmental regulations have had on the
achievement of the source reduction and waste minimization goals;
(C) the effect that events the person could not control have had on the achievement
of the source reduction and waste minimization goals;
(D) a description of projects that have reduced the generation of hazardous waste
or the release of pollutants or contaminants; and
(E) a discussion of the operational decisions made at the facility that have affected
the achievement of the source reduction or waste minimization goals or other risk
reduction efforts.
(3) The plans of small quantity generators shall include, at a minimum:
(A) a description of the facility which shall include:
(I) name of the facility;
(ii) address;
(iii) contact;
(iv) general description of the facility; and
(v) TACB account number, TWC Solid Waste Notice of Registration
number, TWC Wastewater Permit Number, EPA Identification number
(RCRA number), NPDES permit number, and underground injection well
code identification number.
(B) a list of all hazardous wastes generated and the volume of each;
(C) a list of all reportable TRI releases and the volume of each;
(D) a prioritized list of pollutants and contaminants to be reduced;
(E) a statement of reduction goals;
(F) information on environmental and human health risks, such as Material Safety
Data Sheets or other available documentation, considered in determining reduction
goals;
(G) implementation milestones for individual project development;
(H) an implementation schedule for future reduction goals; and
(I) identification and description of cases in which the implementation of a source
reduction or waste minimization activity designed to reduce risk to human health
or the environment may result in the release of a different pollutant or contaminant
or may shift the release to another medium. Included in this description shall be a
discussion of the change in characteristic of the normal waste stream or release
and how it will be managed in that affected medium.
(J) certification by the owner of the facility, or, if the facility is owned by a
corporation, by an officer of the corporation that owns the facility who has the
authority to commit the corporation's resources to implement the plan, that the
plan is complete and correct.
(K) an executive summary of the plan which shall include at a minimum:
(I) a description of the facility which shall include:
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(I) name of facility;
(II) address;
(III) contact;
(IV) EPA ID, TNRCC solid waste notice of registration
number;
(V) primary SIC code.
(ii) a projection of the amount of hazardous waste that the facility
will generate (based on what is reported as hazardous waste under
30 TAG 335.9 ) at the end of the five year period that the plan is
in place.
(iii) prioritized list of pollutants and contaminants to be reduced.
(iv) a list of source reduction activities associated with reductions of
pollutants identified under 335.474(3)(D).
(4) The executive summary may include:
(A) a discussion of the person's previous effort at the facility to reduce
hazardous waste or the release of pollutants or contaminants through
source reduction or waste minimization;
(B) a discussion of the effect changes in environmental regulations have had
on the achievement of the source reduction and waste minimization goals;
(C) the effect that events the person could not control have had on the
achievement of the source reduction and waste minimization goals; and
(D) a discussion of the operational decisions the person has made that have
affected the achievement of the source reduction and waste minimization
goals.
§335.475. Implementation Dates.
All facilities subject to this subchapter shall develop a source reduction and waste minimization plan. The
implementation year shall be determined by the prior year's reported volumes of hazardous waste generated
and/or total TRI releases. A facility once subject to this subchapter shall remain subject until it no longer
meets the requirements of §335.473 of this title (relating to Applicability) or are exempted under §335.477
of this title (relating to Exemptions). Volumes for calculations will be based on total hazardous waste
generated and/or total TRI releases. The executive summary shall be submitted to the commission and the
board on the date the plan is required to be in place. Plan implementation will be according to the following
schedule:
(1) The source reduction and waste minimization plan shall be in place, available for review, and
shall be implemented no later than July 1, 1993 for:
(A) hazardous waste generators reporting 5,000 tons or more; or
(B) TRI facilities reporting 100 tons or more.
(2) The source reduction and waste minimization plan shall be in place, available for review, and
shall be implemented no later than January 1, 1994 for:
(A) hazardous waste generators reporting less than 5,000 tons but more than or
equal to 500 tons; or
(B) TRI facilities reporting less than 100 tons but more than or equal to 10 tons.
(3) The source reduction and waste minimization plan shall be in place, available for review, and
shall be implemented no later than January 1, 1995 for:
(A) hazardous waste generators reporting less than 500 tons but more than or
equal to 15 tons; or
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(B) TRI facilities reporting less than 10 tons but more than or equal to 5 tons.
(4) The source reduction and waste minimization plan shall be in place, available for review, and
shall be implemented no later than January 1, 1996 for:
(A) hazardous waste generators reporting less than 15 tons but more than or equal
to 5 tons; or
(B) TRI facilities reporting less than 5 tons but more than or equal to 1 ton.
(5) The source reduction and waste minimization plan shall be in place, available for review, and
shall be implemented no later than January 1, 1997 for:
(A) hazardous waste generators reporting less than 5 tons but greater than 1.102
tons (1,000 kilograms); or
(B) TRI facilities reporting less than 1 ton.
(6) After the effective date of this subchapter, any facility which becomes subject to the
requirement to have a source reduction and waste minimization plan, either within 90 days prior to
or at any time following the dates referenced in paragraph (l)-(5) of this section, shall have 90
days to have the plan in place and available for review.
§335.476. Reports and Record keeping.
All persons required to develop a source reduction and waste minimization plan for a facility under this
subchapter shall submit to the commission and the board, concurrent with implementation of the plan under
§335.475 of this title (relating to Implementation Dates), an initial executive summary of such plan and a
copy of the certification of completeness and correctness in §335.474(1)(H) of this title (relating to Source
Reduction and Waste Minimization Plans). Within 30 days of any revision of such plan, a revised
executive summary including a copy of a new certificate of completeness and correctness shall be
submitted. All owners and operators required to develop a plan under §335.473(1) and (3) (related to
Applicability) shall also submit an annual report as defined below under paragraphs (1), (2), and (3) of this
section according to the schedule outlined in paragraph (4) of this section. Persons required to develop a
source reduction and waste minimization plan for a facility under §335.473(2) (related to Applicability)
may meet the annual reporting requirements by submitting their annual waste summary required under 30
TAC 335.9 and by submitting their hazardous waste reduction goals as required under §335.474(K)(ii).
(1) The report shall detail the facility's progress in implementing the source reduction and waste
minimization plan and include:
(A) an assessment of the progress toward the achievement of the facility source
reduction goal and the facility waste minimization goal;
(B) a statement to include, for facilities described in §335.473(1) of this title
(relating to Applicability), the amount of hazardous waste generated and, for
facilities described in §335.473(3), the amount of the release of reportable
pollutants or contaminants designated under the Texas Solid Waste Disposal Act,
the Texas Health and Safety Code Annotated, §361.433© in the year preceding
the report, and a comparison of those amounts with the amounts generated or
released using 1987 as the base year.
(C) any modification to the plan.
(2) The report may include:
(A) a discussion of the person's previous effort at the facility to reduce hazardous
waste or the release of pollutants or contaminants through source reduction or
waste minimization;
(B) a discussion of the effect changes in environmental regulations have had on the
achievement of the source reduction and waste minimization goals;
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(C) the effect that events the person could not control have had on the achievement
of the source reduction and waste minimization goals; and
(D) a discussion of the operational decisions the person has made that have
affected the achievement of the source reduction and waste minimization goals.
(3) The report shall contain a separate component addressing source reduction activities and a
separate component addressing waste minimization activities.
(4) The report and the executive summary of the plan shall be submitted according to the following
schedule and annually thereafter.
(A) For all facilities meeting the specifications of §335.475(1) of this title (relating
to Implementation Dates), the first report will be due on or before March 1, 1994.
The report will cover calendar year 1993. Subsequent annual reports will be
submitted on or before July 1 of each year.
(B) For all facilities meeting the specifications of §335.475(2), the first report will
be due on or before July 1, 1995. The report will cover calendar year 1994.
(C) For all facilities meeting the specifications of §335.475(3), the first report will
be due on or before July 1, 1996. The report will cover calendar year 1995.
(D) For all facilities meeting the specifications of §335.475(4), the first report will
be due on or before July 1, 1997. The report will cover calendar year 1996.
(E) For all facilities meeting the specifications of §335.475(5), the first report will
be due on or before July 1, 1998. The report will cover calendar year 1997.
(5) Base line data from the calendar year 1987 shall be used in developing each of the first reports
referred to in paragraph (4) of this section.
(6) The report shall be submitted on forms furnished or approved by the executive directors of the
commission and the board and shall contain at a minimum the information specified in paragraph
(1) of this section. Upon written request by the facility, the executive directors may authorize a
modification in the reporting period.
§335.477. Exemptions.
(a) This subchapter does not apply to:
(1) conditionally exempt small-quantity generators; and
(2) facilities regulated by the Railroad Commission of Texas under the Natural
Resources Code, §§91.101 or §141.012.
(b) Owners and operators of facilities listed in §335.473 of this title (relating to Applicability),
may apply on a case-by-case basis, to the executive directors of the commission and the board for
an exemption from this subchapter. The executive directors of the commission and board may
grant an exemption if the applicant demonstrates that sufficient reductions have been achieved. If
an exemption is granted, it is valid only for the following year, but can be renewed, on an annual
basis, by filing a new application. The executive directors' decision will be based upon the
following standards and criteria for determining practical economic and technical completion of the
plan:
(1) the facility has reduced the amount of pollutants and contaminants being
generated or released by 90 percent since the base year;
(2) potential impact on human health and the environment of any remaining
hazardous waste generated, or pollutant or contaminant released; and
(3) a demonstration that additional reductions are not economically and technically
feasible.
§335.478. Administrative Completeness.
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The commission or the board may review a source reduction and waste minimization plan or annual report
to determine whether the plan or report complies with this subchapter.
§335.479. Enforcement.
Failure to have a source reduction and waste minimization plan in accordance with this subchapter or
failure to submit a source reduction and waste minimization annual report in accordance with this
subchapter is a violation.
§335.480. Confidentiality.
(a) A source reduction and waste minimization plan shall be maintained at each facility
owned or operated by a person and/or generator who is subject to this subchapter and shall
be available to commission or board personnel for inspection. The source reduction and
waste minimization plan is not a public record for the purposes of Chapter 424, Acts of
the 63rd Legislature, Regular Session, 1973 (Texas Civil Statues, Article 6252-17a).
(b) The executive summary of the plan and the annual report are public records. On
request, the person and/or generator shall make available to the public a copy of the
executive summary of the plan or annual report.
(C) If an owner or operator of a facility for which a source reduction and waste
minimization plan has been prepared shows to the satisfaction of the commission or board
that an executive summary of the plan, annual report, or portion of a summary or report
prepared under this subchapter would divulge a trade secret if made public, the
commission or board shall classify as confidential the summary, report, or portion of the
summary or report.
(d) To the extent that a plan, executive summary, annual report, or portion of a plan,
summary, or annual report would otherwise qualify as a trade secret, an action by the
commission or board or an employee of the commission or board does not affect its status
as a trade secret.
(e) Information classified by the commission or board as confidential under this section is
not a public record for purposes of Chapter 424, Acts of the 63rd Legislature, 1973
(Texas Civil Statutes, Article 6252-17a), and may not be used in a public hearing or
disclosed to a person outside the commission or board unless a court decides that the
information is necessary for the determination of an issue being decided at the public
hearing.
Amendments to §335.476
Date Adopted: June 14, 1995
Date Filed with the Secretary of State: June 20, 1995
Date Effective: July 11, 1995
Amendments to §335.474 and §335.476
Date Adopted: November 29, 1995
Date Files with the Secretary of State: December 4, 1995
Date Effective: December 25, 1995
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Appendix E
Additional Resources
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Additional Resources
TNRCC publications
To order the following documents, call TNRCC publications at (512) 239-0028. These publications are
also available via the Internet at http://www.tnrcc.state.tx.us.
• SR/WM Annual Progress Report Manual and Forms (RG-112) : Assists LQGs and TRI facilities
in completing annual reporting required under WRPA.
• SR/WMExecutive Summary and Certificate of Completeness and Correctness for SQGS (RG-
196): Provides information on how SQGs (who are not TRI reporters) fulfill their requirements
under WRPA.
• Does the Waste Reduction Policy Act Apply to You? (RG-209): Assists facilities in determining
WRPA applicability and requirements.
Industrial Pollution Prevention Team
Call (512) 239-3100 for help with WRPA requirements and ask to speak with someone on the Industrial
Pollution Prevention team. We can clarify requirements and assist you in preparing your WRPA plan,
Executive Summary or Annual Progress Report.
Engineering and Technical Services
OPPR staff provides information on innovative technology and serves as a clearinghouse for ideas on
pollution prevention technology. On request, staff will go on location for non-regulatory, pollution
prevention site visits, which provide industrial facilities a "safe" opportunity to address challenging
environmental problems with cost-effective, "real world" solutions.
Results and information from past site visits are available in TNRCC document AS-40, Pollution
Prevention Ideas from Texas Industries, through TNRCC Publications 512/239-0028 or via the Internet at
http://p2.utep.edu/p2/casestudies/p2main.cfm. Hosted by the University of Texas at El Paso, this site also
offers pollution prevention resource information.
You may also write to us at:
Office of Pollution Prevention and Recycling/TNRCC
IPP/TRI, MC-112
PO Box 13087
Austin TX 78711-3087
EPA pollution prevention guides
Numerous industry-specific and general pollution prevention guides are available through the EPA's Center
for Environmental Research Information (CERI). Listed below are some technical guides, which can be
ordered directly from CERI (phone: 513-569-7562, FAX: 513-569-7566). CERI also offers many
additional topics and information, and a publication list can also be ordered from the above numbers.
EPA's Pollution Prevention Information Clearinghouse (PPIC) also has many publications available. A
complete listing of their publications can be ordered by contacting PPIC (phone: 202-260-1023, fax: 202-
260-0178).
E-l
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EPA industry-specific pollution prevention guides:
The list below contains pollution prevention guides available as of August 1997. For updated information,
please contact EPA's CERI number listed above.
Title
Auto Repair
Automotive Refmishing
Commercial Printing
Dye Manufacturing
Fabricated Metal
Fiberglass and Composite Plastics
Marine Maintenance and Repair
Mechanical Equipment Repair
Metal Fabricated Products
Metal Finishing
Metal Casting and Heat Treating
Municipal Pretreatment Programs
Non-Agricultural Pesticide Users
Paint Manufacturing
Pesticide Formulations
Pharmaceutical
Photo Processing
Printed Circuit Board Manufacturing
Research and Education
Selected Hospital Wastes
Wood Furniture Manufacturing
EPA general pollution prevention guides:
Solvent Waste Reduction Alternatives
Facility Pollution Prevention Guide
Organic Coating Removal
Alternatives to Chlorinated Solvents for Cleaning and Decreasing
Cleaning and Degreasing Process Changes
Alternative Metal Finishes
On-Site Solvent Recovery
Mercury Usage and Alternatives in Electrical and Electronics Industries
Evaluating the Potential for Safe Substitutes
Demonstration of Alternative Cleaning Systems
Pollution Prevention Possibilities for Small and Medium Sized Facilities
EPA Number
EPA/625/7-91/013
EPA/625/7-91/016
EPA/625/7-90/008
EPA/741/B-92/001
EPA/625/7-90/006
EPA/625/7-91/014
EPA/625/7-91/015
EPA/625/R-92/008
EPA/560/8-92/001 A
EPA/625/R-92/011
EPA/625/R-92/009
EPA/625/R-93/006
EPA/625/R-93/009
EPA/625/7-90/005
EPA/625/7-90/004
EPA/625/7-91/017
EPA/625/7-91/012
EPA/625/7-90/007
EPA/625/7-90/010
EPA/625/7-90/009
EPA/560/8-92/001C
EPA/625/4-
EPA/600/R-
EPA/625/R-
EPA/625/R-
EPA/625/R-
EPA/625/R-
EPA/600/R-
EPA/600/R-
EPA/600/R-
EPA/600/R-
EPA/600/R-
89/021
92/088
93/015
93/016
93/017
94/007
94/026
94/047
94/178
95/120
95/070
E-2
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2000 Green Zia Examiner Work Book
Examiner Work Book
for the New Mexico Environment Department's Green
Zia Environmental Excellence Program
Page Iof32
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2000 Green Zia Examiner Work Book
Words of Welcome
It is a pleasure to welcome you to the 2000 Board of Examiners for the New Mexico Environment
Department's Green Zia Environmental Excellence program. As a Green Zia Examiner, you play a crucial
role in enhancing New Mexico's competitiveness, performance, and environmental excellence. As a New
Mexico Green Zia program member, much is expected of you. The validity and prestige of the Green Zia
program rest upon the integrity, thoroughness, commitment, and energy of its Examiners. As volunteers,
you are the nucleus of the Program, and we truly value your efforts.
We approach the next century looking forward to new challenges and excitement in the New Mexico Green
Zia program. In 2000 we have significantly revised the Criteria for Environmental Excellence in content and
format based upon feedback received from 1999 participants. The focus of the program has changed from
striving for environmental excellence to continuously improving an organization's approach, deployment and
results in the area of pollution prevention. The Criteria have been re-written in question format to better
facilitate applicant response and every effort has been made to eliminate redundant requirements between
Categories. As a member of the 2000 Board of Examiners, you have the opportunity to help New Mexico
organizations take the next step in understanding and implementing the concepts of environmental
excellence.
This Handbook is a resource document provided to help you in your job. It is designed to provide you with
tools to streamline the examination process and to produce a high-quality, value-added feedback report.
Thank you for lending your support to this important effort. We hope you derive great satisfaction from
taking part in this exciting and challenging adventure. We look forward to working with each of you in our
mutual quest to improve New Mexico's environment for all of its citizens.
New Mexico Environment Department
Green Zia Program Administrators
Panel of Judges
Staff
Page 2 of 32
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2000 Green Zia Examiner Work Book
SUGGESTED PROCESS FOR SCOREBOOK COMPLETION
The following is an elaboration of the Suggested Process for Evaluating Green Zia Applications presented during Examiner
Training.
Step 1: Plan
A. With your Senior Examiner's assistance, complete the following action planning tables:
Team Information:
Name
Address
Eve Phone
Day Phone
Email
Fax
Categories to
Champion
Examination Plan
Task/Step
Develop Examination
Plan
Coordinate Consensus
Meeting
Conduct Independent
Review and Scoring
Compile Category
Feedback
Send Compiled Category
Feedback to Team
Conduct Consensus
Meeting
Compile Feedback,
Scoring and Executive
Summary Materials.
Send completed
materials to Green Zia
Administrator
Site Visit Availability
Owner(s)
Examination Team
Sr. Examiner
Individual Team Members
Category Champions
Category Champions
Examination Team
Sr. Examiner
Sr. Examiner
Examination Team
Due Date
C.O.B. May3, 2000
No later than 6/1 5/00
July 2000
Venue(s)
Examiner Training
Applicants' Facilities
Page 3 of 32
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2000 Green Zia Examiner Work Book
Step 2: Prepare
A. Check conflict of interest. Read the eligibility determination form and Organizational Overview with particular attention to the
applicant's organization chart, customers, competitors, and suppliers. Notify the Green Zia Program Administrator immediately
if you identify any situation, including business, personal, or financial relationships, that could be perceived as affecting your
ability to review the applicant fairly and objectively.
B. Assemble your supplies. To complete an evaluation you will need the following:
• Green Zia Program Information and Critieria - 2000
• Application Report
• 2000 Green Zia Work Book (this document)
• Calculator
• Writing implements/marking tools
• Watch or clock
Reserve large chunks of time to evaluate the application, which typically takes a total of 20-40 hours. Keep track of your time to
record the total hours and report to your Senior Examiner at the end of the Consensus Meeting.
C. Mark the organization chart and glossary of the application for easy reference.
D. Review the appropriate Criteria (Commitment or Achievement/Excellence). You will need a working knowledge of all sections
(e.g., Criteria, Scoring System, Core Values, and Glossary) in order to properly evaluate an applicant.
E. Read the entire application report from cover to cover, including the eligibility determination form, the Organizational Overview,
and the applicant's response to the Criteria Items.
F. Reread the Organizational Overview and eligibility determination form, noting (with highlighters or margin notes) the points that
are particularly relevant and important to the proper evaluation of the applicant and any emerging key themes. The applicant's
responses throughout the application and your evaluation should reflect the key business factors (KBFs) identified by the
applicant in its Organizational Overview.
G. Prepare the Key Business Factors Worksheet (referring to your highlighting or notes) by listing the key business factors for the
applicant. Use the headings and order presented in the Green Zia Program Information and Criteria 2000 handbook, pg. 14.
Step 3: Evaluate
A. Read the Criteria requirements for the Item being reviewed, noting if the Item requests the applicant to discuss an approach
and its deployment, or the results of approaches discussed in other parts of the application.
B. Review the applicant's KBFs. These key factors should already be included on the Key Business Factors Worksheet.
C. Read the applicant's response to the same Item. Make notes by highlighting key information and writing margin notes. Assess
what is written and reasonably supported in the application. If the applicant provides cross-references, or if you find relevant
information elsewhere in the application report, consider that information in your assessment of the Item. However, do not
make assumptions, positive or negative, that cannot be supported by the information presented in the application report.
D. Synthesize from your notes the most important observations into 5-8 comments about the applicant's approach/deployment or
results for the Item, using the 3-part comment writing guidelines presented during Examiner Training and noted in the Comment
Guidelines section of this document.
E. Record the comments as strengths or opportunities for improvement (OFIs) in the space provided on the Item Worksheet for
that Item.
1. Each of the 5-8 comments should typically consist of 1-3 complete, declarative, and nonprescriptive sentences that use
specific examples from the application. Ensure that they relate to the major Item requirements. Link them to the applicant's
KBFs, as appropriate.
2. Answer the "so what" question, indicating the significance of the comment in relation to the evaluation and/or effectiveness
of the applicant's performance excellence system.
3. Record an OFI on any Area to Consider to which the applicant has not responded.
4. Ensure that all comments are well written and follow the Comment Guidelines presented during Examiner Training and
noted in the Comment Guidelines section of this document.
5. Preface all comments on strengths with a (+ or ++) sign. Use a (- or — ) sign to indicate OFIs. Double ++ and — indicate
particularly important observations that have a major impact on the applicant's score for the Item and/or particular
significance to the applicant's performance management system. Designate comments concerning important missing
information with a (- or —). For both strengths and OFIs on each Item, use a, b, c, (1), (2), (3), to indicate the
corresponding Area to Consider found in the Item.
Page 4 of 32
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2000 Green Zia Examiner Work Book
H. Record site visit issues in the space provided on the Item Worksheet. These are major/important issues that should be verified
or clarified on site. Issues for on-site verification include the applicant's approach, the extent of deployment of the approach,
and the results presented. For example, if a strength comment discusses the existence of a systematic process, the team
would want to verify that the process exists and operates as presented in the written application.
Issues for on-site clarification include information that is unclear or not provided that is central to the Item requirements and
relevant and important to the applicant's business which may have prevented the Consensus Team from fully and fairly
evaluating the applicant. For example, if the Item requires the applicant to present comparison data, but those data are not
provided, a site visit issue would be to clarify if the applicant has comparison data and, if so, if it is used and what the data
show about the applicant's reported results relative to other organizations.
Step 4: Score
A. Review your comments, the relative importance of the pluses and minuses, and the Item requirements.
B. Read the description of the scoring ranges in the appropriate Scoring Guidelines (Commitment or Achievement/Excellence) to
assign a percentage score for the Item. The Scoring Guidelines are divided into two parts: Approach/Deployment Items, and
Results Items. Note that Approach/Deployment Item scoring ranges are determined by the strength of the applicant's approach,
deployment, improvement, and integration. Results scoring ranges are determined by levels, trends, comparisons, and
relevance to improving the organization's performance.
C. Determine the scoring range (0%, 10-20%, 30-40%, 50-60%, 70-80%, 90-100%) which best reflects the comments written
about the applicant's level of performance on this Item. Score each Item independently. Do not let your impression of the
applicant on other Items influence your evaluation of this Item. Applicants will typically be stronger in some Items than others.
D. Determine an appropriate score within the scoring range. For the independent review, use only multiples of 10% (i.e., 10%,
20%, not 15%, 28%). Enter your percent score in the space provided at the bottom of each Item Scoresheet.
For the consensus review, if using the average, first round percent scores to the nearest whole number. Next, round
the point scores to the nearest whole number.
The comments and the score for an Item should be consistent, both in terms of the number of comments distributed between
the strengths and the OFIs, and the weight and substance of the comments themselves. For example, the 5-8 comments for an
Item scored at 20% would appear predominantly in the OFI section of the Item Worksheet.
E. Reread the comments to ensure that they are consistent with the score and the language of the scoring range. Alter
language/score, as necessary.
F. Repeat the Evaluate and Score steps for each Item and Category of the appropriate Criteria (Achievement or
Achievement/Excellence)
G. Send Item Worksheets to the designated Category Champion for Compilation
Step 5: Finalize (Consensus Meeting)
A. Review all Compiled Item Worksheets to ensure that:
1. comments are consistent within and among Items (an aspect of the application cannot be a strength in one Item and an
OFI in the same or another Item); and
2. comments cover the major points and objectives of the appropriate Criteria, reflect the core values, and focus on what is
important to the applicant as determined by the KBFs.
B. Consense on Strength and OFI comments
C. Consense on Scoring for each Item
1. Record each examiner's individual score in the appropriate column on the Achievement/Excellence Scoresheet, or record
the team's consensus around the Commitment applicant's response (with a check in the appropriate column).
2. Record the % Consensus Score in the appropriate column of the Achievement/Excellence Scoresheet or record any team
comments in the appropriate column in the Commitment Scoresheet
3. Compute and record the Item score in the appropriate column of the Achievement/Excellence Scoresheet
4. Compute and record the Category score in the appropriate column of the Achievement/Excellence Scoresheet
5. Compute and record a Grand Total by summing the Category point scores.
6. Verify scores and calculations.
D. Compile a list of consensed site visit issues, by item.
Step 6: Compile and Return to the Green Zia Program Office (Senior Examiners)
Page 5 of 32
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2000 Green Zia Examiner Work Book
A. Assemble a paper and/or electronic copy of the Team's Work Products with the pages in the following order:
1. Cover Sheet
2. Executive Summary
3. Compiled and edited feedback for all Items/Categories
4. Appropriate Score Summary Worksheet (Commitment or Achievement/Excellence)
B. Assemble the compiled list of site visit issues from the team's consensus
C. Send the entire package to the Green Zia Program Administrator's Office:
Patricia Gallagher
Pollution Prevention/Green Zia Program Coordinator
New Mexico Environment Department
Office of the Secretary
PO Box 26110
Santa Fe, NM 87502
505-827-0677 (phone)
505-827-2836 (fax)
pat_gallagher@nmenv.state.nm.us
Page 6 of 32
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2000 Green Zia Examiner Work Book
COMMENT GUIDELINES
Guidelines for Individual Comments
1. Comment on what is central to the Criteria Item and relevant and important to the applicant based on the key business/school
factors. Respond to the basic objectives of the Item. Comment only on the requirements of the Criteria without going beyond.
2. Include examples of processes, programs, deployment and/or results that support the comment
3. Answer the "so what" question; indicate the significance of the comment in relation to the evaluation and/or effectiveness of
the applicant's performance excellence system.
4. Use one to three clear, simple, grammatically correct, and complete sentences. Use notations (a, b, c and +, ++, -, —). Use
vocabulary and phraseology from the Criteria, core values, and Scoring Guidelines.
5. Use a polite, professional, and positive tone.
6. Avoid jargon and acronyms, unless used by the applicant.
7. Use the applicant's terminology without "parroting" the application.
8. State observations; be non-judgmental — avoid "good," "bad," and "inadequate"; be nonprescriptive — refrain from using
"could," "should," and "would."
9. Avoid critiquing the style/organization of the application; comment on the approach, deployment, or results of the performance
management system.
10. Identify the strengths (using specific examples from the application) or the OFIs (using specific omissions or problems in the
application report). If something "is not clear," give examples of what additional information is needed.
11. If you are commenting on information from a figure or if you refer to a figure, provide the figure number, particularly on results
Items.
Guidelines for Item Worksheets
1. Comment on each Item — usually 5-8 comments per Item.
2. Comments drive the numerical score:
• Balance of strengths and OFIs should reflect score.
• Comments on low scoring Items should focus on basic information.
• Comments on higher scoring Items should focus on finer points.
3. Ensure that strengths do not conflict with OFIs in the same or another Item.
Page 7 of 32
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2000 Green Zia Examiner Work Book
Key Business Factors Worksheet
To begin the scoring process, review the Applicant's Organizational Overview and the eligibility determination form.
List the key business factors for this applicant using the headings and the order presented in the Program Information
and Application Criteria, 2000 Hand Book.
Basic Description of the Enterprise
• Products and Services
• Market
• Employees/Facilities
Division
Total
Employee Count
Facilities
• Other
Customer Requirements
• Customers
• Stakeholders
Supplier and Partnering Relationships
Competitive Factors
Regulatory Environment
Critical Success Factors
Other
Page 8 of 32
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2000 Green Zia Examiner Work Book
Linkages Chart: "X" Illustrates Potential Linkages Between Category Items
Item
Number
1.1
1.2
2.1
2.2
2.3
3.1
3.2
3.3
4.1
4.2
5.1
5.2
5.3
6.1
6.2
7.1
7.2
7.3
1.1
X
X
X
X
X
X
1.2
X
X
X
X
2.1
X
X
X
X
X
X
X
X
2.2
X
X
X
X
X
2.3
X
X
X
X
X
3.1
X
X
X
X
3.2
X
X
X
X
X
X
3.3
X
X
X
X
X
4.1
X
X
X
X
X
X
X
X
X
X
4.2
X
X
X
X
X
X
X
X
5.1
X
X
X
X
5.2
X
X
X
X
X
X
X
X
X
X
5.3
X
X
X
X
X
6.1
X
X
X
X
X
6.2
X
X
X
X
X
X
X
X
7.1
X
X
X
X
X
X
7.2
X
X
X
X
X
X
X
X
X
X
7.3
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Page 9 of 32
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-------
2000 Green Zia Examiner Work Book
Item 1.1 Organizational Leadership (75 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 11 of 32
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2000 Green Zia Examiner Work Book
Item 1.2 Community Leadership (50 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 12 of 32
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2000 Green Zia Examiner Work Book
Item 2.1 Strategic Planning for Environmental Improvement
(Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
(50 pts)
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 13 of 32
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2000 Green Zia Examiner Work Book
Item 2.2 Action Planning (50 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 14 of 32
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2000 Green Zia Examiner Work Book
Item 2.3 Integration and Implementation (50 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 15 of 32
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2000 Green Zia Examiner Work Book
Item 3.1 Customer Involvement (25 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 16 of 32
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2000 Green Zia Examiner Work Book
Item 3.2 Supplier Involvement (25 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 17 of 32
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2000 Green Zia Examiner Work Book
Item 3.3 Others Involvement (25 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 18 of 32
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2000 Green Zia Examiner Work Book
Item 4.1 Information Collection and Management
Deployment
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
(60 pts) (Approach-
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 19 of 32
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2000 Green Zia Examiner Work Book
Item 4.2 Analysis and Decision-Making (40 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 20 of 32
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2000 Green Zia Examiner Work Book
Item 5.1 Employee Education and Skill Development (50 pts) (Approach-
Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 21 of 32
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2000 Green Zia Examiner Work Book
Item 5.2 Employee Involvement (55 pts) (Approach-Deployment
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 22 of 32
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2000 Green Zia Examiner Work Book
Item 5.3 Employee Satisfaction, Value and Well-being
Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
(2Opts) (Approach-
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 23 of 32
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2000 Green Zia Examiner Work Book
Item 6.1 Process Characterization and Control (50 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 24 of 32
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2000 Green Zia Examiner Work Book
Item 6.2 Process Improvement (50 pts) (Approach-Deployment)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 25 of 32
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2000 Green Zia Examiner Work Book
Item 7.1 Environmental Results (100pts)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 26 of 32
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2000 Green Zia Examiner Work Book
Item 7.2 Customer, Supplier, Employee and Other Results (150 pts)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 27 of 32
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2000 Green Zia Examiner Work Book
Item 7.3 Financial Results (75 pts)
Prepare one Item Worksheet for each Item of the 2000 Green Zia Criteria
#
Area
(+) Strengths
#
Area
(-) Opportunities for Improvement
Site Visit Issues
Item Number:
Percent Score
Page 28 of 32
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2000 Green Zia Examiner Work Book
SCORING GUIDELINES: Approach and Deployment
SCORE
APPROACH/DEPLOYMENT
0%
no systematic approach evident; anecdotal information
10%
to
20%
beginning of a systematic approach to the basic purposes of the Item
major gaps exist in deployment that would inhibit progress in achieving the basic purposes
of the Item
early stages of a transition from reacting to problems to a general improvement orientation
30%
to
40%
a sound, systematic approach, responsive to the basic purposes of the Item
approach is deployed, although some areas or work units are in early stages of
deployment
beginning of a systematic approach to evaluation and improvement of basic Item processes
50%
to
60%
a sound, systematic approach, responsive to the overall purposes of the Item
approach is well-deployed, although deployment may vary in some areas or work units
a fact-based, systematic evaluation and improvement process is in place for basic Item
processes
approach is aligned with basic organizational needs identified in the other Criteria
Categories
70%
to
80%
a sound, systematic approach, responsive to the multiple requirements of the Item
approach is well-deployed, with no significant gaps
a fact-based, systematic evaluation and improvement process and organizational
learning/ sharing are key management tools; clear evidence of refinement and improved
integration as a result of organizational-level analysis and sharing
approach is well-integrated with organizational needs identified in the other Criteria
Categories
90%
to
100%
a sound, systematic approach, fully responsive to all the requirements of the Item
approach is fully deployed without significant weaknesses or gaps in any areas or work
units
a very strong, fact-based, systematic evaluation and improvement process and extensive
organizational learning/sharing are key management tools; strong refinement and
integration, backed by excellent organizational-level analysis and sharing
approach is fully integrated with organizational needs identified in the other Criteria
Categories
Page 29 of 32
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2000 Green Zia Examiner Work Book
SCORING GUIDELINES: Results
SCORE
RESULTS
0%
no results or poor results in areas reported
10%
to
20%
• some improvements and/or early good performance levels in a few areas
• results not reported for many to most areas of importance to your organization's key
business requirements
30%
to
40%
improvements and/or good performance levels in many areas of importance to your
organization's key business requirements
early stages of developing trends and obtaining comparative information
results reported for many to most areas of importance to your organization's key business
requirements
50%
to
60%
improvement trends and/or good performance levels reported for most areas of
importance to your organization's key business requirements
no pattern of adverse trends and no poor performance levels in areas of importance to
your organization's key business requirements
some trends and/or current performance levels - evaluated against relevant comparisons
and/or benchmarks - show areas of strength and/or good to very good relative
performance levels
business results address most key customer, market, and process requirements
70%
to
80%
current performance is good to excellent in areas of importance to your organization's key
business requirements
most improvement trends and/or current performance levels are sustained
many to most trends and/or current performance levels - evaluated against relevant
comparisons and/or benchmarks - show areas of leadership and very good relative
performance levels
business results address most key customer, market, process, and action plan
requirements
90%
to
100%
current performance is excellent in most areas of importance to your organization's key
business requirements
excellent improvement trends and/or sustained excellent performance levels in most areas
evidence of industry and benchmark leadership demonstrated in many areas
business results fully address key customer, market, process, and action plan
requirements
Page 30 of 32
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2000 Green Zia Examiner Work Book
Green Zia Achievement/Excellence Scoring Sheet
Category H tern
1.0 Leadership
1.1 Organizational
Leadership
1.2 Community
Leadership
2.0 Planning for
Continuous
Environmental
Improvement
2. 1 Strategic Planning for
Continuous
Environmental
Improvement
2.2 Action Planning
2.2 Integration And
Implementation
3.0 Customer, Market and
Others' Involvement
3.1 Customer Involvement
3.2 Supplier Involvement
3.3 Other's Involvement
4.0 Information and
Analysis
4. 1 Information Collection
and Management
4.2 Analysis and Decision
making
5.0 Employee Participation
5.1 Employee Education
and Skill Development
5.2 Employee Involvement
5.3 Employee Satisfaction,
Value and Well-being
6.0 Process Management
6. 1 Process
Characterization and
Control
6.2 Process Improvement
7.0 Results
7. 1 Environmental Results
7.2 Customer, Supplier,
Employee and Other
Results
7.3 Financial Results
Total
Points
Avail
125
75
50
150
50
50
50
75
25
25
25
100
60
40
125
50
55
20
100
50
50
325
100
150
75
Individual Percent Score
Consensus
% Scores
Item
Score
Category
Score
TOTAL SCORE
Page 31 of 32
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2000 Green Zia Examiner Work Book
Green Zia Commitment Level Scoring Matrix
Category
V*
Examiner Comments/Notes
Category 1: Leadership
The applicant explains how management commitment to continuous environmental improvement is:
• Communicated to employees
• Demonstrated within the organization
• Communicated to communities
• Demonstrated in the community
Category 2: Planning for Continuous Environmental Improvement
The applicant describes how:
• Long and short term goals and objectives are identified
• Long and short term goals and objectives are developed
• Long and short term goals are implemented
• Goals and objectives relate to overall business objectives
Category 3: Customer, Supplier, and Others Involvement
The applicant describes how the organization:
• Involves customers and suppliers and others in the development
of the company's continuous environmental improvement
program
• Involved in other organizations' continuous environmental
improvement program
Category 4: Information and Analysis
The applicant describes how the organization:
• Collect information to make environmental improvement
decisions
• Use information to make environmental improvement decisions
Category 5: Employee Involvement
The applicant describes how:
• Prepare and involve employees in development and
implementation of continuous environmental improvement
approaches.
• Involve employees in development and implementation of
continuous environmental improvement approaches.
• Employee value and well-being is considered in developing
continuous environmental improvement approach
Category 6: Process Management
The applicant describes how the organization:
• Identifies processes with environmental impacts
• Analyzes process to address environmental impacts
• Manages processes to address environmental impacts
Category 7: Results
The applicant is developing methods to report environmental performance levels or trends in:
• Environmental results
• Customer, Supplier, and Employee and Other results
• Financial results
Total checks
*Place a check mark in the 2n column of Categories 1-6 where the applicant shows a beginning systematic approach to the primary purposes of
the item, and of Category 7 where the applicant shows early signs of reporting key results data.
Page 32 of 32
-------
Baldrige National Quality Program 2001
Criteria for
Performance
Excellence
accompli*
•
mipetmveiv
-------
THE MALCOLM BALDRIGE NATIONAL QUALITY AWARD PROGRAM
A Public-Private Partnership
Building active partnerships in the private sector—and
between the private sector and all levels of government—is
fundamental to the success of the Baldrige National Quality
Program in improving national competitiveness. Private-
sector support for the Program in the form of funds,
volunteer efforts, and participation in information transfer
continues to grow.
To ensure the continued growth and success of these
partnerships, each of the following organizations plays an
important role.
Foundation for the Malcolm Baldrige
National Quality Award
The Foundation for the Malcolm Baldrige National Quality
Award was created to foster the success of the Program.
The Foundation's main objective is to raise funds to per-
manently endow the Award Program.
Prominent leaders from U.S. organizations serve as
Foundation Trustees to ensure that the Foundation's
objectives are accomplished. A broad cross section of
organizations throughout the United States provides
financial support to the Foundation.
National Institute of Standards and
Technology
The U.S. Department of Commerce is responsible for the
Baldrige National Quality Program and the Award. The
National Institute of Standards and Technology (NIST), an
agency of the Department's Technology Administration,
manages the Baldrige Program. NIST promotes U.S.
economic growth by working with industry to develop and
deliver the high-quality measurement tools, data, and
services necessary for the nation's technology infrastructure.
NIST also participates in a unique, government-private-
sector partnership to accelerate the development of high-
risk technologies that promise significant commercial and
economic benefits. Through a network of technology
extension centers and field offices serving all 50 states and
Puerto Rico, NIST helps small- and medium-sized busi-
nesses access the information and expertise they need to
improve their competitiveness in the global marketplace.
American Society for Quality
The American Society for Quality (ASQ) assists in adminis-
tering the Award Program under contract to NIST. ASQ is
dedicated to the ongoing development, advancement, and
promotion of quality concepts, principles, and techniques.
ASQ strives to be the world's recognized champion and
leading authority on all issues related to quality. ASQ
recognizes that continuous quality improvement will help
the favorable positioning of American goods and services in
the international marketplace.
Board of Overseers
The Board of Overseers advises the Department of Com-
merce on the Baldrige National Quality Program. The
board is appointed by the Secretary of Commerce and
consists of distinguished leaders from all sectors of the U.S.
economy.
The Board of Overseers evaluates all aspects of the Pro-
gram, including the adequacy of the Criteria and processes
for determining Award recipients. An important part of the
board's responsibility is to assess how well the Program is
serving the national interest. Accordingly, the board makes
recommendations to the Secretary of Commerce and to the
Director of NIST regarding changes and improvements in
the Program.
Board of Examiners
The Board of Examiners evaluates Award applications and
prepares feedback reports. The Panel of Judges, part of the
Board of Examiners, makes Award recommendations to the
Director of NIST. The board consists of leading U.S.
business, health care, and education experts. NIST selects
members through a competitive application process. For
2001, the board consists of about 400 members. Of these,
9 (who are appointed by the Secretary of Commerce) serve
as Judges, and approximately 70 serve as Senior Examiners.
The remainder serve as Examiners. All members of the
board must take part in an Examiner preparation course.
In addition to reviewing applications, board members play a
significant role in sharing information about the Baldrige
Program. Their membership in hundreds of professional,
trade, community, and state organizations helps them dis-
seminate this information.
Award Recipients
Award recipients are required to share information on their
successful performance and quality strategies with other
U.S. organizations. However, recipients are not required to
share proprietary information, even if such information was
part of their Award application. The principal mechanism
for sharing information is the annual Quest for Excellence
Conference.
Award recipients in the 13 years of the Award have been
extremely generous in their commitment to improving U.S.
competitiveness and furthering the U.S. pursuit of perfor-
mance excellence. They have shared information with
hundreds of thousands of companies, education institutions,
health care organizations, government agencies, and others.
This sharing far exceeds expectations and Program require-
ments. Award recipients' efforts have encouraged many
other organizations in all sectors of the U.S. economy to
undertake their own performance improvement efforts.
-------
!BALDRIGE| Baldrige National Quality Program
National Institute of Standards and Technology • Technology Administration • Department of Commerce
To: U.S. Business Community
From: Harry S. Hertz, Director Jr-&-*-\*, -"V ' fr^^i
Baldrige National Quality Program /T
Subject: The Baldrige Challenge
"Business as usual" really means challenge and change. Whether your business challenges are e-commerce and
the Internet economy, globalization, rapid innovation, outsourcing and supply chain management, cost reduction,
or just maintaining your competitive advantage, the Baldrige Criteria can help you address them.
For more than a decade, the Baldrige Criteria have been a tool used by thousands of U.S. organizations to stay
abreast of ever-increasing competition and improve performance. Whether your business is small or large, is in-
volved in service or manufacturing, or has one office or multiple sites across the globe, the Criteria provide a
valuable framework that can help you assess performance on a wide range of key business indicators: customer,
product and service, operational, human resource, and financial. The Criteria can help you align resources; im-
prove communication, productivity, and effectiveness; and achieve strategic goals.
How to begin that first Baldrige assessment? Take a few minutes and scan the questions in the new Organizational
Profile on pages 10-11. A discussion of the answers to these questions might be your first Baldrige assessment.
If you are ready to take the full Baldrige challenge, you may perform a self-assessment only or use the self-
assessment as the preliminary effort to submitting an Award application. Self-assessment against all seven Cate-
gories of the Criteria (see pages 12-28) allows you to identify strengths and to target opportunities for improving
processes and results affecting all key stakeholders—including customers, employees, owners, suppliers, partners,
and the public. In the most competitive business sectors, organizations with world class business results are able
to achieve a score above 700 on the 1,000 point Baldrige scale.
Even if you don't expect to win the Baldrige Award, submitting an application has valuable benefits. Every appli-
cant receives a detailed feedback report based on an independent, external assessment conducted by a panel of
specially trained and recognized experts.
Ultimately, your application may lead to a Baldrige Award. Many Award recipients tell us their greatest rate of
improvement occurs the year after receiving the Award. While we make no promises for the future, on average,
publicly traded Baldrige Award recipient companies have outperformed the Standard & Poor's 500 by four to
one. If you receive the Baldrige Award, you may publicize and advertise your organization's winning status.
We make only two requirements of recipients: that you share nonproprietary information from your application
summary and participate in the Quest for Excellence Conference in April 2002 so that others might learn from
your success.
The Criteria are in your hands ... so is an incredible opportunity. Why not take the challenge? Regardless of
your organization's past success, when you turn these pages, you turn the corner toward performance excellence.
If you want more information, contact me at nqp@nist.gov.
Baldrige National Quality Program • NIST • Administration Building, Room A600 • 100 Bureau Drive, Stop 1020 • Gaithersburg, MD 20899-1020
Telephone (301) 975-2036 • Fax (301) 948-3716 • E-mail: nqp@nist.gov • Web site: www.quality.nist.gov
-------
QUEST FOR EXCELLENCE
Quest for Excellence XIII Conference
Each year, Quest for Excellence, the official conference
of the Malcolm Baldrige National Quality Award,
provides a forum for Baldrige Award recipients to share
their exceptional performance practices with worldwide
leaders in business, education, health care, and not-for-
profit organizations. Quest for Excellence XIII will
showcase the year 2000 Award recipients.
For the last 12 years, executives, managers, and quality
leaders have come to this conference to learn how these
role model organizations have achieved performance
excellence. CEOs and other leaders from the Award
recipients give presentations covering all seven Cate-
gories of the Baldrige Criteria, their journey to perfor-
mance excellence, and their lessons learned. At this
three-day conference designed to maximize learning
and networking opportunities, attendees will be able
to interact with Award recipients.
The Quest for Excellence XIII Conference will be held
April 22-25, 2001, at the Marriott Wardman Park Hotel
in Washington, DC. For further information, contact the
Baldrige Program by mail: Baldrige National Quality
Program, NIST, Administration Building, Room A600,
100 Bureau Drive, Stop 1020, Gaithersburg, MD 20899-
1020; telephone: (301) 975-2036; fax: (301) 948-3716; or
E-mail: nqp@nist.gov. For a general overview of the
Baldrige National Quality Program, visit its Web site:
http://www.quality.nist.gov.
The Malcolm Baldrige National Quality Award
The Award crystal, composed of two solid crystal prismatic
forms, stands 14 inches tall. The crystal is held in a base of
black anodized aluminum with the Award recipient's name
engraved on the base. A 22-karat gold-plated medallion is
captured in the front section of the crystal. The medal bears
the inscriptions "Malcolm Baldrige National Quality
Award" and "The Quest for Excellence" on one side and
the Presidential Seal on the other.
The President of the United States traditionally presents
the Awards at a special ceremony in Washington, DC.
Crystal by Steuben
The Malcolm Baldrige National Quality Award logo and the phrases "Quest for Excellence"
and "Performance Excellence" are trademarks and service marks of the
National Institute of Standards and Technology.
-------
CONTENTS
1 2001 Criteria: Core Values, Concepts, and Framework
6 Key Characteristics of the Criteria
7 Changes from the 2000 Criteria
9 2001 Criteria for Performance Excellence—Item Listing
10 2001 Criteria for Performance Excellence
10 Preface: Organizational Profile
12 1 Leadership
14 2 Strategic Planning
16 3 Customer and Market Focus
18 4 Information and Analysis
20 5 Human Resource Focus
23 6 Process Management
26 7 Business Results
29 Glossary of Key Terms
32 2001 Criteria: Category and Item Descriptions
45 Scoring System
46 Scoring Guidelines
47 2001 Criteria Response Guidelines
51 Applying for the Malcolm Baldrige National Quality Award
52 Summary of Business Eligibility Categories and Restrictions
53 How to Order Copies of Baldrige Program Materials
54 Fees for the 2001 Award Cycle
Education and health care organizations should use the appropriate Criteria
booklets for their respective sectors. See page 53 for ordering information.
If you plan to apply for the Award in 2001, you also will need the booklet entitled
Baldrige Award Application Forms.
Ordering instructions are given on page 53.
Eligibility Forms due—April 5,2001 Award Applications due—May 31, 2001
We are easy to reach. Our Web address is http://www.quality.nist.gov.
MI
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2001 CRITERIA: CORE VALUES, CONCEPTS, AND FRAMEWORK
Criteria Purposes
The Criteria are the basis for organizational self-
assessments, for making Awards, and for giving feedback
to applicants. In addition, the Criteria have three impor-
tant roles in strengthening U.S. competitiveness:
• to help improve organizational performance practices,
capabilities, and results
• to facilitate communication and sharing of best prac-
tices information among U.S. organizations of all types
• to serve as a working tool for understanding and
managing performance and for guiding planning and
opportunities for learning
Criteria for Performance Excellence Goals
The Criteria are designed to help organizations use an
aligned approach to organizational performance manage-
ment that results in
• delivery of ever-improving value to customers,
contributing to marketplace success
• improvement of overall organizational effectiveness
and capabilities
• organizational and personal learning
Core Values and Concepts
The Criteria are built upon a set of interrelated Core Values
and Concepts. These values and concepts, given below, are
embedded beliefs and behaviors found in high-performing
organizations. They are the foundation for integrating key
business requirements within a results-oriented framework
that creates a basis for action and feedback.
Visionary Leadership
An organization's senior leaders should set directions and
create a customer focus, clear and visible values, and high
expectations. The directions, values, and expectations
should balance the needs of all your stakeholders. Your
leaders should ensure the creation of strategies, systems, and
methods for achieving excellence, stimulating innovation,
and building knowledge and capabilities. The values and
strategies should help guide all activities and decisions of
your organization. Senior leaders should inspire and moti-
vate your entire workforce and should encourage all em-
ployees to contribute, to develop and learn, to be innova-
tive, and to be creative.
Senior leaders should serve as role models through their
ethical behavior and their personal involvement in planning,
communications, coaching, development of future leaders,
review of organizational performance, and employee rec-
ognition. As role models, they can reinforce values and
expectations while building leadership, commitment, and
initiative throughout your organization.
Customer-Driven Excellence
Quality and performance are judged by an organization's
customers. Thus, your organization must take into account
all product and service features and characteristics and all
modes of customer access that contribute value to your
customers and lead to customer acquisition, satisfaction,
preference, referral, and loyalty and to business expansion.
Customer-driven excellence has both current and future
components: understanding today's customer desires and
anticipating future customer desires and marketplace
offerings.
Value and satisfaction may be influenced by many factors
throughout your customers' overall purchase, ownership,
and service experiences. These factors include your organi-
zation's relationship with customers that helps build trust,
confidence, and loyalty.
Customer-driven excellence means much more than re-
ducing defects and errors, merely meeting specifications, or
reducing complaints. Nevertheless, reducing defects and
errors and eliminating causes of dissatisfaction contribute to
your customers' view of your organization and thus also are
important parts of customer-driven excellence. In addition,
your organization's success in recovering from defects and
mistakes ("making things right for your customer") is
crucial to retaining customers and building customer
relationships.
Customer-driven organizations address not only the pro-
duct and service characteristics that meet basic customer
requirements but also those features and characteristics that
differentiate products and services from competing offer-
ings. Such differentiation may be based upon new or modi-
fied offerings, combinations of product and service offer-
ings, customization of offerings, multiple access mechanisms,
rapid response, or special relationships.
Customer-driven excellence is thus a strategic concept. It is
directed toward customer retention, market share gain, and
growth. It demands constant sensitivity to changing and
emerging customer and market requirements and to the
factors that drive customer satisfaction and retention. It
demands anticipating changes in the marketplace. There-
fore, customer-driven excellence demands awareness of
developments in technology and competitors' offerings, as
well as rapid and flexible response to customer and market
requirements.
Organizational and Personal Learning
Achieving the highest levels of business performance
requires a well-executed approach to organizational and
personal learning. Organizational learning includes both
continuous improvement of existing approaches and
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adaptation to change, leading to new goals and/or ap-
proaches. Learning needs to be embedded in the way your
organization operates. This means that learning (1) is a
regular part of daily work; (2) is practiced at personal, work
unit, and organizational levels; (3) results in solving prob-
lems at their source ("root cause"); (4) is focused on sharing
knowledge throughout your organization; and (5) is driven
by opportunities to effect significant change and to do
better. Sources for learning include employees' ideas,
research and development (R&D), customers' input, best
practice sharing, and benchmarking.
Organizational learning can result in (1) enhancing value to
customers through new and improved products and ser-
vices; (2) developing new business opportunities; (3) reduc-
ing errors, defects, waste, and related costs; (4) improving
responsiveness and cycle time performance; (5) increasing
productivity and effectiveness in the use of all resources
throughout your organization; and (6) enhancing your
organization's performance in fulfilling its public responsi-
bilities and service as a good citizen.
Employees' success depends increasingly on having oppor-
tunities for personal learning and practicing new skills.
Organizations invest in employees' personal learning
through education, training, and other opportunities for
continuing growth. Such opportunities might include job
rotation and increased pay for demonstrated knowledge and
skills. On-the-job training offers a cost-effective way to
train and to better link training to your organizational needs
and priorities. Education and training programs may benefit
from advanced technologies, such as computer- and
Internet-based learning and satellite broadcasts.
Personal learning can result in (1) more satisfied and
versatile employees who stay with the organization, (2)
organizational cross-functional learning, and (3) an
improved environment for innovation.
Thus, learning is directed not only toward better products
and services but also toward being more responsive, adap-
tive, and efficient—giving your organization marketplace
sustainability and performance advantages.
Valuing Employees and Partners
An organization's success depends increasingly on the
knowledge, skills, creativity, and motivation of its employees
and partners.
Valuing employees means committing to their satisfaction,
development, and well-being. Increasingly, this involves
more flexible, high-performance work practices tailored to
employees with diverse workplace and home life needs.
Major challenges in the area of valuing employees include
(1) demonstrating your leaders' commitment to your
employees' success, (2) recognition that goes beyond the
regular compensation system, (3) development and progres-
sion within your organization, (4) sharing your organiza-
tion's knowledge so your employees can better serve your
customers and contribute to achieving your strategic objec-
tives, and (5) creating an environment that encourages risk
taking.
Organizations need to build internal and external partner-
ships to better accomplish overall goals. Internal partner-
ships might include labor-management cooperation, such as
agreements with unions. Partnerships with employees might
entail employee development, cross-training, or new work
organizations, such as high-performance work teams.
Internal partnerships also might involve creating network
relationships among your work units to improve flexibility,
responsiveness, and knowledge sharing.
External partnerships might be with customers, suppliers,
and education organizations. Strategic partnerships or
alliances are increasingly important kinds of external
partnerships. Such partnerships might offer entry into new
markets or a basis for new products or services. Also,
partnerships might permit the blending of your organiza-
tion's core competencies or leadership capabilities with the
complementary strengths and capabilities of partners.
Successful internal and external partnerships develop
longer-term objectives, thereby creating a basis for mutual
investments and respect. Partners should address the key
requirements for success, means for regular communication,
approaches to evaluating progress, and means for adapting
to changing conditions. In some cases, joint education and
training could offer a cost-effective method for employee
development.
Agility
Success in globally competitive markets demands agility—
a capacity for rapid change and flexibility. All aspects of
e-commerce require and enable more rapid, flexible, and
customized responses. Businesses face ever-shorter cycles
for the introduction of new/improved products and services,
as well as for faster and more flexible response to customers.
Major improvements in response time often require simpli-
fication of work units and processes and/or the ability for
rapid changeover from one process to another. Cross-
trained and empowered employees are vital assets in such a
demanding environment.
A major success factor in meeting competitive challenges is
the dcsign-to-introduction (product/sendee initiation) cycle
time. Mb meet the demands of rapidly changing global
markets, organizations need to carry out stage-to-stage
integration (such as concurrent engineering) of activities
from research/concept to commercialization.
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All aspects of time performance now are more critical, and
cycle time has become a key process measure. Other
important benefits can be derived from this focus on time;
time improvements often drive simultaneous improvements
in organization, quality, cost, and productivity.
Focus on the Future
In today's competitive environment, a focus on the future
requires understanding the short- and longer-term factors
that affect your business and marketplace. Pursuit of
sustainable growth and market leadership requires a strong
future orientation and a willingness to make long-term
commitments to key stakeholders—your customers, em-
ployees, suppliers and partners, stockholders, the public,
and your community. Your organization's planning should
anticipate many factors, such as customers' expectations,
new business and partnering opportunities, the increasingly
global marketplace, technological developments, the
evolving e-commerce environment, new customer and
market segments, evolving regulatory requirements, com-
munity/societal expectations, and strategic moves by
competitors. Strategic objectives and resource allocations
need to accommodate these influences. A focus on the
future includes developing employees and suppliers, creat-
ing opportunities for innovation, and anticipating public
responsibilities.
Managing for Innovation
Innovation means making meaningful change to improve an
organization's products, services, and processes and to
create new value for die organization's stakeholders. Inno-
vation should lead your organization to new dimensions of
performance. Innovation is no longer strictly the purview of
research and development departments; innovation is im-
portant for all aspects of your business and all processes.
Organizations should be led and managed so that innova-
tion becomes part of the culture and is integrated into daily
work.
Management by Fact
Organizations depend on the measurement and analysis of
performance. Such measurements should derive from busi-
ness needs and strategy, and they should provide critical
data and information about key processes, outputs, and
results. Many types of data and information are needed for
performance management. Performance measurement
should include customer, product, and service performance;
comparisons of operational, market, and competitive per-
formance; and supplier, employee, and cost and financial
performance.
Analysis refers to extracting larger meaning from data and
information to support evaluation, decision making, and
operational improvement. Analysis entails using data to
determine trends, projections, and cause and effect that
might not otherwise be evident. Analysis supports a variety
of purposes, such as planning, reviewing your overall
performance, improving operations, change management,
and comparing your performance with competitors' or with
"best practices" benchmarks.
A major consideration in performance improvement and
change management involves the selection and use of
performance measures or indicators. The measures or
indicators you select should best represent the factors that lead to
improved customer, operational, and financial performance. A
comprehensive set of measures or indicators tied to customer
and/or organizational performance requirements represents a
clear basis for aligning all activities with your organization's
goals. Through the analysis of data from your tracking
processes, your measures or indicators themselves may be
evaluated and changed to better support your goals.
Public Responsibility and Citizenship
An organization's leaders should stress its responsibilities to
the public and the need to practice good citizenship. These
responsibilities refer to basic expectations of your organiza-
tion related to business ethics and protection of public
health, safety, and the environment. Protection of health,
safety, and the environment includes your organization's
operations, as well as the life cycles of your products and
services. Also, organizations should emphasize resource
conservation and waste reduction at the source. Planning
should anticipate adverse impacts from production, distribu-
tion, transportation, use, and disposal of your products.
Effective planning should prevent problems, provide for a
forthright response if problems occur, and make available
information and support needed to maintain public aware-
ness, safety, and confidence.
For many organizations, die product design stage is critical
from the point of view of public responsibility. Design
decisions impact your production processes and often the
content of municipal and industrial wastes. Effective design
strategies should anticipate growing environmental con-
cerns and responsibilities.
Organizations should not only meet all local, state, and
federal laws and regulatory requirements, but they should
treat these and related requirements as opportunities for
improvement "beyond mere compliance." This requires
the use of appropriate measures in managing public
responsibility.
Practicing good citizenship refers to leadership and
support—within the limits of an organization's resources—
of publicly important purposes. Such purposes might
include improving education and health care in your
community, environmental excellence, resource conserva-
tion, community service, improving industry and business
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practices, and sharing nonproprietary information. Leader-
ship as a corporate citizen also entails influencing other
organizations, private and public, to partner for these
purposes. For example, your organization might lead or
participate in efforts to help define the obligations of your
industry to its communities.
Focus on Results and Creating Value
An organization's performance measurements need to focus
on key results. Results should be used to create and balance
value for your key stakeholders—customers, employees,
stockholders, suppliers and partners, the public, and the
community. By creating value for your key stakeholders,
your organization builds loyalty and contributes to growing
the economy. To meet the sometimes conflicting and
changing aims that balancing value implies, organizational
strategy should explicitly include key stakeholder require-
ments. This will help ensure that actions and plans meet
differing stakeholder needs and avoid adverse impacts on
any stakeholders. The use of a balanced composite of
leading and lagging performance measures offers an effec-
tive means to communicate short- and longer-term priori-
ties, monitor actual performance, and provide a clear basis
for improving results.
Systems Perspective
The Baldrige Criteria provide a systems perspective for
managing your organization to achieve performance excel-
lence. The Core Values and the seven Baldrige Categories
form the building blocks and the integrating mechanism for
the system. However, successful management of overall per-
formance requires organization-specific synthesis and align-
ment. Synthesis means looking at your organization as a
whole and builds upon key business requirements, including
your strategic objectives and action plans. Alignment means
using the key linkages among
requirements given in the
Baldrige Categories, including
the key measures/indicators.
Alignment is depicted in the
Baldrige framework on page
5. Alignment includes your
senior leaders' focus on
strategic directions and on
your customers. It means that
your senior leaders monitor,
respond to, and manage
performance based on your
business results. Alignment
includes using your mea-
sures/indicators to link your
key strategies with your key
processes and align your
resources to improve overall
performance and satisfy
customers.
Thus, a systems perspective means managing your whole
organization, as well as its components, to achieve success.
Criteria for Performance Excellence
Framework
The Core Values and Concepts are embodied in seven
Categories, as follows:
1 Leadership
2 Strategic Planning
3 Customer and Market Focus
4 Information and Analysis
5 Human Resource Focus
6 Process Management
7 Business Results
The figure on page 5 provides the framework connecting
and integrating the Categories.
From top to bottom, the framework has the following basic
elements.
Organizational Profile
Your Organizational Profile (top of figure) sets the context
for the way your organization operates. Your environment,
key working relationships, and strategic challenges serve as
an overarching guide for your organizational performance
management system.
System
The system is composed of the six Baldrige Categories in
the center of the figure that define the organization, its
operations, and its results.
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Leadership (Category 1), Strategic Planning (Category 2),
and Customer and Market Focus (Category 3) represent the
leadership triad. These Categories are placed together to
emphasize the importance of a leadership focus on strategy
and customers. Senior leaders set your organizational direc-
tion and seek future opportunities for your organization.
Human Resource Focus (Category 5), Process Management
(Category 6), and Business Results (Category 7) represent
the results triad. Your organization's employees and its key
processes accomplish the work of the organization that
yields your business results.
All actions point toward Business Results—a composite of
customer, financial, and operational performance results,
including human resource results and public responsibility.
The horizontal arrow in the center of the framework links
the leadership triad to the results triad, a linkage critical to
organizational success. Furthermore, the arrow indicates the
central relationship between Leadership (Category 1) and
Business Results (Category 7). The two-headed arrow
indicates the importance of feedback in an effective perfor-
mance management system.
Information and Analysis
Information and Analysis (Category 4) are critical to the
effective management of your organization and to a fact-
based system for improving performance and competitive-
ness. Information and analysis serve as a foundation for the
performance management system.
Criteria Structure
The seven Criteria Categories shown in the figure are
subdivided into Items and Areas to Address.
Items
There are 18 Items, each focusing on a major requirement.
Item titles and point values are given on page 9. The Item
format is shown on page 47.
Areas to Address
Items consist of one or more Areas to Address (Areas).
Organizations should address their responses to the specific
requirements of these Areas.
Baldriqe Criteria for Performance Excellence Framework: A Systems Perspective
Organizational Profile:
Environment, Relationships, and Challenges
1
Leadership
2
Strategic
Planning
Human Resource
Focus
Customer and
Market Focus
6
Process
Management
7
Business
Results
Information and Analysis
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KEY CHARACTERISTICS OF THE CRITERIA
1. The Criteria focus on business results.
The Criteria focus on the key areas of business perfor-
mance, given below.
Business performance areas:
(1) customer-focused results
(2) financial and market results
(3) human resource results
(4) organizational effectiveness results, including
operational and supplier performance
The use of this composite of indicators is intended to
ensure that strategies are balanced—that they do not
inappropriately trade off among important stakeholders,
objectives, or short- and longer-term goals.
2. The Criteria are nonprescriptive and adaptable.
The Criteria are made up of results-oriented require-
ments. However, the Criteria do not prescribe
• that your organization should or should not have
departments for quality, planning, or other func-
tions;
• how your organization should be structured; or
• that different units in your organization should be
managed in the same way.
These factors differ among organizations, and they are
likely to change as needs and strategies evolve.
The Criteria are nonprescriptive for the following
reasons:
(1) The focus is on results, not on procedures, tools, or
organizational structure. Organizations are encour-
aged to develop and demonstrate creative, adaptive,
and flexible approaches for meeting basic require-
ments. Nonprescriptive requirements are intended
to foster incremental and major ("breakthrough")
improvements, as well as basic change.
(2) Selection of tools, techniques, systems, and organ-
izational structure usually depends on factors such
as business type and size, your organization's stage
of development, and employee capabilities and
responsibilities.
(3) Focus on common requirements, rather than on
common procedures, fosters better understanding,
communication, sharing, and alignment, while
supporting innovation and diversity in approaches.
3. The Criteria support a systems perspective to
maintaining organization-wide goal alignment.
The systems perspective to goal alignment is embedded
in the integrated structure of the Core Values and Con-
cepts, the Organizational Profile, the Criteria, and the
results-oriented, cause-effect linkages among the Criteria
Items.
Alignment in the Criteria is built around connecting and
reinforcing measures derived from your organization's
processes and strategy. These measures tie directly to
customer value and to overall performance. The use of
measures thus channels different activities in consistent
directions with less need for detailed procedures, central-
ized decision making, or process management. Measures
thereby serve both as a communications tool and a basis
for deploying consistent overall performance require-
ments. Such alignment ensures consistency of purpose
while also supporting agility, innovation, and decentral-
ized decision making.
A systems perspective to goal alignment, particularly
when strategy and goals change over time, requires
dynamic linkages among Criteria Items. In the Criteria,
action-oriented cycles of learning take place via feedback
between processes and results.
The learning cycles have four, clearly defined stages:
(1) planning, including design of processes, selection
of measures, and deployment of requirements
(2) execution of plans
(3) assessment of progress, taking into account internal
and external results
(4) revision of plans based upon assessment findings,
learning, new inputs, and new requirements
4. The Criteria support goal-based diagnosis.
The Criteria and the Scoring Guidelines make up a two-
part diagnostic (assessment) system. The Criteria are a set
of 18 performance-oriented requirements. The Scoring
Guidelines spell out the assessment dimensions—
Approach, Deployment, and Results—and the key factors
used to assess each dimension. An assessment thus pro-
vides a profile of strengths and opportunities for im-
provement relative to the 18 basic requirements. In this
way, assessment leads to actions that contribute to per-
formance improvement in all areas, as described in the
shaded box above. This diagnostic assessment is a useful
management tool that goes beyond most performance
reviews and is applicable to a wide range of strategies and
management systems.
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CHANGES FROM THE 2000 CRITERIA
The Criteria continue to evolve, seeking to enhance cov-
erage of strategy-driven performance, address the needs of
all stakeholders, and accommodate important changes in
business needs and practices. The increasing importance of
e-commerce, the use of Internet-based interactions, and the
alignment of all aspects of your performance management
system receive greater attention in the 2001 Criteria. In
addition, the Criteria emphasize the roles of data, informa-
tion, and information and knowledge management and their
use in business.
Criteria questions have been better aligned throughout the
seven Categories and in the new Organizational Profile to
accomplish the purpose of Baldrigc self-assessment and
external assessment: to determine organizational gaps and
alignment in approach and deployment (Categories 1-6)
and to determine organizational gaps and strength of per-
formance in results areas (Category 7).
The Organizational Profile, the Criteria Items, and the
Scoring Guidelines have been aligned so that the assessment
addresses both changing business needs/directions and
ongoing evaluation/improvement of key processes. Both are
important because prioritized process improvement ("doing
things better") and addressing changing needs ("doing the
right business things") are critical to success in an increas-
ingly competitive environment, and they frequently com-
pete for the same resources.
The most significant changes in the Criteria and die
Criteria booklet are summarized as follows:
» The number of Items has been reduced from 19 to 18.
• The number of Areas to Address has been increased
from 27 to 29.
» A new Preface entitled Organizational Profile replaces
the Business Overview from the 2000 Criteria. Its
placement at the front of the Criteria sets your organi-
zational context for responding to the Criteria Items.
• The Glossary of Key Terms continues to be revised
and expanded.
" Category 4, Information and Analysis, now includes an
Item on information management. The Category has
been rewritten to recognize the growing importance of
the Internet and e-commerce and your dependence on
reliable information from these communication vehicles.
• Category 6, Process Management, now specifically
addresses all key product, service, and other business
processes.
There have been some changes in all Criteria Items; the
most significant changes are highlighted and discussed
below.
Preface: Organizational Profile
• This new section, to be completed before addressing the
Criteria Items, sets a basis for your Baldrige assessment. It
is written in the same question format as die Criteria
Items.
» The Organizational Profile is the starting point for self-
assessment and for writing an application. It also may be
used by itself for an initial self-assessment; if you identify
topics for which conflicting, little, or no information is
available, it is possible that your assessment need go no
further and you can use these topics for action planning.
Category 1: Leadership
» Item 1.1, Organizational Leadership, has been modified
to better emphasize the senior leaders' role in creating
and setting the current and future environment and in
reviewing organizational performance.
Category 2: Strategic Planning
" You now are asked to respond in terms of your short- and
longer-term planning time horizons, recognizing that
these horizons are quite different among organizations
and industries.
• In Item 2.1, Strategy Development, you now are asked
how your strategic objectives align with challenges iden-
tified in your Organizational Profile.
Category 3: Customer and Market Focus
• Item 3.2, now Customer Relationships and Satisfaction,
places greater emphasis on the key aspects of relationship
building: customer acquisition, satisfaction, and retention
and business expansion.
Category 4: Information and Analysis
• Item 4.1, now Measurement and Analysis of Organi-
zational Performance, combines Items 4.1 and 4.2 from
the 2000 Criteria. This Item continues to stress measur-
ing, analyzing, aligning, and improving performance
throughout the organization.
» Item 4.2, Information Management, is a new Item address-
ing the availability, quality, and accessibility of data and
the quality of software and hardware.
Category 5: Human Resource Focus
» Item 5.1, Work Systems, now includes succession plan-
ning and a stronger focus on organizing and managing for
improved cooperation, communication, and knowledge
sharing.
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Category 6: Process Management
• Item 6.2, Business Processes, is a new Item that asks you
to identify and describe your key nonproduct/nonservicc
processes that lead to business growth and success. This
Item has been added in recognition of the growing
importance of processes such as supply chain manage-
ment, technology acquisition, mergers and acquisitions,
research and development, and knowledge management,
» Item 6.3, now Support Processes, was Item 6.2 in 2000. Tt
asks you to identify and describe your key processes that
support your daily operations and your employees in
delivering products and services.
• Item 6.3 from the 2000 Criteria, Supplier and Partnering
Processes, has been discontinued, allowing each organiza-
tion to address suppliers and partners as appropriate to its
business. For many organizations, supply chain manage-
ment is critical and therefore needs to be addressed as a
key business process (Item 6.2).
Category 7: Business Results
• Item 7.1, Customer-Focused Results, now has two Areas
to Address, in recognition of the importance of both
customer measures and product/service measures to
determining customer satisfaction and loyalty.
" Item 7.4, Organizational Effectiveness Results, was Item
7.5 in 2000. This Item now covers a wider range of
performance, including Supplier and Partner Results,
which was a separate Item (7.4) in 2000. Public Respon-
sibility and Citizenship Results have been made a separate
Area to Address in recognition of the importance of these
results to the communities served by your organization.
Scoring Guidelines
» Descriptors for the Approach-Deployment scoring ranges
have been modified to highlight the importance of ad-
dressing evaluation and improvement, as well as changing
business needs.
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2001 CRITERIA FOR PERFORMANCE EXCELLENCE—ITEM LISTING
Preface: Organizational Pro
P.I Organizational Description
P.2 Organizational Challenges
2001 Categories/Items
Leadership
1.1 Organizational Leadership
1.2 Public Responsibility and Citizenship
Strategic Plannin
Point Values
120
80
40
2.1 Strategy Development
2.2 Strategy Deployment
Customer and Market Focus
40
45
4.1 Measurement and Analysis of Organizational Performance 50
4.2 Information Management 40
Human Resource Fo
5.1 Work Systems
5.2 Employee Education, Training, and Development
5.3 Employee Well-Being and Satisfaction
Process Management
35
25
25
6.1 Product and Service Processes
6.2 Business Processes
6.3 Support Processes
45
25
15
Business Results
7.1 Customer-Focused Results
7.2 Financial and Market Results
7.3 Human Resource Results
7.4 Organizational Effectiveness Results
TOTAL POINTS
125
125
80
120
85
85
3.1 Customer and Market Knowledge 40
3.2 Customer Relationships and Satisfaction 45
Information and Analysi
85
85
450
1000
Note: The Scoring System used with the Criteria Items
in a Baldrige assessment can be found on pages 45-46.
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2001 CRITERIA FOR PERFORMANCE EXCELLENCE
P Preface: Organizational Profile
The Organizational Profile is a snapshot of your organization, the key influences on how you operate, and the key
challenges you face.
P.1 Organizational Description
Describe your organization's business environment and your key relationships with customers, suppliers,
and other partners.
Within your response, include answers to the following questions:
a. Organizational Environment
(1) What are your organization's main products and/or services? Include a description of how they are
delivered to customers.
(2) What is your organizational context/culture? Include your purpose, vision, mission, and values, as
appropriate.
(3) What is your employee profile? Include educational levels, workforce and job diversity, bargaining units,
use of contract employees, and special safety requirements, as appropriate.
(4) What are your major technologies, equipment, and facilities?
(5) What is the regulatory environment under which your organization operates? Include occupational
health and safety regulations; accreditation requirements; and environmental, financial, and product
regulations.
b. Organizational Relationships
(1) What are your key customer groups and/or market segments? What are their key requirements for your
products and services? Include how these requirements differ among customer groups and/or market
segments, as appropriate.
(2) What are your most important types of suppliers and dealers and your most important supply chain
requirements? What are your key supplier and customer partnering relationships and communication
mechanisms?
Notes:
Nl. Customer group and market segment require-
ments (P.lb[l]) might include on-time delivery, low
defect levels, price reductions, electronic communica-
tion, and after-sales service.
N2. Communication mechanisms (P.lb[2]) should be
two-way and might be in person, electronic, by tele-
phone, and/or written. For many organizations, these
mechanisms might be changing.
Item notes serve three purposes: (1) to clarify terms or requirements presented in Items, (2) to give instructions on
responding to the Criteria Item requirements, and (3) to indicate key linkages to other Items. In all cases, the intent
is to help you respond to the Item requirements.
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P.2 Organizational Challenges
Describe your organization's competitive environment, your key strategic challenges, and your system for
performance improvement.
Within your response, include answers to the following questions:
a. Competitive Environment
(1) What is your competitive position? Include your relative size and growth in your industry and the
numbers and types of your competitors.
(2) What are the principal factors that determine your success relative to your competitors? Include any
changes taking place that affect your competitive situation.
b. Strategic Challenges
What are your key strategic challenges? Include operational, human resource, business, and global chal-
lenges, as appropriate.
c. Performance Improvement System
How do you maintain an organizational focus on performance improvement? Include your approach to
systematic evaluation and improvement of key processes and to fostering organizational learning and
knowledge sharing.
Notes:
Nl. Factors (P.2a[2]) might include differentiators
such as price leadership, design services, e-services,
geographic proximity, and warranty and product
options.
N2. Challenges (P.2b) might include electronic
communication with businesses and end-use con-
sumers, reduced product introduction cycle times,
mergers and acquisitions, global marketing and
competition, customer retention, staff retention, and
value chain integration.
N3. Performance improvement (P2c) is an assessment
dimension used in the Scoring System to evaluate the
maturity of organizational approaches and deploy-
ment (see pages 45-46). This question is intended to
help you and the Baldrige Examiners set a context for
your approach to performance improvement.
Importance of Your Organizational Profile
Your Organizational Profile is critically important because
• it is the most appropriate starting point for self-assessment and for writing an application;
• it helps you identify potential gaps in key information and focus on key performance requirements and business
results;
• it is used by the Examiners and Judges in all stages of application review, including the site visit, to understand
your organization and what you consider important; and
• it also may be used by itself for an initial self-assessment. If you identify topics for which conflicting, little, or no
information is available, it is possible that your assessment need go no further and you can use these topics for
action planning.
Page Limit
For Baldrige Award applicants, the Organizational Profile is limited to five pages. These are not counted in the
overall application page limit. Typing and format instructions for the Organizational Profile are the same as for the
application. These instructions are given in the Baldrige Award Application Forms booklet. Ordering information is
given on page 53.
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1 Leadership (120 pts
The Leadership Category examines how your organization's senior leaders address values, directions, and performance
expectations, as well as a focus on customers and other stakeholders, empowerment, innovation, and learning. Also
examined is how your organization addresses its responsibilities to the public and supports its key communities.
1.1 Organizational Leadership (80 pts.)
Approach-Deployment
Describe how senior leaders guide your organization, including how they review organizational
performance.
Within your response, include answers to the following questions:
a. Senior Leadership Direction
(1) How do senior leaders set and deploy organizational values, short- and longer-term directions, and
performance expectations, including a focus on creating and balancing value for customers and other
stakeholders? Include how senior leaders communicate values, directions, and expectations through your
leadership system and to all employees.
(2) How do senior leaders create an environment for empowerment, innovation, organizational agility, and
organizational and employee learning?
b. Organizational Performance Review
(1) How do senior leaders review organizational performance and capabilities to assess organizational
success, competitive performance, progress relative to short- and longer-term goals, and the ability to
address changing organizational needs? Include the key performance measures regularly reviewed by
your senior leaders. Also, include your key recent performance review findings.
(2) How are organizational performance review findings translated into priorities for improvement and
opportunities for innovation? How are they deployed throughout your organization and, as appropriate,
to your suppliers/partners to ensure organizational alignment?
(3) How do senior leaders use organizational performance review findings to improve both their own
leadership effectiveness and your leadership system?
Notes:
Nl. Organizational directions (l.la[l]) relate to
strategic objectives and action plans described in
Items 2.1 and 2.2.
N2. Senior leaders' organizational performance
reviews (Lib) should be informed by organizational
performance analyses described in 4.1b and strategic
objectives and action plans described in Items 2.1
and 2.2.
N3. Leadership effectiveness improvement (l.lb[3])
should be supported by formal and/or informal
employee feedback/surveys.
N4. Your organizational performance results should
be reported in Items 7.1, 7.2, 7.3, and 7.4.
Item responses are assessed by considering the Criteria Item requirements and the maturity of your approaches,
breadth of deployment, and strength of your improvement process and results relative to the Scoring System.
Refer to the Scoring System information on pages 45-46.
For definitions of the following key terms, see pages 29-31: alignment, approach, deployment, empowerment,
innovation, measures, performance, senior leaders, stakeholders, and value.
For additional description of this Item, see page 32.
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1.2 Public Responsibility and Citizenship (40 pts.)
Approach-Deployment
Describe how your organization addresses its responsibilities to the public and practices good citizenship.
Within your response, include answers to the following questions:
a. Responsibilities to the Public
(1) How do you address the impacts on society of your products, services, and operations? Include your key
processes, measures, and targets for regulatory and legal requirements and for addressing risks associat-
ed with your products, services, and operations.
(2) How do you anticipate public concerns with current and future products, services, and operations? How
do you prepare for these concerns in a proactive manner?
(3) How do you accomplish ethical business practices in all stakeholder transactions and interactions?
b. Support of Key Communities
How do your organization, your senior leaders, and your employees actively support and strengthen your
key communities? Include how you identify key communities and determine areas of emphasis for organiza-
tional involvement and support.
Notes:
Nl. Public responsibilities in areas critical to your
business also should be addressed in Strategy De-
velopment (Item 2.1) and/or in Process Management
(Category 6). Key results, such as results of regula-
tory/legal compliance or environmental improvements
through use of "green" technology or other means,
should be reported as Organizational Effectiveness
Results (Item 7.4).
N2. Areas of community support appropriate for
inclusion in 1.2b might include your efforts to
strengthen local community services, education, and
health; the environment; and practices of trade,
business, or professional associations.
N3. The health and safety of employees are not
addressed in Item 1.2; you should address these
employee factors in Item 5.3.
For a definition of the following key term, see pages 30-31: process.
For additional description of this Item, see page 32.
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2 Strategic Planning (85 Pts
The Strategic Planning Category examines how your organization develops strategic objectives and action plans. Also
examined are how your chosen strategic objectives and action plans are deployed and how progress is measured.
2.1 Strategy Development (40 pts.)
Approach-Deployment
Describe how your organization establishes its strategic objectives, including enhancing its competitive
position and overall performance.
Within your response, include answers to the following questions:
a. Strategy Development Process
(1) What is your overall strategic planning process? Include key steps, key participants, and your short- and
longer-term planning time horizons.
(2) How do you ensure that planning addresses the following key factors? Briefly outline how relevant data
and information are gathered and analyzed to address these factors:
• customer and market needs/expectations/opportunities
• your competitive environment and your capabilities relative to competitors
• technological and other key changes that might affect your products/services and/or how you operate
• your strengths and weaknesses, including human and other resources
• your supplier/partner strengths and weaknesses
• financial, societal, and other potential risks
b. Strategic Objectives
(1) What are your key strategic objectives and your timetable for accomplishing them? Include key
goals/targets, as appropriate.
(2) How do your strategic objectives address the challenges identified in response to P.2 in your
Organizational Profile? How do you ensure that your strategic objectives balance the needs of all key
stakeholders?
Notes:
Nl. "Strategy development" refers to your organiza-
tion's approach (formal or informal) to preparing for
the future. Strategy development might utilize various
types of forecasts, projections, options, scenarios,
and/or other approaches to envisioning the future for
purposes of decision making and resource allocation.
N2. "Strategy" should be interpreted broadly. Strat-
egy might be built around or lead to any or all of the
following: new products, services, and markets;
revenue growth via various approaches, including
acquisitions; and new partnerships and alliances.
Strategy might be directed toward becoming a
preferred supplier, a local supplier in each of your
major customers' markets, a low-cost producer, a
market innovator, and/or a high-end or customized
product/service provider.
N3. Challenges (2.1b[2]) addressed in your strategy
might include rapid response, customization, lean or
virtual manufacturing, rapid innovation, Web-based
supplier/customer relationship management, and
product/service quality. Responses to Item 2.1 should
focus on your specific challenges—those most impor-
tant to your business success and to strengthening
your organization's overall performance.
N4. Item 2.1 addresses your overall organizational
strategy, which might include changes in services,
products, and product lines. However, the Item does
not address product and service design; you should
address these factors in Item 6.1.
For a definition of the following key term, see page 31: strategic objectives.
For additional description of this Item, see pages 33-34.
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2.2 Strategy Deployment (45 pts.)
Approach-Deployment
Describe how your organization converts its strategic objectives into action plans. Summarize your organi-
zation's action plans and related key performance measures/indicators. Project your organization's future
performance on these key performance measures/indicators.
Within your response, include answers to the following questions:
a. Action Plan Development and Deployment
(1) How do you develop and deploy action plans to achieve your key strategic objectives? Include how you
allocate resources to ensure accomplishment of your action plans.
(2) What are your key short- and longer-term action plans? Include key changes, if any, in your
products/services, your customers/markets, and how you operate.
(3) What are your key human resource plans that derive from your short- and longer-term strategic
objectives and action plans?
(4) What are your key performance measures/indicators for tracking progress relative to your action plans?
How do you ensure that your overall action plan measurement system achieves organizational alignment
and covers all key deployment areas and stakeholders?
b. Performance Projection
What are your performance projections for your key measures/indicators for both your short- and longer-
term planning time horizons? How does your projected performance compare with competitors' perfor-
mance, key benchmarks, goals, and past performance, as appropriate?
Notes:
Nl. Action plan development and deployment are
closely linked to other Items in the Criteria. Examples
of key linkages are
• Item 1.1 for how your senior leaders set and
communicate directions;
• Category 3 for gathering customer and market
knowledge as input to your strategy and action
plans and for deploying action plans;
• Category 4 for information and analysis to support
your key information needs, to support your
development of strategy, to provide an effective
basis for your performance measurements, and to
track progress relative to your strategic objectives
and action plans;
• Category 5 for your work system needs; employee
education, training, and development needs; and
related human resource factors resulting from
action plans;
• Category 6 for process requirements resulting
from your action plans; and
• Item 7.4 for specific accomplishments relative to
your organizational strategy.
N2. Measures/indicators of projected performance
(2.2b) might include changes resulting from new
business ventures; business acquisitions; new value
creation; market entry and shifts; and significant
anticipated innovations in products, services, and
technology.
For definitions of the following key terms, see pages 29-30: action plans, benchmarks, measures and indicators.
For additional description of this Item, see page 34.
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3 Customer and Market Focus (85 Pts.
The Customer and Market Focus Category examines how your organization determines requirements, expectations,
and preferences of customers and markets. Also examined is how your organization builds relationships with customers
and determines the key factors that lead to customer acquisition, satisfaction, and retention and to business expansion.
3.1 Customer and Market Knowledge (40 pts.)
Approach-Deployment
Describe how your organization determines requirements, expectations, and preferences of customers and
markets to ensure the continuing relevance of your products/services and to develop new opportunities.
Within your response, include answers to the following questions:
a. Customer and Market Knowledge
(1) How do you determine or target customers, customer groups, and/or market segments? How do you
include customers of competitors and other potential customers and/or markets in this determination?
(2) How do you listen and learn to determine key customer requirements (including product/service
features) and their relative importance/value to customers' purchasing decisions for purposes of prod-
uct/service planning, marketing, improvements, and other business development? In this determination,
how do you use relevant information from current and former customers, including marketing/sales
information, customer retention data, won/lost analysis, and complaints? If determination methods vary
for different customers and/or customer groups, describe the key differences in your determination
methods.
(3) How do you keep your listening and learning methods current with business needs and directions?
Notes:
Nl. Customer groups (3.1a[l]) might include Web-
based customers and/or customers with whom you
have direct contact. Key product/service features and
purchasing decisions might take into account transac-
tional modes and factors such as confidentiality and
security.
N2. If your products/services are sold to or delivered
to end-use customers via other businesses such as
retail stores or dealers, customer groups (3.1a[l])
should include both the end users and these interme-
diate businesses.
N3. "Product/service features" (3.1a[2]) refers to all
the important characteristics of products/services and
to their performance throughout their full life cycle
and the full "consumption chain." This includes all
For additional description of this Item, see page 35.
customers' purchase experiences and other interac-
tions with your organization. The focus should be on
features that affect customer preference and repeat
business—for example, those features that differenti-
ate your products and services from competing offer-
ings. Those features might include price, reliability,
value, delivery, customer or technical support, and the
sales relationship.
N4. Listening/learning (3.1a[2]) might include
gathering and integrating Web-based data and
information that bear upon customers' purchasing
decisions. Keeping your listening and learning
methods current with business needs and directions
(3.1a[3]) also might include use of current and new
technology, such as Web-based data gathering.
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3.2 Customer Relationships and Satisfaction (45 pts.)
Approach-Deployment
Describe how your organization builds relationships to acquire, satisfy, and retain customers and to
develop new opportunities. Describe also how your organization determines customer satisfaction.
Within your response, include answers to the following questions:
a. Customer Relationships
(1) How do you build relationships to acquire and satisfy customers and to increase repeat business and
positive referrals?
(2) How do you determine key customer contact requirements and how they vary for differing modes of
access? How do you ensure that these contact requirements are deployed to all people involved in the
response chain? Include a summary of your key access mechanisms for customers to seek information,
conduct business, and make complaints.
(3) What is your complaint management process? Include how you ensure that complaints are resolved
effectively and promptly and that all complaints are aggregated and analyzed for use in improvement
throughout your organization and by your partners, as appropriate.
(4) How do you keep your approaches to building relationships and providing customer access current with
business needs and directions?
b. Customer Satisfaction Determination
(1) How do you determine customer satisfaction and dissatisfaction and use this information for improve-
ment? Include how you ensure that your measurements capture actionable information that predicts
customers' future business with you and/or potential for positive referral. Describe significant differ-
ences in determination methods for different customer groups.
(2) How do you follow up with customers on products/services and transactions to receive prompt and
actionable feedback?
(3) How do you obtain and use information on your customers' satisfaction relative to customers' satisfac-
tion with competitors and/or benchmarks, as appropriate?
(4) How do you keep your approaches to determining satisfaction current with business needs and direc-
tions?
Notes:
Nl. Customer relationships (3.2a) might include the
development of partnerships or alliances with cus-
tomers.
N2. Determining customer satisfaction and dissatis-
faction (3.2b) might include use of any or all of the
following: surveys, formal and informal feedback, use
of customer account histories, complaints, and trans-
action completion rates. Information might be gath-
ered on the Internet, through personal contact or a
third party, or by mail.
For additional description of this Item, see pages 35-36.
N3. Customer satisfaction measurements might
include both a numerical rating scale and descriptors
for each unit in the scale. Actionable customer satis-
faction measurements provide useful information
about specific product/service features, delivery,
relationships, and transactions that bear upon the
customers' future actions—repeat business and/or
positive referral.
N4. Your customer satisfaction and dissatisfaction
results should be reported in Item 7.1.
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4 Information and Analysis (90 pts.
The Information and Analysis Category examines your organization's information management and performance
measurement systems and how your organization analyzes performance data and information.
4.1 Measurement and Analysis of
Organizational Performance (50 pts.)
Approach-Deployment
Describe how your organization provides effective performance management systems for measuring,
analyzing, aligning, and improving performance at all levels and in all parts of your organization.
Within your response, include answers to the following questions:
a. Performance Measurement
(1) How do you gather and integrate data and information from all sources to support daily operations and
organizational decision making?
(2) How do you select and align measures/indicators for tracking daily operations and overall organizational
performance?
(3) How do you select and ensure the effective use of key comparative data and information?
(4) How do you keep your performance measurement system current with business needs and directions?
b. Performance Analysis
(1) What analyses do you perform to support your senior leaders' organizational performance review and
your organization's strategic planning?
(2) How do you communicate the results of organizational-level analysis to work group and/or functional-
level operations to enable effective support for decision making?
(3) How do you align the results of organizational-level analysis with your key business results, strategic
objectives, and action plans? How do these results provide the basis for projections of continuous and
breakthrough improvements in performance?
Notes:
Nl. Performance measurement is used in fact-based
decision making for setting and aligning organization-
al directions and resource use at the work unit, key
process, departmental, and whole organization levels.
N2. Comparative data and information sources
(4.1a[3]) include benchmarking and competitive
comparisons. "Benchmarking" refers to identifying
processes and results that represent best practices and
performance for similar activities, inside or outside
your organization's industry. Competitive comparisons
relate your organization's performance to that of
competitors in your markets.
N3. Analysis includes examining trends; organizational,
industry, and technology projections; and comparisons,
cause-effect relationships, and correlations intended
to support your performance reviews, help determine
root causes, and help set priorities for resource use.
Accordingly, analysis draws upon all types of data:
customer-related, financial and market, operational,
and competitive.
N4. The results of organizational performance
analysis should contribute to your senior leaders'
organizational performance review in Lib and
organizational strategic planning in Category 2.
N5. Your organizational performance results should
be reported in Items 7.1, 7.2, 7.3, and 7.4.
For a definition of the following key term, see page 29: analysis.
For additional description of this Item, see pages 36-38.
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4.2 Information Management (40 pts.)
Approach-Deployment
Describe how your organization ensures the quality and availability of needed data and information for
employees, suppliers/partners, and customers.
Within your response, include answers to the following questions:
a. Data Availability
(1) How do you make needed data and information available? How do you make them accessible to
employees, suppliers/partners, and customers, as appropriate?
(2) How do you ensure data and information integrity, reliability, accuracy, timeliness, security, and
confidentiality?
(3) How do you keep your data and information availability mechanisms current with business needs
and directions?
b. Hardware and Software Quality
(1) How do you ensure that hardware and software are reliable and user friendly?
(2) How do you keep your software and hardware systems current with business needs and directions?
Notes:
Nl. Data availability (4.2 a) is of growing importance
as the Internet and e-business/e-commerce are used
increasingly for business-to-business and business-to-
consumer interactions and intranets become more
important as a major source of organization-wide
communications.
For additional description of this Item, see page 38.
N2. Data and information access (4.2a[l]) might be
via electronic and other means.
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5 Human Resource Focus (85pts
The Human Resource Focus Category examines how your organization motivates and enables employees to develop
and utilize their full potential in alignment with your organization's overall objectives and action plans. Also examined
are your organization's efforts to build and maintain a work environment and an employee support climate conducive
to performance excellence and to personal and organizational growth.
5.1 Work Systems (35 pts.)
Approach-Deployment
Describe how your organization's work and jobs, compensation, career progression, and related workforce
practices motivate and enable employees and the organization to achieve high performance.
Within your response, include answers to the following questions:
a. Work Systems
(1) How do you organize and manage work and jobs to promote cooperation, initiative/innovation, your
organizational culture, and the flexibility to keep current with business needs? How do you achieve
effective communication and knowledge/skill sharing across work units, jobs, and locations, as
appropriate?
(2) How do you motivate employees to develop and utilize their full potential? Include formal and/or
informal mechanisms you use to help employees attain job- and career-related development/learning
objectives and the role of managers and supervisors in helping employees attain these objectives.
(3) How does your employee performance management system, including feedback to employees, support
high performance and a customer and business focus? How do your compensation, recognition, and
related reward/incentive practices reinforce these objectives?
(4) How do you accomplish effective succession planning for senior leadership and throughout the
organization?
(5) How do you identify characteristics and skills needed by potential employees? How do you recruit, hire,
and retain new employees? How do your work systems capitalize on the diverse ideas, cultures, and
thinking of the communities with which you interact (your employee hiring and customer communities)?
Notes:
Nl. "Employees" refers to your organization's
permanent, temporary, and part-time personnel, as
well as any contract employees supervised by your
organization. Employees include team leaders,
supervisors, and managers at all levels. Contract
employees supervised by a contractor should be
addressed in business or support processes in
Category 6.
N2 . "Your organization's work" refers to how your
employees are organized and/or organize themselves
in formal and informal, temporary, or longer-term
units. This might include work teams, process teams,
customer action teams, problem-solving teams, cen-
ters of excellence, functional units, cross-functional
For a definition of the following key term, see page 30: high-performance work.
For additional description of this Item, see pages 38-39.
teams, and departments—self-managed or managed
by supervisors.
"Jobs" refers to responsibilities, authorities, and tasks
of individuals. In some work systems, jobs might be
shared by a team.
N3. Compensation and recognition (5.1a[3]) include
promotions and bonuses that might be based upon
performance, skills acquired, and other factors. Rec-
ognition includes monetary and nonmonetary formal
and informal, and individual and group mechanisms.
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5.2 Employee Education,Training, and Development (25 pts.)
Approach-Deployment
Describe how your organization's education and training support the achievement of your overall objec-
tives, including building employee knowledge, skills, and capabilities and contributing to high performance.
Within your response, include answers to the following questions:
a. Employee Education,Training, and Development
(1) How do education and training contribute to the achievement of your action plans? How does your
education and training approach balance short- and longer-term organizational objectives and employee
needs, including development, learning, and career progression?
(2) How do you seek and use input from employees and their supervisors/managers on education and
training needs and delivery options?
(3) How do you address in your employee education, training, and development your key organizational
needs associated with technological change, management/leadership development, new employee
orientation, safety performance measurement/improvement, and diversity?
(4) How do you deliver education and training? Include formal and informal delivery, including mentoring
and other approaches, as appropriate. How do you evaluate the effectiveness of education and training,
taking into account individual and organizational performance?
(5) How do you reinforce the use of knowledge and skills on the job?
Notes:
Nl. Technological change (5.2a[3]) might include
computer and Internet literacy.
N2. Education and training delivery (5.2a[4]) might
occur inside or outside your organization and involve
For additional description of this Item, see pages 39^-0.
on-the-job, classroom, computer-based, distance
learning, and/or other types of delivery (formal or
informal).
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5.3 Employee Weil-Being and Satisfaction (25 pts.)
Approach-Deployment
Describe how your organization maintains a work environment and an employee support climate that
contribute to the well-being, satisfaction, and motivation of all employees.
Within your response, include answers to the following questions:
a. Work Environment
How do you improve workplace health, safety, and ergonomics? How do employees take part in improving
them? Include performance measures and/or targets for each key environmental factor. Also include signifi-
cant differences, if any, based on varying work environments for employee groups and/or work units.
b. Employee Support and Satisfaction
(1) How do you determine the key factors that affect employee well-being, satisfaction, and motivation?
How are these factors segmented for a diverse workforce and for varying categories and types of
employees, as appropriate?
(2) How do you support your employees via services, benefits, and policies? How are these tailored to the
needs of a diverse workforce and different categories and types of employees, as appropriate?
(3) What formal and/or informal assessment methods and measures do you use to determine employee
well-being, satisfaction, and motivation? How do you tailor these methods and measures to a diverse
workforce and to different categories and types of employees, as appropriate? How do you use other
indicators, such as employee retention, absenteeism, grievances, safety and productivity, to assess and
improve employee well-being, satisfaction, and motivation?
(4) How do you relate assessment findings to key business results to identify priorities for improving the
work environment and employee support climate?
Notes:
Nl. Specific factors that might affect your employees'
well-being, satisfaction, and motivation (5.3b[l])
include effective employee problem or grievance
resolution; safety factors; employees' views of man-
agement; employee training, development, and career
opportunities; employee preparation for changes in
technology or the work organization; the work
environment and other work conditions; manage-
ment's empowerment of employees; information
sharing by management; workload; cooperation and
teamwork; recognition; services and benefits; commu-
nications; job security; compensation; and equal
opportunity.
N2. Approaches for employee support (5.3b[2]) might
include providing counseling, career development and
employability services, recreational or cultural activi-
ties, nonwork-related education, day care, job rotation
or sharing, special leave for family responsibilities or
community service, home safety training, flexible
work hours and location, outplacement, and retire-
ment benefits (including extended health care).
For additional description of this Item, see page 40.
N3. Measures/indicators of well-being, satisfaction,
and motivation (5.3b[3]) might include data on safety
and absenteeism, the overall turnover rate, the
turnover rate for customer contact employees,
employees' charitable contributions, grievances,
strikes, other job actions, insurance costs, worker's
compensation claims, and results of surveys. Survey
indicators of satisfaction might include employee
knowledge of job roles, employee knowledge of
organizational direction, and employee perception of
empowerment and information sharing. Your results
relative to such measures/indicators should be report-
ed in Item 7.3.
N4. Setting priorities (5.3b[4]) might draw upon your
human resource results presented in Item 7.3 and
might involve addressing employee problems based on
their impact on your organizational performance.
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6 Process Management (85 Pts.
The Process Management Category examines the key aspects of your organization's process management, including
customer-focused design, product and service delivery, key business, and support processes. This Category encom-
passes all key processes and all work units.
6.1 Product and Service Processes (45 pts.)
Approach-Deployment
Describe how your organization manages key processes for product and service design and delivery.
Within your response, include answers to the following questions:
a. Design Processes
(1) What are your design processes for products/services and their related production/delivery systems and
processes?
(2) How do you incorporate changing customer/market requirements into product/service designs and
production/delivery systems and processes?
(3) How do you incorporate new technology, including e-technology, into products/services and into
production/delivery systems and processes, as appropriate?
(4) How do your design processes address design quality and cycle time, transfer of learning from past
projects and other parts of the organization, cost control, new design technology, productivity, and
other efficiency/effectiveness factors?
(5) How do you design your production/delivery systems and processes to meet all key operational perfor-
mance requirements?
(6) How do you coordinate and test your design and production/delivery systems and processes? Include
how you prevent defects/rework and facilitate trouble-free and timely introduction of products/services.
b. Production/Delivery Processes
(1) What are your key production/delivery processes and their key performance requirements?
(2) How does your day-to-day operation of key production/delivery processes ensure meeting key perfor-
mance requirements?
(3) What are your key performance measures/indicators used for the control and improvement of these
processes? Include how in-process measures and real-time customer and supplier/partner input are used
in managing your product and service processes, as appropriate.
(4) How do you perform inspections, tests, and process/performance audits to minimize warranty and/or
rework costs, as appropriate? Include your prevention-based processes for controlling inspection and
test costs, as appropriate.
(5) How do you improve your production/delivery systems and processes to achieve better process perfor-
mance and improvements to products/services, as appropriate? How are improvements shared with
other organizational units and processes and your suppliers/partners, as appropriate?
Notes:
Nl. Product and service design, production, and
delivery processes differ greatly among organizations,
depending on many factors. These factors include
the nature of your products and services, technology
requirements, issues of modularity and parts
commonality, customer and supplier relationships and
involvement, and product and service customization.
Responses to Item 6.1 should be based upon the most
critical requirements for your business.
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should be reported in Item 7.4. Results of improve-
ments in product and service performance should be
reported in Item 7.1.
N2. Responses to Item 6.1 should include how your
customers and key suppliers and partners are involved
in your design processes, as appropriate.
N3. The results of operational improvements in your
product and service design and delivery processes
For definitions of the following key terms, see pages 29 and 31: cycle time and productivity.
For additional description of this Item, see pages 40-42.
6.2 Business Processes (25 pts.)
Approach-Deployment
Describe how your organization manages its key processes that lead to business growth and success.
Within your response, include answers to the following questions:
a. Business Processes
(1) What are your key business processes for business growth and success?
(2) How do you determine key business process requirements, incorporating input from customers and
suppliers/partners, as appropriate? What are the key requirements for these processes?
(3) How do you design and perform these processes to meet all the key requirements?
(4) What are your key performance measures/indicators used for the control and improvement of these
processes? Include how in-process measures and customer and supplier feedback are used in managing
your business processes, as appropriate.
(5) How do you minimize overall costs associated with inspections, tests, and process/performance audits,
as appropriate?
(6) How do you improve your business processes to achieve better performance and to keep them current
with business needs and directions? How are improvements shared with other organizational units and
processes, as appropriate?
Notes:
Nl. Your key business processes are those nonproduct/
nonservice processes that are considered most impor-
tant to business growth and success by your organiza-
tion's senior leaders. These might include processes
for innovation, research and development, technology
acquisition, information and knowledge management,
supply chain management, supplier partnering, out-
sourcing, mergers and acquisitions, global expansion,
project management, and sales/marketing. The key
business processes to be included in Item 6.2 are
distinctive to your organization and how you operate.
For additional description of this Item, see page 42.
N2. To provide as complete and concise a response as
possible for your key business processes, you might
want to use a tabular format identifying the key pro-
cesses and the attributes of each as called for in ques-
tions 6.2a(l)-6.2a(4).
N3. The results of improvements in your key business
processes and key business process performance
results should be reported in Item 7.4.
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6.3 Support Processes (15 pts.)
Approach-Deployment
Describe how your organization manages its key processes that support your daily operations and your
employees in delivering products and services.
Within your response, include answers to the following questions:
a. Support Processes
(1) What are your key processes for supporting your daily operations and your employees in delivering
products and services?
(2) How do you determine key support process requirements, incorporating input from internal customers,
as appropriate? What are the key operational requirements (such as productivity and cycle time) for
these processes?
(3) How do you design these processes to meet all the key requirements?
(4) How does your day-to-day operation of key support processes ensure meeting key performance require-
ments?
(5) What are your key performance measures/indicators used for the control and improvement of these
processes? Include how in-process measures and internal customer feedback are used in managing your
support processes, as appropriate.
(6) How do you minimize overall costs associated with inspections, tests, and process/performance audits?
(7) How do you improve your support processes to achieve better performance and to keep them current
with business needs and directions? How are improvements shared with other organizational units and
processes, as appropriate?
Notes:
Nl. Your key support processes are those that are
considered most important for support of your
organization's product/service design and delivery
processes and daily operations. These might include
finance and accounting, facilities management, legal,
human resource, and administration processes.
For additional description of this Item, see page 42.
N2. The results of improvements in your key support
processes and key support process performance results
should be reported in Item 7.4.
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7 Business Results (450 Pts
The Business Results Category examines your organization's performance and improvement in key business areas—
customer satisfaction, product and service performance, financial and marketplace performance, human resource
results, and operational performance. Also examined are performance levels relative to those of competitors.
7.1 Customer-Focused Results (125 pts.) |j£m|^
Summarize your organization's key customer-focused results, including customer satisfaction and product
and service performance results. Segment your results by customer groups and market segments, as
appropriate. Include appropriate comparative data.
Provide data and information to answer the following questions:
a. Customer Results
(1) What are your current levels and trends in key measures/indicators of customer satisfaction and dissatis-
faction, including comparisons with competitors' levels of customer satisfaction?
(2) What are your current levels and trends in key measures/indicators of customer-perceived value,
customer retention, positive referral, and/or other aspects of building relationships with customers, as
appropriate?
b. Product and Service Results
What are your current levels and trends in key measures/indicators of product and service performance that
are important to your customers?
Notes:
Nl. Customer satisfaction and dissatisfaction results
reported in this Item should relate to determination
methods and data described in Item 3.2.
N2. Measures/indicators of customers' satisfaction
with your products/services relative to customers'
satisfaction with competitors might include objective
information and data from your customers and from
independent organizations.
N3. Service performance (7.1b) might include mea-
sures of success in providing nontraditional services to
customers, such as Internet-based services.
For a definition of the following key term, see page 31: results.
For additional description of this Item, see page 43.
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7.2 Financial and Market Results (125 pts.)
Summarize your organization's key financial and marketplace performance results by market segments, as
appropriate. Include appropriate comparative data.
Provide data and information to answer the following questions:
a. Financial and Market Results
(1) What are your current levels and trends in key measures/indicators of financial performance, including
aggregate measures of financial return and/or economic value, as appropriate?
(2) What are your current levels and trends in key measures/indicators of marketplace performance,
including market share/position, business growth, and new markets entered, as appropriate?
Notes:
Nl. Responses to 7.2a(l) might include aggregate
measures such as return on investment (ROI), asset
utilization, operating margins, profitability, profitabil-
ity by market/customer segment, liquidity, debt to
For additional description of this Item, see page 43.
equity ratio, value added per employee, and financial
activity measures.
N2. New markets entered (7.2a[2]) might include
offering Web-based services.
7.3 Human Resource Results (80 pts.)
Summarize your organization's key human resource results, including employee well-being, satisfaction,
and development and work system performance. Segment your results to address the diversity of your
workforce and the different types and categories of employees, as appropriate. Include appropriate com-
parative data.
Provide data and information to answer the following questions:
a. Human Resource Results
(1) What are your current levels and trends in key measures/indicators of employee well-being, satisfaction
and dissatisfaction, and development?
(2) What are your current levels and trends in key measures/indicators of work system performance and
effectiveness?
Notes:
Nl. Results reported in this Item should relate to
activities described in Category 5. Your results should
be responsive to key process needs described in
Category 6 and to your organization's action plans
and human resource plans described in Item 2.2.
N2. For appropriate measures of employee well-being
and satisfaction (7.3a[l]), see Notes to Item 5.3.
Appropriate measures/indicators of employee
For additional description of this Item, see pages 43^-4.
development might include innovation and suggestion
rates, courses completed, learning, on-the-job perfor-
mance improvements, and cross-training rates.
N3. Appropriate measures/indicators of work system
performance and effectiveness (7.3a[2]) might include
job and job classification simplification, job rotation,
work layout, and changing supervisory ratios.
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7.4 Organizational Effectiveness Results (120 pts.)
Summarize your organization's key performance results that contribute to the achievement of organiza-
tional effectiveness. Include appropriate comparative data.
Provide data and information to answer the following questions:
a. Operational Results
(1) What are your current levels and trends in key measures/indicators of the operational performance of
key design, production, delivery, business, and support processes? Include productivity, cycle time,
supplier/partner performance, and other appropriate measures of effectiveness and efficiency.
(2) What are your results for key measures/indicators of accomplishment of organizational strategy?
b. Public Responsibility and Citizenship Results
What are your results for key measures/indicators of regulatory/legal compliance and citizenship?
Notes:
Nl. Results reported in 7.4a should address your key
operational requirements and progress toward
accomplishment of your key organizational perfor-
mance goals as presented in the Organizational
Profile and in Items 1.1, 2.2, 6.1, 6.2, and 6.3. Include
results not reported in Items 7.1, 7.2, and 7.3.
N2. Regulatory and legal compliance results reported
in 7.4b should address requirements described in Item
1.2.
For additional description of this Item, see page 44.
N3. Results reported in Item 7.4 should provide key
information for analysis (Item 4.1) and review (Item
1.1) of your organizational performance and should
provide the operational basis for customer-focused
results (Item 7.1) and financial and market results
(Item 7.2).
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GLOSSARY OF KEY TERMS
This Glossary of Key Terms defines and briefly describes
terms used throughout the Criteria booklet that are impor-
tant to performance management.
Action Plans
The term "action plans" refers to specific actions that
respond to short- and longer-term strategic objectives.
Action plans include details of resource commitments and
time horizons for accomplishment. Action plan develop-
ment represents the critical stage in planning when strategic
objectives and goals are made specific so that effective,
organization-wide understanding and deployment are pos-
sible. In the Criteria, deployment of action plans includes
creation of aligned measures for work units. Deployment
might also require specialized training for some employees
or recruitment of personnel.
An example of a strategic objective for a supplier in a highly
competitive industry might be to develop and maintain a
price leadership position. Action plans likely would entail
design of efficient processes and creation of an accounting
system that tracks activity-level costs, aligned for the orga-
nization as a whole. Performance requirements might
include unit and/or team training in setting priorities based
upon costs and benefits. Organizational-level analysis and
review likely would emphasize productivity growth, cost
control, and quality.
Alignment
"Alignment" refers to consistency of plans, processes,
information, resource decisions, actions, results, analysis,
and learning to support key organization-wide goals.
Effective alignment requires a common understanding of
purposes and goals and use of complementary measures and
information for planning, tracking, analysis, and improve-
ment at three levels: the organizational level, the key
process level, and the work unit level.
Analysis
"Analysis" refers to an examination of facts and data to
provide a basis for effective decisions. Analysis often
involves the determination of cause-effect relationships.
Overall organizational analysis guides process management
toward achieving key business results and toward attaining
strategic objectives.
Despite their importance, individual facts and data do not
usually provide an effective basis for actions or setting
priorities. Actions depend on an understanding of relation-
ships, derived from analysis of facts and data.
Approach
"Approach" refers to how an organization addresses the
Baldrige Criteria Item requirements, i.e., the methods and
processes used by the organization. Approaches are evaluat-
ed on the basis of the appropriateness of the methods/
processes to the Item requirements, the effectiveness of
their use, and their alignment with organizational needs.
For further description, see the Scoring System on page 45.
Benchmarks
The term "benchmarks" refers to processes and results that
represent best practices and performance for similar acti-
vities, inside or outside an organization's industry. Organi-
zations engage in benchmarking activities to understand the
current dimensions of world-class performance and to
achieve discontinuous (nonincremental) or breakthrough
improvement.
Benchmarks are one form of comparative data. Other
comparative data organizations might use include industry
data collected by a third party (frequently industry aver-
ages), data on competitors' performance, and comparisons
with similar organizations in the same geographic area.
Cycle Time
"Cycle time" refers to the time required to fulfill commit-
ments or to complete tasks. Time measurements play a
major role in the Criteria because of the great importance
of time performance to improving competitiveness. "Cycle
time" refers to all aspects of time performance. Cycle time
improvement might include time to market, order fulfill-
ment time, delivery time, changeover time, customer re-
sponse times, and other key measures of time.
Deployment
"Deployment" refers to the extent to which an organiza-
tion's approach is applied to the requirements of a Baldrige
Criteria Item. Deployment is evaluated on the basis of the
breadth and depth of application of the approach to relevant
processes and work units throughout the organization. For
further description, see the Scoring System on page 45.
Empowerment
"Empowerment" refers to giving employees the authority
and responsibility to make decisions and take actions.
Empowerment results in decisions being made closest to the
"front line," where work-related knowledge and under-
standing reside.
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Empowerment is aimed at enabling employees to satisfy
customers on first contact, to improve processes and
increase productivity, and to better the organization's
business results. Empowered employees require information
to make appropriate decisions; thus, an organizational
requirement is to provide that information in a timely and
useful way.
High-Performance Work
"High-performance work" refers to work approaches used
to systematically pursue ever higher levels of overall organi-
zational and individual performance, including quality,
productivity, innovation rate, and cycle time performance.
High-performance work results in improved service for
customers and other stakeholders.
Approaches to high-performance work vary in form,
function, and incentive systems. Effective approaches
frequently include cooperation between management and
the workforce, which may involve workforce bargaining
units; cooperation among work units, often involving teams;
self-directed responsibility/employee empowerment;
employee input to planning; individual and organizational
skill building and learning; learning from other organiza-
tions; flexibility in job design and work assignments; a
flattened organizational structure, where decision making is
decentralized and decisions are made closest to the "front
line"; and effective use of performance measures, including
comparisons. Many high-performance work systems use
monetary and nonmonetary incentives based upon factors
such as organizational performance, team and/or individual
contributions, and skill building. Also, high-performance
work approaches usually seek to align the organization's
structure, work, jobs, employee development, and incen-
tives.
Innovation
"Innovation" refers to making meaningful change to im-
prove products, services, and/or processes and create new
value for stakeholders. Innovation involves the adoption of
an idea, process, technology, or product that is either new
or new to its proposed application.
Successful organizational innovation is a multistep process
that involves development and knowledge sharing, a
decision to implement, implementation, evaluation, and
learning. Although innovation is often associated with
technological innovation, it is applicable to all key organiza-
tional processes that would benefit from change, whether
through breakthrough improvement or change in approach
or outputs.
Measures and Indicators
The term "measures and indicators" refers to numerical
information that quantifies input, output, and performance
dimensions of processes, products, services, and the overall
organization (outcomes). Measures and indicators might be
simple (derived from one measurement) or composite.
The Criteria do not make a distinction between measures
and indicators. However, some users of these terms prefer
the term indicator (1) when the measurement relates to
performance but is not a direct measure of such perfor-
mance (e.g., the number of complaints is an indicator of
dissatisfaction but not a direct measure of it) and (2) when
the measurement is a predictor ("leading indicator") of
some more significant performance (e.g., increased cus-
tomer satisfaction might be a leading indicator of market
share gain).
Performance
"Performance" refers to output results obtained from
processes, products, and services that permit evaluation and
comparison relative to goals, standards, past results, and
other organizations. Performance might be expressed in
nonfinancial and financial terms.
The Baldrige Criteria address three types of performance:
(1) customer-focused, including key product and service
performance; (2) financial and marketplace; and (3) opera-
tional.
"Customer-focused performance" refers to performance
relative to measures and indicators of customers' percep-
tions, reactions, and behaviors and to measures and indica-
tors of product and service characteristics important to
customers. Examples include customer retention, com-
plaints, customer survey results, product reliability, on-time
delivery, customer-experienced defect levels, and service
response time.
"Financial and marketplace performance" refers to perfor-
mance relative to measures of cost, revenue, and market
position, including asset utilization, asset growth, and
market share. Examples include returns on investments,
value added per employee, debt to equity ratio, returns on
assets, operating margins, cash-to-cash cycle time, other
profitability and liquidity measures, and market gains.
"Operational performance" refers to organizational, human
resource, and supplier performance relative to effectiveness
and efficiency measures and indicators. Examples include
cycle time, productivity, waste reduction, regulatory compli-
ance, and community involvement. Operational perfor-
mance might be measured at the work unit level, key
process level, and organizational level.
Process
"Process" refers to linked activities with the purpose of
producing a product or service for a customer (user) within
or outside the organization. Generally, processes involve
combinations of people, machines, tools, techniques, and
30
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materials in a systematic series of steps or actions. In some
situations, processes might require adherence to a specific
sequence of steps, with documentation (sometimes formal)
of procedures and requirements, including well-defined
measurement and control steps.
In many service situations, particularly when customers are
directly involved in the service, process is used in a more
general way, i.e., to spell out what must be done, possibly
including a preferred or expected sequence. If a sequence is
critical, the service needs to include information to help
customers understand and follow the sequence. Service
processes involving customers also require guidance to the
providers of those services on handling contingencies
related to customers' likely or possible actions or behaviors.
In knowledge work such as strategic planning, research,
development, and analysis, process does not necessarily
imply formal sequences of steps. Rather, process implies
general understandings regarding competent performance
such as timing, options to be included, evaluation, and
reporting. Sequences might arise as part of these under-
standings.
Productivity
"Productivity" refers to measures of the efficiency of
resource use.
Although the term often is applied to single factors such as
staffing (labor productivity), machines, materials, energy,
and capital, the productivity concept applies as well to the
total resources used in producing outputs. The use of an
aggregate measure of overall productivity allows a determi-
nation of whether the net effect of overall changes in a
process—possibly involving resource tradeoffs—is benefi-
cial.
Results
The term "results" refers to outcomes achieved by an
organization in addressing the purposes of a Baldrige
Criteria Item. Results are evaluated on the basis of current
performance; performance relative to appropriate compar-
isons; the rate, breadth, and importance of performance
improvements; and the relationship of results measures to
key organizational performance requirements. For further
description, see the Scoring System on page 45.
Senior Leaders
The term "senior leaders" refers to an organization's senior
management group or team. In many organizations, this
consists of the head of the organization and his or her direct
reports.
Stakeholders
The term "stakeholders" refers to all groups that are or
might be affected by an organization's actions and success.
Examples of key stakeholders include customers, employees,
partners, stockholders, and local/professional communities.
Strategic Objectives
The term "strategic objectives" refers to an organization's
articulated aims or responses to address major change/
improvement, competitiveness issues, and/or business
advantages. Strategic objectives generally are focused
externally and relate to significant customer, market,
product/service, or technological opportunities and chal-
lenges. Broadly stated, they are what an organization must
achieve to remain or become competitive. Strategic objec-
tives set an organization's longer-term directions and guide
resource allocations and redistributions.
See the definition of "action plans" on page 29 for the
relationship between strategic objectives and action plans
and for an example of each.
Systematic
"Systematic" refers to approaches that are repeatable and
use data and information so that improvement and learning
are possible. In other words, approaches are systematic if
they build in the opportunity for evaluation and learning
and thereby permit a gain in maturity. For use of the term,
see the Scoring Guidelines on page 46.
Value
"Value" refers to the perceived worth of a product, service,
process, asset, or function relative to cost and relative to
possible alternatives.
Organizations frequently use value considerations to
determine the benefits of various options relative to their
costs, such as the value of various product and service
combinations to customers. Organizations need to under-
stand what different stakeholder groups value and then
deliver value to each group. This frequently requires
balancing value for customers and other stakeholders, such
as stockholders, employees, and the community.
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2001 CRITERIA: CATEGORY AND ITEM DESCRIPTIONS
Leadership (Category 1)
Leadership addresses how your senior leaders guide your
organization in setting organizational values, directions, and
performance expectations. Attention is given to how your
senior leaders communicate with employees, review organi-
zational performance, and create an environment that
encourages high performance. The Category also includes
your organization's responsibilities to the public and how
your organization practices good citizenship.
1.1 Organizational Leadership
Purpose
This Item examines the key aspects of your organization's
leadership and the actions of your senior leaders to create
and sustain a high-performance organization.
Requirements
You are asked how your senior leaders set and deploy
values, short- and longer-term directions, and performance
expectations and balance the expectations of customers and
other stakeholders. This includes how leaders create an
environment for empowerment, innovation, organizational
agility, and learning.
You also are asked how your senior leaders review organiza-
tional performance, what key performance measures they
regularly review, and how review findings are used to drive
improvement and innovation, including improvement in
your leaders' effectiveness.
Comments
• Leadership's central roles in setting values and directions,
creating and balancing value for all stakeholders, and
driving performance are the focus of this Item. Success
requires a strong orientation to the future and a commit-
ment to both improvement and innovation. Increasingly,
this requires creating an environment for empowerment
and agility, as well as the means for rapid and effective
application of knowledge.
• The organizational review called for in this Item is
intended to cover all areas of performance. This includes
not only how well you currently are performing but also
how well you are moving toward the future. It is antici-
pated that the review findings will provide a reliable
means to guide both improvement and opportunities
for innovation that are tied to your organization's key
objectives, success factors, and measures. Therefore, an
important component of your senior leaders' organiza-
tional review is the translation of the review findings into
an action agenda sufficiently specific for deployment
throughout your organization and to your suppliers/
partners and key customers.
1.2 Public Responsibility and Citizenship
Purpose
This Item examines how your organization fulfills its public
responsibilities and encourages, supports, and practices
good citizenship.
Requirements
You are asked how your organization addresses its current
and future impacts on society in a proactive manner and
how you accomplish ethical business practices in all stake-
holder interactions. The impacts and practices are expected
to cover all relevant and important areas—products, ser-
vices, and operations.
You also are asked how your organization, your senior
leaders, and your employees identify, support, and strength-
en your key communities as part of good citizenship
practices.
Comments
• An integral part of performance management and
improvement is proactively addressing legal and regula-
tory requirements and risk factors. Addressing these areas
requires establishing appropriate measures/indicators that
senior leaders track in their overall performance review.
Your organization should be sensitive to issues of public
concern, whether or not these issues are currently embod-
ied in law.
• Citizenship implies going beyond a compliance orienta-
tion. Good citizenship opportunities are available to
organizations of all sizes. These opportunities include
encouraging and supporting your employees' community
service.
• Examples of organizational community involvement
include influencing the adoption of higher standards in
education by communicating employability requirements
to schools and school boards; partnering with other
businesses and health care providers to improve health in
the local community by providing education and volun-
teer services to address public health issues; and partner-
ing to influence trade, business, and professional associa-
tions to engage in beneficial, cooperative activities, such
as sharing best practices to improve overall U.S. global
competitiveness and the environment.
Strategic Planning (Category 2)
Strategic Planning addresses strategic and action planning
and deployment of plans. The Category stresses that
customer-driven quality and operational performance are
key strategic issues that need to be integral parts of your
organization's overall planning.
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Specifically,
• customer-driven quality is a strategic view of quality.
The focus is on the drivers of customer satisfaction,
customer retention, new markets, and market share—
key factors in competitiveness, profitability, and
business success.
• operational performance improvement contributes to
short-term and longer-term productivity growth and
cost/price competitiveness. Building operational
capability—including speed, responsiveness, and
flexibility—represents an investment in strengthening
your competitive fitness.
The Criteria emphasize that improvement and learning need
to be embedded in work processes. The special role of
strategic planning is to align work processes with your
organization's strategic directions, thereby ensuring that
improvement and learning reinforce organizational priorities.
The Strategic Planning Category examines how your
organization
• understands the key customer, market, and operational
requirements as input to setting strategic directions.
This helps to ensure that ongoing process improve-
ments and change are aligned with your organization's
strategic directions.
• optimizes the use of resources, ensures the availability
of trained employees, and bridges short-term and
longer-term requirements that may entail capital
expenditures, technology development or acquisition,
and supplier development.
• ensures that deployment will be effective—that there
are mechanisms to transmit requirements and achieve
alignment on three levels: (1) the organization/execu-
tive level, (2) the key process level, and (3) the work
unit/individual job level.
The requirements in the Strategic Planning Category
encourage strategic thinking and acting—to develop a basis
for a distinct competitive position in the marketplace. These
requirements do not imply formalized plans, planning systems,
departments, or specific planning cycles. They also do not imply
that all your improvements could or should be planned in
advance. An effective improvement system combines
improvements of many types and degrees of involvement.
This requires clear strategic guidance, particularly when
improvement alternatives, including major change, compete
for limited resources. In most cases, setting priorities
depends heavily on a cost rationale. However, you also
might have critical requirements, such as public responsibil-
ities, that are not driven by cost considerations alone.
2.1 Strategy Development
Purpose
This Item examines how your organization sets strategic
directions and develops your strategic objectives, guiding
and strengthening your overall performance and com-
petitiveness.
Requirements
You are asked to outline your organization's strategic
planning process, including identifying key participants, key
steps, and your planning time horizons. You are asked how
you consider key factors that affect your organization's
future. These factors cover external and internal influences
on your organization. You are asked to address each factor
and outline how relevant data and information are gathered
and analyzed.
You also are asked to summarize your key strategic objec-
tives and your timetable for accomplishing them. Finally,
you are asked how these objectives address the challenges
outlined in your Organizational Profile.
Comments
• This Item calls for basic information on the planning
process and for information on all the key influences,
risks, challenges, and other requirements that might affect
your organization's future opportunities and directions—
taking as long-term a view as possible. This approach is
intended to provide a thorough and realistic context for
the development of a customer- and market-focused
strategy to guide ongoing decision making, resource
allocation, and overall management.
• This Item is intended to cover all types of businesses,
competitive situations, strategic issues, planning
approaches, and plans. The requirements explicitly call
for a future-oriented basis for action but do not imply
formalized planning, planning departments, planning
cycles, or a specified way of visualizing the future. Even if
your organization is seeking to create an entirely new
business situation, it is still necessary to set and to test the
objectives that define and guide critical actions and
performance.
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• This Item emphasizes competitive leadership, which
usually depends on revenue growth and operational
effectiveness. Competitive leadership requires a view of
the future that includes not only the markets or segments
in which your organization competes but also how it
competes. Htnv it competes presents many options and
requires that you understand your organization's and your
competitors' strengths and weaknesses. Although no
specific time horizons are included, the thrust of this Item
is sustained competitive leadership.
• An increasingly important part of strategic planning is
projecting the future competitive environment. Such
projections help to detect and reduce competitive threats,
to shorten reaction time, and to identify opportunities.
Depending on the size and type of business, maturity of
markets, pace of change, and competitive parameters
(such as price or innovation rate), organizations might use
a variety of modeling, scenarios, or other techniques and
judgments to anticipate the competitive environment.
2.2 Strategy Deployment
Purpose
This Item examines how your organization converts your
strategic objectives into action plans to accomplish the
objectives and how your organization assesses progress
relative to these action plans. The aim is to ensure that your
strategies are deployed for goal achievement.
Requirements
You are asked how you develop and deploy action plans that
address your organization's key strategic objectives, includ-
ing the allocation of needed resources. You are asked to
summarize your key short- and longer-term action plans.
Particular attention is given to changes in products/services,
customers/markets, and how you operate. You also are asked
about your key human resource plans that will enable
accomplishment of your strategic objectives and action
plans.
You are asked to give your key measures/indicators used in
tracking progress relative to the action plans and how you
use these measures to achieve organizational alignment and
coverage of all key work units and stakeholders. Finally,
you are asked to provide a projection of key performance
measures/indicators. As part of this projection, you are
asked how your projected performance compares with
competitors' performance, key benchmarks, goals, and past
performance.
Comments
• This Item asks how your action plans are developed and
deployed. Accomplishment of action plans requires
resources and performance measures, as well as the
alignment of work unit and supplier/partner plans. Of
central importance is how you achieve alignment and
consistency—for example, via key processes and key
measurements. Also, alignment and consistency are
intended to provide a basis for setting and communicating
priorities for ongoing improvement activities—part of the
daily work of all work units. In addition, performance
measures are critical for tracking performance. Action
plans include human resource plans that support your
overall strategy.
• Key changes in your products/services or customers/mar-
kets might include Web-based or e-commerce initiatives,
integrated within or separate from your current business.
• Examples of possible human resource plan elements are
• a redesign of your work organization and/or jobs to
increase employee empowerment and decision making
• initiatives to promote greater labor-management
cooperation, such as union partnerships
• initiatives to foster knowledge sharing and organiza-
tional learning
• modification of your compensation and recognition
systems to recognize team, organizational, stock
market, customer, or other performance attributes
• education and training initiatives, such as develop-
mental programs for future leaders, partnerships with
universities to help ensure the availability of future
employees, and establishment of technology-based
training capabilities
• Projections and comparisons in this Item are intended to
encourage your organization to improve its ability to
understand and track dynamic, competitive performance
factors. Through this tracking process, your organization
should be better prepared to take into account its rate of
improvement and change relative to competitors' and
relative to your own targets or stretch goals. Such track-
ing serves as a key diagnostic management tool.
• In addition to improvement relative to past performance
and competitors' performance, projected performance
also might include changes resulting from new business
ventures, entry into new markets, e-commerce initiatives,
product/service innovations, or other strategic thrusts.
Customer and Market Focus (Category 3)
Customer and Market Focus addresses how your organiza-
tion seeks to understand the voices of customers and of the
marketplace. The Category stresses relationships as an
important part of an overall listening, learning, and perfor-
mance excellence strategy. Your customer satisfaction and
dissatisfaction results provide vital information for under-
standing your customers and the marketplace. In many
cases, such results and trends provide the most meaningful
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information, not only on your customers' views but also on
their marketplace behaviors—repeat business and positive
referrals.
3.1 Customer and Market Knowledge
Purpose
This Item examines your organization's key processes for
gaining knowledge about your current and future customers
and markets, with the aim of offering relevant products and
services, understanding emerging customer requirements
and expectations, and keeping pace with marketplace
changes and changing ways of doing business.
Requirements
You are asked how you determine key customer groups and
how you segment your markets. You are asked how you
consider potential customers, including your competitors'
customers. You are asked how you determine key require-
ments for and drivers of purchase decisions and how you
determine key product/service features. You also are asked
how these determinations include relevant information from
current and former customers.
Finally, you are asked how you keep your customer listening
and learning methods current with your changing business
needs and directions.
Comments
• In a rapidly changing competitive environment, many
factors may affect customer preference and loyalty and
your interface with customers in the marketplace. This
makes it necessary to listen and learn on a continuous
basis. To be effective, listening and learning need to be
closely linked with your organization's overall business
strategy.
• Knowledge of customer groups and market segments
allows your organization to tailor listening and learning
strategies and marketplace offerings, to support and tailor
your marketing strategies, and to develop new business.
• A relationship strategy may be possible with some cus-
tomers but not with others. Differing relationships may
require distinctly different listening and learning strate-
gies. The use of e-commerce is rapidly changing many
marketplaces and may affect your listening and learning
strategies, as well as your definition of customer groups
and market segments.
• Selection of listening and learning strategies depends on
your organization's key business factors. Increasingly,
companies interact with customers via multiple modes.
Some frequently used modes include focus groups with key
customers; close integration with key customers; interviews
with lost customers about their purchase decisions; use of
the customer complaint process to understand key product
and service attributes; won/lost analysis relative to competi-
tors; and survey/feedback information, including informa-
tion collected on the Internet.
3.2 Customer Relationships and Satisfaction
Purpose
This Item examines your organization's processes for
building customer relationships and determining customer
satisfaction, with the aim of acquiring new customers,
retaining existing customers, and developing new market
opportunities.
Requirements
You are asked how you build relationships to acquire and
satisfy customers and to develop repeat business and
positive referrals.
You are asked how you deter-
mine key customer contact
requirements and how these
vary for different modes of
access. As part of this response,
you are asked to describe key
access mechanisms for cus-
tomers to seek information,
conduct business, and make
complaints. You are asked how
customer contact requirements
are deployed along the entire
response chain.
You are asked to describe your
complaint management process.
This description should include
how you ensure prompt and
effective problem resolution.
The description also should
cover how all complaints are
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aggregated and analyzed for use in improvement through-
out your organization and by your partners, as appropriate.
You are asked how you keep your approaches to relationship
building and customer access current with your changing
business needs and directions.
You are asked how you determine customer satisfaction and
dissatisfaction, including how you capture actionable infor-
mation that reflects customers' future business and/or posi-
tive referral.
You are asked how you follow up with customers regarding
products/services and recent transactions to receive prompt
and actionable feedback.
You are asked how you obtain and use information on
customer satisfaction relative to satisfaction with competi-
tors and/or benchmarks so you can gauge your performance
in the marketplace.
Finally, you are asked how you keep your methods for
determining customer satisfaction current with your
changing business needs and directions.
Comments
• This Item emphasizes how you obtain actionable informa-
tion from customers. Information that is actionable can be
tied to key product, service, and business processes and be
used to determine cost/revenue implications for setting
improvement and change priorities.
• Complaint aggregation, analysis, and root cause determi-
nation should lead to effective elimination of the causes of
complaints and to setting priorities for process, product,
and service improvements. Successful outcomes require
effective deployment of information throughout the
organization.
• In determining customers' satisfaction, a key aspect is
their comparative satisfaction with competitors and
competing or alternative offerings. Such information
might be derived from your own comparative studies or
from independent studies. The factors that lead to
customer preference are of critical importance in under-
standing factors that drive markets and potentially affect
longer-term competitiveness.
• Changing business needs and directions might include
new modes of customer access, such as the Internet. In
such cases, key contact requirements might include on-
line security for customers and access to personal assis-
tance.
Information and Analysis (Category 4)
The Information and Analysis Category is the main point
within the Criteria for all key information about effectively
measuring and analyzing performance to drive improve-
ment and organizational competitiveness. In the simplest
terms, Category 4 is the "brain center" for the alignment of
your organization's operations and its strategic objectives.
Central to such use of data and information are their quality
and availability. Furthermore, since information and analysis
might themselves be primary sources of competitive advan-
tage and productivity growth, the Category also includes
such strategic considerations.
4.1 Measurement and Analysis of Organizational
Performance
Purpose
This Item examines your organization's selection, manage-
ment, and use of data and information for performance
measurement and analysis in support of organizational
planning and performance improvement. The Item serves
as a central collection and analysis point in an integrated
performance measurement and management system that
relies on financial and nonfinancial data and information.
The aim of measurement and analysis is to guide your
organization's process management toward the achievement
of key business results and strategic objectives.
Requirements
You are asked how you gather and integrate data and
information for monitoring daily operations and supporting
organizational decision making and how you select and use
measures for tracking those operations and overall organiza-
tional performance. You also are asked how you select and
use comparative data and information to help drive perfor-
mance improvement. These requirements address the major
components of an effective performance measurement
system.
You are asked what analyses you perform to support your
senior leaders' assessment of overall organizational perfor-
mance and your strategic planning. You are asked how the
results of organizational-level analysis are communicated to
support decision making throughout your organization and
are aligned with your business results, strategic objectives,
and action plans.
Finally, you are asked how you keep your organization's
performance measurement system current with changing
business needs and directions.
Comments
• Alignment and integration are key concepts for successful
implementation of your performance measurement
system. They are viewed in terms of extent and effective-
ness of use to meet your performance assessment needs.
Alignment and integration include how measures are
aligned throughout your organization, how they are
integrated to yield organization-wide data/information,
and how performance measurement requirements are
deployed by your senior leaders to track work group and
process-level performance on key measures targeted for
organization-wide significance and/or improvement.
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Ife
m
The use of comparative data and information is important
to all organizations. The major premises for use are
(1) your organization needs to know where it stands rela-
tive to competitors and to best practices, (2) comparative
and benchmarking information often provides the impe-
tus for significant ("break-
through") improvement or
change, and (3) comparing
performance information
frequently leads to a better
understanding of your
processes and their perfor-
mance. Benchmarking
information also may sup-
port business analysis and
decisions relating to core
competencies, alliances, and
outsourcing.
Your effective selection and
use of comparative data
and information require
(1) determination of needs
and priorities; (2) criteria
for seeking appropriate
sources for comparisons—
from within and outside
your organization's industry
and markets; and (3) use of data and information to set
stretch goals and to promote major, nonincremental
("breakthrough") improvements in areas most critical to
your organization's competitive strategy.
Individual facts and data do not usually provide an
effective basis for setting organizational priorities. This
Item emphasizes that close alignment is needed between
your analysis and your organizational performance review
and between your analysis and your organizational
planning. This ensures that analysis is relevant to decision
making and that decision making is based on relevant data
and information.
Action depends on understanding cause-effect connec-
tions among processes and between processes and busi-
ness/performance results. Process actions and their results
may have many resource implications. Organizations have
a critical need to provide an effective analytical basis for
decisions because resources for improvement are limited
and cause-effect connections are often unclear.
Analyses that your organization conducts to gain an
understanding of performance and needed actions may
vary widely depending on your type of organization, size,
competitive environment, and other factors. Examples of
possible analyses include
• how product and service quality improvement corre-
lates with key customer indicators such as customer
satisfaction, customer retention, and market share
cost/revenue implications of customer-related
problems and effective problem resolution
interpretation of market share changes in terms of
customer gains and losses and changes in customer
satisfaction
improvement trends in key operational performance
indicators such as productivity, cycle time, waste
reduction, new product introduction, and defect
levels
relationships between employee/organizational
learning and value added per employee
financial benefits derived from improvements in
employee safety, absenteeism, and turnover
benefits and costs associated with education and
training, including Internet-based, or e-learning,
opportunities
benefits and costs associated with improved organiza-
tional knowledge management and sharing
how the ability to identify and meet employee
requirements correlates with employee retention,
motivation, and productivity
cost/revenue implications of employee-related
problems and effective problem resolution
individual or aggregate measures of productivity and
quality relative to competitors'
cost trends relative to competitors'
relationships among product/service quality, opera-
tional performance indicators, and overall financial
performance trends as reflected in indicators such as
operating costs, revenues, asset utilization, and value
added per employee
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• allocation of resources among alternative improve-
ment projects based on cost/benefit implications or
environmental/community impact
• net earnings derived from quality, operational, and
human resource performance improvements
• comparisons among business units showing how
quality and operational performance improvement
affect financial performance
• contributions of improvement activities to cash flow,
working capital use, and shareholder value
• profit impacts of customer retention
• cost/revenue implications of new market entry,
including global market entry or expansion
• cost/revenue, customer, and productivity implica-
tions of engaging in and/or expanding e-commerce/
e-business and use of the Internet and intranets
• market share versus profits
• trends in economic, market, and shareholder indica-
tors of value
• The availability of electronic data and information of
many kinds (e.g., financial, operational, customer-related,
accreditation/regulatory) and from many sources (e.g.,
internal, third party, and public sources; the Internet;
Internet tracking software) permits extensive analysis and
correlations. Effectively utilizing and prioritizing this
wealth of information are significant organizational
challenges.
4.2 Information Management
Purpose
This Item examines how your organization ensures the
availability of high-quality, timely data and information for
all your key users—employees, suppliers/partners, and
customers.
Requirements
You are asked how you make data and information available
and accessible to your user communities. You are asked how
you ensure that the data and information have all the char-
acteristics your users expect: reliability, accuracy, timeliness,
and appropriate levels of security and confidentiality.
You also are asked how you ensure that your hardware
systems and software are reliable and user friendly so that
access is facilitated and encouraged.
Finally, you are asked how you keep your data availability
mechanisms, software, and hardware current with changing
business needs and directions.
Comments
• Managing information can require a significant commit-
ment of resources as the sources of data and information
grow dramatically. The expanding use of electronic
information within organizations' operations, as part of
organizational knowledge networks, from the Internet,
and in business-to-business and business-to-consumer
communications challenges organizational abilities to
ensure reliability and availability in a user-friendly format.
• Data and information are especially important in business
networks, alliances, and supply chains. Your responses to
this Item should take into account this use of data and
information and should recognize the need for rapid data
validation and reliability assurance, given the increasing
use of electronic data transfer.
Human Resource Focus (Category 5)
Human Resource Focus addresses key human resource
practices—those directed toward creating and maintaining a
high-performance workplace and toward developing em-
ployees to enable them and your organization to adapt to
change. The Category covers human resource development
and management requirements in an integrated way, i.e.,
aligned with your organization's strategic objectives. Your
human resource focus includes your work environment and
your employee support climate.
To reinforce the basic alignment of human resource man-
agement with overall strategy, the Criteria also cover human
resource planning as part of overall planning in the Stra-
tegic Planning Category.
5.1 Work Systems
Purpose
This Item examines your organization's systems for work
and jobs, compensation, employee performance manage-
ment, motivation, recognition, communication, and hiring,
with the aim of enabling and encouraging all employees to
contribute effectively and to the best of their ability. These
systems are intended to foster high performance, to result
in individual and organizational learning, and to enable
adaptation to change.
Requirements
You are asked how you organize and manage work and jobs
to promote cooperation, initiative/innovation, and flexibili-
ty. You are asked how you achieve effective communication
and knowledge/skill sharing. You also are asked how your
managers and supervisors motivate employees to develop
and utilize their full potential, including the mechanisms
you use to attain job- and career-related learning objectives.
You are asked how your employee performance manage-
ment system, including feedback to employees, supports
high performance and a customer/business focus. This
should include how compensation, recognition, and related
practices reinforce these objectives.
You are asked how you accomplish effective succession
planning for senior leadership and others.
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Finally, you are asked how you identify the capabilities
needed by potential employees and how you recruit, hire,
and retain new employees. Your considerations should
include the ability of your work system to benefit from the
diverse ideas and cultures of your communities.
Comments
• High-performance work is characterized by flexibility,
innovation, knowledge and skill sharing, alignment with
organizational objectives, customer focus, and rapid
response to changing business needs and requirements of
the marketplace. The focus of this Item is on a workforce
capable of achieving high performance. In addition to
enabled employees and proper work system design, high-
performance work requires ongoing education and
training, as well as information systems that ensure proper
information flow. To help employees realize their full
potential, many organizations use individual development
plans prepared with each employee and addressing his/her
career and learning objectives.
• Work and job factors for your consideration include
simplification of job classifications, cross-training, job
rotation, use of teams (including self-directed teams), and
changes in work layout and location. Also important is
effective communication across functions and work units
to ensure a focus on customer requirements and to ensure
an environment with trust, knowledge sharing, and
mutual respect.
• Compensation and recognition systems should be
matched to your work systems. To be effective, compensa-
tion and recognition might be tied to demonstrated skills
and/or to peer evaluations. Compensation and recogni-
tion approaches also might include profit sharing, reward-
ing exemplary team or unit performance, and linkage to
customer satisfaction and loyalty measures or other busi-
ness objectives.
• The requirements of high-performance work, coupled
with the challenges of tight labor markets, necessitate
more attention to succession planning and hiring profiles.
This should include and capitalize on diversity factors.
5.2 Employee Education, Training, and Development
Purpose
This Item examines the education, training, and on-the-job
reinforcement of knowledge and skills of your organization's
workforce, with the aim of meeting ongoing needs of em-
ployees and a high-performance workplace.
Requirements
You are asked how education and training tie to your action
plans, including how education and training balance short-
and longer-term individual and organizational objectives.
You are asked how you seek and use input on education and
training needs and delivery from those most directly
benefitting—employees and their supervisors/managers.
You are asked how you address key organizational needs
associated with technological change, management/leader-
ship development, orientation of new employees, safety,
performance improvement, and diversity.
You are asked how you deliver and evaluate education and
training, taking into account individual and organizational
performance. Finally, you are asked how you reinforce
knowledge and skills on the job.
Comments
• Depending on the nature of your organization's work,
employees' responsibilities, and the stage of organiza-
tional and personal development, education and training
needs might vary greatly. These needs might include
gaining skills for knowledge sharing, communications,
teamwork, problem solving, interpreting and using data,
meeting customer requirements, process analysis and
simplification, waste and cycle time reduction, and setting
priorities based on strategic alignment or cost/benefit
analysis. Education needs also might include basic skills,
such as reading, writing, language, arithmetic, and,
increasingly, basic computer skills.
• Education and training delivery might occur inside or
outside your organization and could involve on-the-job,
classroom, computer-based, or distance learning, as well
as other types of delivery. Training also might occur
through developmental assignments within or outside
your organization.
• When you evaluate education and training, you should
seek effectiveness measures as a critical part of the
evaluation. Such measures might address the impact on
individual, unit, and organizational performance; the
impact on customer-related performance; and a cost/
benefit analysis of the training.
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• Although this Item does not specifically ask you about
training for customer contact employees, such training is
important and common. It frequently includes learning
critical knowledge and skills in the following areas: your
products, services, and customers; how to listen to cus-
tomers; recovery from problems or failures; and how to
effectively manage customer expectations.
5.3 Employee Well-Being and Satisfaction
Purpose
This Item examines your organization's work environment,
your employee support climate, and how you determine
employee satisfaction, with the aim of fostering the well-
being, satisfaction, and motivation of all employees while
recognizing their diverse needs.
Requirements
You are asked how you ensure a safe and healthful work
environment for all employees, taking into account their
differing work environments and associated requirements.
Special emphasis is placed on how employees contribute to
identifying important factors and to improving workplace
safety. You also are asked to identify appropriate measures
and targets for key environmental factors so that status and
progress can be tracked.
You are asked how you determine the key factors that affect
employee well-being, satisfaction, and motivation. Included
is how these factors are segmented for a diverse workforce
and different categories/types of employees. In addition,
you are asked how your services, benefits, and policies sup-
port employee well-being, satisfaction, and motivation
based upon a holistic view of this key stakeholder group.
Special emphasis is placed on the variety of approaches you
use to satisfy a diverse workforce with differing needs and
expectations.
You are asked to describe formal and/or informal assess-
ment methods and measures you use to determine employee
well-being, satisfaction, and motivation. This description
should include how you tailor these methods and measures
to a diverse workforce and how you use other indicators
(e.g., employee turnover) to support your assessment.
Finally, you are asked how you relate assessment findings to
key business results to identify key priorities.
Comments
• Most organizations, regardless of size, have many oppor-
tunities to contribute to employees' well-being, satisfac-
tion, and motivation. Some examples of services, facilities,
activities, and other opportunities are personal and career
counseling; career development and employability ser-
vices; recreational or cultural activities; formal and infor-
mal recognition; nonwork-related education; day care;
special leave for family responsibilities and/or community
service; flexible work hours and benefits packages;
outplacement services; and retiree benefits, including
extended health care and access to employee services.
• Although satisfaction with pay and satisfaction with
promotion are important, these two factors generally are
not sufficient to ensure overall employee satisfaction,
motivation, and high performance. Some examples of
other factors to consider are effective employee problem
and grievance resolution; employee development and
career opportunities; work environment and management
support; workload; communication, cooperation, and
teamwork; job security; appreciation of the differing needs
of diverse employee groups; and organizational support
for serving customers.
• In addition to direct measures of employee satisfaction
and well-being through formal or informal surveys,
some other indicators include absenteeism, turnover,
grievances, strikes, Occupational Safety and Health
Administration (OSHA) reportables, and worker's com-
pensation claims.
Process Management (Category 6)
Process Management is the focal point within the Criteria
for all key work processes. Built into the Category are the
central requirements for efficient and effective process
management: effective design; a prevention orientation;
linkage to suppliers and partners and a focus on supply
chain integration; operational performance; cycle time; and
evaluation, continuous improvement, and organizational
learning.
Agility, cost reduction, and cycle time reduction are increas-
ingly important in all aspects of process management and
organizational design. In simplest terms, "agility" refers to
your ability to adapt quickly, flexibly, and effectively to
changing requirements. Depending on the nature of your
organization's strategy and markets, agility might mean
rapid changeover from one product to another, rapid
response to changing demands, or the ability to produce a
wide range of customized services. Agility also increasingly
involves decisions to outsource, agreements with key
suppliers, and novel partnering arrangements. Flexibility
might demand special strategies, such as implementing
modular designs, sharing components, sharing manufactur-
ing lines, and providing specialized training. Cost and cycle
time reduction often involve agile process management
strategies. It is crucial to utilize key measures for tracking
all aspects of your overall process management.
6.1 Product and Service Processes
Purpose
This Item examines your organization's key product and
service design and delivery processes, with the aim of
improving your marketplace and operational performance.
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Requirements
You are asked to identify your key design processes for
products and services and their related production and
delivery processes. You are asked how you address key
requirements, such as customer/market requirements and
new technology, including e-technology. You also are asked
how you address key factors in design effectiveness, includ-
ing cost control, cycle time, and learning from past design
projects. Finally, you are asked how you ensure that design
processes cover all key operational performance require-
ments and appropriate coordination and testing to ensure
effective product/service launch without need for rework.
You are asked to identify your key production/delivery
processes, their key performance requirements, and key
performance measures. These requirements and measures
are the basis for maintaining and improving your products,
services, and production/delivery processes. You also are
asked how you perform inspections, tests, and audits to
minimize rework and warranty costs, and you are asked
about your prevention-based processes for minimizing the
need for inspections, tests, and audits. Finally, you are asked
how you improve your production/delivery systems and
processes to achieve better processes and products/services.
Comments
» Your design approaches could differ appreciably depend-
ing on the nature of your products/services—whether the
products/services are entirely new, variants, or involve
major or minor process changes. You should consider the
key requirements for your products and services. Factors
that might need to be considered in design include safety,
long-term performance, environmental impact, "green"
manufacturing, measurement capability, process capability,
manufacturability, maintainability, variability in customer
expectations requiring product/service options, supplier
capability, and documentation. Effective design also must
consider cycle time and productivity of production and
delivery processes. This might involve detailed mapping
of manufacturing or service processes and redesigning
("re-engineering") those processes to achieve efficiency,
as well as to meet changing customer requirements.
" This Item calls for information on the incorporation of
new technology, including e-technology. E-technology
might include sharing information with suppliers/partners,
communicating with customers and giving them continu-
ous (24/7) access, and automated information transfer from
in-service products requiring maintenance in the field.
• Many organizations need to consider requirements for
suppliers/partners at the design stage. Overall, effective
design must take into account all stakeholders in die value
chain. If many design projects are carried out in parallel
or if your organization's products utilize parts, equipment,
and facilities that are used for other products, coordina-
tion of resources might be a major concern, but it also
might offer a means to significantly reduce unit costs and
time to market.
Coordination of design and production/delivery pro-
cesses involves all work units and/or individuals who will
take part in production/delivery and whose performance
materially affects overall process outcome. This might
include groups such as R&D, marketing, design, product/
process engineering, and key suppliers.
This Item calls for information on the management and
improvement of key production/delivery processes. The
information required includes a description of the key
processes, their specific requirements, and how perfor-
mance relative to these requirements is determined and
maintained. Increasingly, these requirements might
include the need for agility—speed and flexibility—to
adapt to change.
Specific reference is made to in-process measurements
and customer/supplier interactions. These measurements
and interactions require the identification of critical
points in processes for measurement, observation, or
interaction. These activities should occur at the earliest
points possible in processes to minimize problems and
costs that may result from deviations from expected
performance. Achieving expected performance frequently
requires setting performance levels or standards to guide
decision making. When deviations occur, corrective
action is required to restore the performance of the
process to its design specifications. Depending on the
nature of the process, the corrective action could involve
technical and/or human considerations. Proper corrective
action involves changes at the source (root cause) of the
deviation. Such corrective action should minimize the
likelihood of this type of variation occurring again or
elsewhere in your organization. When customer interac-
tions are involved, differences among customers must be
considered in evaluating how well the process is perform-
ing. This might entail allowing for specific or general
contingencies, depending on the customer information
gathered. This is especially true of professional and
personal services.
This Item also calls for information on how processes
are improved to achieve better performance. Better
performance means not only better quality from your
customers' perspective but also better financial and
operational performance—such as productivity—from
your organization's perspective. A variety of process
improvement approaches are commonly used. These
approaches include (1) sharing successful strategies across
your organization, (2) process analysis and research (e.g.,
process mapping, optimization experiments, error
proofing), (3) research and development results,
(4) benchmarking, (5) using alternative technology, and
(6) using information from customers of the processes—
within and outside your organization. Process
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improvement approaches might utilize financial data to
evaluate alternatives and set priorities. Together, these
approaches offer a wide range of possibilities, including
complete redesign ("re-engineering") of processes.
6.2 Business Processes
Purpose
This Item examines your organization's key nonproduct/
nonservice business processes, with the aim of improving
business success.
Requirements
You are asked to identify your key business processes and
their design requirements. You are asked how your organi-
zation's key business processes are designed and performed
to meet all your requirements and how you incorporate
input from customers and suppliers/partners, as appropriate.
You are asked to identify your key performance measures
for the control and improvement of your business processes,
including how in-process measures and customer and sup-
plier feedback are used.
You are asked how you minimize costs associated with
inspections, tests, and audits through use of prevention-
based processes. Finally, you are asked how you improve
your business processes to achieve better performance and
to keep them current with your changing business needs
and directions.
Comments
• Your key business processes are those nonproduct/nonser-
vice processes that are considered most important to
business growth and success by your senior leaders. These
processes frequently relate to an organization's strategic
objectives and critical success factors. Key business pro-
cesses might include processes for innovation, research
and development, technology acquisition, information
and knowledge management, supply chain management,
supplier partnering, outsourcing, mergers and acquisi-
tions, global expansion, project management, and sales/
marketing. Given the diverse nature of these processes,
the requirements and performance characteristics might
vary significantly for different processes.
• For many organizations, supply chain management is a
growing factor in achieving productivity and profitability
goals and overall business success. Suppliers and partners
are receiving increasing strategic attention as organiza-
tions re-evaluate their core functions. Supplier processes
should fulfill two purposes: to help improve the perfor-
mance of suppliers and partners and also on specific
actions to help them contribute to your organization's
improved performance. Supply chain management might
include processes for supplier selection, with the aim of
reducing the total number of suppliers and increasing
preferred supplier and partnering agreements.
6.3 Support Processes
Purpose
This Item examines your organization's key support pro-
cesses, with the aim of improving your overall operational
performance.
Requirements
You are asked to identify your key support processes and
their design requirements. You are asked how your organi-
zation's key support processes are designed to meet all your
requirements and how you incorporate input from internal
customers, as appropriate. You also are asked how day-to-
day operation of your key support processes ensures meet-
ing the key requirements, including how in-process mea-
sures and internal customer feedback are used.
You are asked how you minimize costs associated with
inspection, tests, and audits through use of prevention-
based processes. Finally, you are asked how you improve
your key support processes to achieve better performance
and to keep them current with your changing business
needs and directions.
Comments
• Your support processes are those that support your daily
operations and your product and/or service delivery but
are not usually designed in detail with the products and
services. The support process requirements usually do not
depend significantly on product and service characteris-
tics. Support process design requirements usually depend
significantly on your internal requirements, and they must
be coordinated and integrated to ensure efficient, effective
linkage and performance. Support processes might
include finance and accounting, facilities management,
legal services, human resource services, public relations,
and other administrative services.
• This Item calls for information on how your organization
evaluates and improves the performance of your key
support processes. Four approaches frequently used are
(1) process analysis and research, (2) benchmarking,
(3) use of alternative technology, and (4) use of informa-
tion from customers of the processes. Together, these
approaches offer a wide range of possibilities, including
complete redesign ("re-engineering") of processes.
Business Results (Category 7)
The Business Results Category provides a results focus that
encompasses your customers' evaluation of your organiza-
tion's products and services, your overall financial and
market performance, and results of all key processes and
process improvement activities. Through this focus, the
Criteria's purposes—superior value of offerings as viewed by
your customers and the marketplace, superior organiza-
tional performance as reflected in your operational and
financial indicators, and organizational and personal
42
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learning—are maintained. Category 7 thus provides "real-
time" information (measures of progress) for evaluation and
improvement of processes, products, and services, in align-
ment with your overall organizational strategy. Item 4.1
calls for analysis of business results data and information to
determine your overall organizational performance.
7.1 Customer-Focused Results
Purpose
This Item examines your organization's customer-focused
performance results, with the aim of demonstrating how
well your organization has been satisfying your customers
and delivering product and service quality that lead to
satisfaction, loyalty, and positive referral.
Requirements
You are asked to provide current levels, trends, and appro-
priate comparisons for key measures/indicators of customer
satisfaction and dissatisfaction, including comparisons with
your competitors' levels of customer satisfaction. You are
asked to provide data and information on customer loyalty
(retention), positive referral, and customer-perceived value.
You also are asked to provide levels and trends in key
measures/indicators of product and service performance.
Such results should be for key drivers of your customers'
satisfaction and retention.
Comments
• This Item focuses on the creation and use of all relevant
data to determine and help predict your organization's
performance as viewed by your customers. Relevant data
and information include customer satisfaction and dis-
satisfaction; retention, gains, and losses of customers and
customer accounts; customer complaints and warranty
claims; customer-perceived value based on quality and
price; customer assessment of access and ease of use
(including courtesy in service interactions); and awards,
ratings, and recognition from customers and independent
rating organizations.
• This Item includes measures of product and service
performance that serve as indicators of customers' views
and decisions relative to future purchases and relation-
ships. These measures of product and service performance
are derived from customer-related information gathered
in Items 3.1 and 3.2.
• Product and service measures appropriate for inclusion
might be based upon the following: internal quality
measurements, field performance of products, data
collected from your customers by other organizations on
ease of use or other attributes, or customer surveys on
product and service performance.
• The correlation between product/service performance
and customer indicators is a critical management tool
with multiple uses: (1) defining and focusing on key
quality and customer requirements; (2) identifying
product/service differentiators in the marketplace; and
(3) determining cause-effect relationships between your
product/service attributes and evidence of customer
satisfaction and loyalty, as well as positive referrals. The
correlation might reveal emerging or changing market
segments, the changing importance of requirements, or
even the potential obsolescence of offerings.
7.2 Financial and Market Results
Purpose
This Item examines your organization's financial and
market results, with the aim of understanding your market-
place challenges and opportunities.
Requirements
You are asked to provide levels, trends, and appropriate
comparisons for key financial, market, and business indica-
tors. Overall, these results should provide a complete
picture of your financial and marketplace success and
challenges.
Comments
• Measures reported in this Item are those usually tracked
by senior leadership on an ongoing basis to assess your
organization's performance.
• Appropriate financial measures and indicators might
include revenue, profits, market position, cash-to-cash
cycle time, earnings per share, and returns. Marketplace
performance measures might include market share,
measures of business growth, new product and geogra-
phic markets entered (including exports), entry into
e-commerce markets, and the percentage of sales derived
from new products.
7.3 Human Resource Results
Purpose
This Item examines your organization's human resource
results, with the aim of demonstrating how well your
organization has been creating and maintaining a positive,
43
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productive, learning, and caring work environment for all
employees.
Requirements
You are asked to provide current levels, trends, and appro-
priate comparisons for key measures/indicators of employee
well-being, satisfaction, dissatisfaction, and development.
You also are asked to provide data and information on the
performance and effectiveness of your organization's work
system.
Comments
• Results reported might include generic or organization-
specific factors. Generic factors might include safety,
absenteeism, turnover, satisfaction, and complaints
(grievances). For some measures, such as absenteeism
and turnover, local or regional comparisons might be
appropriate.
• Organization-specific factors are those you assess for
determining your employees' well-being and satisfaction.
These factors might include the extent of training or
cross-training or the extent and success of self-direction.
• Results measures reported for work system performance
might include improvement in job classification, job
rotation, work layout, and local decision making. Results
reported might include input data, such as extent of
training, but the main emphasis should be on data that
show effectiveness of outcomes.
7.4 Organizational Effectiveness Results
Purpose
This Item examines your organization's other key opera-
tional performance results, with the aim of achieving
organizational effectiveness, attaining key organizational
goals, and demonstrating good organizational citizenship.
Requirements
You are asked to provide current levels, trends, and appro-
priate comparisons for key measures/indicators of opera-
tional and strategic performance that support the ongoing
achievement of results reported in Items 7.1 through 7.3.
You also are asked to provide data and information on your
organization's regulatory/legal compliance and citizenship.
Comments
• This Item encourages your organization to develop and
include unique and innovative measures to track business
development and operational improvement. However, all
key areas of business and operational performance should
•
^tj"***
^Sw
be evaluated by measures that are relevant and important
to your organization.
Measures/indicators of operational effectiveness and
efficiency might include reduced emission levels, waste
stream reductions, by-product use, and recycling; internal
responsiveness indicators such as cycle times, production
flexibility, lead times, set-up times, and time to market;
business-specific indicators such as innovation rates and
increased use of e-technology product/process yields, and
delivery performance to request; supply chain indicators
such as reductions in inventory and/or incoming inspec-
tions, increases in quality and productivity, improvements
in electronic data exchange, and reductions in supply
chain management costs; third-party assessment results
such as ISO 9000 audits; and indicators of strategic goal
achievement.
Measures should include environmental and regulatory
compliance and noteworthy achievements in these areas,
as appropriate. Results also should include indicators of
support for key communities and other public purposes.
If your organization has received sanctions or adverse
actions under law, regulation, or contract during the past
three years, the incidents and their current status should
be summarized.
44
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SCORING SYSTEM
The scoring of responses to Criteria Items (Items) and
Award applicant feedback are based on three evaluation
dimensions: (1) Approach, (2) Deployment, and (3) Results.
Criteria users need to furnish information relating to these
dimensions. Specific factors for these dimensions are
described below. Scoring Guidelines are given on page 46.
Approach
"Approach" refers to how you address the Item require-
ments—the method(s) used. The factors used to evaluate
approaches include
• the appropriateness of the methods to the requirements
• the effectiveness of use of the methods and the degree
to which the approach
— is repeatable, integrated, and consistently applied
— embodies evaluation/improvement/learning cycles
— is based on reliable information and data
• alignment with your organizational needs
• evidence of beneficial innovation and change
Deployment
"Deployment" refers to the extent to which your approach is
applied. The factors used to evaluate deployment include
• use of the approach in addressing Item requirements
relevant and important to your organization
• use of the approach by all appropriate work units
Results
"Results" refers to outcomes in achieving the purposes given
in Items 7.1-7.4. The factors used to evaluate results include
• your current performance
• your performance relative to appropriate comparisons
and/or benchmarks
• rate and breadth of your performance improvements
• linkage of your results measures to important customer,
market, process, and action plan performance require-
ments identified in your Organizational Profile and in
Approach-Deployment Items
Item Classification and Scoring Dimensions
Items are classified according to the kinds of information
and/or data you are expected to furnish relative to the three
evaluation dimensions given above.
The two types of Items and their designations are
1. Approach-Deployment
2. Results
Approach-Deployment
Approach and Deployment are linked to emphasize that
descriptions of Approach should always indicate the
Deployment—consistent with the specific requirements of the
Item. Although Approach and Deployment dimensions are
linked, feedback to Award applicants reflects strengths and/or
opportunities for improvement in either or both dimensions.
Results Items call for data showing performance levels,
relevant comparative data, and improvement trends for key
measures/indicators of organizational performance. Results
Items also call for data on breadth of performance improve-
ments, i.e., on how widespread your improvement results
are. This is directly related to the Deployment dimension; if
improvement processes are widely deployed, there should be
corresponding results. A score for a Results Item is thus a
composite based upon overall performance, taking into
account the rate and breadth of improvements and their
importance. (See next paragraph.)
"Importance" as a Scoring Factor
The three evaluation dimensions described previously are
critical to evaluation and feedback. However, another critical
consideration in evaluation and feedback is the importance of
your reported Approach, Deployment, and Results to your
key business factors. The areas of greatest importance should
be identified in your Organizational Profile and in Items
such as 2.1, 2.2, 3.1, 6.1, 6.2, and 7.4. Your key customer
requirements and key strategic objectives and action plans
are particularly important.
Assignment of Scores to Your Responses
The following guidelines should be observed in assigning
scores to your Item responses:
• All Areas to Address should be included in your Item
response. Also, responses should reflect what is impor-
tant to your organization.
• In assigning a score to an Item, first decide which
scoring range (e.g., 50 percent to 60 percent) best fits
the overall Item response. Overall "best fit" does not
require total agreement with each of the statements for
that scoring range. Assigning the actual score within the
range requires evaluating whether the Item response is
closer to the statements in the next higher or next lower
scoring range.
• An Approach-Deployment Item score of 50 percent
represents an approach that meets the overall objectives
of the Item and that is deployed to the principal activi-
ties and work units covered in the Item. Higher scores
reflect maturity (cycles of improvement), integration,
and broader deployment.
• A Results Item score of 50 percent represents a clear
indication of improvement trends and/or good levels of
performance in the principal results areas covered in the
Item. Higher scores reflect better improvement rates
and/or levels of performance, better comparative per-
formance, and broader coverage and integration with
business requirements.
45
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SCORING GUIDELINES
SCORE APPROACH-DEPLOYMENT
SCORE RESULTS
0%
10%
to
20%
30%
to
40%
50%
to
60%
70%
to
80%
90%
to
100%
No systematic approach is evident; information is anecdotal.
The beginning of a systematic approach to the basic purposes of the
Item is evident.
Major gaps exist in deployment that would inhibit progress in
achieving the basic purposes of the Item.
Early stages of a transition from reacting to problems to a general
improvement orientation are evident.
An effective, systematic approach, responsive to the basic purposes of
the Item, is evident.
The approach is deployed, although some areas or work units are in
early stages of deployment.
The beginning of a systematic approach to evaluation and improve-
ment of basic Item processes is evident.
An effective, systematic approach, responsive to the overall purposes
of the Item and your key business requirements, is evident.
The approach is well deployed, although deployment may vary in
some areas or work units.
A fact-based, systematic evaluation and improvement process is in
place for improving the efficiency and effectiveness of key processes.
The approach is aligned with your basic organizational needs identi-
fied in the other Criteria Categories.
An effective, systematic approach, responsive to the multiple require-
ments of the Item and your current and changing business needs, is
evident.
The approach is well deployed, with no significant gaps.
A fact-based, systematic evaluation and improvement process and
organizational learning/sharing are key management tools; there is
clear evidence of refinement and improved integration as a result of
organizational-level analysis and sharing.
The approach is well integrated with your organizational needs
identified in the other Criteria Categories.
An effective, systematic approach, fully responsive to all the require-
ments of the Item and all your current and changing business needs,
is evident.
The approach is fully deployed without significant weaknesses or
gaps in any areas or work units.
A very strong, fact-based, systematic evaluation and improvement
process and extensive organizational learning/sharing are key
management tools; strong refinement and integration, backed by
excellent organizational-level analysis and sharing, are evident.
The approach is fully integrated with your organizational needs
identified in the other Criteria Categories.
10%
to
20%
30%
to
40%
50%
to
60%
70%
to
80%
90%
to
100%
There are no results or poor results in areas reported.
There are some improvements and/or early good performance levels
in a few areas.
Results are not reported for many to most areas of importance to
your organization's key business requirements.
Improvements and/or good performance levels are reported in many
areas of importance to your organization's key business requirements.
Early stages of developing trends and obtaining comparative
information are evident.
Results are reported for many to most areas of importance to your
organization's key business requirements.
Improvement trends and/or good performance levels are reported for
most areas of importance to your organization's key business
requirements.
No pattern of adverse trends and no poor performance levels are
evident in areas of importance to your organization's key business
requirements.
Some trends and/or current performance levels—evaluated against
relevant comparisons and/or benchmarks—show areas of strength
and/or good to very good relative performance levels.
Business results address most key customer, market, and process
requirements.
Current performance is good to excellent in areas of importance to
your organization's key business requirements.
Most improvement trends and/or current performance levels are
sustained.
Many to most trends and/or current performance levels—evaluated
against relevant comparisons and/or benchmarks—show areas of
leadership and very good relative performance levels.
Business results address most key customer, market, process, and
action plan requirements.
Current performance is excellent in most areas of importance to your
organization's key business requirements.
Excellent improvement trends and/or sustained excellent performance
levels are reported in most areas.
Evidence of industry and benchmark leadership is demonstrated in
many areas.
Business results fully address key customer, market, process, and
action plan requirements.
For a definition of the following key term, see page 31: systematic
-------
2001 CRITERIA RESPONSE GUIDELINES
The guidelines given in this section are offered to assist
Criteria users in responding most effectively to the require-
ments of the 18 Criteria Items. Writing an application for
the Baldrige Award involves responding to these require-
ments in 50 or fewer pages.
The guidelines are presented in three parts:
(1) General Guidelines regarding the Criteria booklet,
including how the Items are formatted
(2) Guidelines for Responding to Approach-Deployment
Items
(3) Guidelines for Responding to Results Items
General Guidelines
1. Read the entire Criteria booklet.
The main sections of the booklet provide an overall
orientation to the Criteria, including how responses are to
be evaluated for self-assessment or by Award Examiners.
You should become thoroughly familiar with the following
sections:
• Criteria for Performance Excellence (pages 10-28)
• Scoring information (pages 45^46)
• Glossary of Key Terms (pages 2 9-31)
• Category and Item Descriptions (pages 32-44)
2. Review the Item format and understand how to
respond to the Item requirements.
The Item format (see figure below) shows the different
parts of Items, the role of each part, and where each part is
placed. It is especially important to understand the Areas
to Address and the Item Notes. Each Item and Area to
Address is described in greater detail in a separate section
(pages 32-44).
Each Item is classified either Approach-Deployment or
Results, depending on the type of information required.
Guidelines for responding to Approach-Deployment
Items are given on pages 48^-9. Guidelines for respond-
ing to Results Items are given on pages 49-50.
Item requirements are presented in question format.
Some questions include modifying statements. Responses
to an Item should contain answers to all questions and to
modifying statements; however, each question need not be
answered separately. Responses to multiple questions
within a single Area to Address may be grouped, as
appropriate to your organization.
Item Format
Item Number
^
expressed in general terms
Item Tide Item
< ^ ^^
2.2 Strategy Deployment (45 pts.)"^^
^ Describe how your organization converts its strategic o
performance on these key performance measures/indies
Within your response, include answers to the following que
a. Action Plan Development and Deployment
•^^ (1) How do you develop and deploy action plans to a
Point Value Types of information users are expected to
^***" provide in response to this Item
Djectives into action plans. Summarize your organi-
tors.
tions:
chieve your key strategic objectives? Include how you
^S'' allocate resources to ensure accomplishment of your action plans.
^^
^^
^^
Specific Areas users ^^
need to address ^— -^^^^^
(2) What are your key short- and longer-term action
products/services, your customers/markets, and h
(3) What are your key human resource plans that de
objectives and action plans?
(4) What are your key performance measures/indie a
plans? Include key changes, if any, in your
ow you operate.
ive from your short- and longer-term strategic
ors for tracking progress relative to your action plans?
^"""I111111111*«^llliiii^ and covers all key deployment areas and stakeholders?
Notes have the
following purposes: —
- clarify key terms *•
and/or requirements
- give instructions
- indicate/clarify
important linkages
Location of Item
Description and -
Glossary Terms
^"""^^^ b. Performance Projection
What are your performance projections for your key measures/indicators for both your short- and longer-
mance, key benchmarks, goals, and past performance
. KB^^^^^^^^M
Nl. Action plan development and deployment are
of key linkages are
• Item 1.1 for how your senior leaders set and
• Category 3 for gathering customer and market
knowledge as input to your strategy and action
plans and for deploying action plans;
• Category 4 for information and analysis to support
your key information needs, to support your
development of strategy, to provide an effective
basis for your performance measurements, and to
track progress relative to your strategic objectives
_^ For definitions of the following key terms, see pages 29-30
For additional description of this Item, see page 34.
as appropriate?
• Category 5 for your work system needs; employee
related human resource factors resulting from
action plans;
• hi wl^fc Accomplishments relative to
your organizational strategy
Measures/indicators of projected performance
(2.2b) might include changes resulting from new
Dusiness ventures; business acquisitions; new value
creation; market entry and shifts; and significant
anticipated innovations in products, services, and
technology.
action plans, benchmarks, measures and indicator,.
47
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3. Start by preparing the Organizational Profile.
The Organizational Profile is the most appropriate
starting point for initiating a self-assessment or for writing
an application. The Organizational Profile is intended to
help everyone—including organizations using the Criteria
for self-assessment, application writers, and reviewers—to
understand what is most relevant and important to your
organization's business and to its performance. The
questions to address in responding to the Organizational
Profile are on pages 10-11.
Guidelines for Responding to Approach-
Deployment Items
Although the Criteria focus on key performance
results, these results by themselves offer little
diagnostic value. For example, if some results are
poor or are improving at rates slower than your
competitors', it is important to understand ivhy
this is so and -what might be done to accelerate
improvement.
The purpose of Approach-Deployment Items is
to permit diagnosis of your organization's most
important processes—the ones that yield fast-
paced organizational performance improvement
and contribute to key business results. Diagnosis
and feedback depend heavily on the content and
completeness of Approach-Deployment Item
responses. For this reason, it is important to
respond to these Items by providing your key
process information. Guidelines for organizing
and reviewing such information follow.
1. Understand the meaning of "how."
Approach-Deployment Items include questions that begin
with the word "how." Responses should outline your key
process information, such as methods, measures, deployment,
and evaluation/improvement/learning factors. Responses
lacking such information, or merely providing an example,
are referred to in the Scoring Guidelines as "anecdotal"
information.
2. Understand the meaning of "what."
Two types of questions in Approach-Deployment Items
begin with the word "what." The first type of question
requests basic information on key processes and how they
work. Although it is helpful to include ivho performs the
work, merely stating 'who does not permit diagnosis or
feedback. The second type of question requests informa-
tion on ivhatjo\ui key findings, plans, objectives, goals, or
measures are. These questions set the context for showing
alignment in your performance management system. For
example, when you identify key strategic objectives, your
action plans, human resource development plans, some of
your results measures, and results reported in Category 7
should be expected to relate to the stated strategic
objectives.
3. Write and review response(s) with the following
guidelines and comments in mind.
• Show that activities are systematic.
Approaches that are systematic are repeatable and use
data and information so that improvement and learning
are possible. In other words, approaches are systematic
if they build in the opportunity for evaluation and
learning and thereby permit a gain in maturity.
• Show deployment.
Deployment information should summarize what is
done in different parts of your organization. Deploy-
ment can be shown compactly by using tables.
Show focus and consistency.
There are four important factors to consider regarding
focus and consistency: (1) the Organizational Profile
should make clear what is important; (2) the Strategic
Planning Category, including the strategic objectives
and action plans, should highlight areas of greatest
focus and describe how deployment is accomplished;
(3) descriptions of organizational-level analysis and
review (Items 4.1 and 1.1) should show how your or-
ganization analyzes and reviews performance informa-
tion to set priorities; and (4) the Process Management
Category should highlight processes that are key to
your overall performance. Showing focus and consistency in
the Approach-Deployment Items and tracking corresponding
measures in the Results Items should improve business
performance.
48
-------
• Respond fully to Item requirements.
Missing information will be interpreted as a gap in
approach and/or deployment. All Areas to Address
should be addressed. Individual components of an Area
to Address may be addressed individually or together.
4. Cross-reference when appropriate.
As much as possible, each Item response should be self-
contained. However, responses to different Items might be
mutually reinforcing. It is then appropriate to refer to the
other responses rather than to repeat information. In such
cases, key process information should be given in the Item
requesting this information. For example, employee
education and training should be described in detail in
Item 5.2. Discussions about education and training
elsewhere in your application would then reference but
not repeat details given in your Item 5.2 response.
5. Use a compact format.
Applicants should make the best use of the 50 application
pages permitted. Applicants are encouraged to use flow-
charts, tables, and "bullets" to present information
concisely.
6. Refer to the Scoring Guidelines.
Considerations in the evaluation of Item responses include
the Criteria Item requirements and the maturity of the
approaches, breadth of deployment, alignment with other
elements of your performance management system, and
strength of the improvement process relative to the Scor-
ing Guidelines. Therefore, you need to consider both the
Criteria and the Scoring Guidelines.
Guidelines for Responding to Results Items
The Criteria place the greatest emphasis on results. The
following information, guidelines, and example relate to
effective and complete reporting of results.
1. Focus on the most critical business results.
Results reported should cover the most important require-
ments for your business success, highlighted in your
Organizational Profile and in the Strategic Planning and
Process Management Categories.
2. Note the meaning of the four key requirements from
the Scoring Guidelines for effective reporting of
results data:
• trends to show directions of results and rates of change
• performance levels on a meaningful measurement scale
• comparisons to show how results compare with those of
other, appropriately selected organizations
• breadth and importance of results to show that all impor-
tant results are included
3. Include trend data covering actual periods for
tracking trends.
No minimum period of time is specified for trend data.
Trends might span five years or more for some results. For
important results, new data should be included even if
trends and comparisons are not yet well established.
4. Use a compact format—graphs and tables.
Many results can be reported compactly by using graphs
and tables. Graphs and tables should be labeled for easy
1 interpretation. Results over time
or compared with others should
be "normalized," i.e., presented
in a way (such as use of ratios)
that takes into account various
size factors. For example,
reporting safety trends in terms
of lost work days per 100
employees would be more
meaningful than total lost work
days if the number of employees
has varied over the time period
or if you are comparing your
results to organizations differing
in size.
5. Integrate results into the
body of the text.
Discussion of results and the
results themselves should be
close together in an Award
application. Trends thatshffw a
significant positive or negative
49
-------
change should be explained. Use figure numbers that corre-
spond to Items. For example, the third figure for Item 7.1
would be Figure 7.1-3. (See the example in the figure that
follows.)
The following graph illustrates data an organization might
present as part of a response to Item 7.1, Customer-
Focused Results. In the Organizational Profile, the
organization has indicated on-time delivery as a key
customer requirement.
Figure 7.1-3 On-Time Delivery Performance
100
^ 95
£ 90
Q
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APPLYING FOR THE MALCOLM BALDRIGE NATIONAL QUALITY AWARD
The Malcolm Baldrige National Quality Award is an
annual Award to recognize U.S. organizations for
performance excellence.
Award Purpose
The Award promotes
• awareness of performance excellence as an increasingly
important element in competitiveness
• information sharing of successful performance strategies
and the benefits derived from using these strategies
Award Participation
The Award eligibility categories include
• manufacturing businesses
• service businesses
• small businesses
• education organizations
• health care organizations
Copies of the Education Criteria and Health Care Criteria
are available, and ordering information can be found on
page 53.
Three awards may be given in each category each year.
To participate in the Award process, an organization must
submit an application package that addresses the Criteria
for Performance Excellence (pages 10-28).
Application Requirements
Applicants need to submit an application package that
consists of three parts:
• a validated Eligibility Certification Form
• a completed Application Form
• an application report consisting of an Organizational
Profile and responses to the Criteria
Detailed information and the necessary forms are contained
in the Baldrige Award Application Forms booklet. Ordering
instructions for this booklet are given on page 53.
Application Review
Applications are reviewed and evaluated by members of the
Board of Examiners, who adhere to strict rules regarding
conflict of interest, in a four-stage process:
Stage 1 - independent review and evaluation by at least five
members of the board
Stage 2 - consensus review and evaluation for applications
that score well in Stage 1
Stage 3 - site visits to applicants that score well in Stage 2
Stage 4 - Judges' review and recommendations of
Award recipients
Feedback to Applicants
Each Award applicant receives a feedback report at the
conclusion of the review process. The feedback report is a
written assessment by an evaluation team of leading U.S.
experts.
The feedback report contains an applicant-specific listing
of strengths and opportunities for improvement based
on the Criteria. Used by companies, education organiza-
tions, and health care organizations as part of their
strategic planning processes, the feedback report helps
organizations focus on their customers and improve
overall performance. Feedback is one of the most impor-
tant parts of the Baldrige Award process; it provides
a pathway for improvement.
Feedback reports are mailed at various times during the
Award cycle, based on the stage of review an application
reaches in the evaluation process. Strict confidentiality is
observed at all times and in every aspect of application
review and feedback.
Award Recipients
Award recipients may publicize and advertise their
Awards. Recipients are expected to share information
about their successful performance strategies with
other U.S. organizations.
If your organization is applying in the education or health care category, refer to the
appropriate sector-specific Criteria booklet and the Baldrige Award Application Forms.
Ordering information is on page 53.
51
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SUMMARY OF BUSINESS ELIGIBILITY CATEGORIES AND RESTRICTIONS
Important Facts about Applying for the Award
• Criteria contained in this booklet should be used only for
the business eligibility categories (manufacturing, service,
and small business).
• The following is a summary of the eligibility rules for the
business categories. Summaries of the eligibility rules for
the education and health care categories are in their
respective Criteria booklets. For-profit education or health
care organizations may apply under the service or small
business categories, as appropriate, using these Criteria or
under the health care or education categories, using their
respective Criteria. If there is a question on eligibility,
check the complete eligibility rules in the Baldrige Award
Application Forms or call the Baldrige National Quality
Program Office at (301) 975-2036.
• Whatever your Award eligibility category, you will need to
obtain a copy of the Baldrige Award Application Forms
before proceeding. Ordering instructions are given on
page 53.
Basic Eligibility
Public Law 100-107 establishes the three business eligibility
categories for the Award: manufacturing, service, and small
business. Any for-profit business and some subunits head-
quartered in the United States or its territories, including
U.S. subunits of foreign companies, may apply for the
Award. Eligibility is intended to be as open as possible. For
example, publicly or privately owned organizations, domestic
or foreign-owned entities, joint ventures, corporations, sole
proprietorships, and holding companies may apply. Not
eligible in the business category are local, state, and federal
government agencies; trade associations; professional
societies; and not-for-profit organizations.
Business Award Eligibility Categories
Manufacturing: Companies or some subunits (see section
below on subunits) that produce and sell manufactured
products or manufacturing processes and producers of
agricultural, mining, or construction products.
Service: Companies or some subunits (see section below on
subunits) that sell services.
Small Business: Companies or some subunits engaged in
manufacturing and/or the provision of services that have 500
or fewer employees.
Eligibility of Subunits
A subunit is a unit or division of a larger (parent) company.
Subunits of companies in the manufacturing, service, or
small business eligibility categories might be eligible. To be
eligible, the subunit must have more than 500 employees, or
have more than 2 5 percent of the employees of the parent,
or have been independent prior to being acquired by its
parent. In the last case, it must continue to operate largely
independently under its own identity.
The subunit must be self-sufficient enough to be examined
in all seven Criteria Categories, and it must be a discrete
business entity that is readily distinguishable from other
parts of the parent organization. It cannot be primarily an
internal supplier to other units in the parent company or be
a business support function (e.g., sales, distribution, legal
services).
Other Restrictions on Eligibility
Location: Although an applicant may have facilities outside
the United States or its territories, or it may receive support
from its parent, in the event of a site visit, the applicant must
ensure that the appropriate people and information are
available for examination in the United States. This informa-
tion is needed to document the operational practices associ-
ated with all of its major business functions. In the event that
the applicant receives the Award, it must be able to share
information on the seven Criteria Categories at the Quest
for Excellence Conference and at its U.S. facilities. Sharing
beyond the Quest for Excellence Conference is on a volun-
tary basis.
Multiple-Application Restrictions: A subunit and its
parent may not both apply for Awards in the same year. In
some cases, more than one subunit of a parent may apply. If
the size of the parent, including all of its subunits, is
• 0-1000 employees, 1 applicant per parent per eligibility
category may apply
• 1001-20,000 employees, 2 applicants per parent per
eligibility category may apply
• over 20,000 employees, 2 applicants per parent per
eligibility category for the first 20,000, plus 1 per
20,000 or fraction thereof above 20,000 per eligibility
category, may apply
Future Eligibility Restrictions: If an organization or a
subunit that has more than 50 percent of the total employees
of the parent receives an Award, the organization and all its
subunits are ineligible to apply for another Award for a
period of five years. If a subunit receives an Award, that
subunit and all its subunits are ineligible to apply for another
Award for a period of five years. After five years, Award
recipients are eligible to reapply for the Award or to reapply
"for feedback only."
Eligibility Validation
Potential applicants must have their eligibility validated prior
to applying for the Award. Potential applicants for the 2001
Award are encouraged to submit their Eligibility Forms as
early as possible after they are available but no later than
April 5, 2001. This form is contained in the Baldrige Award
Application Forms.
52
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How TO ORDER COPIES OF BALDRIGE PROGRAM MATERIALS
Note: If you are planning to apply for the Award,
you will need the Baldrige Award Application Forms
in addition to the Criteria booklet.
Individual Orders
Individual copies of the Criteria booklets and the Baldrige
Award Application Forms can be obtained free of charge from
Baldrige National Quality Program
National Institute of Standards and Technology
Administration Building, Room A600
100 Bureau Drive, Stop 1020
Gaithersburg, MD 20899-1020
Telephone: (301) 975-2036
Fax:(301)948-3716
E-mail: nqp@nist.gov
Bulk Orders
Multiple copies of the 2001 Criteria for Performance
Excellence booklets may be ordered in packets of 10 for
$29.95 plus shipping and handling from the American
Society for Quality (ASQ).
2001 Business Criteria—Item Number T1105
2001 Education Criteria—Item Number Til06
2001 Health Care Criteria—Item Number T1107
How to Order
ASQ offers four convenient ways to order:
• For fastest service, call toll free (800) 248-1946 in the
United States and Canada (in Mexico, dial toll free
95-800-248-1946). Have item numbers, your credit
card or purchase order number, and (if applicable)
ASQ member number ready.
• Or fax your completed order form to ASQ at
(414)272-1734.
• Or mail your order to ASQ Customer Service Depart-
ment, P.O. Box 3066, Milwaukee, WI 53201-3066.
• Or order online by accessing ASQ's Web site at
http://www.asq.org.
Payment
Your payment options include check, money order,
U.S. purchase order, VISA, MasterCard, or American Express.
Payment must be made in U.S. currency; checks and money
orders must be drawn on a U.S. financial institution. All
international orders must be prepaid. Please make checks
payable to ASQ.
Order Amount
0-$34.99
$35.00-$99.99
Over $100.00
U.S. Charges
$4.25
6.50
12.50*
Shipping Fees
The following shipping and processing schedule applies to
all orders.
Canadian Charges
$9.25
11.50
17.50*
• There is an additional charge of 2 5 percent of the total
order amount for shipments outside the United States
and Canada.
• Orders shipped within the continental United States
and Canada where UPS service is available will be
shipped UPS.
• Please allow one to two weeks for delivery. Interna-
tional customers, please allow six to eight weeks for
delivery.
• Your credit card will not be charged until your items
are shipped. Shipping and processing are charged one
time, up front, for the entire order.
* If actual shipping charges exceed $12.50 ($17.50 Canadian),
ASQ will invoice the customer for the additional expense.
Baldrige Educational Materials
Each year, the Baldrige National Quality Program develops
materials for training members of the Board of Examiners
and for sharing information on the successful performance
excellence strategies of the Award recipients. The following
items are a sample of the educational materials that may be
ordered from ASQ.
Case Studies
The case studies are used to prepare Examiners for the
interpretation of the Criteria and the Scoring System. The
case studies, when used with the Criteria, illustrate the
Award application and review process. The case study
packet contains the case study and six additional documents:
an executive summary, the related Criteria for Performance
Excellence booklet, the case study scorebook, the case study
feedback report, the Handbook for the Board of Examiners,
and the Scorebook for Business, Education, and Health Care.
These documents provide information related to scoring,
Criteria responses, examination processes, and site visit
procedures, as well as illustrate the format for an applica-
tion. A variety of case study packets are available, including
the following:
53
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2000 Education Case Study Packet: Coyote
Community College (based on the 2000 Education
Criteria for Performance Excellence)
Item Number T1090: $49.95 plus shipping and handling
1999 Business Case Study Packet: Collin
Technologies (based on the 1999 Criteria for Performance
Excellence)
Item Number T1079: $49.95 plus shipping and handling
Education Case Study Packet: Ridgecrest School
District (based on the 1995 Education Pilot Criteria)
Item Number T1023: $7.28 plus shipping and handling
Health Care Case Study Packet: Pinnacle Health
Plan (based on the 1995 Health Care Pilot Criteria)
Item Number T1029: $7.28 plus shipping and handling
Award Recipients'Videos
The Award recipients' videos are a valuable resource for
gaining a better understanding of performance excellence
and quality achievement. The videos provide background
information on the Baldrige National Quality Program,
highlights from the annual Award ceremony, and interviews
with representatives from the Award recipients' organiza-
tions. Information on the 2000 Award recipients' video is
provided below. Videos about Award recipients from other
years also are available from ASQ.
2000—Item Number TA997
(Available May 2 001)
$20.00
How to Order Educational Materials
To order a case study packet (Coyote Community College,
Collin Technologies, Ridgecrest School District, Pinnacle
Health Plan, or others), bulk orders of the 2001 Criteria
booklet, or the Award recipients' videos, contact
ASQ Customer Service Department
P.O. Box 3066
Milwaukee, WI 53201-3066
Telephone: (800) 248-1946
Fax: (414) 272-1734
E-mail: asq@asq.org
Web address: http://www.asq.org
FEES FOR THE 2001 AWARD CYCLE
Eligibility Certification Fees
The eligibility certification fee is $150 for all potential
business applicants. This fee is nonrefundable.
Application Fees
• manufacturing business category—$5000
• service business category—$5000
• small business category—$2000
• supplemental sections—$2000
Detailed information on fees is given in the Baldrige Award
Application Forms.
Site Visit Review Fees
Site visit review fees will be set when the visits are
scheduled. Fees depend on the number of Examiners
assigned and the duration of the visit. Site visit review fees
for applicants in the small business category will be charged
at one-half of the rate charged for applicants in the manu-
facturing and service categories. These fees are paid only by
those applicants reaching the site visit stage.
Eligibility Forms due—April 5,2001
Award Applications due—May 31,2001
The Baldrige National Quality Program welcomes your comments on the Criteria
or any of the Baldrige Award processes. Please address your comments to
2001 Criteria for Performance Excellence
Baldrige National Quality Program
National Institute of Standards and Technology
Administration Building, Room A600
100 Bureau Drive, Stop 1020
Gaithersburg, MD 20899-1020
or E-mail: nqp@nist.gov
or Web address: http://www.quality.nist.gov
54
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NOTES
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NOTES
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THE MALCOLM BALDRIGE NATIONAL QUALITY IMPROVEMENT ACT OF 1987—PUBLIC LAW 100-107
The Malcolm Baldrige National Quality
Award -was created by Public Law 100-107,
signed into law on August 20, 1987. Public
Law 100-107 led to the creation of a new
public-private partnership. Principal support
for the program comes from the Foundation
for the Malcolm Baldrige National Quality
Award, established in 1988.
The Award is named for Malcolm Baldrige,
who served as Secretary of Commerce
from 1981 until his death in 1987. His
managerial excellence contributed to
long-term improvement in efficiency and
effectiveness of government.
The Findings and Purposes Section of Public Law 100-107 states that
1. the leadership of the United States in product and process quality has
been challenged strongly (and sometimes successfully) by foreign com-
petition, and our Nation's productivity growth has improved less than
our competitors' over the last two decades.
2. American business and industry are beginning to understand that poor
quality costs companies as much as 20 percent of sales revenues nation-
ally and that improved quality of goods and services goes hand in hand
with improved productivity, lower costs, and increased profitability.
3. strategic planning for quality and quality improvement programs, through
a commitment to excellence in manufacturing and services, are becom-
ing more and more essential to the well-being of our Nation's economy
and our ability to compete effectively in the global marketplace.
4. improved management understanding of the factory floor, worker
involvement in quality, and greater emphasis on statistical process
control can lead to dramatic improvements in the cost and quality of
manufactured products.
5. the concept of quality improvement is directly applicable to small com-
panies as well as large, to service industries as well as manufacturing,
and to the public sector as well as private enterprise.
6. in order to be successful, quality improvement programs must be
management-led and customer-oriented, and this may require funda-
mental changes in the way companies and agencies do business.
7. several major industrial nations have successfully coupled rigorous
private-sector quality audits with national awards giving special recog-
nition to those enterprises the audits identify as the very best; and
8. a national quality award program of this kind in the United States would
help improve quality and productivity by
A. helping to stimulate American companies to improve quality and
productivity for the pride of recognition while obtaining a competi-
tive edge through increased profits;
B. recognizing the achievements of those companies that improve the
quality of their goods and services and providing an example to others;
C. establishing guidelines and criteria that can be used by business,
industrial, governmental, and other organizations in evaluating their
own quality improvement efforts; and
D. providing specific guidance for other American organizations that
wish to learn how to manage for high quality by making available
detailed information on how winning organizations were able to
change their cultures and achieve eminence."
The Baldrige National Quality Program thanks the following 7999 Award recipients for the use of the photographs in this booklet:
Bl, The Ritz-Carlton Hotel Company, STMicroelectronics-Region Americas, and Sunny Fresh Foods,
-------
Baldrige National Quality Program
Baldrige National Quality Program
National Institute of Standards and Technology
Technology Administration
United States Department of Commerce
Administration Building, Room A600
100 Bureau Drive, Stop 1020
Gaithersburg, MD 20899-1020
The National Institute of Standards and Technology (NIST) is a nonregulatory federal
agency within the Commerce Department's Technology Administration. NIST's primary
mission is to strengthen the U.S. economy and improve the quality of life by working
with industry to develop and apply technology, measurements, and standards. The
Baldrige National Quality Program (BNQP) at NIST is a customer-focused federal
change agent that enhances the competitiveness, quality, and productivity of U.S.
organizations for the benefit of all citizens. BNQP develops and disseminates evaluation
criteria and manages the Malcolm Baldrige National Quality Award. It also provides
global leadership in promoting performance excellence and in the learning and sharing
of successful performance practices, principles, and strategies.
Call BNQP for
• information on improving the performance of your organization
• information on applying for the Baldrige Award
• information on becoming a Baldrige Examiner
• information on the Baldrige Award recipients
• individual copies of the Criteria for Performance Excellence—Business, Education,
and Health Care (no cost)
• information on BNQP educational materials
Telephone: (301) 975-2036; Fax: (301) 948-3716; E-mail: nqp@nist.gov;
Web address: http://www.quality.nist.gov
American Society for Quality
611 East Wisconsin Avenue
P.O. Box 3005
Milwaukee, WI 53201-3005
The American Society for Quality (ASQ) advances individual and organizational
performance excellence worldwide by providing opportunities for learning, quality
improvement, and knowledge exchange. ASQ administers the Malcolm Baldrige National
Quality Award under contract to NIST.
Call ASQ to order
• bulk copies of the Criteria
• case studies
• Award recipients' videos
Telephone: (800) 248-1946; Fax: (414) 272-1734; E-mail: asq@asq.org
Web address: http://www.asq.org
Design: RCW Communication Design Inc.
Til 05
printed on recycled paper
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•
The Green Zia Environmental
Excellence Program
Program Information and
Application Criteria, 2001
The Green Zia Environmental Excellence Program
New Mexico Environment Department
Office of the Secretary
PO Box 26110
1190 St. Francis Drive
Santa Fe, NM 87502
(505) 827-0677
(505) 827-2836
pat_gallagher@nmenv.state.nm.us
"It is not possible to repeat too often that waste is not something
which comes after the fact.. .picking up and reclaiming scrap
left over after production is a public service, but planning so
that there will be no scrap is a higher public service."
Henry Ford, 1924
-------
Acknowledgements
The 2001 Green Zia Criteria was revised through the efforts of the following
people:
• John Bartlit, NM Citizens for Clean Air and Water
• Patricia Gallagher, New Mexico Environment Department
• Ware Hartwell, Los Alamos National Laboratory
• Chris Wentz, New Mexico Energy, Minerals and Natural Resources
Department
• Scott Seydel, Emcore
• Brian Thompson, Los Alamos National Laboratory
• Jeff Weinrach, JCS/Novation
• Cathy Tyson, NM Environment Department
• Debra McElroy, NM Environment Department
• Dawn Reed, Management IQ
• Dr. Robert Pojasek, Pojasek and Associates
This work was conducted in collaboration with the New Mexico Pollution
Prevention Advisory Council.
The Green Zia Environmental Excellence Program is closely modeled after
the highly successful Quality New Mexico Program. We are fortunate to have
such a strong model for business, education and healthcare improvement in
our state. We believe that quality approaches are essential to maintaining
quality of life in New Mexico and we are grateful for the work that Quality
New Mexico is doing.
The Green Zia Environmental Excellence Program is supported by funding
provided by the US Environmental Protection Agency and the U.S.
Department of Energy. Special thanks are extended to Eli Martinez, Joy
Campbell and Rob Lawrence for their support of this program.
We also wish to acknowledge Senator Dede Feldman, Senator Michael
Sanchez and Senator Pauline Eisenstadt for their support in the development
of Senate Joint Memorial 2 that established the Pollution Prevention Advisory
Council and the Green Zia Environmental Excellence Program. We would
also like to extend our thanks to Senator Dede Feldman, Senator Carlos
Cisneros and Representative Pauline Gubbels for their support of pollution
prevention legislation during the 2001 New Mexico Legislature.
Thanks to Dr. Robert Pojasek for guidance on the development of the program
and for the use of the "Systems Approach to Pollution Prevention" and the
"Nothing to Waste" Manual. Also, special thanks to Sumitomo, Albuquerque
and R.C. and Salley Cudney of Environmental Services, Incorporated for the
use of the Environmental Excellence cover art for this manual.
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The New Mexico Pollution Prevention Advisory Council:
Peter Alexander, Rebuild New Mexico
Dominic Annetta, Do Paso Corporation
Jean Arya, Public Service of New Mexico
John Bartlit, NM Citizens for Clean Air and Water
Carol Belcher, NM Facility Managers Association
Troy Bradley, Comet Cleaners, Albuquerque
J.D. Bullington, Association of Commerce & Industry
Chris Campbell, Waste Management Education and Research Consortium
Margo Covington, Covington Consulting
Alice Darilek, NM State Engineer's Office
George Evans, Intel Corporation
Bill Fulginetti, NM Municipal League
Julia Gabaldon, Quality New Mexico
Pat Gallagher, New Mexico Environment Department
Abbas Ghassemi, Waste Management Education and Research Consortium
Dan Hagan, Energy, Minerals and Natural Resources Department
Ware Hartwell, Los Alamos National Laboratory
Robert Haspel
Joe Herrera, Johnson Controls, Inc
Will Hoffman, City of Albuquerque Solid Waste Department
Bob Hogrefe, Albuquerque Public Works Department
Sarah Kotchian, Director, Albuquerque Environmental Health Department
Chris Houston, Department of Energy, Albuquerque Operations
John Jeffers, NM Manufacturing Extension Program
Judy Kowalski, University of New Mexico
Steve Kouba, Westinghouse Waste Isolation Division
Jack McGowan, Energy Systems, Inc.
Therese Martinez-Loner, Albuquerque Environmental Health Department
Roy Miller, Director, NM Small Business Development Center Network
Marty Mitchell, Roy F. Weston
Kylene Molley, Sandia National Laboratories
John Moody, Kirtland Air Force Base
Frank Renz, NM Association of Community Colleges
Scott Seydel, MicoOptical Devices
Victor Scherzinger, Cottonwood Printing
Michael Smith, Parajito Sierra Club
Tom Starke, Los Alamos National Laboratory
Brian Thompson, Los Alamos National Laboratory
Mike Sweitzer, Department of Energy
Lynda Taylor, Southwest Research and Information Center
Ron Taylor, Photo Systems
Jeff Weinrach, JCS/Novation
Chris Wentz, Energy, Minerals and Natural Resources Department
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2000 Green Zia Environmental Excellence Program Recognition Winners
The winners are in two categories, Achievement and Commitment.
Achievement Recognition Winners:
• Cannon Air Force Base
• Cottonwood Printing, Albuquerque
• Holloman Air Force Base
• Intel Corporation, Rio Rancho
• Los Alamos National Laboratory, Weapon Component Technology
• Los Alamos National Laboratory, Environmental Science and Waste
Technology
• Los Alamos National Laboratory, High Explosives Science and Technology
Group, Los Alamos
• McKinley Paper, Prewitt
• Philips Semiconductors, Albuquerque
• Sumitomo Sitix Silicon, Inc., Albuquerque
• Sumitomo/Silmax, Albuquerque
• Westinghouse, Waste Isolation Division, Carlsbad
Commitment Recognition Winners:
• Aramark Corporation, Los Alamos
• Comet Cleaners, Silver City Comet Cleaners, Silver City
• Honeywell Defense Avionics, Albuquerque
• Hydroscope Inc., Albuquerque
• Kirtland Air Force Base, Defense Threat Reduction Agency
• Kirtland Air Force Base, Recycling Tiger Team
• Los Alamos National Laboratory, Business Operations Division
• Los Alamos National Laboratory, Human Resources Division
• Los Alamos National Laboratory, Transition Manufacturing and Safety
Equipment Project
• Los Alamos National Laboratory, Facilities and Waste Operations, Diversified
Facilities
• Navaj o Refining, Artesia
• New Mexico State University, Carlsbad
• Rebuild New Mexico, Albuquerque
• Sandia National Laboratories, Sustainable Design Program
• Sandia National Laboratories, Machine Shop
• Sandia National Laboratories, Environmentally Preferable Purchasing
Program
• Sandia National Laboratories, Steam Plant
• URS Radian, Albuquerque
MI
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1999 Green Zia Environmental Excellence Program Recognition Winners
The winners are in two categories, Achievement and Commitment.
Achievement Recognition Winners:
• Cottonwood Printing, Albuquerque
• Denman and Associates, Santa Fe
• Intel Corporation, Rio Rancho
• Los Alamos National Laboratory, Transuranic Waste Inspectible Storage
Project, Los Alamos
• McKinley Paper, Prewitt
• Philips Semiconductors, Albuquerque
• Sumitomo Sitix Silicon, Inc., Albuquerque
• Sumitomo/Silmax, Albuquerque
• Westinghouse, Waste Isolation Division, Carlsbad
Commitment Recognition Winners:
• Academy Corporation, Albuquerque
• B. F. Goodrich Data Systems, Albuquerque
• Comet Cleaners, Albuquerque
• G&K Services, Albuquerque
• Holloman Air Force Base
• Honeywell Defense Avionics, Albuquerque
• Los Alamos National Laboratory, Environmental Management Division, Los
Alamos
• Los Alamos National Laboratory, High Explosives Science and Technology
Group, Los Alamos
• MTM Technology Solutions, Inc, Albuquerque
• Navaj o Refining, Artesia
• Phelps-Dodge, Hidalgo, Playas
• San Cristobal Ranch Foundation, San Cristobal
• United States Postal Service, Albuquerque Customer Service Center,
Albuquerque
IV
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2000 Green Zia Board of Judges
Ware Hartwell, Los Alamos National Laboratory, Lead Judge
Judy Kowalski, Energy, Minerals and Natural Resources Department
Scott Seydel, Emcore, Mode Division
Steve Kouba, Westinghouse Waste Isolation Division
Dr. Abbas Ghassemi, Waste-management Education and Research
Consortium
Robert Hogrefe, City of Albuquerque, Public Works Division
Dr. Martha Mitchell, Roy F. Weston
Anna Richards, New Mexico Environment Department
Dr. Jeffrey Weinrach, JCS Novation
Matt Hunt, Enterprise Performance Improvement Consulting
2000 Green Zia Board of Examiners
Senior Examiners:
Peter Alexander, Rebuild New Mexico
Jean Arya, Public Service of New Mexico
Jerry Bober, New Mexico Environment Department
Daniel Barnett, Cannon Air Force Base
Patricia Gallagher, New Mexico Environment Department
Ware Hartwell, Los Alamos National Laboratory
Alicia Hale, Los Alamos National Laboratory
Matt Hunt, Enterprise Performance Improvement Consulting
Steve Kouba, Westinghouse Waste Isolation Pilot Plant
Judy Kowalski, NM Energy, Minerals and Natural Resources Department Dr.
Martha Mitchell, Roy F. Weston
Dr. Jon Nimitz, Environmental Technology & Education Center
Brian Thompson, Los Alamos National Laboratory
Susan Watkins, Los Alamos National Laboratory
Dr. Jeff Weinrach, JCS/Novation
Examiners:
Jarrett Airhart, Radian International
Lucy Archaumboult, LEA Consulting
Greg Baker, New Mexico Environment Department
Quatro Baker, ThermoRetec Corporation
Bill Bartels, New Mexico Environment Department
Graham Bartlett, Integrated Quality Group
John Bartlit, NM Citizens for Clean Air and Water
Dr. Rick Blackburn, NMSU Carlsbad
Debbie Brown, WERC
Chris Campbell, WERC
Dominique Cartron
Margo Covington, Covington Consulting
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Pat Dhooge, Environmental Technology & Education Center
George Evans, Intel Corporation
Steve Dubyk, New Mexico Environment Department
Debbie Finfrock, Los Alamos National Laboratory
Erik Galloway, New Mexico Environment Department
Nancy Gillard, New Mexico Environment Department
Eddie Gonzales, Southwest Pollution Prevention Center
Brynda Lujan, City of Albuquerque, Public Works Division
Dan Hagan, NM Energy, Minerals and Natural Resources Department
Lena Hakim, Radian International
E. Jeanne Hamilton, Hamilton Quality Consulting Inc.
Mike Hightower, Sandia National Laboratories
Chris Houston, Department of Energy, Albuquerque Operations Office
Daniel Hughes, Los Alamos National Laboratory
Beverly Martin, Los Alamos National Laboratory
Rayo McCollough, McCollough Consulting
Debra McElroy, New Mexico Environment Department
John Moody, Kirtland Air Force Base
Rebecca Nachtrieb, US Environmental Protection Agency, Headquarters
John O'Connell, New Mexico Environment Department
John Parker, New Mexico Environment Department
Linda Paul, Los Alamos National Bank
Annie Porras, Cottonwood Printing
Jay Stimmel, Los Alamos National Laboratory
Tim Stirrup, Radian International
Mark Tardiff, Neptune & Company, Inc.
Michelle Thompson, Los Alamos National Laboratory
RoseAnn Thompson, WERC
Rita Trujillo, New Mexico Environment Department
Cathy Tyson, New Mexico Environment Department
Tarn era Van Horn Bedford, CO Department of Health and Environment
Dianne Wilburn, Los Alamos National Laboratory
Rosilee Winn, New Mexico Environment Department
Cindy Woodin, Westinghouse Waste Isolation Division
VI
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TABLE OF CONTENTS
The Green Zia Environmental Excellence Program Introduction 1
What Makes Up a System for Continuous Improvement? 5
The Green Zia Program and ISO 14001 7
Green Zia Program Award and Recognition Levels 9
Eligibility 12
Small Business Considerations 13
Application and Review Process 15
Application Submission Information 28
Introduction to the Core Values and Criteria 31
The Core Values 32
The Criteria 41
Commitment Recognition Criteria 43
Achievement Recognition/Excellence Award Criteria 45
Scoring System 59
Green Zia Tools and Technical Assistance 65
Green Zia Company Profiles 69
VII
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Green Zia Environmental Excellence Program
Application Cover Form
Company:,
Address:
(Street Name, PO Box, or Apt #)
(City, State, and Zip Code)
Primary Contact (for questions on application):
Work Number: Fax #
E-Mail Address:
Level of award or recognition you are applying for:
LJ Commitment Recognition Level
LJ Achievement Recognition
LJ Environmental Excellence Award Level
Have you won a Green Zia Recognition in the past? What level?
Please submit seven (7) copies of your application to the address below.
Applications must be received by 5:00 pm, Friday, May 11, 2001. Copies may
also be emailed at the address below. Please submit check to cover applicable
application fee (see program guidance for more information) with the
application (please note that checks are made to NMSU, while applications
should be addressed to NMED). Check and application can be submitted
together.
Purchase orders or checks for application fees should be made out to NMSU/WERC.
Please call Chris Campbell at 505-843-4251 for tax id numbers, vendor numbers, etc.
The applications must be sent to the following address:
Patricia Gallagher
Green Zia Environmental Excellence Program
Office of the Secretary
New Mexico Environment Department
PO Box 26110
1190 St. Francis Drive
Santa Fe, NM 87502
505-827-0677, 505-827-2836 (fax)
pat gallagher@nmenv.state.nm.us
VIM
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The Green Zia
Environmental Excellence
Program
Environmental excellence through continuous
improvement: assuring a healthy environment
and a healthy economy for New Mexico
Introduction
The Green Zia Environmental Excellence Program is a voluntary program
designed to support and assist all New Mexico businesses to achieve
environmental excellence through continuous improvement and effective energy
management. The program encourages integration of environmental excellence
into business operations and management practices through the establishment of a
prevention-based environmental management system. The Governor of New
Mexico makes recognitions and awards annually to organizations that
successfully participate in the program. Large and small organizations may
participate.
Why Apply?
> Get an independent assessment of your organization's environmental
performance.
> Understand how your organization can reach new levels of
environmental excellence while satisfying customers.
> Understand how environmental activities can be integrated into
overall business practices.
> Learn to improve efficiency and productivity by adopting proactive
environmental management techniques.
> Achieve morale-boosting recognition and awards and enhance your
competitive position.
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The Green Zia Program is administered by the New Mexico Environmental
Alliance, a partnership of state, local and federal agencies, academia, private
industry and environmental advocacy groups.
The basic premise of the Green Zia Environmental Excellence Program is that
waste is the result of inefficiency and by reducing waste, an organization can
increase its productivity and therefore, its profits. Likewise, the environmental
benefit is clear: waste that is never created does not pollute.
The Green Zia Program emphasizes the establishment of a system to provide a
framework for continuous environmental improvement that will assure
compliance and reduce or eliminate pollution. The Green Zia Program is based
on the Malcolm Baldrige Business Performance Excellence Criteria and the
Quality New Mexico program. It is the only program of its kind nationally and
helps participants integrate environmental decision making into core business
practices.
The Green Zia Core Values and Criteria provide a valuable self-assessment
framework to help organizations understand environmental excellence and
measure their progress toward its achievement. Applicants receive a feedback
report from their examiner team which helps identify program strengths and
opportunities for improvement. Tools, training and on-site technical assistance
are available to organizations to help them develop their programs. Assistance is
available through the Green Zia Program (505) 827-0677, or through the Pollution
Prevention Technical Resource Center at (505) 843-4251.
The Green Zia Environmental Excellence Program is a multi-year program. An
organization that works through the Green Zia Program from the beginning
Commitment Level through the Achievement Level and then ultimately to the
Green Zia Environmental Excellence Award, will gain a thorough understanding
of environmental and energy-associated issues that will affect its bottom line.
The participating organization will also establish a system that helps them address
environmental issues in cost-effective ways, based on sound business practices.
Participants that achieve the Green Zia Environmental Excellence Award will be
on par with environmental leaders worldwide and will demonstrate that
companies can profit from sound environmental performance.
Who Should Participate in This Program?
Any business, organization or community will benefit by participating in the
Green Zia Environmental Excellence Program, regardless of size. Any operation
that generates waste or uses resources such as electricity or water can strive for
continuous environmental improvement.
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Communities can use the Green Zia Environmental Excellence Program to work
with local businesses to meet community environmental and economic
sustainability goals. As well, local governments can apply the Green Zia Program
to operations such as fleet maintenance, waste handling and other operations to
reduce waste and save money! Other types of organizations, such as economic
development organizations and environmental groups, can also benefit from using
the tools associated with the Green Zia Program. The Green Zia Program
assessment tools are fun and easy-to-use.
What is Pollution Prevention?
Simply put, pollution prevention means not creating a waste in the first place.
Pollution prevention is achieved by the efficient use of resources, including raw
materials, energy, water and even time and distance. Efficient use of materials
includes the amount of the material used, the type of material used, and how or
even why the material is used or handled in the process. The goal is to produce a
product or deliver a service as efficiently as possible, with the least amount of
wasted materials or and the least impact on worker health and safety and the
environment.
Pollution prevention translated into business or manufacturing language means
many things: loss prevention, waste reduction, improved efficiency, materials
conservation, water conservation, energy efficiency, energy conservation,
renewable energy use, hazard reduction, manufacturing efficiency, just-in-time
manufacturing, scrap reduction, inventory control, good housekeeping,
formulation efficiency, world class manufacturing, inventory waste reduction,
batch maximization (or optimization), quality improvement, quality
maximization, "zero inventory", globally competitive, "zero emissions", "zero
defects", "green productivity" (from Asia), "green chemistry", continuous
improvement The bottom line is that pollution prevention or improved efficiency
in labor, materials, and energy use can help businesses save money and help
protect the environment at the same time.
What is Effective Energy Management?
Effective energy management is a comprehensive term that includes many
diverse, related activities. It encompasses measures to reduce energy
consumption, as well as the purchase or use renewable energy (i.e., from solar,
wind, geothermal and biomass resources). The important point is that effective
energy management minimizes or eliminates pollution and reduces operating
costs.
Reductions in energy consumption can be accomplished by organizations in a
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variety of ways. These include, but are not limited to, monitoring and assessment
of energy usage; designation of an "Energy Manager" for each facility or group of
facilities; establishment of education and training programs to effect changes in
employee behavior (as it pertains to energy use); efficiency improvements to
lighting, heating/cooling systems, motors and other energy-consuming equipment;
purchase of energy-efficient vehicles and products such as EnergyStar™
appliances, computers, etc.; formation and use of carpools by employees;
adoption of telecommuting and/or flexible schedule policies; scheduling custodial
services to coincide with normal business hours; use of native landscaping to
enhance building efficiency; and strict adherence to manufacturers' recommended
maintenance schedules for energy-related equipment. Thus, there are numerous
mechanisms available for an organization to reduce its consumption of energy or
to use it more wisely.
In addition, effective energy management can entail the purchase or use of
renewable energy. Clean sources of energy such as that produced from the sun,
wind, or earth generate less pollution than conventional energy resources. As a
result, the purchase or use of renewable energy results in protection of the
environment.
What is Environmental Excellence?
Environmental excellence means that an organization can demonstrate best-in-
class environmental performance, beyond mere compliance with environmental,
health and safety regulations. Environmental excellence has two aspects: internal
and external. The internal aspect refers to activities within the facility boundary
such as compliance assurance and continuous improvement of processes, products
and services to significantly reduce or eliminate impacts to the environment and
worker health and safety on an ongoing basis. This also includes water and
energy conservation. The external aspect takes a broader look of the
organization's activities beyond the boundaries of the facility in a stewardship
role such as interaction and support of community, product and process life-cycle
analysis, resource efficiency, environmental enhancement and sustainability.
Environmental excellence is best achieved through a well-integrated
environmental management system. A prevention-based environmental
management system relies on thorough knowledge of processes and a structure
for continuous improvement to reduce or eliminate wastes. A well-designed
system incorporates leadership, both organizational and community; planning;
customers', suppliers', and others' involvement; information and analysis;
employee involvement; process management; and results. This system takes
advantage of existing business management approaches to improve environmental
performance. An organization with this kind of system in place is well on its
way to environmental excellence.
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What Makes Up a System for Continuous Improvement?
A systems approach provides a framework for continuous environmental
improvement. Continuous improvement, over time, will lead an organization to
environmental excellence.
Continuous Improvement can be envisioned and implemented through the
"Deming Cycle" named after W. Edwards Deming who developed this particular
approach in the 1950's to improve business processes. The cycle consists of four
primary stages:
• Plan - Design or revise processes and/or process components to improve
results
• Do - Implement the plan and measure its performance
• Check (Study) - Assess the measurements and report the results to decision-
makers
• Act - Decide on changes needed to improve the process
Repeat the cycle on an ongoing basis to assure continuous improvement.
PLAN
DO
ACT
CHECK
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The Green Zia Program stresses the importance of a sound, systematic approach to
environmental decision-making that is well deployed throughout the organization and
is supported by results that measure the success of the system.
There are three dimensions to an environmental management system:
> APPROACH - How the organization responds to the requirements of the
environmental management system as outlined in the Green Zia Core
Values and Criteria.
> DEPLOYMENT - The extent to which the organization uses the
approach, for example, limited in major operations or throughout the
organization.
> RESULTS - The outcomes achieved by the approach.
Approach
"Approach" refers to the method(s) used. The factors used to evaluate approaches
include:
• appropriateness of the methods to the requirements
• effectiveness of use of the methods. Degree to which the approach:
- is systematic, integrated, and consistently applied
- embodies evaluation/improvement/learning cycles
- is based on reliable information and data
• alignment with organizational needs
• evidence of innovation
Deployment
"Deployment" refers to the extent to which your approach is applied is the
organization. The factors used to evaluate deployment include:
• use of the approach in addressing requirements relevant to your organization,
to what degree or what stage approaches are being implemented (time
element: just beginning to be used or mature)
• use of the approach by all appropriate work units (horizontal)
• use of the approach from management to engineers to support staff (vertical).
Results
"Results" refers to outcomes in achieving the purposes of the system. The factors used
to evaluate results include:
• current performance
• performance relative to appropriate comparisons and/or benchmarks
• rate, breadth, and importance of performance improvements
• linkage of results measures to key organization performance requirements.
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A Few Keys to Success
> Remember that Continuous Improvement is the means to achieve
environmental excellence. Plan, Do, Check and Act cycles are essential. You
are never finished with continuous improvement!
> Start small and build on successes. Good results for organizations in the
process of developing an environmental management system include:
Having a plan for continuous environmental improvement and consistently
following it;
Successful deployment of environmental performance improvement plan.
> Good systems are can be described, measured and improved!
Green Zia and ISO 14001
Organizations with ISO 14001 certification or are considering obtaining ISO
14001 certification should understand that ISO 14001 and the Green Zia Program
can work together to build an outstanding environmental management system that
drives performance excellence.
ISO 14001 is a type of voluntary environmental management system that is
sponsored by the Organization for Standardization. ISO 14001 guides the user in
developing a formal set of procedures and policies that define how an
organization will manage its potential impacts on the natural environment.
Organizations may self certify to ISO 14001 or they may have received a third-
party certification.
ISO 14001 identifies conformance and non-conformance practices according to
ISO's requirements and specifications. ISO 14001 is a management standard, not
a performance standard. As an international standard, organizations seeking ISO
certification may see a benefit in seeking international recognition and market
share.
The Green Zia Program is a results-driven program that demonstrates that
organizations can profit from sound environmental performance. The Green Zia
Program provides an entire integrated environmental management system tied to
leadership, planning, information usage, employees, customers, suppliers, market
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requirements, performance and key business indicators. The Green Zia Program
enhances competitiveness, shared learning, continuous improvement, and overall
business results.
Differences between Green Zia and ISO 14001
Important differences between the Green Zia Program and ISO 14001 include:
> ISO 14001 tends to be production processes and inward-oriented.
> Green Zia criteria are results, employee, marketing, financial analysis,
strategic planning, and heavily top management oriented, and they are
outward-looking.
Focus:
ISO 14001 focuses on establishment, conformance and improvement of
process.
Green Zia focuses on improvement of the entire integrated system and of
overall environmental results.
Scope:
> ISO 14001 looks at design and production processes and directly-
associated support activities.
> Green Zia looks at the entire management system including: leadership;
planning, use of information and measurements; employee involvement;
involvement of customers and other parties; and management of key
business processes.
Prevention Strategy
> ISO 14001 encourages corrective action to fix non-conformances and to
prevent recurrence of problems, "Prevention of pollution".
> Green Zia seeks continuous environmental improvement using continuous
improvement in all aspects of the business, including lessons learned and
feedback reports, "Prevention-based approach".
Responsibility Levels
> ISO 14001 is usually lead by technical specialists in the environmental
department.
> Green Zia works best if lead by an executive management team supported
by environmental department personnel.
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Organizations with ISO 14001 certification have a strong foundation for an
effective environmental management system. These organizations should
perform well in the Green Zia Criteria Category 4 Information and Analysis and
Category 6 Process Management. ISO 140001 should address some of the other
criteria categories as well, but to a lesser extent.
Organizations with ISO 14001-certification can use the Green Zia Program to
expand and improve the system and integrate environmental management and
performance into core business practices. Use of the Green Zia Program in
conjunction with ISO 14001 certification can help an organization move from a
management standard to a performance based-system.
The Green Zia Program Award and Recognition Levels
The Green Zia Environmental Excellence Program is a public recognition and
technical assistance program that acknowledges and supports businesses or
organizations with a vision and desire to move towards environmental excellence
and long-term environmental and economic sustainability. Participants can enter
the program at any one of three levels—Commitment, Achievement, or
Excellence. The levels are designed to engage businesses at all stages of
environmental management system implementation, and to encourage
progressively higher system development. Organizations that submit applications
that meet appropriate program criteria are recognized at an annual ceremony, with
those achieving the highest, or Excellence level, receiving the Governor's award.
Special acknowledgements are made to organizations that participate for
consecutive years, regardless of their award or recognition level. The goal of the
Green Zia Program is to encourage organizations to improve their environmental
programs over time.
It is important to understand that the Green Zia Program sets higher than usual
standards for its awards and recognitions. The Commitment Recognition level
requires a strong affirmation from an organization's leadership to pursue a path of
environmental excellence and an indication that a systematic approach is
beginning to be put in place. The Achievement Recognition level, equivalent to
most state and national awards programs, requires that an organization implement
a comprehensive, prevention-based environmental management system that can
show documented environmental improvements. The Governor's Green Zia
Excellence Award level is currently unequaled among environmental recognition
programs. At this level, an organization is required to show full integration of an
effective prevention-based environmental management system, substantial
documentation of results related to continuous environmental improvement, as
well as internalization of the Program's Core Values. The Excellence Award
"raises the bar" to a new level, and an organization that works through the Green
Zia Criteria, continually building and improving the environmental management
system, will undoubtedly attain this level of excellence along with all of the
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commensurate benefits of increased efficiency. These benefits include significant
cost savings, "best-in-class" environmental performance results, and leadership in
environmental excellence with the tools to meet the challenges of the new
millennium.
The three levels of the Green Zia Environmental Excellence Program are
described below in greater detail. Organizations select a level and prepare an
application based on the expectations set out for that level of the program.
Applications are reviewed by a team of trained examiners, who make
recommendations to a panel of judges. The judges make the ultimate
determination about whether an organization has met the requirements of the level
to which they have applied.
Commitment Recognition Level: The organization's management has made a
strong commitment to prevention and/or effective energy management and is in
the process of creating a framework for a prevention-based environmental
management system. Few, if any, measurable results are expected at this level,
although reporting of early or anecdotal results is encouraged. Instead, the focus
is on development of the organization's continuous environmental improvement
program.
Participants at this level receive a Green Zia Commitment Certificate signed by
the organization's senior manager and the Governor of New Mexico.
Achievement Recognition Level: An organization has a prevention-based
environmental management system in place, the system is becoming more
integrated into the organization as a whole, and the organization can show results
that demonstrate progress towards environmental excellence, in keeping with its
key business requirements. This includes integration of environment management
into existing business systems as outlined in the criteria categories. The
Achievement Recognition Level also emphasizes the measurement of results to
show positive performance and improvement trends in many areas of the
organization, in alignment with its key business requirements. Achievement also
means that the organization is beginning to establish systematic evaluation and
improvement processes to assure organizational learning and improvement of its
overall environmental management system.
Participants that successfully apply at the Achievement Recognition Level may
use the Green Zia window sticker and the Green Zia logo in advertising.
Governor's Green Zia Environmental Excellence Award: The organization is
considered "best in class" in environmental performance in New Mexico. The
organization has a fully integrated prevention-based environmental management
system in place that is well deployed throughout the organization. The
organization can demonstrate good to excellent environmental results for most
areas of importance to its key business requirements and can demonstrate
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sustained improvement and performance trends. As well, Excellence Award
winners should have no adverse trends or poor environmental performance.
As an Excellence Award winner, the organization demonstrates leadership in
innovative and effective approaches to environmental issues, employs "best
practices" throughout the organization to assure exemplary environmental
performance, examines product and service design to reduce or eliminate impacts
to the environment, and actively supports environmental excellence in its
community. Excellence winners are asked to serve as mentors in the business
community to encourage environmental excellence, beyond what they might be
doing as part of their existing excellence program.
Excellence Award winners should also demonstrate that they have systematic
evaluation and improvement processes in place to assure organizational learning
and improvement of the overall prevention-based environmental management
system.
Winners at this level are given the highly prestigious Governor's Green Zia
Environmental Excellence Award. An organization that receives this award will
be on par with world leaders in environmental excellence.
Green Zia Pollution Prevention Partnership certificate: Organizations that
continue to participate in the Green Zia Program receive special partnership
recognition along with the Commitment and Achievement Recognitions and
Excellence Awards. This partnership program is designed to acknowledge an
organization's continued participation in the Green Zia Program as it works
through the recognition and award levels. It is understood that organizations may
not apply each year to the program while they focus their efforts on specific
organizational improvements. The Pollution Prevention Partnership provides a
means to support pollution prevention efforts in the state through mentorship,
training, outreach, pilots and other support activities. Each Pollution Prevention
Partner will receive a certificate showing the number of years of consecutive
participation in the Green Zia Program.
The progression through the three levels provides a framework for continuous
improvement over time, contributes to a thorough understanding of environmental
issues and helps organizations build on their own learning in terms of achieving
improved environmental performance. This progression helps an organization
understand and appreciate the concepts of continuous improvement and how they
can be applied over time to realize the maximum economic and environmental
benefit.
As with exercise, environmental excellence benefits are not realized with a single
act. This program is about getting and being "in great shape" with the
environment. Excellence is demonstrated through one's actions and decisions
along the journey. It is this journey that the Green Zia Program recognizes and
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encourages. Also, change takes time, and the Green Zia Program recognizes and
promotes this critical continuous improvement principle.
Eligibility
Any organization that operates in the State of New Mexico can apply for the
Green Zia Environmental Excellence Program.
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Small Business Considerations
Small businesses are encouraged to participate in the Green Zia Environmental
Excellence Program. Small businesses tend to have fewer financial and human
resources to deal with environmental issues. At the same time, environmental
compliance may be a significant issue for small businesses in terms of cost, time
and understanding complex regulations. The Green Zia Program can help small
businesses deal with their environmental issues in ways that reduce waste and
associated costs as well as increase profitability. The program can also help small
businesses reduce their energy usage and associated costs.
At first glance, the Green Zia Environmental Excellence Program may seem
daunting and complex for a small business. However, a small business can
develop a prevention-based environmental management system that can meet
their needs. The Nothing to Waste Program provides tools to build such a
program and is offered through the Green Zia Program. The Nothing to Waste
Program was specifically developed for use by very small businesses, even one-
person businesses.
The Core Values and Criteria of the Green Zia Program provide a framework for
small businesses to reach environmental excellence. The key is to understand
how the criteria apply to a small business setting. A small business is only
required to meet the intent of the criteria in ways that are relevant to their key
business factors.
For small businesses, the following considerations apply:
• Understand the environmental and energy-associated issues that are relevant
to the business
• Effective, informal processes may be in place to support the program
• Continuous improvement is key
• Results demonstrate continuous improvement over time
• The Organizational Overview will set the tone for a small business
A small business clearly will have different environmental issues and key
business factors than a large manufacturer. The small business may have
informal processes in place to conduct planning, process management and
employee, customer and supplier involvement. These processes are all valuable
in the Green Zia Program if they help the business improve its environmental
performance. For example, strategic planning in a small business may occur once
each year at the dinner table. The key is that environmental improvement is part
of this informal planning process and that environmental improvement projects
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are developed, implemented and tracked. A small business may not own a
computer and may rely on effective, less sophisticated information management
systems, such as a logbook. The logbook works well for tracking solvent
purchases, and recording waste disposal information, as well as keeping receipts
from the waste disposal companies. This information can be used to show waste
reduction and cost reduction results over time as the business reduces it solvent
use. The key is to have improvement processes in place and be able to
demonstrate how the processes help the small business continuously improve its
environmental performance.
An example of a small business Commitment Recognition application is available
upon request from the Green Zia Program by calling 505-827-0677. Also, small
business are strongly encouraged to contact the Green Zia/Pollution Prevention
Technical Resource Center for assistance in setting up a Green Zia Program.
Please call 505-843-4251 (in Albuquerque) for more information.
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Application and Review
Process
Information on how to prepare an application,
application deadlines and an explanation of
the review process is explained in this chapter.
How to Prepare an Application
The purpose of the application process is for an organization to conduct an
assessment of its program, gain feedback from examiners to improve their
program and receive public recognition for its successes. Applicants may apply
using either the Commitment Recognition Criteria or the Achievement/Excellence
Criteria. It is important that an organization address the criteria that best represent
the current state of their environmental management system in order to receive the
most value-added feedback report.
This is a multi-year program that stresses continuous improvement; companies are
strongly encouraged to apply each year to achieve progressively higher levels of
recognition within the Green Zia Environmental Excellence Program. For
example, an organization with only the beginnings of an environmental
management system or with an interest in reducing its energy usage should
address the Commitment level criteria, which involves answering ten questions.
Organizations with more developed environmental systems should address the
more detailed Achievement/Excellence criteria.
An organization receiving commitment recognition may spend the next year
developing its program, implementing opportunities, and measuring results. At
this point, the organization is encouraged to apply for the Achievement
Recognition level. The organization can then continue progressing and improving
its prevention-based environmental management system until it receives the
Green Zia Environmental Excellence Award.
An organization can apply for any level as many times as it takes to attain the
level. Organizations may only apply and be accepted at the Commitment
Recognition level two times; after that they must apply to the Achievement
Recognition or Excellence Award levels. There is no limit to the number of years
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that an organization can participate at the Achievement Recognition and
Excellence Award levels, as long as the organization can demonstrate continuous
improvement from the subsequent year and show sustained results and positive
performance trends. Organizations may also participate in the Green Zia
Pollution Prevention Partnership during years when they are applying and also
during years when they do not submit an application. The Partnership provides an
opportunity to promote pollution prevention and environmental improvement in
the state.
Organizations applying at the Achievement Recognition or Excellence Award
levels are expected to address the criteria as they pertain to their organizations and
accurately reflect the programs they have in place. The Examiner Team will
prepare feedback reports based on the application, and the Board of Judges will
make all recognition/award determinations based on the feedback reports.
It may take an organization several years to achieve the Excellence Award; so
many organizations will remain at the Achievement Recognition Level for a
period of years. This has no bearing on how "good" an organization's program is,
but reflects the time it often takes to develop a program to the Excellence Award
standard and to cross the threshold from Achievement to Excellence. Continuous
environmental quality improvement techniques will help an organization move
across this threshold.
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Excellence
Achievement
Commitment
Immature
Reactive
Mature
Proactive
The progression of the Green Zia Environmental Excellence Program
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Approach/Deployment and Results
The criteria are organized into seven categories. Categories 1-6 refer to the
approach and deployment processes. "Approach" refers to the particular process
that is in place, and "deployment" refers to the degree to which the approach is
applied throughout the organization and the extent to which the approach is being
used. Category 7 refers to results, which flow from the approach and deployment
processes addressed in categories 1-6. For example, an approach to develop a
strategic plan for environmental excellence could involve meetings with
management and staff to identify long-term environmental improvement
opportunities. Deployment could address whether each business unit is involved
in these meetings or whether the meetings happen on a regular or sporadic basis.
The results from these meetings could reflect staff involvement and participation
or economic and environmental results from the implementation of the plan.
Application page limits (including exhibits and attachments) are:
Organizational Overview: 7 pages
Commitment: 10 pages
Achievement and Excellence: 50 pages
Application Writing Tips
Please note that you should describe the system that your organization has in
place and not try to address criteria questions that have not yet been incorporated
into your system. It is helpful to briefly explain why some of questions in "Areas
to Consider" do not apply to your organization. Also, feel free to discuss your
organizational practices that go beyond the criteria!
The page limits given above are a maximum. Please be concise in the application
and address the criteria questions directly, in a way that allows the team of
examiners to clearly understand your organization's program. Try to use graphics
to explain the most important processes or systems for analysis and improvement:
this will help the examiners understand your organization's program better. Also,
the criteria are crosscutting. It is perfectly acceptable to refer to other sections of
the application if information pertaining to the question is in another section.
Also, one process may be used to address several items or several categories
within the application. It should not be assumed that a unique process must exist
for every criterion.
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Applicants with parent companies or other facilities in other states or countries
should describe the system they have in place and the results they have achieved
at the New Mexico facility only. It is important to describe how the New Mexico
facility interacts with the parent organization and what types of environmental or
other related requirements flow from the parent organization, and how the New
Mexico facility responds to those requirements.
Organizations that are resubmitting applications should address information from
prior applications to show improvements and action. This is important for
documenting continuous improvement of the approach and deployment system
and the results.
Applicants should refer to core values throughout the application-writing process.
Core values support and guide the overall program, and efforts should be made to
internalize the core values into the program.
Application Writing Tips
^ Begin with the end in mind.
v' Treat the application writing like REAL WORK!
S Understand the meaning of "How"
- Different from "WHAT"
Process oriented: What are the steps you use to do something
Use flow charts or other graphics to describe "how"
Can use example to demonstrate deployment of "how"
Approach/Deployment (Categories 1-6)
> Understand the meaning of "how"
> Show the what and how
> Show that activities are systematic
> Show focus and consistency
> Cross-reference
> Use flowcharts, tables and bullets
> Refer to Scoring Guidelines
Results (Category 7)
> Focus on critical business results
> Consider trends, levels, comparisons, breadth
> Include actual periods
> Use tables and graphs
> Use meaningful captions
> Show performance against goals
> Tie results to process
> Show historical trends
> Show relationship between environmental and fiscal results
> Avoid anecdotal results (stories)
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Criteria Question: How does your organization identify, develop and implement long-term and related short-term goals and objectives for
continuous environmental improvement? How do these goals and objectives relate to your organization's overall business objectives?
Performance goals
performance information
1.
Annual strategic planning
meeting
Senior managers and
operations managers
review plan and set goals
Action plans developed at
operational level
3.
Projects initiated
Quarterly progress review
with managers
Decription of Deployment: Strategies and Action Plans are communicated to
employees at monthly all hands meetings and through regular email notification.
Environmental goals are developed with other company goals during strategic
planning meetings and environmental issues are included in all actionplan
development.
Example of a graphic showing approach and description of deployment.
Organizational Overview
Each applicant must provide an organizational overview to describe the key
business factors that the organization must address in terms of their environmental
concerns.
A well-prepared organizational overview will help the examiners understand
which criteria questions are most appropriate in the application and why this is the
case. This is particularly important for small business applications.
The Organizational Overview should not exceed seven pages and will not be
counted in the overall page count of your application.
The Organizational Overview must include a graphic representation of your
environmental management system which shows how the different parts of the
system link, interact and support each other. This should represent the high level
(or 10,000') view of your system. This overview can help you understand how
linkages support the overall system as well as identify gaps in the system that you
can address. This high level view will also help your examiner team understand
how your system works together as well.
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The Organizational Overview is an outline of how your business addresses
environmental excellence. It should address what environment, health and safety
concerns are most important to the organization, key influences on how the
organization operates its environment, health and safety programs, and where the
organization is headed with respect to environmental excellence. The
Organizational Overview is a statement of what is relevant and important to your
organization and its environment, health and safety performance.
The Organizational Overview is critically important because:
• It is the most appropriate starting point for self-assessment and for writing an
application. It helps you focus on key business and environmental excellence
performance requirements and results; and
• The Examiners and Judges use it in all stages of application review and during
the site visit.
Guidelines for Preparing the Organizational Overview
The Organizational Overview consists of five sections as follows:
1. Basic Description of Your Organization
This section should provide information on:
• Your products and services and their environment, health and safety
regulatory compliance needs;
• The size and location(s) of your organization and whether it is publicly or
privately owned;
• Your organizational culture: purpose, vision, mission, and values, as it relates
to environmental excellence;
• Your major markets: local, regional, national, or international; and principal
customer types: consumers, other businesses, government, etc. and the degree
to which they have demanded environmental excellence from the
organization;
• Your employee base, including number, types, educational level, and special
environment, health and safety requirements;
• Your relations with other interested parties on environment, health and safety
issues;
• The major equipment, facilities, and technologies used in your organization,
including energy-related equipment such as lighting, heating/cooling units,
motors, etc.; and
• The regulatory environment affecting you: occupational health and safely,
environmental, financial, and product, etc.
If your organization is a subunit of a larger organization, describe:
• The organizational relationship to your "parent" and percent of employees the
subunit represents;
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• How your products and services relate to those of your "parent" and/or other
units of the "parent" organization; and
• Key environmental excellence support services, if any, that your "parent"
organization provides.
2. Customer and Interested Party Requirements
This section should provide information on:
• Key customer and market requirements (for example, open permit process,
availability of environmental monitoring information, status of compliance,
availability or incidence reports, responses to complaints, and after-sales
environmental services) for products and services. Briefly describe all
important environment, health and safety requirements, and note significant
differences, if any, in requirements among customer groups and/or market
segments. (Note any special relationships, such as P2 partnerships, with
customers or interested party groups.)
3. Supplier and P2- partnering Relationships
This section should provide information on:
• Types and numbers of suppliers of goods and services and their involvement
in environmental excellence matters;
• The most important types of suppliers, P2 partners, and other businesses;
• Voluntary P2-related programs they are involved with: and
• Any limitations, special relationships, or special requirements that may exist
with some or all suppliers and P2 partners that affect your environmental
excellence program.
4. Competitive Situation
This section should provide information on:
• Numbers and types of competitors that have active environmental excellence
efforts;
• Your relative environmental excellence position in the industry;
• Principal factors that determine your prevention-focused program competitive
success, such as productivity growth, cost reduction, energy usage, and
product innovation as compared to others in the industry; and
• Environment, health and safety changes taking place that affect competition,
such as growing global competition.
5. Strategic Context
This section should provide information, as appropriate, on:
• Major new environmental excellence thrusts, such as changes in products or
entry into new markets or segments;
• New prevention-focused business alliances;
• Introduction of new P2 technologies;
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Changes in environment, health and safety strategy; and
Unique environmental excellence factors.
Guidelines for Responding to Approach/Deployment Items (Categories 1-6 of
the Criteria)
The Criteria focus on key performance results. However, results by themselves
offer little diagnostic value. For example, if some results are poor or are
improving at rates slower than the competition's, it is important to understand why
this is so and what might be done to accelerate improvement.
The purpose of Approach-Deployment Items is to permit diagnosis of the
organization's most important environmental management and waste prevention
processes - the ones that enable fast-paced performance improvement and
contribute to key results. Diagnosis and feedback depend heavily upon the
content (approach) and completeness (deployment) of Approach-Deployment
Item responses. For this reason, it is important to respond to these Items by
providing key process information. Guidelines for organizing and reviewing such
information follow.
1. Understand the meaning of "how. "
Items requesting information on approach include questions that begin with the
word "how." Responses should outline key process information such as methods,
measures, deployment, and evaluation/improvement/learning factors. Responses
lacking such information, or merely providing an example, are referred to in the
Scoring Guidelines as anecdotal information.
2. Write and review response(s) with the following guidelines and comments in
mind:
• Show what and how.
It is important to give basic information about what the key processes are and
how they work. Although it is helpful to include who performs the work,
merely stating who does not permit diagnosis or feedback. For example,
stating, "customer and other interested party satisfaction data are analyzed by
the Environmental Management or EHS Department", does not permit
diagnosis or feedback on how or why this is done. Strengths and
opportunities for improvement cannot be given based on this limited
information.
• Show that activities are systematic.
Approaches that are systematic are repeatable and use data and information
for improvement and learning. In other words, approaches are systematic if
they "build in" evaluation and learning, and thereby gain in maturity.
• Show deployment.
Deployment information should summarize what is done in different parts of
the organization. It should also convey the extent to which processes are
utilized and should be supported by results even at a preliminary level.
Deployment can be shown compactly by using tables.
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3. Cross-reference when appropriate.
Each Item response should, as much as possible, be self-contained. However,
some responses to different Items might be mutually reinforcing. It is then
appropriate to refer to the other responses, rather than to repeat information. In
such cases, key process information should be given in the Item requesting this
information. For example, employee education and training should be described
in detail in Item 5.1. References elsewhere to education and training would then
reference, but not repeat, this detail.
4. Use a compact format.
Applicants should make the best use of the application page limits. Applicants are
encouraged to use flow-charts, tables, and "bullets" to present information.
5. Refer to the Scoring Guidelines.
The evaluation of Item responses is accomplished by considering the Criteria Item
requirements and the maturity of the approaches, breadth of deployment, and
strength of the improvement process relative to the Scoring Guidelines. Therefore,
Criteria users need to consider both the Criteria and the Scoring Guidelines.
Guidelines for Responding to Results Items (Category 7 of the Criteria)
The Criteria place great emphasis on results. The following information,
guidelines, and example relate to effective and complete reporting of results.
1. Focus on the most critical results.
Results reported should cover the most important requirements for business
success, highlighted in the Organizational Overview, and in the Strategic Planning
and Process Management Categories.
2. Note the meaning of the four key requirements from the Scoring Guidelines
for effective reporting of results data.
• Trends to show directions of results and rates of change;
• Performance levels on a meaningful measurement scale;
• Comparisons to show how results compare with those of other, appropriately
selected organizations; and
• Breadth of results to show that all important results are included.
3. Include trend data covering actual periods for tracking trends.
No minimum period of time is specified for trend data. Trends might span five
years or more for some results. However, for important results, new data should
be included even if trends and comparisons are not yet well established.
4. Use a compact format — graphs and tables.
Many results can be reported compactly by using graphs and tables. Graphs and
tables should be labeled for easy interpretation. Results over time or compared
with others should be "normalized" - presented in a way (such as use of ratios)
that takes into account various size factors. For example, reporting safety trends in
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terms of lost workdays per 100 employees would be more meaningful than total
lost workdays, if the number of employees has varied over the time period, or if
you are comparing your results to organizations varying in size.
5. Integrate results into the body of the text.
Discussion of results and the results themselves should be close together in an
application. Trends that show a significant positive or negative change should be
explained. Use figure numbers that correspond to Items. For example, the third
figure for Item 7.1 would be Figure 7.1-3.
Commitment Recognition Application Guidelines
At the Commitment Recognition level, an organization is starting to develop a
prevention-based environmental management system or is committed to reduce its
energy usage. An organization may have no experience with pollution
prevention but is in the first stages of putting environmental improvement
approaches in place. These approaches may not be continuous during these early
stages but would likely become continuous as environmental improvement is
realized. Likewise, an organization at this level may have some pollution
prevention successes, but they may not have been achieved systematically.
Companies applying at the Commitment Recognition level should address the ten
questions of the Commitment Recognition criteria. At this level, no results are
expected because the environmental management system is under development,
therefore "Category 7: Results" does not apply, although applicants are
encouraged to share anecdotal results at this level and are also encouraged to
share expected results.
An organization that strives to receive the Commitment Recognition may be able
to do so by using the Green Zia tools (described briefly at the end of these
guidelines) in their organization to support their program, with some additional
program elements as outlined in the Commitment Criteria. In the 1999 Green Zia
Program, organizations using problem solving and decision-making tools tended
to score higher than organizations that did not use these tools. Other systematic
approaches to pollution prevention or environmental management may also be
employed to help an organization attain this recognition level. It is very important
that the organization clearly describes how a systematic approach will be
integrated into their business practices, including what steps have already been
taken to initiate the approach.
Commitment to establishing a system to manage and improve
environmental performance and evidence of action are key to the
Commitment Recognition Level.
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Achievement Recognition Application Guidelines
An organization that receives the Achievement Recognition has shown progress
in the implementation and expansion of its prevention-based environmental
management system and can demonstrate measurable environmental
improvement results. Achievement Recognition applicants should refer to the
scoring guidelines to gain a sense of where their program is in terms of
development. To attain the Achievement Recognition level, an organization will
be expected to score somewhere around 300-600 cumulative points including both
the approach/deployment and results scoring bands. It is important to understand
the differences between scoring bands (percent ranges) in the scoring guidelines
on pages 62-63. The different bands tend to reflect the maturity of the
environmental management system. Each item is assigned a percent score based
on the level of approach/deployment or results and the demonstration of the core
values.
An organization at the Achievement Recognition level has developed sound,
systematic approaches to environmental excellence that are well deployed in
critical areas of operation and are in early stages of deployment in other areas of
the organization.
The Achievement Recognition level emphasizes the measurement of results that
show positive performance and improvement trends in many areas of the
organization, in alignment with its key business requirements. As such, a
successful application should detail the measures used, how they are tracked, the
improvements they show, and how they relate to their approach/deployment
systems. At the Achievement Recognition level, organizations should have no
pattern of adverse environmental trends and no poor environmental performance
levels in areas of importance to the organization's key business requirements.
For problem areas of the past, such as corrective action sites or operations with
chronic compliance problems, the Achievement Recognition application should
be able to demonstrate improvement trends for these areas, showing the
relationship between these improvements and the workings of the environmental
management system.
Achieving compliance alone is not sufficient to attain the Achievement
Recognition level. Applicants must be showing results that demonstrate beyond
compliance performance through waste reduction and pollution prevention.
Achievement Recognition also means that the organization is beginning to
establish systematic evaluation and improvement processes to assure
organizational learning and improvement of its overall environmental
management system.
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Achievement Recognition applicants should review the full criteria and answer all
questions that pertain to them. The Achievement Recognition application should
reflect the degree of deployment of the prevention-based environmental
management system. Achievement applicants are expected to address the general
concepts in the criteria "items," though not every question in the "areas to
consider." Achievement applicants are encouraged to read through the "areas to
consider" to gain a greater understanding of the intention of the "item."
Establishment of an environmental management system, cycles of
learning and improvement, demonstration of progress,
deployment of approaches, evidence of action and results are key
to the Achievement Recognition level.
Green Zia Environmental Excellence Award Application
Guidelines
An organization that receives the Governor's Green Zia Environmental
Excellence Award has a fully integrated, prevention-based environmental
management system with no significant gaps. The organization also has
systematic evaluation and improvement processes in place to assure
organizational learning and improvement of its overall environmental
management system.
Excellence Award winners will be expected to score somewhere around 600 to
700 cumulative points for both approach/ deployment and results. It is important
to understand the differences between scoring bands in the scoring guidelines on
pages 62 and 63. The different bands tend to reflect the maturity of the
environmental management system. Each item is assigned a percent score based
on the level of approach/deployment or results and the demonstration of the core
values. Such scores reflect a program that has sound approach and deployment
systems in place with no significant gaps. As well, the organization demonstrates
environmental improvement trends and good to excellent environmental
performance results in most to all areas of importance to the organization's key
business requirements. Sustaining good to excellent environmental performance
over time is also important at the Excellence Award level.
At the Excellence Award level, an organization will have in place a mature
environmental management system. The Excellence Award level system
emphasizes the measurement of results to show good to excellent performance in
areas of importance to the organization's key business requirements; results
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address the environmental aspects of most key customer, market, stakeholder and
process requirements; most environmental improvement trends and/or current
performance trends are sustained over time; and many to most trends and /or
current levels evaluated against relevant comparisons and/or benchmarks show
areas of environmental leadership and very good relative environmental
performance ("best-in-class" performance). As well, Excellence Award winners
should have no adverse trends or poor environmental performance levels and
should have no unresolved environmental compliance issues.
The Excellence Award also means that the organization is an environmental
leader in its community by supporting environmental projects, establishing
meaningful and effective communication with key communities and stakeholders;
understanding community environmental issues and taking action to contribute to
environmental improvements in the community as appropriate; and mentoring
businesses with fewer resources to promote environmental excellence as
appropriate.
The Excellence Award reflects the degree of deployment, integration and applied
continuous improvement of the prevention-based environmental management
system with significant results. Excellence applicants are expected to address the
"areas to consider" under individual items. Excellence applicants are not
expected to address every "area to consider", but should address the ones that are
applicable to the organization. However, at the Excellence level, a system in
place should address multiple requirements of the item. Also, the systematic
approaches in place are well integrated among approach/deployment criteria
categories.
Best-in-Class Performance is key for the Governor's
Environmental Excellence Award.
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Application Submission Information
Applications are submitted to the Green Zia Environmental Excellence Program.
Applications for the 2001 Green Zia Program and Recognitions are due by May
11, 2001. Applications must include the Application Cover Form, applicable
fees, an Organizational Overview and then address the Green Zia Criteria at the
appropriate level to which the applicant is applying. The applicant must submit
seven (7) copies of their application (the seven copies are distributed to the
examination team). Double-sided copies are encouraged. Electronic copies may
also be submitted in lieu of paper copies. Applications must be received no later
than 5:00 pm, Friday, May 11, 2001.
The following application fees apply (this is assessed on organization as a whole
and not individual units within a larger organization):
Organizations over 1,000 employees: $150.00
Organizations between 1,000 and 100 hundred employees: $100.00
Organizations between 100 and 50 employees: $75.00
Organizations with fewer than 50 employees: no fee
Purchase orders or checks for application fees should be made out to
NMSU/WERC. Please call Chris Campbell at 505-843-4251 for tax id numbers,
vendor numbers, etc.
The applications must be sent to the following address:
Patricia Gallagher
Green Zia Environmental Excellence Program
Office of the Secretary
New Mexico Environment Department
PO Box 26110
1190 St. Francis Drive
Santa Fe, NM 87502
505-827-0677, 505-827-2836 (fax)
pat_gallagher@nmenv. state.nm.us
Please contact Patricia Gallagher at 505-827-0677 if you have any questions
about the application process. Also, a public domain listserve is established to
answer questions on the Green Zia Program, application preparation and any other
questions. We encourage your active participation on this listserve and ask that
participants share their ideas and insights on the Green Zia Program through this
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listserve. The listserve address is greenzia(@,lanl.gov. You may be added to this
listserve by contacting ware@lanl.gov.
Review Process
A panel of trained volunteer examiners reviews applications for the Green Zia
Recognition and Award Program. The examiners come from a wide variety of
backgrounds, including state agencies, federal facilities, local governments,
private industry, academia, and environmental and community groups.
Reviews are conducted in teams with experienced team leaders. The teams score
each application through a consensus approach. In order to receive a positive
review, an organization must demonstrate that a particular process is in place;
being anecdotal is not sufficient. Please review the scoring guidelines to gain a
sense of what is expected at each level. At the Excellence/Achievement levels,
the team of examiners provides a percent score for each item in criteria and this
score is totaled for a cumulative score. At the Commitment Recognition level, the
examiners use a checklist to determine the strength of the application against the
Commitment Criteria questions.
Examiners may conduct site visits to verify information provided by companies in
their applications. Site visits are discretionary at the Achievement Recognition
level, and mandatory at the Environmental Excellence Award level.
Examiners are held to a high standard of discretion regarding the applications they
are charged with. Examiners may not reveal which applications they review,
even to other teams within the Green Zia Program. Examiners may have no
conflict of interest with an applicant.
Examiners prepare a "feedback report" for each organization whose application is
reviewed. The report provides detailed information, including review team
comments on the organization's strengths and opportunities for improvement in
the area of environmental performance.
The feedback report is an invaluable asset to the applicant organization as it
provides insights from an outside team of experts. This is a great opportunity to
receive free consulting on your environmental excellence program.
A panel of judges drawn from the Green Zia Advisory Council and other
appropriate people makes final award determinations. Judges have extensive
knowledge of pollution prevention and quality concepts. The Governor makes
Green Zia Awards each fall.
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Introduction to the Green
Zia Core Values and Criteria
Six core values form the basis of environmental excellence.
Seven categories provide the framework for achieving
continuous environmental improvement. These core values
and criteria should be addressed in the Green Zia
Environmental Excellence Program application.
Green Zia Core Values and Criteria
Applicants must consider the Green Zia Core Values and Criteria as they prepare
their applications. Core Values are the guiding principles, or essence, of the
program. The Green Zia Award Criteria form the infrastructure upon which an
organization, through its application, is evaluated. In addressing these criteria,
implementation of the Core Values throughout the application is essential. Core
Values convey what must be present if an organization's environmental
management system is to succeed. The Criteria walk you through the structure of
an environmental management system that is integrated throughout the
organization.
Core Values = Principles
Criteria = Framework
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The Green Zia Core Values
The Six Core Values of the Green Zia Environmental Excellence Program are:
• Leadership Commitment
• Efficient Product, Service and Process Design
• Continuous Improvement and Organizational and Personal Learning
• Valuing Employees and Partners
• Management by Fact
• Sustainability
Core Value: Leadership Commitment
Senior leaders should create clear and visible values and a vision of
environmental excellence for the organization. Leaders should ensure the
creation of strategies, systems and methods for achieving environmental
excellence. These values and strategies should help guide all activities and
decisions throughout the organization. Environmental excellence requires
strategies that set environmental performance goals that go beyond mere
compliance with environment and health and safety regulations.
Senior leaders should inspire and motivate your entire workforce and encourage
all employees to develop, learn, and innovate in the pursuit of the organization's
vision of environmental excellence. By serving as role models through ethical
behavior and proactive, environmental thinking, senior leaders demonstrate their
commitment to the values and strategies that result in environmental excellence.
Leaders should demonstrate strong commitment to continuous environmental
improvement by:
• Providing adequate financial and human resources to assure implementation
of action plans.
• Taking a long-term view of the future regarding community environmental
and economic Sustainability through company and personal policies of good
environmental stewardship.
• Sponsoring community environmental activities, mentoring other businesses,
partnering on innovative regulatory approaches, and creating a "shared
learning" environment.
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Core Value: Efficient Product, Service and Process Design
Efficient product, service and process design is the cornerstone of environmental
excellence as it provides the most effective opportunity to incorporate resource
efficiency throughout the organization to reach the maximum environmental and
economic benefits.
Good business through design anticipates the environmental impacts of an
organization's activities, production processes, products and services and takes
steps to reduce or eliminate these impacts through design improvements.
Efficient design opportunities may be found throughout the organization, from
major design, production and delivery processes to support areas such as building
design and maintenance, energy use and transportation.
Efficient design should consider process improvements such as reduction in cycle
time, production line distance, process simplification, packaging of raw materials
and final products, and the efficient use of all resources that are required in the
process. Other considerations include the use or purchase of renewable forms of
energy such as solar, wind, or geothermal resources or purchase of recycled or
locally available materials that support local economies.
Good business through design addresses cost savings and cost avoidance by
preventing problems and reducing waste at the design stage. An understanding
of the full cost and risks of a waste or production process will help prioritize
opportunities for and will lead to better business decisions.
Good business by design means using customer requirements to design and
deliver products and services more efficiently. Two-way communication with
vendors and suppliers is also important. In addition, benchmarking world-class
processes may lead to break-through improvements in design.
Design should consider the overall impact of the product or service on the
environment in terms of both the resources required to produce and deliver the
product or service, as well as its expected life, performance, and reuse or disposal.
Design that considers and minimizes the environmental impacts of the product or
service through its life cycle will result in cleaner communities and increased
customer satisfaction.
Good business by design should also consider high value reuse opportunities for
waste products not eliminated through process efficiency improvements. An
organization may be able to create new markets and high value products for its
own waste material. Design consideration should be given to the ability of waste
material to break down into environmentally beneficial or benign materials to
eliminate persistent or long term environmental or health problems.
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Core Value: Continuous Improvement and Organizational and
Personal Learning
In this dynamic world, it is critical to be able to adapt to the changing business
and economic environment to achieve best-in-class performance. Environmental
excellence is achieved through organizational learning, which includes both
continuous improvement of existing approaches, and adaptation to change,
leading to new goals and approaches. Learning needs to be embedded in the way
your organization operates. This means that learning is a part of daily work; is
practiced at personal, work unit, and organizational levels; results in solving
problems at the root cause of a waste or efficiency problem; and is driven by
opportunities to effect significant change and to do better. Sources for
organizational learning include employee's ideas, R&D, customer and vendor
input, non-traditional stakeholders such as youth and future generations, sharing
of best practices, and benchmarking.
Organizational learning can result in enhancing value to customers by lessening
the environmental impact of your operations through reducing errors, defects,
waste, and related costs. You may also develop new business opportunities, new
and improved products and services as a result of organizational learning.
Enhancing your ability to fulfill public responsibilities and serve as a good citizen
in your key communities provides your organization the opportunity to be a role
model to others, thereby increasing your influence over the quality of the
environment in which your employees work and live.
Employees' contributions to environmental excellence depend on having
opportunities for personal learning. Organizations invest in employee personal
learning through education, training and other opportunities for growth, such as
job rotation, on-the-job training, etc.
Personal learning results in satisfied, versatile employees who remain with your
organization and are inspired to innovate and improve processes from an
environmental impact standpoint.
Thus, learning is directed not only toward better products and services and less
environmental impact, but also toward being more responsive, adaptive, and
efficient—giving your organization marketplace and resource sustainability.
Continuous Improvement can be envisioned and implemented through the
"Deming Cycle" named after W. Edwards Deming who developed this particular
approach in the 1950's to improve business processes. The cycle consists of four
primary stages:
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* Plan - Design or revise processes and/or process components to improve
results
* Do - Implement the plan and measure its performance
* Check (Study) - Assess the measurements and report the results to decision-
makers
* Act - Decide on changes needed to improve the process
In association with the Core Value of Management By Fact (the effective use of
results and data in the decision-making process), the utility of the Deming Cycle
or comparable approaches to continuous improvement and learning will result in
significant and sustainable process improvement.
Core Value: Valuing Employees and Partners
An organization's environmental excellence success depends increasingly on the
knowledge, skills, innovative creativity, and motivation of its workforce.
Valuing employees means committing to their satisfaction, development and well-
being. The encouragement of employee learning, participation, innovation, and
creativity builds employee knowledge of overall operations and processes and
how they link and support each other. A prevention-based environmental
management system creates a framework for employee involvement in process
analysis, problem solving, decision-making and implementation on a continuous
basis. Employee involvement in all aspects of this system helps ensure their buy-
in to the continuous improvement process and the ultimate success of the
organization's environmental excellence program.
An organization demonstrates employee value by creating and maintaining a safe
and healthy workplace. Prevention practices create a safer working environment
and cleaner communities for employees and their families. Increased employee
awareness of the state of the workplace environment helps improve employees'
knowledge of risks and health and safety concerns in the workplace. Greater
understanding of risks and health and safely concerns will lead to improvements
in these areas as well as better conformance to environment, health and safely
standards by employees.
Employee incentives should be created to reward good ideas, participation, and
the reporting of problems. Employee training needs should be identified and met
to assure quality participation, and proper facilitation support should be provided,
beyond the training, to help employees use process analysis, problem-solving and
decision-making tools. The organization can also benefit by communicating its
environmental ethic to all employees and developing procedures that support this
ethic. Employees can extend this ethic to their daily lives by being encouraged to
work in the community to support environmental improvement projects.
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Organizations need to build internal and external partnerships to better
accomplish environmental excellence. Internal partnerships might include labor-
management cooperation, as well as employee high-performance work teams.
For example, partnerships between those responsible for waste management and
those responsible for production process operations are essential for identifying
the sources of waste and devising the appropriate pollution prevention measures
to reduce that waste.
External partnerships might be with customers and suppliers. For example, an
organization may develop a partnership with a major supplier to deliver goods
with less packaging. Partnerships can also be effective mechanisms to
communicate the organization's environmental ethic, extending the idea of
environmental excellence to customers, employees, vendors, contractors and
suppliers and communities. Other partnerships may include working with
regulatory oversight agencies to develop strategies to improve environmental
performance in a mutually beneficial fashion.
Successful internal and external partnerships develop long-term environmental
objectives, thereby creating the basis for mutual investment and respect.
Partners should address the key requirements for success, means for regular
communication, approaches to evaluating progress, and means for adapting to
changing conditions.
Organizations need to build internal and external partnerships to assure
meaningful engagement of all interested parties to better accomplish their overall
environmental excellence goals. The development of internal partnerships creates
networks that improve flexibility, responsiveness and knowledge sharing.
External partnerships with suppliers, vendors and customers and others, such as
community representatives, can also provide valuable input into process
improvements and product development, as well as bring a broader perspective to
the program.
Internal partnerships are essential to develop a fully integrated prevention-based
environmental management system. Through such a partnership, both parties
gain a broader understanding of the environmental aspects of the process. As
well, partnerships between administrative services such as procurement and the
production areas can help employees understand the environmental impacts of
purchasing decisions.
Partnerships with customers can help meet the goal of excellence in delivery of
services, production and product design. Customer feedback on product
performance and level of "greenness" can thus be encouraged. In return,
reciprocal support can be provided by participating in the customer's own
environmental improvement efforts.
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This may include communicating improvement goals clearly with regulators and
requesting input into ways to improve operations. Partnerships with oversight
agencies may include regulation development and initiatives such as the Trust and
Partnering group that intends to facilitate better understanding between regulators
and regulated community. Other initiatives might include Project XL, Climate
Wise, Rebuild America/Rebuild New Mexico, Energy Star, Alliance for Green
Development, Sustainable Albuquerque, or the Pollution Prevention in Permitting
Project, and many more.
Partnerships indirectly related to the organization may also produce beneficial
outcomes. For example, working with organizations such as schools, economic
development agencies, or local governments can encourage broader
environmental responsibility and organizational and community learning. This
type of activity is especially relevant to sustainable development goals that will be
met at the community level.
Core Value: Management by Fact
The core value "Management by Fact" is key to making environmental
improvement decisions that are aligned with the organization's strategy and are
relevant to the organization's key environmental performance areas.
Because environmental excellence is the ultimate goal of this program, the
measurements and measurement systems employed must derive from the
organization's own strategy for achieving environmental excellence. This will
allow the organization to easily provide critical data and information about key
processes, outputs, and pollution prevention results. Data must be timely and
accurate to make informed decisions. Information systems should be developed
to track data that provide links to and measure progress in program criteria areas.
Data should be collected in the following areas:
• Customer, supplier, community, and other external stakeholder involvement;
• Environmental aspects of operations and processes
• Competitive comparisons (benchmarking);
• Employee involvement;
• Energy consumption and patterns of use;
• Cost and financial.
Analysis refers to extracting larger meaning from data and information to support
evaluation, decision-making, and operational improvement. More specifically, it
can aid in environmental planning, review of overall environmental performance,
determining cause and effect, evaluating environmental trends, and comparison of
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environmental performance with competitors or with "best practices"
benchmarks. Analysis will also be used to assure validation of information.
A major consideration in environmental improvement involves the selection and
use of environmental performance measures or indicators that can help show
progress toward pollution prevention and other environmental improvement
activities. The measures or indicators selected should best represent the factors
that lead to improved operational and financial performance, as well as customer
satisfaction and community involvement. Selection of performance measures
should include input from management, employees, suppliers, and other
stakeholders, such as community members. The selected measures or indicators
themselves should be evaluated and changed, if necessary, through a continuous
improvement process to better support the organization's goals and objectives.
Core Value: Sustainability
Sustainability or sustainable development seeks to meet the needs of the present
without compromising the ability of future generations to meet their needs.
Forward-thinking organizations understand the increasing value of preserving
natural systems and raw materials and operating in ways that place zero drain on
world resources. Organizations should contribute to a growing economy that
provides equitable opportunities for satisfying livelihoods and a safe, healthy and
high quality of life for current and future generations. They should work to
protect the environment, its natural resource base, and the functions and vitality of
natural systems on which all life depends (from President's Council for
Sustainable Development).
Sustainable development considers the balance of three aspects in making
decisions: environment, economics and social equity. Each aspect is critical in
assuring Sustainability. Sustainability considers the environmental, and health
and safety effects of material use and operations from a life-cycle point of view
including the impacts of products from raw material extraction and processing,
shipping, manufacturing, and packaging to product use and ultimate disposal.
Also considered are water and energy use, land development and transportation
trends and the individual's effect on the environment Social equity addresses
local conditions such as environmental justice. Sustainability considers global
social and environmental conditions that affect the planet's health as a whole
including climate change, resource availability and equity and preservation of
critical habitat such as rain forests.
To meet the goal of Sustainability, emphasis is placed on resource efficiency,
resource productivity and environmental enhancement. Internally a company
examines use of safer or renewable raw materials and works with suppliers to
assure a feedstock of raw materials derived from sustainable practices. Process
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improvements are maximized to move towards zero waste, zero discharge, and
zero defects. Products and services are designed to maximize product life and
serviceability, and remanufacturing or recycling options. Products that are
ultimately disposed break down into environmentally beneficial or benign
materials. Water use efficiency and discharge quality is maximized. Energy use
considers the amount of energy used to make the product or provide the service,
the amount of energy required in product use, and the source of energy to
encourage clean and renewal energy use. Resource use to support the facility is
also considered including landscaping, lighting, heating and cooling, food
preparation, cleaning and building maintenance.
Resource productivity means obtaining the same amount of utility or work from a
product or process while using less material and energy (Natural Capitalism,
1999, Louvins, Louvins, and Hawken, Little, Brown and Company). Similarly,
resource efficiency considers the amount of output a process provides per unit of
input, including waste. Maximizing resource productivity and efficiency help to
move towards sustainability through improved resource use.
Beyond the facility boundary, sustainability considers the local environmental and
economic conditions of the community and supports improvements and increased
communication with community groups. Facility locations consider impacts of
the building site including wetlands, minimal transportation distances, carpooling,
telecommuting and flexible schedules to reduce impacts on the community as a
whole. Organizations support local economies by buying materials locally and
encouraging the purchase of recycled or green products and supplies. For
example, development of high-value use of small diameter timber supports local,
low-income forest community economies in New Mexico. Also, the organization
responds to critical community issues such as water or air quality through actions
internally, through employee involvement in the community and through
supporting community improvement activities. Mentoring of other businesses
also helps to contribute to the overall sustainability of the community.
Sustainability includes innovation in the development of new products and
services. Natural materials and systems are examined as potential models for new
material development or management techniques. Organizations understand the
true cost and value of natural resources and make business decisions based on that
knowledge.
Sustainability also includes the action of individuals on the environment in regard
to purchases and practices at home, transportation, schools and in civic activities.
Other parties interested in promoting sustainability may view it from three
principal perspectives:
1. Something for the organizations to commit to;
2. Something that the community should foster - sustainable communities; and
3. Something that needs to be internalized in our personal lives.
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The Green Zia Criteria
Applicants must address these criteria in preparing their
Green Zia Environmental Excellence Program
applications. Two sets of criteria are offered: Commitment
and A chievement/Excellence.
Introduction to the Criteria
The criteria are organized into seven categories necessary for a prevention-based
environmental management system, including:
• Leadership
• Planning for Continuous Environmental Improvement
• Customer, Suppliers and Others Involvement
• Information and Analysis
• Employee Involvement
• Process Management
• Results
Each of the seven categories addresses key elements of a prevention-based
environmental management system. There are 18 Criteria Items within the seven
categories at the Achievement/Excellence levels. It is important to understand
that all the categories are linked in a system, for example leadership sets the
vision for prevention, which is incorporated into strategic planning. Action plans
are developed as part of strategic planning that involves employee training or
participation. Process management requires employee, customer or supplier input
and process improvements may require capital budgeting. Information
management such as materials accounting or activity-based costing is linked to
process analysis and strategic planning. Results can be measured from all
categories to assess the success of the system and identify opportunities for
improvement. Core values and criteria are revised each year, meaning that the
program itself can benefit from continuous improvement.
The systems approach emphasizes the relationships and interdependence of the
Criteria, as illustrated below.
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The Green Zia Environmental Excellence Program
A Systems Perspective
Desire for a
Healthy
Community
Desire to
Reduce Costs
r
3. Customer, Supplier
and Others' Involvement
1.
Leadership
Desire to
Protect the
Environment
2. Planning
for LL_K
Continuous r
Environmental |\| |r
Improvement
5. Employee
Involvement
M
4. Information
and Analysis^ ^^
6. Process
Management
7. Results
3. Customer, Supplier
and Others' Involvement
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Green Zia Commitment Recognition
Criteria
Commitment applicants must answer ten
questions that address the basic elements of a
prevention-based environmental
management system.
Introduction
The Commitment Recognition Level acknowledges organizations that have made
a strong commitment to continuous environmental improvement or effective
energy management. Organizations at this level are beginning to. Organizations
at this level are beginning to put a prevention-based environmental management
system in place that will allow them to improve environmental performance.
Applicants should address ten questions that link to the seven criteria categories
of the Green Zia Program. These questions capture the core concepts that an
organization needs to consider to establish a prevention-based environmental
management system.
Applicants should become familiar with all of the Core Values of the Green Zia
Program as they design their program. All Core Values are relevant to the
different categories; however, some are more applicable than others. The most
relevant core values are highlighted for each category.
Refer to the Achievement Recognition and Excellence Award Criteria and the
detailed descriptions of the Core Values for insight on the different categories.
Commitment Category 1: Leadership
How do senior leaders communicate and demonstrate their commitment to continuous
environmental improvement within the organization and in the community?
Key Core Values: Leadership Commitment, Continuous Improvement and Organizational and
Personal Learning, Sustainability
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Commitment Category 2: Planning for Continuous
Environmental Improvement
How does your organization identify, develop and implement long-term and related short-term
goals and objectives for continuous environmental improvement? How do these goals and
objectives relate to your organization's overall business objectives?
Key Core Values: Efficient Product, Service and Process Design; Continuous Improvement and
Organizational and Personal Learning; Management by Fact, Sustainability.
Commitment Category 3: Customer, Supplier and Others
Involvement
How does your organization involve customers, suppliers and others in the development and
implementation of your continuous environmental improvement approach? How is your
organization involved in other organizations' continuous environmental improvement programs?
Key Core Value: Valuing Employees and Partnerships
Commitment Category 4: Information and Analysis
How does your organization collect and use information to make continuous environmental
improvement decisions?
Key Core Value: Management by Fact
Commitment Category 5: Employee Involvement
How does your organization prepare and involve employees in the development and
implementation of your continuous environmental improvement approaches? How are the
employees' value and well-being considered in your continuous environmental improvement
approach?
Key Core Value: Valuing Employees and Partnerships
Commitment Category 6: Process Management
How does your organization identify, analyze and manage processes to address environmental
impacts?
Key Core Value: Efficient Product, Service and Process Design, Sustainability
Commitment Category 7: Results
What are your organization's real and anticipated results related to your improvement approach?
Key Core Value: Management by Fact
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Green Zia Achievement Recognition
and Excellence Award Criteria
Organizations applying at the Achievement
Recognition and Excellence Award levels
must address all criteria questions, to the
extent that they pertain to the prevention-
based environmental management system
they have in place.
Category 1. Leadership (125 pts.)
This category examines how management vision and commitment to
continuous environmental improvement is communicated and demonstrated to
employees and how the vision is translated into strategic plans. This category
also examines how your organization's senior leaders communicate and
demonstrate its vision and commitment to the environment in the community.
Item 1.1 Organizational Leadership (75 pts) (Approach-Deployment)
How is your organization's senior leaders' vision and commitment to continuous environmental
improvement demonstrated to employees, suppliers, customers, oversight agencies and other
interested parties through management involvement, strategic plans, alignment of resources,
performance measures and management review?
Areas to consider:
(a) How does management demonstrate commitment to continuous environmental improvement
on par with other major organizational goals through policy statements, incorporation and
integration into other programs and other activities?
(b) How does management conduct proactive communication with regulatory agencies,
employees, customers, lenders, suppliers, investors or other interested parties to improve
environmental performance, and gain support for and communicate related successes?
(c) How does management provide support for continuous environmental improvement at all
levels of your organization and how is it integrated into core business practices?
(d) How does management assure that continuous environmental improvement is incorporated
into strategic plans, action plans, and performance measures and how does management
review results and assure that they are tracked throughout your organization?
(e) How does management address energy monitoring and use within its facilities through
policies, plans, and behavioral directives?
Note:
1. Linkages may include Items 2.1, 2.3, 4.2, 5.1, 5.2, and 5.3.
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Item 1.2 Community Leadership (50 pts) (Approach-Deployment)
How does your organization support environmental issues and activities in the community and
how does it communicate and demonstrate its continuous environmental improvement goals and
performance to the community?
Areas to consider:
(a) How does your organization support community-based environmental protection and
sustainability activities in the community? If such activity is not occurring in a community,
how does your organization encourage the establishment of such programs through civic
groups or other business activities? How does it align its own operations to support such
initiatives?
(b) How does your organization address Environmental Justice issues and gain an overall
understanding of existing environmental problems or circumstances such as air quality or
water availability specific to the community? How does it develop strategies to reduce its
operational impacts on these issues? How does your organization work with others in a
competitive and collaborative way to conserve resources in the community?
(c) How does your organization participate in community redevelopment (through programs such
as Brownfields Redevelopment) and local economic development through siting of facilities
and community enhancement to reduce overall environmental impacts to the community?
(d) How does your organization support mentoring of other businesses in the community to
promote pollution prevention and continuous environmental improvement?
(e) How does your organization set affirmative procurement goals such as buying "green"
products or products with recycled content? How does your organization use its affirmative
procurement goals to support local businesses by purchasing locally available materials to
support the local economy; waste exchanges; and other related activities such as industrial
ecology, value-added reuse of materials, and recycling?
(f) How does your organization communicate its environmental performance with the
community through annual reports, town meetings, web pages, or other means?
Notes:
1. Community involvement focuses on encouraging and fostering involvement of employees, the
community and others in the organization's continuous environmental improvement program.
2. Linkages may include Items 3.3, 5.2, 7.2 and 7.3.
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Category 2. Planning for Continuous Environmental Improvement
(150 pts)
This category examines how environmental improvement and energy
management goals are systematically integrated into your organization's
strategic planning process. This category also examines how your organization
develops action plans to address specific environmental improvement issues and
how the development of these plans relates to your organization's strategic
planning process. This category also examines how the action plans and the
continuous environmental improvement components of the strategic plans are
deployed.
Item 2.1 Strategic Planning for Environmental Improvement (50 pts) (Approach-
Deployment)
How does your organization use its prevention-based environmental management system to set
strategic direction for continuous environmental improvement and effective energy management?
Areas to consider:
(a) How does your organization use information from the environmental management system in
other planning initiatives such as capital budgeting, procurement strategies, strategic planning,
marketing and sales management, accounting, productivity improvement and other top
management initiatives?
(b) How are employees included in the environmental component of the planning process?
(c) How are vendors, suppliers, customers and other stakeholders involved in the environmental
component of the planning process, for example: two-way relationships with vendors for
inventory control, just-in-time manufacturing, use of safe materials and other areas?
(d) How does your organization consider the long-term environmental impact of the business on
environmental sustainability and how does your organization considers environmental
sustainability in the design of products or processes over time (Zero Impact/Zero Waste,
Design for Environment (DfE), The Natural Step, the Six E's, Six Sigma, Factor Ten, or other
sustainability programs)?
(e) How does your organization anticipate and mediate external impacts, such as life-cycle
analysis and others?
(f) How does your organization address compliance with safety, health, environmental and other
applicable regulations as part of the planning process?
Note:
1. Linkages may include Items 1.1, 3.1,3.2, 3.3,4.1,4.2, 5.1 and 6.2.
Item 2.2 Action Planning (50 pts) (Approach-Deployment)
How does your organization develop action plans for specific continuous environmental
improvement and energy management activities?
Areas to consider:
(a) How are action plans developed to support process analysis and improvement efforts?
(b) How are employees included in the development of action plans?
(c) How are suppliers, vendors, customers and other interested parties included in the
development of action plans?
(d) How do action plans address regulatory compliance issues?
(e) How is the action plan development system assessed and improved?
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Note:
1. Linkages may include Items 4.1, 4.2, 5.2 and 6.2.
Item 2.3 Integration and Implementation (50 pts) (Approach-Deployment)
How are your organization's strategic plans and action plans for environmental improvement
integrated and implemented?
Areas to consider:
(a) How are action plans implemented, documented and tracked for success?
(b) How are action plans modified to address continuous quality improvement?
(c) How are action plans communicated to the employees, the community and the other interested
parties, as appropriate?
(d) How are resources (financial and human) aligned to support environmental improvement
efforts?
(e) How are action plans linked to your organization's strategic planning process?
(f) How are the environmental results of the program (both successes and failures) reported back
to your organization to assure organizational learning and how is this information used to
improve the prevention-based environmental management system (for example, using
successes or failures to develop action plans for next year).
(g) How is the environmental management system formally maintained and improved? How is
the environmental management system audited by either internal or external auditors?
Note:
1. Linkages may include Items 1.1, 5.2, 6.2, 7.1 and 7.3.
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Category 3. Customer, Supplier and Others Involvement
(75 pts)
This category examines how your organization involves customers and
suppliers in the development of your organization's continuous environmental
improvement approach. This category also examines how the organization
identifies potential customers through marketing of its environmental successes
and through the development of new markets for waste materials. This category
also considers how your organization communicates with oversight agencies
and other interested parties as it improves its overall environmental and energy-
associated performance.
Item 3.1 Customer Involvement
How does your organization communicate its efforts to improve the environmental performance of
a product, process or service to its customers? Also, how does your organization involve its
customers and seek customer feedback to improve performance and quality standards of products,
production processes and services within the context of continuous environmental improvement?
Also how does your organization identify potential new customers through marketing strategies
for "green" products and secondary markets for waste materials?
Areas to consider:
(a) How does your organization communicate with customers regarding continuous
environmental improvement and attempts to improve environmental performance to date?
How does the organization assess customer needs and satisfaction regarding the
environmental aspects of products, services or processes?
(b) How does your organization solicit and use customer feedback for improvement in product or
service quality and performance standards and incorporate that feedback into the prevention-
based environmental management system? How does your organization work with customers
to identify ways to deliver services or products with less environmental impacts?
(c) How does your organization work with customers to exercise effective product stewardship
by informing them of the elements of effective stewardship, partnering with them to
encourage effective stewardship, and working with them to assess the life cycle of the
materials (including yours) that are in their products.
(d) How does your organization support the pollution prevention or environmental improvement
efforts of its customers?
(e) How does your organization market its "green" products, processes or services (through
advertisements, web pages, etc.) to increase potential customers and markets?
(f) How does your organization develop new markets and increase its customer base by
converting wastes to products through onsite product development; working with other
companies that convert waste to useful products; participating in feasibility studies; or by
working with universities to enter into collaborative research projects to find ways to make
products from waste?
Notes:
1. Customer involvement includes existing customers and potential customers that may be
gained through "green" marketing strategies or through new product/market development
from waste materials.
2. Linkages may include Items 2.1, 4.1, 7.2 and 7.3.
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Item 3.2 Supplier Involvement (25 pts) (Approach-Deployment)
How does your organization involve its vendors and suppliers to improve performance and quality
standards of products, production processes and services within the context of continuous
environmental improvement?
Areas to consider:
(a) How are suppliers, contractors and vendors involved in development and improvement of
products, services and processes as part of your continuous environmental improvement
program?
(b) How does your organization evaluate suppliers, contractors and vendors for their
environmental performance and their commitment to effective energy management?
(c) How does your organization support the pollution prevention or environmental improvement
efforts of suppliers, consultants, contractors and vendors?
Note:
1. Linkages may include Items 2.1, 4.1, 6.1, 6.2, 7.2 and 7.3.
Item 3.3 Others Involvement (25 pts)
How does your organization identify and work with interested parties to communicate and
improve environmental performance?
Areas to consider:
(a) How does your organization work with environmental, health and safety oversight agencies to
manage compliance in a mutually beneficial fashion?
(b) How does your organization communicate continuous environmental improvement goals and
action plans to interested parties to gain feedback, support and buy-in?
(c) How does your organization develop systematic processes for timely reporting of monitoring
results, spills or other reportable activities to appropriate stakeholders to minimize
environmental harm or exposure?
(d) How does your organization works with oversight agencies and other interested parties to
develop regulations and compliance approaches to improve overall environmental results and
to incorporate prevention-first philosophies (Trust and Partnering, Project XL, P4 projects)?
(e) How does your organization provide an annual third party, independent evaluation of success
made in the continuous environmental improvement program and how are results
communicated to interested parties?
Notes:
1. This Item does not include employees who are covered in Category 5.
2. "Others Involvement" may include regulatory agencies, non-governmental organizations,
public interest groups, environmental advocacy groups or neighborhood associations and
others.
3. Linkages may include Items 1.2, 2.1, 4.1, 7.2 and 7.3.
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Category 4. Information and Analysis (100 pts)
This category examines how your organization uses information to identify and evaluate
environmental and energy-associated aspects of product, service or production processes. This
category also examines how information is used to assess service, product or process
performance and to identify areas for improvement based on environmental considerations and
comparative information.
Item 4.1 Information Collection and Management (60 pts) (Approach-Deployment)
How does your organization select, collect and manage information to understand the
environmental and energy-associated aspects associated with the design or production of a product
or service?
Areas to consider:
(a) How does your organization calculate raw material input, material flow and non-product
outputs (wastes) from processes to measure resource use efficiency and environmental losses?
(b) How does your organization determine environment, health and safety requirements and other
aspects associated with a product, service or production process (for example, customer
specifications, military specification, inventory) that may affect environmental performance
or operations?
(c) How does your organization use its accounting system to understand the true cost of a
product, service or production process?
(d) How does your organization determine the environmental or other related impacts of a
product, service or production process through its life (life-cycle analysis/life-cycle impacts)?
(e) How does your organization use information to document organization-wide environmental
activities?
(f) How is competitor analysis on green trends tracked and considered in product design?
Notes:
1. Information in this category may be based on factors such as cost, regulatory compliance,
materials use, resource availability, risk reduction, productivity and other information.
2. This item refers to activity-based costing or full cost accounting to understand environmental
costs.
3. Linkages may include Items 2.1, 2.2, 3.1, 3.2, 3.3, 5.2, 6.1, 7.1, 7.2 and 7.3.
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Item 4.2 Analysis and Decision-Making (40 pts) (Approach-Deployment)
How does your organization use information to make decisions on service, product design and
process improvements as part of the continuous environmental improvement approach? How does
your organization use comparative information or benchmarking to improve environmental and
energy-associated performance of services, production processes or product design and strive to be
best in class?
Areas to consider:
(a) How does your organization analyze information to prioritize areas for improvement?
(b) How does your organization use information related to action plan development, deployment
and results to identify organization-wide areas for improvement (waste reduction, toxicity
reduction, productivity improvements, risk reduction, energy use reduction, use of renewable
energy, reduced liability, regulatory compliance, performance measures)?
(c) How does your organization use comparative information to assess and improve the
environmental performance of production processes, services or product design as part of the
prevention-based environmental management system?
(d) How does your organization use comparative information to set strategic directions for
continuous environmental improvement, improve overall organization performance and
improve the prevention-based environmental management system (best practices, best of class
goals, benchmarking, sharing of successes)?
(e) How does your organization evaluate competitors and market trends in the formulation of its
environmental strategies?
Notes:
1. This item focuses on how the organization uses information to make decisions as part of the
continuous environmental improvement approach.
2. Linkages may include Items 1.1, 2.1, 2.2, 5.2, 6.2, 7.1, 7.2 and 7.3.
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Category 5. Employee Involvement (125 pts)
This category examines how employee skills are developed and how employee input is included
in continuous environmental improvement planning and implementation. This category also
examines how employee value and well-being is considered in developing continuous
environmental improvement goals and action plans.
Item 5.1 Employee Education and Skill Development (50 pts) (Approach-Deployment)
How does the organization assess skill levels and provide training and education to employees to
enable them to actively participate in the continuous environmental improvement approach?
Areas to consider:
(a) How are employees' skills assessed and how are education and training needs determined and
aligned to the continuous environmental improvement approach?
(b) How does your organization's employee training program promote employee input to improve
environmental and energy performance beyond compliance with regulatory requirements
through creative thinking, problem solving, knowledge of new technologies and other skills?
(c) How does your organization increase employees' awareness of compliance issues to improve
compliance performance?
(d) How does your organization's training program encourage employees to share and
disseminate the ethic of environmental excellence and effective energy management at home,
in their schools and in their community?
(e) How is the organization's environmental training program assessed and improved?
Note:
1. Linkages may include Items 1.1, 2.1, 2.3, 7.2 and 7.3.
Item 5.2 Employee Involvement (55 pts) (Approach-Deployment)
How is employee input included in all aspects of the environmental management system including
the development and implementation of action plans? Also, how are employees involved in non-
operational ways to meet the organization's environmental and energy goals or to address
community-specific problems?
Areas to consider:
(a) How are employees involved in product, service and process design for continuous
environmental improvement and effective energy management?
(b) How does your organization provide encourage and support (through facilitation, etc) broad
employee involvement in continuous environmental improvement efforts?
(c) How are employees involved in the development of action plans and how are human
resources aligned to implement action plans?
(d) How does your organization ensure that employees are up-to-date in your organization's
successes relative to continuous environmental improvement goals?
(e) How does your organization encourage employee participation, as part of work duties, to
address specific community environmental issues such as air quality, water or other issues
(car pooling, telecommuting during Air Quality non-attainment days, water conservation
during droughts, etc)?
Note:
1. Linkages may include Items 1.1, 1.2, 2.2, 2.3, 4.1, 4.2, 6.1, 6.2, 7.2 and 7.3.
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Item 5.3 Employee Satisfaction, Value and Well-being (20pts) (Approach-Deployment)
How does your organization consider employee value and well-being as part of the continuous
environmental improvement approach?
Areas to consider:
(a) How does the organization consider the "inside work environment" (employee health and
safety concerns) equally with the "outside environment" (traditional environmental concerns)
when designing work areas or making process improvement decisions?
(b) How does the organization gather input from employees on the work environment as it
pertains to environmental issues?
(c) How does your organization provide incentives to motivate and reward employee
participation in the organization's environmental improvement program (awareness programs,
monetary incentives, rewards, bonuses)?
(d) How does the organization assist employees in dealing with life issues that can impact their
ability to work (wellness programs, employee assistance programs, flex-time)?
(e) How does the organization assess employee satisfaction with its environmental improvement
program? How is this information used to improve employee involvement in the
environmental improvement program?
Notes:
1. Employee value and well-being may include meaningful participation in process
improvements resulting in a safer and healthier workplace, reduced chemical use and
exposures, safety issues, office design to increase productivity and reduce waste (such as
lighting, heating and air conditioning, natural lighting), employees' perception of greater
value through this program and other issues.
2. Linkages may include Items 1.1, 2.2, 6.2, 7.2 and 7.3.
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Category 6. Process Management (100pts)
This category examines how your organization systematically evaluates its processes to identify
environmental impacts and to meet relevant environmental, health and safety requirements.
This category also examines how your organization systematically controls and improves its
processes to reduce or eliminate environmental impacts as part of the continuous
environmental improvement and effective energy management approach.
Item 6.1 Process Characterization and Control (50 pts) (Approach-Deployment)
How does your organization systematically analyze its processes to understand environmental
impacts and their causes? Also, how does your organization control the operations of processes to
reduce potential environmental impacts?
Areas to consider:
(a) How does your organization conduct process analysis of all pertinent processes to identify
environmental issues and how does this analysis become part of daily operations?
(b) How does your organization involve employees, customers and suppliers in process analysis?
(c) How does your organization operate processes to reduce the potential for failure or losses and
maintain efficiency?
(d) How does your organization use its environmental management system to manage processes
in day-to-day operations to promote pollution prevention and energy efficiency, assure
compliance with environmental and health and safety regulations, and meet corporate
environmental, health and safety compliance goals?
(e) How does your organization conduct process analysis of corrective actions or other non-
operational problem areas to identify environmental issues?
(I) How does your organization improve its process analysis system?
Note:
1. Linkages may include Items 4.1, 5.2, 7.1 and 7.3.
Item 6.2 Process Improvement (50 pts) (Approach-Deployment)
How does your organization systematically analyze its processes to identify, develop and
implement improvement projects to reduce or eliminate environmental impacts and increase
efficient use of resources such as raw materials, water and energy efficiently as part of the
organization's continuous environmental improvement approach?
Areas to consider:
(a) How does your organization systematically prioritize areas for continuous environmental
improvement of pertinent processes and how does improvement become part of daily
operations?
(b) How does your organization develop action plans to improve processes?
(c) How does your organization correlate energy efficiency and conservation with waste
minimization or other environmental improvements?
(d) How does your organization involve employees, customers and suppliers to identify and
implement process improvements?
(e) How does your organization manage processes to exceed corporate environmental
performance goals?
(f) How does your organization use compliance results to continually improve processes?
(g) How does your company communicate information on improvement projects (both success
and failures) to assure organizational learning?
(h) How does your organization uses benchmarking as part of ongoing process improvement
activities?
(i) How does your organization improve its process improvement system?
Note:
1. Linkages may include Items 2.2, 4.2, 5.2, 5.3, 7.1 and 7.3.
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Category 7. Results (325 pts)
This category examines your organization's environmental performance in key areas:
environmental results; customer, supplier, employee and other results; and financial
results.
Item 7.1 Environmental Results (150 pts)
Summarize your organization's environmental and energy-associated results.
Areas to consider:
(a) Summarize current levels and trends in use of materials.
(b) Summarize current levels and trends in waste generation.
(c) Summarize current levels and trends of water conservation and energy conservation measures.
(d) Summarize current levels and trends in productivity related to environmental improvement
efforts.
(e) Summarize current levels and trends in efficiency related to environmental improvement
efforts.
(f) Summarize current levels and trends in employee satisfaction, skill development and
involvement related to environmental improvement efforts.
(g) Summarize current levels and trends of compliance, regulatory requirements, and workplace
safety.
(h) Summarize current levels and trends of environmental, safety and health impact of your
processes, products or services.
(i) Summarize current levels and trends related to your organization's environmental, health and
safety and prevention performance measures.
(]) Summarize levels and trends of other environmental results achieved through your
prevention-based environmental management system.
(k) Summarize current levels and trends related to energy conservation, energy efficiency, and
renewable energy usage.
Note:
1. Linkages may include Items 2.3, 4.1, 4.2, 5.3, 6.1, 6.2, and 7.3.
Item 7.2 Customer, Supplier, Employee and Other Results (100 pts)
Summarize customer, employee, community, supplier, market and other interested parties results within the
context of the continuous environmental improvement approach.
Areas to consider:
(a) Summarize current levels and trends in customer satisfaction or dissatisfaction in the
performance and quality of your organization's service, products or production processes.
(b) Summarize current trends and results in interested parties or others' involvement in your
organization's continuous environmental improvement approach.
(c) Summarize current trends and results in marketing related to continuous environmental
improvement.
(d) Summarize current levels and trends in market expansion or new market development for
green products or waste-to-product activities.
(e) Summarize current levels and trends of supplier and vendor environmental performance
resulting from your organization's continuous environmental improvement outreach efforts.
(f) Summarize current levels and trends of environmental and economic performance in the
surrounding community resulting from your organization's continuous environmental
improvement outreach.
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(g) Summarize current levels and trends of employee involvement and satisfaction resulting from
your organization's continuous environmental improvement approach.
(h) Summarize current levels and trends of other results related to the continuous environmental
improvement approach but not listed above.
Note:
1. Linkages may include Items 1.2, 3.1, 3.2, 3.3, 4.2, 5.1, 5.2, 5.3 and 7.3.
Item 7.3 Financial Results (75 pts)
Summarize your organization's financial performance results related to the implementation of your
continuous environmental improvement approach.
Areas to consider:
(a) Summarize current levels and trends in financial investments related to continuous
environmental improvement efforts.
(b) Summarize current levels and trends in cost savings and cost avoidance through the
implementation of a prevention-based environmental management system.
Note:
1. Financial results have linkages across most categories. Also, results in items 7.1 and 7.2
may also have related financial results that should be reported as well in 7.3.
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2000 Categories/Items Point Values
1 Leadership 125
1.1 Organizational Leadership 75
1.2 Community Leadership 50
2 Planning for Continuous Environmental Improvement 150
2.1 Strategy Planning for Environmental Improvement 50
2.2 Action Planning 50
2.3 Integration and Implementation 50
3 Customer, Supplier and Others Involvement 75
3.1 Customer Involvement 25
3.2 Supplier Involvement 25
3.2 Others Involvement 25
4 Information and Analysis 100
4.1 Information Collection and Management 60
4.2 Analysis and Decision-Making 40
5 Employee Involvement 125
5.1 Employee Education and Skill Development 50
5.2 Employee Involvement 55
5.3 Employee Satisfaction, Value and Well-being 20
6 Process Management 100
6.1 Process Characterization and Control 50
6.2 Process Improvement 50
7 Results 325
7.1 Environmental Results 150
7.2 Customer, Supplier, Employee and Others Results 100
7.3 Financial Results 75
TOTAL POINTS 1000
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Scoring System1
The scoring of responses to Criteria Items (Items) and Award applicant feedback are based
on three evaluation dimensions: (1) Approach; (2) Deployment; and (3) Results. Criteria
users need to furnish information relating to these dimensions. Specific factors for these
dimensions are described below. Scoring Guidelines are given in the Scoring Guidelines
section.
Approach
"Approach" refers to how you address the Item requirements - the method(s) used. The
factors used to evaluate approaches include:
• appropriateness of the methods to the requirements
• effectiveness of use of the methods. Degree to which the approach:
- is systematic, integrated, and consistently applied
- embodies evaluation/improvement/learning cycles
- is based on reliable information and data
• alignment with organizational needs
• evidence of innovation
Deployment
"Deployment" refers to the extent to which your approach is applied is the organization. The
factors used to evaluate deployment include:
• use of the approach in addressing requirements relevant to your organization, to what
degree or what stage approaches are being implemented (time element: just beginning
to be used or mature)
• use of the approach by all appropriate work units (horizontal)
• use of the approach from management to engineers to support staff (vertical).
Results
"Results" refers to outcomes in achieving the purposes given in the Item. The factors used to
1 The Green Zia Environmental Excellence Program is adapted from the scoring methods from the 1999
Malcolm Baldrige Quality Program.
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evaluate results include:
• current performance
• performance relative to appropriate comparisons and/or benchmarks
• rate, breadth, and importance of performance improvements
• linkage of results measures to key customer, market, process, and action plan
performance requirements identified in the Business Overview and in
Approach/Deployment Items
Item Classification and Scoring Dimensions
Items are classified according to the kinds of information and/or data you are expected to
furnish relative to the three evaluation dimensions.
The two types of Items and their designations are:
1. Approach/Deployment
2. Results
Approach and Deployment are linked to emphasize that descriptions of Approach should
always indicate the Deployment - consistent with the specific requirements of the Item.
Although Approach and Deployment dimensions are linked, feedback to Award applicants
reflects strengths and/or opportunities for improvement in either or both dimensions.
Results Items call for data showing performance levels and trends on key measures and/or
indicators of organizational performance. However, the evaluation factor, "breadth" of
performance improvements, is concerned with how widespread your improvement results
are. This is directly related to the Deployment dimension. That is, if improvement processes
are widely deployed, there should be corresponding results. A score for a Results Item is thus
a weighted composite based upon overall performance, taking into account the breadth of
improvements and their importance. (See next section.)
"Importance" as a Scoring Factor
The three evaluation dimensions described previously are critical to evaluation and feedback.
However, evaluation and feedback also must consider the importance of your reported
Approach, Deployment, and Results to your key business factors. The areas of greatest
importance should be identified in the Business Overview. Your key environmental concerns
and key strategic objectives and action plans are particularly important.
Assignment of Scores to Your Responses
Green Zia Award Examiners observe the following guidelines in assigning scores to
applicants' responses:
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"Areas to Consider" should be addressed in the Item response. Also, responses should
reflect what is important to your organization;
In assigning a score to an Item, an Examiner first decides which scoring range (e.g., 50%
to 60%) best fits the overall Item response. Overall "best fit" does not require total
agreement with each of the statements for that scoring range. Actual score within the
range depends upon an Examiner's judgment of the closeness of the Item response in
relation to the statements in the next higher and next lower scoring ranges;
An Approach/Deployment Item score of 50% represents an approach that meets the basic
objectives of the Item and that is deployed to the principal activities and work units
covered in the Item. Higher scores reflect maturity (cycles of improvement), integration,
and broader deployment; and
A Results Item score of 50% represents a clear indication of improvement trends and/or
good levels of performance in the principal results areas covered in the Item. Higher
scores reflect better improvement rates and/or levels of performance, and better
comparative performance as well as broader coverage.
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SCORING GUIDELINES: Approach and Deployment
SCORE
APPROACH/DEPLOYMENT
0%
no systematic approach evident; anecdotal information
10%
to
20%
beginning of a systematic approach to the basic purposes of the Item
major gaps exist in deployment that would inhibit progress in achieving the basic purposes of
the Item
early stages of a transition from reacting to problems to a general improvement orientation
30%
to
40%
a sound, systematic approach, responsive to the basic purposes of the Item
approach is deployed, although some areas or work units are in early stages of deployment
beginning of a systematic approach to evaluation and improvement of basic Item processes
50%
to
60%
a sound, systematic approach, responsive to the overall purposes of the Item
approach is well-deployed, although deployment may vary in some areas or work units
a fact-based, systematic evaluation and improvement process is in place for basic Item
processes
approach is aligned with basic organizational needs identified in the other Criteria Categories
70%
to
80%
a sound, systematic approach, responsive to the multiple requirements of the Item
approach is well-deployed, with no significant gaps
a fact-based, systematic evaluation and improvement process and organizational learning/
sharing are key management tools; clear evidence of refinement and improved integration as
a result of organizational-level analysis and sharing
approach is well-integrated with organizational needs identified in the other Criteria
Categories
90%
to
100%
a sound, systematic approach, fully responsive to all the requirements of the Item
approach is fully deployed without significant weaknesses or gaps in any areas or work units
a very strong, fact-based, systematic evaluation and improvement process and extensive
organizational learning/sharing are key management tools; strong refinement and integration,
backed by excellent organizational-level analysis and sharing
approach is fully integrated with organizational needs identified in the other Criteria
Categories
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SCORING GUIDELINES: Results
SCORE
RESULTS
0%
no results or poor results in areas reported
10%
to
20%
• some improvements and/or early good performance levels in a few areas
• results not reported for many to most areas of importance to your organization's key business
requirements
30%
to
40%
improvements and/or good performance levels in many areas of importance to your
organization's key business requirements
early stages of developing trends and obtaining comparative information
results reported for many to most areas of importance to your organization's key business
requirements
50%
to
60%
improvement trends and/or good performance levels reported for most areas of importance to
your organization's key business requirements
no pattern of adverse trends and no poor performance levels in areas of importance to your
organization's key business requirements
some trends and/or current performance levels - evaluated against relevant comparisons
and/or benchmarks - show areas of strength and/or good to very good relative performance
levels
business results address most key customer, market, and process requirements
70%
to
80%
current performance is good to excellent in areas of importance to your organization's key
business requirements
most improvement trends and/or current performance levels are sustained
many to most trends and/or current performance levels - evaluated against relevant
comparisons and/or benchmarks - show areas of leadership and very good relative
performance levels
business results address most key customer, market, process, and action plan requirements
90%
to
100%
current performance is excellent in most areas of importance to your organization's key
business requirements
excellent improvement trends and/or sustained excellent performance levels in most areas
evidence of industry and benchmark leadership demonstrated in many areas
business results fully address key customer, market, process, and action plan requirements
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Green Zia Tools and
Technical Assistance
Tools and technical assistance are available to
help you establish and improve your
environmental excellence program.
Green Zia Program Tools
Tools to establish a basic, systematic prevention-based environmental
management system support the Green Zia Program. The tools are in two
categories: the "Systems Approach to Pollution Prevention"2 and a simplified
version for small businesses, the "Nothing to Waste" Program3. These tools
provide a basic framework for an on-going prevention-based environmental
management system.
The structured analysis tools featured in the Systems Approach facilitate process
analysis, problem solving, and decision-making. They provide a framework for
your organization to identify pollution prevention opportunities on an ongoing
basis. Management and employees utilize the tools in teams in order to gain a
complete understanding of their operations.
The Systems Approach tools are widely used quality program tools that provide
an excellent means to integrate pollution prevention into an organization's
business activities. Many companies are already using these same tools in their
quality programs.
2 The "Systems Approach to Pollution Prevention" was developed by Dr. Robert Pojasek, President of
Pojasek and Associates.
3 The Green Zia Nothing to Waste manual was adapted from the Nothing to Waste Program which was
originally developed as a project of Working Capital, Grove Hall NDC, Green Island/Vemon Hill CDC,
Tufts University New England Environmental Network, Cambridge Environmental, Inc and Dr. Robert
Pojasek with funding provided by the US Environmental Protection Agency.
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The Nothing to Waste Program is a simplified version of the "Systems Approach
to Pollution Prevention", for use in small businesses. The Nothing to Waste
Program explains how a very small business can use quality tools to improve all
aspects of their business, with an emphasis on environmental improvements. The
program walks a business through these tools from process analysis through
action planning for implementation. A copy of this program can be downloaded
from the web site: www.pollutionprevention.com or by calling Patricia Gallagher
at 505-827-0677.
Any type of organization from a small, one-person shop to a major manufacturer
or federal facility can use the Green Zia Program tools.
The Green Zia Tools ( aka Systems Approach or Nothing to Waste):
Tool 1: Process Mapping illustrates the steps that resources pass through as they
are transformed into final product. Process maps allow an organization to identify
all inputs and outputs from a process. This makes wastes, discharges, emissions
and other losses evident, and leads to a better understanding of the processes.
With process mapping, environment, health and safety requirements can also be
identified for each work step. Processes that people perform and information
flow can also be captured on the process maps. These process maps can serve as
templates for resource accounting and activity-based costing.
Tool 2: Activity-Based Costing identifies the true costs of wastes, discharges,
emissions and other losses. It also helps organizations identify areas to target for
pollution prevention by assigning dollar values to these losses. Full-cost
accounting provides information to help gain management attention and support
for environment, health and safety improvements.
Tool 3: Root Cause Analysis gets at the nature of the problem. The employees
can use a cause and effect diagram that highlights why and where losses occur in
a process. This information helps participants focus on specific areas for
improvement. Root cause analysis promotes discussion and helps gather
information on problems from a complete range of possible contributing factors,
including machines (technology), materials, methods, and people.
Tool 4: Developing Alternatives by using a tool like brainwriting helps
participants generate as many P2 alternatives as possible for addressing the
wastes, discharges, emissions or other losses. This tool aims to produce many
potential ideas, rather than focusing on a single "right" answer.
Tool 5: Selecting an Alternative involves using a tool like "bubble-up/bubble-
down. This tool helps the employee team prioritize alternatives to determine the
optimal P2 solution for the selected P2 opportunity. Factors such as cost, ease of
implementation and effectiveness are considered in evaluating and prioritizing the
alternatives.
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Tool 6: Action Plans detail each step that needs to be taken to implement the
alternative chosen for reducing or eliminating the waste, discharge, emission or
other loss. Action plans allow companies to track progress and provide a platform
against which to audit environmental excellence program implementation.
* Information on these tools can be found on the Internet at
http://www.PollutionPrevention.com
Technical Assistance and Green Zia Program Training
Technical assistance is available for businesses to help them use the Green Zia
tools and implement pollution prevention or other improvement opportunities.
Training in both the tools and the Green Zia Program application process are
offered across the state. Classes that lead businesses through the tools are offered
through community college continuing education programs and through other
venues such as on-site training, community workshops, and industry-specific
training.
Very small businesses can work as a team in facilitated Green Zia Groups to work
through the tools, teaching other team members about their business operations.
In turn, the other team members can provide feedback and offer ideas from a
different perspective. Consultants and other technical assistance providers who
are proficient in the use of the Green Zia tools may offer this service to companies
in New Mexico.
The Green Zia Pollution Prevention/Technical Resource Center has been
established to help you develop a pollution prevention program and to help you
work through the Green Zia Program. Information on the latest prevention
techniques and technologies as well as onsite assistance, a website and a listserve
are available through the Resource Center. The Resource Center is administered
through the Waste-management Education and Research Consortium in
collaboration with the Energy, Minerals and Natural Resources Department and
the Environment Department as part of the Green Zia Environmental Excellence
Program. Please contact Chris Campbell, in Albuquerque at 843-4251 for
information.
Businesses are encouraged to work with the free technical assistance programs
through the New Mexico Environment Department and the City of Albuquerque
to answer compliance questions or to implement pollution prevention
opportunities.
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Technical Assistance Contacts:
Green Zia Environmental Excellence Program: 505-827-0677
Green Zia/P2 Technical Resource Center: 505-843-4251
Energy, Mineral and Natural Resources Department
Energy Efficiency: 505-827-7804
Environment Department
Air Quality Small Business Assistance Program: 505-827-2859
Hazardous Waste On-Site Assistance: 505-827-1558
Recycling: 505-827-2883
Underground Storage Tanks: 505-476-3779
State Engineer's Office
Water Conservation: 505-827-3879
City Of Albuquerque/Bernalillo County Area Businesses
Environmental Health Department
Hazardous Waste Assistance: 505-768-2636
Air Quality Assistance: 505-768-1964
Public Works Department
Pollution Prevention Program: 505-873-7004
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Green Zia Company
Profiles
Profiles of successful programs in New
Mexico
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