United States
Environmental Protection
Agency
An Organizational Guide to
Pollution Prevention
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Baldrige National Quality Program 2001
Criteria for
Performance
Excellence
accompli*
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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.
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!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 jy-to-**^ —v • ir**^.
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
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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.
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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.
10
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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.
11
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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.
15
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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.
18
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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
37
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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.
39
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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.
40
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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
41
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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
•
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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
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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
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• 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
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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
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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
10
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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
11
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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.
g g>
O) O
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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•
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
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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
10
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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
11
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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.
g g>
O) O
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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Baldrige National Quality Program
There is no better assessment of your organization's
performance available than applying for the Award.
The Criteria for Performance Excellence are unique in
addressing all the critical elements of your
performance system.
Bruce W. Woolpert
Chairperson
1996 Panel of Judges
President and CEO, Graniterock
1992 Baldrige Award Recipient—Small Business
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Award Participation
The Award eligibility categories
include
• manufacturing businesses
• service businesses
• small businesses
• education organizations
• health care organizations
Three Awards may be given in
each category each year.
Application
Requirements
Each applicant needs to submit
an Eligibility Certification Form
to establish eligibility in one of
the five Award categories.
Once eligibility has been
validated, each applicant needs
to submit the appropriate
application fee, along with an
application package. The
package consists of three parts:
• the Eligibility Certification
Form showing that eligibility
has been validated
• a completed Application
Form
• an application report
consisting of an Organiza-
tional Profile and responses
to the Criteria for Performance
Excellence
Materials
Applicants will need the
following materials:
• the Criteria for Performance
Excellence for the appropriate
category: business, education,
or health care
• the Baldrige Award
Application Forms booklet
Individual copies of these
materials are available free of
charge from the Baldrige National
Quality Program (BNQP) and are
also available on-line.
If you have questions about the
Award process, call BNQP to
speak to a program specialist.
Baldrige National Quality Program
Phone: 301-975-2036 • Fax 301-948-3716
E-mail: nqp@nist.gov • Web address: http://www.quality.nist.gov
Award Process: Key Dates
Criteria for Performance Excellence Available:.. December-January
Baldrige Award Application Forms Available: January
Eligibility Forms Due: April
Award Applications Due: May-June
-------
: Take the challenge!
Are you facing the challenges of becoming a global organization?
Reducing cost and cycle time? Managing more part-time,
temporary, and contract workers?
Does improvement in the value of your organization's stock,
operating income, sales, return on sales, and employment and
asset growth interest you?
Business, education, and health care organizations can all benefit
from using the Criteria for Performance Excellence. Thousands of
U.S. organizations have found the Criteria to be a significant tool
for improving performance on the critical factors that drive their
overall success.
The Criteria provide a valuable framework for assessing and
measuring performance on a composite of key indicators of
organizational performance related to finance, operations,
and customer satisfaction.
What if becoming an Award recipient is not your
immediate objective? Submitting an application still
offers valuable benefits. The feedback report that
every applicant receives contains both strengths
and opportunities for improvement—important
inputs that can help your organization improve.
It's an incredible opportunity. Why not take
the challenge?
-------
Common Stock
Comparison Study
Shows a Correlation
between the Use of
the Baldrige Criteria
and Improved Stock
Market Performance
A comparison of the stock
performance of Baldrige Award
recipients to the Standard &
Poor's 500 (S&P 500) shows
that the 24 publicly traded,
1988-1998 Baldrige Award
recipients, as a group, out-
performed the S&P 500 by
approximately 3.8 to 1. The six
publicly traded, whole company
Award recipients, as a group,
outperformed the S&P 500 by
approximately 4.8 to 1.
The 70 publicly traded,
1990-1998 site-visited appli-
cants, as a group, outperformed
the S&P 500 by approximately
2 to 1. The group of 14 publicly
traded, whole company site-
visited applicants outperformed
the S&P 500 by almost 2.2 to 1.
Source: 1 999 Baldrige Index Stock Study
• The Criteria Focus on Results
The Criteria for Performance Excellence use a composite of leading
and lagging indicators to help organizations enhance their
performance through a focus on delivering ever-improving value to
customers and improving overall organizational effectiveness.
-------
Baldrige Recipients Outperform
the S&P 500
1200
0
Whole Company
Recipients
1988-98
All Recipients
1988-98
All Site-Visited
Applicants
1990-98
Baldrige
S&P 500
• Customer Satisfaction
The Ritz-Carlton Hotel Company, L.L.C. (1992 and 1999 Baldrige
Award Recipient—Service) reports that 75% of its customers would
not use a competitor regardless of the offer.
-------
Globalization
The Baldrige philosophies of
customer focus, global part-
nerships, strategic planning,
policy deployment, and locally
empowered employees are
essential elements in global
operation. In fact, the Baldrige
process has proven to be a
most effective tool in assessing
and guiding improvements in
our global business model.
Bob Banks
Vice President of Quality
STMicroelectronics-
Region Americas
1999 Baldrige Award Recipient
Manufacturing
Supply Chain
We are using the Baldrige
Criteria to further integrate our
supplier chain into our up-
front business processes.
Barry Nickerson
Chief Operating Officer
Marlow Industries
1991 Baldrige Award Recipient
Small Business
• Cycle Time
In the past two years, Lucent Technologies, Inc., Optical Networking
Group, has reduced new product introduction cycle time by 45% while
improving on-time new product availability from 91% to 95%.
(Includes what was formerly AT&T Network Systems, Transmission
Systems Business Unit, 1992 Baldrige Award Recipient—Manufacturing)
4
-------
m
Current fanes
E-commerce
An e-commerce economy is
causing manufacturers to
redesign their business model.
The Baldrige process laid the
foundation for the development
of our e-business strategy.
Don Wainwright
Chairman and Chief Executive Officer
Wainwright Industries, Inc.
1994 Baldrige Award Recipient
Small Business
Environment, Health,
and Safety
Focusing on the Criteria of the
Malcolm Baldrige National
Quality Award forced us to
integrate environment, health,
and safety into our business.
The effort resulted in not only
a higher quality product, but
also the realization that the
market rewards environment,
health, and safety leadership.
Michael J. Leake
Director of Environment, Health, and Safety
Raytheon (Includes what was formerly
the Texas Instruments Defense Systems
& Electronics Group)
1992 Baldrige Award Recipient
Manufacturing
• New Product Sales
Over the 10 years prior to applying, 3M Dental Products Division
(1997 Baldrige Award Recipient—Manufacturing) doubled global sales
and market share, and from 1991 to 1996, it doubled its rate of profit.
In addition, products introduced between 1993 and 1997 accounted
for 45% of total annual sales, up from 12% in 1992.
5
-------
Excell
ence
Accelerate improvement
efforts.
Applying for the Baldrige Award
also helped us set a pace for our
quality improvement efforts that
we otherwise wouldn't have
maintained. It created an
accountability through the
Award cycles that moved us
faster and moved us further
than we could have done on
our own.
Jeff Pope
Partner
Custom Research Inc.
1996 Baldrige Award Recipient
Small Business
• Employee Involvement
Trident Precision Manufacturing, Inc. (1996 Baldrige Award Recipient—
Small Business) empowers its employees to make process improve-
ments, implementing 98% of the 5,000 suggestions it received between
1998 and 1999. In fact, 95% of the improvement at Trident comes from
its own resources and people.
6
-------
FOCUS your organization on a
common set of goals.
Improve your organization's
performance.
When we began our quality
journey, we expected it to
reduce customer complaints and
product waste and improve
customer satisfaction. But it has
done far more than that.
Employing Baldrige-based
criteria has enhanced our
business performance by using a
systematic approach that
engages all our stakeholders. It
has created a common language
that we use across all levels of
our organization. The process
has unified our organization and
focused our energy and
enthusiasm on a common
set of goals.
Jerry R. Rose
President
Sunny Fresh Foods
1999 Baldrige Award Recipient
Small Business
We aimed for the Baldrige Award
to drive our business processes to
world-class levels. During the
years of preparation we made
significant improvements in our
business processes, such as
strategy development and
deployment and customer
satisfaction systems. The clear
direction set by the Criteria, their
direct linkage to our business
needs, along with the
competition-inspired teamwork,
were the main reasons for
these improvements.
Alan T. Eusden
Vice President and General Manager
Corning Inc.
Telecommunications Products Division
1995 Baldrige Award Recipient
Manufacturing
• Customer Retention
Seventy percent of Bl's (1999 Baldrige Award Recipient—Service)
top customers have been with Bl for five or more years.
7
-------
Question:
We tried TQM years ago, and
it didn't work. Why should we
use Baldrige?
Answer:
The Criteria are evolving as the
leaders of American
organizations share their
strategies and improve their
understanding of the factors
that drive excellence. While
TQM is an approach that
organizations have explored,
many have gone on to
improve and refine this
approach. The nonprescript-
iveness of the Criteria
encourages organizations to
demonstrate improvements
and refinements to their
processes as a result of
organizational-level analysis
and sharing.
Ko Nishimura
Chairman, President, and CEO
Solectron Corporation
1997 and 1991 Baldrige Award Recipient
Manufacturing
J
Question:
Our organization's results are
already great. How will
applying for the Award be of
value to us?
Answer:
We also had great business
results when we applied, but
they can always be better. That
is what this process is about—
continuous improvement. In
today's environment, if you
don't keep improving you
won't survive.
Dr. E. David Spong
Vice President-General Manager
Boeing Airlift and Tanker Programs
1998 Baldrige Award Recipient
Manufacturing
• Product Reliability
Based on the 1999 J.D. Power & Associates Vehicle Dependability
Study, Cadillac Division (1990 Baldrige Award Recipient-
Manufacturing) continues to be ranked among the top automotive
nameplates in initial product quality, sales and service satisfaction, and
three-year dependability.
8
-------
Question:
What if we are not ready to
apply?
Answer:
No one ever thinks they are
ready to apply. The truth of the
matter is that you really do not
know until you have gone
through an application and
had it scored by the Baldrige
Examiners. We found that we
reaped as much benefit from
our first application and the
feedback from it as we did
from winning the Baldrige the
following year.
Joel D. Marvil
Chairman of the Board
Ames Rubber Corporation
1993 Baldrige Award Recipient
Small Business
Question:
Why should a small business
commit its limited resources to
compete for a national award?
Answer:
Your commitment to
performance excellence
should not be measured by
cost but by investment.
Organizations purchase
equipment to improve
processes and cycle time. If
they would make a similar
investment in their performance
system, the return would be
much higher, not just in
production but throughout the
organization. In particular,
invest in your number one
asset—your people. They
deserve a chance at perfor-
mance excellence.
Scott Weber
Director of Administration
Texas Nameplate Co., Inc.
1998 Baldrige Award Recipient
Small Business
• Revenue Per Employee
Globe Metallurgical Inc. (1988 Baldrige Award Recipient—Small
Business) has experienced growth in revenue per employee from
$360,000 in 1990 to over $450,000 in 1999.
-------
Grt&tert
The feedback report is a written
assessment of an organization's
strengths and opportunities for
improvement based on its
Baldrige Award application. It is
compiled by a team of leading
experts—Examiners who con-
tribute both industry/sector and
Criteria knowledge.
The report includes the following:
• The Key Themes Summary
A synthesis of the most
significant cross-cutting
strengths, opportunities for
improvement, and key
results reported in the
application provides a
broad overview of the
Examiners' analysis.
• Comments
Actionable, detailed
strengths and opportunities
for improvement for each
Criteria Item, specific to
your organization, help
you prioritize your
improvement efforts.
I Customer Satisfaction
Since IBM Rochester (1990 Baldrige Award Recipient—Manufacturing)
received the Baldrige Award, customer satisfaction surveys have shown that
satisfaction with Rochester's AS/400 has increased by more than 10 points;
in addition, these surveys demonstrate a 97% customer loyalty rating.
• Individual Scoring Range
For each Criteria Category,
you will receive a scoring
range, allowing you to
determine your organi-
zation's relative strengths
and opportunities for
improvement.
• Scoring Distribution
The percentage of applicants
that scored in each of
eight overall scoring bands
provides a context for your
total score relative to other
organizations.
Once your organization is
notified that it has reached its
final stage in the evaluation
process, your feedback report
will arrive within 45 to 65 days.
10
-------
tke
Relevance of Feedback for
Continuous Improvement
Value of Feedback
Relative to Investment
In 1998 and 1999 surveys of Baldrige Award applicants, over
80% rated the feedback report very good to excellent in helping
their continuous improvement efforts, and 85% or more said the
feedback was very good to excellent relative to their investment.
We all do certain things very
well. We take pride in those
things and continue to improve
them, but after time the
improvement is only marginal.
The Baldrige process forced us
to focus on those things we
didn't do very well or pre-
viously thought were
unnecessary. The process
highlighted areas that were
totally untapped and caused us
to evaluate them. Because
there were areas we did not
focus on before, the
improvement was substantial.
As a result, Dana Commercial
Credit was able to improve the
organization across
the board.
Edward Shultz
CEO and Chairman
Dana Commercial Credit Corporation
1996 Baldrige Award Recipient
Service
• Profit Growth
Marlow Industries, Inc. (1991 Baldrige Award Recipient—Small
Business) has achieved 50% year-over-year profit growth since
receiving the Award.
77
-------
We embraced the criteria of the
Florida Governor's Sterling
Award in an effort to conduct a
self-assessment and to validate
the changes we had made and
were considering for the future.
Winning the award in 1996 was
a noteworthy accomplishment;
however it was only a mile-
stone. We raised the bar in
1997 and set our sights on the
Baldrige Award. While winning
the Baldrige Award in 1 997 was
a major accomplishment, we
see it as another milestone
along our never-ending quest
for excellence.
Charles Humm
Senior Vice President
Lending Services
Merrill Lynch Credit Corporation
1997 Baldrige Award Recipient
Service
The "pursuit of excellence"
process continues to evolve
after beginning the journey in
1980. Over 90 "opportunities
for improvement" were
submitted per associate for
1999, providing a means by
which all associates can
contribute to improving the
process. Milliken associates
participate in over 14,000
teams each year. The Sharing
Rally is another avenue by
which associate involvement is
created, and Milliken &
Company has now held over
160 Sharing Rallies.
Craig Long
Director of Quality
Milliken & Company
1989 Baldrige Award Recipient
Manufacturing
-------
The Malcolm Baldrige National Quality Award is presented annually to recognize U.S.
organizations for performance excellence. The Baldrige National Quality Program at
the National Institute of Standards and Technology (NIST) manages the Award.
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 American Society for Quality (ASQ) administers the Malcolm Baldrige
National Quality Award under contract to NIST.
Baldrige National Quality Program
Phone: 301-975-2036 « Fax 301-948-3716
E-mail: nqp@nist.gov » Web address: http://www.quality.nist.gov
NIST0054
-------
n the Baldrige process, there are winners
id there are learners.
Kathleen Herald-Marlowe
Chairperson
1999-2000 Panel of Judges
Former Manager, Quality
Exxon Research & Engineering
Baldrige National Quality Program
Phone: 301-975-2036 • Fax 301-948-3716
E-mail: nqp@nist.gov • Web address: http://www.quality.nist.gov
MIST
Baldrige National Quality Program
National Institute of Standards and Technology
Technology Administration
United States Department of Commerce
Gaithersburg, MD 20899-0001
Address Service Requested
NIST CENTENNIAL!
-------
W i S H I N G T D N STATE
I E F t R T M E N T OF
ECOLOGY
Pollution Prevention Planning
Guidance Manual
for Chapter 173-307 WAC
Hazardous Waste and Toxics Reduction Program
Publication #91-2 Revised - June 2000
Reduce Waste
-------
For a copy of this document, please contact:
Publications Distribution Office
Department of Ecology
PO Box 47600
OlympiaWA 98504-7600
Please include your street address for UPS delivery.
Ecology's Hazardous Waste and Toxics Reduction Program employs environmental professionals who can answer
your questions on hazardous waste issues. Toxics Reduction Specialists can suggest the best way for you to reduce
the amount of hazardous waste generated by your business. They can also advise you on how to complete your
pollution prevention plan. Hazardous Waste Specialists offer sound advice on how to stay in compliance with the
Dangerous Waste Regulations. Call your nearest regional office at one of the numbers listed below.
Central Regional Office - Yakima (509) 575-2490
Eastern Regional Office - Spokane (509) 456-2926
Northwest Regional Office - Bellevue (206) 649-7000
Southwest Regional Office - Lacey (360) 407-6300
MORTH WE STf
REGION
The Department of Ecology is an equal opportunity agency, and does not discriminate on the basis of race, creed, color,
disability, age, religion, national origin, sex, marital status, disabled veteran's status, Vietnam Era veteran's status or
sexual orientation.
If you have special accommodation needs, or require this document in an alternate format, please contact the Hazardous
Waste and Toxics Reduction Program at (360) 407-6700 (Voice) or (360) 407-6006 (TDD).
Ecology's telecommunications device for the deaf (TDD) number is (360) 406-6006. Regional TDD numbers are:
Central Regional Office
Eastern Regional Office
Northwest Regional Office
(509) 454-7673
(509) 458-2055
(206) 649-4259
-------
Southwest Regional Office (360) 406-6306
-------
W i S H I N G T D N STATE
I E F t R T M E N T OF
ECOLOGY
Pollution Prevention Planning
Guidance Manual
for Chapter 173-307 WAC
Hazardous Waste and Toxics Reduction Program
Publication #91-2 Revised - June 2000
printed on recycled paper
-------
-------
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
The Department of Ecology has been administering the pollution
prevention planning program provided for in Chapter 70.95C RCW
since its passage in 1990. After five years of working with over 600
planning facilities, Ecology contracted a survey of facilities to determine
the value of the planning process and to obtain suggestions for
improvements.
A majority of facilities responding to the survey expressed general
support for pollution prevention planning. These facilities indicated that
the requirement to prepare a plan resulted in more cost-effective
pollution prevention opportunities being implemented. They also
provided comments about the strengths and weaknesses of the
program.
One result of the evaluation was a determination that the Guidance
Manual could benefit from a revision. This effort was primarily directed
toward a clearer expression of the purpose and value of planning, and
how each step in the planning process provides value to the facility.
This revised Guidance Manual incorporates the suggestions of the
planning facilities, along with those from Ecology staff. Additionally, the
manual provides guidance for submission of the five-year plan updates,
first due in 1997.
Forward
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
-------
Hazardous Waste and Toxics Reduction Program
Table of Contents
Introduction 1
How will a Pollution Prevention Plan Help Me? 1
Who is Required to Plan? 2
When is My Plan Due? 2
What's Required in a Plan and an Executive Summary? 3
Have Planning Requirements Changed? 3
What's Required for a Five-Year Update? 4
Do I need to Submit Annual Progress Reports? 6
Will Ecology Review My Planning Documents? 6
Can I Protect Proprietary Information? 6
How Do I Get Started? 6
Getting Started - Organization and Management 7
Worksheet A. Facility Description and Prior Accomplishments 9
Worksheets. Policy and Signature 11
Worksheet C. Employee Involvement, Training and Awareness 13
Worksheet D. Cost Accounting 15
Identifying Systems and Opportunities 16
Worksheet E. Identification of Hazardous Products 19
Worksheet F1. Identification of Hazardous Wastes - Pounds Approach 21
Worksheet F2. Identification of Hazardous Wastes - Percentage Approach 23
Worksheet G. Process Descriptions 25
Worksheet H Pollution Prevention Opportunities 29
Worksheet! Opportunities Not Linked to a Specific Process 31
Worksheet J. Selected Opportunities, Goals, Implementation Plan 34
Worksheet K. Research Labs, Policies and Procedures 36
Worksheet L. Executive Summary Addenda 38
Tables
Table 1. Plan Due Dates 2
Table 2. Planning Elements 5
Figures
Figure A. Sample Process Flow Diagram 17
Figure B. Decision Flow Chart 27
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Appendices
I. Technical Evaluation 39
II. Economic Analysis of Pollution Prevention Opportunities 41
III. Risk Analysis 45
IV. Interrelated Facility Checklist 47
V. List of Hazardous Substances 49
VI. Pollution Prevention Plans (Chapter 173-307 WAC) 67
VTI. Technical Assistance 79
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Hazardous Waste and Toxics Reduction Program
-------
Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Introduction
The 1990 Legislature, through their passage of Washington's Hazardous Waste Reduction
Act, recognized that disposal of hazardous waste can be both harmful to the environment
and costly to those who must dispose of waste. In order to address this problem, a policy
was established to encourage reduction in the use of hazardous substances and hazardous
waste generation whenever economically and technically practical. A statewide policy goal
of reducing the generation of hazardous waste by fifty percent was set.
The primary method the law (Chapter 70.95.C RCW) uses to achieve this goal is requiring
certain hazardous waste generators and hazardous substance users to prepare plans for
voluntarily reducing hazardous substance use and hazardous waste generation. Plans must
consider pollution prevention opportunities in the following priority:
• Hazardous substance use and hazardous waste reduction
• Recycling
• Treatment
As mandated by law, the Department of Ecology developed a regulation to implement the
requirements, and subsequently adopted Chapter 173-307 WAC, Pollution Prevention
Plans. This regulation is found in Appendix VI.
How will a pollution prevention plan help me?
Several facilities that have been involved in the planning process have had this to say:
"Pollution Prevention Planning was the perfect tool for understanding the full extent
of our waste management needs. It allowed us to get a handle on our systems, rather
than just reacting, and it acts as an educational tool for both the waste generator and
the environmental manager. Everyone is helped in the long run - it's the ultimate
way to manage wastes. "
"In the course of writing our Pollution Prevention Plan, we discovered significant
benefits, including: 1) cost savings on waste disposal, raw materials, and operations;
2) reduced regulatory burden; 3) coordinated management of various environmental
requirements; 4) increased production efficiency; and, 5) improved worker safety. "
"Pollution Prevention Planning gave us a real opportunity to take a multi-media
approach to environmental management. It provided a process for pulling together
the various environmental requirements that affect our facility, and it helped us to
evaluate the environmental trade-offs associated with implementing new technologies
or practices. It also assured us that our money would be spent on the right things in
the end."
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Hazardous Waste and Toxics Reduction Program
Who is required to plan? Is there a planning fee? Are there
exclusions for recycling credits?
Under Chapter 173-307 WAC, facilities that report under Section 313 of the Emergency
Planning / Community Right-to-Know Act (EPCRA), or that generate more that 2,640
pounds of hazardous waste per year, must prepare Pollution Prevention Plans. Ecology
reviews Dangerous Waste Annual Reports and Annual Toxic Release Inventory (Form R)
Reports to identify, and notify, the facilities required to plan.
The amounts reported for hazardous waste generation and toxic chemical releases are also
used to calculate an annual fee that is assessed to these planning facilities. WAC 173-307-
015(1) provides that hazardous waste recycled on-site or recycled off-site for beneficial use
shall not be counted toward the planning threshold amount. A similar provision in the fee
regulation, Chapter 173-305 WAC, excludes recycled waste from the fee calculation. The
instructions for completing the Dangerous Waste Annual Report provide information on
how to claim recycling credits.
When is my plan due?
The law states that facilities must complete a plan by September 1 of the year following the
first year that they generate more than 2,640 pounds of hazardous waste or are required to
report under Section 313 of EPCRA. In practice, a time lag of over two years exists from
when a prior year's activities are reported by facilities until the plan due date. The lag
results from the time it takes Ecology to review the reports, identify new planners, and send
a notification letter about the planning requirement. This notification letter specifically tells
you when your plan is due, but it will be on September 1 of the year following your receipt
of the notification. A plan update is required every five years following the original plan due
date. This information is illustrated in Table 1.
Table 1 - Plan Due Dates
Dangerous Waste Report > 2,640
Ibs. and/or TRI (Form R) Report
Submitted to Ecology
1990
1991
1992
1993
1994
1995
1996
etc.
Facility Notified of Their
Requirement to Prepare a
Pollution Prevention Plan
1991
1992
1993
1994
1995
1996
1997
etc.
Plan Due Date -
September 1 of:
1992
1993
1994
1995
1996
1997
1998
etc.
Five- Year Plan Update
Due Date — September 1
of:
1997
1998
1999
2000
2001
2002
2003
etc.
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
What's required in a plan and an executive summary?
This manual contains a set of worksheets that have been designed to help you prepare a
Pollution Prevention Plan in accordance with the requirements in Chapter 173-307 WAC.
Completion of the set of worksheets according to the instructions in the guidance provided,
and with careful reference to the WAC, should result in an acceptable plan. Use of the
worksheets is highly recommended, but not required. Should you choose to use another
format, be sure you address all the planning elements included in WAC 173-307-030.
Most facilities that prepare pollution prevention plans elect to submit the full plan to Ecology
rather than prepare a separate executive summary. The full plan then becomes available for
public inspection. If an executive summary is submitted, it becomes the public document,
and the full plan remains at the facility.
If you choose to prepare an executive summary, summary information is permitted in several
areas. Worksheet L specifies these instances. For the other planning elements, the same
level of information required in the full plan is also required in an executive summary.
Table 2, on page 5, will help you see all the planning requirements for full plans and
executive summaries. The table can also serve as a checklist to help you with your
document preparation.
Have planning requirements changed?
Facilities should note that several of the planning requirements have changed for plans
and/or plan updates prepared after September 2, 1996. See Worksheets E and F for more
information about these changes.
• Prior to September 2, 1996, two alternative approaches could be taken to fulfill the
requirement for identifying hazardous wastes and hazardous substances. These were
referred to as the "pounds approach" and the "percentage approach." While both
approaches remain as options for the identification of hazardous wastes, only the
"percentage approach" may now be used for the identification of hazardous substances.
• Prior to September 2, 1996, facilities needed to identify 90 percent of the hazardous
substances used and 90 percent of the hazardous wastes generated. Now, the
quantities of hazardous substances and wastes that must be identified are 95 percent.
Facilities should also note that Ecology is now providing for an alternative to the
"traditional" approach to preparing a pollution prevention plan, which is presented in this
manual. Alternatively, facilities that adopt an "environmental management system" (EMS)
approach may also satisfy the planning requirements. In order to qualify, a facility must
demonstrate to Ecology that their EMS meets a set of pollution prevention criteria. Contact
Ecology staff for Publication #97-1255, which provides guidance on this alternative.
What's required for a five-year update?
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Hazardous Waste and Toxics Reduction Program
Your Pollution Prevention Plan needs to cover a five-year period. WAC 173-307-070(2)
requires that every five years the plan shall be updated. Except as noted above, a plan
update needs to conform to the same requirements as the original plan. Ecology views the
update process as adequate if the parts of the original plan that have become out of date or
invalid are updated. Otherwise, a reference to each valid part in the original plan will
suffice. Providing copies of valid information may be more useful than just references, as a
"stand alone" document would then exist for facility use and for public review.
Some parts of the initial plan will most likely need to be updated, e.g. the inventories of
hazardous substances and wastes to comply with the 95% requirement. These particular
updates (Worksheets E and F) along with current service or production levels (Worksheet
A) will also establish new baselines for your updated plan. Table 2 may help you with the
link from your initial plan to a five-year update, and may also help identify the parts where
changes have likely occurred. You are encouraged to use the new worksheets provided in
this guidance manual for the update, which will require a recognition of the reorganization
and renumbering of the worksheets from the old manual. Table 2 provides a cross
reference to the old worksheet numbers. Ecology staff are available to help you with the
plan update process.
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Table 2 - Planning Elements
This table may be used as a checklist to track completed planning elements. The planning elements are
identified as being required or not (Yes/No), or with clarifying comments as needed. If you are
preparing a Five-Year Update, reminders about possible changes that you should address are listed.
Also, if you used the worksheets in the guidance manual that was previously used (Publication #91-2
Revised) in your original plan, a cross reference to those worksheet numbers has been provided in the
first column.
Worksheet # (with
cross reference to
worksheets in previous
guidance)
A: Facility description,
products/services, prior
actions
(Worksheets 3, 5)
B: Management policy,
risk policy, signature
(Worksheet 1)
C: Employee
Involvement
(Worksheet 2)
D: Cost accounting
(Worksheet 14)
E: Haz sub
identification
(Worksheets 6A, 6B)
F: Haz waste
identification
(Worksheets 7A, IB)
G: Process descriptions
(Worksheets 8, 9)
H: P2 opportunities
(Worksheets 10, 11)
L Non specific
opportunities
(Worksheets 10, 11)
J: Selected opps, goals,
dates
(Worksheets 12, 13)
K: Research labs
(Worksheet 18)
L: Exec. Summary
Addenda
(Worksheet 19)
Full Plan
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
If applicable
No
Completed
Executive
Summary
Yes
Yes
No
Yes
Yes, or list of
types and
amounts
Yes, or list of
types and
amounts
Yes, or brief
description
Yes, or
summaries
of opps,
reasons for
rejections,
impediments
Yes, or
summaries
Yes
If applicable
Yes
Completed
Five-Year
Update
Reference plan,
or update if
needed.
Prior actions
optional.
More current
policies?
Reference, or
update if
needed
New cost acct.
system?
95% now
required
95% now
required
New or
changed
processes?
NewP2
opportunities
identified?
Feasibility
changed?
New opps?
Feasibility
changed?
New goals,
action dates?
Reference, or
update if
applicable
Reference, or
update if
applicable
Completed
-------
Hazardous Waste and Toxics Reduction Program
Pollution Prevention
Successes
A printing plant switched to
non-toxic inks and solvents and
made other process changes,
cutting its waste and toxic air
emissions by 97% and saving
almost $95,000 a year.
A door manufacturer switched
to powdered glue, mixing it in
batches with glue-tainted
washwater. The company now
saves about $10,000 a year in
wastewater disposal costs.
By scheduling orders to
sequence from light to dark
colors, a painting operation
was able to reduce its number
of equipment "change-outs. "
This reduction, coupled with
the use of an on-site distillation
unit, resulted in saving over
$32,000 a year in waste
disposal costs.
An ink manufacturer replaced a
toxic cleaning solvent with a
substitute to clean their process
equipment. The new solvent
and resulting waste is now
added back into their feed
stock. What was previously
treated as a waste has become
a new source of income for the
company.
Do I need to submit Annual Progress Reports?
WAC 173-307-080 requires that planning facilities submit annual reports
on the progress they made during the prior calendar year in implementing
their plan. These reports are due each year on September 1 following the
due date of their plan. Publication #93-38 provides guidance and
worksheets for preparing annual reports. Ecology will distribute copies of
this publication each Spring to all the planning facilities, or it may be
requested directly from Ecology staff.
Will Ecology review my planning documents?
Ecology will review all plans, executive summaries, and annual progress
reports. If deficiencies are found, you will be notified. Ecology's technical
assistance staff is available to help you correct the deficiencies. Our goal is
to help you develop a plan that through its implementation will result in the
reduction of hazardous substance use and hazardous waste generation.
Can I protect proprietary information?
The public will be allowed to review the plans / executive summaries and
annual reports you submit. If a document you submit contains proprietary
information, you may request that information be deleted from the record
before it is opened to the public. Indicate the material you wish deleted
when you submit the document. No information will be made public until
Ecology makes a decision on your request.
How do I get started?
Ecology offers a range of technical assistance services that will help you
prepare, and implement, your pollution prevention plan. Staff are available
in four regional offices, and can serve you by phone or on-site. On-site
visits have been particularly beneficial to many facilities. Staff also sponsor
workshops and other events designed to help you with your plan or with the
technical information you may need to identify pollution prevention
opportunities. Samples of approved plans are available for you to look at
for ideas that may work for you. Phone numbers for Ecology's Regional
Offices may be found in Appendix "VTI.
The worksheets in this manual are available on diskette, which may be a
convenient way for your facility to complete a plan. Feel free to request
one from the appropriate regional office.
-------
Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Organization and Management
Writing and implementing a pollution prevention plan is similar to writing any other business
plan. There must be a clear understanding of why a "program" (in this case a "pollution
prevention program") is being implemented, what will be done, and who will do it.
The first four worksheets provided in this guidance manual are designed to help you to
set the tone for future implementation. They will also help you to establish the framework
for completing a comprehensive and on-going evaluation of how your organization does
business.
There are several required planning elements that can be met by completing the
worksheets. Worksheet A allows you to describe your facility and the products you make
or the services you provide. It also gives you the opportunity to give details about the
pollution prevention activities you have previously implemented.
Worksheet B requires a management policy in support of the plan. A policy that risks
will not be shifted to other media is also required, as is a management signature. Employee
involvement in the development of your plan is emphasized in Worksheet C. Worksheet
D asks for a description of the procedures you will use to compare the total costs of
pollution prevention opportunities with current practices.
Guidance for Worksheet A
Facility Description and Prior Accomplishments
This Worksheet provides a framework for your pollution prevention plan by asking for a
general description of your facility and a discussion of your past activities.
Description of Products, Services, and Level of
Production / Services
The rule requires:
... a description of the facility type, a description ofproduct(s)made and/or services
provided, and a statement or listing of the current level(s) of production or service
activity in units of measure appropriate to the industry or activity. . . -030(l)(c)
Describe the products you make or the services you provide, including the production or
service level(s) for your facility during your plan's base year (usually the year prior to your
plan's due date). Use units of measure common to the type of production or service
activities that your type of industry is engaged in, such as the number or pounds or gallons of
each product produced, annual gross sales, or production hours. When compared from one
year to the next, this number should indicate relative growth or other changes within your
facility. If the type or volume of your products or services changes greatly from year-to-
year, or if you anticipate major changes, please explain these changes.
-------
Hazardous Waste and Toxics Reduction Program
Prior Accomplishments
The rule requires:
. . . a description of current reduction, recycling and treatment activities and
documentation of hazardous substance use and hazardous waste reduction efforts
completed prior to the first plan due date specified in WAC 173-307-050. Clearly
differentiate reduction from recycling and other management activities. -030(l)(f)
Many facilities have completed a variety of pollution prevention activities that they wish to
document in their plan. This documentation is important because it can send a message to
those who read your plan to define past accomplishments - progress previously made
toward pollution prevention. It can also help track past efforts, and define what has worked
and has not worked, so future efforts do not replicate past trials. Note the year that
activities were implemented, and, if possible, describe associated benefits such as pounds of
waste reduced, dollars saved, or risks that were reduced.
-------
Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Worksheet A
Facility Description and Prior Accomplishments -
030(1 )(c) and (f)
Facility Name :
Industry Type:
Primary SIC Code:
Your facility's EPA Identification number (WAD or CRK):
Description of Products, Services, and Level of Production:
Prior Accomplishments:
-------
Hazardous Waste and Toxics Reduction Program
Management
commitment to pollution
prevention is the key to
good results.
"We are a community minded
business that wants to make
sure that our waste is properly
managed and that every
economically feasible pollution
prevention measure is
implemented. We will look at
pollution prevention
opportunities that will not shift
the risk to one environmental
medium or product to another.
We will look for alternative
products or processes that use
less or eliminate the use of toxic
materials and/or generate
hazardous wastes. We want to
make sure the environment is
managed properly to insure a
healthy place for the children
of today and future
generations. "
"Protecting the environment is
a high priority at our company.
We are committed to
developing and implementing
an effective Pollution
Prevention Plan, and to
achieving our goals. We are
committed to minimizing our
business impact to the air,
water, land and human health.
We will ensure that risks will
not be shifted from one process,
Guidance for Worksheet B
Policy and Signature
Worksheet B will help you establish a pollution prevention policy that
expresses management support for your pollution prevention plan and its
implementation. Pollution prevention programs are normally successful only
when management support is articulated and actively provided.
Management Policy
The rule requires:
. . . a written policy articulating management and corporate support
for the plan and a commitment to implement planned activities and
achieve established goals. -030(l)(a)
. . . a written policy stating that in implementing the selected options
whenever technically and economically practicable, risks will not be
shifted from one part of a process, environmental medium, or product
to another. -030(2)(f)
Management policies set the tone of a company's activities and practices.
Through them, employees understand the nature and approach of business
plans - they can see how a company hopes to do business. One way to
stress the importance of pollution prevention in your business is to define a
clear policy statement that shows strong management commitment. A short,
simple statement that comes right to the point will be most effective.
The intent of the risk shifting policy is to ensure that a multi-media approach
is taken to problem solving so risks are not moved from land to water,
water to air, etc. It ensures that your business will take a look at the bigger
picture to ensure that if a shift does occur, there is a benefit to human health
or the environment.
10
-------
Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Worksheet B
Policy and Signature - 030(1 )(a)(b), (2)(f), and -040*
Facility
Name:
Management Policy & Signature
--030(1 )(a), 030(2)(f), 040
Write a management policy expressing support for planning and a commitment to
implementation. The policy should also state that when implementing selected opportunities,
risks will not be shifted from one part of a process, environmental medium or product to
another, unless a reduction in risk occurs. The owner, chief executive officer, or other
person with the authority to commit your organization to the plan must sign the plan or
executive summary.
(Facility Name) is committed to the
purpose of this plan and hereby submits it to the Department of Ecology. This Pollution
Prevention Plan has been prepared in compliance with chapter 173-307 WAC.
Typed or printed name
Signature
Date
Title
11
-------
Hazardous Waste and Toxics Reduction Program
12
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Guidance for Worksheet C
Employee Involvement, Training and Awareness
Worksheet C is used to describe how employees are involved in the planning process, and
how they will be trained about new pollution prevention opportunities.
The rule requires:
The plan shall include a description of personnel training and employee involvement
programs. Each facility required to write apian is encouraged to advise its employees
of the planning process and solicit comments or suggestions from its employees on
hazardous substance use and waste reduction opportunities. -030(4)
Key ways to involve
employees i
prevention plfiinjjlgyaQElfrom
implemenjajl^ffiation abo
, r , „ identify possible
Make pollution prevention
^ resources, these
a part of new employee^ .
^ J necessary to imp
You ma
Encourage two-way . .
* out7oran existin
communication oepA
their to
employees and
orientation.
n
quality
incorporated pol
management. e „
safety team. Wh
Solicit employee ideas
en
about pollution
^ pn
opportunities an
environmental an
neenng, ace
evennon
ety progr
After co
health/safety issues. . .
, J J racilTtate trainim
Reward personnel for their
7 , servers contact
good ideas, active _,,
employees. The1
participation, and for, , ;
achieving goals. , . ,
* * employees in the
Post information about
J their m?"01
need ,
incorporatedpol
for employee participation
« , monthly meefi
to make it w.ork"
health and safety
anent is critical in the planning process.
different areas of your facility can provide expert
t processes, practices and systems. They can also help to
mprovements. When consulted early and used as
mployees can provide the kick-start and momentum
ement a strong pollution prevention program.
want to form a Pollution Prevention Team, or create one
group. Some facilities have simply expanded the focus of
team to include pollution prevention; others have
ation prevention into the scope of work for their health and
n you build your team, try to involve employees from
anting, purchasing, materials and inventory control,
,gement, marketing, research and development, and health
,ms.
ipleting the pollution prevention plan, the team can help
and awareness in other employees. Team members can
loints for soliciting pollution prevention ideas from other
also can help bring issues forward for discussion.
i with a Pollution Prevention Team, and to further involve
r pollution prevention program, some facilities have posted
„„ t policy (drafted in Worksheet B). They distribute this
pollution prevention goals, . . , , . c • i
policy statement to vendors and customers. Some companies have
achievementf.and the need, . . . . ... ...
ation prevention into existing training programs and
. Others distribute reminders about pollution prevention,
and/or compliance in pay-check packages.
13
-------
Hazardous Waste and Toxics Reduction Program
Worksheet C
Employee Involvement, Training and Awareness -
030(4)
Facility Name:
Describe how employees will be involved with develop!]
implementing this plan. If you form a Pollution Preventio
list the team member's names and/or job titles and their i
If you, alone, will be writing the plan, list the names of p
will consult to complete process evaluations.
Describe how employees will be kept involved with the
prevention program, and how they will be trained and n
pollution prevention issues. How will their ideas be solic
(even after the plan is complete)? How will employees 1
of new approaches or opportunities, including the polic>
drafted in Worksheet B?
Examples of how some
facilities planned to account
for costs:
"Our accounting system was
expanded to include codes for
hazardous product purchases,
hazardous materials management
and labor, waste disposal and permit
fees, and compliance expenses. All of
our departments and production
lines are required to use these codes,
and are held responsible for these
costs. Each department is also
held responsible for justifying
its use of hazardous products,
and must consider the costs
associated with potential exposures,
leaks, spills, or other liabilities. "
"In our books, we separately track
the costs for solvents and paints,
safety equipment and training, and
waste disposal and labor (paper
work, drum labeling, etc.). We
also separately track our insurance
costs, which we hope to continue to
decrease by generating less waste. "
Appendices II and III are designed to
help with the economic analysis of
pollution prevention opportunities,
but will also provide information
on costs that are commonly
14
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Guidance for Worksheet D
Cost Accounting
A price tag for hazardous substance use and hazardous waste management constitutes one
of the most convincing arguments for pollution prevention.
The rule requires:
. . . a description of accounting systems which will be used to identify hazardous
substance use and hazardous waste management costs. Liability, compliance and
oversight costs must be components of these accounting systems. -030(3)
This provision encourages the development of accounting systems to track all costs of
hazardous substance use and hazardous waste management - usual or direct costs, hidden
costs, contingent costs, and less tangible costs. A good cost accounting system properly
allocates all costs of hazardous substance use and hazardous waste management and leads
to enlightened decision making.
One use of the information in a cost accounting system is to conduct economic analyses
of potential pollution prevention measures. The analyses are part of the evaluation process
when comparing potential measures to current practice. (See Worksheet H). Therefore, a
good cost accounting system is important to this subsequent step in the overall planning
process.
No single system to identify the costs of hazardous substance use and hazardous waste
management can meet the needs and fit into the existing accounting systems of the diverse
facilities preparing and revising pollution prevention plans. Compliance with the accounting
requirements may be as simple as adding a line-item to the existing accounting system. On
the other hand, it may involve developing a new way of accounting that allows costs of
hazardous substance use and hazardous waste management to be charged back to certain
products, processes, and cost centers.
Though not required, a provision in the accounting system to track savings resulting from
implementation of pollution prevention opportunities can provide valuable information on
actual, as opposed to estimated, benefits of pollution prevention measures.
15
-------
Hazardous Waste and Toxics Reduction Program
Worksheet D
Cost Accounting
Facility Name:
Cost Accounting
Describe the procedures that are in use or will be used to track and compare the total costs
of current practices with pollution prevention alternatives. Remember to include compliance
and oversight costs.
16
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Systems and Opportunities
Key Elements of Your Plan
This next part of your plan will help you conduct a systematic evaluation of your processes,
practices, and underlying programs to determine pollution prevention opportunities. It will
also help you set five-year goals and establish an implementation schedule. The first step in
an evaluation is identifying inputs and outputs. On the next page, the process flow diagram
illustrates how to track what goes in and out of your process. Inputs may include: raw
feedstocks, utilities like water or electricity, or the use of hazardous substances. Outputs
may include: your end product or service, as well as generated solid wastes (cardboard,
plastics, etc.), air emissions, water effluents, or hazardous wastes. Clearly understanding
how inputs and outputs are related to a particular process will help you in determining
reduction opportunities.
As required under the planning law, Worksheets E, F, and G focus on identifying
hazardous substances and wastes, and determining which processes or practices use or
generate those materials. NOTE: While it is not required, you should feel free to include
non-hazardous materials and other key processes and/or practices in your evaluation,
if it is appropriate for meeting your environmental agenda. Many facilities have
chosen to expand the scope of their plans to include issues like water conservation,
stormwater runoff, and solid waste generation.
In Worksheet H and I, you will identify and evaluate pollution prevention
opportunities for each of the processes described in Worksheet G. In this step, you should
evaluate how hazardous substances are used and hazardous wastes are generated (and, if
you choose, how non-hazardous products and/or wastes are used or generated). At the
same time, you should also evaluate your overall business practices. Many companies have
found that they can lessen their environ-mental impact by making chemical substitutions,
upgrading equipment, or by improving a variety of business systems. Examples include
inventory control, purchasing, quality control, research and development, customer services,
waste management, employee awareness and training, and maintenance and inspection.
The key to this systems evaluation is to look at the big picture to identify how your
organization could possibly change the way it does business to reduce impacts to human
health and/or the environment.
After identifying pollution prevention opportunities, use Worksheet J to list
selected opportunities, along with the five-year goals that you hope to achieve, and an
implementation schedule that can be attached to each opportunity. As iterated by a group of
Fortune 500 businesses, the critical element in any business plan is that clear goals are set,
individuals are held accountable, and progress toward goals is tracked.
17
-------
Hazardous Waste and Toxics Reduction Program
Figure A
Sample Process Flow Diagram
cutting fluid
Clean wash fluid
paint
Metal Parts Fabrication
Bulk Metal
Receiving
Metal
I
Fabrication
(cutting, grinding
Metal Parts
Cleaning
Clean Metal Parts
1
Finishing/
Painting
Finished Metal Parts
packaging waste
metal scrap
cutting fluid
spent wash fluid
paint waste
air emissions
18
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Guidance for Worksheet E
Identification of Hazardous Substances
Identifying process inputs (raw materials) is a preliminary step to identifying opportunities for
reduction, and is therefore important to the overall planning process. The planning law
specifically requires that you identify the types and amounts of hazardous substances, or
products containing hazardous substances, that you use. Your plan can also address non-
hazardous inputs, but in this worksheet you will focus on hazardous materials.
To complete Worksheet E, you may want to start by doing a complete inventory of the
hazardous substances, or products containing hazardous substances, you purchased and/or
used in the base year established for your plan. This inventory could include
chemical or product name, total pounds, and percentage of identified hazardous
constituents. Outlining this information will likely make it much easier for you to complete
Worksheet E where you must identify 95 percent of your hazardous substances.
To help you catalog the hazardous substances used in your facility, you may want to
review purchasing records, Material Safety Data Sheets, and reports you submit to local fire
departments or environmental agencies containing information on hazardous materials or
wastes generated, used, stored or released.
Please note: This worksheet should address hazardous substances used, whether they
are purchased in pure form or as products that contain hazardous substances, or are
manufactured on-site for subsequent use within your facility.
If you use a pure substance, use the chemical name as listed in SARA III, 313 or
the Montreal Protocol.
If you use a formulated product consisting of a mixture that contains hazardous
substances, you will be describing the hazardous product in addition to its hazardous
components, and the volume of the product that you use. A hazardous product is
anything containing a hazardous substance pursuant to section 313 of Title III of the
Superfund Amendments and Reauthorization Act (SARA) and any further updates,
and all ozone-depleting compounds as defined by the Montreal Protocol of October
1987
and any further updates. (Refer to Appendix V)
In naming products which are mixtures, use the brand name as listed on the
official Material Safety Data Sheet or, if no Material Safety Data Sheet is applicable,
your vendor's list.
19
-------
Hazardous Waste and Toxics Reduction Program
Worksheet E
Identification of Hazardous Substances -
030(2)(a)(iv)(B)
Facility
Name:
The Percentage Approach must be used for plans written or updated after September 2,
1996. It involves screening for 95 percent of the hazardous substances, or products
containing hazardous substances, that were used. For the most recent calendar year, identify
the following information:
1. TOTALS
Total amount of hazardous substances or products containing hazardous substances
that were used (pounds): =100 percent.
Calculate 95 percent of the above total (pounds):
_= 95 percent.
2. List HAZARDOUS SUBSTANCES and PRODUCTS containing hazardous substances
that were used. Include enough to cover 95 percent of all hazardous substances or products
used that contain hazardous substances. Start with those that contain the highest
concentrations of hazardous substances and the most toxic hazardous substances. In the
third column, list the major hazardous constituents and their concentration, using MSDS or
similar sources of information. Ecology staff can help you make these determinations.
S UBSTANCES/ P RODUCTS
SUBTOTAL
AMOUNT USED (LBS)
HAZARDOUS CONSTITUENTS AND
THEIR CONCENTRATION (HS%)
PROCESS(ES) Wi-
3. List the sources of information that were used to determine that the above quantities were
sufficient to reach the threshold requirements — 030(2)(a)(iii). This may include Material
Safety Data Sheets (MSDS), vendor information, annual inventory reports, etc.
20
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Guidance for Worksheets F1 and F2
Identification of Hazardous Wastes
The identification of outputs, particularly hazardous wastes, and the processes which generate them, is a
preliminary step to identifying opportunities for reduction. The law requires that you identify hazardous wastes
that are generated, but your plan may include other wastes such as air emissions, water effluent, or solid wastes.
(Use Worksheets Fl and F2 only for hazardous wastes.) In identifying hazardous wastes, facilities must choose
one of two approaches: the Pounds Approach (Worksheet Fl) or the Percent Approach (Worksheet F2). It
might help to try both approaches before deciding which one you wish to use.
Worksheets Fl and F2 provide for the identification of at least 95 percent of all the hazardous wastes listed
on your base year Dangerous Waste Annual Report. Radioactive wastes, mixed radioactive/hazardous wastes,
and wastes generated as a result of a remedial action (cleanup) under the federal CERCLA, RCRA Corrective
Action, or state Model Toxics Control Act may be excluded prior to the determination of the 95 percent level.
You may also exclude any one-time wastes generated during your base year from activities not likely to be
repeated in the foreseeable future.
While you would normally use the report for the base year established for your plan, there may be other
considerations. If your generation of a waste varies or is expected to vary greatly from year to year, you may
elect to use a long-term average annual generation quantity for that waste rather than the previous year's
quantity. For example, if you clean a process tank every three years and dispose of the contents, you may want
to list one-third the quantity generated by this cleanout as an average annual quantity (rather than either zero or
the full amount, depending on whether or not you happened to clean the tank during your base year). Make sure
you explain your listing of any quantity that is different from that reported on your Dangerous Waste Annual
Report.
Please note: In naming hazardous wastes, use the waste descriptions found on your Dangerous Waste
Annual Report, Generation and Management Form. Use the report for the base year established for
your plan.
21
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Hazardous Waste and Toxics Reduction Program
Complete either Worksheet Fl or F2
Worksheet F1
Waste Identification - Pounds Approach -030-(2)(a)(iv)(A)
Facility Name:
The Pounds Approach begins by screening for wastes generated in excess of 500 pounds. For the most recent
calendar year, identify the following information:
Note: You can obtain data from your last Dangerous Waste Annual Report.
1. TOTALS
• Total hazardous waste generated (pounds):
= 100 percent.
_= 95 percent.
Calculate 95 percent of the above total (pounds):
NOTE: The 100 percent figure used above should equal the sum total of the extremely
hazardous waste plus dangerous waste shown on your last Dangerous Waste Annual Report,
not including remedial and/or one time waste.
Reporting (base) year used: 19 .
2. List all of your extremely hazardous waste:
WASTE NAME
SUBTOTALS
AMOUNT (LBS.)
PERCENT OF TOTAL
GENERATING PROCESS(ES)
3. List each dangerous waste generated in quantities greater than 500 pounds:
WASTE NAME
AMOUNT (LBS.)
PERCENT OF TOTAL
GENERATING PROCESS(ES)
22
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
SUBTOTALS
Worksheet F1
(continued)
Waste Identification - Pounds Approach -030-(2)(a)(iv)(A)
Facility Name:
4. List each dangerous waste generated in quantities less than 500 Ibs, which accounts for ten percent or more
of your hazardous waste total:
WASTE NAME
SUBTOTALS
AMOUNT (LBS.)
PERCENT OF TOTAL
GENERATING PROCESS(ES)
5. If the sum of the above SUBTOTALS amount to less than 95 percent of the TOTAL waste generated (see
STEP 1), include additional hazardous wastes until you reach the 95 percent quantity.
WASTE NAME
SUBTOTALS
AMOUNT (LBS.)
PERCENT OF TOTAL
GENERATING PROCESS(ES)
23
-------
Hazardous Waste and Toxics Reduction Program
Complete either Worksheet Fl or F2
Worksheet F2
Waste Identification - Percent Approach -030-(2)(a)(iv)(B)
Facility Name:
The Percentage Approach involves screening 95 percent of the wastes generated. For the most recent calendar
year, identify the following information:
Note: You can obtain data from your last Dangerous Waste Annual Report.
1. TOTALS
• Total hazardous waste generated (pounds):
= 100 percent.
_= 95 percent.
Calculate 95 percent of the above total (pounds):
NOTE: The 100 percent figure used above should equal the sum total of the extremely hazardous
waste plus dangerous waste shown on your last Dangerous Waste Annual Report, not including
remedial and/or one time waste.
Reporting (base) year used: 19
2. List all of your extremely hazardous waste.
WASTE NAME
SUBTOTALS
AMOUNT (LBS.)
PERCENT OF TOTAL
GENERATING PROCESS(ES)
3. List your dangerous waste. Include enough to cover 95 percent of all hazardous wastes as identified in No.l
above.
WASTE NAME
AMOUNT (LBS.)
PERCENT OF TOTAL
GENERATING PROCESS(ES)
24
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
SUBTOTALS
Guidance for Worksheet G
Process Description
Worksheet G provides for a description of the processes used in your facility. Your description should give an
overview of your facility's production, support or maintenance processes, with more detail on those that use the
hazardous substances and/or generate the hazardous wastes listed in worksheets E and Fl or F2. You may use
a narrative description, process flow diagrams, or both. Diagrams of your processes can make it easier to
understand complex facilities or processes. Figure A on page 19 shows an example process flow diagram that
describes inputs and outputs.
Description of Process(es)
The rule requires:
. . . a general overview of the processes used in production or service activities (a schematic drawing
may be
included). -030(l)(d); and,... a detailed description of each process in the facility that generates
hazardous waste or uses products containing hazardous substances as identified in the chosen approach
in (a) of this subsection. This description may include a schematic drawing. -030(2)(b)
The description of each process should include a Process Name that can be used in Worksheets E, Fl or F2,
H and J.
The level of detail in your description or diagram should be sufficient to help you and others identify and
understand how and why the substances or wastes are used or generated. This description will help later in
identifying pollution prevention opportunities such as product redesign, improved operator practices, process
modifications, and raw material substitution (see Worksheet H). Also, it may be beneficial to identify the fate of
each hazardous substance used in the process (e.g. incorporated into the product or vented to the atmosphere)
and the disposition of each waste from the process (e.g. recycled on-site or shipped off-site for recycling,
incineration, etc.). These typically represent resources lost to your operation. They may be costly sources of
waste and inefficiency easily reduced through pollution prevention methods.
If production, hazardous substance use, or hazardous waste generation in a process is intermittent or varies
greatly from one year to the next, include a discussion of these variables. For example, if you empty and clean
process tanks every few years, tank contents and cleaning wastes may cause hazardous substance and
hazardous waste quantities to be higher in those years.
25
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Hazardous Waste and Toxics Reduction Program
Worksheet G
Process Description -030(1 )d) and -030(2)(b)
Give an overview of your facility's processes here. For those processes that use hazardous substances or
generate hazardous wastes, provide greater detail. Include a Process Name and discuss how these substances
or wastes are used or generated. Use a process flow diagram or diagrams, narrative description(s), or both.
Describe any major process variations from year-to-year affecting production, hazardous substance use, or
hazardous waste generation, if applicable.
Guidance for Worksheet H
Pollution Prevention Opportunities
Worksheet H will help you identify pollution prevention opportunities for each process you identified in
Worksheet G that uses hazardous substances or generates hazardous wastes. It will evaluate them technically
and economically according to the waste management priorities, identify any possible shifting of risks, and select
those that will achieve the greatest environmental and business benefits. Use a separate copy of the worksheet
for each opportunity.
The rule requires:
. . . for the hazardous wastes and products containing hazardous substances identified in (a) within each
of the processes identified in (b), an identification, based on thorough research, of all reasonable
opportunities for further hazardous substance use reduction, hazardous waste reduction, recycling and
treatment.
Thorough research shall include at a minimum, a review of available literature commonly available to
that
industry or trade. The full range of potentially feasible opportunities is to be identified without regard to
possible impediments to implementing the opportunities.
In identifying opportunities, consideration shall be given to alternative approaches which, in the
judgment of the facility management, satisfy the demand for the end products or services but use
substantially less hazardous substances or result in the generation of substantially less hazardous waste.
-030(2)(c)
. . . an evaluation of the identified opportunities. Opportunities shall be grouped by priority and
evaluated according to these priorities. The priorities are, in descending order: hazardous substance use
and hazardous waste reduction; recycling; and, treatment...
. . . The evaluation of hazardous substance waste reduction opportunities must include an evaluation of
hazardous substance use reduction opportunities for those hazardous substances which result in
hazardous waste streams as well as an evaluation of other opportunities for the reduction of hazardous
waste.
. . . The evaluation required under this subsection shall include an economic analysis, a technical
evaluation, an identification of whether, and if so how, the identified opportunity would result in a
shifting of risk(s) from one part of a process, environmental medium or product to another and an
identification of all impediments to implementing the opportunities. The economic analysis shall seek to
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
identify the total costs associated with the current hazardous substance use and hazardous waste
generation, management and disposal, compared with comparable costs associated with implementing
the alternatives.
Evaluation of each opportunity may be considered complete when enough information is available
to select or reject the opportunity for implementation. For opportunities rejected, the reason(s) for
rejecting them shall be stated. -030(2)(d)
For each process, first list and evaluate those opportunities that would achieve hazardous substance use
reduction, then hazardous waste reduction, followed by converting hazardous waste to product, then recycling,
and finally treatment. The flow diagram on page 31 can guide you through the decision making process. Note
that you may stop evaluating an opportunity when you decide to accept it for implementation or reject it from
further consideration. Sometimes, deciding to use one pollution prevention method eliminates the need to
consider others. For example, if you eliminate a parts cleaning step that uses a hazardous solvent, you do not
need to identify and evaluate opportunities to recycle the original toxic solvent.
In evaluating each opportunity, answer each of these questions up to the point that you are ready to select
or reject the opportunity:
Is this opportunity technically feasible, that is, would it work (regardless of costs, which will be considered
next)? In evaluating technical feasibility, you will probably want to consider factors like production, product
quality, worker health and safety, proven track record and reliability, worker training requirements, etc.
Appendix I contains an optional checklist that may help you conduct this evaluation.
• Will environmental or health risks be reduced and not shifted by this opportunity?
• Is it economically feasible? Is there a cost savings, either immediate or over a reasonable time period, to
implementing this opportunity? Or, if there are no savings, are the costs reasonable enough that it could
be implemented for reasons other than cost savings? In evaluating costs, try to identify all costs and
savings of the opportunity compared with the current practice, including those that might normally be
overlooked or "hidden" in overhead. There are many ways to do an economic analysis
of a pollution prevention opportunity. Appendix n includes one method for doing the analysis. Look at
Appendix m for information on how to factor potential risk or liabilities in the analysis.
• Is this opportunity selected for implementation, rejected, or does it need further study?
• Are there impediments to implementing the opportunity?
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Hazardous Waste and Toxics Reduction Program
Figure B
Decision Flow Chart
-Yes-
Can you implement this opportunity?
(Questions on technical and economic
feasibility and risk shifting have been
sufficiently answered)
-No-
Unsure
1
-Yes
Conduct a technical
review. Now, can
you implement?
.
No-
Unsure-
-Yes-
Technical issues
need further study
Conduct an
economic analysis.
Now, can you
implement?
-No-
Unsure
Describe goals
and
implementation
schedule.
Schedule further
technical or economic
study of this
opportunity in your
implementation plan.
Describe
barriers or
obstacles.
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Worksheet H
Pollution Prevention Opportunities for Each Process -030(2)(c ) and
(d)
Note: Make a copy of this worksheet for each opportunity you identify.
Facility Name:
Process Name:
Opportunity
Name:
Opportunity
Number
(code):
Describe research that was conducted to identify and/or evaluate opportunities for this process below. If this
research is documented in other reports, it must be available for review.
Give a description of the opportunity:
Is this opportunity: (check all that apply)
HS Use Reduction HW Reduction HW Converted to Product Recycling Treatment
Is this opportunity technically feasible? Yes No
If not, explain:
Will environmental or health risks be reduced and not shifted by this opportunity? Yes No
Explain any shifting of risks.
Considering costs and benefits, and intangibles such as reduced risks, is this opportunity economically feasible?
Yes No More analysis is needed
Briefly explain the method you used to perform your economic analysis.
Is this opportunity:
Selected for implementation Rejected Scheduled for further study
If this opportunity has been selected for implementation, to the extent that cost savings were
identified during the economic analysis, identify them here. $
Are there impediments to implementing the opportunity? List them below.
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Hazardous Waste and Toxics Reduction Program
Guidance for Worksheet I
Opportunities not Linked to a Specific Procesj
Use Worksheet I to describe opportunities that apply to several
processes or to your whole facility.
The benefits of implementing these types of opportunities may
be more intuitive than quantifiable, so the process for evaluating
and selecting these may be different than used for process specific
opportunities. These benefits, however, can be significant in
comparison to normally small investments of time and money.
These opportunities should not be overlooked.
Examples of non-process
specific opportunities
Establishing a pollution
prevention training program
for employees
Charging hazardous materials
management and contingency
costs back to departments
using the materials.
Requiring vendors to take
back samples, unused
chemicals and containers.
Instituting a review process
for new chemicals to assure
selection of the least-
hazardous material.
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Worksheet I
Opportunities not Linked to a Specific Process
Facility Name:
Use this worksheet to describe opportunities that apply to several processes or to your whole facility.
BE SURE TO INCLUDE THE SELECTED OPPORTUNITIES FROM THIS WORKSHEET ON
WORKSHEET J, SELECTED OPPORTUNITIES, GOALS AND IMPLEMENTATION PLAN.
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Hazardous Waste and Toxics Reduction Program
Guidance for Worksheet J
Selected Opportunities, Goals, Implementation Plan
Worksheet J lists your selected opportunities in order to establish performance goals and estimate action
dates.
Selected Opportunities:
The rule requires the identification of:
. . . a selection of opportunities to be implemented in accordance with the evaluation conducted in sub-
division (d). For each selected opportunity, the process(es) it affects shall be identified, and estimates of
the amount, by weight, of the reduction of hazardous substances or products containing hazardous
substances and hazardous waste reduction which would be achieved through implementation shall be
stated, as well as the amount of hazardous wastes recycled or treated as a result of implementation shall
be included. -030(2)(e)
Guidance: Transfer the information on opportunities, or phases of opportunities, selected for implementation
from Worksheet(s) H and I to the table on Worksheet J. For each opportunity, identify the process(es)
affected. Then estimate the amount, by weight, of the hazardous substances or hazardous wastes that will be
reduced, recycled or treated as the result of implementing the opportunity. The estimates should reflect the
amounts that will be reduced, or the change in amounts recycled or treated annually on an on-going basis once
the opportunity is implemented (not the total amounts recycled or treated each year).
Do not add estimated annual achievements together for each year that the opportunity is implemented.
Instead, indicate only what you expect the results of implementation to be for one year, with the assumption that
the achievement will be sustained in succeeding years.
You may not be able to estimate the effects of implementing individual opportunities if you anticipate
implementing several at one time that will have common benefits. If this is the case for you, combine these
opportunities on one line with a single estimate of effects provided. See the second example on Worksheet J.
Some opportunities may lead to benefits other than, or in addition to, measurable reductions. These
benefits may be qualitative in nature, such as reduced toxicity or risk, cost savings, improved awareness or
better materials management. These should be described on Worksheet J as "other benefits."
Performance Goals:
The rule requires you to identify:
. . . specific performance goals in each of the following categories, expressed in numeric terms:
i) hazardous substances or products containing hazardous substances to be reduced or eliminated from
use;
ii) hazardous wastes to be reduced or eliminated through hazardous waste reduction techniques;
Hi) materials or hazardous wastes to be recycled;
iv) hazardous wastes to be treated.
If the establishment of numeric performance goals is not practicable, the performance goals shall
include a clearly stated list of objectives designed to lead to the establishment of numeric goals as soon
as practicable.
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
. . . -030(2)(g)
Guidance: How you determine your performance goals is optional. They may, for example, reflect policy goals.
Your goals may be higher than the sum of the listed opportunities selected for implementation. If so, complete
the last row in the table. Otherwise, use the "Opportunity Totals" row to sum each column of numbers, and
these totals will serve as your performance goals.
Five-Year Implementation Plan
The rule requires:
A five year implementation schedule, which shall display planned implementation activities for each of
the five calendar years following completion of the plan... -030(2)(h)
Guidance: Complete the right hand column to indicate when over the five year life of your plan you expect to
initiate action on each listed opportunity. Milestone dates may be shown if an opportunity is to be implemented
in phases.
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Hazardous Waste and Toxics Reduction Program
Worksheet J
Selected Opportunities, Goals, Implementation
Plan -030(2)(e), (g) and (h)
Facility Name:
Please use footnotes, as needed, to clarify entries.
Opportunity
Name
Examples:
Opp. #1
Opps. #2,3, 4
Processes)
Affected
Pro. # 1A
Pro. #2, 3
Opportunity Totals
Performance Goals
Annual Quantities Reduced as a
Result of Implementation
Haz. Sub. Use
Reduction
(Ibs/yr)
1,000
3,000
Haz. Waste
Reduction
(Ibs/yr)
Changes in Annual Quantities
Recycled or Treated as a Result
of Implementation
Recycling
(Ibs/yr)
Treatment
(Ibs/yr)
Estimated
Action Date
(month/year)
5/98
7/99
If it's not practical to establish numeric goals, list objectives designed to lead to goals as soon as practicable:
Other Benefits:
What other benefits do you hope to achieve by implementing the above opportunities, e.g. cost savings,
improved awareness, etc.?
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Guidance for Worksheet K
Research Labs
If you have a research laboratory or laboratories, you may develop a general plan that describes policies and
procedures for personnel using hazardous substances or generating hazardous waste through laboratory
research.
The rule provides that:
. . .for research laboratories, the plan may include, in lieu of all the detailed requirements of this sub-
section, a description of policies and procedures to be followed by laboratory personnel regarding the
use of hazardous substances and the generation of hazardous wastes through laboratory research. These
policies and procedures must be consistent with the waste reduction priorities defined in this chapter. -
030(2)(k)
A research laboratory is defined as a facility that performs the majority of its work in an experimental or
investigative capacity. Because its work is normally unique in nature, its use of hazardous substances and
hazardous waste generation is not predictable. The work of a research lab therefore exhibits characteristics of
diversity, variability and originality. By comparison, a testing laboratory performs routine, standardized, often
repetitive analyses.
Worksheet K may be used to describe applicable policies and procedures. In developing your plan, give
top priority to reduction of hazardous substance use and hazardous waste generation, then to recycling, and
lastly to treatment.
Note that in addition to Worksheet K, research laboratories must also submit Worksheets A through D if
submitting a full plan. If an Executive Summary is being submitted, then only Worksheet K needs to be
included.
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Hazardous Waste and Toxics Reduction Program
Worksheet K
Research Labs, Policies and Procedures - 030(2)(k)
Facility Name:
If applicable, describe the policies and procedures to be followed by research personnel regarding the use of
hazardous substances and the generation of hazardous wastes through research. Also describe the processes
and/or facilities to which they apply.
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Guidance for Worksheet L
Executive Summary Addenda
Most facilities that prepare pollution prevention plans elect to submit the full plan to Ecology rather than prepare
a separate executive summary. The full plan then becomes available for public inspection. If an executive
summary is submitted, it becomes the public document, and the full plan remains at the facility.
If you choose to prepare an executive summary, there are Several areas where summary information is
permitted. Worksheet L specifies these instances. Otherwise, the same level of information as required in the full
plan is also required in an executive summary.
For executive summaries, the rule provides for:
A list of the type and amount of each hazardous waste and products containing hazardous substances as
identified in WAC 173-307-030(2)(a). -040(4)
A brief description of each process in the facility that generates hazardous waste or uses products
containing hazardous substances as listed in subdivision (d). -040(5)
A summary of all further hazardous substance use reduction, hazardous waste reduction, recycling,
and
treatment opportunities identified. Opportunities shall be identified first for hazardous substance use
reduction and hazardous waste reduction, secondly for recycling, and lastly for treatment. A statement
of the reason(s)for rejecting any opportunity from further consideration and a summary of all identified
impediments to implementing opportunities shall be identified. -040(7)
An executive summary can be constructed by using:
13 Worksheet A,
13 Worksheets,
13 Worksheet D,
13 Worksheet E, or a list of the types and amounts of hazardous substances used,
13 Worksheet F, or a list of the types and amounts of hazardous waste generated,
13 Worksheet G, or brief descriptions of each process,
13 Either Worksheets H and I, or Worksheet L in lieu of both Worksheets H and I, and
Worksheet J
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Worksheet L
Executive Summary Addenda -040
Facility Name:
Complete this worksheet only if you are submitting an Executive Summary, not a
full plan. This worksheet must then be accompanied by the other worksheets and/or
information specified on page38.
Summary of Pollution Prevention Opportunities
Provide a summary of the opportunities identified on Worksheet H. Group the opportunities
by the categories hazardous substance use reduction, hazardous waste reduction, recycling,
and treatment.
Reasons for Rejecting Opportunities
Provide a summary statement of the reasons for rejecting opportunities from further
consideration.
Impediments to Implementation
Provide a summary of all identified impediments to implementing opportunities.
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Hazardous Waste and Toxics Reduction Program
Appendix I
Technical Evaluation
Facility Name:
Process:
Opportunity:
Make as many copies as necessary.
Not
Yes No Sure
1. Have you determined that this option has a proven track
record?
2. Are you certain that this option will create less waste,
decrease the use of hazardous substances or promote
recycling?
3. Will this option adversely affect productivity?
4. Will this option require additional staff?
5. Are you certain that this option will not simply move waste
problems from one form to another or from one person to
another (e.g., from solid wastes to air emissions)?
6. Is your plant layout and design capable of incorporating this
option?
7. Will the vendor guarantee this option?
8. Have you determined that this option will improve or
maintain worker safety and health?
9. Are materials and parts readily available?
10. Can this option be easily serviced?
11. Are other businesses using this option?
12. Is there vendor support available for start-up, testing,
training, and repair?
13. Will this option adversely affect product quality?
14. Are adequate utilities available to accommodate this option?
15. Will special employee training be required?
Identify whether, and if so how, this opportunity would result in a shifting of risk(s) from one part of a
process, environmental medium or product to another.
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Describe any impediments.
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Appendix II
ECONOMIC ANALYSIS OF POLLUTION PREVENTION
OPPORTUNITIES
Economic analysis is used to determine whether it is desirable for a facility to implement an
opportunity. An economic analysis involves identifying the costs and potential savings of a
pollution prevention opportunity compared to those of a current practice. In pollution
prevention planning, an economic analysis is done when the decision whether to implement a
pollution prevention opportunity depends on its economic benefit.
Any method of economic analysis is acceptable, as long as it seeks to identify total costs.
Unlike other projects, pollution prevention may offer significant savings in the areas of
regulatory compliance, waste disposal and treatment, insurance premiums, and other often-
overlooked expenses. Pollution prevention projects may also generate significant new
revenues from recyclable materials. WAC 173-307 specifically requires that the economic
evaluation of pollution prevention opportunities must include compliance and oversight
costs.
If you have any questions about performing an analysis, Toxics Reduction staff can be
contacted at the Ecology's regional offices for assistance. Other resources are also
available to you, as noted at the end of this Appendix.
SUGGESTED STEPS FOR CONDUCTING AN ANALYSIS
1. Determine Whether an Economic Analysis is Necessary. If a business decision has
already been made to implement a pollution prevention opportunity, then it is
unnecessary to analyze the project any further. Direct your efforts to implementing it. If
a decision must be made to invest money in an opportunity or between several
opportunities, then an economic analysis should be undertaken to identify all
environmental costs.
2. Determine Potential Costs and Savings. Identify costs and savings that result from
changing a current practice. The cost accounting system used at the facility (described
in Worksheet D) should be able to provide the necessary data. If necessary, best
estimates can be used. Facilities should do their best to avoid prematurely dismissing
an opportunity by making certain that all relevant costs and savings are considered in
their analysis. Table 1 of this appendix provides a list of important costs to consider
when evaluating pollution prevention projects. These costs should be considered for the
current practice and each pollution prevention opportunity. Annual costs should be
evaluated for each of the first five years after an opportunity is implemented.
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Hazardous Waste and Toxics Reduction Program
ADDITIONAL RESOURCES
If you have any questions about performing a financial analysis, Ecology's Toxics Reduction
staff can be contacted at the regional offices listed inside the front cover of this manual for
free assistance. Additional resources can be found on Ecology's hazardous waste
webpage at http://www.wa.gov/ecology/hwtr/index.html (look for "Pollution Prevention").
EPA offers free software for performing financial analysis of pollution prevention
opportunities. This software, P2Finance, is available from the internet at
http://www.epa.gov/opptintr/acctg/download/download.htm
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Typical Costs and Activities to consider in
Pollution Prevention Economic Analysis
Usual Costs
Current Optional
Practice Practice
Depreciable Capital Costs
Engineering
Procurement
Equipment
Materials
Utility
Connections
Site preparation
Facilities
Installation
Operating Expenses
Start-up
Training
Initial raw
materials
Raw materials
Supplies
Direct labor
Utilities
Maintenance
Salvage value
Operating Revenues
Revenues
By-product
revenues
Note:
Italicized costs are especially
important to include in an
economic analysis
Compliance Costs
Current Optional
Practice Practice
Receiving Area
Spill response
equipment
Emergency
response plan
Raw Materials Storage
Storage facilities
Secondary
containment
Right-to-know
training
Reporting and
records
Safety training
Container labels
Process Area
Safety equipment
Right-to-know
training
Waste collection
equipment
Emission control
equipment
Sampling and
Testing
Reporting and
records
Solid and Hazardous Waste
Sampling and
Testing
Containers
Labels and labeling
Oversight Costs
Current Optional
Practice Practice
Purchasing
Product/vendor
Research
Regulatory
impact analysis
Inventory control
Engineering
Hazard analysis
Sampling and
testing
Production
Employee
training
Emergency
planning
Medical
monitoring
Re-work
Waste collection
Disposal
management
Inspections and
audits
Marketing
Public relations
Management
Regulatory
research
Legal fees
Information
systems
Penalties and
fines
Insurance
Finance
Credit costs
Tied-up capital
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Hazardous Waste and Toxics Reduction Program
Storage areas
Transportation Fees
Disposalfees
Air and Water Emissions Control
Permit preparation
Permit fees
Capital costs
Operating expenses
Recovered materials
Inspection and
monitoring
Recording and
reporting
Sampling and testing
Emergency planning
Discharge fees
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Appendix
Risk Analysis
As an adjunct to economic analysis, it is important to account for risks or potential liabilities when evaluating
pollution prevention opportunities. There are no standards or widely recognized methods for doing this, as the
estimates of potential liability depend on many assumptions. It is not required that potential financial liabilities
related to the use of hazardous substances or the generation of hazardous waste be quantified. They should,
however, be considered.
To make a decision about whether to implement a pollution prevention opportunity, it is usually sufficient to
compare the relative risks of the current practice and the opportunity. A simple scoring system allows one to
identify whether the risks would increase, decrease or shift if the opportunity is implemented.
The following form may be used to help compare and analyze relative risk. The number of risk factors, and
the scoring weights, are deliberately kept small to make the form easy to use. Facilities should decide what
additional factors are important to their decision-making, and include them as well.
The results of your risk analysis and economic analysis (See Appendix II) will be reflected on Worksheet H.
Risk Analysis
Current Practice
Name:
Score
Low =1 Medium =3
High =9 Unknown =3
Risk Factors
Property
contamination
Accidents
Health effects
Compliance
violations
Disposal liability
Other
Total Risk Score
Pollution Prevention
Alternative
Name:
Score
Low =1 Medium =3
High =9 Unknown =3
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Hazardous Waste and Toxics Reduction Program
Appendix IV
Interrelated Facility Checklist
Appendix IV includes a checklist and other guidance to determine if multiple facilities qualify for a single plan
and fee. Contact your Ecology regional office for more information.
Complete this checklist to determine if some or all of your facilities are eligible for a single plan/single fee.
Not
Yes No Sure
Are the facilities owned or operated by the same
person/company/agency?
In comparing the processes of one facility to another, are a
significant majority of those processes substantially similar,
inasmuch as they:
Are essentially interchangeable?
Use similar equipment?
Use similar materials?
Produce similar products or services?
Generate similar hazardous waste?
If you answer "yes" to all of the above questions, you should continue the process by preparing documentation
to support your "yes" answers. The documentation should follow the attached guidelines. Any "no" answer
probably means you do not qualify and need not do anything further. If you are "not sure", you may wish to
consult with Ecology staff.
If you do proceed, submit the checklist and documentation to one of the regional office listed below.
Ecology will review the information and notify you in writing of the determination.
Northwest Regional Office Eastern Regional Office
Department of Ecology Department of Ecology
3190 160th Ave SE N 4601 Monroe, Suite 100
Bellevue, WA 98008-5452 Spokane, WA 99205-5301
Dennis Johnson Doug Jayne
(206)649-7040 (509)456-6171.54
Southwest Regional Office Central Regional Office
Department of Ecology Department of Ecology
PO Box 47775 15 W Yakima Ave, Suite 200
Olympia, WA 98504-7775 Yakima, WA 98902-3401
Hugh O'Neill Mark Benedict
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(360)407-6354 (509)757-2803
These guidelines will assist you in documenting how your facilities are interrelated to the extent that they may
qualify for the single plan/single fee provision. The amount of information submitted will depend on the size and
complexity of your individual facilities. If you have questions on these guidelines, contact the appropriate
Ecology regional office.
I. Identify each facility being considered by site location and identification number. Provide an overview of the
facilities, including information on their single ownership/operation.
n. Quantify the degree to which a "significant majority" of the processes are similar between facilities.
. Explain how processes are "essentially interchangeable" between facilities.
IV. Describe the equipment used in these processes and the degree to which it is similar.
V. Describe the raw materials used in these processes, particularly any hazardous substances,
and the degree to which they are similar.
VI. Describe the end products or services of each facility and the degree to which they are similar.
VII. Describe the hazardous waste generated by each process or service and the degree to which it is similar.
VET Provide any other information you feel will help support your position.
Submit this information and the checklist to the Department of Ecology. The department will review the
information and make a determination of eligibility. You may be called for clarification or more information, and
a site visit may be necessary. You will be notified of the decision in writing.
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Appendix V
List of Hazardous Substances
Section 313 Toxic Chemical List - List extracted from EPA document 745/K-99-002
dated June 1999 Note: Chemicals may periodically be added to or deleted from the list. EPA's Emergency
Planning and Community Right to Know Information Hotline, (800) 424-9346 or (703) 412-9877, will provide
up-to-date information on the status of these changes.
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ALPHABETICAL LIST
OF TOXICS RELEASE
INVENTORY CHEMICALS
De Minimis
Concentration
CAS Number Chemical Name Percent
71751-41-2 Abamectin[AvermectinBl] 1.0
30560-19-1 Acephate 1.0
(Acetylphosphoramidothioic acid
O,S-dimethyl ester)
75-07-0 Acetaldehyde 0.1
60-35-5 Acetamide 0.1
75-05-8 Acetomtnle 1.0
98-86-2 Acetophenone 1.0
53-96-3 2 Acetylaminofluorene 0.1
62476-59-9 Acifluorfen, sodium salt 1.0
[5-(2-Chloro-4-(trifluoromethyl)
phenoxy)-2-nitrobenzoic acid, sodium salt]
107-02-8 Acrolem 1.0
79-06-1 Acrylamide 0.1
79-10-7 Acrylic acid 1.0
107-13-1 Acrylomtnle 0.1
15972-60-8 Alachlor 1.0
116-06-3 Aldicarb 1.0
309-00-2 Aldnn 1.0
[l,4:5,8-Dimethanonaphthalene,l,2,3,4,10,
10-hexachlorol,4,4a,5,8,8a-hexahydro(
l.alpha.,4.alpha.,4a.beta.,5.alpha.,8.alpha.,
Sa.beta.)-]
28057-48-9 d-trans-Allethrm 1.0
[d-trans-Chrysanthemic acid of
d-allethrone]
107-18-6 Allyl alcohol 1.0
107-11-9 Allylamine 1.0
107-05-1 Allyl chloride 1.0
7429-90-5 Aluminum (fume or dust) 1.0
20859-73-8 Aluminum phosphide 1.0
1344-28-1 Aluminum oxide (fibrous forms) 1.0
834-12-8 Ametryn 1.0
(N-Ethyl-N-Cl-methylethy^-e-Cmethylthio)
-l,3,5,-triazine-2,4-diamine)
117-79-3 2-Aminoanthraquinone 0.1
60-09-3 4-Aminoazobenzene 0.1
92-67-1 4-Aminobiphenyl 0.1
82-28-0 l-Amino-2-methylanthraquinone 0.1
33089-61-1 Amitraz 1.0
61-82-5 Armtrole 0.1
7664-41-7 Ammonia 1.0
(includes anhydrous ammonia and
aqueous ammonia from water dissociable
ammonium salts and other sources; 10% of
total aqueous ammonia is reportable under
this listing)
CAS Number Chemical Name
De Minimis
Concentration
Percent
101-05-3 Amlazme 1.0
[4,6-Dichloro-N-(2-chlorophenyl)-l,3,5-
triazin-2-amine]
62-53-3 Aniline 1.0
90-04-0 o-Amsidme 0.1
104-94-9 p-Amsidme 1.0
134-29-2 o-Anisidine hydrochloride 0.1
120-12-7 Anthracene 1.0
7440-36-0 Antimony 1.0
7440-38-2 Arsenic 0.1
1332-21-4 Asbestos (friable) 0.1
1912-24-9 Atrazme 0.1
(6-Chloro-N-ethyl-N'-( 1 -methy lethyl)-
l,3,5-triazine-2,4-diamine
7440-39-3 Banum 1.0
22781-23-3 Bendiocarb 1.0
[2,2-Dimethyl-l,3-benzodioxol-4-ol
methylcarbamate]
1861-40-1 Benfluralm 1.0
(N-Butyl-N-ethyl-2,6-dinitro-4-
(trifluoromethyl)-benzenamine)
17804-35-2 Benomyl 1.0
98-87-3 Benzal chlonde 1.0
55-21-0 Benzamide 1.0
71-43-2 Benzene 0.1
92-87-5 Benzidme 0.1
98-07-7 Benzoic trichloride (Benzotrichloride) 0.1
98-88-4 Benzoyl chloride 1.0
94-36-0 Benzoyl peroxide 1.0
100-44-7 Benzyl chlonde 1.0
7440-41-7 Beryllium 0.1
82657-04-3 Bifenthrm 1.0
92-52-4 Biphenyl 1.0
111-91-1 Bis (2-chloroethoxy) methane 1.0
111 -44-4 Bis (2-chloroethyl) ether 1.0
542-88-1 Bis (chloromethyl) ether 0.1
108-60-1 Bis (2-chloro-l-methy lethyl)ether 1.0
56-35-9 Bis (tnbutyltm) oxide 1.0
10294-34-5 Boron trichloride 1.0
7637-07-2 Boron tnfluonde 1.0
314-40-9 Bromacil 1.0
(5-Bromo-6-methyl-3-( 1 -methy Ipropyl)-
2,4-(lH,3H)-pyrimidinedione)
53404-19-6 BromaciUithium salt 1.0
(2,4(lH,3H)-Pynmidmedione,
55
-------
Hazardous Waste and Toxics Reduction Program
CAS Number
5-bromo-6-methyl-3-(l-methylpropyl),
lithium salt
De Minimis
Concentration
Chemical Name Percent
10049-04-4
Chlorine dioxide
1.0
7726-95-6 Bromine 1.0
35691-65-7 l-Bromo-l-(bromomethyl) 1.0
-1,3-propanedicarbonitrile
353-59-3 Bromochlorodifluoromethane (Halon 1211)1.0
75-25-2 Bromoform (Tribromomethane) 1.0
74-83-9 Bromomethane (Methyl bromide) 1.0
75-63-8 Bromotrifluoromethane (Halon 1301) 1.0
1689-84-5 Bromoxyml 1.0
(3,5-Dibromo-4-hydroxybenzonitrile)
1689-99-2 Bromoxynil octanoate 1.0
(Octanoic acid,
2,6-dibromo-4-cyanophenylester)
357-57-3 Brucme 1.0
106-99-0 1,3-Butadiene 0.1
141-32-2 Butyl acrylate 1.0
71-36-3 n-Butyl alcohol 1.0
78-92-2 sec-Butyl alcohol 1.0
75-65-0 tert-Butyl alcohol 1.0
106-88-7 1,2-Butylene oxide 1.0
123-72-8 Butyraldehyde 1.0
7440-43-9 Cadmium 0.1
156-62-7 Calcium cyanamide 1.0
133-06-2 Captan 1.0
[lH-Isomdole-l,3(2H)-dione,3a,4,7,7a-
tetrahy dro-2- [(trichloromethy l)thio] -]
63-25-2 Carbaryl [1-Naphthalenol, 1.0
methylcarbamate]
1563-66-2 Carbofuran 1.0
75-15-0 Carbon disulfide 1.0
56-23-5 Carbon tetrachloride 0.1
463-58-1 Carbonyl sulfide 1.0
5234-68-4 Carboxin 1.0
(5,6-Dihydro-2-methyl-N-pheny 1-1,4-
oxathiin-3 -carboxamide)
120-80-9 Catechol 1.0
2439-01-2 Chmomethionat 1.0
[6-Methyl-l,3-dithiolo[4,5-b]quinoxalin-
2-one]
133-90-4 Chloramben 1.0
[Benzoic acid, 3-amino-2,5-dichloro-]
57-74-9 Chlordane 0.1
[4,7-Methanoindan, 1,2,3,4,5,6,7,8,8-
octachloro-2,3,3a,4,7,7a-hexahydro-]
115-28-6 Chlorendic acid 0.1
90982-32-4 Chlonmuron ethyl 1.0
(Ethyl-2-[[[(4-chloro-6-methoxyprimidin-
2-yl)amino]carbonyl]sulfonyl]benzoate)
7782-50-5 Chlonne 1.0
79-11-8 Chloroacetic acid 1.0
532-27-4 2-Chloroacetophenone 1.0
De Minimis
Concentration
CAS Number Chemical Name Percent
4080-31-3
106-47-8
108-90-7
510-15-6
75-68-3
75-45-6
75-00-3
67-66-3
74-87-3
107-30-2
563-47-3
104-12-1
76-06-2
126-99-8
542-76-7
63938-10-3
354-25-6
2837-89-0
1897-45-6
95-69-2
75-88-7
75-72-9
460-35-5
1 -(3-Chloroallyl)-3,5,7-tnaza- 1 -
azoniaadamantane chloride
p-Chloroaniline
Chlorobenzene
Chlorobenzilate
[Benzeneacetic acid, 4-chloro-. alpha. -
(4-chlorophenyl)-. alpha. -hydroxy-, ethyl
ester]
1 -Chloro- 1 , 1 -difluoroethane (HCFC- 1 42b)
Chlorodifluoromethane (HCFC-22)
Chloroethane (Ethyl chloride)
Chloroform
Chloromethane (Methyl chloride)
Chloromethyl methyl ether
3-Chloro-2-methyl-l -propene
p-Chlorophenyl isocyanate
Chloropicrin
Chloroprene
3 -Chloropropionitrile
Chlorotetrafluoroethane
1 -Chloro- 1 , 1 ,2,2-tetrafluoroethane
(HCFC-124a)
2-Chloro- 1,1,1 ,2-tetrafluoroethane
(HCFC-124)
Chlorothalonil
[1 ,3-Benzenedicarbonitrile,
2,4,5,6-tetrachloro-]
p-Chloro-o-toluidine
2-Chloro- 1,1,1 -trifluoroethane
(HCFC-133a)
Chlorotrifluoromethane (CFC-13)
3-Chloro- 1,1,1 -trifluoropropane
(HCFC-253fb)
1.0
0.1
1.0
1.0
1.0
1.0
1.0
0.1
1.0
0.1
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
1.0
5598-13-0 Chlorpynfos methyl 1.0
(O,O-Dimethyl-O-(3,5,6-tnchloro-
2-pyridyl)phosphorothioate)
64902-72-3 Chlorsulfuron 1.0
(2-Chloro-N-[[(4-methoxy-6-methyl-
l,3,5-triazin-2-yl)amino]carbonyl]
benzenesulfonamide)
7440-47-3 Chromium 1.0
4680-78-8 C.I. Acid Green 3 1.0
6459-94-5 C.I. Acid Red 114 0.1
569-64-2 C.I. Basic Green 4 1.0
989-38-8 C.I. Basic Red 1 1.0
1937-37-7 C.I. Direct Black 38 0.1
56
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
2602-46-2
28407-37-6
16071-86-6
2832-40-8
3761-53-3
C.I. Direct Blue 6
C.I. Direct Blue 218
C.I. Direct Brown 95
C.I. Disperse Yellow 3
C.I. Food Red 5
CAS Number Chemical Name
0.1
1.0
0.1
1.0
0.1
De Minimis
Concentration
Percent
81-88-9 C.I. Food Red 15 1.0
3118-97-6 C.I. Solvent Orange 7 1.0
97-56-3 C.I. Solvent Yellow 3 1.0
842-07-9 C.I. Solvent Yellow 14 1.0
492-80-8 C.I. Solvent Yellow 34 (Auramme) 0.1
128-66-5 C.I. Vat Yellow 4 1.0
7440-48-4 Cobalt 0.1
7440-50-8 Copper 1.0
8001-58-9 Creosote 0.1
120-71-8 p-Cresidme 0.1
108-39-4 m-Cresol 1.0
95-48-7 o-Cresol 1.0
106-44-5 p-Cresol 1.0
1319-77-3 Cresol (mixed isomers) 1.0
4170-30-3 Crotonaldehyde 1.0
98-82-8 Cumene 1.0
80-15-9 Cumene hydroperoxide 1.0
135-20-6 Cupferron 0.1
[Benzeneamine, N-hydroxy-N-nitroso,
ammonium salt]
21725-46-2 Cyanazme 1.0
1134-23-2 Cycloate 1.0
110-82-7 Cyclohexane 1.0
108-93-0 Cyclohexanol 1.0
68359-37-5 Cyfluthrm 1.0
[3-(2,2-Dichloroethenyl)-2,2-dimethyl-
cyclopropanecarboxylic
acid, cyano
(4-fluoro-3-phenoxyphenyl) methyl ester]
68085-85-8 Cyhalothrin 1.0
[3-(2-Chloro-3,3,3-trifluoro-l-propenyl)-
2,2-di-methylcyclopropane-carboxylic
acid cyano(3-phenoxyphenyl)
methyl ester]
94-75-7 2,4-D 0.1
[Acetic acid, (2,4-dichlorophenoxy)-]
533-74-4 Dazomet 1.0
(Tetrahydro-3,5-dimethyl-2H-l,3,5-
thiadiazine-2-thione)
53404-60-7 Dazomet, sodium salt 1.0
(Tetrahydro-3,5-dimethyl-2H-l,3,5-
thiadiazine-2-thione, ion(l-), sodium)
94-82-6 2,4-DB 1.0
1929-73-3 2,4-D butoxyethyl ester 0.1
94-80-4
2971-38-2
1163-19-5
13684-56-5
1928-43-4
53404-37-8
2303-16-4
CAS Number
2,4-D butyl ester
2,4-D chlorocrotyl ester
Decabromodiphenyl oxide
Desmedipham
2,4-D 2-ethylhexyl ester
2,4-D 2-ethyl-4-methylpentyl
Diallate
Chemical Name
0.1
0.1
1.0
1.0
0.1
ester 0. 1
1.0
De Minimis
Concentration
Percent
[Carbamothioic acid, bis(l-methylethyl)-
S-(2,3 -dichloro-2-propenyl) ester]
615-05-4 2,4-Diaminoanisole 0.1
39156-41-7 2,4-Diaminoanisole sulfate 0.1
101-80-4 4,4'-Diammodiphenyl ether 0.1
95-80-7 2,4-Diammotoluene 0.1
25376-45-8 Diaminotoluene (mixed isomers) 0.1
333-41-5 Diazmon 1.0
334-88-3 Diazomethane 1.0
132-64-9 Dibenzofuran 1.0
96-12-8 l,2-Dibromo-3-chloropropane(DBCP) 0.1
106-93-4 l,2-Dibromoethane(Ethylenedibromide) 0.1
10222-01-2 2,2-Dibromo-3-nitrilopropionamide i 1.0
124-73-2 Dibromotetrafluoroethane (Halon 2402) 1.0
84-74-2 Dibutyl phthalate 1.0
1918-00-9 Dicamba 1.0
(3,6-Dichloro-2-methoxybenzoic acid)
99-30-9 Dichloran 1.0
(2,6-Dichloro-4-nitroaniline)
95-50-1 1,2-Dichlorobenzene 1.0
541-73-1 1,3-Dichlorobenzene 1.0
106-46-7 1,4-Dichlorobenzene 0.1
25321-22-6 Dichlorobenzene (mixed isomers) 0.1
91-94-1 3,3'-Dichlorobenzidme 0.1
612-83-9 3,3'-Dichlorobenzidine dihydrochloride 0.1
64969-34-2 3,3'-Dichlorobenzidme sulfate 0.1
75-27-4 Dichlorobromomethane 1.0
764-41-0 l,4-Dichloro-2-butene 1.0
110-57-6 trans-1,4-Dichloro-2-butene 1.0
1649-08-7 l,2-Dichloro-l,l-difluoroethane 1.0
(HCFC-132b)
75-71-8 Dichlorodifluoromethane (CFC-12) 1.0
107-06-2 l,2-Dichloroethane(Ethylenedichlonde) 0.1
540-59-0 1,2-Dichloroethylene 1.0
1717-00-6 1,1-Dichloro-l-fluoroethane (HCFC-141b)1.0
75-43-4 Dichlorofluoromethane (HCFC-21) 1.0
75-09-2 Dichloromethane (Methylene chloride) 0.1
127564-92-5 Dichloropentafluoropropane 1.0
13474-88-9 l,l-Dichloro-l,2,2,3,3-pentafluoropropane 1.0
(HCFC-225cc)
111512-56-2 l,l-Dichloro-l,2,3,3,3-pentafluoropropane 1.0
(HCFC-225eb)
422-44-6 l,2-Dichloro-l,l,2,3,3-pentafluoropropane 1.0
57
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Hazardous Waste and Toxics Reduction Program
(HCFC-225bb)
431-86-7 l,2-Dichloro-l,l,3,3,3-pentafluoropropane 1.0
(HCFC-225da)
i On October 27, 1995, EPA published an administrative stay of the EPCRA
section 313 reporting requirements for this chemical. Therefore, no Toxic
Release Inventory reports are required for 2,2-dibromo-3-nitrilopropionamide
until the stay is removed.
CAS Number Chemical Name
De Minimis
Concentration
Percent
507-55-1 l,3-Dichloro-l,l,2,2,3-pentafluoropropane 1.0
(HCFC-225cb)
136013-79-1 l,3-Dichloro-l,l,2,3,3-pentafluoropropane 1.0
(HCFC-225ea)
128903-21-9 2,2-Dichloro-l,l,l,3,3-pentafluoropropane 1.0
(HCFC-225aa)
422-48-0 2,3-Dichloro-l,l,l,2,3-pentafluoropropane 1.0
(HCFC-225ba)
422-56-0 3,3-Dichloro-l,l,l,2,2-pentafluoropropane 1.0
(HCFC-225ca)
97-23-4 Dichlorophene 1.0
(2,2'-Methylenebis(4-chlorophenol))
120-83-2 2,4-Dichlorophenol 1.0
78-87-5 1,2-Dichloropropane 1.0
10061-02-6 trans-l,3-Dichloropropene 0.1
78-88-6 2,3-Dichloropropene 1.0
542-75-6 1,3-Dichloropropylene 0.1
76-14-2 Dichlorotetrafluoroethane(CFC-114) 1.0
34077-87-7 Dichlorotrifluoroethane 1.0
90454-18-5 Dichloro-l,l,2-trifluoroethane 1.0
812-04-4 l,l-Dichloro-l,2,2-trifluoroethane 1.0
(HCFC-123b)
354-23-4 l,2-Dichloro-l,l,2-trifluoroethane 1.0
(HCFC-123a)
306-83-2 2,2-Dichloro-l,l,l-trifluoroethane 1.0
(HCFC-123)
62-73-7 Dichlorvos 0.1
[Phosphoric acid, 2-dichloroethenyl
dimethyl ester]
51338-27-3 Diclofop methyl 1.0
(2-[4-(2,4-Dichlorophenoxy )phenoxy ]
propanoic acid, methyl ester)
115-32-2 Dicofol 1.0
[Benzenemethanol, 4-chloro-. alpha. -4-
(chlorophenyl)-. alpha, -(trichloromethyl)-]
77-73-6 Dicyclopentadiene 1.0
1464-53-5 Diepoxybutane 0.1
111 -42-2 Diethanolamine 1.0
38727-55-8 Diethatyl ethyl 1.0
117-81-7 Di(2-ethylhexyl) phthalate (DEHP) 0.1
64-67-5 Diethyl sulfate 0.1
35367-38-5 Diflubenzuron 1.0
101-90-6 Diglycidyl resorcinol ether 0.1
94-58-6 Dihydrosafrole 0.1
55290-64-7 Dimethipm 1.0
(2,3,-Dihydro-5,6-dimethyl-1,4-dithiin-
1,1,4,4-tetraoxide)
60-51-5 Dimethoate 1.0
119-90-4 3,3'-Dimethoxybenzidine 0.1
20325-40-0 3,3'-Dimethoxybenzidinedihydrochloride 0.1
(o-Dianisidine dihydrochloride)
De Minimis
Concentration
CAS Number Chemical Name Percent
111984-09-9 3,3'-Dimethoxybenzidmehydrochlonde 0.1
(o-Dianisidine hydrochloride)
124-40-3 Dimethylamme 1.0
2300-66-5 Dimethylamine dicamba 1.0
60-11-7 4-Dimethylaminoazobenzene 0.1
121-69-7 N,N-Dimethylamlme 1.0
119-93-7 3,3'-Dimethylbenzidme(o-Tolidme) 0.1
612-82-8 3,3'-Dimethylbenzidine dihydrochloride 0.1
(o-Tolidine dihydrochloride)
41766-75-0 3,3'-Dimethylbenzidmedihydrofluoride 0.1
(o-Tolidine-dihydrofluoride)
79-44-7 Dimethylcarbamyl chloride 0.1
2524-03-0 Dimethyl chlorothiophosphate 1.0
68-12-2 N,N-Dimethylformamide 0.1
57-14-7 1,1-Dimethylhydrazme 0.1
105-67-9 2,4-Dimethylphenol 1.0
131-11-3 Dimethyl phthalate 1.0
77-78-1 Dimethyl sulfate 0.1
99-65-0 m-Dinitrobenzene 1.0
528-29-0 o-Dimtrobenzene 1.0
100-25-4 p-Dinitrobenzene 1.0
88-85-7 Dimtrobutyl phenol (Dmoseb) 1.0
534-52-1 4,6-Dinitro-o-cresol 1.0
51-28-5 2,4-Dimtrophenol 1.0
121-14-2 2,4-Dimtrotoluene 0.1
606-20-2 2,6-Dimtrotoluene 0.1
25321-14-6 Dinitrotoluene (mixed isomers) 1.0
39300-45-3 Dmocap 1.0
123-91-1 1,4-Dioxane 0.1
957-51-7 Diphenamid 1.0
122-39-4 Diphenylamme 1.0
122-66-7 1,2-Diphenylhydrazine (Hydrazobenzene) 0.1
2164-07-0 Dipotassium endothall 1.0
(7-Oxabicyclo(2.2.1)heptane-2,3-
dicarboxylic acid, dipotassium salt)
136-45-8 Dipropyl isocinchomeronate 1.0
138-93-2 Disodiumcyanodithioimidocarbonate 1.0
94-11-1 2,4-D isopropyl ester 0.1
541-53-7 2,4-Dithiobmret 1.0
330-54-1 Dmron 1.0
58
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
2439-10-3 Dodine (Dodecylguanidine monoacetate) 1.0
120-36-5 2,4-DP 0.1
1320-18-9 2,4-D propylene glycol butyl ether ester 0.1
2702-72-9 2,4-D sodium salt 0.1
106-89-8 Epichlorohydnn 0.1
13194-48-4 Ethoprop 1.0
(Phosphorodithioic acid O-ethyl
S,S-dipropyl ester)
110-80-5 2-Ethoxyethanol
140-88-5 Ethyl acrylate
100-41-4 Ethylbenzene
CAS Number Chemical Name
1.0
0.1
1.0
De Minimis
Concentration
Percent
541-41-3 Ethyl chloroformate 1.0
759-94-4 Ethyl dipropylthiocarbamate (EPIC) 1.0
74-85-1 Ethylene 1.0
107-21-1 Ethylene glycol 1.0
151-56-4 Ethyleneimine (Aziridine) 0.1
75-21-8 Ethylene oxide 0.1
96-45-7 Ethylene thiourea 0.1
75-34-3 Ethyhdene dichlonde 1.0
52-85-7 Famphur 1.0
60168-88-9 Fenanmol 1.0
(. alpha. -(2-Chlorophenyl)-. alpha. -
(4-chlorophenyl)-5-pyrimidinemethanol)
13356-08-6 Fenbutatm oxide 1.0
(Hexakis (2-methyl-2-phenylpropyl)
distannoxane)
66441-23-4 Fenoxaprop ethyl 1.0
[2-(4-((6-Chloro-2-benzoxazolylen)oxy)
phenoxy)propanoic acid, ethyl ester]
72490-01-8 Fenoxycarb 1.0
[[2-(4-Phenoxy-phenoxy)-ethyl]carbamic
acid ethyl ester]
39515-41-8 Fenpropathrm 1.0
[2,2,3,3-Tetramethylcyclopropane
carboxylic acid cyano(3-phenoxyphenyl)
methyl ester]
55-38-9 Fenthion 1.0
[O,O-Dimethyl
O-[3-methyl-4-(methylthio)phenyl] ester,
phosphorothioic acid]
51630-58-1 Fenvalerate 1.0
[4-Chloro-alpha-( 1 -methylethyl)
benzeneacetic acidcyano
(3-phenoxyphenyl)methyl ester]
14484-64-1 Ferbam 1.0
[Tris(dimethylcarbamodithioato-S,S')iron]
69806-50-4 Fluazifop butyl 1.0
[2-[4-[[5-(Tnfluoromethyl)-2-pyndmyl]
oxy]-phenoxy]propanoic acid, butyl ester]
2164-17-2 Fluometuron 1.0
[Urea, N,N-dimethyl-
N'-[3-(trifluoromethyl) phenyl]-]
7782-41-4 Fluonne 1.0
51-21-8 Fluorouracil (5-Fluorouracil) 1.0
69409-94-5 Fluvalmate 1.0
[N-[2-CUoro-4-(trifluoromethyl)phenyl]-
DL-valine (+)-cyano(3-phenoxyphenyl)
methyl ester]
133-07-3 Folpet 1.0
72178-02-0 Fomesafen 1.0
[5-(2-Chloro-4-(trifluoromethyl)phenoxy)-
N-methylsulfonyl-2-nitrobenzamide]
De Minimis
Concentration
CAS Number Chemical Name Percent
50-00-0 Formaldehyde 0.1
64-18-6 Formic acid 1.0
76-13-1 FreonllS 1.0
[Ethane, 1,1,2-trichloro-1,2,2,-trifluoro-]
76-44-8 Heptachlor 0.1
[l,4,5,6,7,8,8-Heptachloro-3a,
4,7,7a-tetrahydro-4,7-methano-lH-indene]
118-74-1 Hexachlorobenzene 0.1
87-68-3 Hexachloro-1,3-butadiene 1.0
319-84-6 alpha-Hexachlorocyclohexane 1.0
77-47-4 Hexachlorocyclopentadiene 1.0
67-72-1 Hexachloroethane 1.0
1335-87-1 Hexachloronaphthalene 1.0
70-30-4 Hexachlorophene 1.0
680-31-9 Hexamethylphosphoramide 0.1
110-54-3 n-Hexane 1.0
51235-04-2 Hexazmone 1.0
67485-29-4 Hydramethylnon 1.0
[Tetrahydro-5,5-dimethyl-2(lH)-
pyrimidinone[3-[4-(trifluoromethyl)
phenyl] -1 - [2- [4-(trifluoromethy 1)
phenyl]ethenyl]-2-propenylidene]
hydrazone]
302-01-2 Hydrazme 0.1
10034-93-2 Hydrazme sulfate 0.1
7647-01-0 Hydrochloric acid 1.0
(acid aerosols including mists, vapors, gas,
fog, and other airborne forms of any
particle size)
74-90-8 Hydrogen cyanide 1.0
7664-39-3 Hydrogen fluoride 1.0
7783-06-4 Hydrogen sulfide 2 1.0
123-31-9 Hydroqumone 1.0
35554-44-0 Imazalil 1.0
[1 -[2-(2,4-Dichlorophenyl)-
2-(2-propeny loxy )ethy 1] -1 H-imidazole]
55406-53-6 3-Iodo-2-propynyl butylcarbamate 1.0
13463-40-6 Iron pentacarbonyl 1.0
59
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Hazardous Waste and Toxics Reduction Program
78-84-2 Isobutyraldehyde 1.0
465-73-6 Isodrm 1.0
25311-71-1 Isofenphos 1.0
[2-[phoxyl[(l-methylethyl)amino]
phosphinothioyljoxy] benzoic acid
1-methylethyl ester]
67-63-0 Isopropyl alcohol 1.0
(manufacturing-strong acid process, no
supplier notification)
2 On August 22, 1994, EPA published an administrative stay of the EPCRA
section 313 reporting requirements for this chemical. Therefore, no Toxic
Release Inventory reports are required for hydrogen sulfide until the stay is
removed.
60
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
benzenamine
CAS Number Chemical Name
De Minimis
Concentration
Percent
80-05-7 4,4'-Isopropylidenediphenol 1.0
120-58-1 Isosafrole 1.0
77501-63-4 Lactofen 1.0
[Benzoic acid,
5-[2-Chloro-4-(trifluoromethyl)phenoxy]-
2-nitro-2-ethoxy-l -methyl-2-oxoethyl ester)
7439-92-1 Lead 0.1
58-89-9 Lindane 0.1
[Cyclohexane, 1,2,3,4,5,6-hexachloro,
(1.alpha., 2.alpha., 3.beta., 4.alpha.,
5.alpha.,6.beta.)-]
330-55-2 Linuron 1.0
554-13-2 Lithium carbonate 1.0
121-75-5 Malathion 1.0
108-31-6 Maleic anhydride 1.0
109-77-3 Malononitrile 1.0
12427-38-2 Maneb 1.0
[Carbamodithioic acid, 1,2-ethanediylbis-,
manganese complex]
7439-96-5 Manganese 1.0
93-65-2 Mecoprop 0.1
149-30-4 2-Mercaptobenzothiazole (MET) 1.0
7439-97-6 Mercury 1.0
150-50-5 Merphos 1.0
126-98-7 Methacrylonitrile 1.0
137-42-8 Metham sodium (Sodium 1.0
methyldithiocarbamate)
67-56-1 Methanol 1.0
20354-26-1 Methazole 1.0
[2-(3,4-Dichlorophenyl)-4-methyl-l,2,4-
oxadiazolidine-3,5-dione]
2032-65-7 Methiocarb 1.0
94-74-6 Methoxone 0.1
((4-Chloro-2-methylphenoxy )acetic acid)
(MCPA)
3653-48-3 Methoxone sodium salt 0.1
((4-Chloro-2-methylphenoxy)acetate
sodium salt)
72-43-5 Methoxychlor 1.0
[Benzene,
1,1 '-(2,2,2-trichloroethylidene)bis
[4-methoxy-]]
109-86-4 2-Methoxyethanol 1.0
96-33-3 Methyl aery late 1.0
1634-04-4 Methyl tert-butyl ether 1.0
79-22-1 Methyl chlorocarbonate 1.0
101-14-4 4,4'-Methylenebis(2-chloroaniline) 0.1
(MBOCA)
101-61-1 4,4'-Methylenebis(N,N-dimethyl) 0.1
74-95-3
CAS Number
101-77-9
78-93-3
60-34-4
74-88-4
108-10-1
624-83-9
556-61-6
75-86-5
74-93-1
80-62-6
924-42-5
298-00-0
109-06-8
872-50-4
9006-42-2
21087-64-9
7786-34-7
90-94-8
2212-67-1
1313-27-5
Methy lene bromide 1.0
De Minimis
Concentration
Chemical Name Percent
4,4' -Methy lenedianiline
Methyl ethyl ketone
Methyl hydrazine
Methyl iodide
Methyl isobutyl ketone
Methyl isocyanate
Methyl isothiocyanate
Psothiocyanatomethane]
2-Methyllactonitrile
Methyl mercaptan 3
Methyl methacrylate
N-Methylolacrylamide
Methyl parathion
2-Methylpyridine
N-Methyl-2-pyrrolidone
Metiram
Metribuzin
Mevinphos
Michler's ketone
Molinate
(IH-Azepine-l-carbothioic acid,
hexahydro-S-ethyl ester)
Molybdenum trioxide
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
76-15-3 Monochloropentafluoroethane(CFC-115) 1.0
150-68-5 Monuron 1.0
505-60-2 Mustard gas 0.1
[Ethane, l,l'-thiobis[2-chloro-]
88671-89-0 Myclobutaml 1.0
[. alpha. -Butyl-, alpha. -(4-chlorophenyl)-
1H-1,2,4-triazole-1 -propanenitrile]
142-59-6 Nabam 1.0
300-76-5 Naled 1.0
91-20-3 Naphthalene 1.0
134-32-7 alpha-Naphthylamine 0.1
91-59-8 beta-Naphthylamme 0.1
7440-02-0 Nickel 0.1
1929-82-4 Nitrapynn 1.0
(2-Chloro-6-(trichloromethyl)pyridine)
7697-37-2 Nitric acid 1.0
139-13-9 Nitrilotriacetic acid 0.1
100-01-6 p-Nitroamlme 1.0
99-59-2 5-Nitro-o-amsidme 1.0
98-95-3 Nitrobenzene 0.1
92-93-3 4-Nitrobiphenyl 0.1
61
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Hazardous Waste and Toxics Reduction Program
3 On August 22, 1994, EPA published an administrative stay of the EPCRA
section 313 reporting requirements for this chemical. Therefore, no Toxic Release
Inventory reports are required for methyl mercaptan until the stay is removed.
62
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
CAS Number Chemical Name
De Minimis
Concentration
Percent
1836-75-5 Nitrofen 0.1
[Benzene, 2,4-dichloro-l-
(4-nitrophenoxy)-]
51-75-2 Nitrogen mustard 0.1
[2-Chloro-N-(2-chloroethyl)-
N-methylethanamine]
55-63-0 Nitroglycerin 1.0
88-75-5 2-Nitrophenol 1.0
100-02-7 4-Nitrophenol 1.0
79-46-9 2-Nitropropane 0.1
924-16-3 N-Nitrosodi-n-butylamine 0.1
55-18-5 N-Nitrosodiethylamine 0.1
62-75-9 N-Nitrosodimethylamine 0.1
86-30-6 N-Nitrosodiphenylamine 1.0
156-10-5 p-Nitrosodiphenylamine 1.0
621-64-7 N-Nitrosodi-n-propylamine 0.1
759-73-9 N-Nitroso-N-ethylurea 0.1
684-93-5 N-Nitroso-N-methylurea 0.1
4549-40-0 N-Nitrosomethylvinylamine 0.1
59-89-2 N-Nitrosomorpholine 0.1
16543-55-8 N-Nitrosonornicotine 0.1
100-75-4 N-Nitrosopiperidine 0.1
99-55-8 5-Nitro-o-toluidine 1.0
27314-13-2 Norflurazon 1.0
[4-Chloro-5-(methylamino)-2-
[3-(trifluoromethyl)phenyl]-3(2H)-
pyridazinone]
2234-13-1 Octachloronaphthalene 1.0
19044-88-3 Oryzalm 1.0
[4-(Dipropylamino)-3,5-dinitrobenzene
sulfonamide]
20816-12-0 Osmium tetroxide 1.0
301-12-2 Oxydemeton methyl 1.0
[S-(2-(Ethylsulfmyl)ethyl)O,O-dimethyl
ester phosphorothioic acid]
19666-30-9 Oxydiazon 1.0
[3-[2,4-Dichloro-5-(l-methylethoxy)
phenyl]- 5-(l,l-dimethylethyl)-
1,3,4-oxadiazol-2(3H)-one]
42874-03-3 Oxyfluorfen 1.0
10028-15-6 Ozone 1.0
123-63-7 Paraldehyde 1.0
1910-42-5 Paraquat dichloride 1.0
56-38-2 Parathion 1.0
[Phosphorothioic acid,
O,O-diethyl-O-(4-nitrophenyl)ester]
1114-71-2 Pebulate 1.0
[Butylethylcarbamothioic acid S-propyl
ester]
82-68-8 Quintozene
[Pentachloronitrobenzene]
CAS Number Chemical Name
1.0
De Minimis
Concentration
Percent
76578-14-8 Quizalofop-ethyl 1.0
[2-[4-[(6-Chloro-2-quinoxalinyl)oxy]
phenoxy] propanoic acid ethyl ester]
10453-86-8 Resmethrm 1.0
[[5-(Phenylmethyl)-3-furanyl]methyl-2,2-
dimethy 1-3 -(2-methyl-1 -propeny 1)
cyclopropanecarboxylate]
81-07-2 Saccharin (manufacturing, no supplier 0.1
notification)
94-59-7 Safrole 0.1
7782-49-2 Selenium 1.0
74051-80-2 Sethoxydim 1.0
[2-[l-(Ethoxyimino)butyl]-5-[2-(ethylthio)
propyl]-3-hydroxyl-2-cyclohexen-l-one]
7440-22-4 Silver 1.0
122-34-9 Simazme 1.0
26628-22-8 Sodium azide 1.0
1982-69-0 Sodium dicamba 1.0
[3,6-Dichloro-2-methoxybenzoic acid,
sodium salt]
128-04-1 Sodium dimethyldithiocarbamate 1.0
62-74-8 Sodium fluoroacetate 1.0
7632-00-0 Sodium mtnte 1.0
131-52-2 Sodium pentachlorophenate 1.0
132-27-4 Sodium o-phenylphenoxide 0.1
100-42-5 Styrene 0.1
96-09-3 Styrene oxide 0.1
7664-93-9 Sulfunc acid 1.0
(acid aerosols including mists, vapors, gas,
fog, and other airborne forms of any
particle size)
2699-79-8 Sulfuryl fluoride (Vikane) 1.0
35400-43-2 Sulprofos 1.0
[0-Ethyl
O-[4-(methylthio)phenyl]phosphoro-
dithioic acid S-propylester]
34014-18-1 Tebuthmron 1.0
[N-[5-(l,l-Dimethylethyl)-l,3,4-thiadiazol-
2-yl]-N,N'-dimethylurea]
3383-96-8 Temephos 1.0
5902-51-2 Terbacil 1.0
[5-Chloro-3-(l, 1 -dimethylethyl)-6-methyl-
2,4(lH,3H)-pyrimidinedione]
630-20-6 1,1,1,2-Tetrachloroethane 1.0
79-34-5 1,1,2,2-Tetrachloroethane 1.0
127-18-4 Tetrachloroethylene (Perchloroethylene) 0.1
354-11-0 l,l,l,2-Tetrachloro-2-fluoroethane 1.0
63
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Hazardous Waste and Toxics Reduction Program
(HCFC-121a)
354-14-3 1,1,2,2-Tetrachloro-l-fluoroethane 1.0
(HCFC-121)
De Minimis
Concentration
CAS Number Chemical Name Percent
961-11-5 Tetrachlorvinphos 1.0
[Phosphoric acid,
2-chloro-1 -(2,4,5-trichlorophenyl) etheny 1
dimethyl ester]
64-75-5 Tetracycline hydrochloride 1.0
7696-12-0 Tetramethnn 1.0
[2,2-Dimethyl-3-(2-methyl-l-propenyl)
cyclopropanecarboxylic acid
(l,3,4,5,6,7-hexahydro-l,3-dioxo-2H-
isoindol-2-yl)methyl ester]
7440-28-0 Thallium 1.0
148-79-8 Thiabendazole 1.0
[2-(4-Thiazoly 1)-1 H-benzimidazole]
62-55-5 Thioacetamide 0.1
28249-77-6 Thiobencarb 1.0
[Carbamic acid, diethylthio-,
S-(p-chlorobenzyl)ester]
139-65-1 4,4'-Thiodiamlme 0.1
59669-26-0 Thiodicarb 1.0
23564-06-9 Thiophanate ethyl 1.0
[[l,2-Phenylenebis(iminocarbonothioyl)]
biscarbamic acid diethylester]
23564-05-8 Thiophanate-methyl 1.0
79-19-6 Thiosemicarbazide 1.0
62-56-6 Thiourea 0.1
137-26-8 Thiram 1.0
1314-20-1 Thonum dioxide 1.0
7550-45-0 Titanium tetrachloride 1.0
108-88-3 Toluene 1.0
584-84-9 Toluene-2,4-diisocyanate 0.1
91-08-7 Toluene-2,6-diisocyanate 0.1
26471-62-5 Toluene diisocyanate (mixed isomers) 0.1
95-53-4 o-Toluidme 0.1
636-21-5 o-Toluidine hydrochloride 0.1
8001-35-2 Toxaphene 0.1
43121-43-3 Tnadimefon 1.0
[ 1 -(4-Chlorophenoxy )-3,3 -dimethyl-1 -
(lH-l,2,4-triazol-l-yl)-2-butanone]
2303-17-5 Tnallate 1.0
68-76-8 Triaziquone 1.0
[2,5-Cyclohexadiene-1,4-dione,
2,3,5-tris(l-aziridinyl)-]
101200-48-0 Tnbenuron methyl 1.0
[2-[[[[(4-Methoxy-6-methyl-l,3,5-triazin-
2-yl]-methylamino]carbonyl]amino]
sulfonyl]-, methyl ester)
1983-10-4 Tnbutyltm fluoride 1.0
2155-70-6 Tributyltin methacrylate 1.0
78-48-8 S,S,S-Tnbutyltnthiophosphate(DEF) 1.0
52-68-6 Tnchlorfon 1.0
[Phosphonic acid, (2,2,2-trichloro-
De Minimis
Concentration
CAS Number Chemical Name Percent
1-hydroxyethyl)-, dimethyl ester]
Trichloroacetyl chloride 1.0
1,2,4-Trichlorobenzene 1.0
1,1,1 -Trichloroethane (Methyl chloroform)!.0
1,1,2-Trichloroethane 1.0
76-02-8
120-82-1
71-55-6
79-00-5
79-01-6
75-69-4
95-95-4
88-06-2
96-18-4
57213-69-1
121-44-8
1582-09-8
26644-46-2
95-63-6
2655-15-4
639-58-7
76-87-9
126-72-7
72-57-1
51-79-6
7440-62-2
50471-44-8
108-05-4
593-60-2
75-01-4
75-35-4
108-38-3
95-47-6
106-42-3
1330-20-7
87-62-7
7440-66-6
12122-67-7 Z
Trichloroethylene 0.1
Trichlorofluoromethane (CFC-11) 1.0
2,4,5-Trichlorophenol 1.0
2,4,6-Trichlorophenol 0.1
1,2,3-Trichloropropane 0.1
Triclopyr triethylammonium salt 1.0
Triethylamine 1.0
Trifluralin 1.0
[Benezeneamine, 2,6-dinitro-
N,N-dipropyl-4-(trifluoromethyl)-]
Triforine 1.0
pSTjN1- [ 1,4-Piperazinediylbis
(2,2,2-trichloroethylidene)]bisform amide]
1,2,4-Trimethylbenzene 1.0
2,3,5-Trimethylphenyl methylcarbamate 1.0
Triphenyltin chloride 1.0
Triphenyltin hydroxide 1.0
Tris (2,3 -dibromopropyl) phosphate 0.1
Trypan blue 0.1
Urethane (Ethyl carbamate) 0.1
Vanadium (fume or dust) 1.0
Vinclozolin 1.0
[3-(3,5-Dichlorophenyl)-5-ethenyl-
5-methyl-2,4-oxazolidinedione]
Vinyl acetate 0.1
Vinyl bromide 0.1
Vinyl chloride 0.1
Vinylidene chloride 1.0
m-Xylene 1.0
o-Xylene 1.0
p-Xylene 1.0
Xylene (mixed isomers) 1.0
2,6-Xyhdme 0.1
Zinc (fume or dust) 1.0
ineb 1.0
[Carbamodithioic acid, 1,2-ethanediylbis-,
zinc complex]
64
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
CHEMICAL CATEGORIES
Section 313 requires reporting on the toxic chemical
categories listed below, in addition to the specific toxic
chemicals listed above.
The metal compounds listed below, unless otherwise
specified, are defined as including any unique chemical
substance that contains the named metal (i.e., antimony,
nickel, etc.) as part of that chemical's structure.
Toxic chemical categories are subject to the 1 percent de
minimis concentration unless the substance involved meets
the definition of an OSHA carcinogen in which case the 0.1
percent de minimis concentration applies. The de minimis
concentration for each category is provided in parentheses.
Antimony Compounds (1.0)
Includes any unique chemical substance that contains
antimony as part of that chemical's infrastructure.
Arsenic Compounds (inorganic compounds: 0.1; organic
compounds: 1.0)
Includes any unique chemical substance that contains
arsenic as part of that chemical's infrastructure.
Barium Compounds (1.0)
Includes any unique chemical substance that contains
barium as part of that chemical's infrastructure.
This category does not include: Barium sulfate CAS
Number 7727-43-7
Beryllium Compounds (0.1)
Includes any unique chemical substance that contains
beryllium as part of that chemical's infrastructure.
Cadmium Compounds (0.1)
Includes any unique chemical substance that contains
cadmium as part of that chemical's infrastructure.
Chlorophenols(O.l)
(5-X)
Where x = 1 to 5
Chromium Compounds (chromium VI compounds: 0.1;
chromium III compounds: 1.0)
Includes any unique chemical substance that contains
chromium as part of that chemical's infrastructure.
Cobalt Compounds (0.1)
Includes any unique chemical substance that contains
cobalt as part of that chemical's infrastructure.
Copper Compounds (1.0)
Includes any unique chemical substance that contains
copper as part of that chemical's infrastructure.
This category does not include copperphthalocyanine
compounds that are substituted with only hydrogen,
and/or chlorine, and/or bromine.
Cyanide Compounds (1.0)
A CN~ where X = H~ or any other group where a formal
dissociation may occur. For example KCNor Ca(CN)2
Diisocyanates (1.0)
This category includes only those chemicals listed below.
38661-72-2 l,3-Bis(methylisocyanate)cyclohexane
10347-54-3 l,4-Bis(methylisocyanate)cyclohexane
2556-36-71 4-Cyclohexane diisocyanate
134190-37-7 Diethyldiisocyanatobenzene
4128-73-84 4'-Diisocyanatodiphenyl ether
65
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Hazardous Waste and Toxics Reduction Program
75790-87-32 4'-Drisocyanatodiphenyl sulfide
91-93-0 3,3' -Dimethoxy benzidine-4,4' -dii socy anate
91-97-4 3,3'-Dimethyl-4,4'-diphenylene
diisocy anate
139-25-3 3,3'-Dimethyldiphenylmethane-4,4'-
diisocy anate
822-06-0 Hexamethylene-l,6-diisocy anate
4098-71-9 Isophorone diisocyanate
75790-84-0 4-Methy ldiphenylmethane-3,4-
diisocy anate
5124-30-1 1,1-Methylenebis
(4-isocyanatocyclohexane)
101-68-8 Methylenebis (phenylisocyanate) (MDI)
3173-72-6 1,5-Naphthalene diisocyanate
123-61-5 1,3-Phenylene diisocyanate
104-49-4 1,4-Phenylene diisocyanate
9016-87-9 Polymeric diphenylmethane diisocyanate
16938-22-0 2,2,4-Tnmethylhexamethylene
diisocyanate
15646-96-5 2,4,4-Trimethy Ihexamethy lene
diisocyanate
Ethylenebisdithiocarbamic acid, salts and esters (EBDCs)
(1.0)
Includes any unique chemical substance that is or that
contains EBDC or an EBDC salt or ester as part of that
chemical's infrastructure.
Certain Glycol Ethers (1.0)
R-(OCH2CH2)n-OR'
Where n = 1, 2, or 3
R = alkyl C7 or less; or
R = phenyl or alkyl substituted phenyl;
R' = H, or alkyl C7 or less; or
OR' consisting of carboxylic acid ester, sulfate,
phosphate, nitrate, or sulfonate.
Lead Compounds (inorganic compounds: 0.1; organic
compounds: 1.0)
Includes any unique chemical substance that contains
lead as part of that chemical's infrastructure.
Manganese Compounds (1.0)
Includes any unique chemical substance that contains
manganese as part of that chemical's infrastructure.
Mercury Compounds (1.0)
Includes any unique chemical substance that contains
mercury as part of that chemical's infrastructure.
Nickel Compounds (0.1)
Includes any unique chemical substance that contains
nickel as part of that chemical's infrastructure.
Nicotine and salts (1.0)
Includes any unique chemical substance that contains
nicotine or a nicotine salt as part of that chemical's
infrastructure.
Nitrate compounds (water dissociable; reportable only when
in aqueous solution) (1.0)
Polybrommated Biphenyls (PBBs) (0.1)
(10-X)
Where x = 1 to 10
66
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Poly chlorinated alkanes (ClOto C13) (1.0, except for those
members of the category that have an average chain length of
12 carbons and contain an average chlorine content of 60
percent by weight which are subject to the 0.1 percent de
minimi s)
Cx rl2x+2-y Cly
where x= 10 to 13;
y = 3 to 12; and
the average chlorine content ranges from 40-70% with
the limiting molecular formulas Cio HIP CD and CD Hie Qi2
Poly cyclic aromatic compounds (PACs) (0.1, except for
benzo(a)phenanthrene and dibenzo(a,e)fluoranthene which
are subject to the 1.0 percent de minimis)
This category includes only those chemicals listed below.
56-55-3 Benz(a)anthracene
205-99-2 Benzo(b)fluoranthene
205-82-3 BenzoQfluoranthene
207-08-9 Benzo(k)fluoranthene
189-55-9 Benzo(rst)pentaphene
218-01-9 Benzo(a)phenanthrene
50-32-8 Benzo(a)pyrene
226-36-8 Dibenz(a,h)acridine
224-42-0 Dibenz(aj)acridine
53-70-3 Dibenzo(a,h)anthracene
194-59-2 7H-Dibenzo(c,g)carbazole
5385-75-1 Dibenzo(a,e)fluoranthene
192-65-4 Dibenzo(a,e)pyrene
189-64-0 Dibenzo(a,h)pyrene
191-30-0 Dibenzo(a,l)pyrene
57-97-6 7,12-Dimethylbenz(a)anthracene
193-39-5 Indeno[l,2,3-cd]pyrene
3697-24-3 5-Methylchrysene
5522-43-0 1-Nitropyrene
Selenium Compounds (1.0)
Includes any unique chemical substance that contains
selenium part of that chemical's infrastructure.
Silver Compounds (1.0)
Includes any unique chemical substance that contains
silver part of that chemical's infrastructure.
Strychnine and salts (1.0)
Includes any unique chemical substance that contains
strychnine or a strychnine salt as part of that chemical's
infrastructure.
Thallium Compounds (1.0)
Includes any unique chemical substance that contains
thallium as part of that chemical's infrastructure.
Warfarin and salts (1.0)
Includes any unique chemical substance that contains
warfarin or a warfarin salt as part of that chemical's
infrastructure.
Zinc Compounds (1.0)
Includes any unique chemical substance that contains
zinc as part of that chemical's infrastructure.
67
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Hazardous Waste and Toxics Reduction Program
PBT Final Rule Summary
1) EPA is adding seven chemicals and two chemical compound categories to the list of toxic chemicals subject to reporting under
EPCRA section 313. These chemicals include:
benzo(g,h,i)perylene,
benzo(j,k)fluorene (fluoranthene) (as a member of the PACs category),
3-methylcholanthrene (as a member of the PACs category),
octochlorostyrene,
pentachlorobenzene,
tetrabromobisphenol A (TBBPA),
vanadium* (except when contained in an alloy),
vanadium compounds, and
dioxin and dioxin-like compounds (manufacturing; and the processing or otherwise use of dioxin and dioxin-like compounds if the
dioxin and dioxin-like compounds are present as contaminants in a chemical and if they were created during the manufacturing
of that chemical).
Note: *Vanadium has been on the list since 1987 with the qualifier: "fume or dust."
2) EPA is lowering reporting thresholds for 18 chemicals and chemical categories that meet the EPCRA section 313 criteria for
persistence and bioaccumulation. These chemicals and their final thresholds are listed in the table below:
Reporting Thresholds for EPCRA Section 313 Listed PBT Chemicals
Chemical Name of Chemical Category
Aldrin
Benzo(g,h,i)perylene
Chlordane
Dioxin and dioxin-like compounds category
(manufacturing; and the processing or otherwise
use of dioxin and dioxin-like compounds if the
dioxin and dioxin-like compounds are present as
contaminants in a chemical and if they were
created during the manufacturing of that chemical)
Heptachlor
Hexachlorobenzene
Isodrin
CASRN
309-00-2
191-24-2
57-74-9
NA
76-44-8
118-74-1
465-73-6
Section 313 Reporting Threshold (in
pounds unless noted other-wise)
100
10
10
0.1 grams
10
10
10
68
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Methoxychlor
Octachlorostyrene
Pendimethalin
Pentachlorobenzene
Poly cyclic aromatic compounds category
Poly chlorinated biphenyl (PCBs)
Teterabromobisphenol A
Toxaphene
Trifluralin
Mercury
Mercury compounds
72-43-5
29082-74-4
40487-42-1
608-93-5
NA
1336-36-3
79-94-7
8001-35-2
1582-09-8
7439-97-6
NA
100
10
100
10
100
10
100
10
100
10
10
EPA is deferring its decision for two chemicals and one chemical category. Specifically, EPA is deferring a determination on dicofol
while the Agency continues to review the available persistence data. EPA is also deferring its decision on cobalt and cobalt
compounds because it needs to further investigate the bioaccumulative potential of these chemicals.
3) EPA is finalizing the thresholds it proposed for PBT chemicals in the January 5, 1999 (64 FR 688) Federal Register. Specifically, EPA
is finalizing two thresholds based the chemicals' potential to persist andbioaccumulate in the environment. The two levels include
setting section 313 manufacture, process, and otherwise use thresholds to 100 pounds for PBT chemicals and to 10 pounds for that
subset of PBT chemicals that are highly persistent and highly bioaccumulative. One exception is the dioxin and dioxin-like compounds
category. EPA is setting the threshold ford the dioxin and dioxin-like compound category at 0.1 gram.
4) EPA is eliminating the de minimis exemption for the PBT chemicals finalized today. However, this action will not affect the
applicability of the de minimis exemption to the supplier notification requirements (40 CFR 372.45(e)(l)). EPA is also excluding all PBT
chemicals from eligibility for the alternate threshold of 1 million pounds and eliminating for PBT chemicals range reporting for on-site
releases and transfers off-site for further waste management. EPA has also provided guidance on the level of accuracy expected to be
reported under this rule.
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MONTREAL PROTOCOL CHEMICALS
This list contains ozone depleting compounds as defined by the Montreal Protocol of October 1987, as amended through
September 17, 1997.
Annex A: Controlled substances
Substance
CAS Number
Group I
CFCI3 (CFC-11)
CF2CI2 (CFC-12)
C2F3CI3 (CFC-113)
C2F4CI2 (CFC-114)
C2F5CI (CFC-115)
Group II
CF2BrCI (halon-1211)
CF3Br (halon-1301)
C2F4Br2 (halon-2402)
75-69-4
75-71-8
354-58-5 and 76-13-1
76-14-2
76-15-3
353-59-3
75-63-8
124-73-2
Annex B: Controlled substances
Group I
CF3CI
C2FCI5
C2F2CI4
C3FCI7
C3F2CI6
CF3CI5
C3F4CI4
C3F5CI3
C3F6CI2
C3F7CI
Group II
CCI4
Group III
C2H3CI3*
Substance
(CFC-13)
(CFC-111)
(CFC-112)
(CFC-211)
(CFC-212)
(CFC-213)
(CFC-214)
(CFC-215)
(CFC-216)
(CFC-217)
carbon tetrachloride
1,1,1-trichloroethane*
(methyl chloroform)
75-72-9
354-56-3
76-12-0
422-78-6
3182-26-1
2354-06-5
29255-31-0
1599-41-3
661-97-2
422-86-6
56-23-5
71-55-6
* This formula does not refer to 1,1,2-trichloroethane.
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Annex C: Controlled substances
Substance
CAS Number
Group 1
CHFCI2
CHF2CI
CH2FCI
C2HFCI4
C2HF2CI3
C2HF3CI2
CHCI2CF3
C2HF4CI
CHFCICFs
C2H2FCI3
C2H2F2CI2
C2H2F3CI
C2H3FCI2
CH3CFCI2
C2H3F2CI
CH3CF2CI
C2H4FCI
C3HFCI6
C3HF2CI5
C3HF3CI4
C3HF4CI3
C3HF5CI2
CF3CF2CHCI2
CF2CICF2CHCIF
C3HF6CI
C3H2FCI5
C3H2F2CI4
C3H2F3CI3
C3H2F4CI2
C3H2F5CI
C3H3FCI4
C3H3F2CI3
C3H3F3CI2
C3H3F4CI
C3H4FCI3
C3H4F2CI2
C3H4F3CI
C3H5FCI2
C3H5F2CI
C3H6FCI
Group II
CHFBr2
CHF2Br
CH2FBr
C2HFBr4
C2HF2Br3
C2HF3Br2
C2HF4Br
C2H2FBr3
(HCFC-21)**
(HCFC-22)**
(HCFC-31)
(HCFC-121)
(HCFC-122)
(HCFC-123)
(HCFC-123)**
(HCFC-124)
(HCFC-124)**
(HCFC-131)
(HCFC-132)
(HCFC-133)
(HCFC-141)
(HCFC-141b)**
(HCFC-142)
(HCFC-142b)**
(HCFC-151)
(HCFC-221)
(HCFC-222)
(HCFC-223)
(HCFC-224)
(HCFC-225)
(HCFC-225ca)**
(HCFC-225cb)**
(HCFC-226)
(HCFC-231)
(HCFC-232)
(HCFC-233)
(HCFC-234)
(HCFC-235)
(HCFC-241)
(HCFC-242)
(HCFC-243)
(HCFC-244)
(HCFC-251)
(HCFC-252)
(HCFC-253)
(HCFC-261)
(HCFC-262)
(HCFC-271)
(HBFC-22B1)
75^5-6
306-83-2
2837-89-0
1717-00-6
75-68-3
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C2H2F2Br2
C2H2F3Br
C2H3FBr2
C2H3F2Br
C2H4FBr
C3HFBr6
C3HF2Br5
C3HF3Br4
C3HF4Br3
C3HF5Br2
C3HF6Br
C3H2FBr5
C3H2F2B r4
C3H2F3Br3
C3H2F4Br2
C3H2F5Br
C3H3FBr4
C3H3F2Br3
C3H3F3Br2
C3H3F4Br
C3H4FBr3
C3H4F2B r2
C3H4F3Br
C3H5FBr2
C3H5F2Br
C3H6FBr
Group III
CH2BrCI bromochloromethane
** Identifies the most commercially viable substances with OOP values listed against them to be used for the purposes of the
Protocol.
Annex D*: A list of products** containing controlled substances specified in Annex A
Products Customs code number
1 .Automobile and truck air conditioning units (whether incorporated in vehicles or not)
2.Domestic and commercial refrigeration and air conditioning/heat pump equipment***
e.g.
Refrigerators
Freezers
Dehumidifiers
Water coolers
Ice machines
Air conditioning and heat pump units
S.Aerosol products, except medical aerosols
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4.Portable fire extinguisher
5.Insulation boards, panels and pipe covers
6.Pre-polymers
* This Annex was adopted by the Third Meeting of the Parties in Nairobi, 21 June 1991 as required by paragraph 3 of Article
4 of the Protocol.
** Though not when transported in consignments of personal or household effects or in similar non-commercial situations
normally exempted from customs attention.
*** When containing controlled substances in Annex A as a refrigerant and/or in insulating material of the product.
Annex E: Controlled substance
Group Substance CAS Number
Group I
CH3Br methyl bromide 74-83-9
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Appendix VI
Pollution Prevention Plans -- Chapter 173-307 WAC
Last Update: 10/1/91
WAC
173-307-010 Purpose.
173-307-015 Applicability.
173-307-020 Definitions.
173-307-030 Plan requirements.
173-307-040 Executive summary.
173-307-050 Due dates.
173-307-060 Plan availability.
173-307-070 Plan amendments and updates.
173-307-080 Progress reports.
173-307-090 Review process.
173-307-100 Penalties.
173-307-110 Appeals.
173-307-120 Exemptions.
173-307-130 Public disclosure.
173-307-140 Records.
WAC 173-307-010 Purpose. This chapter implements chapter 70.95C RCW, an act relating to hazardous
waste reduction. The act encourages voluntary efforts to redesign industrial, commercial, production, and other
processes to result in the reduction or elimination of hazardous waste by-products and to maximize the in-
process reuse or reclamation of valuable spent material. The act establishes a legislative policy to encourage
reduction in the use of hazardous substances and reduction in the generation of hazardous waste whenever
economically and technically practicable. It also adopts as a policy goal for Washington state the reduction of
hazardous waste generation, through hazardous substance use reduction and waste reduction techniques, by fifty
percent by 1995. Some individual facilities may have the ability to reduce the use of hazardous materials and the
generation of hazardous wastes by far greater than fifty percent while others may not be able to reduce by as
much as fifty percent. Therefore, the fifty percent reduction goal is not applied as a regulatory requirement. The
plans provided for in this chapter are intended to achieve, for each facility, the greatest reduction economically
and technically practicable. The intent of the department of ecology is to provide technical assistance, to the
greatest extent possible, to those required to prepare facility plans. The purpose of this chapter is to establish
the specific elements required to be included in the documents required of hazardous waste generators and
hazardous substance users under the act. The regulation also establishes completion dates and implements other
requirements in the act. Copies of all rules, regulations, or statutes cited in this chapter are available from the
Department of Ecology, Mailstop PV-11, Olympia, Washington 98504-8711. [Statutory Authority: Chapter
70.95CRCW. 91-20-131 (Order 91-35), § 173-307-010, filed
10/1/91, effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-010, filed 4/1/91, effective 5/2/91.]
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WAC 173-307-015 Applicability. (1) The requirements of WAC 173-307-010 through 173-307-140 apply
to all hazardous substance users as defined in this chapter and to hazardous waste generators who generate
more than two thousand six hundred forty pounds of hazardous waste per year, except for those facilities that
are primarily treatment, storage, and disposal facilities or recycling facilities. Used oil to be rerefined or burned
for energy or heat recovery shall not be used in the calculation of hazardous wastes generated for purposes of
this regulation, and is not required to be addressed by plans prepared under this regulation. For purposes of this
section, hazardous waste reported on the annual dangerous waste generator report as having been either
recycled on-site or recycled for beneficial use off-site and/or amounts of hazardous substances introduced into a
process and subsequently recycled for beneficial use, shall not be used in the calculation of hazardous waste
generated. A facility may petition the director to exclude hazardous wastes recycled for beneficial use even if
they were not reported as such on the annual dangerous waste generator report. Documentation from the
hazardous waste handling facility that the hazardous waste was recycled for beneficial use must be submitted
along with the petition.
(2) Except as noted in subsection (3) of this section, each hazardous substance user and hazardous
waste generator identified above must prepare one plan for each facility owned or operated.
(3) A person with multiple interrelated facilities where a significant majority of the processes are
substantially similar, as defined in this chapter, may prepare a single plan covering one or more of those facilities.
(a) A person desiring to submit a single plan under this provision must first submit to the director
documentation that a significant majority of the processes at the facilities are substantially similar processes in
order to obtain approval prior to plan development. This documentation must be submitted by May 1 of the
year prior to the plan due date.
(b) If a single plan is being prepared for two or more interrelated facilities with substantially similar
processes, the sum total of the hazardous waste generated and the hazardous substances used by these facilities
must be considered when applying any of the thresholds and/or percentages required by this chapter.
(c) In instances where a person has interrelated facilities without substantially similar processes, a single
document may be prepared, but it must contain separate detailed plans for each facility.
(4) Facilities required by this chapter to prepare plans are also required to pay a hazardous waste fee,
as described in chapter 173-305 WAC. The requirements of WAC 173-305-010 through 173-305-050 and
173-305-210 through 173-305-240 specifically apply.
[Statutory Authority: Chapter 70.95C RCW. 91-20-131 (Order 91-35), § 173-307-015, filed 10/1/91,
effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-015, filed 4/1/91, effective 5/2/91.]
WAC 173-307-020 Definitions. As used in this chapter, the following terms have the meanings indicated
unless the context clearly requires otherwise.
"Closed-loop recycling" means that the entire process through completion of any reclamation is closed
by being entirely connected with pipes or other comparable enclosed means of conveyance. Recycled materials
are returned to the original process or processes.
"Dangerous waste" means any discarded, useless, unwanted, or abandoned nonradioactive substances,
including but not limited to certain pesticides, or any residues or containers of such substances which are
disposed of in such quantity or concentration as to pose a substantial present or potential hazard to human
health, wildlife, or the environment because such wastes or constituents or combinations of such wastes:
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Have short-lived, toxic properties that may cause death, injury, or illness or have mutagenic, teratogenic,
or carcinogenic properties; or
Are corrosive, explosive, flammable, or may generate pressure through decomposition or other means.
Dangerous wastes shall specifically include those wastes designated as extremely hazardous by rules
adopted pursuant to chapter 70.105 RCW.
"Department" means the Department of Ecology.
"Director" means the director of the Department of Ecology or the director's designee.
"EPA/state dangerous waste identification number" means the number assigned by the EPA
(Environmental Protection Agency) or by the Department of Ecology to each generator and/or transporter and
treatment, storage, and/or disposal facility.
"Extremely hazardous waste" means any dangerous waste which:
Will persist in a hazardous form for several years or more at a disposal site and which in its persistent
form:
Presents a significant environmental hazard and may be concentrated by living organisms through a food
chain or may affect the genetic make-up of man or wildlife; and
Is highly toxic to man and wildlife;
If disposed of at a disposal site in such quantities as would present an extreme hazard to man or the
environment.
Extremely hazardous waste shall specifically include those wastes designated as extremely hazardous by
rules adopted pursuant to chapter 70.105 RCW.
"Facility" means any geographical area that has been assigned an EPA/state dangerous waste
identification number. In the case of a hazardous substance user not having an EPA/state dangerous waste
identification number, facility means all buildings, equipment, structures, and other stationary items located on a
single site or on contiguous or adjacent sites and owned or operated by the same person.
"Fee" means the annual hazardous waste fees imposed under RCW 70.95E.020 and 70.95E.030.
"Generate" means any act or process which produces hazardous waste or which first causes a
hazardous waste to become subject to regulation.
"Hazardous substance" means any hazardous substance listed as a hazardous substance as of the
effective date of this section pursuant to Section 313 of Title HI of the Superfund Amendments and
Reauthorization Act and any further updates, and all ozone depleting compounds as defined by the Montreal
Protocol of October 1987 and any further updates of the Montreal Protocol.
"Hazardous substance use reduction" means the reduction, avoidance, or elimination of the use, toxicity,
or production of hazardous substances without creating substantial new risks to human health or the
environment. "Hazardous substance use reduction" includes proportionate changes in the usage of hazardous
substances as the usage of a hazardous substance or hazardous substances changes as a result of production
changes or other business changes.
"Hazardous substance user" means any facility required to report under Section 313 of Title HI of the
Superfund Amendments and Reauthorization Act, except for those facilities which only distribute or use
fertilizers or pesticides intended for commercial agricultural applications.
Note: This definition refers to those SARA Title HI, Section 313 reporters who must prepare a plan,
whereas the definition of hazardous substance refers to the substances that must be addressed in
the plan.
"Hazardous waste" means and includes all dangerous and extremely hazardous wastes, but does not
include radioactive wastes or a substance composed of both radioactive and hazardous components and does
not include any hazardous waste generated as a result of a remedial action under state or federal law.
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"Hazardous waste generator" or "generator" means any person generating hazardous waste(s) which are
subject to regulation by the department.
"Hazardous waste reduction" means all in-facility practices that reduce, avoid, or eliminate the
generation of hazardous wastes or the toxicity of hazardous wastes, prior to generation, without creating
substantial new risks to human health or the environment.
"Interrelated facilities" means multiple facilities owned or operated by the same person.
"Office" means the office of waste reduction.
"Plan" means the plan provided for in RCW 70.95C.200.
"Person" means an individual, trust, firm, joint stock company, partnership, association, state, public or
private or municipal corporation, commission, political subdivision of a state, interstate body, the federal
government, including any agency or officer thereof, and any Indian tribe or authorized tribal organization.
"Process" means one or a number of steps which produces an end product or service, or a component
which is to be incorporated into an end product or service.
"Product" means any hazardous substance or mixture containing hazardous substances which is used by
a facility in a production or service process. Metals or metal alloys used by the facility are not considered
"products" if they do not become incorporated into the hazardous waste streams and have no known pathway
for the release of metals to the environment, either at the facility or subsequent to their use at the facility, such as
from ultimate disposal by the consumer. Facilities will have to decide whether to group similar products (for
example with different brand names) and list them as a single product. While some flexibility is left to the facility,
products must be identified as a single product if they have similar chemical composition and may be used
interchangeably by the facility.
Note: The term "product" as defined here and used throughout this chapter is not to be confused with
the term "end product" which specifically refers to the "output" of a production process.
"Recycled for beneficial use" means the use of hazardous waste, either before or after reclamation, as a
substitute for a commercial product or raw material, but does not include:
Use constituting disposal;
Incineration; or
Use as a fuel.
"Recycling" means reusing waste materials and extracting valuable materials from a waste stream.
Recycling does not include burning for energy recovery.
Note: While burning for energy recovery may be preferable to disposal, burning for energy recovery
does not count as recycling for the purpose of chapter 70.95C RCW.
"Remedial action wastes" means hazardous wastes which result from the cleanup of sites under state or
federal hazardous waste laws.
"Shifting of risks" means changing the character, location, or receptor of a toxic material without
achieving a substantial reduction in the overall risk to health and safety or the environment.
"Substantially similar processes" means processes that are essentially interchangeable, inasmuch as they
use similar equipment and materials and produce similar products or services and generate similar wastes.
"Treatment" means the physical, chemical, or biological processing of waste to render it completely
innocuous, produce a recyclable by-product, reduce toxicity, or substantially reduce the volume of material
requiring disposal as described in the priorities established in RCW 70.105.150. Treatment does not include
incineration.
"Used oil" means: Lubricating fluids that have been removed from an engine crankcase, transmission,
gearbox, hydraulic device, or differential of an automobile, bus, truck, vessel, plane, heavy equipment, or
machinery powered by an internal combustion engine; any oil that has been refined from crude oil, used, and as
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a result of use, has been contaminated with physical or chemical impurities; and any oil that has been refined
from crude oil and, as a consequence of extended storage, spillage, or contamination, is no longer useful to the
original purchaser. "Used oil" does not include used oil to which hazardous wastes have been added.
[Statutory Authority: Chapter 70.95C RCW. 91-20-131 (Order 91-35), § 173-307-020, filed 10/1/91,
effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-020, filed 4/1/91, effective 5/2/91.]
WAC 173-307-030 Plan requirements. This section establishes the specific elements required to be included
in a plan. The purpose of a plan is to require serious consideration of ways in which processes and procedures
may be modified to reduce dependence upon hazardous substances and/or the generation of hazardous wastes.
All plans must consider opportunities based on the following priorities: Hazardous substance use reduction and
hazardous waste reduction, recycling, and treatment. The plans shall consist of the following parts:
(1) Part one. Part one shall include:
(a) A written policy articulating management and corporate support for the plan and a commitment to
implement planned activities and achieve established goals.
(b) The plan scope and objectives.
(c) A description of the facility type, a description of product(s) made and/or services provided, and a
statement or listing of the current level(s) of production or service activity in units of measure appropriate to the
industry or activity;
(d) A general overview of the processes used in production or service activities (a schematic drawing
may be included);
(e) A statement providing, for the last calendar year, the total pounds of extremely hazardous waste and
total pounds of dangerous waste reported on Form 4, Generator Annual Dangerous Waste Report, and, if
applicable, the total pounds of toxic releases reported on Form R under SARA Title in, Section 313; and
(f) A description of current reduction, recycling, and treatment activities and documentation of
hazardous substance use reduction and hazardous waste reduction efforts completed prior to the first plan due
date specified in WAC 173-307-050. Clearly separate the explanations of reduction activities from recycling
and other management activities.
(2) Part two. Part two shall include an identification of hazardous substances used and hazardous
wastes generated by the facility, a description of the facility processes, an identification of reduction, recycling,
and treatment opportunities, an evaluation of those opportunities, a selection of proposed options, a policy to
prevent shifting of risks, performance goals, and an implementation schedule. Specifically, Part two shall include:
(a) An identification of products containing hazardous substances used and hazardous wastes generated.
This is to be based on actual usage and generation during the most recent calendar year for which records are
available. This task can be accomplished by choosing one of two approaches. The approaches are identified as
the "pounds approach" and the "percentage approach." Look at the following descriptions and requirements of
each of these and determine which one you wish to use.
(i) "Pounds approach."
This approach requires you to identify the types and amounts, in either weight or volume, of hazardous
waste generated and products containing hazardous substances used up to these threshold levels:
(A) All dangerous waste streams five hundred pounds or greater, any smaller dangerous waste streams
which individually represents ten percent or more of the total annual hazardous wastes, and all extremely
hazardous waste streams subject to regulation by the department. If this combination equals less than ninety
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percent of the total hazardous wastes generated, then additional dangerous wastes generated at the facility shall
be included until ninety percent of the total is reached; and
(B) Each product used which contains a total of fifty percent or more of any combination of hazardous
substances if one thousand pounds or more was used; each product used which contains a total of between
twenty-five percent and forty-nine percent of hazardous substances if four thousand pounds or more was used;
and each product used which contains a total of between ten and twenty-four percent of hazardous substances
if ten thousand pounds or more was used. Any product which contains less than ten percent of any hazardous
substances need not be included in the list regardless of the amount of the product used.
(C) Office products and products which are used at the facility for nonprocess routine janitorial or
grounds maintenance related activities may be excluded from this list.
(D) Hazardous substances used and hazardous wastes generated in laboratory research need not be
listed. Note: See Part two, (k) of this subsection for discussion on this issue.
(ii) "Percentage approach."
This approach requires you to identify the types and amounts, in either weight or volume, of hazardous
waste generated and products containing hazardous substances used up to these threshold levels;
(A) All extremely hazardous waste and enough additional dangerous waste to reach ninety percent of all
the hazardous waste generated; and
(B) Ninety percent of all the products used which contain hazardous substances. This selection of
products should attempt to include those that contain the highest concentrations of hazardous substances and the
most toxic hazardous substances.
(C) Office products and products which are used at the facility for nonprocess routine janitorial or
grounds maintenance related activities may be excluded from this list.
(D) Hazardous substances used and hazardous wastes generated in laboratory research need not be
listed. Note: See Part two, (k) of this subsection for discussion on this issue.
(iii) Determinations of whether these quantities are met or exceeded for either approach shall be based
on the best available information. This information may be included or referenced in the plan. Available
information may include any or all of the following as necessary to determine quantities of hazardous substances
contained in products; information available from material safety data sheets, information furnished upon request
from manufacturers or suppliers of hazardous substances or products containing hazardous substances,
information obtained from the department, and information otherwise known by the facility owner or operator.
An explanation of the procedures used to determine that the thresholds were met or exceeded must be
included in this section of the plan, (iv) The above thresholds shall only be used for plans required to be
completed prior to September 2, 1996. Plans or plan updates completed from that date on must identify the
types and amounts, in either weight or volume, of hazardous waste generated and hazardous substances used up
to the following threshold levels;
(A) The "pounds approach" can only be used for identifying hazardous waste after September 2, 1996.
This approach cannot be used for products containing hazardous substances. The thresholds for hazardous
waste are:
All dangerous waste streams five hundred pounds or greater, any smaller dangerous waste streams
which individually represents ten percent or more of the total annual hazardous wastes, and all extremely
hazardous waste streams subject to regulation by the department. If this combination equals less than ninety-five
percent of the total hazardous wastes generated, then additional dangerous wastes generated at the facility shall
be included until ninety-five percent of the total is reached.
(B) The "percentage approach" remains an optional approach for hazardous waste, but it is the only
approach that can be used for products. The thresholds for this approach are:
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All extremely hazardous waste and enough additional dangerous waste to reach ninety-five percent of all
the hazardous waste generated; and
Ninety-five percent of all the products used which contain hazardous substances.
(C) The exemptions in subitems (C) and (D) of item (ii) of this subdivision remain in effect.
(b) A detailed description of each process in the facility that generates hazardous waste or uses
products containing hazardous substances as identified in the chosen approach in (a) of this subsection. This
description may include a schematic drawing.
(c) For the hazardous waste and products containing hazardous substances identified in (a) of this
subsection within each of the processes identified in (b) of this subsection, an identification, based on thorough
research, of all reasonable opportunities for further hazardous substance use reduction, hazardous waste
reduction, recycling, and treatment. Thorough research shall include, at a minimum, a review of literature
commonly available to that industry or trade. The full range of potentially feasible opportunities is to be identified
without regard to possible impediments to implementing the opportunities. In identifying opportunities,
consideration shall be given to alternative approaches which, in the judgment of the facility management, satisfy
the same demand for end products or services but use substantially less hazardous substances or result in the
generation of substantially less hazardous waste;
(d) An evaluation of the identified opportunities. Opportunities shall be grouped by priority and
evaluated according to these priorities. The priorities are, in descending order: Hazardous substance use and
hazardous waste reduction; recycling; and, treatment. Opportunities of a lower priority shall be given
consideration only after a determination is made that the higher priority opportunities are inappropriate due to
impediments to their implementation. Impediments that shall be considered acceptable include, but are not
limited to: Adverse impacts on product quality, legal or contractual obligations, economic and technical
practicality, safety considerations, and the creation of substantial new risks to human health or the environment.
Except with respect to the use and distribution of fertilizers or pesticides intended for commercial
agricultural applications, the evaluation of hazardous waste reduction opportunities must include an evaluation of
hazardous substance use reduction opportunities for those hazardous substances which subsequently result in
hazardous waste streams as well as an evaluation of other opportunities for the reduction of hazardous waste.
The evaluation required under this subsection shall include an economic analysis, a technical evaluation,
an identification of whether, and if so how, the identified opportunity would result in a shifting of risk(s) from one
part of a process, environmental medium, or product to another and an identification of all impediments to
implementing the opportunities. The economic analysis shall seek to identify the total costs associated with the
current hazardous substance use and hazardous waste generation, management and disposal, compared with
comparable costs associated with implementing the alternatives.
Evaluation of each opportunity may be considered complete when enough information is available to
select or reject the opportunity for implementation. For opportunities rejected, the reason(s) for rejecting them
shall be stated.
(e) A selection of opportunities to be implemented in accordance with the evaluation conducted in (d) of
this subsection. For each selected opportunity, the process(es) it affects shall be identified, and estimates of the
amount, by weight, of the reduction of hazardous substances or products containing hazardous substances and
hazardous waste reduction which would be achieved through implementation shall be stated, as well as the
amount of hazardous wastes recycled or treated as a result of implementation shall be included;
(f) A written policy stating that in implementing the selected options whenever technically and
economically practicable, risks will not be shifted from one part of a process, environmental medium, or product
to another;
(g) Specific performance goals in each of the following categories, expressed in numeric terms:
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(i) Hazardous substances or products containing hazardous substances to be reduced or eliminated from
use;
(ii) Hazardous wastes to be reduced or eliminated through hazardous waste reduction techniques;
(iii) Materials or hazardous wastes to be recycled; and
(iv) Hazardous wastes to be treated.
If the establishment of numeric performance goals is not practicable, the performance goals shall include
a clearly stated list of objectives designed to lead to the establishment of numeric goals as soon as is practicable.
Goals shall be set for a five-year period from the first reporting date (see (h) of this subsection regarding
implementation activities that will take longer than five years);
(h) A five-year implementation schedule, which shall display planned implementation activities for each
of the five calendar years following completion of the plan. Information to be provided shall include, but is not
limited to, the opportunities (or phases of opportunities) being implemented and related milestones. Where
complete implementation of a selected opportunity will take longer than five years, the schedule shall contain
relevant milestones within a five-year period and an estimated date of completion. The schedule may be in table
form and organized by opportunities within processes, if desired.
(i) A description of how those hazardous wastes that are not recycled or treated and the residues from
recycling and treatment processes are managed may be included in the plan.
(j) Documentation of any research conducted in fulfillment of any of the above subdivisions of this
subsection shall be available to the department upon request.
(k) For research laboratories, the plan may include, in lieu of all the detailed requirements of this
subsection, a description of policies and procedures to be followed by laboratory personnel regarding the use of
hazardous substances and the generation of hazardous wastes through laboratory research. These policies and
procedures must be consistent with the waste reduction priorities as defined in this chapter.
(3) Part three. Part three shall provide a financial description of the plan, which shall identify costs and
benefits realized from implementing selected opportunities to the extent reasonably possible. Part three shall also
include a description of accounting systems which will be used to identify hazardous substance use and
hazardous waste management costs. Liability, compliance, and oversight costs must be components of these
accounting systems.
(4) Part four. Part four of the plan shall include a description of personnel training and employee
involvement programs. Each facility required to write a plan is encouraged to advise its employees of the
planning process and solicit comments or suggestions from its employees on hazardous substance use and waste
reduction opportunities.
[Statutory Authority: Chapter 70.95C RCW. 91-20-131 (Order 91-35), § 173-307-030, filed 10/1/91,
effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-030, filed 4/1/91, effective 5/2/91.]
WAC 173-307-040 Executive summary. Upon completion of a plan, the owner, chief executive officer, or
other person with the authority to commit management to the plan, such as a facility manager, shall sign and
submit an executive summary of the plan to the department. This summary shall be available from the
department for public inspection upon request. The facility may elect to submit the complete plan to the
department rather than prepare an executive summary. In that event, the complete plan shall also be available
for public inspection. Executive summaries shall include the following information from the plan:
(1) A written policy articulating management and corporate support for the plan and a
commitment to implement planned activities and achieve established goals.
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Hazardous Waste and Toxics Reduction Program
(2) The plan scope and objectives.
(3) A description of the facility type and a summary of product(s) made and/or services
provided.
(4) A list of the type and amount of each hazardous waste and products containing hazardous
substances as identified in WAC 173-307-030 (2)(a).
(5) A brief description of each process in the facility that generates hazardous waste or uses
products containing hazardous substances as listed in subdivision (d).
(6) A description of current reduction, recycling, and treatment activities, and documentation of
hazardous substance use reduction and hazardous waste reduction activities completed before the first
reporting date specified in WAC 173-307-050.
(7) A summary of all further hazardous substance use reduction, hazardous waste reduction, recycling,
and treatment opportunities identified. Opportunities shall be identified first for hazardous substance use
reduction and hazardous waste reduction, secondly for recycling, and lastly for treatment. A statement of the
reason(s) for rejecting any opportunity from further consideration and a summary of all identified impediments to
implementing opportunities shall be included.
(8) A description of the opportunities selected to be implemented, process(es) affected, and estimated
reductions to be achieved.
(9) Specific performance goals, expressed in numeric terms for each of the categories listed below
(assumptions on changing production or service activity levels during the period covered by the plan must be
described):
(a) Hazardous substances to be reduced or eliminated from use;
(b) Hazardous wastes to be reduced or eliminated through waste reduction techniques;
(c) Materials or hazardous wastes to be recycled; and
(d) Hazardous wastes to be treated.
If the establishment of numeric performance goals is not practicable, the performance goals shall include
a clearly stated list of objectives designed to lead to the establishment of numeric goals as soon as is practicable.
Goals shall be set for a five-year period from the first reporting date.
(10) The five-year implementation schedule identified in WAC 173-307-030 (2)(h) which shall display
planned implementation activities for each of the five calendar years following completion of the plan.
(11) A summary of costs and benefits realized from implementing selected opportunities.
(12) For research labs, the executive summary may include, in lieu of all the detailed requirements of this
section, a description of policies and procedures to be followed by laboratory personnel regarding the use of
hazardous substances and the generation of hazardous waste through laboratory research. These policies and
procedures must be consistent with the waste reduction priorities as defined in this chapter.
[Statutory Authority: Chapter 70.95C RCW. 91-20-131 (Order 91-35), § 173-307-040, filed 10/1/91,
effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-040, filed 4/1/91, effective 5/2/91.]
WAC 173-307-050 Due dates. Plans shall be completed and executive summaries submitted in accordance
with the following schedule:
(1) Hazardous waste generators who generated more than fifty thousand pounds of hazardous waste in
calendar year 1991 and hazardous substance users who were required to report in 1991, by September 1,
1992;
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(2) Hazardous waste generators who generated between seven thousand and fifty thousand pounds of
hazardous waste in calendar year 1992 and hazardous substance users who were required to report for the first
time in 1992, by September 1, 1993;
(3) Hazardous waste generators who generated between two thousand six hundred forty and seven
thousand pounds of hazardous waste in 1993 and hazardous substance users who were required to report for
the first time in 1993, by September 1, 1994;
(4) Hazardous waste generators who have not been required to complete a plan on or prior to
September 1, 1994, must complete a plan by September 1 of the year following the first year that they generate
more than two thousand six hundred forty pounds of hazardous waste; and
(5) Hazardous substance users who have not been required to complete a plan on or prior to September 1,1994,
must complete a plan by September 1 of the year following the first year that they are required to report under Section 313
of Title TTT of the Superfund Amendments and Reauthorization Act
[Statutory Authority: Chapter 70.95C RCW. 91-08-041 (Order 90-57), § 173-307-050, filed 4/1/91,
effective 5/2/91.]
WAC 173-307-060 Plan availability. Plans developed under chapter 173-307 WAC shall be kept at the
facility and made available for review to authorized representatives of the department. The plan is not a public
record under the public disclosure laws of the state of Washington contained in chapter 42.17 RCW, unless
submitted in lieu of an executive summary as provided for in WAC 173-307-040.
[Statutory Authority: Chapter 70.95C RCW. 91-20-131 (Order 91-35), § 173-307-060, filed 10/1/91,
effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-060, filed 4/1/91, effective 5/2/91.]
WAC 173-307-070 Plan amendments and updates. (1) A plan must be kept reasonably current and may
be amended in response to changes in facility operations, substances used, or wastes generated.
(a) Users or generators shall notify the department of an amended plan and submit amendments to their
plan or executive summary, whichever was originally submitted, including an identification of which sections are
being amended. The implementation schedule of the amended plan and/or new executive summary shall be
within the original five-year timeline initiated by completion of the original plan.
(b) Even if a plan is amended, a five-year plan update will still be required five years from completion of
the first plan, or from the last five-year update.
(2) Every five years, each plan shall be updated, and the plan or a new executive summary shall be
submitted to the department. A plan update shall conform to the requirements for preparing reduction plans as
specified in this chapter.
[Statutory Authority: Chapter 70.95C RCW. 91-20-131 (Order 91-35), § 173-307-070, filed 10/1/91,
effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-070, filed 4/1/91, effective 5/2/91.]
WAC 173-307-080 Progress reports. Progress reports shall be submitted to the department annually
on September 1 following the due date of the plan. The purpose of the progress report is to provide information
on quantities of hazardous waste and hazardous substances or products containing hazardous substances
reduced in the prior twelve-month period.
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Hazardous Waste and Toxics Reduction Program
(1) Progress reports shall include a discussion of:
(a) Performance goals. If numeric performance goals were listed in the plan, progress toward these
goals shall be discussed. If numeric performance goals were not listed in the plan, progress made toward
establishing numeric goals shall be discussed, and also progress made towards achieving the goals as stated in
the plan. This discussion shall include:
(i) A description of reduction, recycling, and treatment opportunities which were implemented.
(ii) A description of the process(es) impacted by each opportunity.
(iii) A description of the quantities, by weight, of hazardous substances or products containing
hazardous substances reduced and hazardous waste reduced by each option. Estimation techniques, and any
assumptions used shall be described. Quantities reduced must be displayed in relation to changing production
levels. The description shall also include a statement of the level of production or service activity in relation to
the level of production or service activity stated in the plan at the time the plan was prepared.
Note: Factors not resulting in actual reductions, such as new estimating techniques, delistings of
substances or hazardous wastes, and reclassifications of waste management techniques cannot
be counted or claimed as reductions.
(iv) If measurement or estimation techniques are changed from the prior reports such that reductions are
not additive for the five-year planning period, a methodology for converting prior reported reductions must be
described and recalculations provided.
(b) Problems encountered in the implementation process. Problems shall be clearly identified and
include a discussion of steps taken or proposed to resolve problems. An update on problems reported in
previous progress reports shall be included.
(2) Upon the request of two or more users or generators belonging to similar industrial classifications,
the department may aggregate data contained in their annual progress reports for the purpose of developing a
public record.
[Statutory Authority: Chapter 70.95C RCW. 91-20-131 (Order 91-35), § 173-307-080, filed 10/1/91,
effective 11/1/91; 91-08-041 (Order 90-57), § 173-307-080, filed 4/1/91, effective 5/2/91.]
WAC 173-307-090 Review process. A user or generator required to prepare a plan shall permit the
director or a representative of the director to review the plan to determine its adequacy.
(1) The department may review a plan, executive summary, or an annual progress report to determine
whether the plan, executive summary, or annual progress report is adequate and shall base its determination
solely on whether the plan, executive summary, or annual progress report is complete and prepared in
accordance with the provisions of this chapter and the requirements of chapter 70.95C RCW.
(2) If a hazardous substance user or hazardous waste generator fails to complete an adequate plan,
executive summary, or annual progress report, the department shall notify the user or generator of the
inadequacy, identifying specific deficiencies. For the purposes of this section, a deficiency may include failure to
develop a plan, failure to submit an executive summary, or failure to submit an annual progress report. The
department shall specify a reasonable time frame, of not less than ninety days, within which the user or generator
shall complete a modified plan, executive summary, or annual progress report addressing the specified
deficiencies.
(3) If the department determines that a modified plan, executive summary, or annual progress report is
inadequate, the department may, within its discretion, either require further modification or enter an order
pursuant to WAC 173-307-100.
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
[Statutory Authority: Chapter 70.95C RCW. 91-08-041 (Order 90-57), § 173-307-090, filed 4/1/91,
effective 5/2/91.]
WAC 173-307-100 Penalties. (1) If, after having received a list of specified deficiencies from the
department, a hazardous substance user or hazardous waste generator required to prepare a plan fails to
complete modification of a plan, executive summary, or annual progress report within the time period specified
by the department, the department may enter an order pursuant to chapter 34.05 RCW finding the user or
generator not in compliance with the requirements of RCW 70.95C.200. When the order is final, the
department shall notify the department of revenue to charge a penalty fee. The penalty fee shall be the greater of
one thousand dollars or three times the amount of the user's or generator's previous year's fee, in addition to the
current year's fee. If no fee was assessed the previous year, the penalty shall be the greater of one thousand
dollars or three times the amount of the current year's fee. The penalty assessed under this subsection shall be
collected each year after the year for which the penalty was assessed until an adequate plan, executive
summary, or annual progress report is completed.
(2) If a hazardous substance user or hazardous waste generator required to prepare a plan fails to
complete an adequate plan, executive summary, or annual progress report after the department has levied
against the user or generator the penalty provided in subsection (1) of this section, the user or generator shall be
required to pay a surcharge to the department whenever the user or generator disposes of a hazardous waste at
any hazardous waste incinerator or hazardous waste landfill facility located in Washington state, until a plan,
executive summary, or annual progress report is completed and determined to be adequate by the department.
The surcharge shall be equal to three times the fee charged for disposal. The department shall furnish the
incinerator and landfill facilities in Washington state with a list of Environmental Protection Agency/state
identification numbers of the hazardous waste generators that are not in compliance with the requirements of
RCW 70.95C.200.
[Statutory Authority: Chapter 70.95C RCW. 91-08-041 (Order 90-57), § 173-307-100, filed 4/1/91,
effective 5/2/91.]
WAC 173-307-110 Appeals. A user or generator may appeal from a department order or a surcharge under
RCW 70.95C.220 to the pollution control hearings board pursuant to chapter 43.21B RCW.
[Statutory Authority: Chapter 70.95C RCW. 91-08-041 (Order 90-57), § 173-307-110, filed 4/1/91,
effective 5/2/91.]
WAC 173-307-120 Exemptions. A person required to prepare a plan because of the quantity of hazardous
waste generated may petition the director to be excused from this requirement. The person must demonstrate to
the satisfaction of the director that the quantity of hazardous waste generated was due to unique circumstances
not likely to be repeated and that the person is unlikely to generate sufficient hazardous waste to require a plan
in the next five years.
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Hazardous Waste and Toxics Reduction Program
[Statutory Authority: Chapter 70.95C RCW. 91-08-041 (Order 90-57), § 173-307-120, filed 4/1/91,
effective 5/2/91.]
WAC 173-307-130 Public disclosure. (1) The department shall make available for public inspection any
executive summary or annual progress report submitted to the department. Any hazardous substance user or
hazardous waste generator required to prepare an executive summary or annual progress report who believes
that disclosure of any information contained in the executive summary or annual progress report may adversely
affect the competitive position of the user or generator may request the department pursuant to RCW
43.21 A. 160 to delete from the public record those portions of the executive summary or annual progress report
that may affect the user's or generator's competitive position. The department shall not disclose any information
contained in an executive summary or annual progress report pending a determination of whether the
department will delete any information contained in the report from the public record. This determination will be
made within sixty days following a request for public inspection.
(2) Any ten persons residing within ten miles of a hazardous substance user or hazardous waste
generator required to prepare a plan may file with the department a petition requesting the department to
examine a plan to determine its adequacy. The department shall report its determination of adequacy to the
petitioners and to the user or generator within a reasonable time. The department may deny a petition if the
department has within the previous year determined the plan of the user or generator named in the petition to be
adequate.
[Statutory Authority: Chapter 70.95C RCW. 91-08-041 (Order 90-57), § 173-307-130, filed 4/1/91,
effective 5/2/91.]
WAC 173-307-140 Records. The department shall maintain a record of each plan, executive summary, or
annual progress report it reviews, and a list of all plans, executive summaries, or annual progress reports the
department has determined to be inadequate, including descriptions of corrective actions taken. This information
shall be made available to the public.
[Statutory Authority: Chapter 70.95C RCW. 91-08-041 (Order 90-57), § 173-307-140, filed
4/l/91,effective5/2/91.]
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Pollution Prevention Planning Guidance Manual, #92-1, Revised June 2000
Appendix VII
Pollution Prevention Planning Technical Assistance
Ecology Offices
Regions
Central—Mark Benedict (509) 575-2803
15 West Yakima Avenue, Suite 200
Yakima, Washington 98902-3401
Eastern—Doug Jayne (509) 456-6171
North 4601 Monroe, Suite 100
Spokane, Washington 99205-5301
Northwest—Dennis Johnson (425) 649-7040 Southwest—Hugh O'Neill (360) 407-6354
3190-160th Avenue Southwest Post Office Box 47775
Bellevue, Washington 98008-5452 Olympia, Washington 98504-7775
Ecology Headquarters
Industrial Section—Stan Springer (360) 407-6723
Post Office Box 47600
Olympia, Washington 98504-7600
Regional Office Map
89
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Acknowledgments
This CD-ROM was prepared under the direction and coordination of Emma Lou
George of the U.S. Environmental Protection Agency (US EPA), Office of Re-
search and Development, National Risk Management Research Laboratory, Tech-
nology Transfer and Support Division, Technology Transfer Branch, Cincinnati,
Ohio.
Dr. Robert B. Pojasek (Pojasek & Associates) compiled and prepared the informa-
tion found on the CD-ROM. Pojasek & Associates is a sole proprietorship located in
Arlington, Massachusetts. Mr. Rob Goldberg, (envirohtml.com) was responsible for
the design and production of the CD-ROM. Mr. Goldberg is a free-lance developer
located in Erdenheim, Pennsylvania.
This CD-ROM was peer reviewed under the direction of Emma Lou George.
Pete and Lynnann H. Paris (Chief, Technology Transfer Branch) provided the scenic
picture from Maine that has been used on the jacket of this CD-ROM and the
companion Guide.
Back HOME
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U.S. DEPARTMENT OF ENERGY
MODEL POLLUTION PREVENTION
OPPORTUNITY ASSESSMENT GUIDANCE
Prepared under the direction of
U.S. Department of Energy
Office of Defense Programs
Revised December 1993
United States Department of Energy
Washington, DC 20585
| Printed with soy ink on recycled paper
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TABLE OF CONTENTS
Page
INTRODUCTION 1
A. PURPOSE OF GUIDANCE 1
B. GUIDANCE SCOPE AND OBJECTIVES 1
II. GRADED APPROACH 3
A. INTRODUCTION 3
B. GRADED APPROACH LOGIC DIAGRAM & PRIORITY LIST 3
C. LEVEL I - ACTIVITY CHARACTERIZATION 5
D. GRADED APPROACH WEIGHTED SUMS EVALUATION 6
E. LEVEL II - INFORMAL ASSESSMENT 7
F. LEVEL III - FORMAL ASSESSMENT 9
POLLUTION PREVENTION OPPORTUNITY ASSESSMENT TEAMS 10
IV. ASSESSMENT OF PROCESSES AND WASTE STREAMS 11
A. INITIAL DATA GATHERING 11
B. PROCESS DESCRIPTION 11
C. PROCESS FLOW DIAGRAM 12
D. MATERIAL BALANCES 13
E. MEASUREMENT OF WASTE 14
F. WASTE STREAM CHARACTERIZATION 15
V. DEVELOPMENT AND EVALUATION OF WASTE
MINIMIZATION/POLLUTION PREVENTION OPTIONS 15
A. IDENTIFICATION OF WMIN/PP OPTIONS 15
B. PRELIMINARY SCREENING OF WMIN/PP OPTIONS 16
C. EVALUATION OF WMIN/PP OPTIONS 17
VI. FINAL REPORT 18
VII. APPENDIX 19
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APPENDIX
APPENDIX A: GENERAL CONSIDERATIONS FOR PRIORITIZING THE
ASSESSMENT OF WASTE STREAMS
APPENDIX B: SOURCES OF MATERIAL BALANCE INFORMATION
APPENDIX C: LEVEL I EXAMPLE ACTIVITY CHARACTERIZATION
APPENDIX D:
PPOA GRADED APPROACH WEIGHTED SUMS FORM, CRITERIA,
AND INSTRUCTIONS
APPENDIX E: LEVEL II EXAMPLE INFORMAL ASSESSMENT
APPENDIX F: LEVEL III EXAMPLE FORMAL ASSESSMENT
APPENDIX G:
MODEL POLLUTION PREVENTION OPPORTUNITY
ASSESSMENT WORKSHEETS
APPENDIX H: REFERENCES
FIGURES
FIGURE 1:
FIGURE 2:
FIGURE 3:
PPOA FLOW CHART
PPOA GRADED APPROACH LOGIC DIAGRAM
PPOA GRADED APPROACH WEIGHTED SUMS EVALUATION
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LIST OF ACRONYMS
ACGIH
DOE
EPA
ES&H
MNCAW
MSDS
NPDES
ODC
OSHA
PCB
PM/WSL
POTW
PPOA
PWA
VOC
WMin/PP
American Conference of Governmental Industrial Hygienists
Department of Energy
Environmental Protection Agency
Environmental, Safety, & Health
Materials Not Categorized As Waste
Material Safety Data Sheet
National Pollutant Discharge Elimination System
Ozone Depleting Compound
Occupational Safety and Health Administration
Polychlorinated biphenyl
Priority Material/Waste Stream List
Publicly Owned Treatment Works
Pollution Prevention Opportunity Assessment
Process Waste Assessment
Volatile Organic Compound
Waste Minimization/Pollution Prevention
-------
ACKNOWLEDGMENT
In July, 1988, DOE Defense Programs recognized the need for a waste minimization
program that would focus beyond pollution control and the traditional media-by-media
approach to containment and treatment of environmental releases. Defense Programs
was proactive in initiating a Waste Minimization Program that included the completion of
process waste assessments as a means to identify opportunities which would reduce
the generation of waste.
The Waste Minimization Program evolved to a Pollution Prevention Program through the
auspices of the DOE Defense Programs' Pollution Prevention Strategic Plan issued in
April, 1992. The Strategic Plan reiterated the hierarchy of preferred environmental
practices outlined in the Pollution Prevention Act of 1990 (i.e. source reduction,
recycling, treatment, and finally, disposal).
The first Model PWA Guidance was assembled by Defense Programs' contractors
based on the published EPA guidance and previous work performed at the Y-12 Plant.
The manual was originally issued in February 1990, and distributed throughout the
Weapons Complex. This is the first revision to the document, and it replaces the term
"PWA" with a more positive term, "Pollution Prevention Opportunity Assessment". The
new term avoids the implication that assessments should be limited to process wastes,
rather, they should address all releases.
The following DOE personnel and DOE contractors assisted in the suggestions for this
revision. Their time and effort were greatly appreciated.
Frank Adams
EG&G Mound
Don Adoiphson
Sandia National Labs/CA
Doyle Anderson
Raytheon Serv - Nevada
Carl Barr
Westinghouse - Hanford
Angela Bolds
Martin Marietta - Pinellas
Angela Colarusso
DOE/DP - Nevada
Paul Deltete
Analytical Resources Inc.
Cindy Dutro
Reynolds Elect & Eng Co.
George Goode
Brookhaven National Lab
Kent Hancock
DOE/EM-352
Jim Henderson
Raytheon Serv - Nevada
Diana Hovey-Spencer
Desert Research Institute
Dr. Roger Jacobson
Univ & Com Coll - Nevada
Alice Johnson-Duarte
Sandia National Labs/CA
Ed Kjeldgaard
Sandia National Labs/NM
John Marchetti
DOE/DP-64
Elizabeth McPherson
McPherson Env. Resources
Susan Pemberton
AlliedSignal Inc., KCP
Bill SchFosberg
AlliedSignal Inc., KCP
Don Watson
AlliedSignal Inc., KCP
Jill watz
Strategic Env. Services
Jeff Weinrach
Los Alamos National Lab
A point of contact has been established in the DOE complex for Pollution Prevention Opportunity
Assessments. If you are in need of training, assistance, and/or methodology, call or fax your
requests or questions to the following:
Susan Pemberton
AlliedSignal Inc., Kansas City Plant
D/837 2C43
P.O. Box419159
Kansas City, Mo 64141-6159
816-997-5435 (Phone)
816-997-2049 (Fax)
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1. INTRODUCTION
A. PURPOSE OF GUIDANCE
The purpose of this document is to provide a guide for DOE sites to conduct pollution
prevention opportunity assessments (PPOAs), commonly known through the DOE as
process waste assessments (PWAs). This will avoid the implication that assessments
should be limited to process wastes - PPOAs address all releases. This guidance
describes those activities and methods that can be employed to characterize all waste
generating processes and identifies opportunities to reduce or eliminate waste
generation. The document also includes a methodology to evaluate proposed
modifications to site processes and other options to minimize waste and prevent
pollution.
B. GUIDANCE SCOPE AND OBJECTIVES
PPOAs will be conducted as part of an ongoing program to identify opportunities to
eliminate or reduce the generation of waste. A PPOA documents the amount of material
that is disposed of as waste during operations. It provides a summary of material usage,
process by-products, and waste generation; and it targets those processes and
operations that need to be improved or replaced to promote waste minimization and
pollution prevention. The assessment also establishes a basis to prioritize modifications
to site processes or other pollution prevention options that are developed during the
assessment.
The objective of a PPOA is to document a facility's processes, operating procedures,
and waste streams in a manner that will permit the identification of the best
improvements to avoid or minimize waste generation. This guide shall not be used as
an audit tool. The assessment consists of a systematic approach which may include the
following:
GRADED APPROACH LEVEL DETERMINATION
ORGANIZATION OF PPOA TEAMS
ASSESSMENT OF PROCESSES AND WASTE STREAMS
DEVELOPMENT AND EVALUATION OF POLLUTION PREVENTION
OPTIONS
RECOMMENDATIONS OF POLLUTION PREVENTION OPTIONS & FINAL
REPORT
A step-by-step process for completing a PPOA is shown in Figure 1. These steps are
sequential and should be performed in that order for best results.
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POLLUTION PREVENTION OPPORTUNITY ASSESSMENT
FLOW CHART
FIGURE 1
PLANNING & ORGANIZATION
•
*
ORGANIZE ASSESSMENT TEAM
REVIEW PPOA GUIDANCE
PROCESS ASSESSMENT
*
•
•
•
*
COLLECT & COMPILE DATA
DEVELOP PROCESS DESCRIPTION
GENERATE FLOW DIAGRAM
CALCULATE MATERIAL BALANCE
SUMMARIZE WASTES & COSTS
OPTION GENERATION & EVALUATION
GENERATE AND SELECT OPTIONS
EVALUATE OPTIONS
PPOA FINAL REPORT
•
*
*
SUMMARIZE PROCESS ASSESSMENT
RECOMMEND FEASIBLE OPTIONS
IDENTIFY FUNDING REQUIREMENTS TO
IMPLEMENT OPTIONS
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II. GRADED APPROACH
A. INTRODUCTION
The DOE Complex is comprised of numerous sites located in many different states.
These facilities range from single-mission to multiple-disciplinary facilities, and vary in
size from quite small to very large. The facilities as a whole represent a tremendous
diversity of technologies, processes and activities. Due to this diversity, there is also a
wide variety and number of waste streams generated. Many of these waste streams are
small and intermittent, and not of consistent composition. The value added of detailed
analysis for individual, small waste streams is often not sufficient to justify the cost, nor is
the analysis necessarily meaningful since many of these waste streams are constantly
changing.
Although waste minimization activities have been implemented at DOE sites, these
efforts are not being sufficiently documented. A DOE survey of PPOA activities across
several sites indicated that these waste minimization practices need to be documented
so that waste generation baselines can be more accurately established. Furthermore,
the documentation can ensure that the site receives credit for accomplishing waste
minimization.
The PPOA Graded Approach addresses these complexities and recognizes that
processes vary in the quantity of pollution they generate, as well as in the perceived risk
and hazards associated with an operation. It also recognizes the variance due to the
cost and function of the final product. Therefore, the graded approach is intended to
provide a cost-effective and flexible methodology which allows individual sites to
prioritize their local concerns and align their efforts with the resources allocated, while
also providing some consistency throughout the DOE to perform PPOAs. In order to
achieve this, the approach has defined three levels of effort to satisfy the requirement of
completing a PPOA. This section documents the minimum amount of effort required,
Level I, Activity Characterization, and provides a systematic approach using the
Weighted Sums Evaluation to determine if additional and more detailed analysis should
be conducted for either a Level II, Informal Assessment, or a Level III, Formal
Assessment.
If used properly, the graded approach will allow a site to concentrate its shrinking
resources on the most important waste problems first. While all of the site's waste
streams and processes will be assessed, the most critical areas will be assessed first
and to the greatest extent.
B. GRADED APPROACH LOGIC DIAGRAM & PRIORITY MATERIAL
/WASTE STREAM LIST
Figure 2, the Graded Approach Logic Diagram, illustrates graphically how the graded
approach methodology works. The diagram starts at the top with the Level I, minimum
effort assessment and works down to an informal and/or formal assessment. The
methodology shown in the logic diagram allows flexibility and provides a consistent
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FIGURE 2
Pollution Prevention Graded Approach
Logic Diagram
Level I
Activity Characterization
Activity
Enters
Does Process
Use or Generate a
Priority Listed Material
j>r Waste Stream?,
Yes
Apply Weighted
Sums Criteria
Yes
Level III
Formal Assessment
No
Level I-STOP!
Assessment Completed
I As Priority or
Facility Needs
I Change
I
Weighted Sums Score
Higher than xxx?
Level II
Informal Assessment
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structure. A site must develop the priority material / waste stream list (PM/WSL) to use
the graded approach. This list is not limited to the requirements specified below but can
include any other additional concerns. (See Appendix A for an additional list of
considerations.) The priority list provides the site an opportunity to identify their
individual regulatory and/or prioritized needs to cost-effectively determine if additional,
more detailed analysis is necessary. DOE has established requirements and
suggestions for this list as follows.
PRIORITY MATERIAL / WASTE STREAM LIST
Required or Mandatory PM/WSL:
• Waste of any amount for which an approved disposal method does not exist
(i.e., mixed wastes, classified waste, etc.)
• Waste which is equal to 5% or more of the facility's total waste stream (Total
waste = Manifest records (Hazardous) + Radioactive + Mixed)
• Clean Air Act, Class I Materials (ODCs - Ozone Depleting Compounds)
• EPA's 33/50 Materials
• Known Human Carcinogens (ACGIH, Type 1)
Suggested Additions to PM/WSL:
• Federal, State, & Local Requirements
» Permitted Waste & Materials (e.g., VOCs, NPDES, POTW, etc.)
• Site Health Risks for Hazardous Materials & Hazardous Wastes (e.g., OSHA -
Suspect carcinogens, teratogens, explosives, PCBs, Asbestos, etc.)
• Municipal Solid Waste
• Materials Not Categorized As Waste Inventory (MNCAW)
C. LEVEL I - ACTIVITY CHARACTERIZATION
Level I, Activity Characterization, requires a minimal amount of descriptive, quantitative,
and qualitative information to document each of the facility's processes and activities
which are defined as "Any existing or planned operation or activity (including
remediation projects) which generates waste or pollution to the air, land, or water." In
gathering this information, the facility begins the initial step to determine whether any
waste reduction or pollution prevention opportunities exist. The collection of this
information will also provide the basis to determine whether or not any of the facility's
-------
processes/activities necessitate further analysis per the graded approach methodology.
Therefore the principle objectives of Level I are to:
* define the process,
« document Waste Minimization / Pollution Prevention (WMin/PP) activities
(past or current),
• determine the level of effort that should be performed for a cost-effective
Pollution Prevention Opportunity Assessment Program, and
• provide information to determine if more analysis is necessary.
Level I Required Documentation
1. A brief process description / simple flow diagram;
2. A quantitative estimate of the material inputs, products, by-products, and
wastes;
3. A preliminary evaluation of WMin/PP potential; and
4. A decision to determine if further analysis is necessary.
Level I process assessments will establish the site's baseline of operational information.
These process/activity descriptions should include input materials, process products, by-
products and/or waste generated. Identification of these elements and estimates of
quantities is made using the best available information source, or combination of
sources. Possible information sources are listed in Appendix B.
In addition to the descriptive information, the potential for WMin/PP can be initially
evaluated based on the activity or process expert's knowledge. These
recommendations should be included in the Level I documentation. If opportunities do
exist and are easily implemented, then the actions taken or planned to be taken should
be documented. Furthermore, for WMin/PP options identified and implemented,
upstream / downstream impacts should also be included in the documentation.
After collecting the process/activity information, it is necessary to determine whether the
process/activity continues to a Level II or III analysis as defined by the graded approach
logic diagram and the site's priority material / waste stream list.
If the process does not contain any of the materials or waste streams on the priority list,
then the Level I documentation satisfies the PPOA requirement. Conversely, those
processes/activities which are captured by the site's priority list are included in the
Weighted Sums Evaluation to determine the next level of effort to be performed.
A completed example Level I Activity Characterization is shown in Appendix C. PPOA
Worksheets 1S-3S can be used to document the information required in a Level I
assessment.
D. GRADED APPROACH WEIGHTED SUMS EVALUATION
The graded approach methodology continues when the site selects a core team to
determine which processes require Level II and Level III assessments. The core team
-------
should be cross-functional and consist of key site personnel with knowledge about the
site's processes, waste management, and regulations. The team's objectives are to
assign weights to the criteria, to determine the numeric value that distinguishes a Level
It from a Level III, and to provide consistency in scoring across processes. The form to
aid in this evaluation (weighted sums) is shown in Figure 3. (Appendix D contains the
weighted sums form, criteria, and instructions.) First the site assigns a weight to each
criteria listed in the first column of the weighted sums. Then, for each process being
evaluated, the team determines a scale for the five listed criteria and a multiplier. From
the products and sums, a total point value is assigned. Finally, the team determines the
cut-off value for which Level II assessments will be completed versus Level III
assessments. Processes identified by the Weighted Sums Evaluation which require a
Level III, Formal Assessment, are those processes that are critical to the site's priorities
and would benefit by the allocation of resources to examine how to best implement
pollution prevention technologies to these critical areas.
E. LEVEL II - INFORMAL ASSESSMENT
After completing the Graded Approach Weighted Sums Evaluation, the facility has
distinguished which processes/activities require the Level II, Informal Assessment. The
principal objectives of Level II are to:
develop and screen WMin/PP opportunities and
recommend viable options for implementation.
This level of effort does not require the collection of new data. Much of the
documentation has already been completed in the Level I assessment. However, due to
some aspect of the process, the facility needs to further explore the WMin/PP
opportunities available to reduce the quantity of waste or the risk/hazard associated with
the operation.
Level II Required Documentation
(1.} Brief process description / simple flow diagram;
{2.} Quantitative estimate of the material inputs, products, by-products, and
wastes;
{3.} Preliminary evaluation of WMin/PP potential;
4. WMin/PP options identification and evaluation;
5. Consideration of potential upstream / downstream impacts; and
6. Recommendations for option implementation.
{} - denotes those items already completed in Level I, Activity Characterization
Further suggested reading for Level II information can be found in sections IV: A-C and
V: A-B. A completed example Level II, Informal Assessment, is shown in Appendix E.
PPOA Worksheets 1S-5S can be used to complete the requirements of a Level II
assessment.
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Date:
Page of
FIGURE 3
Pollution Prevention Opportunity Assessment Graded Approach
Weighted Sums Evaluation
Evaluation Criteria
Environmental, Safety,
& Health Hazards
Quantity of Waste
Generated
Site Liabilities
Economic Factors -
Process & Waste Costs
(Unit &/or Annual)
Process By-Product
Management
Other
Subtotal
IwMin/PP Potential
(Multiplier
Total
PPOA Level
Weight
'W1
Site
Assigns
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•I
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F. LEVEL III - FORMAL ASSESSMENT
In addition to the information completed in the Level I assessment, the Level III requires
considerably more documentation to complete the PPOA. For example, both the
process description and a corresponding block flow diagram are required to illustrate
the basis of generation. The use of narratives, calculations, photographs, illustrations,
figures and/or data sufficient to convey an understanding of the process are certainly
recommended. The Level III assessment also requires collection of quantitative data for
a material balance. A material balance should be completed to account for all waste
generated. This information, if not already available, may need to be tracked to
accurately establish the current process waste generation information necessary to
complete the WMin/PP options analysis.
The primary objectives of the Level III Assessment are to:
• conduct a detailed analysis of the process for WMin/PP opportunities and
» document the results of the process evaluation in a written report.
Level HI Required Documentation
{1.} Brief process description / simple flow diagram;
{2.} Quantitative estimate of the material inputs, products, by-products, and
wastes;
{3.} Preliminary evaluation of WMin/PP potential;
4. Process description;
5. Flow diagram;
6. Material balance;
7. WMin/PP options identification;
8. Analysis of WMin/PP options generated: economic, technical, upstream /
downstream impacts, and other benefits;
9. Prioritized list of options; and
10. Formal report with documentation and recommendations for option
implementation.
{} - denotes those items already completed in Level I, Activity Characterization
A completed example Level III, Formal Assessment, is shown in Appendix F.
The following sections of this guidance describe the details necessary to achieve the
requirements of a Level III, Formal Assessment. Each of these sections can also be
used as a reference for the information required in the Informal Assessment and Activity
Characterization, Levels II and I, respectively. Blank Model Worksheets have been
included in Appendix G to help guide a team through the PPOA requirements. They are
only suggested forms - they are not requirements. A site may prefer to modify them to fit
their individual site needs. Model PPOA Worksheets 1-10 were developed for the Level
III assessment, PPOA Worksheets 1S-3S were developed for Level I, and Worksheets
1S-5S were developed for a Level II.
-------
III. POLLUTION PREVENTION OPPORTUNITY ASSESSMENT TEAMS
The Waste Minimization and Pollution Prevention Awareness Program Plan states that
assessments of all waste-generating operations at the site will be conducted by PPOA
teams. The team leader should have the authority to complete the assessment, line
responsibility, familiarity with the site's process and waste management operations, and
proven technical and problem-solving abilities (e.g. Value Engineering Specialist).
The remainder of each assessment team should be drawn from line staff, or
subcontractor organizations that can furnish the type of specialized expertise that will be
needed to conduct the assessment. Each PPOA team should consist of a small core of
individuals familiar with the site's operations, who will direct the assessment efforts and
guide the data gathering. The careful selection of personnel to conduct the assessment
is essential. Experienced people familiar with the site's operations are crucial to
completing an accurate and timely assessment. Subsets of this team are satisfactory for
Levels I and II of the graded approach. Other personnel with specialized skills will be
used on a part-time, as-needed basis. Each team may include members who have
knowledge in the following areas:
process operations;
federal, state, and local hazardous waste statutes and regulations;
operation and waste minimization principles and techniques;
quality control requirements;
purchasing procedures;
material control/inventory procedures; and/or
value engineering skills.
Model Worksheets 1 and "IS can be used to record the PPOA team members and the
assessment title and identification (ID) code. The PPOA ID Code should be unique for
each PPOA at the site. For uniformity, the site should determine the structure of this
code.
PPOA team leaders should receive training on the procedures, methodologies,
techniques and documentation requirements for PPOAs before the assessments are
conducted. The team leader needs to have clear authority from the WMin/PP
Coordinator or line management to select other team members, obtain support services,
and to direct the efforts of the assessment team in its interaction with operating
personnel. The team should be given unrestricted access to all facility personnel and
information that may, in the team's estimation, be relevant to the assessment.
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IV. ASSESSMENT OF PROCESSES AND WASTE STREAMS
A. INITIAL DATA GATHERING
For each assigned process, the PPOA team begins with gathering data about that
process and associated waste streams. The boundaries of the process must be
established. The team should consider the following process boundary criteria: (1) the
process must have a distinct starting and ending point, (2) the process input materials
must be accounted for, (3) the time frame must be considered, and (4) the process must
be manageable - an appropriate size to collect information and provide focus. The team
will collect information through interviews and the review of process documents that will
permit a thorough understanding of the process to be assessed and the development of
a written analysis on how that process generates waste (see Appendix B for sources of
additional information). The team should also visit the process areas to witness how the
process is conducted and to validate the written information that has been collected.
Each PPOA team should develop and/or collect information as defined in the graded
approach level. The following assessment tools may be used:
• process descriptions,
» process flow diagrams,
• material balances, and/or
• waste stream characterizations for assessment area or process.
Additional guidance may be found in the EPA Facility Pollution Prevention Guide
(Reference #8 of Appendix H) to complete the PPOA.
PPOA team members may identify ways to reduce waste during the data collection
phase. It is at this point that observations about operations, schedules, and procedures
can be noted which may easily be changed to prevent waste. These changes can have
a wide impact. The knowledge and experience of team members and their colleagues
will help to develop these ideas into potential options. The team members should also
make effective use of technical literature from equipment vendors and trade
associations; the experience of plant engineers, operators, and consultants; and the
databases available from environmental agencies.
B. PROCESS DESCRIPTION
The PPOA will include a general description of each process step in the waste
generating operation. The narrative should describe the following:
purpose of the process;
material and equipment used in the process;
equipment layout;
personnel and their experience / training level; and
products, by-products, and waste streams generated.
-------
Model Worksheets 2 and 2S can be used to complete the process description.
Chemicals and other materials purchased or otherwise introduced into the process
should be identified. The description should also include other information that
adequately describes the process and may be relevant to WMin/PP planning. For
example, process or product specifications, requirements, assumptions, and upstream
and downstream impacts may have a critical bearing on waste generation and should
be included in the description.
To further understand the process, the team may perform a function analysis as
explained in the DOE/Defense Program's Prioritization of Pollution Prevention Options
Using Value Engineering (Reference #13 of Appendix H). The principal objective of
function analysis is to discover the basic purposes of a process in contrast to its
secondary or support uses. It aids the team in determining the process1 primary
functions and in minimizing or eliminating secondary functions which, in turn, may
produce unnecessary wastes. The function analysis can help answer the question as to
whether this process is actually necessary.
C. PROCESS FLOW DIAGRAM
The analytical work of the waste assessment effort starts with the development of a
simple process flow diagram for the operation being assessed. The requirement for this
flow diagram is based on the maxim that a picture is worth a 1000 words. It is also the
foundation upon which the material balance is built. The process flow diagram should
identify the major steps within an operation and diagram the flow of materials into and
out of each step during the process. The diagram should indicate the following:
• process steps,
• material inputs, and
• process outputs (e.g., product, by-products and waste streams).
The diagram should also characterize the streams according to the nature of the release
and waste classification, including but not limited to the following:
air,
liquid,
solid,
radioactive,
mixed,
hazardous, and/or
non-hazardous.
Model Worksheets 3 and 2S can be used for the completion of the process flow
diagram. There are three styles to chose from for Model Worksheet 3 depending on the
complexity of the analysis and whether radioactive materials and waste streams are
involved.
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D. MATERIAL BALANCE
The PPOA shall account for all input materials that enter the process which are either
consumed, transferred, or disposed of as waste. This accounting, which is called a
"material balance", will be indicated on the process flow diagram and transferred to a
spreadsheet. A material balance is a tool which is used to provide an input/output
summary of the process being assessed. Closing the balance on an unknown stream
can help identify the constituents in that stream. The material balance should indicate
the following;
* amount of input materials introduced into the process,
• amount of materials consumed,
* amount of materials withdrawn as a product or by-product, and
* amount of materials flowing out of a process as a waste stream.
Using the best available information, the material balance should be closed (i.e., all
input materials and transfers should be accounted for in the product, by-product and
waste streams). The purpose of closing the balance is to identify streams which are
difficult to quantify, e.g. fugitive and point-source emission streams. The material
balance should show the average material flows over a representative time period
which is logical for the site's operations. For example, it may be appropriate to gather
data for Operation A from monthly averages, while a longer time span may be more
appropriate for Operation B. Material balances performed over the duration of a
complete production run are typically the easiest to construct and are reasonably
accurate.
In its simplest form, the material balance is represented by the mass conservation
principle:
Mass in = Mass out + Mass Accumulated
That is, materials placed into a process can be accounted for through products, by-
products, air emissions, water discharges, spills, recycling streams, waste streams,
scrap, out-of-shelf life materials, or out-of-specification materials. All materials
(hazardous and non hazardous) should be accounted for in the input and output
streams. The quantification units for the material balance should be consistent, i.e.
pounds. The Material Safety Data Sheet (MSDS) can be helpful in converting materials
into a common unit.
Measurement of Feed Materials: All input materials that are introduced into a process
must be identified. The amount and type of the input materials can be determined by
examining the following:
• procurement and inventory records;
• processing logs; and/or
» other records that show purchase, transfer, donation, or other receipt of
materials by production unit.
Other examples of information sources are found in Appendix B.
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Products and By-products: The material balance should indicate the amount of
materials leaving the work unit as a product or by-product.
Transfer of Materials: Some materials may be used in a process and then transferred to
another area or process for further processing. The material balance should account for
the transfer of the materials.
E. MEASUREMENT OF WASTE
Information about the quantity and character of the waste streams is a critical component
of the PPOA. Waste stream information should be obtained from sources such as:
site tracking system,
permits and permit applications,
monitoring reports,
hazardous waste manifests,
emission factors,
experiments,
emission or toxic substance release inventories,
hazardous waste reports,
waste analyses, and/or
environmental audit reports.
If the waste data is not available from the above sources, it may be necessary to monitor
the process and record the needed information. Model Worksheet 4 can be used to
record material balance data. The completed material balance should be a database of
process information that represents the process area over a time period long enough to
characterize that operation. The suggested time period to record this data is an annual
basis to coincide with other site reporting requirements. If data was taken over a shorter
time period, extrapolation can be used. The material balance will show the source of
waste streams and the contribution that different activities make to the waste streams. It
will serve as a baseline for tracking WMin/PP efforts and will provide data needed for
evaluation of WMin/PP options. The process data used to calculate a baseline of
operations should be as representative of current operations as possible.
Monitoring waste stream flows and compositions is something that should be done
periodically. By tracking waste streams, seasonal variations in waste flows or single,
large waste streams can be distinguished from continual, constant flows. Changes in
waste generation cannot be meaningfully measured unless the information is collected
both before and after a pollution prevention option is implemented.
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F. WASTE STREAM CHARACTERIZATION
Each waste stream identified in the process flow diagram will be characterized,
including but not limited to the following:
• source of waste;
• composition;
* rate of generation from work unit operation; and
• costs associated with treatment, storage, or disposal of wastes.
The waste stream characterization information is also part of Model Worksheet 4. The
cost information for the input materials and waste streams can be recorded on Model
Worksheet 5. After characterization, consideration should be given to each waste
stream to determine where WMin/PP is most needed.
V. DEVELOPMENT AND EVALUATION OF WASTE MINIMIZATION/
POLLUTION PREVENTION OPTIONS
A. IDENTIFICATION OF WMIN/PP OPTIONS
Once the process and causes of waste generation are understood, the PPOA enters the
creative phase. Following the collection of data and site inspections, the members of
the team will have begun to identify possible ways to minimize waste or prevent
pollution in the assessment process. Identifying potential options relies both on the
expertise and creativity of the team members. Much of the requisite knowledge may
come from their education and on-the-job experience, however, the use of technical
literature, contacts, and other sources may also be employed.
The process by which pollution prevention options are identified should occur in
an environment that encourages creativity and independent thinking by the
members of the assessment team. The key to successful results is the deferral of
any critical judgments or comments which might inhibit any of the team members.
While the individual team members will suggest many potential options on their
own, the process can be enhanced by using some of the common group decision
techniques. These techniques allow the assessment team to identify options that
the individual members might not have come up with on their own. Employees
having practical experience with the process may have given thought to the
process1 input and output efficiencies or alternative operating methods. Therefore,
creativity and brainstorming is strongly encouraged.
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To identify WMin/PP options, the PPOA teams will utilize the following priorities:
« source-reduction options:
- material substitution,
- process changes,
- product reformulating,
- equipment changes,
- operational improvements,
- schedule changes,
- affirmative procurement, and/or
- administrative controls (e.g., inventory control, employee
training, polices, etc.).
• recycling/reuse options
Each of these different approaches may generate many options or none, i.e., while
operational improvements are a very broad approach, input or process changes may be
difficult to control. Are there any processes / prodiicts upstream and downstream which
could be affected by changes to the process or product? As these different approaches
are discussed several questions should be repeatedly asked:
Is this operation necessary?
Why is this waste generated?
Why do we do this operation in this manner?
Why must we use these chemical??
Are there any non-hazardous substitutions available?
In addition to using the process expert's knowledge, there are numerous outside
references to assist in developing a list of options. These include EPA publications,
databases, and technical references; state and local environmental agency's
publications, bibliographies, and technical assistance; as well as, published literature in
technical magazines, trade journals, research briefs, vendor equipment information and
chemical supplier information.
Model Worksheet 6 can be used in a team brainstorming session to generate the
pollution prevention opportunities. Model Worksheets 7 and 4S can be used to record
the detailed description for each of the options generated. The description should
include the basic idea behind the option, affected materials and product, any roadblocks
to implementation, and the anticipated reduction quantity.
B. PRELIMINARY SCREENING OF WMIN/PP OPTIONS
Many pollution prevention options will be identified in a successful assessment. At this
point, it is necessary to identify those options that offer real potential to minimize waste
and reduce costs. Since detailed evaluation of technical and economic feasibility is
usually costly, the proposed options should be screened to identify those that deserve
further evaluation. The screening procedure serves to eliminate suggested options that
appear marginal, impractical, or inferior without a detailed and more costly feasibility
-------
study. The screening procedures may include any combination of the following
methods:
* information reviews by program managers,
* ballots by team members, and/or
• quantitative tools (e.g. weighted sum method).
Whatever method is used, the preliminary screening procedure should consider the
following questions:
Is implementation of the option cost effective?
What is the principal benefit of the option?
What is the expected change in the type or amount of waste generated
(toxicity, reactivity, etc.)?
Does it use existing technology?
What kind of development effort is required?
Will implementation be constrained by time?
Does the option have a dependable performance record?
Will the option effect product, employee health, or safety?
What are the upstream/downstream impacts if implemented?
The results of the screening process will be a list of options that are candidates for more
detailed technical and economic evaluation. It is important to document the decisions
made in the screening process for future reference. Model Worksheet 7 can also be
used to record the results from the initial screening process.
C. EVALUATION OF WMIN/PP OPTIONS
The PPOA team should perform an in-depth evaluation on the potential economic and
technical feasibility of each option using Model PPOA Worksheets 8 and 9. The options
will then be ranked in order of preferred implementation. The highest priority normally
should be given to source-reduction projects, after which projects that recycle/reuse all
or part of a waste stream or by-product will be considered.
Model Worksheet 8 evaluates each option from a cost perspective. The three major cost
categories for weighing options are: Implementation Costs, Incremental Operating
Costs, and Incremental Intangible Costs. EPA's Pollution Prevention Benefits Manual
(Reference #12 of Appendix H) provides more detail on cost analysis and contains
examples of each of these cost categories.
The following considerations must be fully evaluated to determine the recommended
WMin/PP options. These include: economic evaluation including capital cost, operating
cost, waste management costs and return on investment; expected change in the type or
amount of waste generated (toxicity, reactivity, etc.); technical feasibility; avoided costs;
effect on product, employee health and safety; permits, variances, and compliance
schedule of applicable agencies; releases and discharges to all media; previous
successes; implementation period; and/or ease of implementation.
-------
This evaluation is most easily accomplished and documented by the use of a simple
matrix for scoring and ranking - the suggested evaluation is the weighted sums method
shown on Model Worksheet 9. The DOE/DP Prioritization of Pollution Prevention
Options Using Value Engineering (Reference #13 in Appendix H) also demonstrates
how options can be evaluated and prioritized using this method. The evaluation matrix
provides a means to quantify the important criteria that affect the site and is a quick
visual representation of the factors affecting various WMin/PP options. The scoring
system for each criteria, used in the matrix and some rational for selection or weighting
of scores should be included in the formal report. Evaluation of this matrix would
complete the final requirement for prioritizing the list of options for implementation. The
formal report should provide sufficient detail to allow transfer of the measure to other
generators with similar processes or operations.
VI. FINAL REPORT
A final report is required for each PPOA. The final report is a compilation of essential
facts about the process, pollution prevention options, feasibility of those options,
upstream/downstream impacts of those options, and future implementation costs. The
final report documents the work performed, assumptions made during the assessment,
and identifies funding requirements necessary to implement pollution prevention
options. The length of the final report will depend on the complexity of the PPOA. For
Level II assessments, Model Worksheet 5S can be used to complete the requirements of
the final report.
For a Formal Assessment, Level III, each option will be ranked by the PPOA team
according to its economic and technical feasibility using Model Worksheets 8 & 9.
Economic feasibility will be a factor, but not the determining factor, in judging the relative
merit of each WMin/PP option. The PPOA team will report the results of its evaluation,
including final rankings and ranking criteria, to the Waste Minimization Committee or
line management. The PPOA team will indicate its preferred options in the report.
Easily implemented options will be completed and documented in the final report.
Options that require additional analysis and/or approval shall be addressed via the
site's Waste Minimization and Pollution Prevention Program Plan.
Documentation of the WMin/PP options and recommendations should demonstrate a
good faith effort undertaken to identify alternatives and should provide a narrative
description of these factors in sufficient detail to allow transfer of the measure to other
generators with similar processes or operations.
The final report and associated data will be maintained as permanent records for later
reference and tracking information. PPOAs should be reviewed on an annual basis
after the initial PPOA is completed and should be revised if significant process changes
are made.
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VII. APPENDIX
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APPENDIX A
GENERAL CONSIDERATIONS FOR PRIORITIZING
THE ASSESSMENT OF WASTE STREAMS
» Costs savings (direct and indirect)
« Potential for (or ease of) minimization
• Potential recovery of valuable by-products
• Reduced quantity of waste
» Compliance with current and future regulations
« Hazardous properties of the waste (including toxicity, fiammability,
corrosivity, and reactivity)
• Other safety hazards to employees
• Potential environmental and safety liability/improvements
• Potential for removing bottlenecks in production or waste treatment
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APPENDIX B
SOURCES OF MATERIAL BALANCE INFORMATION
Listed below are potential sources of information for preparing a process description,
flow diagram or material balance inventory. The list is not meant to be exclusive.
• Process Expert Knowledge
• Operating Logs
* On-site Tracking Systems
• Purchasing Records
• Vendor Information
• Process Design Information
• Batch Makeup Records
• Emission Inventories
• Equipment Cleaning and Validation Procedures
• Material & Chemical Inventories
* Operating Procedures and Manuals
• Production Records
• Product Specifications
* Samples, Analyses, and Flow Measurements
• Waste Disposal Records
• Waste Manifests
• E S & H reports
• Permitting Applications
• Experiments
• Laboratory Notebooks
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APPENDIX C
LEVEL I EXAMPLE PPOA
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PROCESS DEFINITION
SNL/NM Oroanization: 7813-5
Page _J of 2
Process Name: Asbestos Brakes & Clutch Removal
DATA FORM
DESCRIPTION OF
PROCESS/OPERATIONS
Area I,II,III,IV,V & Remote Area
Process Location SNL-Albuguerque NM/SNL-Livermore CA./TTR-Las Vaeas NV./KTF-Kauat
(include site, TA, building, room, as appropriate)
Describe the general operations or activities of the organization performing the process. Continue on
the back of this sheet, if necessary.
The Crane and Hoist section is responsible for performing annual
Repairs, and Preventative Maintenance on Cranes and Hoists.
Describe the particular process that generates wastes and/or other pollutants, or uses hazardous
materials. Describe how the hazardous materials are used, and how the wastes or pollutants are
generated. (See Chapter 2 of the PWA Guidance Manual for guidelines on defining a process.)
Continue on the back of this sheet, if necessary.
Asbestos Brakes and Clutches are generated waste In this process.
Asbestos Brakes and Clutches becomes a generated waste when the Asbestos
and Clutches areremoved and replaced with Non-Asbestos Brakes and Clutches,
Date: 7/22/93
PWA#:
Prepared by (MinNet Rep): Bernard. Alexander Phone: 4-1365
Process Contact: Bernard Alexander Phone: 4-1361
(to be completed fay WMSC)
-------
PROCESS D
SNUNM Organization: 7B13-5
Pane _| ol
Process Name: Asbestos Brakes & Clutch Removal
DATA FORM
PROCESS
FLOW DIAGRAM
Re»ote Areas
Process location: SHL-Atsuqaerque
,
CA*
StaHO. . flow |Seal rfoves shall be s"!f'fifi*itftl*f:!F3(.^,
If •vlGeneciile KAF8 Form 483 Asbestos Containing Materials WasJel
-------
PROCESS DEFINITION
SNL/NM Organization: 7813-5
Sheet 1 of 2 Page __ lm: of 2
Process Name: Asbestos Brakes and Clutches Removal
DATA FORM
CALENDAR YEAR 1992 WASTE
MINIMIZATION ACTIVITIES
Area I,II,III,IV,V, & Remote Areas
Process Location: SNL-Albuqgerque NM/SNL-Livermore CA./TTR-Las Vegas HV. /KTF-Kauai
(include site, TA, building, room, as appropriate)
Have waste minimization (WM) activities been undertaken in CY92? E Yes O No
If No, briefly discuss factors that have prevented waste minimization activities:
If Yes, short name of WM activity (e.g., Increase Input Purity, Improve Rinse Process) (use other sheets
if more than one activity taken): Removing and disposing of a hazardous material.
Type of WM activity (check best one that applies):
Source Reduction
09 Good Operating Practice
D Inventory Control
O Spill and Leaks Prevention
D Raw Material Modification
D Production Modification
O Process Modification (Clean and Degreasing)
D Process Modification (Surface Prep and Finish)
D Process Modification (Other)
D Other (specify below)
Recycling
O Began Onsite Recycling
O Began Off site Recycling
O Reuse in Original Process
O Reuse in Another Process
Energy Recovery
O Began Onsite Energy Recovery
O Began Off site Energy Recovery
Treatment
O Began Onsite Treatment
D Began Offsite Treatment
Briefly describe WM activity: Removal of Asbestos Brakes and Clutches to be replace with
a non-asbestos material. __^_^___ __^_
Prepared by (MinNet Rep): Bernard Alexander Phone: 4-1365
Process Contact: Bernard Alexander Phone: A-1365
7/22/93
PWA#:
(to b« comploted by WMSC)
-------
PROCESS DEFINITION
SNL/NM. Organization: 7813-5
Sheet 2 of 2 Page 2 of 2
Process Name: Asbestos Brakes and Clutches Removal
DATA FORM
FISCAL YEAR 1992 WASTE
MINIMIZATION ACTIVITIES
Waste stream type affected: D Hazardous (Chemical! Solid Waste
D Radioactive/Mixed Solid Waste
O Waste Water Discharge
O Air Emission
Waste stream name affected (see corresponding Data Form 2): Asbestos Brakes and Clutches
Did WM activity increase the toxicity of waste generated? D Yes E No
Did WM activity increase the quantity or toxicity of wastes emitted to other media (air, waste, land)?
D Yes 0 No
Did WM activity reduce toxicity but not quantity? E Yes D No
Indicate the quantity impact of the WM activity (use most appropriate measure):
Mass before WM activity (kg/yrj:
Volume before WM activity (4/yr):
Specific activity before WM activity (Ci/kg/yr):
Mass after WM activity (kg/yrj:
Volume after WM activity (l/yr|:
Specific activity after WM activity (Ci/kg/yr}:
Basis of quantities (e.g., direct measurement, material balance calculation, published emission factors,
engineering calculations, engineering/scientific judgment):
Has the WM activity been successful? d Yes D No
Is the activity still being used? Q Yes O No
If unsuccessful or otherwise not being used, describe why:
Date: 7/22/93
PWA #:
Prepared by (MinNet Rep): Bernard Alexander Phone: 4-1365
Process Contact: Bernard Alexander Phone: 4-1365
(to b« completed by WMSCI
-------
PROCESS CHARACTERIZATION Page i . of 1
SNUNM Organization: 7813-5 Process Name: Asbestos Brakes and Clutches
DATA FCnM
HAZARDOUS/RADIOACTIVE
MATERIAL INPUTS
Nam* of Hazardous/Radioactive Material
Asbestos
Glove Bag
Tvvek Suits .Rags, Drip Cloth
input Stream
Number
1
2
9
Predicted
Frequency of
Usage"1
Average
Annual Usage
Rate
-------
PROCESS CHARACTERIZATION Sheet 1 of 3 Page 1 of
SNUNM Organization: 7813-5 Process Name: Asbestos Brakes and Clutches
DATA FORM
HAZARDOUS (CHEMICAL)
SOLID WASTE
Waste Stream Number (from Worksheet 1): 1,2,9.10
Waste Stream Name (from Data Form 2/Worksheet 1): Asbestos,tyvk suits,rags .drip cloth, plastic
Location of waste generation (TA, building, room): SNL-Alb/SNL-CA/TTR-NV/KTF-Kauai bag
Inside RMMA? D Yes ® No
Briefly describe how waste is generated: Asbestos Brakes and Clutches are removed and replaced
with non-asbestos material. Glove bages.tyvek suits rags, and drip cloth are used in th
removal process to remove the generated waste.
Frequency of waste generation:
O Continuously
d Monthly
D Daily
O Quarterly
D Weekly
O Annually
Which description fits the process step that generates the waste (check best one):
IE A regularly scheduled process step that is likely to be repeated several times during the upcoming year.
O A one-time activity that is not likely to be repeated during the upcoming year.
Predicted average quantity of waste generated annually - normal operations (kg): 200 Ibs.
Predicted min/max quantity generated annually - normal operations (kg): Min Max
List (describe) all hazardous constituents (e.g., mercury inside switches, benzene-tainted glassware)
or brand names (e.g., WD-40) that could be in the waste:
Asbestos , ___^__
Do the hazardous constituents of the waste stream listed above vary (e.g., sometimes contains lead,
sometimes contains lead and cadmium)? D Yes H No if yes, describe how the waste varies:
Describe physical characteristics of wastes (e.g., aqueous solution, solid, sludge, oil, containerized
compressed gas - include % of solids or % moisture, If applicable): Solid
Date: 7/22/92
PWA#:
{to b* completed by WMSCI
Prepared by (MinNet Rep): Bernard Alexander
Process Contact: Bernard Alexander
Phone:,
Phone:
4-1365
4-1365
-------
PROCESS CHARACTERIZATION Sheet 2 of 3 Page 2 of _
SNUNM Organization: 7813-5 Process Name: Asbestos Brakes and Clutches
DATA FORM
HAZARDOUS (CHEMICAL)
SOLID WASTE
The pH of the waste stream may range from N/A to N/A (answer if appropriate)
Is the waste ignitable? (see Guidance Manual for clarification!
Is the waste corrosive? (see Guidance Manual for clarification}
Is the waste reactive? (see Guidance Manual for clarification)
D Yes
D Yes
D Yes
m NO
BNo
BNo
O Unknown
O Unknown
O Unknown
Does the waste stream contain any of the following toxic metals: Q Yes H No (check all that apply)
D Arsenic D Barium O Cadmium O Chromium
O Lead O Mercury D Selenium D Silver
Does the waste stream, contain a toxic volatile, semi-volatile, or pesticide listed in Table 3-2?
D Yes S No If yes, list:
Does the waste stream contain any of the spent solvents listed in Table 3-3? O Yes B No
If yes, list:
Does the waste stream contain, or is it generated from the production of, any of the following benzene
derivatives? O Yes 0 No (check all that apply)
D trichlorophenol D tetrachlorobenzene
O tetrachlorophenol Q pentachlorobenzene
O pentachloropheno! D hexachlorobenzene
Is the waste any of the following? O Yes
O waste water treatment sludge
O petroleum refining waste
E No (check all that apply)
O wood preserving process waste
O leachate from treatment, storage, or disposal of waste
Does the waste contain cyanide or is cyanide used in the process? O Yes B No
Is the waste any of the following? O Yes E No (check all that apply)
O waste from the production of inorganic pigments
O waste from the production of inorganic chemicals
O waste from the production of organic chemicals
D waste from the production of explosives
D waste from the production of ink formulations
D waste from the production of pesticides
D waste from the production of metals
O waste from the production of Pharmaceuticals
D coking waste
O petroleum refining waste
Date: 7/22/93
PWA #:
(to be completed by WMSC)
Prepared by (MinNet Rep):Bernard Alexander
Process Contact: Bernard Alexander
Phone: 4-1365
Phone:4-1365
-------
PROCESS CHARACTERIZATION Sheet 3 of 3 Page 3 of
SNL/NM Organization: 7813—5 Process Name: Asbestos Brakesand Clutches
DATA FORM
HAZARDOUS (CHEMICAL)
SOLID WASTE
Based on the above description of how the waste is generated, select the single best summary of the
waste-generating process step.
CLEANING AND DECREASING
D Stripping (A01)
D Acid cleaning ((A02)
O Caustic (Alkali) cleaning (A03)
D Flush rinsing (A04)
n Dip rinsing (A05)
D Spray rinsing (A06)
O Vapor degreesing (A07)
D Physical scraping and removal (A03I
O Clean out process equipment (AOSJ
O Other cleaning and degreasing (A19)
SURFACE PREPARATION AND FINISHING
D Painting (A21J
D Electroplating (A22)
D Electroless plating (A23)
O Phosphating (A24)
O Heat treating (A25)
D PieWing (A26I
D Etching (A271
D Other surface coating/preparation (A29)
PROCESSES OTHER THAN SURFACE PREPARATION
D Product rinsing (A31)
D Product filtering {A32»
O Product distillation (A33)
D Product solvent extraction (A34J
D By-product processing (ASS)
O Spent catalyst removal (A36)
O Spent process liquids removal (A38)
O Tank sludge removal (A38)
O Slag removal (A39)
O Metal forming (A40)
O Plastics forming (A41)
PRODUCTION OR SERVICE DERIVED ONE-TIME AND
INTERMITTENT PROCESSES
O Leak collection (ASK
O Cleanup of spill residues (A53)
D Oil changes (A54)
D Filter/battery replacement (ASS)
O Discontinue u*« of process equipment (ASS)
B Discarding off-spac material (A571
O Discarding out-of-date products or chemicals (ASS)
D Other production-derived on-time and intermittent
processes (ASS)
D Sludge removal (A60)
REMEDIATION DERIVED WASTE
D Superfund Remedial Action (A61)
D Superfund Emergency Response (A62)
O RCRA Corrective Action at solid waste management
unit (A63)
D RCRA closure of hazardous waste management unit
(A64|
O Underground storage tank cleanup (A65)
O Other remediation (A69)
POLLUTION CONTROL OR WASTE TREATMENT
PROCESSES
O Filtering/screening (A71)
O Metals recovery (A72)
O Solvents recovery (A73)
D Incineration/thermal treatment (A74)
O Westeweter treatment (A75)
O Sludge dewetering (A76)
O Stabilization (A77)
O Air pollution control devices (A78)
O Leachate collection (A79)
O Other pollution control or waste treatment (ASS)
OTHER PROCESSES
S Clothing end personal protective equipment (A91)
S Routine cleanup wastes (e.g., floor sweepings)
-------
APPENDIX D
PPOA GRADED APPROACH WEIGHTED SUMS
FORM, CRITERIA, AND INSTRUCTIONS
-------
Date:
Page
of
Pollution Prevention Opportunity Assessment Graded Approach
Weighted Sums Evaluation
Evaluation Criteria
Weight
'W'
Process:
Scale
'S' 'WxS1
Process:
Scale
'S1 'WxS1
Process:
Scale
'S1 'WxS1
Process:
Scale
'S1 'WxS1
Process:
Scale
'S1 'WxS1
Environmental, Safety,
& Health Hazards
Site
Assigns
Quantity of Waste
Generated
Site Liabilities
Economic Factors -
Process & Waste Costs
(Unit &/or Annual)
Process By-Product
Management
Other
Subtotal
WMin/PP Potential
Multiplier
Total
PPOA Level
8/93
-------
Date;
Page
of
Pollution Prevention Opportunity Assessment Graded Approach
Weighted Sums Evaluation
Evaluation Criteria
Weight
•W
Process:
Scale
'S1 'WxS'
Process:
Scale
'S' 'WxS1
Process:
Scale
'S1 'WxS1
Process:
Scale
'S' 'WxS'
Process:
Scale
'S' 'WxS'
Environmental, Safety,
& Health Hazards
Site
Assigns
Quantity of Waste
Generated
Site Liabilities
Economic Factors -
Process & Waste Costs
{Unit &/or Annual)
Process By-Product
Management
Other
Subtotal
i
Min/PP Potential
[Multiplier
Total
PPOA Level
8/93
-------
Graded Approach Worksheet
The purpose of this worksheet is to determine the PPOA level for each of the facility processes. To begin, a list of these
processes or areas should be generated for each facility. Then for each item listed, complete one column on this worksheet.
For consistency, each facility should establish site-specific weights for each of the criteria. Once each item has received a
weighted sum value, then each facility should establish the dividing line from which to require informal (Level II) or formal PPOAs
(Level III).
Weighted Sums Instructions:
a. The values in the Weight column (designated by W)
represent the facility's priority for the criteria.
b. In the Scale column for each process (designated by 'S'),
rate each criteria by assigning a value from 0-10
(lowest to highest).
c. In the 'Wx S' column for each process, enter the product of
the weight and scale.
d. Sum the 'W x S1 column for each process to obtain a
subtotal.
e. Calculate the process ratio for waste generated/input
material used (0-1). This is the multiplier.
f. Multiply the subtotal by the multiplier and enter the product
in the Total column for each process.
g. Determine the level of PPOA required by comparing the
Total weighted sums value with the site guidelines in
the following table.
Weighted Sums
Total
If 0 to (?)
If > (?)
PPOA Level
Required
Level II
Informal PPOA
Level III
Formal PPOA
-------
APPENDIX E
LEVEL II EXAMPLE PPOA
-------
[ PPOA-1 1 Original Issue Date: 8/31/91
V / Revision Mn •
Revision No.:
Revision Date:
Pollution Prevention Opportunity Assessment
Team & Scope
Assessment ID Code: Assessment Title:
SNL/CA MS001 Machine and Fabrication Shop
Name Job Classification Phone
Alice Johnson- Duarte
Andy Cardiel
Charlie Schmitz
Kim Shepodd
WMin Coordinator
Shop Supervisor
Machinist
Waste Manager
4-3266
4-2544
4-2315
4-1475
* Team Leader
Assessment Scope:
The Machining and Fabrication Shop is a support function whose principal
purpose is machining parts requiring a quick turn-around, restriction of
access due to classification, and/or close liaison with the designer and
engineer. The shop maintains equipment suitable to perform turning,
milling and grinding operations. The major hazardous waste stream
generated by this facility is the spent coolant used in the machining
process. The diluted Aqua-Syn 180 itself is a non-hazardous material per
29CFR 1910.1200(c); however, in the machining process it is mixed with
small amounts of machine oil and metal shavings. The coolant is routinely
changed after 3 to 4 months of service except as noted in the shop's
operating procedures.
Potential for Pollution Prevention / Waste Minimization or Recommendations:
There are limited operational and administrative pollution prevention
opportunities to reduce the spent coolant waste.
-------
POLLUTION PREVENTION OPPORTUNITY ASSESSMENT
PROCESS FLOW DIAGRAM
PWA ASSESSMENT ID CODE: SNL/CA MS001
TITLE: Machine and Fabrication Shop
Unspecified Aqueous Solution
CY91 Generated 11,000 pounds
COOLANT
SOLUTION
Water, 20 Parts
Aqua-Syn 180,
1 Part
Replaced
"only as "
required
Small Metalic Chips
Thin Film Machine Oil
A total of
35 machines
including:
19 lathes,
9 mills,
5 grinders,
and 2 handsaws
use coolant.
Waste
Solution
55 GAL
Sent to Off-site
Disposal
-------
PPOA-2
Pago; 1 of
Pollution Prevention Opportunity Assessment
Material & Waste Stream Summary
Assessment ID Code: SNUG A MS001
Title: Machine and Fabrication Shop
Input
Material
Name/No.
Water
Aqua-Syn
Metafic chips
Machine oil
Annual
Quantity
Used
10400.0
520.0
65.0
15.0
%
Product
%
Recycled
Total Releases
%
Air
5
1
%
Liquid
95
99
100
%
Solid
100
Totals/Page: 11000.0
Total Annual Quantity 11000.0
Does the process require further analysis
based on the site's Priority Material/Waste
Stream List?
ONo
[Level II DLevel II
9/16/93
-------
Page _1_of J
Pollution Prevention Opportunity Assessment
Option Summary
Assessment ID Code: Title:
SNL/CA MS001 Machine and Fabrication Shop
Option Description
One consideration for an operational improvement would be to recycle the spent coolant. According to industrial
sources, a reduction of approximately 50% in the present amount of coolant disposed of.
Type
Recycling
Consider?
• Yes ONo
Feasibility
Fair
Estimated
Cost
$25,000.00
Estimated
Savings
$100.00
Anticipated
Reduction Qty
5,000.00
Qpilo_n Description
&°-> Analyze the spent coolant solution for contaiminants and determine if it is indeed hazardous.
2
Type
Disposal
Consider?
OYes 9No
Feasibility
Poor
Estimated
Cost
$5,000.00
Estimated
Savings
$100.00
Anticipated
Reduction Qty
1,0000
-------
Date
8/31/91
Pollution Prevention Opportunity Assessment
Final Summary
Assessment ID CodeSNUCA MS001
Title: Machine and Fabrication Shop
Assessment:
A Level I and Level II PWA were completed on the Machining and Fabrication Shop
coolant waste stream. The machinist responsible for the operational maintenance of
the machine shop equipment had limited suggestions for reducing the amount of
spent coolant generated. Recycling and treatment options were generated and
evaluated. Assumptions made during this assessment were: the level of activity of the
machine shop is relatively stable; the coolant must be changed on a periodic basis
which is dependent on use and/or time and; disposal costs are relatively stable.
Conclusions:
The PWA team concluded the options are not economically feasible at this time since:
1) option one would require a considerable investment with the possibility of
increasing the actual amount of coolant waste caused by contamination; 2) the
recycling equipment presently available is not designed to treat the small quantity of
spent coolant generated; 3) a conservative approach regarding waste management is
consistent with the site's policy.
Recommendations:
The Line Management will continue monitoring the amount of waste generated and
the availability of recycling equipment for improvement in the economical feasibility of
implementation.
-------
APPENDIX F
LEVEL III EXAMPLE PPOA
-------
Worksheet 1
Level ill
Original Issue Date;
Revision No.:
Revision Date:
OI-Dae-1993
Pollution Prevention Opportunity Assessment
PPOA Team
PPOA Title: Polyurethane Foam Mixing and Curing
PPOA ID Code(s): G517-034-Machine_Mix
Name
"Team Leader
Additional Resources
Job Classification
Phone
*Bill Harrison
John Taylor
Albert Green
Mary White
Violet Jones
Process Engineer
Area Supervisor
Foam Machine Operator
Foam Machine Operator
Area Production Planner
X1234
X1235
X1235
X1235
X1236
Name
Phone
PPOA Coordinator
Waste Management
Industrial Hygiene
Environmental Protection
Safety
Fire Protection
Process Engineering
Materials Engineering
Utilities Engineering
Facilities Engineering
Maintenance (Equipment)
Analytical Lab Testing
Scheduling
Purchasing
Nancy Notrebmep
Hakim Senoj
Tim Sregge
Dottie Muldune
X5432
X5433
X5434
X5431
11/93
-------
Worksheet 2
Level 111
Revision No.:
Revision Date:
Pollution Prevention Opportunity Assessment
Process Description
PPOA Title: Polyurethane Foam Mixing and Curing
PPOA ID Code(s): G517-034-Machine_Mix
Process Location: Main Building #105, Post FN33
Process Description:
The foam mixing process is a process in which the required material
components are metered and mixed at a defined ratio. The ratio of the two
component streams is set and calibrated by production personnel. The
materials are then mixed during the dispense cycle by the action of a motorized
impeller. The mixed material "foam" is transferred manually to a mold and cured
at temperatures from 165 to 350 deg. F. for four to six hours. Input materials
include polyol resins, isocyanates, cleaning solvent and processing supplies.
Five foam dispensing units are used. They range in age from four to fifteen
years. The cure ovens are ventilated as is the foam pouring area. The foam
machine operators have sufficient training to operate the dispensing units.
Their previous training did not emphasize pollution prevention.
Waste streams include solid and liquid waste from the foaming operations as
well as air emissions from the foam pouring and curing activities.
Description of Major Product(s) of Process:
Molded Polyurethane Foam Products
11/93
-------
Level 111
Revision No.: 0
Revision Data:
Pollution Prevention Opportunity Assessment
Process Flow Diagram
PPOA Title or PPOA ID Code(s):
G517-034-Machine Mix
Inputs:
Isocyanate Comp.
Resin Component
Solvent
Supplies
Process:
Foam Mixing
and Curing
Outputs:
Product
Hazardous
Non-Hazardous
Other
(PR2)
(PR3)
Solid
Foam
Product
Liquid
Air
Solid
Purge
Waste
Calibration
Waste
Air
Isocyanate
Emissions
(NH2)
(NHS)
Solid
Scrap
Product
Liquid
Air
(Sri)
(cm)
(OT3)
Solid
Liquid
Air
11/93
-------
Level
Time frame
Pollution Prevention Opportunity Assessment
Material Balance Summary
PPOA Title or PPOA ID Code(s): G517-034-Machlne_Mlx
Revision No.:
Revision Date;
Page 1 of
muni, ui— uan — 9£
To: 31-Dec-92
Material
Description
Isocyanate
Resin
Solvent
Supplies
Foam
Totals/Subtotals
Total
Input
313.6
186.4
80.0
94.0
0.0
674.0
Total
Output
124.5
73.5
80.0
94.0
302.0
674.0
Stream
ID Code
Foam
Product
(S)
237.0
237.0
Stream
ID Code
Purge
Waste
@)
98.3
58.9
80.0
94.0
331.2
Stream
ID Code
Calibration
Waste
(HZ2)
24.4
14.6
39.0
Stream
ID Code
Isocyanate
Emissions
(HZS)
1.8
1.8
Stream
ID Code
Scrap
Product
(NHI)
65.0
65.0
Stream
ID Code
o
Stream
ID Code
O
Stream
ID Code
O
Stream
ID Code
O
11/93
-------
Worksheet 5
Level 111 Revision No.: _
Revision Date:
Page 1 of
Pollution Prevention Opportunity Assessment
Material Cost
PPOA Title or PPOA ID Code(s); G517-034-Machine_Mix
Material
Isocyanate Component
Resin Component
Solvent
Supplies (paper cups, etc.)
Stock Number
(if applicable)
Cost Per
Unit
$1.96/lb
$2.25/1 b
$0.27/1 b
$O.S7/lb
Total /
Subtotal
Annual Cost
$614.65
$419.40
$ 21.60
$ 53.60
$1109.25
Waste Disposal Cost:
Material / Waste Stream
Waste Liquid
Waste Solid
Scrap Product
Waste Stream
Category
Haz. Liquid
Haz, Solid
Non Haz. Solid
Cost Per
Unit
$4.60/lb
$2.97/lb
$0.69/lb
Total/
Subtotal
Annual Cost
$179.40
$983.66
$ 44.85
$1207.91
11/93
-------
Worksheet 6
Level III
Pollution Prevention Opportunity Assessment
Option Generation
PPOA Title or PPOA ID Code(s): GS17-034-Machme-Mix
Revision No.:
Revision Date:
Practices &
Procedures
Material
Substitution
New Product
&/or Process
Reduce calibration
Amount & duration.
Reduce solvent
purge time
Increase operator
^awareness & training
Redefine foam
kit requirements
In-line calibration
system
Use submerged
pumps
Equipment
Modification
Pollution
Prevention
Options
11/93
-------
Worksheet 7
Level III Revision No.: 0_
Revision Date:
Page 1 of 2
Pollution Prevention Opportunity Assessment
Option Description
PPOA Title or PPOA ID Code(s): G517-034-Machine_Mix
Option Name and Description
(Include input materials, products affected, and anticipated reduction quantity.)
Option No. 1 : Calibration Reduction. Reduce the amount and duration of the
calibration shots for the foam dispensers. Use new analytical methods "nitrogen
testing" to justify the reduced level.
Consider; Yes X No_
Practices & Procedures X Waste Segregation/Hazard Reduction
Material Substitution Equipment Modification
New Product &/or Process Recycling, Reuse, & Reclamation
Option No. 2 : Increase Awareness and Training. Conduct training session to
increase pollution prevention awareness. Instruct in the importance of the individual
in the waste generation process.
Consider: Yes X No_
Practices & Procedures X Waste Segregation/Hazard Reduction
Material Substitution Equipment Modification
New Product &/or Process Recycling, Reuse, & Reclamation
Option No. 3 : Use Submerged Pumps. Replace gear pumps on foam
machines with in-tank pumps. Leakage will be into material tanks. This will eliminate
material waste and exposure as the result of clean-up
Consider: Yes X No
Practices & Procedures Waste Segregation/Hazard Reduction
Material Substitution Equipment Modification
New Product &/or Process X Recycling, Reuse, & Reclamation
Option No. 4 : In-Line Calibration System. Purchase new foam equipment
with "in-line" calibration capability. This would replace the open cup method and
would reduce the liquid and solid waste streams
Consider: Yes X No
Practices & Procedures Waste Segregation/Hazard Reduction
Material Substitution Equipment Modification X
New Product &/or Process Recycling, Reuse, & Reclamation
-------
Worksheet 7
Level III Revision No.:
Revision Date:
Page 2 of 2
Pollution Prevention Opportunity Assessment
Option Description
PPOA Title or PPOA ID Code(s): G517-034-Machine_Mix
Option Name and Description
(Include Input materials, products affected, and anticipated reduction quantity,)
Option No. 5 : Substitute for TDI. Lessen the toxicity of the waste stream by
replacing TDI isocyanate with a PMDI based foam system. PMDI is not a carcinogen
and is not a RCRC Hazardous waste.
Consider: Yes X No_
Practices & Procedures Waste Segregation/Hazard Reduction
Material Substitution X Equipment Modification
New Product &/or Process Recycling, Reuse, & Reclamation
Option No. 6 : Reuse Calibration Material. Retain spent calibration material
for use on low end product requirements. This could include machine tryout parts,
or foam billets used as base material for holding fixtures.
Consider; Yes X No_
Practices & Procedures Waste Segregation/Hazard Reduction
Material Substitution Equipment Modification
New Product &/or Process Recycling, Reuse, & Reclamation X
Option No. 7 : Reduce Solvent Purge Time. Reset the solvent timers on the
foam machine to the absolute minimum to flush the mix head. Subsequent soaking
of mixer blade and housing can also reduce the required amount.
Consider; Yes X No_
Practices & Procedures X Waste Segregation/Hazard Reduction
Material Substitution Equipment Modification
New Product &/or Process Recycling, Reuse, & Reclamation
Option No. 8 : Redefine Foam Kit Requirements. Set-up separate material
numbers for resin and isocyanate components so ratio/usage of material will be
balanced. Current "matched set" distribution result in waste of excess component.
Consider: Yes X No_
Practices & Procedures X Waste Segregation/Hazard Reduction
Material Substitution Equipment Modification
New Product &/or Process Recycling, Reuse, & Reclamation
-------
Worksheet 8
Level
Revision No.: 0
Revision Date: _
Page 1 of 2_
Pollution Prevention Opportunity Assessment
Options Cost Evaluation
PPOA Title or PPOA ID Code(s): G517-034-Machine_Mix
Option No.:
1
Option No.:
2
Option No.:
3
Option No.:
4
Option No.:
5
Implementation Costs
Purchased Equipment
Installation
Materials
Utility Connections
Engineering
Development
Start up / Training
Administrative
Other
Total Implementation
Cost
$250
$100
$50
$400
$100
$100
$50
$250
$500
$100
$150
$150
$900
$75,000
$10,000
$2000
$3000
$5000
$95,000
$1000
$500
$1500
Incremental Operating Costs
Change in Raw
Materials
Change in Maintenance
Change in Labor
Change in Disposal
Other
Annual Operating
Savings/(Cost)
$215
$500
$50
$765
$100
$50
$150
Incremental Intang
Penalties and Fines
Future Liabilities
Other
Annual Intangible
Savings/(Cost)
Total Annual
Savings/(Cost)
Payback Period
$0
$765
0.5 yrs
$0
$150
1 .6 yrs
$150
($150)
$100
$100
$750
$500
$600
$1850
$500
$500
$1000
ible Costs
$0
$100
9.0 yrs
$0
$1850
51 yrs
$0
$1000
1.5 yrs
11/93
-------
Worksheet 8
Level III
Revision No.: 0
Revision Date:
Page 2 of 2_
Pollution Prevention Opportunity Assessment
Options Cost Evaluation
PPOA Title or PPOA ID Code(s): G517-034-Machine_Mix
Option No.:
6
Option No.:
7
Option No.:
8
Option No.:
Option No.:
Purchased Equipment
Installation
Materials
Utility Connections
Engineering
Development
Start up / Training
Administrative
Other
Total Implementation
Cost
$200
$200
$150
$150
$300
$150
$150
$300
Incremental Operating Costs
Change in Raw
Materials
Change in Maintenance
Change in Labor
Change in Disposal
Other
Annual Operating
Savings/(Cost)
$180
$180
$15
$125
$140
Penalties and Fines
Future Liabilities
Other
Annual Intangible
Savings/(Cost)
Total Annual
Savings/(Cost)
Payback Period
$0
$180
1.1 yrs
$0
$140
2.1 yrs
$350
$350
mm>mfmmmmm:mmmmm] ; • •.
$0
$350
0.9 yrs
11/93
-------
Worksheet 9
Level ill
Revision No.:
Revision Date:
Page 1 of
Pollution Prevention Opportunity Assessment
Weighted Sums Option Evaluation
PPOA Title or PPOA ID Code(s): G517-034-Machine_Mix
Criteria
Public Health, Safety, &
Environment
Employee Health & Safety
Regulatory Compliance
Economic
Implementation Period
Improved Operation /
Product
Other
Subtotal
Likelihood of Technical
Success (Multiplier)
Likelihood of Useful
Results (Multiplier)
Total
Rank
Weight
W
10
10
8
6
4
2
iiiiiiiiiitill
liiiiiiiiiiilif
:-;•:•:•:--•.-:-.• :-:-;-:-:•:-;•:•;•;•:•:•:•:•:•:•:•:•:•:•:
;:;>:-[[[
:^S:?:^:^:^'^SS$!::™'. *:: :•
Option N
Scale
'S1
8
8
7
8
7
5
sssssiisspsss?
X
X
:%::?S:^S;:^^SS::^::::
;;x:x:£:;:x:;:;:;:;:;:|:;:;:;:£:j:;:;:;:
o.: 1
'WxS'
80
80
56
48
28
10
302
0.8
0.9
217
7
Option N
Scale
'S'
6
7
7
9
9
8
X
X
o.: 2
'WxS1
60
70
SB
54
36
16
292
1.0
0.9
262
4
Option N
Scale
•S'
6
5
8
7
6
7
X
X
x*:W:W:*: : ?:v£*:;;::
xl:;:*:*:*:*: : :|: £>:-#
;S:;:;:;:£:;::$- | £ <:;:$:•:
1111 1111
o.: 3
'WxS1
60
50
64
42
24
14
254
0.9
0.9
205
8
Option N
Scale
'S'
7
8
7
5
6
8
lllllllilllll
X
X
o.: 4
'WxS'
70
80
56
30
24
16
276
0.9
0.9
224
5
Option N
Scale
'S'
8
9
9
8
7
8
X
X
'^^?^^^^^^ :¥:
o.: 5
'WxS1
80
so
72
48
28
16
334
1.0
1.0
339
1
-------
IliiiiiBiiiaig^iiiiiiilllKliflaiSllaahi':
Level III
Pollution Prevention Opportunity Assessment
Weighted Sums Option Evaluation
Revision No.:
Revision Date:
Page 2 of
PPOA Title or PPOA ID Code(s): G517-034-Machine Mix
Criteria
Public Health, Safety, &
Environment
Employee Health & Safety
Regulatory Compliance
Economic
Implementation Period
Improved Operation /
Product
Other
Subtotal
Likelihood of Technical
Success (Multiplier)
Likelihood of Useful
Results (Multiplier)
Total
Rank
Weight
W
10
10
8
6
4
2
mi
111 \
• i iiiii
:-;-:-;;:-:|:v:;:::;:;;|x-;::::-:'X:L::^LjLj;j;J;J;J
y;-;J;y;v;J;;;|:;::;::::-:-x-:-:-:-:-;":|:;:':;:j;j:
Option No.: _6
Scale
'S1 'WxS'
6
7
6
7
7
7
1
1
X
X
60
70
48
42
28
14
262
0.9
0.9
212
6
Option No.: 7
Scale
'S1 'WxS'
8
8
7
9
9
6
X
X
5i5:sg;S¥gft;: SSs : f
1111111$ 1 |l M
tp;?SS:tP :w : S
80
80
56
54
36
12
318
1.0
0.9
286
2
Option No.: _8
Scale
'S' 'WxS'
6
7
7
8
8
9
X
X
60
70
56
48
32
18
284
1.0
1.0
284
3
Option No.:
Scale
'S1 'WxS'
X
X
Option No.:
Scale
'S1 'WxS'
X
X
11/93
-------
Worksheet 10
Level HI
Revision No,: 0
Revision Date:
1 of 1
Pollution Prevention Opportunity Assessment
Final Report Check Sheet
PPOA Title or PPOA ID Code(s): G517-034-Machine_Mix
Requirement Completed
Title Page X
PPOA Title
PPOA ID Code(s)
Team members
Issue date/revision date/revision no.
Executive Summary X
Process description
Process assessment
Option summary and analysis
Conclusions
Recommendations
Introduction X
Background of evaluation
Process Description X
Associated equipment
Process flow diagram
Process Assessment X
Methodology
Material Balance
Unusual occurrences
Option Summary and Analysis X
Option description and rank
Upstream/Downstream impacts
Material usage
Anticipated reduction
Estimated costs
Estimated benefits
Feasibility
Waste streams affected
Conclusion X
Concluding evaluation
Option analysis decisions
Concerns
Options already implemented
Lessons learned
Recommendations X
Future work
New equipment
Implementation strategies
Worksheets X
1-10
11/93
-------
APPENDIX G
MODEL PPOA WORKSHEETS
-------
Worksheet 1
Level
Original Issue Date:
Revision No.:
Revision Date:
Pollution Prevention Opportunity Assessment
PPOA Team
PPOA Title:
PPOA ID Code(s):
Name
Job Classification
Phone
*Team Leader
Additional Resources
Name
Phone
PPOA Coordinator
Waste Management
Industrial Hygiene
Environmental Protection
Safety
Fire Protection
Process Engineering
Materials Engineering
Utilities Engineering
Facilities Engineering
Maintenance (Equipment)
Analytical Lab Testing
Scheduling
Purchasing
11/93
-------
Worksheet 1
Worksheet 1 provides the identification of the PPOA assessment team. For the PPOA
to be successful, employees involved with the process should be members of the
team. The assessment team needs a leader, members, and additional resources,
as required.
The team leader should have technical knowledge of the process, knowledge of the
current production operations, and the personnel involved. The leader shall
assemble the team to perform the assessment. Team members may include
process engineers, product engineers, knowledgeable department personnel such
as production operator(s), and material experts. Additional resources may be called
in to provide information not available within the team. The size of the team may be
large for complicated processes, but should be kept to a minimum to maintain focus.
1. Original Issue Date: List the original issue date of the PPOA.
2. Revision No.: List the revision number for this worksheet. {Original issue = 0.}
3. Revision Date: List the most recent revision date for this worksheet.
4. PPOA Title: List the PPOA title selected by the team.
5. PPOA ID Code(s): List the PPOA ID Code(s) selected by the team.
6. Name, Job Classification, Phone: To facilitate team meetings and for future
reference, this information should be completed when the PPOA team is
formed.
-------
Level III
Revision No.:
Revision Date:
Pollution Prevention Opportunity Assessment
Process Description
PPOA Title:
PPOA ID Code(s):
Process Location:
Process Description:
Description of Major Product(s) of Process:
-------
Worksheet 2
Worksheet 2 provides a brief description of the process. The main elements of
the process description are the process location, input materials, equipment,
summary of operations performed, process controls, operator training, major
products, and the waste streams affected.
1. Revision No.; List the revision number for this worksheet,
2. Revision Date: List the most recent revision date for this worksheet.
3. PPOA Title: List the PPOA Title given on Worksheet 1.
4. PPOA ID Code(s): List the PPOA ID Code(s) given on Worksheet 1.
5. Process Location: List the best descriptor of the process location. It may
be a department, building, room, etc..
6. Process Description: The process description should detail important
attributes of the process. Equipment, summary of operations
performed, process controls, input materials, and operator training
(qualification or certification) should be included.
7. Description of Major Product(s) of Process: Describe the major products
which result from this process or the reason the process is being
perfromed.
-------
Worksheet 3
Sty to 1
Revision No.:
Revision Date:
Level III
Pollution Prevention Opportunity Assessment
Process Flow Diagram
PPOA Title or PPOA ID Code(s):
Inputs:
Outputs:
Highlight those sections that apply.
: Use Worksheet 4 to identify and
quantify the appropriate stream.
Non-Hazardous
(PRJ)
(PR2)
(PR3)
Solid
Liquid
Air
(HZI)
(HZ2)
(HZS)
Solid
Liquid
Air
(NHI)
(NH2)
(NH|)
Solid
Liquid
Air
(on)
(012)
(ora)
Solid
Liquid
Air
11/93
-------
Worksheet 3
Worksheet 3 provides a process flow diagram for the PPOA. The flow diagram should identify
all PPOA ID Code(s) associated with the process, all input materiats, and outputs
(products/wastes). The flow diagram should track materials from the time they enter the
process boundary until they leave. This diagram represents a very simplistic flow model; a
more detailed diagram may be required to identify all waste streams, especially for complex,
multi-step processes.
1. Revision No.; List the revision number for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on
Worksheet 1.
4. Process Flow Diagram; List the input materials on the lines provided. Fill in the Process
Name box. Then highlight those outputs that are applicable to the process (e.g.
Product, Hazardous, etc.). Then sub-categorize those outputs into solid, liquid, or air
emission streams by highlighting the corresponding output stream. A Stream ID Code is
provided for each sub-category of waste.
5. Outputs: The Stream ID Code provides a uniform coding scheme for the release
information requested on Worksheet 4. A brief waste description may be recorded in the
box to the right of the Stream ID Code.
-------
Revision No.:
Revision Date:
Level III
Pollution Prevention Opportunity Assessment
Process Flow Diagram
PPOA Title or PPOA ID Code(s):
Inputs:
Solid
Liquid
Air
(on)
(^2)
(OT3)
Solid
Liquid
Air
•tt:vX-^x<<<<<<^x<*x-x-:-:-x*:^;-;-x-X"X"X"X^
m ^^mismmm^^mmmm^^ff^^^^msmmrmmmm
quantify the appropriate stream.
(pm)
(pj§)
(PRS)
Solid
Liquid
Air
Solid
Liquid
Air
(HZI)
(nz2)
(HZS)
Solid
Liquid
Air
(em)
(5^
(RDS)
Solid
Liquid
Air
11/93
-------
Worksheet 3
Worksheet 3 provides a process flow diagram for the PPOA. The flow diagram should identify
all PPOA ID Code(s) associated with the process, all input materials, and outputs
(products/wastes). The flow diagram should track materials from the time they enter the
process boundary until they leave. This diagram represents a very simplistic flow model; a
more detailed diagram may be required to identify all waste streams, especially for complex,
multi-step processes.
1. Revision No.: List the revision number for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on
Worksheet 1.
4. Process Flow Diagram: List the input materials on the lines provided. Fill in the Process
Name box. Then highlight those outputs that are applicable to the process (e.g.
Product, Hazardous, etc.). Then sub-categorize those outputs Into solid, liquid, or air
emission streams by highlighting the corresponding output stream. A Stream ID Code is
provided for each sub-category of waste.
5. Outputs: The Stream ID Code provides a uniform coding scheme for the release
information requested on Worksheet 4. A brief waste description may be recorded in the
box to the right of the Stream ID Code.
-------
: •: •: -x—x-^xvx-x>> x-:vX->x •: •
Level
Revision No.:
Revision Date:
Pollution Prevention Opportunity Assessment
Process Flow Diagram
PPOA Title or PPOA ID Code(s):
Inputs:
/Process:
Outputs:
(jNJHh)
(NH2)
(NH3)
Solid
Liquid
Air
(cm)
(§&
©
Solid
Liquid
Air
J
Product
Hazardous- RCRA
Hazard, non RCRA
Toxic, TSCA
Non-Hazardous
Other
to worksheet 3B
(for radioactive wastes)
(pm)
(PR2)
(PR3)
Solid
Liquid
Air
(HRI)
(HR2)
(JHJR3)
Solid
Liquid
Air
(HNI)
(HN2)
(K)
Solid
Liquid
Air
Solid
Liquid
Air
11/93
-------
Worksheet 3A
Worksheet 3 provides a process flow diagram for the PPOA. The flow diagram should
represent all PPOA ID Code(s) associated with the process, all input materials, and outputs
(products/wastes). The flow diagram should track materials from the time they enter the
process boundary until they leave. This diagram represents a very simplistic flow model; a
more detailed diagram may be required to identify all waste streams, especially for complex,
multi-step processes.
1, Revision No.: List the revision number for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on
Worksheet!
4. Process Flow Diagram: List the input materials on the lines provided. Fill in the
Process Name box. Then highlight those outputs that are applicable to the process
(e.g. Product, Hazardous, etc.). Then categorize those outputs into solid, liquid, or
air emission streams by highlighting the corresponding output stream. A Stream ID
Code is provided for each category of waste.
5. Outputs: The Stream ID Code provides a uniform coding scheme for the release
information requested on Worksheet 4. A brief waste description may be recorded
in the box to the right of the Stream ID Code.
DOE Definitions:
Hazardous Waste - Waste, which because of its quantitiy, concentration, or physical,
chemical or infectious nature may (a) cause or significantly contribute to an increase
in mortality or an increase in serious irreversible, or incapacitating reversible illness,
or (b) pose a substantial present or potential hazard to human health or the
environment when improperly treated, stored, transported, disposed of, or otherwise
managed. Hazardous waste can be further defined as:
RCRA-reguIated - solid waste not specifically excluded from regulation under 40 CFR
261.4, or delisted by petition, that is either a listed hazardous waste (40 CFR 261.30 -
261.33) or exhibits the characteristics of a hazardous waste (40 CFR 261.20 -
261.24).
Non RCRA-regulated - any other hazardous waste not specifically regulated under
TSCA or RCRA, which may be regulated by the state or local authorities, such as
used oil.
TSCA Waste - Individual chemical wastes (both liquid and solid), such as polychlorinated
biphenyls (PCBs).
-------
Revision No.:
Revision Date:
Level
Pollution Prevention Opportunity Assessment
Process Flow Diagram
PPOA Title or PPOA ID Code(s):
Solid
Liquid
Air
from Worksheet 3A
Outputs:
(LMI)
(LM|)
(LMJ)
Solid
Liquid
Air
High Level
Transuranic, (TRU)
TRU, Mixed
Low Level
Low Level, Mixed
Other, Rad
Solid
Liquid
Air
(ryj)
(?U2)
(rua)
Solid
Liquid
Air
(TMI)
(TM2)
(TMS)
Solid
Liquid
Air
(LLJ)
(J£2)
(E)
Solid
Liquid
Air
11/93
-------
Worksheet 3B
Worksheet 3 provides a process flow diagram for the PPOA. The flow diagram should
represent all PPOA ID Code(s) associated with the process, all input materials, and outputs
(products/wastes). The flow diagram should track materials from the time they enter the
process boundary until they leave. This diagram represents a very simplistic flow model; a
more detailed diagram may be required to identify all waste streams, especially for complex,
multi-step processes.
1. Revision No,: List the revision number for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on
Worksheet 1.
4. Process Flow Diagram: List the input materials on the lines provided. Fill in the
Process Name box. Then highlight those outputs that are applicable to the process
(e.g. Product, Hazardous, etc.). Then categorize those outputs into solid, liquid, or
air emission streams by highlighting the corresponding output stream. A Stream ID
Code is provided for each category of waste.
5. Outputs: The Stream ID Code provides a uniform coding scheme for the release
information requested on Worksheet 4. A brief waste description may be recorded
in the box to the right of the Stream ID Code.
DOE Definitions:
High Level Waste- Irradiated reactor fuel, liquid wastes resulting from operation of the
first cycle solvent extraction system, or equivalent, and the concentrated wastes
from subsequent extraction cycles, or equivalent, in a facility for reprocessing
irradiated reactor fuel, and solids into which such liquid wastes have been
converted. (10CFR60.2)
Transuranic Waste - Waste that is contaminated with alpha-emitting radionuclides with
(1) an atomic number greater than 92 (heavier than uranium); (2) half-lives greater
than 20 years; and (3) concentrations greater than 100 nanocuries per gram of
waste.
Transuranic Mixed Waste: - Waste which contains both transuranic waste and
hazardous components, as defined by the Atomic Energy Act and RCRA,
respectively.
Low Level Waste: - Radioactive Waste not classified as high level waste, transuranic
waste, spent nuclear fuel, or by-product material [specified as uranium or thorium
tailings and waste in accordance with DOE Order 5820.2A].
Low Level Mixed Waste: - Waste which contains both low level waste and hazardous
components, as defined by the Atomic Energy Act and RCRA, respectively.
-------
Level III
Time frame
From:
To:
Polli
Material
Description
Totals/Subtotals
Total
Input
ution Prevention Opportunity Assessment
Mass Balance Summary
PFOA Title or PPOA ID Code(s):
Total
Output
Stream
ID Code
o
Stream
ID Code
O
Stream
ID Code
O
Stream
ID Code
O
Stream
ID Code
O
Stream
ID Code
O
Revision No.;
Revision Date:
Page
Of
Stream
ID Code
O
Stream
ID Code
O
Stream
ID Code
O
11/93
-------
Worksheet 4
A material balance is a summation of the total quantity of input material
to a process and the releases to the environment, another process, or
made into product. The purpose of Worksheet 4 is to tabulate this
information and total the inputs and outputs for all streams.
1. Revision No.: List the revision number of the PPOA.
2.
3.
Revision Date: List the most recent revision date for the PPOA
worksheet.
PPOA Titie/PPOA ID Code(s):
given on Worksheet 1.
List the PPOA Title or ID Code(s)
4. Page
of
Indicate the page number for this worksheet and
the number of pages for this worksheet.
5. From/To: Report the dates (month and year) for the time period
covered. An annual period is suggested for purposes of averaging
and documenting performance toward facility goals.
6, Material Description: List the material name and stock number
(optional) or the output product if different than originating material.
7. Units : Enter the unit of measure for the input/output summary.
A consistent unit of measurement is suggested. If requirements
dictate mixing units, designate the units for a particular column
under the Stream ID Code heading.
8. Total Input: For the material described in the far left column enter the
weight of material used in the process during the time frame
specified.
i. Total Output: For the material specified in the Material Description
column enter the weight of the output. This is the sum of all waste
streams and any product generated. For processes where chemical
reactions take place, input materials are consumed or changed to
different compounds, a separate entry in the Material Description
column is required to adequately define the output. In these cases,
the input and output quantities will not balance for the listed
material in that row.
10. Output Quantity: Use these columns to break down the total output
into output categories. Refer to Worksheet 3 for the appropriate
Stream ID Code for the output type. Enter the Stream ID Code at
the top of the column (e.g., HZ1 for a hazardous solid waste
stream), then enter the discharge amount for the material described
in the Material Description column that relates to that Stream ID
Code. Continue across the worksheet for all Stream ID Code(s)
utilized in Worksheet 3.
11. Totals/Subtotals: Sum the Total Input, Total Output, and Output
columns. Record the sum at the bottom row of the last worksheet.
Subtotals are recorded at the bottom row for other pages of the
worksheet. The Total Input column should equal the Total Output
column unless there is system accumulation. The Total Output
column should also be the sum of all the Stream ID Code output
streams.
Stream ID Codes:
Designator
Product
Hazardous
Non-Hazardous
Radioactive
Mixed
Other
Hazardous, RCRA
Hazardous, Non-
RCRA
Toxic, TSCA
High Level
Transuranic, TRU
TRU, Mixed
Low Level
Low Level, Mixed
Other, Radioactive
Style 1
PR
HZ
NH
OT
Style 2
PR
HZ
NH
RD
MX
OT
Style 3
PR
NH
OT
HR
HN
TS
HL
TU
TM
LL
LM
OR
Solid Stream = 1, Liquid Stream = 2, Air Stream = 3
Style refers to the version of Worksheet 3 used.
-------
Worksheet 5
Level
Revision No.: _
Revision Date:
Page of _
Pollution Prevention Opportunity Assessment
Material Cost
PPOA Title or PPOA ID Code(s):
Input Material Cost:
Material
Stock Number
(if applicable)
Waste Disposal Cost:
Material / Waste Stream
Waste Stream
Category
Cost Per
Unit
Total /
Subtotal
Annual Cost
Cost Per
Unit
Total /
Subtotal
Annual Cost
-------
Worksheet 5
Worksheet 5 details the cost of the PPOA input materials (use the quantities from
Worksheet 4) and the cost of disposal for these materials. The material cost may be
obtained from Purchasing or Stores. The cost of disposal may be obtained from Waste
Management or Accounting. Annual Cost is calculated from the amount of material placed
in the process or from the amount of disposed material, multiplied by the cost per unit.
1. Revision No.: List the revision number for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. Page of : Indicate the number of this page and the total number of pages for
this worksheet.
4. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on
Worksheet 1.
5. Input Material Cost: List the material, stock number (if applicable), cost per unit
($/lb., $/gal, etc.), and the annual cost for this process.
6. Waste Disposal Cost: List the material or waste stream, waste stream category, (e.g.,
hazardous liquid), stock number if applicable, the cost per unit ($/lb., $/gal, etc.),
and annual cost.
7. Totals / Subtotals: Record the sum of the annual costs for the materials or waste
streams listed. There will be a total for both the input material cost and waste
disposal cost.
-------
Worksheet 6
Level III
Pollution Prevention Opportunity Assessment
Option Generation
PPOA Title or PPOA ID Code(s);
Practices &
Procedures
Revision No.:
Revision Date:
Material
Substitution
fidr Prlaceis
Equipment
Modification
Pollution
Prevention
Options
11/93
-------
Worksheet 6
Worksheet 6 provides a tool for option generation.
The purpose of this diagram (sometimes referred to
as a Fishbone Diagram) is to help generate pollution
prevention ideas. It is especially useful in a
brainstorming session to group ideas undersimilar
pollution prevention categories. It also helps insure
that all of the pollution prevention categories are
considered.
1. Revision No.: List the revision number for this
worksheet.
2. Revision Date: List the most recent revision date
for this worksheet.
3. PPOA Title or PPOA ID Code(s): List the PPOA title
or PPOA ID Code(s) given on Worksheet 1.
4. Brainstorming ideas: Using the Fishbone
Diagram, briefly document ideas for pollution
prevention.
The following definitions clarify each of the major
categories.
Practices & Procedures - Good operating
practices and procedures apply to the human
aspect of operations. They are largely
efficiency improvements. Examples are:
Pollution Prevention Programs, personnel
training, material handling & inventory
practices, material loss prevention, scrap
reduction, cost accounting, production
scheduling, etc.
Material Substitution ~ Changes to the input
materials of the process. The result is a
reduction or elimination of a pollutant or
hazard.
New Product &/or Process -- Product changes
which result in the reduction or elimination of
waste. In addition, a different process can be
used to create the same product with the intent
of minimizing waste.
Waste Segregation/Hazard Reduction -- Actions
taken to segregate waste streams to prevent
nonhazardous waste from being designated
and handled as hazardous. Hazard reduction
can result from changes to the physical,
chemical, or biological character or
composition of the waste. These include
neutralization, toxicity reduction, or volume
reduction.
Equipment Modification -- Changes that occur to
the equipment used in a process. These could
include minor adjustments, additions, or
complete replacements.
Recycling - A material is recycled if it is used,
reused, or reclaimed: (1) if it is used for
something other than its original purpose, (2) if
it goes back into the original process, or (3) if it
is chemically or physically treated for use or
reuse.
-------
Level III
Revision No.:
Revision Date:.
Page pf_
Pollution Prevention Opportunity Assessment
Option Description
PPOA Title or PPOA ID Code(s):
Option Name and Description
( Include input materials, products affected, and anticipated reduction quantity.)
Option No. :
Practices & Procedures
Material Substitution
New Product &/or Process
Option No.
Consider: Yes No
Waste Segregation/Hazard Reduction
Equipment Modification
Recycling, Reuse, & Reclamation
Practices & Procedures
Material Substitution
New Product &/or Process
Option No.
Consider: Yes No
Waste Segregation/Hazard Reduction
Equipment Modification
Recycling, Reuse, & Reclamation
Practices & Procedures
Material Substitution
New Product &/or Process
Option No.
Consider: Yes No
Waste Segregation/Hazard Reduction
Equipment Modification
Recycling, Reuse, & Reclamation
Practices & Procedures
Material Substitution
New Product &/or Process
Consider: Yes No
Waste Segregation/Hazard Reduction
Equipment Modification
Recycling, Reuse, & Reclamation
11/93
-------
Worksheet 7
The purpose of this worksheet is to further document the pollution prevention options
identified on Worksheet 6. The process by which options are identified should occur in an
environment that encourages creativity and independent thinking. Brainstorming sessions
are effective ways for individuals to generate options. Consideration of the options
generated in a brainstorming session can lead to questions. Answering these questions
may require additional research. Listed below are some of the sources that can help to
answer questions and/or generate additional options.
Literature searches
Technical conferences
Equipment exhibitions
Trips to other plants
Vendor surveys
Contact with design engineers
Contact with personnel in other departments who have participated in similar
PPOAs
Materials engineers
Benchmarking
1.Revision No.: List the revision number for this worksheet.
2. Revision Date; List the most recent revision date for this worksheet.
3. PPOA Title or PPOA ID Code: List the PPOA Title or PPOA ID Code given on
Worksheet 1.
4. Page of : Indicate the number of this page and the total number of pages for this
worksheet.
5. Option: Options generated should be numbered consecutively and placed on this
worksheet (reference Worksheet 6). They may or may not be evaluated. Briefly
describe each option, affected materials and product, any roadblocks to
implementation, upstream and downstream impacts if implemented, and
anticipated reduction quantity.
6. Consider Yes/No: If the suggestion is worth further consideration, check
'Yes1. If the suggestion will not be pursued, check 'No' and indicate
briefly in the Option Description why not.
7. Practices & Procedures, Material Substitution, New Product &/or Process, Waste
Segregation/ Hazard Reduction, Equipment Modification, and Recycling, Reuse, &
Reclamation: Check the appropriate descriptions. See Worksheet 6 for definitions.
-------
Worksheet 8
Level III
Revision No,:
Revision Date:
Page
of
Pollution Prevention Opportunity Assessment
Options Cost Evaluation
PPOA Title or PPOA ID Code(s):
Option No.:
Option No.:
Option No.:
Option No.:
Purchased Equipment
Installation
Materials
Utility Connections
Engineering
Development
Start up / Training
Administrative
Other
Total Implementation
Cost
Option No.:
Incremental Operating Costs
Change in Raw
Materials
Change in Maintenance
Change in Labor
Change in Disposal
Other
Annual Operating
Savincjs/(Cost)
Penalties and Fines
Future Liabilities
Other
Annual Intangible
Savings/(Cost)
Total Annual
Savings/(Cost)
Payback Period
incremental jfritang
|$e Costs
11/93
-------
Worksheet 8
This worksheet provides a method to compare and contrast the pollution prevention options
generated on Worksheet 6 from a cost perspective. The three major cost categories for
weighing options are: Implementation Costs, Incremental Operating Costs, and incremental
Intangible Costs. These costs are totaled for each option considered from Worksheet 7.
This worksheet will aid in completing the economic evaluation portion of Worksheet 9.
1. Revision No.: List the revision for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. Page of : Indicate the number of this page and the total number of pages for
this worksheet.
4. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on
Worksheet 1.
5. Implementation Cost: These are the one-time, first-year costs associated with the
implementation of each option. Installation costs should be reported as an estimate.
Implementation Cost may include materials, utility connections, site preparation,
installation, engineering, procurement, start-up, training, permitting, initial catalysts and
chemicals, and working capital; minus the salvage value of any existing equipment.
6. Annual Operating Savings/(Costs): These are the costs associated with day-to-day
operations. List the incremental costs compared to the current process costs (positive for
savings or negative for increased costs) that would be incurred if this option is
implemented. Incremental operating costs could include waste disposal, raw material
consumption, ancillary catalysts and chemicals, labor, maintenance and supplies,
insurance, incremental revenues from increased / decreased production, and incremental
revenues from marketable by-products.
7. Annual Intangible Savings/(Cost): These include hidden, liability, and other costs not
immediately obvious for each option. List the incremental costs compared to the current
process costs (positive for savings or negative for increased costs) that would be incurred
if this option is implemented. These costs could include penalties and fines, future
liabilities (storage, transportation, and disposal of hazardous waste), reporting, consulting
fees, monitoring/testing, record keeping, preparedness and protective equipment,
medical surveillance, manifesting, inspections, and corporate/public image.
8. Total Annual Cost/Savings: This is the sum of the Annual Operating Savings/(Cost) and
the Annual Intangible Savings/(Cost)
S. Payback Period: Divide the Total Implementation Cost by the Total Annual
Savings/(Cost).
-------
Worksheet 9
Level Hi
Pollution Prevention Opportunity Assessment
Weighted Sums Option Evaluation
PPOA Title or PPOA ID Code(s):
Revision No.:
Revision Date:
Page of
Criteria
Public Health, Safety, &
Environment
Employee Health &
Safety
Regulatory Compliance
Economic
Implementation Period
Improved Operation /
Product
Other
Subtotal
Likelihood of Technical
Success (Multiplier)
Likelihood of Useful
Results (Multiplier)
Total
Rank
Weight
W
10
10
8
6
4
2
Ilillii I?
1
111 ;
Option N
Scale
'S'
X
X
o.:
•WxS'
Option N(
Scale
'S'
X
X
a.:
'WxS1
Option N<
Scale
'S'
X
X
iililiiii
D.:
'WxS'
Option N
Scale
'S1
X
X
o.:
'WxS'
Option N
Scale
'S*
X
X
o.:
'WxS1
-------
Many pollution prevention options will be identified in a successful assessment. At this point, it is necessary to identify those
options that offer real potential to minimize waste and reduce costs. Worksheet 9 serves as a screening tool to prioritize or
eliminate suggested options.
1. Revision No.: List the revision number for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. Page
of : Indicate the number of this page and the total number of pages for this worksheet.
4. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on Worksheet 1.
Additional Instructions:
a. The values in the Weight column (designated by W)
represent the facility's priority for the criteria.
b. In the Scale column for each option (designated by 'S'),
rate each criteria by assigning a value from 0-10
(lowest to highest). Use the definitions which follow to
help determine a value.
c. In the 'W x S' column for each option, enter the product of
the weight and scale.
d. Sum the 'W x S1 column for each option to obtain a subtotal.
e. Multiply the subtotal for each option by the Likelihood of
Technical Success.
f. Multiply the value in step e. above for each option by the
Likelihood of Useful Results.
g. Enter the product found in step f. in the Total column for
each option.
h. Assign a priority rank for each option; #1 for the highest
score, #2 for the next highest, and so on.
-------
Worksheet 9 -- (Scale & Multiplier Definitions)
Scale Factor Definitions (0-10)
10
Reduce the risk of loss of life or long-term
environmental damage. High concentrations of
hazardous materials.
8
Reduce the risk of long-term disability or moderate
environmental damage. Moderate concentrations
of hazardous materials.
Reduce the risk of short-term disability or
unplanned releases to the environment. Low
concentrations of hazardous materials.
No effect.
0
Negative effect.
10
Reduce the risk of loss of life through an accident
or long-term exposure.
8
Reduce the risk of permanent or long-term
disability through an accident or long-term
exposure.
Reduce the risk of short-term disability or lost-time
through an accident or long-term exposure.
No effect.
0
Negative effect.
10
Reduce the risk and avoid criminal penalties.
8
Reduce the risk and avoid civil penalties.
Reduce the risk.
No effect.
0
Negative impact.
10
Large savings and short payback.
8
Moderate savings and moderate payback.
Positive cost savings and extented payback.
No cost savings and no possibility of payback.
0
Negative cost savings.
10
Immediate (e.g., within 1 month).
8
Short-term (e.g., within 1 year).
Intermediate (e.g., within 2 years).
Long-term (e.g., within 3 years).
0
Greater than 3 years.
10
8
6
4
0
Significant improvement.
Moderate improvement.
Positive improvement.
No improvement.
Negative effect.
-------
Worksheet 9 - (Scale & Multiplier Definitions)
Multiplier Definitions (0-1)
High likelihood: No major technical breakthrough
required. Well-designed plans to meet objectives
and successful track record exists.
0.5
Medium likelihood: Technical advancements may
be necessary. Key issues are identified but no
specific contingency plans have been made.
0.1
Low likelihood: Major technical breakthroughs are
required. Adequate plans for meeting objectives or
key problems have not been Identified.
^^: M^
High likelihood: Project has demonstrated that it
can meet production requirements. There is a high
confidence that implementation will not create
unacceptable risks. Benefits outweigh the costs.
0.5
Medium likelihood: Project has not yet
demonstrated that it can meet production
requirements. There are reservations that
implementation can be achieved without creating
unacceptable risks. Benefits do not clearly
outweigh the costs.
0.1
Low likelihood: The option is not capable of
demonstrating that it can meet production
requirements. Serious reservations are present
that implementation can be achieved without
creating unacceptable risks. Costs significantly
outweigh the benefits.
-------
Level III
Revision No.:_
Revision Date:_
Page of.
Pollution Prevention Opportunity Assessment
Final Report Check Sheet
PPOA Title or PPOA ID Code(s):
Requirement Completed
Title Page
PPOA Title
PPOA ID Code(s)
Team members
Issue date/revision date/revision no,
Executive Summary
Process description
Process assessment
Option summary and analysis
Conclusions
Recommendations
Introduction
Background of evaluation
Process Description
Associated equipment
Process flow diagram
Process Assessment
Methodology
Material Balance
Unusual occurrences
Option Summary and Analysis
Option description and rank
Upstream/Downstream impacts
Material usage
Anticipated reduction
Estimated costs
Estimated benefits
Feasibility
Waste streams affected
Conclusion
Concluding evaluation
Option analysis decisions
Concerns
Options already implemented
Lessons learned
Recommendations
Future work
New equipment
Implementation strategies
Worksheets
1-10
-------
Worksheet 10
A final report is required for each PPOA. The final report is a compilation of essential facts
about the process, pollution prevention options, feasibility and impact of those options, and
future implementation costs. The report documents the work performed and identifies
funding requirements necessary to implement pollution prevention options. The length of
the final report will depend on the complexity of the PPOA.
1. Revision No.: List the revision number for this worksheet.
2. Revision Date: List the most recent revision date for this worksheet.
3. Page of : Indicate the number of this page and the total number of pages for
this worksheet.
4. PPOA Title or PPOA ID Code(s): List the PPOA Title or PPOA ID Code(s) given on
Worksheet 1.
5. While writing the final report, check the blank next to each major requirement as all
elements of that task are completed.
Title Page
Executive Summary
Introduction
Process Description
Process Assessment
Option Summary
& Analysis
Conclusion
Recommendations
Uniquely identify the PPOA, including team members and
issue/revision date.
This should be an overview of all of the elements of the final
PPOA report. It should relate to the reader any information that
is critical about this PPOA.
Present background information and efforts taken to initiate the
PPOA.
Detail process flow and associated equipment. Include
process flow diagram, if desired.
Describe the approach used to complete the PPOA. Document
any assumptions made. Include information on the material
balance.
Present the options generated, impacts if implemented, and
their respective pollution prevention possibilities.
Provide closure to the report. The team's consensus on the
benefits achieved from this PPOA or any concerns respective to
the process should be included.
Describe any actions that will be taken to further advance the
results of this PPOA.
-------
Level I Date:
Page of.
TOe:
Pollution Prevention Opportunity Assessment
Team & Process Description
PPOAIDCode:
Team Members ('Leader) Job Classification Phone
ProcessDescription:
Potential for Pollution Prevention or Recommendations:
11/93
-------
Worksheet 1S
This worksheet provides the scope arid identification of the pollution prevention
opportunity assessment (PPOA) team. For the PPOA to be successful,
employees involved with the activity being assessed should be members of the
team. The assessment team needs a leader, members, and additional
resources, as required.
The team leader should have technical knowledge of the area's operations and
the personnel involved. The leader shall assemble the team to perform the
assessment. Team members may include engineers, waste generators,
waste management specialists, scientists, laboratory technicians, and other
line personnel. Additional resources may be utilized to provide information not
available within the team. The size of the team may be large for complicated
operations, but should be kept to a minimum to maintain focus.
1. Date: List the initiation date for this PPOA.
2. Title: List the PPOA title selected by the team.
3. PPOA ID Code: List the PPOA ID Code selected by the team. This should
be a unique identifier.
4. Team Members, Job Classification, Phone: To facilitate team meetings
and for future reference, this information should be completed when the
PPOA team is formed.
5. Process Description: This should detail important attributes of the
operation. Equipment, summary of operations performed, controls,
input materials, and operator training (qualification or certification) may
be included.
6. Potential for Pollution Prevention or Recommendations: For this process,
describe the potential for pollution prevention, source reduction, and/or
waste minimization. (Is there any pollution prevention potential for the
following changes: material substitution, procedures, process
parameters, equipment, general practices, recycling, reuse, reclamation,
etc.?) Are there any recommendations for this process?
-------
Level I
Date:
Pollution Prevention Opportunity Assessment
Process Flow Diagram
Title or Assessment ID Code:
Inputs:
(MXI)
(MX2)
(MXS)
Solid
Liquid
Air
Solid
Liquid
Air
Solid
Liquid
Air
Solid
Liquid
Air
(NHI)
(NH2)
(NH3)
Solid
Liquid
Air
Solid
Liquid
Air
-------
Worksheet 2S
This worksheet provides a method to document the process flow diagram for
the assessment. The flow diagram should identify all Assessment Code(s)
associated with the process, all input materials, and outputs
(products/wastes). The flow diagram should track materials from the time they
enter the process boundary until they leave. This diagram represents a very
simplistic flow model; a more detailed diagram may be required to identify all
waste streams, especially for complex, multi-step processes.
1. Title or Assessment ID Code(s): List the PPOA Title or PPOA ID Code given
on Worksheet 1S.
2. Page of.
Indicate the page number for this worksheet and the
number of pages for this worksheet.
3. Inputs: List the input materials on the lines provided. Fill in the Process
Name box. Then highlight those outputs that are applicable to the process
(e.g. Product, Hazardous, etc.). Then sub-categorize those outputs into
solid, liquid, or air emission streams by highlighting the corresponding
output stream. A Stream ID Code is provided for each sub-category of
waste.
4. Outputs: The Stream ID Code provides a uniform coding scheme for the
release information. A brief waste description may be recorded in the box
to the right of the Stream ID Code. The code information is summarized in
the table below:
Stream ID Codes
Designator
Product
Hazardous
Non-Hazardous
Radioactive
Mixed
Other
Code
PR
HZ
NH
RD
MX
OT
Solid Stream = 1, Liquid Stream = 2, Air Stream = 3
-------
Level I
Page
of
Pollution Prevention Opportunity Assessment
Material & Waste Stream Summary
Title:
PPOA ID Code:
Input
Material
Annual
Quantity
Used
%
Product
%
Recycled
Total Releases
%
Air
%
Liquid
%
Solid
Does the process require further analysis based on the site's Priority
Material/Waste Stream List? Yes No
Level II Level
-------
Worksheet 3S
This worksheet provides a brief summary of the input materials and output
streams from the operation or activity being assessed. Its purpose is to
provide the pollution prevention team an overview of the waste streams
resulting from the PPOA.
1. Title: List the PPOA title given on Worksheet 1S.
2. Assessment ID Code: List the PPOA ID Code given on Worksheet 18.
3. Input Material: List the material names which enter the operation.
4. Annual Quantity Used: Enter the annual quantity used for each material
listed - include the unit of measure, e.g., Ibs, curies, etc. For input
material from another process, it may be helpful to also identify the
release components of those materials.
5. % Product: For each input material, estimate the percent of the annual
quantity used which goes to product.
6. % Recycled: For each input material, estimate the percent of the annual
quantity used which is recycled.
7. % Air: For each input material, estimate the percent of the annual quantity
used which is an air waste stream.
8. % Liquid: For each input material, estimate the percent of the annual
quantity used which is a liquid waste stream.
i. % Solid: For each input material, estimate the percent of the annual quantity
used which is a solid waste stream.
10. Does the process require further analysis based on the site's Priority
Material/Waste Stream List? Using your site's Priority Material/Waste
Stream List and the DOE Graded Approach Logic Diagram, determine if
further assessment is necessary. If yes, indicate the level of
assessment required.
-------
Worksheet 45
Level II
Page
of.
Pollution Prevention Opportunity Assessment
Option Summary
Title or PPOA ID Code(s)
Option h
o. :
Type
<*)
Option N
Consider?
Feasibility
Estimated
Cost
Estimated
Savings
Anticipated
Reduction Qty
o. :
Type
n
Option N
Consider?
Feasibility
Estimated
Cost
Estimated
Savings
Anticipated
Reduction Qty
o. :
Type
(*)
Consider?
Feasibility
Estimated
Cost
Estimated
Savings
Anticipated
Reduction Qty
(*) Type = Source Reduction, Recycling, Treatment, or Disposal
11/93
-------
Worksheet 4S
This summary sheet serves as a method to record and evaluate the options that have been
identified during brainstorming sessions or other option generating techniques.
1. Title or PPOA ID Code{s): List the PPOA Title or PPOA ID Code given on Worksheet 1S.
2. Option : Options generated should be numbered consecutively. Briefly describe each
option, affected materials, waste streams, upstream/downstream impacts if
implemented, and anticipated reduction quantity if implemented.
3. Type: Indicate whether the option is source reduction, recycling, treatment, or disposal.
4. Consider?: If the option is worth further consideration, enter YES. If not, enter NO and
briefly indicate in the Option Description why not.
5. Feasibility: Provide a brief description. (Excellent, good, fair, poor)
6. Estimated Cost: Estimate an implementation cost.
7. Estimated Cost Savings: Estimate the cost savings.
8. Anticipated Reduction Qty.: Estimate the weight or volume of the waste that will be
reduced.
Note: Typically, it is difficult to estimate the anticipated waste reduction or cost avoidance in
the initial phases of implementation because of many factors. However, for some options,
especially in cases where the option provides complete elimination of a hazardous material
or waste stream, these estimates can be accurately completed.
The process by which options are identified should occur in an environment that encourages
creativity and independent thinking. Brainstorming sessions are effective ways for
individuals to generate options. To make these sessions beneficial, research is often
necessary. Provided below is a fishbone diagram that will help the team generate ideas.
Pollution
Prevention
Options
-------
Level II
Date:
Page of.
Pollution Prevention Opportunity Assessment
Final Summary
Title:
PPOA ID Code(s):
Assessment:
Conclusions:
Recommendations:
-------
Worksheet 5S
This sheet provides a brief summary of other pertinent information about the activity
being assessed. Its purpose is to document how this assessment was performed,
the conclusions reached by the team, and the recommendations for further actions.
1. Date: List the date this sheet was completed,
2. Title: List the title given on Worksheet 1S.
3. PPOA ID Code(s): List the ID Code(s) given on Worksheet 1S.
4. Assessment: Briefly describe the approach (methodology) used to complete this
assessment and any assumptions made.
5, Conclusions: Briefly describe the waste streams or input material to be
minimized, benefits achieved from this assessment, and any concerns
(environmental or health risks) associated with the material or operation.
6. Recommendations: Briefly describe any actions that should or will be taken in
respect to this assessment.
-------
APPENDIX H
REFERENCES
1. U.S. Department of Energy, General Environmental Protection Program, DOE
Order 5400.1 (November 9, 1988).
2. U.S. Department of Energy, Hazardous and Radioactive Mixed Waste Program,
DOE Order 5400.3 (February 22, 1989).
3. U.S. Department of Energy, Radioactive Waste Management, DOE Order
5820.2A (September 26, 1988).
4. U.S. Department of Energy, Environmental Restoration and Waste Management
Five-Year Plan, DOE/S-0070 (1989).
5. U.S. Department of Energy, Applied Research Development, Demonstration,
Testing and Evaluation Plan (Draft) (November 1989).
6. U.S. Department of Energy, Model Waste Minimization and Pollution Prevention
Awareness Plan (1990).
7. U.S. Department of Energy, Process Waste Assessment Guidance (ISO).
8. U.S. Environmental Protection Agency, Facility Pollution Prevention Guide
EPA/600/R-92/088 (May 1992).
9. M.I. Baker and F.E. Kosinski, Process Waste Assessments for Waste Minimization
Planning, U.S. Department of Energy, Oak Ridge Y-12 Plant, Y/DZ-532
(November 21, 1989).
10. E.A. Kjeldgaard, J.H. Saloio, and G.B. Varnado, Development and Test Case
Application of a Waste Minimization Project Evaluation Method, U.S. Department
of Energy, Sandia National Laboratories, SAND90-1178 (August 1990).
11. H.M. Freeman, Hazardous Waste Minimization, McGraw-Hill Publishing
Company (1990).
12. U.S. Environmental Protection Agency, Office of Policy, Planning and Evaluation
and Office of Solid Waste, Pollution Prevention Benefits Manual, October 1990.
13. U.S. Department of Energy/Defense Program's, Office of Production Facilities
-------
iPA/625/7-88/003
July 1988
Waste Minimization
Opportunity Assessment Manual
Hazardous Waste Engineering Research Laboratory
Office of Research and Development
U.S. Environmental Protection Agency
Cincinnati, Ohio 45268
-------
Notice
This report has been reviewed by the Hazardous Waste Engineering Research
Laboratory, U.S. Environmental Protection Agency, and approved for publication.
Approval does not signify that the contents necessarily reflect the views and policies of
the U.S. Environmental Protection Agency, nor does mention of trade names or
commercial products constitute endorsement or recommendation for use.
Users are encouraged to duplicate those portions of the manual as needed to implement
a waste minimization program. Organizations interested in publishing and distributing the
entire manual should contact the Alternative Technologies Division, Hazardous Waste
Engineering Research Laboratory, U.S. Environmental Protection Agency, Cincinnati,
Ohio 45268, to obtain a reproducible master.
-------
Foreword
The term, "waste minimization" Is heard increasingly at meetings and conferences of
individuals working in the field of hazardous waste management. Waste minimization is an
umbrella term that includes the first two categories of the EPA's preferred hazardous
waste management strategy which is shown below:
1. Source Reduction: Reduce the amount of waste at the source, through changes in
industrial processes.
2, Recycling: Reuse and recycle wastes for the original or some other purpose, such
as materials recovery or energy production.
3. Incineration/Treatment: Destroy, detoxify, and neutralize wastes into less harmful
substances.
4. Secure Land Disposal: Deposit wastes on land using volume reduction,
encapsulation, leachate containment, monitoring, and controlled air and
surface/subsurface waste releases.
In carrying out its program to encourage the adoption of waste minimization, the
Hazardous Waste Engineering Research Laboratory has supported the development of a
recommended procedure for identifying waste minimization applications. This manual
describes that procedure and will be of interest to those responsible for reducing waste
streams, and to those interested in learning about waste minimization in general.
-------
Contents
Page
Foreword iii
Acknowledgments vif
1. Introduction 1
2. Planning and Organization 6
3. Assessment Phase 10
4. Feasibility Analysis 19
5. Implementing Waste Minimization Options 24
Appendices
A. Waste Minimization Assessment Worksheets A-1
B. Simplified Waste Minimization Assessment Worksheets B-1
C. Example Waste Minimization Assessment C-1
D. Causes and Sources of Waste D-1
E. Waste Minimization Techniques E-1
F, Government Technical/Financial Assistance Programs F-1
G. Option Rating: Weighted Sum Method G-1
H. Economic Evaluation Example H-1
-------
List of Worksheets
Page
Appendix A
1. Assessment Overview A-3
2. Program Organization A-4
3. Assessment Team Make-up A-5
4. Site Description A-6
5. Personnel A-7
6, Process Information A-8
7. Input Materials Summary A-9
8. Products Summary A-10
9. Individual Waste Stream Characterization A-11
10. Waste Stream Summary A-15
11. Option Generation A-16
12. Option Description A-17
13. Options Evaluation by Weighted Sum Method A-18
14. Technical Feasibility A-19
15. Cost Information A-25
16. Profitability Worksheet #1: Payback Period A-31
17. Profitability Worksheet #2: Cash Flow for NPV and IRR A-32
18. Project Summary A-33
19, Option Performance A-34
Appendix B
S1. Assessment Overview B-2
S2. Site Description B-3
S3. Process Information B-4
S4. Input Materials Summary B-5
S5. Products Summary B-6
S6. Waste Stream Summary B-7
S7. Option Generation B-8
S8. Option Description 8-9
S9. Profitability B-10
-------
Acknowledgments
The following people are members of the advisory committee that contributed valuable
comments and insights to the preparation of this manual:
Denny J. Beroiz
General Dynamics Pomona Division
Elaine Eby
Office of Solid Waste
US Environmental Protection Agency
John Frick, PhD
Directorate of Supply Operations
Defense Logistics Agency
Kevin Qashlin
Hazardous Waste Assistance Program
New Jersey Department of Environmental Protection
Gregory J. Hollod, PhD
Petrochemicals Department
E.I. DuPont de Nemours & Co.
Gary Hunt
Pollution Prevention Pays Program
North Carolina Department of Environmental
Management
John S. Hunter, III, PhD
3M Corporation
Michael Overcash, PhD
Department of Chemical Engineering
North Carolina State University
Robert Pojasek, PhD
ChemCycle Corporation
Dennis Redington
Monsanto Co
Michael E. Resch
Waste Disposal Engineering Division
US Army Environmental Hygiene Agency
Jack Towers
Waste Reduction Services
Chemical Waste Management
David Wigglesworth
Waste Reduction Assistance Program
Alaska Health Project
Kathleen Wolf, PhD
Source Reduction Research Partnership
Harry M. Freeman of the U.S. Environmental Protection Agency. Office of Research and
Development, Hazardous Waste Engineering Research Laboratory, was the project
officer responsible for the preparation of this manual. Special acknowledgment is given to
Myles Morse of the U.S. Environmental Protection Agency, Office of Solid Waste, for his
assistance and comments. James Lounsbury and Roger Sehecter of the EPA Office of
Solid Waste are also acknowledged for their assistance in the preparation of this manual.
This manual was developed by the Hazardous and Toxic Materials Division of Jacobs
Engineering Group as a subcontractor to Versar, Inc. Marvin Drabkin was the project
manager for Versar. Participating in the preparation of this manual for Jacobs were
Gregory A. Lorton, Carl H. Fromm, Michael P. Meltzer, Deborah A. Hanlon, Sally
Lawrence, Michael S. Callahan, and Srinivas Budaraju.
-------
Section 1
Introduction
Waste minimization (WM) has been successful for
many organizations. By following the procedures
outlined in this manual, a waste generator can:
• Save money by reducing waste treatment and
disposal costs, raw material purchases, and other
operating costs.
* Meet state and national waste minimization policy
goals.
* Reduce potential environmental liabilities.
• Protect public health ami worker health and safety.
* Protect the environment.
Waste minimization is a policy specifically mandated by
the U. S. Congress in the 1984 Hazardous and Solid
Wastes Amendments to the Resource Conservation
and Recovery Act {RCRA), This mandate, coupled
with other RCRA provisions that have led to
unprecedented increases in the costs of waste
management, have heightened general interest in
waste minimization. A strong contributing factor has
been a desire on the part of generators to reduce their
environmental impairment liabilities under the
provisions of the Comprehensive Environmental
Response, Compensation, and Liabilities Act
(CERCLA, or "Superfund"). Because of these
increasing costs and liability exposure, waste
minimization has become more and more attractive
economically.
The following terms, used throughout this manual, are
defined below:
Waste Minimization (WM). In the working definition
currently used by EPA, waste minimization consists of
source reduction and recycling. This concept of waste
minimization Is presented in Figure 1*1. Of the two
approaches, source reduction is usually preferable to
recycling from an environmental perspective. Source
reduction and recycling each are comprised of a
number of practices and approaches which are
illustrated In Figure 1-2.
The present focus of WM activities is on hazardous
wastes, as defined in RCRA. However, tt is Important
that all pollutant emissions into air, water and land be
considered as part of a waste minimization program.
The transfer of pollutants from one medium to another
is not waste minimization. For example, the removal of
organics from wastewater using activated carbon, in
and of itself, is not waste minimization, since the
pollutants are merely transferred from one medium
(wastewater} to another (carbon, as solid waste).
Waste (ninimization program (WMP). The RCRA
regulations require that generators of hazardous waste
"have a program in place to reduce the volume and
toxicity of waste generated to the extent that is
economically practical." A waste minimization program
is an organized, comprehensive, and continual effort
to systematically reduce waste generation. Generally,
a program is established for the organization as a
whole. Its components may include specific waste
minimization projects and may use waste minimization
assessments as a tool for determining where and how
waste can be reduced. A waste minimization program
should reflect the goals and policies for waste
minimization set by the organization's management.
Also, the program should be an ongoing effort and
should strive to make waste minimization part of the
company's operating philosophy. While the main goal
of a waste minimization program is to reduce or
eliminate waste, it may also bring about an
improvement in a company's production efficiency.
EPA will publish separate guidance on the elements
of effective waste minimization programs. This
guidance will discuss the following elements likely to
be found in an effective WM program:
Top management support
Explicit program scope and objectives
Accurate waste accounting
Accurate cost accounting
Pervasive waste minimization philosophy
Technology transfer
Waste minimization Assessment (WMAL A waste
minimization assessment is a systematic planned
procedure with the objective of identifying ways to
reduce or eliminate waste. The steps involved in
conducting a waste minimization assessment are
outlined in Figure 1-3. The assessment consists of a
careful review of a plant's operations and waste
streams, and the selection of specific areas to assess.
After a specific waste stream or area is established as
the WMA focus, a number of options with the potential
to minimize waste are developed and screened. Third,
the technical and economic feasibility of the selected
options are evaluated. Finally, the most promising
options are selected for implementation.
-------
WASTE MINIMIZATION
J
SOURCE REDUCTION 1
RECYCLING 1
^^ ORDER OF EXPLORATION _, _
FIRST imfwraiMNimMiHHHNniiinimra^^ LAST
HIGH
RELATIVE ENVIRONMENTAL DESIRABILITY
\blLIIY ifo.
HtllBHIIIIIIIHHtWIIIIHIIIl|p^ LOW
WASTE MINIMIZATION
The reduction, to the extent feasible, of hazardous waste that is generated or subsequently treated, stored or
disposed of. It includes any source reduction or recycling activity undertaken by a generator that results in
either (1) the reduction of total volume or quantity of hazardous waste or (2) the reduction of toxidty of the
hazardous waste, or both, so long as such reduction is consistent with the goal of minimizing present and
future threats to human health and the environment (ERA'S Report to Congress, 1986, EPA/530-SW-86-033).
SOURCE REDUCTION
Any activity that reduces or eliminates the generation of hazardous waste at the source, usually within a
process (op. cit,).
RECYCLING
A material Is 'recycled' B it is used, reused, or reclaimed (40 CFR 261.1 (c) (7)). A material is "used or reused*
if ft is either (1) employed as an ingredient (including its use as an intermediate) to make a product; however a
material will not satisfy this condition if distinct components of the material are recovered as separate end
products (as when metal* are recovered from metal containing secondary materials) or (2) employed in a
particular function as an effective substitute for a commercial product (40 CFR 261.1 (c) (5)). A material is
"reclaimed* if It is processed to recover a useful product or if it is regenerated. Examples Include the recovery
of lead values from spent batteries and the regeneration of spent solvents (40 CFR 261.1 (c) (4)).
Figure 1-1. Waste Minimization Definitions
-------
WASTE MINIMIZATION TECHNIQUES
RECYCLING
(ONSITE AND OFFSITE)
SOURCE REDUCTION
PRODUCT CHANGES
RECLAMATION
SOURCE CONTROL
USE AND REUSE
- Processed for
resource recovery
- Processed as a
by-product
- Product substitution
- Product conservation
- Change in product
composition
- Return to original process
- Raw material substitute
for another process
INPUT MATERIAL
CHANGES
GOOD OPERATING
PRACTICES
TECHNOLOGY
CHANGES
Process changes
Equipment, piping, or
layout changes
Additional automation
Changes in operational
settings
Material purification
Material substitution
Procedural measures
Loss prevention
Management practices
Waste stream segregation
Material handling
improvements
Production scheduling
Figure 1-2. Waste Minimization Techniques
-------
Figure 1-3. Tht Waste Minimization Assessment Procedure
The recognized need to minimize waste
i
PLANNING AND ORGANIZATION
* Get management commitment
* Set overall assessment program goals
* Organize assessment program task force
Assessment organization
and commitment to proceed^ r
ASSESSMENT PHASE
* Collect process and facility data
* Prioritize and select assessment targets
* Select people for assessment teams
* Review data and inspect site
• Generate options
* Screen and select options for further study
Select new
assessment target*
and reevaluate
previous options
Assessment report of
selected options ^
FEASIBILITY ANALYSIS PHASE
* Technical evaluation
» Economic evaluation
• Select opttons for implementation
Final report, including
recommended options <
IMPLEMENTATION
Justify projects and obtain funding
Installation (equipment)
Implementation (procedure)
Evaluate performance
Repeat the process
Successfully implemented
waste minimization projects
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Incentives for Waste Minimization
Thera are a number of compelling incentives for
minimizing waste. Table 1-1 summarizes some of
these incentives.
Table 1-1. Wast* Minimization Incantlvt*
Economics
* Landfill disposal cost increases.
* Costly alternative treatment technologies.
• Savings in raw material and manufacturing costs.
Regulations
* Certification of a WM program on the hazardous waste
manifest.
* Biennial WM program reporting.
* Land disposal restrictions and bans.
* Increasing permitting requirements for waste handling
and treatment
Liability
• Potential reduction in generator liability for environmental
problems at both onsite and offsrle treatment, storage,
and disposal facilities.
* Potential reduction in liability for worker safety.
Public Image and Environmental Concern
* Improved image in the community and from employees.
• Concern for improving the environment.
EPA intends to publish a manual entitled "Waste
Minimization Benefits Handbook* which will discuss in
detail the cost/benefit analyses of WM options.
About this manual
This manual has been prepared for those responsible
for planning, managing, and implementing waste
minimization activities at the plant and corporate levels.
The manual concentrates on procedures that motivate
people to search, screen, and put into practice
measures involving administrative, material, or
technology changes that result in decreased waste
generation. It is also a source of concepts and ideas
for developing and implementing a waste minimization
program.
The manual is organized as follows:
• Section 2 outlines the planning and organizational
aspects that provide a necessary foundation for a
waste minimization assessment.
* Section 3 describes the assessment phase,
including collecting information, selecting
assessment targets, selecting assessment teams,
and identifying potential WM options.
* Section 5 describes the implementation of attractive
options: obtaining funding, installation and
implementation, and measuring the effectiveness
of implemented options.
A set of worksheets useful in carrying out assessments
is included in Appendix A. Because individual
generators' circumstances and needs vary widely,
users of this manual are encouraged to modify the
procedures and worksheets to fit their unique
requirements. The manual is intended to serve as a
point of departure, rather than as a set of rigid
requirements. Accordingly, Appendix B presents a
simplified set of worksheets that are designed to assist
generators who are interested in performing only
preliminary assessments. These worksheets also
provide a useful framework for conducting
assessments for small businesses and small quantity
generators.
A sample assessment is presented in Appendix C.
Appendix D describes waste streams from common
industrial operations. Appendix E is a catalog and brief
description of waste minimization techniques
applicable in a number of common waste-intensive
operations. Appendix F is a list of addresses and
telephone numbers of state programs for technical
assistance in waste minimization. Appendix Q
presents describes a method for screening and rating
potential waste minimization options for further study.
Finally, an example of an economic feasibility analysis
of a large waste minimization project is presented in
Appendix H.
Section 4 discusses the methods for evaluating
options for technical and economic feasibility.
-------
Section 2
Planning and Organization
The recognized need to minimize waste
PLANNING AND ORGANIZATION
Get management commitment
Set overall assessment program goals
Organize assessment program task force
Assessment
Phase
Feasibility
Analysis Phase
Implementation
Successfully Implemented
waste minimization projects
This section discusses factors that are important to the
success of a waste minimization program. Because a
comprehensive WM program affects many functional
groups within a company, the program needs to bring
these different groups together to reduce wastes.
The formality of the program depends upon the size
and complexity of the organization and its waste
problems. The program structure must be flexible
enough to accommodate unforeseen changes. The
developmental activities of a WM program include:
* getting management commitment
• setting WM goals
• staffing the program task force
Getting Management Commitment
The management of a company will support a waste
minimization program if it is convinced that the benefits
of such a program will outweigh the costs. The
potential benefits include economic advantages,
compliance with regulations, reduction in liabilities
associated with the generation of wastes, improved
public image, and reduced environmental impact.
The objectives of a WM program are best conveyed to
a company's employees through a formal policy
statement or management directive. A company's
upper management is responsible for establishing a
formal commitment throughout all divisions of the
organization. The person in charge of the company's
environmental affairs is responsible to advise
management of the Importance of waste minimization
and the need for this formal commitment. An example
of a formal policy statement follows:
CORPORATE ENVIRONMENTAL POLICY
[A major chemical company]..."is committed to continue
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 the air,
water, and land through excellence in environmental control.
The Environmental Guidelines include the following points:
* Environmental protection is a line responsibility and an
important measure of employee performance. In addi-
tion, every employee Is responsible for environmental
protection in the same manner he or she is for safety.
* Minimizing or eliminating the generation of waste has
been and continues to be a prime consideration in
research, process design, and plant operations; and is
viewed by management like safety, yield, and loss
prevention.
• Reuse and recycling of materials has been and will
continue to be given first consideration prior to
classification and disposal of waste,*
Involve Employees
Although management commitment and direction are
fundamental to the success of a waste minimization
program, commitment throughout an organization is
necessary in order to resolve conflicts and to remove
barriers to the WM program. Employees often cause
the generation of waste, and they can contribute to the
overall success of the program. Bonuses, awards,
plaques, and other forms of recognition are often used
to provide motivation, and to boost employee
cooperation and participation. In some companies,
meeting the waste minimization goals is used as a
measure for evaluating the job performance of
managers and employees.
-------
Cause Champions
Any WM program needs one or more people to
champion the cause. These "cause champions" help
overcome the inertia present when changes to an
existing operation are proposed. They also lead the
WM program, either formally or informally. An
environmental engineer, production manager, or plant
process engineer may be a good candidate for this
role. Regardless of who takes the lead, this cause
champion must be given enough authority to
effectively carry out the program.
Organizing a WM Program:
The Program Task Force
The WM program will affect a number of groups within a
company. For this reason, a program task force should
be assembled. This group should Include members of
any group or department in the company that has a
significant interest in the outcome of the program.
Table 2-4 at the end of this section and Worksheet 3 in
Appendix A lists departments or groups of a typical
manufacturing company that should be Involved in the
program.
The formality or informality of the WM program will
depend on the nature of the company. The program in
a large highly structured company will probably
develop to be quite formal, in contrast to a small
company, or a company in a dynamic industry, where
the organizational structure changes frequently.
Table 2-1 lists the typical responsibilities of a WM
program task force. It will draw on expertise within the
company as required. The scope of the program will
determine whether full-time participation is required by
any of the team members.
Tabl* 2-1. Responsibilities of the WM Program
Task Fore*
• Get commitment and a statement of policy from
management.
* Establish overall WM program goals.
* Establish a waste tracking system.
* Prioritize the waste streams or facility areas for
assessment.
• Select assessment teams.
• Conduct (or supervise) assessments.
* Conduct (or monitor) technical/economic feasibility
analyses of favorable options.
* Select and justify feasible options for Implementation.
• Obtain funding and establish schedule for
implementation.
• Monitor (and/or direct) implementation progress.
• Monitor performance of the option, once it is operating.
In a small company, several people at most will be all
that are required to implement a WM program. Include
the people with responsibility for production, facilities,
maintenance, quality control, and waste treatment and
disposal on the team. It may be that a single person,
such as the plant manager, has all of these
responsibilities at a small facility. However, even at a
small facility, at least two people should be involved to
get a variety of viewpoints and perspectives.
Some larger companies have developed a system in
which assessment teams periodically visit different
facilities within the company. The benefits result
through sharing the ideas and experiences with other
divisions. Similar results can be achieved with periodic
in-house seminars, workshops, or meetings. A large
chemical manufacturer held a corporate-wide
symposium in 1986 dealing specifically with waste
minimization. The company has also developed other
programs to increase company-wide awareness of
waste minimization, including an internally published
newsletter and videotape.
Setting Goals
The first priority of the WM program task force is to
establish goals that are consistent with the policy
adopted by management. Waste minimization goals
can be qualitative, for example, "a significant reduction
of toxic substance emissions into the environment."
However, it is better to establish measurable,
quantifiable goals, since qualitative goals can be
interpreted ambiguously. Quantifiable goals establish
a clear guide as to the degree of sucess expected of
the program. A major chemical company has adopted a
corporate-wide goal of 5% waste reduction per year. In
addition, each facility within the company has set its
own waste minimization goals.
As part of its general policy on hazardous waste, a large
defense contractor has established an ambitious
corporate-wide goal of zero discharge of hazardous
wastes from its facilities by the end of 1988. Each
division within the corporation is given the
responsibility and freedom to develop its own program
(with intermediate goals) to meet this overall goal. This
has resulted in an extensive investigation of
procedures and technologies to accomplish source
reduction, recycling and resource recovery, and onsrte
treatment.
Table 2-2 lists the qualities that goals should possess.
It is Important that the company's overall waste
minimization goals be incorporated into the appropriate
individual departmental goals.
The goals of the program should be reviewed
periodically. As the focus of the WM program becomes
more defined, the goals should be changed to reflect
any changes. Waste minimization assessments are not
intended to be a one-time project. Periodic
reevaluation of goals is recommended due to
changes, for example, in available technology, raw
-------
Table 2-2. Attributes of Effective Goals
ACCEPTABLE to those who will work to achieve them.
FLEXIBLE and adaptable to changing requirements.
MEASURABLE over time.
MOTIVATIONAL
SUITABLE to the overall corporate goals and mission.
UNDERSTANDABLE.
ACHIEVABLE with a practical level of effort.
Source: Pearce and Robinson, Strategic Management
(1985)
material supplies, environmental regulations, and
economic climate.
Overcoming Barriers
As it sets goals for waste minimization and then defines
specific objectives that can be achieved, the program
task force should recognize potential barriers.
Although waste minimization projects can reduce
operating costs and improve environmental
compliance, they can lead to conflicts between
different groups within the company. Table 2-3 lists
examples of jurisdictional conflicts that can arise during
the implementation of a waste minimization project.
In addition to jurisdictional conflicts related to these
objective barriers, there are attitude-related barriers
that can disrupt a WM program. A commonly held
attitude is "If it ain't broke, don't fix it!" This attitude
sterns from the desire to maintain the status quo and
avoid the unknown. It is also based on the fear that a
new WM option may not work as advertised. Without
the commitment to carefully conceive and implement
the option, this attitude can become a self-fulfilling
prophecy. Management must declare that "It is broke!"
Another attitude-related barrier is the feeling that "It
just won't work!" This response Is often given when a
person does not fully understand the nature of the
proposed option and its impact on operations. The
danger here is that promising options may be dropped
before they can be evaluated. One way to avoid this is
to use idea-generating sessions (e.g., brainstorming).
This encourages participants to propose a large
number of options, which are individually evaluated on
their merits.
An often-encountered barrier is the fear that the WM
option will diminish product quality. This is particularly
common in situations where unused feed materials are
recovered from the waste and then recycled back to
the process. The deterioration of product quality can
be a valid concern if unacceptable concentrations of
waste materials build up In the system. The best way to
allay this concern is to set up a small-scale
demonstration in the facility, or to observe the
particular option in operation at another facility.
Tabls 2-3. Examples of Barriers to Waste
Minimization
Production
* A new operating procedure will reduce waste but may also
be a bottleneck that decreases the overall production
rate.
• Production will be stopped while the new process
equipment is installed.
• A new piece of equipment has not been demonstrated in a
similar service. It may not work here.
Facil'nies/Maintenanco
* Adequate space is not available for the installation of new
equipment.
• Adequate utilities are not available for the new
equipment.
* Engineering or construction manpower will not be
available in time to meet the project schedule.
* Extensive maintenance may be required.
Quality Control
• More intensive QC may be needed.
* More rework may be required
Client Relations/Marketing
• Changes in product characteristics may affect customer
acceptance.
Inventory
* A program to reduce inventory (to avoid material
deterioration and reprocessing) may lead to stockouts
during high product demand.
Finance
• There Is not enough money to fund the project
Purchasing
* Existing stocks (or binding cdntracts) will delay the
replacement of a hazardous material with a non-
hazardous substitute.
Environmental
* Accepting another plant's waste as a feedstock may
require a lengthy resolution of regulatory issues.
Waste Treatment
• Use of a new nonhazardous raw material will adversely
impact the existing wastewater treatment facilrty.
Planning and Organization Summary
Table 2-4 provides a summary of the steps involved in
planning and organizing a waste minimization program.
Assessment Worksheets
Appendix A includes a set of worksheets for use in
planning and carrying out a waste minimization
assessment, and implementing the selected options.
Worksheet 1 summarizes the entire assessment
procedure. Worksheets 2 and 3 are used to record the
organization of the WM program task force and the
8
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individual assessment teams, respectively. Worksheet
3 includes a list of functions and departments that
should be considered when organizing the
assessment teams.
Table 2-4. Planning and Organization Activities
Summary
SETTING UP THE PROGRAM
Oat management commitment to:
* Establish waste minimization as a company goal.
* Establish a waste minimization program to meet this
goal,
* Give authority to the program task force to
Implement this program.
Set overall goals for the program. These goals should be:
• ACCEPTABLE to those who will work to achieve
them.
FLEXIBLE to adapt to changing requirements.
MEASURABLE over time.
MOTIVATIONAL
SUITABLE to the overall corporate goals.
UNDERSTANDABLE
ACHIEVABLE with a practical level of effort.
STAFFING THE PROGRAM TASK FORCE
Find a "cause champion", with the following attributes:
* Familiar with the facility, its production processes,
and its waste management operations.
• Familiar with the people.
• Familiar with quality control requirements.
* Good rapport with management.
* Familiar with new production and waste
management technology.
* Familiar with WM principles and techniques, and
environmental regulations.
• Aggressive managerial style.
Get people who know the facility, processes, and
procedures.
Get people from the affected departments or groups.
Production.
Facilities/Maintenance.
Process Engineering.
Quality Control.
Environmental.
Research and Development.
Safety/Health.
Marketing/Client Relations.
Purchasing.
Material Control/Inventory.
Legal.
Finance/Accounting.
Information Systems.
GETTING COMPANY-WIDE COMMITMENT
Incorporate the company's WM goats into departmental
goals.
Solicit employee cooperation and participation.
Devebp incentives and/or awards for managers and
employees.
-------
Section 3
Assessment Phase
The recognized need to minimize waste
i
Planning and
Organization
ASSESSMENT PHASE
Collect process and facility data
Prioritize and select assessment targets
Select people for assessment teams
Review data and inspect site
Generate options
Screen and select options for further study
±
Feasibility
Analysis Phase
Implementation
Successfully implemented
waste minimization projects
The purpose of the assessment phase is to develop a
comprehensive set of waste minimization options, and
to identify the attractive options that deserve
additional, more detailed analysis, tn order to develop
these WM options, a detailed understanding of the
plant's wastes and operations is required. The
assessment should begin by examining information
about the processes, operations, and waste
management practices at the facility.
Collecting and Compiling Data
The questions that this information gathering effort will
attempt to answer include the following:
• What are the waste streams generated from the
plant? And how much?
• Which processes or operations do these waste
streams come from?
* Which wastes are classified as hazardous and which
are not? What makes them hazardous?
• What are the input materials used that generate the
waste streams of a particular process or plant area?
• How much of a particular input material enters each
waste stream?
• How much of a raw material can be accounted for
through fugitive losses?
• How efficient is the process?
* Are unnecessary wastes generated by mixing
otherwise recyclable hazardous wastes with other
process wastes?
• What types of housekeeping practices are used to
limit the quantity of wastes generated?
* What types of process controls are used to improve
process efficiency?
Table 3-1 lists information that can be useful in
conducting the assessment. Reviewing this
information will provide important background for
understanding the plant's production and
maintenance processes and will allow priorities to be
determined. Worksheets 4 through 10 in Appendix A
can be used to record the information about site
characteristics, personnel, processes, input materials,
products, and waste streams. Worksheets 82 through
S6 in Appendix B are designed to record the same
information, but in a more simplified approach.
Waste Stream Records
One of the first tasks of a waste minimization
assessment is to identify and characterize the facility
waste streams. Information about waste streams can
come from a variety of sources. Some information on
waste quantities is readily available from the completed
hazardous waste manifests, which include the
description and quantity of hazardous waste shipped
to a TSDF. The total amount of hazardous waste
shipped during a one-year period, for example, is a
convenient means of measuring waste generation and
waste reduction efforts. However, manifests often lack
such information as chemical analysis of the waste,
specific source of the waste, and the time period
during which the waste was generated. Also,
manifests do not cover wastewater effluents, air
emissions, or nonhazardous solid wastes.
Other sources of information on waste str earns include
biennial reports and NPOES (National Pollutant
-------
Table 3-1. Facility Information for WM
Assessments
Design Information
* Process flow diagrams
* Material and heat balances (both design balances and
actual balances) for
production processes
pollution control processes
Operating manuals and process descriptions
Equipment lists
Equipment specifications and data sheets
Piping and instrument diagrams
Plot and elevation plans
Equipment layouts and work flow diagrams
Environmental Information
Hazardous waste manifests
Emission inventories
Biennial hazardous waste reports
Waste analyses
Environmental audit reports
Permits and/or permit applications
Raw Material/Production Information
Product composition and batch sheets
Material application diagrams
Material safety data sheets
Product and raw material inventory records
Operator data logs
Operating procedures
Production schedules
Economic Information
• Waste treatment and disposal costs
• Product, utility, and raw material costs
• Operating and maintenance costs
• Departmental cost accounting reports
Other Information
» Company environmental policy statements
* Standard procedures
« Organization charts
Discharge Elimination System) monitoring reports.
These NPDES monitoring reports will include the
volume and constituents of wastewaters that are
discharged. Additionally, toxic substance release
inventories prepared under the "right to know"
provisions of SARA Title III, Section 313 (Superfund
Amendment and Rtauthorization Act) may
provldevaluable information on emissions into all
environmental media (land, water, and air).
Analytical test data available from previous waste
evaluations and routine sampling programs can be
helpful if the focus of the assessment is a particular
chemical within a waste stream.
Flow Diagrams and Material Balances
Flow diagrams provide the basic means for identifying
and organizing information that is useful for the
assessment. Flow diagrams should be prepared to
identify important process steps and to identify
sources where wastes are generated. Flow diagrams
are also the foundation upon which material balances
are built.
Material balances are important for many WM projects,
since they allow for quantifying losses or emissions
that were previously unaccounted for Also, material
balances assist in developing the following
information:
* baseline for tracking progress of the WM efforts
* data to estimate the size and cost of additional
equipment and other modifications
* data to evaluate economic performance
In its simplest form, the material balance is represented
by the mass conservation principle:
Mass in = Mass out + Mass accumulated
The material balance should be made individually for all
components that enter and leave the process. When
chemical reactions take place in a system, there is an
advantage to doing "elemental balances" for specific
chemical elements in a system.
Material balances can assist in determining
concentrations of waste constituents where analytical
test data is limited. They are particularly useful where
there are points in the production process where it is
difficult (due to inaccessibility) or uneconomical to
collect analytical data. A material balance can help
determine if fugitive losses are occurring. For
example, the evaporation of solvent from a parts
cleaning tank can be estimated as the difference
between solvent put into the tank and solvent
removed from the tank.
To characterize waste streams by material balance can
require considerable effort. However, by doing so, a
more complete picture of the waste situation results.
This helps to establish the focus of the WM activities
and provides a baseline for measuring performance.
Appendix D lists potential sources of waste from
specific processes and operations.
Sources of Material Balance Information
By definition, the material balance includes both
materials entering and leaving a process. Table 3-2
lists potential sources of material balance information.
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Table 3-2. Sources of Material Balance
Information
* Samples, analyses, and flow measurements of feed
stocks, products, and waste streams
Raw material purchase records
Material inventories
Emission inventories
Equipment cleaning and validation procedures
Batch make-up records
Product specifications
Design material balances
Production records
Operating logs
Standard operating procedures and operating manuals
Waste manifests
Material balances are easier, more meaningful, and
more accurate when they are done for individual units,
operations, or processes. For this reason, It is
important to define the material balance envelope
properly. The envelope should be drawn around the
specifc area of concern, rather than a larger group of
areas or the entire facility. An overall material balance
for a facility can be constructed from individual unit
material balances. This effort will highlight
interrelationships between units and will help to point
out areas for waste minimization by way of cooperation
between different operating units or departments.
Pitfalls In Preparing Material Balances
There are several factors that must be considered
when preparing material balances in order to avoid
errors that could significantly overstate or understate
waste streams. The precision of analytical data and
flow measurements may not allow an accurate measure
of the stream. In particular, in processes with very large
inlet and outlet streams, the absolute error in
measurement of these quantities may be greater in
magnitude than the actual waste stream itself. In this
case, a reliable estimate of the waste stream cannot be
obtained by subtracting the quantity of hazardous
material in the product from that in the feed.
The time span is important when constructing a
material balance. Material balances constructed over a
shorter time span require more accurate and more
frequent stream monitoring in order to close the
balance. Material balances performed over the
duration of a complete production run are typically the
easiest to construct and are reasonably accurate. Time
duration also affects the use of raw material purchasing
records and onsite inventories for calculating input
material quantities. The quantities of materials
purchased during a specific time period may not
necessarily equal the quantity of materials used in
production during the same time period, since
purchased materials can accumulate in warehouses or
stockyards.
Developing material balances around complex
processes can be a complicated undertaking,
especially if recycle streams are present. Such tasks
are usually performed by chemical engineers, often
with the assistance of computerized process
simulators.
Material balances will often be needed to comply with
Section 313 of SARA (Superfund Amendment and
Reauthorization Act of 1986) in establishing emission
inventories for specific toxic chemicals. EPA's Office
of Toxic Substances (OTS) has prepared a guidance
manual entitled Estimating Releases and Waste
Treatment Efficiencies for the Toxic Chemicals
Inventory Form (EPA 560/4-88-02). The OTS manual
contains additional information for developing material
balances for the listed toxic chemicals. The information
presented in this manual applies to a WM assessment
when the material balances are for individual
operations being assessed rather than an overall
facility, when the variations in flow over time is
accounted for, and when the data is used from
separate streams rather than from aggregate streams.
Tracking Wastes
Measuring waste mass flows and compositions Is
something that should be done periodically. By
tracking wastes, seasonal variations in waste flows or
single large waste streams can be distinguished from
continual, constant flows. Indeed, changes in waste
generation cannot be meaningfully measured unless
the information is collected both before and after a
waste minimization option is implemented.
Fortunately, it is easier to do material balances the
second time, and gets even easier as more are done
because of the "learning curve" effect. In some larger
companies, computerized database systems have
been used to track wastes. Worksheets 9 and 10 in
Appendix A (and Worksheet S6 in Appendix B)
provide a means of recording pertinent waste stream
characteristics.
Prioritizing Waste Streams and/or
Operations to Assess
Ideally, all waste streams and plant operations should
be assessed. However, prioritizing the waste streams
and/or operations to assess is necessary when
available funds and/or personnel are limited. The WM
assessments should concentrate on the most
important waste problems first, and then move on to
the lower priority problems as the time, personnel, and
budget permit.
Setting the priorities of waste streams or facility areas to
assess requires a great deal of care and attention,
since this step focuses the remainder of the
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assessment activity. Table 3-3 lists important criteria to
consider when setting these priorities.
Table 3-3. Typical Considerations for
Prioritizing Waste Streams to Assess
• Compliance with currant and future regulations.
• Costs of waste management (treatment and disposal).
• Potential environmental and safety liability.
• Quantity of waste.
• Hazardous properties of the waste (including toxicity,
flammability, corrosivity, and reactivity).
* Other safety hazards to employees.
« Potential for (or ease of) minimization.
• Potential for removing bottlenecks in production or waste
treatment.
• Potential recovery of valuable by-products.
• Available budget for the waste minimization assessment
program and projects.
Worksheet 10 in Appendix A (Worksheet S6 in
Appendix B) provides a means for evaluating waste
stream priorities for the remainder of the assessment.
Small businesses, or large businesses with only a few
waste generating operations should assess their entire
facility. It is also beneficial to look at an entire facility
when there are a large number of similar operations.
Similarly, the implementation of good operating
practices that involve procedural or organizational
measures, such as soliciting employee suggestions,
awareness-building programs, better inventory and
maintenance procedures, and internal cost accounting
changes, should be Implemented on a facility-wide
basis. Since many of these options do not require
jarge capital expenditures, they should be
implemented as soon as practical.
Selecting the Assessment Teams
The WM program task force is concerned with the
whole plant. However, the focus of each of the
assessment teams is more specific, concentrating on a
particular waste stream or a particular area of the plant.
Each team should include people with direct
responsibility and knowledge of the particular waste
stream or area of the plant. Table 3-4 presents four
examples of teams for plants of various sizes in
different industries.
In addition to the internal staff, consider using outside
people, especially in the assessment and
implementation phases. They may be trade
association representatives, consultants, or experts
from a different facility of the same company. In large
multi-division companies, a centralized staff of experts
at the corporate headquarters may be available. One
or more "outsiders" can bring in new ideas and provide
an objective viewpoint. An outsider also is more likely
to counteract bias brought about by "inbreeding", or
Tabl* 3-4, Examples of WM Assessment Teams
1. Metal finishing department in a large defense contractor.
» Metal finishing department manager
» Process engineer responsible for metal finishing
processes
• Facilities engineer responsible for metal finishing
department*
* Wastewater treatment department supervisor
* Staff environmental engineer
2. Small pesticide formulator.
« Production manager*
• Environmental manager
* Maintenance supervisor
* Pesticide industry consultant
3. Cyanide plating operation at a military facility.
• Internal assessment team
- Environmental coordinator*
- Environmental engineer
- Electroplating facility engineering supervisor
- Metallurgist
- Materials science group chemist
* Outside assessment team
- Chemical engineers (2)
- Environmental engineering consultant
- Plating chemistry consultant
4. Large offset printing facility.
* Internal assessment team
- Plant vice president
- Film processing supervisor
- Pressroom supervisor
* Outside assessment team
- Chemical engineers (2)*
- Environmental scientist
- Printing industry technical consultant
* - Team leader
the "sacred cow" syndrome, such as when an old
process area, rich in history, undergoes an
assessment.
Outside consultants can bring a wide variety of
experience and expertise to a waste minimization
assessment. Consultants may be especially useful to
smaller companies who may not have in-house
expertise in the relevant waste minimization
techniques and technologies.
Production operators and line employees must not be
overlooked as a source of WM suggestions, since they
possess firsthand knowledge and experience with the
process. Their assistance is especially useful in
assessing operational or procedural changes, or in
equipment modifications that affect the way they do
their work.
"Quality circles" have been instituted by many
companies, particularly in manufacturing industries, to
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improve product quality and production efficiency.
These quality circles consist of meetings of workers
and supervisors, where improvements are proposed
and evaluated. Quality circles are beneficial in that they
involve the production people who are closely
associated with the operations, and foster participation
and commitment to improvement. Several large
companies that have quality circles have used them as
a means of soliciting successful suggestions for waste
minimization.
Site Inspection
With a specific area or waste stream selected, and with
the assessment team in place, the assessment
continues with a visit to the site. In the case where the
entire assessment team is employed at the plant being
assessed, the team should have become very familiar
with the specific area in the process of collecting the
operating and design data. The members of the
assessment team should familiarize themselves with
the site as much as possible. Although the collected
information is critical to gaining an understanding of the
processes involved, seeing the site is important in
order to witness the actual operation. For example, in
many instances, a process unit is operated differently
from the method originally described in the operating
manual. Modifications may have been made to the
equipment that were not recorded in the flow diagrams
or equipment lists.
When people from outside of the plant participate in
the assessment, it is recommended that a formal site
inspection take place. Even when the team is made up
entirely of plant employees, a site inspection by all
team members is helpful after the site information has
been collected and reviewed. The inspection helps to
resolve questions or conflicting data uncovered during
the review. The site inspection also provides
additional information to supplement that obtained
earlier.
When the assessment team includes members
employed outside of the plant, the team should
prepare a list of needed information and an inspection
agenda. The list can be presented in the form of a
checklist detailing objectives, questions and issues to
be resolved, and/or further information requirements.
The agenda and information list are given to the
appropriate plant personnel in the areas to be
assessed early enough before the visit to allow them to
assemble the information in advance. Of course, it may
be that the assessment team members themselves are
in the best position to collect and compile much of the
data. By carefully thinking out the agenda and needs
list, important points are less likely to be overlooked
during the inspection. Table 3-5 presents useful
guidelines for the site inspection.
Tabl* 3*5. Guidelines for the Slta Inspection
* Prepare an agenda in advance that covers all points that
still require clarification. Provide staff contacts in the
area being assessed with the agenda several days
before the inspection.
* Schedule the inspection to coincide with the particular
operation that is of interest (e.g., make-up chemical
addition, bath sampling, bath dumping, start-up,
shutdown, etc.).
* Monitor the operation at different times during the shift,
and if needed, during all three shifts, especially when
waste generation is highly dependent on human
involvement (e.g., in painting or parts cleaning
operations).
* Interview the operators, shift supervisors, and foremen in
the assessed area. Do not hesitate to question more
than one person if an answer is not forthcoming. Assess
the operators' and their supervisors' awareness of the
waste generation aspects of the operation. Note their
familiarity (or lack thereof) with the impacts their
operation may have on other operations.
• Photograph the area of interest, if warranted.
Photographs are valuable in the absence of plant layout
drawings. Many details can be captured in photographs
that otherwise could be forgotten or inaccurately recalled
at a later date.
* Observe the "housekeeping" aspects of the operation.
Check for signs of spills or leaks. Visit the maintenance
shop and ask about any problems in keeping the
equipment leak-free. Assess the overall cleanliness of
the site. Pay attention to odors and fumes.
* Assess the organizational structure and level of
coordination of environmental activities between various
departments.
• Assess administrative controls, such as cost accounting
procedures, material purchasing procedures, and waste
collection procedures.
In performing the site inspection the assessment team
should follow the process from the point where raw
materials enter the area to the point where the
products and the wastes leave the area. The team
should identify the suspected sources of waste. This
may include the production process; maintenance
operations; storage areas for raw materials, finished
product, and work-in-process. Recognize that the
plant's waste treatment area itself may also offer
opportunities to minimize waste. This inspection often
results in forming preliminary conclusions about the
causes of waste generation. Full confirmation of these
conclusions may require additional data collection,
analysis, and/or site visits.
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Generating WM Options
Once the origins and causes of waste generation are
understood, the assessment process enters the
creative phase. The objective of this step is to
generate a comprehensive set of WM options for
further consideration. Following the collection of data
and site inspections, the members of the team will
have begun to identify possible ways to minimize
waste in the assessed area. Identifying potential
options relies both on the expertise and creativity of
the team members. Much of the requisite knowledge
may come from their education and on-the-job
experience, however, the use of technical literature,
contacts, and other sources is always helpful. Some
sources of background information for waste
minimization techniques are listed in Table 3-6.
Tabl* 3-6. Sources of Background Information
on WM Options
Trade associations
As part of their overall function to assist companies
within their industry, trade associations generally
provide assistance and information about environmental
regulations and various available techniques for
complying with these regulations. The information
provided is especially valuable since it Is industry-
specific.
Plant engineers and operators
The employees that are intimately familiar with a facility's
operations are often the best source of suggestbns for
potential WM options.
Published literature
Technical magazines, trade journals, government
reports, and research briefs often contain information
that can be used as waste minimization options.
State and local environmental agencies
A number of states and local agendas have, or are
developing, programs that include technical assistance,
information on industry-specific waste minimization
techniques, and compiled bibliographies. Appendix E
provides a list of addresses for state and federal
programs for WM assistance.
Equipment vendors
Meetings with equipment vendors, as well as vendor
literature, are particularly useful in Identifying potential
equipment-oriented options. Vendors are eager to assist
companies in implementing projects. Remember, though,
that the vendor's job is to sell equipment
Consultants
Consultants can provide information about WM
techniques. Section 2 discusses the use of consultants
in WM programs. A consultant with waste minimization
experience in your particular Industry is most desirable.
Waste Minimization Options
The process for identifying options should follow a
hierarchy in which source reduction options are
explored first, followed by recycling options. This
hierarchy of effort stems from the environmental
desirability of source reduction as the preferred means
of minimizing waste. Treatment options should be
considered only after acceptable waste minimization
techniques have been identified.
Recycling techniques allow hazardous materials to be
put to a beneficial use. Source reduction techniques
avoid the generation of hazardous wastes, thereby
eliminating the problems associated with handling
these wastes. Recycling techniques may be
performed onsite or at an offsite facility designed to
recycle the waste.
Source reduction techniques are characterized as
good operating practices, technology changes,
material changes, or product changes. Recycling
techniques are characterized as use/reuse techniques
and resource recovery techniques. • These techniques
are described below:
Source Reduction: Good Operating
Practices
Good operating practices are procedural,
administrative, or institutional measures that a company
can use to minimize waste. Good operating practices
apply to the human aspect of manufacturing
operations. Many of these measures are used in
industry largely as efficiency improvements and good
management practices. Good operating practices can
often be implemented with little cost and, therefore,
have a high return on investment. These practices can
be implemented in all areas of a plant, including
production, maintenance operations, and in raw
material and product storage. Good operating
practices include the following:
Waste minimization programs
Management and personnel practices
Material handling and inventory practices
Loss prevention
Waste segregation
Cost accounting practices
Production scheduling
Management and personnel practices include
employee training, incentives and bonuses, and other
programs that encourage employees to
conscientiously strive to reduce waste. Material
handling and inventory practices include programs to
reduce loss of input materials due to mishandling,
expired shelf life of time-sensitive materials, and
proper storage conditions. Loss prevention minimizes
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wastes by avoiding leaks from equipment and spills.
Waste segregation practices reduce the volume of
hazardous wastes by preventing the mixing of
hazardous and nonhazardous wastes. Cost
accounting practices include programs to allocate
waste treatment and disposal costs directly to the
departments or groups that generate waste, rather
than charging these costs to general company
overhead accounts. In doing so, the departments or
groups that generate the waste become more aware of
the effects of their treatment and disposal practices,
and have a financial incentive to minimize their waste.
By judicious scheduling of batch production runs, the
frequency of equipment cleaning and the resulting
waste can be reduced.
Example: Good Operating Practice®
A large consumer product company in California
adopted a corporate policy to minimize the
generation of hazardous waste. In order to
implement the policy, the company mobilized
quality circles made up of employees representing
areas within the plant that generated hazardous
wastes. The company experienced a 75%
reduction in the amount of wastes generated by
instituting proper maintenance procedures
suggested by the quality circle teams. Since the
team members were also line supervisors and
operators, they made sure the procedures were
followed.
Source Reduction: Technology Changes
Technology changes are oriented toward process and
equipment modifications to reduce waste, primarily in a
production setting. Technology changes can range
from minor changes that can be Implemented in a
matter of days at low cost, to the replacement of
processes involving large capital costs. These
changes include the following:
* Changes in the production process
• Equipment, layout, or piping changes
• Use of automation
• Changes in process operating conditions, such as
- Flow rates
- Temperatures
- Pressures
- Residence times
Example: Technology Changes
A manufacturer of fabricated metal products
cleaned nickel and titanium wire in an alkaline
chemical bath prior to using the wire in their product.
In 1986, the company began to experiment with a
mechanical abrasive system. The wire was passed
through the system which uses silk and carbide
pads and pressure to brighten the metal. The
system worked, but required passing the wire
through the unit twice for complete cleaning. In
1987. The company bought a second abrasive unit
and installed it in series with the first unit. This
system allowed the company to completely
eliminate the need for the chemical cleaning bath.
Source Reduction: Input Material Changes
Input material changes accomplish waste minimization
by reducing or eliminating the hazardous materials that
enter the production process. Also, changes in input
materials can be made to avoid the generation of
hazardous wastes within the production processes.
Input material changes include:
* Material purification
• Material substitution
Example: Input Material Changes
An electronic manufacturing facility of a large
diversified corporation originally cleaned printed
ciruit boards with solvents. The company found that
by switching from a solvent-based cleaning system
to an aqueous-based system that the same
operating conditions and workloads could be
maintained. The aqueous-based system was found
to clean six times more effectively. This resulted in a
lower product reject rate, and eliminated a
hazardous waste.
Source Reduction: Product Changes
Product changes are performed by the manufacturer
of a product with the intent of reducing waste resulting
from a product's use. Product changes include:
• Product substitution
• Product conservation
• Changes in product composition
Example: Product changes
In the paint manufacturing industry, water-based
coatings are finding increasing applications where
solvent-based paints were used before. These
products do not contain toxic or flammable solvents
that make solvent-based paints hazardous when
they are disposed of. Also, cleaning the applicators
with solvent is not necessary. The use of water-
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based paints Instead of solvent-based paints also
greatly reduces volatile organic compound
emisstons to the atmosphere.
Recycling: Use and Reuse
Recycling via use and/or reuse involves the return of a
.waste material either to the originating process as a
substitute for an input material, or to another process
as an input material.
Example: Reuse
A printer of newpaper advertising in California
purchased an ink recycling unit to produce black
newspaper ink from its various waste inks. The unit
blends the different colors of waste ink together
with fresh black ink and black toner to create the
black ink. This ink is then filtered to remove flakes of
dried ink. This ink is used in place of fresh black ink,
and eliminates the need for the company to ship
waste ink off site for disposal. The price of the
recycling unit was paid off in 18 months based only
on the sayings in fresh black ink purchases. The
payback improved to 9 months when the costs for
disposing of ink as a hazardous waste are included.
Recycling: Reclamation
Reclamation Is the recovery of a valuable material from
a hazardous waste. Reclamation techniques differ
from use and reuse techniques in that the recovered
material is not used in the facility, rather it is sold to
another company.
Example: Reclamation
A photoprocessing company uses an electrolytic
deposition cell to recover silver out of the rinsewater
from film processing equipment. The silver is then
sold to a small recyder. By removing the silver from
this wastewater, the wastewater can be discharged
to the sewer without additional pretreatment by the
company. This unit pays for itself in less than two
years with the value of silver recovered.
The company also collects used film and sells it to
the same recyder. The recyder burns the film and
collects the silver from the the residual ash. By
removing the silver from the ash, the ash becomes
nonhazardous.
Appendix E lists many WM techniques and concepts
applicable to common waste-generating operations
(coating, equipment cleaning, parts cleaning, and
materials handling). Additionally, a list of good
operating practices is provided.
Methods of Generating Options
The process by which waste minimization options are
identified should occur in an environment that
encourages creativity and independent thinking by the
members of the assessment team. While the individual
team members will suggest many potential options on
their own, the process can be enhanced by using
some of the common group decision techniques.
These techniques allow the assessment team to
identify options that the individual members might not
have come up with on their own. Brainstorming
sessions with the team members are an effective way
of developing WM options. Most management or
organizational behavior textbooks describe group
decision techniques, such as brainstorming or the
nominal group technique.
Worksheet 11 in Appendix A is a form for listing
options that are proposed during an option generation
session. Worksheet 12 in Appendix A is used to
briefly describe and document the options that are
proposed. Worksheets S7 and 88 in Appendix B
perform the same function in the simplified set of
worksheets.
Screening and Selecting Options for Further
Study
Many waste minimization options will be identified in a
successful assessment. At this point, it is necessary to
identify those options that offer real potential to
minimize waste and reduce costs. Since detailed
evaluation of technical and economic feasibility is
usually costly, the proposed options should be
screened to identify those that deserve further
evaluation. The screening procedure serves to
eliminate suggested options that appear marginal,
impractical, or inferior without a detailed and more
costly feasibility study.
The screening procedures can range from an informal
review and a decision made by the program manager or
a vote of the team members, to quantitative decision-
making tools. The informal evaluation is an
unstructured procedure by which the assessment
team or WM program task force selects the options that
appear to be the best. This method is especially useful
in small facilities, with small management groups, or in
situations where only a few options have been
generated. This method consists of a discussion and
examination of each option.
The weighted sum method is a means of quantifying
the important factors that affect waste management at a
-------
particular facility, and how each option will perform with
respect to these factors. This method is
recommended when there are a large number of
options to consider. Appendix Q presents the
weighted sum method in greater detail, along with an
example. Worksheet 13 in Appendix A is designed to
screen and rank options using this method.
The assessment procedure is flexible enough to allow
common group decision-making techniques to be
used here. For example, many large corporations
currently use decision-making systems that can be
used to screen and rank WM options.
No matter what method is used, the screening
procedure should consider the following questions.
* What is the main benefit gained by implementing
this option? (e.g., economics, compliance, liability,
workplace safety, etc.)
• Does the necessary technology exist to develop
the option?
• How much does ft cost? Is it cost effective?
• Can the option be implemented within a reasonable
amount of time without disrupting production?
• Does the option have a good "track record"? If not,
is there convincing evidence that the option will
work as required?
* Does the option have a good chance of success?
(A successfully initiated WM program will gain wider
acceptance as the program progresses.)
• What other benefits will occur?
The results of the screening activity are used to
promote the successful options for technical and
economic feasibility analyses. The number of options
chosen for the feasibility analyses depends on the
time, budget, and resources available for such a study.
Some options (such as procedural changes) may
involve no capital costs and can be implemented
quickly with little or no further evaluation. The
screening procedure should account for ease of
implementation of an option. If such an option is clearly
desirable and Indicates a potential cost savings, ft
should be promoted for further study or outright
implementation.
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Section 4
Feasibility Analysis
The recognized need to minimize waste
Planning and
Organization
Assessment
Phase
FEASIBILITY ANALYSIS PHASE
• Technical evaluation
• Economic evaluation
• Select options for implementation
Implementation
Successfully implemented
waste minimization projects
The final product of the assessment phase is a list of
WM options for the assessed area. The assessment
will have screened out the impractical or unattractive
options. The next step is to determine if the remaining
options are technically and economically feasible.
Technical Evaluation
The technical evaluation determines whether a
proposed WM option will work in a specific application.
The assessment team should use a "fast-track"
approach in evaluating procedural changes that do not
involve a significant capital expenditure. Process
testing of materials can be done relatively quickly, if the
options do not involve major equipment installation or
modifications.
For equipment-related options or process changes,
visits to see existing installations can be arranged
through equipment vendors and industry contacts.
The operator's comments are especially important and
should be compared with the vendor's claims. Bench-
scale or pilot-scale demonstration is often necessary.
Often it is possible to obtain scale-up data using a
rental test unit for bench-scale or pilot-scale
experiments. Some vendors will install equipment on a
trial basis, with acceptance and payment after a
prescribed time, if the user is satisfied.
The technical evaluation of an option also must
consider facility constraints and product requirements,
such as those described in Table 4-1. Although an
inability to meet these constraints may not present
insurmountable problems, correcting them will likely
add to the capital and/or operating costs.
Table 4-1. Typical Technical Evaluation Criteria
• Is the system safe for workers?
• * Will product quality be maintained?
• Is space available?
• Is the new equipment, materials, or procedures
compatible with production operating procedures, work
flow, and production rates?
• Is additional labor required?
• Are utilitities available? Or must they be installed,
thereby raising capital costs?
• How long will production be stopped in order to install the
system?
• Is special expertise required to operate or maintain the
new system?
• Does the vendor provide acceptable service?
• Does the system create other environmental problems?
All affected groups in the facility should contribute to
and review the results of the technical evaluation. Prior
consultation and review with the affected groups (e.g.,
production, maintenance, purchasing) is needed to
ensure the viability and acceptance of an option. If the
option calls for a change in production methods or
input materials, the project's effects on the quality of
the final product must be determined. If after the
technical evaluation, the project appears infeasible or
impractical, it should be dropped. Worksheet 14 in
Appendix A is a checklist of important items to consider
when evaluating the technical feasibility of a WM
option.
Economic Evaluation
The economic evaluation is carried out using standard
measures of profitability, such as payback period,
return on investment, and net present value. Each
organization has its own economic criteria for selecting
projects for implementation. In performing the
economic evaluation, various costs and savings must
be considered. As in any projects, the cost elements
of a WM project can be broken down into capital costs
and operating costs. The economic analysis described
in this section and in the associated worksheets
represents a preliminary, rather than detailed, analysis.
For smaller facilities with only a few processes, the
entire WM assessment procedure will tend to be much
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Table 4-2. Capital Investment for a Typical
Large WM Project
Direct Capital Costs
Site Development
Demolition and alteration work
Site clearing and grading
Walkways, roads, and fencing
Process Equipment
All equipment listed on flow sheets
Spare parts
Taxes, freight, insurance, and duties
Materials
Piping and ducting
Insulation and painting
Electrical
Instrumentation and controls
Buildings and structures
Connections to Existing Utilities and Services (water,
HVAC, power, steam, refrigeration, fuels, plant air
and Inert gas, lighting, and fire control}
New Utility and Service Facilities (same items as above)
Other Non-Process Equipment
Construction/Installation
Construction/Installation labor salaries and burden
Supervision, accounting, timekeeping, purchasing,
safety, and expediting
Temporary facilities
Construction tools and equipment
Taxes and insurance
Building permits, field tests, licenses
Indirect Capital Costs
In-house engineering, procurement, and other home
office costs
Outside engineering, design, and consulting Services
Permitting costs
Contractors' fees
Start-up costs
Training costs
Contingency
Interest accrued during construction
TOTAL FIXED CAPITAL COSTS
Working Capital
Raw materials inventory
Finished product inventory
Materials and supplies
TOTAL WORKING CAPITAL
TOTAL CAPITAL INVESTMENT
Source: Adapted from Perry, Chemical Engineer's
Handbook (1985); and Peters and Timmerhaus, Plant Design
and Economics for Chemical Engineers (1980).
less formal. In this situation, several obvious WM
options, such as installation of flow controls and good
operating practices may be implemented with little or
no economic evaluation. In these instances, no
complicated analyses are necessary to demonstrate
the advantages of adopting the selected WM options.
A proper perspective must be maintained between the
magnitude of savings that a potential option may offer,
and the amount of manpower required to do the
technical and economic feasibility analyses.
Capital Costa
Table 4-2 is a comprehensive list of capital cost Hems
associated with a large plant upgrading project. These
costs include not only the fixed capital costs for
designing, purchasing, and installing equipment, but
also costs for working capital, permitting, training, start-
up, and financing charges.
With the increasing level of environmental regulations,
initial permitting costs are becoming a significant
portion of capital costs for many recycling options (as
well as treatment, storage, and disposal options).
Many source reduction techniques have the
advantage of not requiring environmental permitting in
order to be implemented.
Operating Costa and Savings
The basic economic goal of any waste minimization
project is to reduce (or eliminate) waste disposal costs
and to reduce input material costs. However, a variety
of other operating costs (and savings) should also be
considered. In making the economic evaluation, it Is
convenient to use incremental operating costs in
comparing the existing system with the new system
that incorporates the waste minimization option.
("Incremental operating costs" represent the
difference between the estimated operating costs
associated with the WM option, and the actual
operating costs of the existing system, without the
option.) Table 4-3 describes incremental operating
costs and savings and incremental revenues typically
associated with waste minimization projects.
Reducing or avoiding present and future operating
costs associated with waste treatment, storage, and
disposal are major elements of the WM project
economic evaluation. Companies have tended to
ignore these costs in the past because land disposal
was relatively inexpensive. However, recent regulatory
requirements imposed on generators and waste
management facilities have caused the costs of waste
management to increase to the point where ft is
becoming a significant factor in a company's overall
cost structure. Table 4-4 presents typical external
costs for offsite waste treatment and disposal. In
addition to these external costs, there are significant
internal costs, including the labor to store and ship out
wastes, liability insurance costs, and onsite treatment
costs.
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Table 4-3. Operating Costs and Savings
Associated with WM Projects
Reduced waste management costs.
This includes reductions in costs for:
Offsite treatment, storage, and disposal fees
State fees and taxes on hazardous waste generators
Transportation costs
Onsite treatment, storage, and handling costs
Permitting, reporting, and recordkeeping costs
Input material cost savings.
An option that reduces waste usually decreases the
demand for input materials.
Insurance and liability savings.
A WM option may be significant enough to reduce a
company's insurance payments. It may also lower a
company's potential liability associated with remedial
clean-up of TSDFs and workplace safety. (The
magnitude of liability savings is difficult to determine).
Changes in costs associated with quality.
A WM option may have a positive or negative effect on
product quality. This could result in higher (or lower)
costs for rework, scrap, or quality control functions.
Changes in utilities costs.
Utilities costs may increase or decrease. This includes
steam, electricity, process and cooling water, plant air,
refrigeration, or inert gas.
Changes in operating and maintenance labor, burden, and
benefits.
An option may either Increase or decrease labor
requirements. This may be reflected in changes in
overtime hours or in changes in the number of
employees. When direct labor costs change, then the
burden and benefit costs will also change, in large
projects, supervision costs will also change.
Changes in operating and maintenance supplies,
An option may result increase or decrease the use of
O&M supplies.
Changes in overhead costs.
Large WM projects may affect a facility's overhead
costs.
Changes in revenues from increased (or decreased)
production.
An option may result in an increase in the productivity of
a unit. This will result in a change in revenues. (Note that
operating costs may also change accordingly.)
Increased revenues from by-products,
A WM option may produce a by-product that can be sold
to a recycler or sold to another company as a raw
material. This will increase the company's revenues.
Table 4-4. Typical Costs of Offsite Industrial
Waste Management*
Disposal
Drummed hazardous waste**
Solids $75 to $110 per drum
Liquids $65 to $120 per drum
Bulk waste
Solids $120 per cubic yard
Liquids $0.60 to $2.30 per gallon
Lab packs $110 per drum
Analysis (at disposal site)
Transportation
$200 to $300
$65 to $85 per hour @ 45 miles
per hour (round trip)
* - Does not include internal costs, such as taxes and fees,
and labor for manifest preparation, storage, handling, and
recordkeeping.
**- Based on 55 gallon drums. These prices are for larger
quantities of drummed wastes. Disposal of a small
number of drums can be up to four times higher per
drum.
For the purpose of evaluating a project to reduce
waste quantities, some types of costs are larger and
more easily quantified. These include:
disposal fees
transportation costs
predisposal treatment costs
raw materials costs
operating and maintenance costs.
ft is suggested that savings in these costs be taken
Into consideration first, because they have a greater
effect on project economics and involve less effort to
estimate reliably. The remaining elements are usually
secondary in their direct impact and should be
included on an as-needed basis in fine-tuning the
analysis.
Profitability Analysis
A project's profitability is measured using the estimated
net cash flows (cash incomes minus cash outlays) for
each year of the project's life. A profitability analysis
example in Appendix H includes two cash flow tables
(Figure H-3 and H-4).
if the project has no significant capital costs, the
project's profitability can be judged by whether an
operating cost savings occurs or not. If such a project
reduces overall operating costs, it should be
implemented as soon as practical.
-------
For projects with significant capital costs, a more
detailed profitability analysis is necessary. The three
standard profitability measures are:
» Payback period
* Internal rate of return (IRR)
• Net present value
The payback period for a project is the amount of time ft
takes to recover the Initial cash outlay on the project.
The formula for calculating the payback period on a
pretax basis is the following:
Payback period
(in years)
Capital investment
Annual operating cost savings
For example, suppose a waste generator installs a
piece of equipment at a total cost of $120,000. If the
piece of equipment is expected to save $48,000 per
year, then the payback period is 2.5 years.
Payback periods are typically measured in years.
However, a particularly attractive project may have a
payback period measured in months. Payback periods
in the range of three to four years are usually
considered acceptable for low-risk investments. This
method is recommended for quick assessments of
profitability, if large capital expenditures are involved, it
is usually followed by more detailed analysis.
The internal rate of return (IRR) and the net present
value (NPV) are both discounted cash flow techniques
for determining profitability. Many companies use
these methods for ranking capital projects that are
competing for funds. Capital funding for a project may
well hinge on the ability of the project to generate
positive cash flows beyond the payback period to
realize acceptable return on investment. Both the
NPV and IRR recognize the time value of money by
discounting the projected future net cash flows to the
present. For investments with a low level of risk, an
aftertax IRR of 12 to 15 percent is typically acceptable.
Most of the popular spreadsheet programs for
personal computers will automatically calculate IRR and
NPV for a series of cash flows. Refer to any financial
management, cost accounting, or engineering
economics text for more information on determining
the IRR or NPV. Appendix H presents a profitability
analysis example for a WM project using IRR and NPV.
Adjustments for Risks and Liability
As mentioned earlier, waste minimization projects may
reduce the magnitude of environmental and safety
risks for a company. Although these risks can be
identified, it is difficult to predict if problems occur, the
nature of the problems, and their resulting magnitude.
One way of accounting for the reduction of these risks
is to ease the financial performance requirements of
the project. For example, the acceptable payback may
be lengthened from four to five years, or the required
internal rate of return may be lowered from 15 percent
to 12 percent. Such adjustments reflect recognition of
elements that affect the risk exposure of the company,
but cannot be included directly in the analyses. These
adjustments are judgmental and necessarily reflect the
individual viewpoints of the people evaluating the
project for capital funding. Therefore, it is important
that the financial analysts and the decision makers in
the company be aware of the risk reduction and other
benefits of the WM options. As a policy to encourage
waste minimization, some companies have set tower
hurdle rates for WM projects.
While the profitability is important in deciding whether
or not to implement an option, environmental
regulations may be even more important. A company
operating in violation of environmental regulations can
face fines, lawsuits, and criminal penalties for the
company's managers. Ultimately, the facility may even
be forced to shut down. In this case the total cash flow
of a company can hinge upon implementing the
environmental project.
Worksheets for Economic Evaluation
Worksheets 15 through 17 in Appendix A are used to
determine the economic evaluation of a WM option.
Worksheet 15 is a checklist of capital and operating
cost items. Worksheet 16 is used to find a simple
payback period for an option that requires capital
investment. Worksheet 17 is used to find the net
present value and internal rate of return for an option
that requires capital investment. Worksheet 89 in
Appendix B is used to record estimated capital and
operating costs, and to determine the payback period
in the simplified assessment procedure.
Final Report
The product of a waste minimization assessment is a
report that presents the results of the assessment and
the technical and economic feasibility analyses. The
report also containes recommendations to implement
the feasible options.
A good final report can be an important tool for getting
a project implemented. It is particularly valuable in
obtaining funding for the project. In presenting the
feasibility analyses, it is often useful to evaluate the
project under different scenarios. For example,
comparing a projects's profitability under optimistic and
pessimistic assumptions (such as increasing waste
disposal costs) can be beneficial. Sensitivity analyses
that indicate the effect of key variables on profitability
are also useful.
-------
The report should include not only how much the
project will cost and its expected performance, but also
how it will be done. H is important to discuss:
* whether the technology is established, with
mention of succesful applications;
• the required resources and how they will be
obtained;
* estimated construction period;
* estimated production downtime;
• how the performance of the project can be
evaluated after it is implemented.
Before the report is finalized, it is important to review
the results with the affected departments and to solicit
their support. By having department representatives
assist in preparing and reviewing the report, the
chances are increased that the projects will be
implemented. In summarizing the results, a qualitative
evaluation of intangible costs and benefits to the
company should be included. Reduced liabilities and
improved image in the eyes of the employees and the
community should be discussed.
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Section 5
Implementing Waste Minimization Options
The recognized need to minimize waste
Planning and
Organization
Assessment
Phase
Feasibility
Analysis Phase
IMPLEMENTATION
Justify projects and obtain funding
Installation (equipment)
Implementation (procedure)
Evaluate performance
Successfully implemented
waste minimization projects
The WM assessment report provides the basis for
obtaining company funding of WM projects. Because
projects are not always sold on their technical merits
alone, a clear description of both tangible and
intangible benefits can help edge a proposed project
past competing projects for funding.
The champions of the WM assessment program
should be flexible enough to develop alternatives or
modifications. They should also be committed to the
point of doing background and support work, and
should anticipated potential problems in implementing
the options. Above all, they should keep in mind that
an idea will not sell if the sponsors are not sold on it
themselves.
Obtaining Funding
Waste reduction projects generally involve
improvements in process efficiency and/or reductions
in operating costs of waste management. However, an
organization's capital resources may be prioritized
toward enhancing future revenues (for example,
moving into new lines of business, expanding plant
capacity, or acquiring other companies), rather than
toward cutting current costs. If this is the case, then a
sound waste reduction project could be postponed
until the next capital budgeting period. It is then up to
the project sponsor to ensure that the project is
reconsidered at that time.
Knowing the level within the organization that has
approval authority for capital projects will help in
enlisting the appropriate support. In large
corporations, smaller projects are typically approved at
the plant manager level, medium-size projects at the
divisional vice president level, and larger projects at the
executive committee level.
An evaluation team made up of financial and technical
personnel can ensure that a sponsor's enthusiasm is
balanced with objectivity. It can also serve to quell
opposing "cant be done" or "if it aint broke, don't fix it"
attitudes that might be encountered within the
organization. The team should review the project in
the context of:
• past experience in this area of operation
• what the market and the competition are doing
• how the implementation program fits Into the
company's overall business strategy
• advantages of the proposal in relation to competing
requests for capital funding
Even when a project promises a high interal rate of
return, some companies will have difficulty raising
funds internally for capital investment. In this case, the
company should look to outside financing. The
company generally has two major sources to consider:
private sector financing and government-assisted
funding.
Private sector financing includes bank loans and other
conventional sources of financing. Government
financing is available in some cases. It may be
worthwhile to contact your state's Department of
Commerce or the federal Small Business
Administration for information regarding loans for
pollution control or hazardous waste disposal projects.
Some states can provide technical and financial
assistance. Appendix F includes a list of states
providing this assistance and addresses to get
information.
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Installation
Waste minimization options that involve operational,
procedural, or materials changes (without additions or
modifications to equipment) should be implemented
as soon as the potential cost savings have been
determined. For projects involving equipment
modifications or new equipment, the installation of a
waste minimization project is essentially no different
from any other capital improvement project. The
phases of the project include planning, design,
procurement, and construction.
Worksheet 18 is a form for documenting the progress
of a WM project through the implementation phase.
Demonstration and Follow-up
After the waste minimization option has been
implemented, it remains to be seen how effective the
option actually turns put to be. Options that don't
measure up to their original performance expectations
may requre rework or modifications. It is important to
get warranties from vendors prior to installation of the
equipment.
The documentation provided through a follow-up
evaluation represents an important source of
information for future uses of the option in other
facilities. Worksheet 19 is a form for evaluating the
performance of an implemented WM option. The
experience gained in implementing an option at one
facility can be used to reduce the problems and costs
of implementing options at subsequent facilities.
Measuring Waste Reduction
One measure of effectiveness for a WM project is the
project's effect on the organization's cash flow. The
project should pay for itself through reduced waste
management costs and reduced raw materials costs.
However, it is also important to measure the actual
reduction of waste accomplished by the WM project.
The easiest way to measure waste reduction is by
recording the quantities of waste generated before
and after a WM project has been implemented. The
difference, dividied by the original waste generation
rate, represents the percentage reduction in waste
quantity. However, this simple measurement ignores
other factors that also affect the quantity of waste
generated.
In general, waste generation is directly dependent on
the production rate. Therefore, the ratio of waste
generation rate to production rate is a convenient way
of measuring waste reduction.
Expressing waste reduction in terms of the ratio of
waste to production rates is not free of problems,
however. One of these problems is the danger of
using the ratio of infrequent large quantities to the
production rate. This problem is illustrated by a
situation where a plant undergoes a major overhaul
involving equipment cleaning, paint stripping, and
repainting. Such overhauls are fairly infrequent and
are typically performed every three to five years. The
decision to include this intermittent stream in the
calculation of the waste reduction index, based on the
ratio of waste rate to product rate, would lead to an
increase in this index. This decision cannot be
justified, however, since the infrequent generation of
painting wastes is not a function of production rate. In
a situation like this, the waste reduction progress
should be measured in terms of the ratio of waste
quantity or materials use to the square footage of the
area painted. In general, a distinction should be made
between production- related wastes and maintenance-
related wastes and clean-up wastes.
Also, a few waste streams may be inversely
proportional to production rate. For example, a waste
resulting from outdated input materials is likely to
increase if the production rate decreases. This is
because the age-dated materials in inventory are more
likely to expire when their use in production
decreases.
For these reasons, care must be taken when
expressing the extent of waste reduction. This
requires that the means by which wastes are
generated be well understood.
In measuring waste reduction, the total quantity of an
individual waste stream should be measured, as well as
the individual waste components or characteristics.
Many companies have reported substantial reduction
in the quanitites of waste disposed. Often, much of
the reduction can be traced to good housekeeping
and steps taken to concentrate a dilute aqueous
waste. Although concentration, as such, does not fall
within the definition of waste minimization, there are
practical benefits that result from concentrating
wastewater streams, including decreased disposal
costs. Concentration may render a waste stream easier
to recycle, and is also desirable if a facility's current
wastewater treatment system is overloaded.
Obtaining good quality data for waste stream quanities,
flows, and composition can be costly and time
consuming. For this reason, it may be practical, in
some instances, to express waste reduction indirectly
in terms of the ratio of input materials consumption to
production rate. These data are easier to obtain,
although the measure is not direct.
-------
Measuring waste minimization by using a ratio of waste
quantity to material throughput or product output is
generally more meaningful for specific units or
operations, rather than for an entire facility. Therefore,
it is important to preserve the focus of the WM project
when measuring and reporting progress. For those
operations not involving chemical reactions, it may be
helpful to measure WM progress by using the ratio of
input material quantity to material throughput or
production rate.
Waste Minimization Assessments for
New Production Processes
This manual concentrates on waste minimization
assessments conducted in existing facilities.
However, jt is important that waste minimization
principles be applied to new projects. In general, it is
easier to avoid waste generation during the research
and development or design phase than to go back and
modify the process after it has already been installed.
The planning and design team for a new product,
production process, or operation should address
waste generation aspects early on. The assessment
procedure in this manual can be modified to provide a
WM review of a product or process in the planning or
design phase. The earlier the assessment is
performed, the less likely it is that the project will
require expensive changes. All new projects should
be reviewed by the waste minimization program task
force.
A better approach than a pre-project assessment is to
include one or more members of the WM program task
force on any new project that will generate waste. In
this way, the new project will benef.it from the "built-in*
presence of a WM champion and his or her influence to
design the process to minimize waste At a California
facility of a major defense contractor, all new projects
and modifications to existing facilities and equipment
are reviewed by the WM program team. All projects
that have no environmental impact are quickly
screened and approved. Those projects that do have
an environmental impact are assigned to a team
member who participates in the project kick-off and
review meetings from inception to implementation.
Ongoing Waste Minimization Program
The WM program is a continuing, rather than a one-
time effort. Once the highest priority waste streams
and facility areas have been assessed and those
projects have been implemented, the assessment
program should look to areas and waste streams with
lower priorities. The ultimate goal of the WM program
should be to reduce the generation of waste to the
maximum extent achievable. Companies that have
eliminated the generation of hazardous waste should
continue to look at reducing industrial wastewater
discharges, air emissions, and solid wastes.
The frequency with which assessments are done will
depend on the program's budget, the company's
budgeting cycle (annual cycle in most companies), and
special circumstances. These special circumstances
might be:
• a change in raw material or product requirements
• higher waste management costs
• new regulations
• new technology
• a major event with undesirable environmental
consequences (such as a major spill)
Aside from the special circumstances, a new series of
assessments should be conducted each fiscal year.
To be truly effective, a philosophy of waste
minimization must be developed in the organization.
This means that waste minimization must be an integral
part of the company's operations. The most
successful waste minimization programs to date have
all developed this philosophy within their companies.
-------
Appendix A
Waste Minimization Assessment Worksheets
The worksheets that follow are designed to facilitate the WM assessment procedure. Table A-1 lists the worksheets,
according to the particular phase of the program, and a brief description of the purpose of the worksheets.
Appendix B presents a series of simplified worksheets for small businesses or for preliminary assessments.
Table A-1. List of Waste Minimization Assessment Worksheets
Phase Number and Title
Purpose/Remarks
1. Assessment Overview
Planning and Organization
(Section 2)
2. Program Organization
3. Assessment Team Make-up
Assessment Phase
(Section 3)
4. Site Description
5. Personnel
6. Process Information
7. Input Materials Summary
8. Products Summary
9. Individual Waste Stream
Characterization
10. Waste Stream Summary
Summarizes the overall assessment procedure.
Records key members in the WMA program task force and the WM
assessment teams. Also records the relevant organization.
Lists names of assessment team members as well as duties. Includes
a list of potential departments to consider when selecting the teams.
Lists background information about the facility, including location,
products, and operations.
Records information about the personnel who work in the area to be
assessed.
This is a checklist of useful process information to look for before
starting the assessment.
Records input material information for a specific production or process
area. This includes name, supplier, hazardous component or
properties, cost, delivery and shelf-life information, and possible
substitutes.
Identifies hazardous components, production rate, revenues, and
other information about products.
Records source, hazard, generation rate, disposal cost, and method
of treatment or disposal for each waste stream.
Summarizes all of the information collected for each waste stream.
This sheet is also used to prioritize waste streams to assess.
(continued)
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.Tabls A-1. Ll»t of Wast* Minimization Assessment Worksheets (contlnuad)
Phaaa
Number and Tltla
Purpoaa/Ramarka
Aaaaaamant Phaaa (contlnuad)
(Saetlon 3)
11, Option Generation
12. Option Description
13. Options Evaluation by
Weighted Sum Method
Faaalblilty Analysis Phasa
(Saetlon 4)
14. Technical Feasibility
15. Cost Information
16. Profitability Worksheet #1
Payback Period
17. Profitability Worksheet #2
Cash Row for NPV and 1RR
Records options proposed during brainstorming or nominal group
technique sessions. Includes the rationale for proposing each option.
Descrfoes and summarizes information about a proposed option. Also
notes approval of promising options.
Used for screening options using the weighted sum method.
Detailed checklist for performing a technical evaluation of a WM option.
This worksheet is divided into sections for equipment-related options,
personnel/procedural-related options, and materials-related options.
Detailed list of capital and operating cost information for use in the
economic evaluation of an option.
Based on the capital and operating cost information developed from
Worksheet 15, this worksheet is used to calculate the payback period.
This worksheet is used to develop cash flows for calculating NPV or IRR.
Implementation
(Section 5)
18. Project Summary
Summarizes important tasks to be performed during the
implementation of an option. This includes deliverable, responsible
person, budget, and schedule.
19. Option Performance
Records material balance information for evaluating the
performance of an implemented option.
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Firm.
Site.
Date.
Waste Minimization Assessment
Worksheets
Proj. No,
Prepared By
Checked By
Sheet _1_ of _1_ Page of
WORKSHEET
1
ASSESSMENT OVERVIEW
&EPA
Begin the Waste Minimization
Assessment Program
I
Worksheets used
PLANNING AND ORGANIZATION
* Get management commitment
* Set overall assessment program goals
* Organize assessment program task force
I
Assessment organization
and commitment to proceed
Select new
assessment targets
and reevaluate
previous options
ASSESSMENT PHASE
* Compile process and facility data
• Prioritize and select assessment targets
* Select people for assessment teams
* Review data and inspect site
* Generate options
« Screen and select options for further study
I
Assessment report of
selected options
FEASIBILITY ANALYSIS PHASE
• Technical evaluation
• Economic evaluation
• Select options for implementation
i
Final report, including
recommended options
IMPLEMENTATION
Repeat the process
> Justify projects and obtain funding
> Installation (equipment)
> Implementation (procedure)
' Evaluate performance
Successfully operating
waste minimization projects
4,6,7.8,9,10
10
3
11,12
13
14
15,16,17
18
18
19
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Firm
Site
Date
Waste Minimization Assessment
Proj. No.
Prepared By
Checked By
Sheet J_ of J_ Page of
WORKSHEET
2
PROGRAM ORGANIZATION
SEPA
FUNCTION
NAME
LOCATION
TELEPHONE*
Program Manager
Site Coordinator
Assessment Team Leader
Organization Chart
(sketch)
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Firm
Site
Date
WORKSHEET
3
Waste Minimization Assessment
Proj No.
Pre
Ch
Shi
ASSESSMENT
TEAM MAKE-UP
tpared By
ecked By
9et 1 of 1 Page of
<>EPA
Function/Department
Assessment Team
Leader
Site Coordinator
Operations
Engineering
Maintenance
Scheduling
Materials Control
Procurement
Shipping/Receiving
Facilities
Quality Control
Environmental
Accounting
Personnel
R&D
Legal
Management
Contractor/Consultant
Safety
Name
Location/
Telephone #
Man hours
Required
Duties
Lead
Support
Review
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Firm
Site
Date
Waste Minimization Assessment
PTOJ.NO.
Prepared By
Checked By
Sheet J_ of J_ Page of
WORKSHEET
4
&EPA
Firm:
Plant:
Department:
Area:
Street Address:
City:
State/ZIP Code:
Telephone: (
Major Products;
SIC Codes:
EPA Generator Number
Major Unit or;
Product or:
Operations:
Facilities/Equipment Age;
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Firm
Site
Hate
Waste Minimization Assessment
Pro) No
Prepared By
Checked By
Sheet 1 of 1 Page of
WORKSHEET
5
SEPA
Attribute
Overall
Department/Area
Total Staff
Direct Supv. Staff
Management
Average Age, yrs.
Annual Turnover Rate %
Seniority, yrs.
Yrs. of Formal Education
Training, hrsJyr.
Additional Remarks
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Firm
Sits
Date
Waste Minimization Assessment
Praj No
Prepared By
Checked By
Sheet 1 of 1 Page of
WORKSHEET
6
PROCESS INFORMATION
SEPA
Process Unit/Operation:.
Operation Type: HI
Continuous HH Discrete
D Batch or Semi-Batch D Other—
Document
Process Flow Diagram
Material/Energy Balance
Design
Operating
Flow/Amount Measurements
Stream
Analyses/ Assays
Stream
Process Description
Operating Manuals
Equipment List
Equipment Specifications
Piping & Instrument Diagrams
Plot and Elevation Plan(s)
Work Flow Diagrams
Hazardous Waste Manifests
Emission Inventories
Annual/Biennial Reports
Environmental Audit Reports
Permit/Permit Applications
Batch Sheet(s)
Materials Application Diagrams
Product Composition Sheets
Material Safety Data Sheets
Inventory Records
Operator Logs
Production Schedules
Status
Complete?
(Y/N)
Current?
(Y/N)
Last
Revision
Used In this
Report (Y/N)
Document
Number
Location
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Firm
Site
Date
WORKSHEET
7
Waste Minimization Assessment
Praj. No.
P«
Ch
Shi
ipared By
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set J_ of _l_ Page of
vvEPA
Attribute
Name/ID
Source/Supplier
Component/Attribute of Concern
Annual Consumption Rate
Overall
Component(s) of Concern
Purchase Price, $ per
Overall Annual Cost
Delivery Mode2
Shipping Container Size & Type*
Storage Mode4
Transfer Mode8
Empty Container Disposal/Management*
Shelf Life
Supplier Would
- accept expired material (Y/N)
- accept shipping containers (Y/N)
* revise expiration date (Y/N)
Acceptable Substltute(s), if any
Alternate Suppliers)
Description1
Stream No.
Stream No._
Stream No.
1 stream numbers, If applicable, should correspond to those used on process flow diagrams.
* e.g., pipeline, tank car, 1 00 bbl. tank truck, truck, etc.
* e.g., 55 gal. drum, 1 00 Ib. paper bag, tank, etc.
4 e.g., outdoor, warehouse, underground, aboveground, etc.
1 e.g., pump, forkllft, pneumatic transport, conveyor, etc.
* e.g., crush and landfill, clean and recycle, return to supplier, etc.
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Sheet J_ of 1 Page of
WORKSHEET
8
PRODUCTS SUMMARY
Attribute
Name/ID
Component/Attribute of Concern
Annual Production Rate
Overall
Component(s) of Concern
Annual Revenues, $
Shipping Mode
Shipping Container Size & Type
Onslte Storage Mode
Containers Returnable (Y/N)
Shelf Life
Rework Possible (Y/N)
Customer Would
• relax specification (Y/N)
- accept larger containers (Y/N)
Description1
Stream No.
Stream No.
Stream No.
stream numbers, if applicable, should correspond to those used on process flow diagrams.
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Sheet JL of 4 Page
of
WORKSHEET
9a
SEPA
1. Waste Stream Name/ID:.
Process Unit/Operation
Stream Number.
Waste Characteristics (attach additional sheets with composition data, as necessary.)
n
gas
CU liquid Cl solid CD
mixed phase
Density, Ib/cuft
Viscosity/Consistency
pH .Flash Point.
High Heating Value, Btu/lb
.; % Water
Waste Leaves Process as:
LJ air emission LJ waste water LJ solid waste LJ hazardous waste
4. Occurrence
I—I contlnuous-
I I discrete -
discharge triggered by I—I chemical analysis
LJ other (describe)
Type: LJ periodic length of period:
sporadic (irregular occurrence)
non-recurrent
S. Generation Rate
Annual
Maximum -
Average -
Frequency-
Batch Size-
Ibs per year
Ibsper
IDS per
batches per
average
range
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9b
Waste Minimization Assessment
Proc Unit/Qp0r
Proj. No.
Pi
C
SI
INDIVIDUAL WASTE STREAM
CHARACTERIZATION
•epared By
locked By
leet 2 of 4 Page of
x>EPA
6. Waste Origins/Sources
Fill out this worksheet to Identify the origin of the waste. If the waste Is a mixture of waste
streams, fill out a sheet for each of the Individual waste streams.
Is the waste mixed with other wastes? LJ Yes I I No
Describe how the waste Is generated.
Example: Formation and removal of an undesirable compound, removal of an uncon-
verted Input material, depletion of a key component (e.g., drag-out), equip-
ment cleaning waste, obsolete Input material, spoiled batch and production
run, spill or leak cleanup, evaporative loss, breathing or venting losses, etc.
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Sheet _3_ of 4 Page
of
WORKSHEET
9c
Waste Stream
&EPA
(continued)
7. Management Method
Leaves site In
EH bulk
D roll off bins
[~1 55 gal drums
I I other (describe)
Disposal Frequency
Applicable Regulations1
Regulatory Classification2
Managed
Recycling
D
onsite
commercial TSDF
own TSDF
[_J other (describe)
direct use/re-use
I I energy recovery
D redistilled
LJ other (describe)
EH offsite
reclaimed material returned to site?
LJ Yes LJ No [I used by others
residue yield
residue disposal/repository
Note1 list federal, state & local regulations, (e.g., RCRA, TSCA, etc.)
Notez list pertinent regulatory classification (e.g., RCRA - Listed K011 waste, etc.)
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Sheet j4_ of j4_ Page
of
WORKSHEET
9d
7.
EPA
(continued)
Waste Stream
Management Method (continued)
Treatment
I I biological
I I oxidation/reduction
I I incineration
I I pH adjustment
LJ precipitation
solidification
other (describe)
residue disposal/repository
Final Disposition
Costs as of
landfill
I _ I pond
I _ I lagoon
LJ deep well
I J ocean
LJ other (describe)
(quarter and year)
Cost Element:
Onsite Storage & Handling
Pretreatment
Container
Transportation Fee
Disposal Fee
Local Taxes
State Tax
Federal Tax
Total Disposal Cost
Unit Price
$ per
Reference/Source:
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WORKSHEET
10
;illill||||llill^
pared By
ecked By
set 1 of 1 Page of
<>EPA
Attribute
Waste ID/Name;
Source/Origin
Component/or Property of Concern
Annual Generation Rate (units )
Overall
Component(s) of Concern
Cost of Disposal
Unit Cost ($ per: )
Overall (per year)
Method of Management2
Priority Rating Criteria3
Regulatory Compliance
Treatment/Disposal Cost
Potential Liability
Waste Quantity Generated
Waste Hazard
Safety Hazard
Minimization Potential
Potential to Remove Bottleneck
Potential By-product Recovery
Relative
Wt.(W
Sum of Priority Rating Scores
Priority Rank
Description1
Stream No.
Rating (R)
I(RxW)
RxW
Stream No.
Rating (R)
E(RxW)
RxW
Stream No.
Rating (R)
I(RxW)
RxW
Notes: 1. Stream numbers, if applicable, should correspond to those used on process flow diagrams.
2. For example, sanitary landfill, hazardous waste landfill, onslte recycle, Incineration, combustion
with heat recovery, distillation, dewaterlng, etc.
3. Rate each stream in each category on a scale from 0 (none) to 10 (high).
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11
Waste Minimization Assessment
Pmc. Unit/Qpar.
Pmj. No.
Pr<
Ch
Sh
OPTION GENERATION
spared By
ecked By
eet 1 of 1 Page of
£ EPA
Meeting format (e.g., bralnstormlng, nominal group technique)
Meeting Coordinator
Meeting Participants
List Suggested Options
Rationale/Remarks on Option
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12
Ootlon Name:
Waste Minimization Assessment
Prac. Unit/Oper.
Pro). No.
OPTION DESCRIPTION
Prepared By
Checked By
Sheet 1 of 1 Page of
vv EPA
Briefly describe the option
Waste Stream(s) Affected:
input Materlal(s) Affected:
Product(s) Affected:
indicate Type:
Source Reduction
Equipment-Related Change
Personnel/Procedure-Related Change
Materials-Related Change
LJ Recycling/Reuse
Onslte
Offslte
Material reused for original purpose
Material used for a lower-quality purpose
Material sold
Material burned for heat recovery
Originally proposed by:
Reviewed by:
Approved for study?—
Date:
Date:
yes
no, by:
Reason for Acceptance or Rejection
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Sheet _L of _1 Page 1 of 1
WORKSHEET
13
OPTIONS EVALUATION BY
WEIGHTED SUM METHOD
Criteria
Reduction in waste's hazard
Reduction of treatment/disposal costs
Reduction of safety hazards
Reduction of input material costs
Extent of current use In Industry
Effect on product quality (no effect = 10)
Low capital cost
Low O & M cost
Short Implementation period
Ease of Implementation
Final
Evaluation
Weight
(W)
Sum of Weighted Ratings I (WxR)
Option Ranking
Feasibility Analysis Scheduled for (Date)
Options Rating (R)
#1 Option
R
RxW
#2 Option
R
RxW
#3 Option
R
RxW
#4 Option
R
RxW
#5 Option
R
RxW
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Sheet 1 of 6 Page of
WORKSHEET
14a
4>EPA
WM Option Description
1. Nature of WM Option
I I Equipment-Related
LJ Personnel/Procedure-Related
CD Materials-Related
2. If the option appears technically feasible, state your rationale for this.
Is further analysis required? LJ YesLJ No.
worksheet. If not, skip to worksheet 15.
3. Equipment - Related Option
Equipment available commercially?
Demonstrated commercially?
In similar application?
Successfully?
Describe closest industrial analog
If yes, continue with this
YES
D
D
D
n
D
D
D
Describe status of development
Prospective Vendor
Working Installation(s)
Contact Person(s)
Date Contacted 1.
1. Also attach filled out phone conversation notes, Installation visit report, etc.
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WORKSHEET
14b
Waste Minimization Assessment
Prop Unif/Opfir
Proj. No.
Pi
Cl
SI
Jl
'epared By
lecked By
leet 2_ of 6 Page of
&EPA
(continued)
WM Option Description
3. Equipment-Related Option (continued)
Performance Information required (describe parameters):
Scaleup Information required (describe):
Testing Required: I I yes
Scale: I I bench LJ pilot
Test unit available? I I yes
Test Parameters (list)
n
no
no
Number of test runs:
Amount of materlal(s) required:
Testing to be conducted: [jj In-plant
Facility/Product Constraints:
Space Requirements
Possible locations within facility
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Sheet _a_ of J_ Page of
WORKSHEET
14c
(continued)
WM Option Description
2. Equipment-Related Option (continued)
Utility Requirements:
Electric Power
Process Water
Volts (AC or DC)
Flow
kW
Pressure
Cooling Water
Quality (tap, demln, etc.)
Flow Pressure.
Temp. In
Coolant/Heat Transfer Fluid —
Temp. Out
Temp. In
Duty
Temp. Out
Steam
Pressure
Duty
Temp.
_ Flow
4»EPA
Fuel
Plant Air
Inert Gas
Type
Flow.
Duty-
Flow
Flow
Estimated delivery time (after award of contract).
Estimated Installation time
Installation dates
Estimated production downtime.
Will production be otherwise affected? Explain the effect and Impact on production.
Will product quality be affected? Explain the effect on quality.
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WORKSHEET 1|§
14d •
Waste Minimization Assessment
Pipn Unlt/Oper
Pmj No
X.vt;Wv^>^W^v,:.>v,v.;.;.x-^^ :•:•::•: '.'.'.'.-".
Pi
Cl
SI
B
(continued)
WM Option Description
epared By
lecked By
wet 4 of 6 Page of
SEPA
3. Equipment-Related Option (continued)
Will modifications to work flow or production procedures be required? Explain..
Operator and maintenance training requirements
Number of people to be trained
L-1 OnsRe
d Offslte
Duration of training
Describe catalyst, chemicals, replacement parts, or other supplies required.
Item
Rate or Frequency
of Replacement
Supplier, Address
Does the option meet government and company safety and health requirements?
Yes I I No Explain
How Is service handled (maintenance and technical assistance)? Explain
What warranties are offered?
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Sheet J5_ of JL Page of
WORKSHEET
14e
*mmrnmmmmgmmmm: -gmmw vv
(continued)
4>EPA
WM Option Description
3. Equipment-Related Option (continued)
Describe any additional storage or material handling requirements.
Describe any additional laboratory or analytical requirements.
Personnel/Procedure-Related Changes
Affected Departments/Areas
Training Requirements
Operating Instruction Changes. Describe responsible departments.
Materials-Related Changes (Note; If substantial changes In equipment are required, then handle the
option as an equipment-related one.) XfiS
D
D
Has the new material been demonstrated commercially?
In a similar application?
Successfully?
Describe closest application.
D D
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Sheet _6_ of 6 Page of
WORKSHEET
14f
TECHNICAL FEASIBILITY
EPA
(continued)
WM Option Description
4. Materials-Related Changes (continued)
Affected Departments/Areas
Will production be affected? Explain the effect and Impact on production.
Will product quality be affected? Explain the effect and the Impact on product quality.
Will additional storage, handling or other ancillary equipment be required? Explain.
Describe any training or procedure changes that are required.
Decribe any material testing program that will be required.
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WORKSHEET
15a
COST INFORMATION
(pared By
ecked By
set 1 of 6 Paae of
&EPA
WM Option Description.
CAPITAL COSTS - Include all costs as appropriate.
I I Purchased Process Equipment
Price (fob factory)
Taxes, freight, Insurance
Delivered equipment cost
Price for Initial Spare Parts inventory
LJ Estimated Materials Cost
Piping —
Electrical —
Instruments —
Structural —
Insulation/Piping _
TOTALS
Estimated Costs for utility Connections and New Utility Systems
Electricity
Steam
Cooling Water
Process Water
Refrigeration
Fuel (Gas or Oil)
Plant Air
Inert Gas
LJ Estimated Costs for Additional Equipment
Storage & Material Handling —
Laboratory/Analytical —
Other _
I—I Site Preparation
(Demolition, site clearing, etc.)
Estimated Installation Costs
Vendor _
Contractor _
In-house Staff —
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Sheet _2_ of _6_ Page of
WORKSHEET
15b
TconT!nued7
SEPA
CAPITAL COSTS (Cont.)
I I Engineering and Procurement Costs (In-house & outside)
Planning
Engineering
Procurement
Consultants
TOTALS
Start-up Costs
Vendor
Contractor
In-house
L_J Training Costs
Permitting Costs
Fees
In-house Staff Costs
Initial Charge of Catalysts and Chemicals
Item #1
Item #2
LJ Working Capital [Raw Materials, Product, Inventory, Materials and Supplies (not elsewhere specified}].
Hem #1.
Item #2.
Item f3.
Item #4.
Estimated Salvage Value (If any)
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15c
'<•'.'•','•:'•:'•:
Waste Minimization Assessment
ProR. yntt/Oper.
Proj. No.
jjjgjjjjjjji\ot§
Prepared By
Checked By
Sheet 3 of 6 Page of
&EPA
(continued)
CAPITAL COST SUMMARY
Cost Item
Purchased Process Equipment
Materials
Utility Connections
Additional Equipment
Site Preparation
Installation
Engineering and Procurement
Start-up Cost
Training Costs
Permitting Costs
Initial Charge of Catalysts and Chemicals
Fixed Capital Investment
Working Capital
Total Capital Investment
Salvage Value
Cost
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Sheet 4 of 6 Page of
WORKSHEET
(continued)
PxEPA
LJ Estimated Decrease (or Increase) In Utilities
Utility
Electricity
Steam
Cooling Process
Process Water
Refrigeration
Fuel (Gas or Oil)
Plant Afr
inert Air
Unit Cost
$ per unit
Decrease (or Increase) In Quantity
Unit per time
Total Decrease (or Increase)
$ per time
INCREMENTAL OPERATING COSTS - Include all relevant operating savings. Estimate these costs on an incre-
mental basis (i.e., as decreases or increases over existing costs).
LJ BASIS FOR COSTS Annual _ Quarterly _ Monthly
Dally
LJ Estimated Disposal Cost Saving
Decrease In TSDF Fees
Decrease In State Fees and Taxes
Decrease In Transportation Costs
Decrease in Onslte Treatment and Handling
Decrease In Permitting, Reporting and Recordkeeplng
Total Decrease in Disposal Costs
LJ Estimated Decrease In Raw Materials Consumption
Materials
Unit Cost
$ per unit
Reduction In Quantity
Units per time
Decrease In Cost
$ per time
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Sheet 5_ of J_ Page of
WORKSHEET
15e
(continued)
Estimated Decrease {or Increase) In Ancillary Catalysts and Chemicals
Catalyst/Chemical
Unit Cost
$ per unit
Decrease (or Increase) In Quantity
Unit per time
Total Decrease (or Increase)
$ per time
D
Estimated Decrease (or Increase) in Operating Costs and Maintenance Labor Costs
(Include cost of supervision, benefits and burden).
Estimated Decrease (or Increase) In Operating and Maintenance Supplies and Costs.
D
Estimated Decrease (or Increase) In Insurance and Liability Costs (explain).
D
Estimated Decrease (or Increase) In Other Operating Costs (explain).
INCREMENTAL REVENUES
Estimated Incremental Revenues from an Increase (or Decrease) In Production or Marketable
By-products (explain).
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Sheet _6_ of 6 Page of
WORKSHEET
15f
COST INFORMATION
(continued)
&EPA
INCREMENTAL OPERATING COST AND REVENUE SUMMARY (ANNUAL BASIS}
Decreases In Operating Cost or Increases In Revenue are Positive.
Increases In Operating Cost or Decrease In Revenue are Negative.
Operating Cost/Revenue Item
Decrease in Disposal Cost
Decrease In Raw Materials Cost
Decrease (or Increase) In Utilities Cost
Decrease (or Increase) in Catalysts and Chemicals
Decrease (or Increase) In O & M Labor Costs
Decrease (or Increase) In O & M Supplies Costs
Decrease (or Increase) In insurance/Liabilities Costs
Decrease (or Increase) In Other Operating Costs
Incremental Revenues from Increased (Decreased) Production
Incremental Revenues from Marketable By-products
Net Operating Cost Savings
$ per year
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Sheet J__ of J_ Page
of
WORKSHEET
16
iHiiliiMiliiiiililiiii
&EPA
Total Capital Investment ($) (from Worksheet I5c)
Annual Net Operating Cost Savings ($ per year) (from Worksheet 15f)_
Payback Period (In years) =
Total Capital Investment
Annual Net Operating Cost Savings
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Sheet J_ of J_ Page
of
WORKSHEET
17
4vEPA
Cash Incomes (such as net operating cost savings and salvage value) are shown as positive.
Cash outlays (such as capital Investments and Increased operating costs} are shown as negative.
Line
A Rxed Capital Investment
B 4 Working Capital
C Total Capital Investment
D Salvage Value2
E Nat Operating Costs Savings
F - Interest on Loans
G - Depreciation
H Taxable Income
I - Income Tax*
J Aftertax Profit*
K + Depreciation
L - Repayment of Loan Principal
M - Capital Investment (line C}
N + Salvage Value (line D)
0 Cash Flow
P Present Value of Cash Flow4
Q Net Present Value (NPV)*
Present Worth* (5% discount)
1.0000
0.9524
0.9070
0.8638
0.8227
0.783S
0.7462
0.7107
0.6768
(10% discount)
1.0000
0.9091
0.8264
0.7513
0.6830
0.6209
0.5645
0.5132
0.46Q5
(15% discount)
1.0000
0.8696
0.7561
0.6575
0.5718
0.4972
0.4323
0.3759
0.3269
(20% discount)
1.0000
0.8333
0.6944
0.5787
0.4823
0.4019
0.3349
0.2791
0.2326
(25% discount)
1.0000 0.8000 0.6400 0.5120 0.4096 0.3277
0.2621
0.2097
0.1678
1 Adjust table as necessary if the anticipated project life Is less than or more than 8 years.
2 Salvage value Includes scrap value of equipment plus sale of working capital minus demo-
lition costs.
3. The worksheet Is used for calculating an aftertax cash flow. For pretax cash flow, use an Income tax rate of 0%.
4 The present value of the cash flow Is equal to the cash flow multiplied by the present worth factor.
5 The net present value Is the sum of the present value of the cash flow for that year and all of the proceeding years.
6 The formula for the present worth factor Is 1 where n Is years and r Is the discount rate.
(1+ry
7 The Internal rate of return (IRR) Is the discount rate (r) that results In a net present value of zero over the life of the
project.
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WORKSHEET
18
bjectlves
Waste Minimization Assessment
Proc. Un'rt/Oper.
Proj. No.
Prepared By
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Sheet 1 of 1 Page of
PROJECT SUMMARY 4? EPA
Task
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
Deliverable
Task Leader
TOTALS
Manhours
Budget
Duration
Wks
Start
Finish
Reference
Approval By
Authorization By
Project Started (Date)
Date.
Date
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WORKSHEIT
19
Waste Minimization Assessment
PfOC Unif/Qp0r.
Proj. No.
Pre
Ch
Sh(
:::::::::::::x:::::: *:::::::::-:: :: :- :- : :;>; •:-; :: :; :; : ::x i: ': •:;:;:;X:::.'::::::'>x::r>ft;>:::-:\>;::: ;::;:: : : : ": •: • : '•?£ '$yf%f^£fi-£5^:^^
pared By
ecked By
set 1 of 1 Page of
&EPA
WM Option Description
LJ Baseline
(without option)
D
Projected
(a)
(b)
(c)
Period Duration
From
Production per Period
Units (
Input Materials Consumption per Period
Material
Pounds
Actual
.To
Pounds/Unit Product
(d) Waste Generation per Period
Waste Stream
Pounds
Pounds/Unit Product
(e) Substance(s) of Concern - Generation Rate per Period
Waste Stream
Substance
Pounds
Pounds/Unit Product
-------
Appendix B
Simplified Waste Minimization Assessment Worksheets
The worksheets that follow are designed to facilitate a simplified WM assessment procedure. Table B-1 lists the
worksheets, according to the particular phase of the program, and a brief description of the purpose of the
worksheets. The worksheets here are presented as supporting only a preliminary effort at minimizing waste,
or in a situation where a more formal rigorous assessment is not warranted.
Table B-1. List of Simplified WM Assessment Worksheets
Phase Number and Title
Purpose/Remarks
S1. Assessment Overview
Assessment Phase
(Section 3}
82. Site Description
S3. Process Information
S4. Input Materials Summary
SS. Products Summary
86. Waste Stream Summary
S7. Option Generation
S8. Option Description
Feasibility Analysis Phase
(Section 4)
S9. Profitability
Summarizes the overall assessment procedure.
Lists background information about the facility, including location,
products, and operations.
This is a checklist of useful process information to look for before
starting the assessment.
Records input material information for a specific production or process
area. This includes name, supplier, hazardous component or
properties, cost, delivery and shelf-life information, and possible
substitutes.
Identifies hazardous components, production rate, revenues, and
other information about products.
Summarizes all of the information collected for each waste stream.
This sheet Is also used to prioritize waste streams to assess.
Records options proposed during brainstorming or nominal group
technique sessions. Includes the rationale for proposing each option.
Describes and summarizes information about a proposed option. Also
notes approval of promising options.
This worksheet is used to identify capital and operating costs and to
calculate the payback period.
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Simplified Worksheets
Proi. No.
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Sheet 1 of 1 Paae of
WORKSHEET
S1
ASSESSMENT OVERVIEW
SEPA
Begin the Waste Minimization
Assessment Program
I
Worksheets used
PLANNING AND ORGANIZATION
Get management commitment
Set overall assessment program goals
Organize assessment program task force
Assessment organization
and commitment to proceed
Select new
assessment targets
and reevaluate
previous options
ASSESSMENT PHASE
• Compile process and facility data
• Prioritize and select assessment targets
• Select people for assessment teams
• Review data and inspect site
• Generate options
• Screen and select options for further study
S5
S2.S3.S4
S6
S7.S8
S8
S3
I
Assessment report of
selected options
FEASIBILITY ANALYSIS PHASE
• Technical evaluation
• Economic evaluation
• Select options for implementation
S9
I
Final report, including
recommended options
IMPLEMENTATION
Repeat the process
• Justify projects and obtain funding
' Installation (equipment)
' Implementation (procedure)
' Evaluate performance
Successfully operating
waste minimization projects
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Simplified Worksheet!
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Sheet J_ of J_ Page of
WOBKSHifT
S2
SITE DESCRIPTION
&EPA
Firm:
Plant:
Department:
Area:
Street Address:
City:
State^IP Code:
Telephone: {
Major Products:
SIC Codes:
EPA Generator Number
Major Unit or;
Product or:
Operations:
Facilities/Equipment Age;
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Firm
Site
Date
Waste Minimization Assessment
Simplified Worksheet*
Pmj No-
Prepared By
Checked By
Sheet 1 of 1 Paae of
wo
CxEPA
Process Unit/Operation:
Operation Type: C
Continuous
Batch or Semi-latch
D Discrete
EH other—
Document
Process Flow Diagram
Material/Energy Balance
Design
Operating
Flow/Amount Measurements
Stream
Analyses/ Assays
Stream
Process Description
Operating Manuals
Equipment List
Equipment Specifications
Piping & Instrument Diagrams
Plot and Elevation Plan(s)
Work Flow Diagrams
Hazardous Waste Manifests
Emission Inventories
Annual/Biennial Reports
Environmental Audit Reports
Permit/Permit Applications
Batch Sheet(s)
Materials Application Diagrams
Product Composition Sheets
Material Safety Data Sheets
Inventory Records
Operator Logs
Production Schedules
Status
Complete?
(Y/N)
Current?
(Y/N)
Last
Revision
Used In this
Report (Y/N)
Document
Number
Location
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Firm
Site
Date
WORKSHEET
S4
Waste Minimization Assessment
Simplified Worksheets
Proj. No.
Prt
Ch
Sh
INPUT MATERIALS SUMMARY
(pared By
ecked By
set 1 of 1 Page of
SEPA
Attribute
Name/ID
Source/Supplier
Component/ Attribute of Concern
Annual Consumption Rate
Overall
Component(s) of Concern
Purchase Price, $ per
Overall Annual Cost
Delivery Mode1
Shipping Container Size & Type2
Storage Mode1
Transfer Mode4
Empty Container Disposal/Management*
Shelf Life
Supplier Would
- accept expired material (Y/N)
- accept shipping containers (Y/N)
- revise expiration date (Y/N)
Acceptable Substltute(s), If any
Alternate Suppller(s)
Description
Stream No.
Stream No.
Stream No.
1 e.g., pipeline, tank car, 1 00 bbl. tank truck, truck, etc.
2 e.g., 55 gal. drum, 100 Ib. paper bag, tank, etc.
' e.g., outdoor, warehouse, underground, aboveground, etc.
4 e.g., pump, forkllft, pneumatic transport, conveyor, etc.
* e.g., crush and landfill, clean and recycle, return to supplier, etc.
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Firm
Site
Date
WORKSHEET
35
Waste Minimization Assessment
Simplified Worksheets
Prnj No
Pre
Ch
Shi
ipared By
sckedBy
set J_ of j_ Page of
&EPA
Attribute
Name/ID
Component/Attribute of Concern
Annual Production Rate
Overall
Component(s) of Concern
Annual Revenues, $
Shipping Mode
Shipping Container Size & Type
Onslte Storage Mode
Containers Returnable (Y/N)
Shelf Life
Rework Possible (Y/N)
Customer Would
- relax specification (Y/N)
• accept larger containers (Y/N)
Description
Stream No.
- -
Stream No.
Stream No.
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Firm
Site
Data
WORKSHEET
S6
Waste Minimization Assessment
Simplified Worksheet*
Pmc llritJOpar
Pmj No
Pr€
Ch
Sh
WASTE STREAM SUMMARY
spared By
ecked By
set 1 of 1 Page of
SEPA
Attribute
Waste ID/Name:
Source/Origin
Component/or Property of Concern
Annual Generation Rate (units )
Overall
Component(s) of Concern
Cost of Disposal
Unit Cost (S per: )
Overall (per year)
Method of Management1
Priority Rating Criteria2
Regulatory Compliance
Treatment/Disposal Cost
Potential Liability
Waste Quantity Generated
Waste Hazard
Safety Hazard
Minimization Potential
Potential to Remove Bottleneck
-Potential By-product Recovery
Relative
Wt.fW
Sum of Priority Rating Scores
Priority Rank
Description
Stream Ho. „
Rating (R)
Z(RxW)
RxW
Stream No.
Rating (R)
KRxW)
RxW
Stream No.
Rating (R)
I(RxW)
RxW
Notes: 1 . For example, sanitary landfill, hazardous waste landfill, onsite recycle, Incineration, combustion
with heat recovery, distillation, dewaterlng, etc.
2. Rate each stream in each category on a scale from 0 (none) to 10 (high).
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Firm
Site
Data
Waste Minimization Assessment
Simplified Worksheets
Pffy? iJnWGpf
Pmj No.
Prepared By
Checked By
Sheet 1 of 1 Rape of
WORKSHEET
S7
(IlliIIIliillliiiB
EPA
Meeting format (e.g., bralnstormlng, nominal group technique)
Meeting Coordinator
Meeting Participants
List Suggested Options
Rationale/Remarks on Option
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Firm
Site
Date
i
WORKSHEET
S8
Dotlon Name:
Waste Minimization Assessment
Simplified Worksheets
PrQC~ pnit/Qper,
Proj. No.
Wi*s:::S" •: :•&<< : -: ••; \ :- "-. •. ; ;:&** s ?•• - : ssssx^iiir •:•. ^<&fm
Prepared By
Checked By
Sheet 1 of 1 Page of
&EPA
Briefly describe the option
Waste Stream(s) Affected:
Input Materials) Affected;
Product(s) Affected:
Indicate Type:
LJ Source Reduction
L....,...,_ Equipment-Related Change
Personnel/Procedure-Related Change
Materials-Related Change
I I Recycling/Reuse
Onslte
Offslte
Material reused for original purpose
Material used for a lower-quality purpose
Material sold
Material burned for heat recovery
Originally proposed by:
Reviewed by:
Approved for study?—
Date:
Date:
yes
no, by:
Reason for Acceptance or Rejection
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Firm
Site
Date
Waste Minimization Assessment
Simplified Worksheets
Prop Unit/Oper
Proj. No.
Prepared By
Checked By
Sheet 1 of 1 Page of
WORKSHEET
S9
PROFITABILITY
&EPA
Capital Costs
Purchased Equipment
Materials
Installation
Utility Connections-
Engineering
Start-up and Training.
Other Capital Costs -
Total Capital Costs
Incremental Annual Operating Costs
Change In Disposal Costs —
Change In Raw Material Costs
Change In Other Costs
Annual Net Operating Cost Savings
Total Capital Costs
Payback Period (In years) = Annuai Net Operating Cost Savings
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Appendix C
Waste Minimization Assessment Example
Amalgamated Metal Reflnlshlng Corporation
The following case study is an example of a waste
minimization assessment of a metal plating operation.
This example is reconstructed from an actual
assessment, but uses fictitious names. The example
presents the background process and facility data, and
then describes the waste minimization options that are
identified and recommended for this facility.
Amalgamated Metal Refinishing Corporation is in the
business of refinishing decorative items. The
corporation owns and operates a small facility in
Beverly Hills, California. The principal metals plated at
this facility are nickel, brass, silver, and gold.
Preparing for the Assessment
Since the facility is a small one with a rather small
number of employees, an assessment team was
assembled that included both company personnel and
outside consultants. The team was made up of the
following people:
Plant manager (assessment team leader)
First shift plating supervisor
Corporate process engineer
Plating chemistry consultant
Environmental engineering consultant
The assessment team chose to look at all of the plating
operations, rather than focusing on one or two specific
plating processes.
The assessment began by collecting recent
production records, input material information,
equipment layout drawings and flow diagrams, waste
records, and plant operator instructions. After each of
the team members had reviewed the information, a
comprehensive inspection of the plating room was
carried out. The following process, layout, and waste
descriptions summarize the information that was
collected for the assessment.
Process Description
items brought in for refinishing are cleaned,
electroplated and polished The basic operations
include paint stripping, cleaning, electroplating, drying,
and polishing.
In silver plating, the original plated metal is stripped off
the item by dipping it into a sodium cyanide solution
with the system run in reverse current. This is followed
by an acid wash in a 50% muriatic acid solution. The
item is then polished to a bright finish. The polished
item is then cleaned with caustic solution to remove
dirt, rinsed with a 5% sulfuric acid solution to neutralize
any remaining caustic solution on the item, and rinsed
with water. The item is now ready for electroplating.
After the item is immersed in the plating tank for the
required amount of time, it is rinsed in a still rinse tank,
followed by a continuous water rinse. Tap water is
used for both the still and continuous rinsing steps.
Solution from the still rinse tank is used as make-up for
the plating baths.ln places where two still rinse tanks
are used, water from the second tank is used to-
replenish the first still rinse tank. Overflow from the
continuous rinse tank is discharged as wastewater.
The item is polished following the plating step.
Gold plating generally does not require stripping. After
the initial cleaning operation, the item is electroplated.
Nickel and brass plating are also done in a similar
manner. Vapor degreasing using 1,1,1-
trichloroethane is often perfomed on brass- and nickel-
plated items to remove oil and grease. In some cases,
items are first nickel-plated and then plated with gold,
silver, or brass.
For electroplating operations, the constituents of the
cyanide solutions must be kept at an optimum
concentration. The solutions are analyzed twice a
month by an outside laboratory. A representative
sample from a tank is obtained by dipping a tube to the
bottom of the plating tank. The sample is analyzed and
recommendations for make-up are made based on the
test results. Table C-1 shows a typical analysis for
brass and nickel electroplating solutions, respectively.
This table also shows the optimum concentrations for
each constituent in the baths, as well as the
recommended make-up and/or dilution requirements.
AH plating operations at the facility are performed
manually. The facility operates one shift per day and
employs eight operators.
Equipment Layout Description
All plating, cleaning, and rinse tanks are located in one
room at the plating shop, while an adjacent room
houses all equipment used for buffing and polishing.
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Table C-1. Electroplating Solution Analyses
Table C-2. Wastewater characteristics
Concentrations
Brass Plating
Copper metal
Zinc metal
Sodium cyanide
Sodium hydroxide
Copper cyanide
Zinc cyanide
Rochelle salts
Optimum
0.3 oz/gal
6.0
8.0
10.0
0.5
2.0
Actual
7.52 oz/gal
0.80
3.54
7.50
10,60
1.45
3.59
Nickel Plating
Nickel metal
Nickel chloride
Boric acid
Nickel sutfate
A-5
SA-1
pH
-
8.0 oz/gal
6.0
40.0
2.5%
1.2%
4.0
16.65 oz/gal
15.66
6.92
57.26
2.86%
1.38%
4.5
Figure C-1 is a plan of the facility. The area north of the
buffing room is used for drying and storage purposes.
Finished goods, as well as raw materials, are stored in
the front of the building.
Thirty tanks are used in cleaning and electroplating
operations. Figure C-1 includes the names and normal
working volumes of these tanks. The configuration of
a typical plating unit includes a plating bath, followed by
one ore two still tanks and a continuous rinse tank.
Except for nickel plating, all plating and stripping
solutions used at the facility are cyanide-based.
Waste Stream Description
Cyanide waste is generated from silver stripping; from
silver, gold, brass, and copper electroplating; ami from
the associated rinsing operations. The principal waste
streams are wastewater from the continuous rinse
tanks and from floor washings, and plating tank filter
waste.
Aqueous streams generated from paint stripping, from
metal stripping and electroplating, and from floor
washings are routed to a common sump. This sump
discharges to the sanitary sewer. Table C-2 presents
the results of a typical analysis on the wastewater.
Metal sludges accumulate in the plating tanks. This
sludge is filtered out of the plating solution once a
month using a portable dual cartridge fitter. Two filter
cartridges are used for each plating tank. Cartridges
are typically replaced every two to three months.
The sump is pumped out and disposed of as
hazardous waste once every six months. When
pumped out the sump usually contains 300 to 400
Sampling date
Sampling location
Type of sample
Reporting period
Total flow in
Total flow out
Peakf tow
August 8,1987
Clarifier Sample Box
Time Composite
July '87 to August '87
322galon8
290 gallons
1.5 gallons per minute
Suspended solids
pH
Total cyanide
Total chromium
Copper
Nickel
Silver
Oil and grease
Temperature
1.0mg/L
7.5
1.0 mg/L
0.42 mg/L
1.30 mg/L
0.93 mg/L
<0.05 mg/L
0.2 mg/L
TOT
gallons of sludge comprised of dirt, stripped paint, and
a solution containing cyanide and heavy metals.
Proposed Waste Minimization Options
After the site inspection was completed and additional
information was reviewed, the team held a
brainstorming session to identify potential waste
minimization options for the facility. The following
options were proposed during the meeting:
* Reduce solution drag-out from the plating tanks by:
- Proper positioning of workpiece on the plating
rack.
- Increasing plating solution temperatures.
- Lowering the concentration of plating solution
constituents.
- Increase the recovery of drag-out with drain
boards.
* Extend plating solution bath life by:
- Reducing drag-in by better rinsing.
- Using deionized make-up water.
- Using purer anodes.
- Returning spent solutions to the suppliers.
* Reduce the use of rinse water by:
- Using multiple countereurrent rinse tanks.
- Using still rinsing.
- Using spray or fog rinsing.
« Prevent dust from the adjacent buffing and
polishing room from entering the plating room and
contaminating the plating baths.
* Segregate cyanide wastes from the rinse tanks from
other wastewater streams, such as floor washings
and paint stripping wastes.
-------
HIM*
70g«l
W«*r
Rn»*
50 j»!
Copper Cy*nM*
156 gallon*
d*in«r
Mgdkm
/
\
\
••. J
Buffing and Polishing Room
Two-Stag*
Cl«rll«r/8ump
Storage Area
North
Figure C-1. PLANT LAYOUT
Amalgamated Metal Refinishing Corporation
Worldwide Headquarters and Production Facilities
Beverly Hills, California
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The team members each independently reviewed the
options and then met to decide which options to study
further. The team chose the following options for the
feasibility analysis:
* Reduce drag-out by using drain boards.
• Extend bath life using deionized water for make-up.
* Use spray rinsing to reduce rinsewater usage.
• Segregate hazardous waste from nonhazardous
waste.
Feasibility Analysis
The assessment team conducted technical and
economic feasibility analyses on each of the four
options.
Segregate Hazardous Wastes
The assessment team recognized that segregating
hazardous wastes from nonhazardous wastes could be
implemented at virtually no cost and would save money
immediately. There were no identified technical
problems.
Use Drain Boards to Reduce Drag-out
Drain boards are used to collect plating solution that
drips off the rack and the workplace after they are
pulled out of the plating tank. The plating solution
drains back into the plating tank. This option reduces
the amount of dilute rinse water waste, but impurities
build up faster in the plating solution. Since drag-out is
reduced, make-up chemical consumption is reduced.
The purchase price of drain boards is estimated at
$115, with installation costs of $200, for a total capital
cost of $315. This option is expected to reduce rinse
water disposal costs by $500 per year, and reduce
make-up chemicals costs by $400 per year. The
resulting payback period is 0.35 years, or about 4
months.
Use Deionized Water for Make-up Solutions
and Rinse Water
Using Dl water will reduce the build-up of impurities in
the plating solutions. In particular, the build-
uphardness minerals from tap water will be avoided.
This, in turn, will avoid the precipitation of carbonates in
the plating tanks.
The assessment team decided to combine the
evaluation of this option with the previous option of
using drain boards. The initial purchase and installation
of the deionizer was $267. When adding the cost of
the drain boards, the total capital cost of this option is
$582. The deionizer is rented and serviced by an
outside water treating service company for $450 per
year. The savings in disposal costs and make-up
chemical costs is $900 per year. Therefore, the annual
net operating cost savings is $450 per year. The
payback period is 1.3 years.
Install Spray Rinses
Installing spray rinses will reduce the amount of rinse
water required to clean the items. With spray rinse
nozzles and controls, rinsing can be done on demand.
Rinse water usage was estimated to be reduced by
50%. The resulting rinse wastewater is more
concentrated and some can be returned to the plating
tanks as a water make-up.
The assessment team determined that four spray rinse
units would cost $2,120, plus an additional $705 for
piping, valves, and installation labor. The total capital
cost was $2825. The reduction In disposal costs were
estimated at $350 per year, based on a 50% reduction
in rinse wastewater. This resulted in a payback of over
8 years.
Implementation
The procedures for segregating hazardous wastes
from nonhazardous wastes was implemented before
the feasibility analysis was completed for the other
three options. The installation of drain boards and the
purchase of a water deionizer were made shortly after
the feasibility analysis was completed. The Dl water
system was online two months later. The assessment
team decided not to implement the spray rinse option
because of the long payback period.
Future WM Assessments
During the next cycle of waste minimization
assessments, the assessment team will review
previously suggested options in the plating area and
will look at ways to reduce the generation of metallic
dust in the buffing and polishing area. In the
meantime, the assessment team will continue to look
for additional opportunities to reduce waste
throughout the facility.
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Appendix D
Typical Causes and Sources of Waste
In order to develop a comprehensive list of waste minimization options for a facility, it is necessary to
understand the sources, causes, and controlling factors that influence waste generation. The tables
In this Appendix list this information for common industrial operations.
Table D-1. Typical Wastes from Plant Operations
Table D-2. Causes and Controlling Factors of Waste Generation
Tabl* D-1. Typical Wastes from Plant Operations
Plant Function Location/Operation
Potential Waste Material
Material Receiving
Raw Material and
Product Storage
Production
Support Services
Loading docks, incoming
pipelines, receiving areas
Tanks, warehouses, drum
storage yards, bins,
storerooms
Melting, curing, baking,
distilling, washing, coating,
formulating, reaction
Laboratories
Maintenance shops
Garages
Powerhouses/boilers
Cooling towers
Packaging materials, off-spec materials, damaged containers,
inadvertant spills, transfer hose emptying
Tank bottoms; off-spec and excess materials; spill residues;
leaking pumps, valves, tanks, and pipes; damaged containers,
empty containers
Washwater; rinse water; solvents; still bottoms; off-spec
products; catalysts;empty containers; sweepings; ductwork
clean-out; additives; oil; filters; spill residue; excess materials;
process solution dumps; leaking pipes, valves, hoses, tanks,
and process equipment
Reagents, off-spec chemicals, samples, empty sample and
chemical containers
Solvents, cleaning agents, decreasing sludges, sand-blasting
waste, caustic, scrap metal, oils, greases
Oils, filters, solvents, acids, caustics, cleaning bath sludges,
batteries
Fly ash, slag, tube clean-out material, chemical additives, oil
empty containers, boiler blowdown, water-treating chemical
wastes
Chemical additives, empty containers, cooling tower bottom
sediment, cooling tower blowdown, fan lube oils
Source: adapted from Gary Hunt and Roger Schecter, "Minimization of Hazardous Waste Generation",
Standard Handbook of Hazardous Waste Management, Harry Freeman, editor, McGraw-Hill, New York (currently in press).
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Tabla D-2. Causes and Controlling Factor* In Waste Generation
Waste/Origin Typical Causes Operational Factors
Design Factors
Chemical Reaction
Contact between
aqueous and
organic phases
Process equipment
cleaning
Heat exchanger
cleaning
Metal parts
cleaning
Metal surface
treating
Disposal of
unusable raw
materials or
off-spec products
Clean-up of spills
and leaks
* Incomplete conversion
* By-product formation
* Catalyst deactivation
(by poisoning or sintering)
* Condensate from steam
jet ejectors
* Presence of water as a
reaction by-product
* Use of water for product
rinse
* Equipment cleaning
• Spill clean-up
* Presence of cling
* Deposit formation
* Use of filter aids
* Use of chemical cleaners
* Presence of cling (process
side) or scale (cooling
water side)
«Deposit formation
* Use of chemical cleaners
* Disposal of spent solvents,
spent cleaning solution, or
cleaning sludge
> Dragout
• Disposal of spent treating
solution
• Obsolete raw materials
• Off-spec products caused
by contamination, improper
reactant controls, inadequate
pre-cleaning of equipment or
workplace, temperature or
pressure excursions
• Manual material transfer and
handling operations
• Leaking pump seals
> Leaking flange gaskets
1 Inadequate temperature control
' Inadequate mixing
1 Poor feed flow control
1 Poor feed purity control
' Indiscriminate use of water for
cleaning or washing
' Drainage prior to cleaning
1 Production scheduling to
reduce cleaning frequency
1 Inadequate cooling water
treatment
1 Excessive cooling water
temperature
Indiscriminate use of solvent
or water
* Poor rack maintenance
• Excessive rinsing with water
• Fast removal of workplace
• Poor operator training or
supervision
• Inadequate quality control
* Inadequate production planning
and inventory control of
feedstocks
> Inadequate maintenance
> Poor operator training
> Lack of attention by operator
> Excessive use of water in
cleaning
• Proper reactor design
• Proper catalyst selection
• Choice of process
• Choice of reaction conditions
• Vacuum pumps instead of
steam jet ejectors
• Choice of process
* Use of reboilers instead of
steam stripping
1 Design reactors or tanks
wiper blades
1 Reduce ding
> Equipment dedication
' Design for lower film temperature
and high turbulence
• Controls to prevent cooling
water from overheating
1 Choice between cold dip tank or
vapor degreasing
' Choice between solvent or
aqueous cleaning solution
> Countercurrent rinsing
> Fog rinsing
• Dragout collection tanks or trays
> Use of automation
> Maximize dedication of
equipment to a single function
• Choice of gasketing materials
• Choice of seals
• Use of welded or seal-welded
construction
Source: Jacobs Engineering Group
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