United States
Environmental Protection
Agency
An Organizational Guide to
Pollution Prevention
-------
Green Zia
Writers Workshop Training
New Mexico Environment Department
New Mexico Energy, Minerals, and Natural
Resources Department
-------
8:00-8:30 Introductions \
8:30-9:00 The Green Zia Profi
9:00 - 10:00
10:00-10:30
10:30-12:00
12:00-12:45
12:45- 1:30
The Organizational Ovehdi
Exercise)
Dissecting the Criteria
Core Values (& Exercise & Luni
Flow Charting and Process
Management (& Exercise)
The T-Bar and Strategic Planning (<
Exercise)
-------
1:30-2:15
2:15-3:00
3:00-3:45
3:45-4:15
Graphics, Charts ancTTables and
^V ^^^^^
Information Management
(& Exercise) T
Don't Forget the Linkages
(& Exercise)
Displaying Results (& Exercise)
The Final Edit and Review
4:15-5:00 Review and Wrap-up
-------
Introd
ions and
Expectati
Jeff Weinrach - JCS Novation, Inc.
Graham Bartlett - Integrated Quality Grou
-------
Introd
ions and
Expectations
^
Participants
- Name, position, and organization
- Your experience with the Green Zia CriterU
- How you plan to use the information you gafn
today
- Specific needs/expectations from this session
-------
Course Objectives
>
Gain an understanding of
Process
Green Zia
Gain a basic familiarity with appli
instructions and Green Zia Criteria!
Understand how to organize and ere
a Green Zia Application, using
suggested tools and best practices
-------
Green Zia
Environmental Excellence
Progra
The Green Zia Environmental Excellence Program was
Current legislation addressing confidentiality - HB SL? t
SB 446
Partnership program of state, local and federal agencie
industry, and environmental advocacy groups.
Coordinated out of the New Mexico Environment
Department, Office of the Secretary
-------
Green Zia
Environmental Excellence
Progra
Voluntary program with the goal of en^ouragm*
companies to reduce waste and save mohe
This is achieved by establishing pollution
prevention-based environmental management
systems.
Integrate environmental excellence into core
business practices.
Makes environment EVERYONE'S job
-------
Goal:
Environmental Excellence
Vehicle:
Prevention-Based Environmental
Management System
[Pollution Prevention:
Efficient Use of Materials
Energy Efficiency
Water Conservation
Waste Reduction
Use of Safer Materials
(Compliance
Environment
Health and Safety
Other Requirements
Tools:
Systems Approach to Pollution Prevention
-------
War orhWaste!
Waste is the product of inefficiency and
ALWAYS costs money to manag
dispose of.
The Green Zia Program is a waste
elimination program!
This can be achieved by continuous
improvement over time
-------
Green Zia A
d Structure
Three Levels of Application/AWard
- Commitment Level
Answer 10 questions (p. 44) that address basic eleij
prevention-based environmental management system\
10 page application limit
- Achievement and Excellence Levels
Answer Item questions (p. 46) using "Areas to Consider"
questions as guidance to the extent they pertain to the
prevention-based environmental management system in place
40 page application limit
-------
Awards and Levels
Commitment Level: Certificate of Corn
CEO and Governor of New Mexico
ent signed by
Achievement Level: Green Zia window stickerL
Green Zia logo in advertising.
Excellence Award: Governor's Green Zia Environmental
Excellence Award T
Organizations that participate in the program continuously
receive Pollution Prevention Partner Recognition
Certificates and Window Stickers showing number of
years of consecutive participation.
-------
Multi-leve
Emphasizes program development over a
period of years. ^
Start small and gradually build the pfl
Positive, proactive approach to
environmental protection.
A system to assure improvement and
success
-------
Continuotrs4mprovement
Emphasi;
'b ^
CD E
2 g
CJ) O
ฎ ^
QE
Excellence
Achievement
Commitment
Immature
Reactive
Mature
Proactive
The progression of the Green Zia Environmental Excellence Program
-------
The
n Zia Process
Intent to Apply
Exam Team
Reaches
Consensus
Accept
Applicants'
Intent
Exam Team
Scores
Application
Write & Submit
Application
Exam Team
Develops
Feedback
Report
Examiners
Review & Write
Feedback
GZ Judges
Review
Feedback
Reports
^
r
Judges
Determine
Awards &
Recognition
^
Applicants
Notified
r
Applicants
Receive
Feedback
Report
Applicants
Plan
Improvements
.
GZ Staff
Review & Edit
Reports
Applicants
Determine
Effectiveness
-,
1
-
-------
2001 Criteria for Green Zia
Environmental Excellence and
Award Application Instructions
rr <<*
Section Two
- Green Zia Summary - p. 1
- Small Business Considerations - p. 14
- Application & Review Process - p. 17
- Application Submission Information - p. 30
- Core Values & Criteria - p. 33
- Scoring System - p. 61
- Green Zia Tools & Technical Assistance - p. 63
-------
Criteria^ tructure
Commitment Level
- 7 Categories
-10 Questions
Achievement/Excellence Level
- 7 Categories
- 18 Items
- 97 Areas to Consider
- 26 Notes
-------
Changes to tn^OOl Criteria
Greater emphasis on effective i
management (efficiency, conserved
of renewable energy, etc.)
Addition of Sustainability Core Value
Revisions to Category/Item Scores
Greater clarity (Core Values,
Award/Recognition Levels, Definitions of
Terms, etc.)
Explanation of Deming Cycle (PDCA)
-------
The Green
Criteria Are
A tool for diagnosing existing Envu
Management/P2 systems
A self-assessment mirror
ental
A process for determining opportunities for
improvement
A framework for comprehensive planning
A road map for continuous improvement
-------
The CriteriaJDo Not...
Focus on or prescribe any specific sy:
Place importance on conformance
Assume or suggest that all organizations h^y
same requirements
Suggest or imply any approach to implementa,
-------
OKIES
The Major Component^Or Essential
Parts Of the SystV
Leadership
Planning for Continuous Environmental
Improvement
Customer, Suppliers and Others Involvement
Information and Analysis
Employee Involvement
Process Management
Results
-------
he Green Zia Environmental Excellence Program
A Systems Perspective
Desire for a
Healthy
Community
Desire to
Protect the
Environment
Desire to
Reduce Costs
2. Planning
for
( Continuous
Environmental
Improvement
5. Employee
Involvement
4. Information
and Analysis
6. Process
Management
3. Customer, Supplier
and Others' Involvement
3. Customer, Supplier
and Others' Involvement
-------
ITEMS are specifically designed K^TOCUS
on a major system requirement sue
> 2.2 Action Planning
* 7.1 Environmental Results
-------
AK
AREAS are designed to illustrate
\
clarify the intent of the items. In
addition, they place emphasis on the
types and amount of information
suggested to adequately address each
of the items.
-------
Demysti^ingApproach/Deployment
(Categories 1-6) antt-Results (Category 7)
Approach/Deployment
- Understand the meaning
of "how"
- Show what and how
- Show that activities are
systematic
- Show focus and
consistency
- Cross-reference
- Use flowcharts, tables
and bullets
- Refer to the scoring
guidelines
Focus'ion critical
environmental results
Consider treKds, lel
comparisons, orea
Include actual periods
Use graphs and tai
-------
The Meanms.of "How"
Process or Systematic Orientati
Circular series of sequential steps
- Feedback is used for improvement
Includes Methods - Measures - Deploy*
- Learning Cycles
Not just a list of "whats"
- Anecdotal Information
-------
AdditionaHCey Terms
Anecdotal Information: Stories or^flections of
isolated incidents of goodness not drKen by any
established repeatable approach, proce^ olyjiethod,
Comparisons and Benchmarks: Data from oth
organizations, agencies, best comparable
organizations in the appropriate sector, or
recognized benchmark organizations are used to
compare your performance.
-------
AdditionaHCey Terms
Improvement (Deming) Cycles: Prb^esses for
continually improving product and service
production, delivery processes and support
processes. Relevant data are systematically
collected and used to improve processes. This
often called the Plan-Do-Check-Act (PDCA) c;
Integrations: System functions as a whole, not a
collection of parts. Processes fit together. The
outputs of one process flow smoothly to the next
process.
-------
AdditionaHCey Terms
Sound Systematic: Process is logickisand most steps
are value-adding. Process includes feedback and is
robust to downstream variation.
Trends: Tables or graphs show current and hMoric
data in a positive direction indicating improvement,
-------
ach
ent
APPROACH - How the organiza ,
responds to the requirements
DEPLOYMENT - The extent to whicj
organization uses the approach (multi-
directional)
RESULTS - The outcomes achieved by th
approach
^
-------
nizational
Overview
Basic Description of Organiza
Customer & Interested Party
Requirements
Supplier & P2-Partnering Relationsh
Competitive Situation
Strategic Context
-------
Why is the
amzational
Overview Important?
It "sets the stage" for entire application, but is
not scored i^
It's read first by every examiner
All seven categories must align with and
support statements in the Organizational
Overview!
If information is presented in wrong area,
applicant may or MAY NOT get credit
Note: NOT INCLUDED IN PAGE COUNT
-------
Organizational Overview -
Exercfe^
Individually (or with co-workers): Draft
an Organizational Overview foXyc
organization by listing bullets uno^
each of the five sections starting o
page 22
In large group: Share Organizational
Overview and Receive Feedback
-------
Dissectina the Criteria
(Catego
How should the application
Who should be authoring this?
What information is needed to wri
this?
ritten?
What processes need to be describe^
Are there illustrative examples? ,
Does information provided align with
organizational overview?
-------
-------
Core
ues
Criteria built upon a set of dare values
\
Foundation for integrating key
environmental requirements withfi
results-oriented framework
Business principles, not "personal vali
-------
Core
ues
Establish the organization's "cultuf
- They set the context for all activities^
organization ^
Provide guidance for decision-making at allleve
- Does the approach support core values?
- Does this action violate any core values?
-------
Green Zia
re Values
Leadership Commitment
Efficient Product, Service and Proc
Design
Continuous Improvement and
Organizational & Personal Learnin
Valuing Employees and Partners
Management by Fact
Sustainability
-------
LeadershiD Commitment
Leadership sets the vision.
Leadership takes a long-term view!
Leadership promotes values.
Leadership creates strategies.
Leadership inspires and motivates.
Leadership provides resources.
Leadership reaches out to the community.
Leadership promotes success!
-------
Efficient Product^Service, and Process
Desicjrk
Greater opportunities during design phase
(1:10:100 Rule) ^
Greater cost-savings & cost-avoidam
potential.
Include customers and stakeholders in
decision-making process.
> Reuse, Recycle, Remanufacture.
Fix the problem before it's a problem!
-------
Continuoustmprovement and
Organization & Personal Learning
Data > Information > Knowledge > Wisdom
Deming Cycle
Adaptability/Flexibility
Increased Responsibility and Ownership
Learn "How" not "What"
Encourages incremental improvement
-------
loyees and
Employees possess process knowledge.
Employees "live" with the before <.
Employees take pride in their working
environment.
Employees are the cog in the environmen^
excellence wheel!
-------
loyees and
Partnerships are critical in life-bvcle
analyses, follow-through, and feei
Partnerships provide buy-in to process
product improvements. 1
Partnerships provide vehicles for measure
and promoting success.
Partnerships encourage broader
environmental responsibility & stewardship
-------
Management by Fact
k
Key to making decisions that ate aligned
with strategy and EE goals. ^
Emphasis is on selection, use and am
of appropriate data.
Reduces reliance on subjective "lineal
knowledge".
Facilitates quantification of improvement
efforts (ROI, etc)
-------
Sustai
Sustainability addresses long-temi issues
Sustainability emphasizes resource
and efficiency. 1
Sustainability looks outside the facility/
Sustainability addresses personal and
community responsibility.
-------
Exercise
In small groups: \.
- Choose scribe and presenter^
- Read assigned Core Values
- Highlight key descriptive phrases ar
- Record on flip chart pages
- Match to similar phrases in the Commit
Criteria
In large group - Report Back
- Presenter describes the essence and meanii
of assigned Core Values and discusses the
Commitment Criteria to which they are linked
-------
Flow Charting Basics
What is a flow chart?
mbols
A picture of a process, uses specif
A step-by-step depiction of a proces" ^
sequence of events, steps, activities 01-^^
Includes decision points - questions thar
would lead the process in a different direction
Can be macro or detailed 1
A communication tool
-------
Flow Cha^Symbols
An ov^Jndicates the start or
end of thbsprocess.
A rectangles re[
activity.
s an
An arrow indicates theVnain
direction of flow from om
activity to the next.
A diamond signifies a decisi
(Y/N, Pass/Fail).
A circle with a letter or number
inside symbolizes continuation
of the flow chart to another
page.
-------
Application Writing Process
D ete rm in e
ava ilab le d ata
W rite Pin on
App licatio n
R eceive
feedback on
ap plication
Prioritize
im provem ent
op po rtu n ities
Im pie m e nt
changes
O rg an ize self-
assessm e nt
Apply?
Do
P-D-S-A
Document self
assessm ent
resu Its
-------
Flov\rStiarting Exercise
In small groups
- Choose presenter
- Brainstorm steps in one of your organization's ' \
process \^
- List one step per Post-It Note (use correct symbol s
- Determine order of steps and place on flip chart pa
- Draw arrows in the correct direction
In large group
- Presenter describes process
-------
Storyboa
Tools
Developed by the "Junkyard Dogs/' H6qeywell's Zia
Team, Doug Burch and Lee Butler ^
A visual technique to begin the process of re?: ^
to the Criteria.
Brief bulleted outlines augmented by charts andtlata
A storyboard to organize information in the
application keeping focused on facts, data and
processes
-------
T-Baf^Gharting
Questions to be asked The flowchart or ans'
How?
How?
How?
Using this process
Using this data
'Using this flow
-------
T-Bar Cham
Questions to be asked The flowcharror answers
The good news in T-Bar
Charting at this level is
you will find these charts
to be three, four or five
levels of charting at the
MOST. Not 40!
The "How is it donesjie.
-------
Story-Boarding
Category 2)
In small groups
- Choose reporter and presenter
- On flip chart page, draw T bar chart
- Write category title across horizontal bar
- Write questions on left side of T
- Record appropriate responses to describe on<
your organization's planning processes II
In large group
- Report back to class
-------
Graphics, Ctwts, Tables, etc
Bar Charts (prioritizing, timelines)
Line Charts (trends) ^
Scatter Charts (surveys)
Pie Charts (percentages)
Spider-Web Charts (horizontal
deployment)
-------
Graphics, Ctwts, Tables, etc
Action Items ^
Customer Requirements
Financial Data
Inventory
Waste Management
Pollution Prevention (Source Reductior1|
Training
-------
Graphics, Charts, Tables, etc
Exercis
> In small groups
- Choose reporter and presenter
- Develop a table showing information ty[
sources, how analyzed, reporting required
your organization
- Develop an appropriate chart for one of the
information sets described above
i In large group
- Report back to class
-------
Don't for
the linkages
Processes and results
Planning and operation
Leadership and planning
Planning and Requirements/Standards
Operations and Employees 1
Primary and Secondary Processes
Processes and Organizational Overvie\
-------
Linkages-between Results
Approach/Deployment Criteria
Environmental management results ^^
Category 2: Planning for Continuous EnvironrrT. ^
Category 4: Information and Analysis
Category 6: Process Management
Customer, supplier, employee, and other results
Category 1: Leadership
Category 3: Customer, Supplier and Others Involvement
Category 4: Information and Analysis
Category 5: Employee Involvement
Financial results
Organizational Overview and most of the Categories
Improvement
-------
DonTforget the linkages -
category 5)
In small groups
- Choose reporter and presenter
^
- Identify linkages related to Employee Im
for your organization \
- Show linkages in table format
In large group
- Report back to class
-------
UnB^rstanding Results
Results flow from previously described approaches
(processes) and the deployment of thqse processes
Should be those things that are most meaningful to the
organization ^^
From the Business Overview
From Direction Set by the Leadership
From the Strategies and Actions identified in Response^
Category 2
Should communicate:
- Levels
The current level of performance reported graphically
- Trends
Multiple data points presented graphically
- Comparative data (industry standards & benchmarks)
-------
results
In small groups
- Choose reporter and presenter
- Display one set of results for your organ
using one of the chart or table formats froha ou.
earlier discussion. Include appropriate indiktr
standards or benchmarks. ^
- Identify the appropriate process or processes tl
link to the set of results.
In large group
- Report back to class
-------
The Final^edit and review
Have section authors read other^<~t
consistency.
Have all authors read the organizatio
ctions for
overview.
Have all process authors read results section;
have results authors read process sections^
Have someone who is not an author but wh<
is knowledgeable about the organization rea<
the entire application for clarity and
consistency.
-------
-------
Green Zia
Writers Workshop Training
New Mexico Environment Department
New Mexico Energy, Minerals, and Natural
Resources Department
-------
8:00-8:30 Introductions \
8:30-9:00 The Green Zia Profi
9:00 - 10:00
10:00-10:30
10:30-12:00
12:00-12:45
12:45- 1:30
The Organizational Ovehdi
Exercise)
Dissecting the Criteria
Core Values (& Exercise & Luni
Flow Charting and Process
Management (& Exercise)
The T-Bar and Strategic Planning (<
Exercise)
-------
1:30-2:15
2:15-3:00
3:00-3:45
3:45-4:15
Graphics, Charts ancTTables and
^V ^^^^^
Information Management
(& Exercise) T
Don't Forget the Linkages
(& Exercise)
Displaying Results (& Exercise)
The Final Edit and Review
4:15-5:00 Review and Wrap-up
-------
Introd
ions and
Expectati
Jeff Weinrach - JCS Novation, Inc.
Graham Bartlett - Integrated Quality Grou
-------
Introd
ions and
Expectations
^
Participants
- Name, position, and organization
- Your experience with the Green Zia CriterU
- How you plan to use the information you gafn
today
- Specific needs/expectations from this session
-------
Course Objectives
>
Gain an understanding of
Process
Green Zia
Gain a basic familiarity with appli
instructions and Green Zia Criteria!
Understand how to organize and ere
a Green Zia Application, using
suggested tools and best practices
-------
Green Zia
Environmental Excellence
Progra
The Green Zia Environmental Excellence Program was
Current legislation addressing confidentiality - HB SL? t
SB 446
Partnership program of state, local and federal agencie
industry, and environmental advocacy groups.
Coordinated out of the New Mexico Environment
Department, Office of the Secretary
-------
Green Zia
Environmental Excellence
Progra
Voluntary program with the goal of en^ouragm*
companies to reduce waste and save mohe
This is achieved by establishing pollution
prevention-based environmental management
systems.
Integrate environmental excellence into core
business practices.
Makes environment EVERYONE'S job
-------
Goal:
Environmental Excellence
Vehicle:
Prevention-Based Environmental
Management System
[Pollution Prevention:
Efficient Use of Materials
Energy Efficiency
Water Conservation
Waste Reduction
Use of Safer Materials
(Compliance
Environment
Health and Safety
Other Requirements
Tools:
Systems Approach to Pollution Prevention
-------
War orhWaste!
Waste is the product of inefficiency and
ALWAYS costs money to manag
dispose of.
The Green Zia Program is a waste
elimination program!
This can be achieved by continuous
improvement over time
-------
Green Zia A
d Structure
Three Levels of Application/AWard
- Commitment Level
Answer 10 questions (p. 44) that address basic eleij
prevention-based environmental management system\
10 page application limit
- Achievement and Excellence Levels
Answer Item questions (p. 46) using "Areas to Consider"
questions as guidance to the extent they pertain to the
prevention-based environmental management system in place
40 page application limit
-------
Awards and Levels
Commitment Level: Certificate of Corn
CEO and Governor of New Mexico
ent signed by
Achievement Level: Green Zia window stickerL
Green Zia logo in advertising.
Excellence Award: Governor's Green Zia Environmental
Excellence Award T
Organizations that participate in the program continuously
receive Pollution Prevention Partner Recognition
Certificates and Window Stickers showing number of
years of consecutive participation.
-------
Multi-leve
Emphasizes program development over a
period of years. ^
Start small and gradually build the pfl
Positive, proactive approach to
environmental protection.
A system to assure improvement and
success
-------
Continuotrs4mprovement
Emphasi;
'b ^
CD E
2 g
CJ) O
ฎ ^
QE
Excellence
Achievement
Commitment
Immature
Reactive
Mature
Proactive
The progression of the Green Zia Environmental Excellence Program
-------
The
n Zia Process
Intent to Apply
Exam Team
Reaches
Consensus
Accept
Applicants'
Intent
Exam Team
Scores
Application
Write & Submit
Application
Exam Team
Develops
Feedback
Report
Examiners
Review & Write
Feedback
GZ Judges
Review
Feedback
Reports
^
r
Judges
Determine
Awards &
Recognition
^
Applicants
Notified
r
Applicants
Receive
Feedback
Report
Applicants
Plan
Improvements
.
GZ Staff
Review & Edit
Reports
Applicants
Determine
Effectiveness
-,
1
-
-------
2001 Criteria for Green Zia
Environmental Excellence and
Award Application Instructions
rr <<*
Section Two
- Green Zia Summary - p. 1
- Small Business Considerations - p. 14
- Application & Review Process - p. 17
- Application Submission Information - p. 30
- Core Values & Criteria - p. 33
- Scoring System - p. 61
- Green Zia Tools & Technical Assistance - p. 63
-------
Criteria^ tructure
Commitment Level
- 7 Categories
-10 Questions
Achievement/Excellence Level
- 7 Categories
- 18 Items
- 97 Areas to Consider
- 26 Notes
-------
Changes to tn^OOl Criteria
Greater emphasis on effective i
management (efficiency, conserved
of renewable energy, etc.)
Addition of Sustainability Core Value
Revisions to Category/Item Scores
Greater clarity (Core Values,
Award/Recognition Levels, Definitions of
Terms, etc.)
Explanation of Deming Cycle (PDCA)
-------
The Green
Criteria Are
A tool for diagnosing existing Envu
Management/P2 systems
A self-assessment mirror
ental
A process for determining opportunities for
improvement
A framework for comprehensive planning
A road map for continuous improvement
-------
The CriteriaJDo Not...
Focus on or prescribe any specific sy:
Place importance on conformance
Assume or suggest that all organizations h^y
same requirements
Suggest or imply any approach to implementa,
-------
OKIES
The Major Component^Or Essential
Parts Of the SystV
Leadership
Planning for Continuous Environmental
Improvement
Customer, Suppliers and Others Involvement
Information and Analysis
Employee Involvement
Process Management
Results
-------
he Green Zia Environmental Excellence Program
A Systems Perspective
Desire for a
Healthy
Community
Desire to
Protect the
Environment
Desire to
Reduce Costs
2. Planning
for
( Continuous
Environmental
Improvement
5. Employee
Involvement
4. Information
and Analysis
6. Process
Management
3. Customer, Supplier
and Others' Involvement
3. Customer, Supplier
and Others' Involvement
-------
ITEMS are specifically designed K^TOCUS
on a major system requirement sue
> 2.2 Action Planning
* 7.1 Environmental Results
-------
AK
AREAS are designed to illustrate
\
clarify the intent of the items. In
addition, they place emphasis on the
types and amount of information
suggested to adequately address each
of the items.
-------
Demysti^ingApproach/Deployment
(Categories 1-6) antt-Results (Category 7)
Approach/Deployment
- Understand the meaning
of "how"
- Show what and how
- Show that activities are
systematic
- Show focus and
consistency
- Cross-reference
- Use flowcharts, tables
and bullets
- Refer to the scoring
guidelines
Focus'ion critical
environmental results
Consider treKds, lel
comparisons, orea
Include actual periods
Use graphs and tai
-------
The Meanms.of "How"
Process or Systematic Orientati
Circular series of sequential steps
- Feedback is used for improvement
Includes Methods - Measures - Deploy*
- Learning Cycles
Not just a list of "whats"
- Anecdotal Information
-------
AdditionaHCey Terms
Anecdotal Information: Stories or^flections of
isolated incidents of goodness not drKen by any
established repeatable approach, proce^ olyjiethod,
Comparisons and Benchmarks: Data from oth
organizations, agencies, best comparable
organizations in the appropriate sector, or
recognized benchmark organizations are used to
compare your performance.
-------
AdditionaHCey Terms
Improvement (Deming) Cycles: Prb^esses for
continually improving product and service
production, delivery processes and support
processes. Relevant data are systematically
collected and used to improve processes. This
often called the Plan-Do-Check-Act (PDCA) c;
Integrations: System functions as a whole, not a
collection of parts. Processes fit together. The
outputs of one process flow smoothly to the next
process.
-------
AdditionaHCey Terms
Sound Systematic: Process is logickisand most steps
are value-adding. Process includes feedback and is
robust to downstream variation.
Trends: Tables or graphs show current and hMoric
data in a positive direction indicating improvement,
-------
ach
ent
APPROACH - How the organiza ,
responds to the requirements
DEPLOYMENT - The extent to whicj
organization uses the approach (multi-
directional)
RESULTS - The outcomes achieved by th
approach
^
-------
nizational
Overview
Basic Description of Organiza
Customer & Interested Party
Requirements
Supplier & P2-Partnering Relationsh
Competitive Situation
Strategic Context
-------
Why is the
amzational
Overview Important?
It "sets the stage" for entire application, but is
not scored i^
It's read first by every examiner
All seven categories must align with and
support statements in the Organizational
Overview!
If information is presented in wrong area,
applicant may or MAY NOT get credit
Note: NOT INCLUDED IN PAGE COUNT
-------
Organizational Overview -
Exercfe^
Individually (or with co-workers): Draft
an Organizational Overview foXyc
organization by listing bullets uno^
each of the five sections starting o
page 22
In large group: Share Organizational
Overview and Receive Feedback
-------
Dissectina the Criteria
(Catego
How should the application
Who should be authoring this?
What information is needed to wri
this?
ritten?
What processes need to be describe^
Are there illustrative examples? ,
Does information provided align with
organizational overview?
-------
-------
Core
ues
Criteria built upon a set of dare values
\
Foundation for integrating key
environmental requirements withfi
results-oriented framework
Business principles, not "personal vali
-------
Core
ues
Establish the organization's "cultuf
- They set the context for all activities^
organization ^
Provide guidance for decision-making at allleve
- Does the approach support core values?
- Does this action violate any core values?
-------
Green Zia
re Values
Leadership Commitment
Efficient Product, Service and Proc
Design
Continuous Improvement and
Organizational & Personal Learnin
Valuing Employees and Partners
Management by Fact
Sustainability
-------
LeadershiD Commitment
Leadership sets the vision.
Leadership takes a long-term view!
Leadership promotes values.
Leadership creates strategies.
Leadership inspires and motivates.
Leadership provides resources.
Leadership reaches out to the community.
Leadership promotes success!
-------
Efficient Product^Service, and Process
Desicjrk
Greater opportunities during design phase
(1:10:100 Rule) ^
Greater cost-savings & cost-avoidam
potential.
Include customers and stakeholders in
decision-making process.
> Reuse, Recycle, Remanufacture.
Fix the problem before it's a problem!
-------
Continuoustmprovement and
Organization & Personal Learning
Data > Information > Knowledge > Wisdom
Deming Cycle
Adaptability/Flexibility
Increased Responsibility and Ownership
Learn "How" not "What"
Encourages incremental improvement
-------
loyees and
Employees possess process knowledge.
Employees "live" with the before <.
Employees take pride in their working
environment.
Employees are the cog in the environmen^
excellence wheel!
-------
loyees and
Partnerships are critical in life-bvcle
analyses, follow-through, and feei
Partnerships provide buy-in to process
product improvements. 1
Partnerships provide vehicles for measure
and promoting success.
Partnerships encourage broader
environmental responsibility & stewardship
-------
Management by Fact
k
Key to making decisions that ate aligned
with strategy and EE goals. ^
Emphasis is on selection, use and am
of appropriate data.
Reduces reliance on subjective "lineal
knowledge".
Facilitates quantification of improvement
efforts (ROI, etc)
-------
Sustai
Sustainability addresses long-temi issues
Sustainability emphasizes resource
and efficiency. 1
Sustainability looks outside the facility/
Sustainability addresses personal and
community responsibility.
-------
Exercise
In small groups: \.
- Choose scribe and presenter^
- Read assigned Core Values
- Highlight key descriptive phrases ar
- Record on flip chart pages
- Match to similar phrases in the Commit
Criteria
In large group - Report Back
- Presenter describes the essence and meanii
of assigned Core Values and discusses the
Commitment Criteria to which they are linked
-------
Flow Charting Basics
What is a flow chart?
mbols
A picture of a process, uses specif
A step-by-step depiction of a proces" ^
sequence of events, steps, activities 01-^^
Includes decision points - questions thar
would lead the process in a different direction
Can be macro or detailed 1
A communication tool
-------
Flow Cha^Symbols
An ov^Jndicates the start or
end of thbsprocess.
A rectangles re[
activity.
s an
An arrow indicates theVnain
direction of flow from om
activity to the next.
A diamond signifies a decisi
(Y/N, Pass/Fail).
A circle with a letter or number
inside symbolizes continuation
of the flow chart to another
page.
-------
Application Writing Process
D ete rm in e
ava ilab le d ata
W rite Pin on
App licatio n
R eceive
feedback on
ap plication
Prioritize
im provem ent
op po rtu n ities
Im pie m e nt
changes
O rg an ize self-
assessm e nt
Apply?
Do
P-D-S-A
Document self
assessm ent
resu Its
-------
Flov\rStiarting Exercise
In small groups
- Choose presenter
- Brainstorm steps in one of your organization's ' \
process \^
- List one step per Post-It Note (use correct symbol s
- Determine order of steps and place on flip chart pa
- Draw arrows in the correct direction
In large group
- Presenter describes process
-------
Storyboa
Tools
Developed by the "Junkyard Dogs/' H6qeywell's Zia
Team, Doug Burch and Lee Butler ^
A visual technique to begin the process of re?: ^
to the Criteria.
Brief bulleted outlines augmented by charts andtlata
A storyboard to organize information in the
application keeping focused on facts, data and
processes
-------
T-Baf^Gharting
Questions to be asked The flowchart or ans'
How?
How?
How?
Using this process
Using this data
'Using this flow
-------
T-Bar Cham
Questions to be asked The flowcharror answers
The good news in T-Bar
Charting at this level is
you will find these charts
to be three, four or five
levels of charting at the
MOST. Not 40!
The "How is it donesjie.
-------
Story-Boarding
Category 2)
In small groups
- Choose reporter and presenter
- On flip chart page, draw T bar chart
- Write category title across horizontal bar
- Write questions on left side of T
- Record appropriate responses to describe on<
your organization's planning processes II
In large group
- Report back to class
-------
Graphics, Ctwts, Tables, etc
Bar Charts (prioritizing, timelines)
Line Charts (trends) ^
Scatter Charts (surveys)
Pie Charts (percentages)
Spider-Web Charts (horizontal
deployment)
-------
Graphics, Ctwts, Tables, etc
Action Items ^
Customer Requirements
Financial Data
Inventory
Waste Management
Pollution Prevention (Source Reductior1|
Training
-------
Graphics, Charts, Tables, etc
Exercis
> In small groups
- Choose reporter and presenter
- Develop a table showing information ty[
sources, how analyzed, reporting required
your organization
- Develop an appropriate chart for one of the
information sets described above
i In large group
- Report back to class
-------
Don't for
the linkages
Processes and results
Planning and operation
Leadership and planning
Planning and Requirements/Standards
Operations and Employees 1
Primary and Secondary Processes
Processes and Organizational Overvie\
-------
Linkages-between Results
Approach/Deployment Criteria
Environmental management results ^^
Category 2: Planning for Continuous EnvironrrT. ^
Category 4: Information and Analysis
Category 6: Process Management
Customer, supplier, employee, and other results
Category 1: Leadership
Category 3: Customer, Supplier and Others Involvement
Category 4: Information and Analysis
Category 5: Employee Involvement
Financial results
Organizational Overview and most of the Categories
Improvement
-------
DonTforget the linkages -
category 5)
In small groups
- Choose reporter and presenter
^
- Identify linkages related to Employee Im
for your organization \
- Show linkages in table format
In large group
- Report back to class
-------
UnB^rstanding Results
Results flow from previously described approaches
(processes) and the deployment of thqse processes
Should be those things that are most meaningful to the
organization ^^
From the Business Overview
From Direction Set by the Leadership
From the Strategies and Actions identified in Response^
Category 2
Should communicate:
- Levels
The current level of performance reported graphically
- Trends
Multiple data points presented graphically
- Comparative data (industry standards & benchmarks)
-------
results
In small groups
- Choose reporter and presenter
- Display one set of results for your organ
using one of the chart or table formats froha ou.
earlier discussion. Include appropriate indiktr
standards or benchmarks. ^
- Identify the appropriate process or processes tl
link to the set of results.
In large group
- Report back to class
-------
The Final^edit and review
Have section authors read other^<~t
consistency.
Have all authors read the organizatio
ctions for
overview.
Have all process authors read results section;
have results authors read process sections^
Have someone who is not an author but wh<
is knowledgeable about the organization rea<
the entire application for clarity and
consistency.
-------
-------
Green Zia
Examiner Training
New Mexfeo Environment Department
New Mexico Energy, Minerals, and Natural
\
Resources\DeDartment
-------
Introd
ions and
Expectati
Jeff Weinrach - JCS Novation, Inc.
Graham Bartlett - Integrated Quality Grou
-------
Introd
ions and
Expectations
^
Participants
- Name, position, and organization
- Your experience with the Green Zia Progr"
- How you plan to use the information you gaiTl
this training
- Specific needs/expectations from this session
-------
-First Day
8:00-8:30 Introductions^&^Expectations
8:30 - 9:00 GZ Process ^
9:00-9:30 Examiner Testimonials
9:30-9:45 Break
9:45 - 10:45 Key Business Factors & Exef<
10:45 - 11:45 Core Values & Exercise
11:45- 12:30 Lunch
12:30- 1:30
1:30-2:30
2:30-3:15
What is a process? & Exercise
Comments & Writing (non-prescrip
Areas to Consider & Exercise
3:15 - 5:00 Senior Examiner Discussion
-------
-Second Day
8:00-8:30
8:30- 10:00
9:30-9:45
9:45- 11:30
11:30- 12:15
12:15- 1:15
1:15- 1:45
1:45-2:00
2:00-2:15
Quick Review X^^
Comment Elements <&sExercise
Break
Linkages/Integration & Exel
Lunch
Consensus, Scoring, & Exercise
Feedback Report Discussion
Closeout
Break
2:15-4:15 Examiner Group Meetings
-------
Course Objectives
>
Gain an understanding of
Process
Green Zia
Gain a basic familiarity with Gre<
Criteria and Core Values
Understand how to examine a Greet
Zia Application and prepare a valuabl
feedback report
-------
Green Zia
Environmental Excellence
Progra
The Green Zia Environmental Excellence Program was
Current legislation addressing confidentiality - HB SL? t
SB 446
Partnership program of state, local and federal agencie
industry, and environmental advocacy groups.
Coordinated out of the New Mexico Environment
Department, Office of the Secretary
-------
Green Zia
Environmental Excellence
Progra
Voluntary program with the goal of en^ouragm*
companies to reduce waste and save mohe
This is achieved by establishing pollution
prevention-based environmental management
systems.
Integrate environmental excellence into core
business practices.
Makes environment EVERYONE'S job
-------
Goal:
Environmental Excellence
Vehicle:
Prevention-Based Environmental
Management System
[Pollution Prevention:
Efficient Use of Materials
Energy Efficiency
Water Conservation
Waste Reduction
Use of Safer Materials
(Compliance
Environment
Health and Safety
Other Requirements
Tools:
Systems Approach to Pollution Prevention
-------
War orhWaste!
Waste is the product of inefficiency and
ALWAYS costs money to manag
dispose of.
The Green Zia Program is a waste
elimination program!
This can be achieved by continuous
improvement over time
-------
Green Zia A
d Structure
Three Levels of Application/AWard
- Commitment Level
Answer 10 questions (p. 44) that address basic eleij
prevention-based environmental management system\
10 page application limit
- Achievement and Excellence Levels
Answer Item questions (p. 46) using "Areas to Consider"
questions as guidance to the extent they pertain to the
prevention-based environmental management system in place
50 page application limit
-------
Awards and Levels
Commitment Level: Certificate of Corn
CEO and Governor of New Mexico
ent signed by
Achievement Level: Green Zia window stickerL
Green Zia logo in advertising.
Excellence Award: Governor's Green Zia Environmental
Excellence Award T
Organizations that participate in the program continuously
receive Pollution Prevention Partner Recognition
Certificates and Window Stickers showing number of
years of consecutive participation.
-------
Multi-leve
Emphasizes program development over a
period of years. ^
Start small and gradually build the pfl
Positive, proactive approach to
environmental protection.
A system to assure improvement and
success
-------
Continuotrs4mprovement
Emphasi;
'b ^
CD E
2 g
CJ) O
ฎ ^
QE
Excellence
Achievement
Commitment
Immature
Reactive
Mature
Proactive
The progression of the Green Zia Environmental Excellence Program
-------
The
n Zia Process
Intent to Apply
Exam Team
Reaches
Consensus
Accept
Applicants'
Intent
Exam Team
Scores
Application
Write & Submit
Application
Exam Team
Develops
Feedback
Report
Examiners
Review & Write
Feedback
GZ Judges
Review
Feedback
Reports
^
r
Judges
Determine
Awards &
Recognition
^
Applicants
Notified
r
Applicants
Receive
Feedback
Report
Applicants
Plan
Improvements
.
GZ Staff
Review & Edit
Reports
Applicants
Determine
Effectiveness
-,
1
-
-------
2001 Criteria for Green Zia
Environmental Excellence and
Award Application Instructions
rr <<*
Section Two
- Green Zia Summary - p. 1
- Small Business Considerations - p. 13
- Application & Review Process - p. 15
- Application Submission Information - p. 28
- Core Values & Criteria - p. 31
- Scoring System - p. 59
- Green Zia Tools & Technical Assistance - p. 65
-------
Criteria^ tructure
Commitment Level
- 7 Categories
-10 Questions
Achievement/Excellence Level
- 7 Categories
- 18 Items
- 97 Areas to Consider
- 26 Notes
-------
Changes to tn^OOl Criteria
Greater emphasis on effective i
management (efficiency, conserved
of renewable energy, etc.)
Addition of Sustainability Core Value
Revisions to Category/Item Scores
Greater clarity (Core Values,
Award/Recognition Levels, Definitions of
Terms, etc.)
Explanation of Deming Cycle (PDCA)
-------
The Green
Criteria Are
A tool for diagnosing existing Envu
Management/P2 systems
A self-assessment mirror
ental
A process for determining opportunities for
improvement
A framework for comprehensive planning
A road map for continuous improvement
-------
The CriteriaJDo Not...
Focus on or prescribe any specific sy:
Place importance on conformance
Assume or suggest that all organizations h^y
same requirements
Suggest or imply any approach to implementa,
-------
OKIES
The Major Component^Or Essential
Parts Of the SystV
Leadership
Planning for Continuous Environmental
Improvement
Customer, Suppliers and Others Involvement
Information and Analysis
Employee Involvement
Process Management
Results
-------
vironmentai txcenence
A Systems Perspective
Desire for a
Healthy
Community
Desire to
Protect the
Environment
Desire to
Reduce Costs
1.
Leadership
2. Planning
for
t Continuous
Environmental
Improvement
5. Employee
Involvement
4. Information
and Analysis
6. Process
Management
3. Customer, Supplier
anri Others' Involvement
3. Customer, Supplk-r
anri Others' Invnlvempn!
-------
ITEMS are specifically designed K^TOCUS
on a major system requirement sue
> 2.2 Action Planning
* 7.1 Environmental Results
-------
AK
AREAS are designed to illustrate
\
clarify the intent of the items. In
addition, they place emphasis on the
types and amount of information
suggested to adequately address each
of the items.
-------
Demysti^ingApproach/Deployment
(Categories 1-6) antt-Results (Category 7)
Approach/Deployment
- Understand the meaning
of "how"
- Show what and how
- Show that activities are
systematic
- Show focus and
consistency
- Cross-reference
- Use flowcharts, tables
and bullets
- Refer to the scoring
guidelines
Focus'ion critical
environmental results
Consider treKds, lel
comparisons, orea
Include actual periods
Use graphs and tai
-------
The Meanms.of "How"
Process or Systematic Orientati
Circular series of sequential steps
- Feedback is used for improvement
Includes Methods - Measures - Deploy*
- Learning Cycles
Not just a list of "whats"
- Anecdotal Information
-------
AdditionaHCey Terms
Anecdotal Information: Stories or^flections of
isolated incidents of goodness not drKen by any
established repeatable approach, proce^ olyjiethod,
Comparisons and Benchmarks: Data from oth
organizations, agencies, best comparable
organizations in the appropriate sector, or
recognized benchmark organizations are used to
compare your performance.
-------
AdditionaHCey Terms
Improvement (Deming) Cycles: Prb^esses for
continually improving product and service
production, delivery processes and support
processes. Relevant data are systematically
collected and used to improve processes. This
often called the Plan-Do-Check-Act (PDCA) c;
Integrations: System functions as a whole, not a
collection of parts. Processes fit together. The
outputs of one process flow smoothly to the next
process.
-------
AdditionaHCey Terms
Sound Systematic: Process is logickisand most steps
are value-adding. Process includes feedback and is
robust to downstream variation.
Trends: Tables or graphs show current and hMoric
data in a positive direction indicating improvement,
-------
ach
ent
APPROACH - How the organiza ,
responds to the requirements
DEPLOYMENT - The extent to whicj
organization uses the approach (multi-
directional)
RESULTS - The outcomes achieved by th
approach
^
-------
Examiner Testimonials
Reading the Application
Identifying Processes
Preparing Comments
Consensus & Scoring
Preparation of Feedback Report
Time Management
-------
Organizational Overview &
Key Business Factors
(P. 19Kx
Basic Description of Organiza
Customer & Interested Party
Requirements
Supplier & P2-Partnering RelationshV
Competitive Situation
Strategic Context
-------
Why is the
amzational
Overview Important?
It "sets the stage" for entire application, but is
not scored i^
It should include EMS description/diagi^
(new for 2001)
It should be read first by every examiner
All seven categories should align with and
support statements in the Organizational
Overview!
Note: OVERVIEW NOT INCLUDED IN
PAGE COUNT
-------
Key Business Factors -
In teams: Identify Key Busines^xFactors from
Case Study Organizational Overviewach
team will be asked to work on two of
Organizational Overview sections. Illustra
why the team views these factors as pot
relevant.
In large group: Share Key Business Factoi
and potential relevance to the overall
application examination
-------
-------
Core
ues
Criteria built upon a set of dare values
\
Foundation for integrating key
environmental requirements withfi
results-oriented framework
Business principles, not "personal vali
-------
Core
ues
Establish the organization's "cultuf
- They set the context for all activities^
organization ^
Provide guidance for decision-making at allleve
- Does the approach support core values?
- Does this action violate any core values?
-------
Green Zia
re Values
Leadership Commitment
Efficient Product, Service and Proc
Design
Continuous Improvement and
Organizational & Personal Learnin
Valuing Employees and Partners
Management by Fact
Sustainability
-------
Exercise
In teams:
- Each team will be given one category from the
case study to work on \
- Identify phrases or themes within th
as written in the case study, that derftonstra
alignment with any or all GZ Core Value^
- On flip charts, record phrases or themes bn
one side of the page and the aligned core 1
value(s) on the other side of the page
In large group - Report Back
- Presenter describes the phrases or themes
and the alignment to GZ core Values
-------
Whati
"If you cannot describe what ^ou are doin
as a process, then you do not kno.
you are doing." - W. Edwards Demrn
-------
Pro
Core Processes - Manufacturing Production,
>s. ^^-
Service ^
Support Processes - Maintenance,
Procurement, Transportation
Environmental Management Processes -
Planning, Information Management,
Decision-Making
Routine vs. non-routine
-------
Which
rocesses should you
"> see^A/Jthin a Green
lication?
-------
How can cDrejDrocesses be
identified?
By Waste Stream or Environmental Impact
\
By Material Flow (Efficiency) ^
By Risk (health & safety, spills, etc.)
By Cost (Activity-Based Costing, etc.)
By Strategic Plans
By Employees or Stakeholders
-------
How can core orocesses by
Process Mappin
Process Flow Diagrams
Material (Mass) Balance
Sensors or other real-time measurement;
-------
nrn
e developed
Process Improvement Teams
Implementation of Action Plans
Plan-Do-Check-Act (Deming) Cycles
Periodic Measurement and Feedback
-------
Storyboa
Tools
Developed by the "Junkyard Dogs/' H6qeywell's Zia
Team, Doug Burch and Lee Butler ^
A visual technique to begin the process of re?: ^
to the Criteria.
Brief bulleted outlines augmented by charts andtlata
A storyboard to organize information in the
application keeping focused on facts, data and
processes
-------
T-Baf^Gharting
Green Zia Question
What?
What?
What?
How?
Using this process
Using this data
'Using this flow
-------
-------
ProcesSHdentification
Exerctee
In teams - Using the case studyXfind
examples of each of the following?
- How the application identifies or improV
core process
- Two examples of environmental manageme
processes or environmental management
process improvements
In large group - Report findings using T-Ba
-------
Writifrg-NQn - Prescr i pti ve
ents
Does the applicant answer aXSreen Zia
question? Is there a clearly descr^b^H
process (for categories 1 -6)?
Does the answer align with the
organizational overview or with other
sections of the application?
Does the answer align with Green Zia Con
Values?
Is there clear alignment between a process
and a result?
-------
Avoid "good, bad, effective, ineffective,
inadequate, could, should, would
Unless a site visit is conducted, avoic
organization has no ..."
-------
How wou chan examiner know
management process is
effective? ^
-------
Non^Ptescnptive Comment
In teams %^
- read set of sample comments provided to your
team ^
- determine if each comment is prescript ^
non-prescriptive
- for each prescriptive comment, develop a n
prescriptive alternate comment
In larger group - show on a flip chart the
original comment and, next to it, any non-
prescriptive revisions that the team
developed
-------
s to^Gonsider
Why are they called "Areas to Consider?
How will applicants interpret area;
consider?
How should examiners address areas to
consider?
How would areas to consider affect scorin
(discuss tomorrow)
-------
-------
-Second Day
8:00-8:30
8:30- 10:00
9:30-9:45
9:45- 11:30
11:30- 12:15
12:15- 1:15
1:15- 1:45
1:45-2:00
2:00-2:15
Quick Review X^^
Comment Elements <&sExercise
Break
Linkages/Integration & Exel
Lunch
Consensus, Scoring, & Exercise
Feedback Report Discussion
Closeout
Break
2:15-4:15 Examiner Group Meetings
-------
ent Elements
Three components (for actionable comment):
^v
- strength or opportunity for improvement
- illustrative example from application
- relevance - to organizational overview, cor<
Use clear, simple, grammatically correct ahd
complete sentences i
The same comment should not be both a strenS
and an opportunity for improvement 1
-------
CommerfNEJements
Illustrate linkages and integration (next
section) ^
Avoid Jargon and Acronyms, unless'
by the applicant
Use polite, professional, positive tone
-------
mmerit3>ฃxercise
In teams:
- Using the case study, write one streri:
one opportunity for improvement usin^
three-component comment. Each team will fa
asked to work on one specific item from thg
case study application.
In larger groups - Report strength and
opportunity for improvement on flip chart
paper.
-------
-------
Don't for
the linkages
Processes and results
Planning and operation
Leadership and planning
Planning and Requirements/Standards
Operations and Employees 1
Primary and Secondary Processes
Processes and Organizational Overvie\
-------
Linkages-between Results
Approach/Deployment Criteria
Environmental management results ^^
Category 2: Planning for Continuous EnvironrrT. ^
Category 4: Information and Analysis
Category 6: Process Management
Customer, supplier, employee, and other results
Category 1: Leadership
Category 3: Customer, Supplier and Others Involvement
Category 4: Information and Analysis
Category 5: Employee Involvement
Financial results
Organizational Overview and most of the Categories
Improvement
-------
Integration
Especially with a "mature" organization,
look for indicators of Environmen
Management System integration wit
overall business (perhaps through a "quali
system). ^
Be careful not to comment on the larger
quality system if it is not specifically
addressing the Green Zia Criteria.
-------
Linkages/Integration Exercise
In small groups
- Choose reporter and presenter
- Identify three examples of linkages or integration
in the case study 1
- Draft a comment for one of the three examples
using the linkage or integration that you identified
in the comment
In large group
- Report three examples and the one comment
back to class
-------
-------
Definition ofConsensus
A state where everyone in th
support an action or decision, even
of them don't fully agree with it!
-------
Definitiofrof Consensus
A decision made after all aspects
issue, both positive and negative, ha^r
reviewed and discussed to the extent that
everyone openly participates in, and ^
understands and supports, the decision *
-------
iscussion
Each team member is fully prepared to
discuss their own position
Each team member understands that He/
does not have all knowledge
Each team member is prepared to listen
learn from others
Each team member fully participates in
discussion
-------
Consensus Isn't
Majority vote
Compromise
Team leader weighted
Trivial
-------
Scoring
Three Dimensions
- Approach
- Deployment
- Results
-------
Approabh^Factors
How the Applicant Addresses the Items
Appropriateness of Methods to Rec
Effectiveness of use of Methods
ments
- Systematic, Integrated, and Consistent^
Applied
- Embodies Evaluation/Improvement/Learni]
- Based on Reliable Data and Information
Evidence of Innovation and/or Adaptation
-------
DeploymerrtsFactors
The Extent the Applicant's Approach is
Applied to all Requirements ^
Use of the Approach by All Appropr flat
Work Units 1
Multi-Dimensional Deployment
-------
Results^Factors
Outcomes in Achieving thexurposes
Current Performance
Performance Relative to Appropria1
Comparisons and/or Benchmarks
Rate, Breadth and Importance of
Performance Improvements
Demonstration of Sustained Improvement
and/or Sustained High-Level Performance
-------
Item Cla
nsion
Approach/Deployment
- Descriptions of Approach Should In
Deployment of the Item
- Although Linked, Feedback to the Applic!
Reflects Strengths and/or Areas for
Improvement in Either or Both Dimensions
-------
Item Cla
nsion
Linked to Deployment Through
Factor
If Improvement Processes are Widely Deploy<
Corresponding Results Should be Shown ^^
Score is Composite Based Upon Overall
Performance., Accounting for Breadth of
Improvements
-------
portance" as a Scoring
Factor
Evaluation and Feedback Must Consider the
Importance of Improvements uxthe
Applicant's Business ^
Areas of Greatest Importance Should\
Addressed in the Organizational OverView
Identify Key Customer Requirements an<
Key Strategies and Action Plans
-------
rarid Descriptors
1000PI
10% - 20%
> 30% - 40%
50% - 60%
70% - 80%
90% - 100%
Use for Achievement/Excellence
Levels
-------
ant of Score-1000 pt
First Decide Which Scoring Range Best Fits
the Overall Item Response
Next, Determine if Applicant Meets So
^
or All of Range Descriptors
Finally, Assign Score in Increments of lU
-------
entof Score-1000 Pt
An Approach/Deployment Item\Score of 50%
Represents an Approach that Meet
Basic Objectives and is Deployed to^
Principal Activities
A Results Item Score of 50% Represents
Clear Indication of Improvement Trends
and/or Good Levels of Performance in
Principal Areas
-------
Frequently Asked Questions
ป For Results, the 50% Mark Represents
Clear Indication of Improvement^ '
and/or Current Good Levels of Perl ,
ป Standards Should be World-Class or
Industry-Specific to Set High but
Reasonable Standards of Comparison,
Seeking to Point Out Opportunities for
Improvement
-------
Questions
Common Difficulties in Scaring:
- Scores Not Adequately Related tb^the Key
Business Factors or Scoring Guidelme:
- Examiner Acceptance of Statements IV
Applicants
- Setting the 50% Point
- Using the Areas to Consider and Item Notes
a "Checklist"
- Treatment of Missing Information
-------
Check box if you see evidence
beginnings of a systematic approa
Do not allow other matrix factors to
influence decision on a particular box
Use for Commitment Level
-------
Consen
s & Scoring
Exercfce
In teams:
- Each team member will write one stfength and
one opportunity for improvement common
using the three-component comment format fc
one particular item from the case study ^
- The team will consense and write consensus
comments on a flip chart
- The team will then score the item based on the
consensus comments
In larger groups - Report to class
-------
-------
Feedbad^Reports
Format
- Executive Summary
Major themes
- Details of Strengths and Areas for
Improvement
By category
Page Break Between Categories
Bullet Before Each New Comment
-------
Feedback Reports
Thorough Evaluation of the'Application
NV
Relative to the Criteria for Performance
Excellence
Targeting of Core Strengths and Are<
Improvement for Each Item
Effective Communication of Those
Strengths and Areas for Improvement to
Applicant via the Feedback Report
-------
Feed badk^Re ports
Preview the Consensus Rejxjrt Comments
Synthesize Similar Comments
Eliminate Inconsistent and Unimp
Comments
Balance the Number and Weight of
Comments to Reflect Composite Scorii
-------
Feedback Report
Avoid being judgmental or prescriptive;
be aware of personal biases ^^
Comment on items from the criteria
Don't feel compelled to provide feedbac.
on every area to consider within an item
Balance strengths and opportunities for
improvement to support organizations
general scoring range
-------
Frequently Asked Questions
Typically Spend Between 25 and 40 Hours
to Read the Application, Consense\o
Comments and Score, and Complete^
Feedback Report
Generally Include 5 to 8 Comments Per
Item
-------
-------
Final CommentSxOr Questions
-------
Green Zia
Examiner Training
New Mexfeo Environment Department
New Mexico Energy, Minerals, and Natural
\
Resources\DeDartment
-------
Introd
ions and
Expectati
Jeff Weinrach - JCS Novation, Inc.
Graham Bartlett - Integrated Quality Grou
-------
Introd
ions and
Expectations
^
Participants
- Name, position, and organization
- Your experience with the Green Zia Progr"
- How you plan to use the information you gaiTl
this training
- Specific needs/expectations from this session
-------
-First Day
8:00-8:30 Introductions^&^Expectations
8:30 - 9:00 GZ Process ^
9:00-9:30 Examiner Testimonials
9:30-9:45 Break
9:45 - 10:45 Key Business Factors & Exef<
10:45 - 11:45 Core Values & Exercise
11:45- 12:30 Lunch
12:30- 1:30
1:30-2:30
2:30-3:15
What is a process? & Exercise
Comments & Writing (non-prescrip
Areas to Consider & Exercise
3:15 - 5:00 Senior Examiner Discussion
-------
-Second Day
8:00-8:30
8:30- 10:00
9:30-9:45
9:45- 11:30
11:30- 12:15
12:15- 1:15
1:15- 1:45
1:45-2:00
2:00-2:15
Quick Review X^^
Comment Elements <&sExercise
Break
Linkages/Integration & Exel
Lunch
Consensus, Scoring, & Exercise
Feedback Report Discussion
Closeout
Break
2:15-4:15 Examiner Group Meetings
-------
Course Objectives
>
Gain an understanding of
Process
Green Zia
Gain a basic familiarity with Gre<
Criteria and Core Values
Understand how to examine a Greet
Zia Application and prepare a valuabl
feedback report
-------
Green Zia
Environmental Excellence
Progra
The Green Zia Environmental Excellence Program was
Current legislation addressing confidentiality - HB SL? t
SB 446
Partnership program of state, local and federal agencie
industry, and environmental advocacy groups.
Coordinated out of the New Mexico Environment
Department, Office of the Secretary
-------
Green Zia
Environmental Excellence
Progra
Voluntary program with the goal of en^ouragm*
companies to reduce waste and save mohe
This is achieved by establishing pollution
prevention-based environmental management
systems.
Integrate environmental excellence into core
business practices.
Makes environment EVERYONE'S job
-------
Goal:
Environmental Excellence
Vehicle:
Prevention-Based Environmental
Management System
[Pollution Prevention:
Efficient Use of Materials
Energy Efficiency
Water Conservation
Waste Reduction
Use of Safer Materials
(Compliance
Environment
Health and Safety
Other Requirements
Tools:
Systems Approach to Pollution Prevention
-------
War orhWaste!
Waste is the product of inefficiency and
ALWAYS costs money to manag
dispose of.
The Green Zia Program is a waste
elimination program!
This can be achieved by continuous
improvement over time
-------
Green Zia A
d Structure
Three Levels of Application/AWard
- Commitment Level
Answer 10 questions (p. 44) that address basic eleij
prevention-based environmental management system\
10 page application limit
- Achievement and Excellence Levels
Answer Item questions (p. 46) using "Areas to Consider"
questions as guidance to the extent they pertain to the
prevention-based environmental management system in place
50 page application limit
-------
Awards and Levels
Commitment Level: Certificate of Corn
CEO and Governor of New Mexico
ent signed by
Achievement Level: Green Zia window stickerL
Green Zia logo in advertising.
Excellence Award: Governor's Green Zia Environmental
Excellence Award T
Organizations that participate in the program continuously
receive Pollution Prevention Partner Recognition
Certificates and Window Stickers showing number of
years of consecutive participation.
-------
Multi-leve
Emphasizes program development over a
period of years. ^
Start small and gradually build the pfl
Positive, proactive approach to
environmental protection.
A system to assure improvement and
success
-------
Continuotrs4mprovement
Emphasi;
'b ^
CD E
2 g
CJ) O
ฎ ^
QE
Excellence
Achievement
Commitment
Immature
Reactive
Mature
Proactive
The progression of the Green Zia Environmental Excellence Program
-------
The
n Zia Process
Intent to Apply
Exam Team
Reaches
Consensus
Accept
Applicants'
Intent
Exam Team
Scores
Application
Write & Submit
Application
Exam Team
Develops
Feedback
Report
Examiners
Review & Write
Feedback
GZ Judges
Review
Feedback
Reports
^
r
Judges
Determine
Awards &
Recognition
^
Applicants
Notified
r
Applicants
Receive
Feedback
Report
Applicants
Plan
Improvements
.
GZ Staff
Review & Edit
Reports
Applicants
Determine
Effectiveness
-,
1
-
-------
2001 Criteria for Green Zia
Environmental Excellence and
Award Application Instructions
rr <<*
Section Two
- Green Zia Summary - p. 1
- Small Business Considerations - p. 13
- Application & Review Process - p. 15
- Application Submission Information - p. 28
- Core Values & Criteria - p. 31
- Scoring System - p. 59
- Green Zia Tools & Technical Assistance - p. 65
-------
Criteria^ tructure
Commitment Level
- 7 Categories
-10 Questions
Achievement/Excellence Level
- 7 Categories
- 18 Items
- 97 Areas to Consider
- 26 Notes
-------
Changes to tn^OOl Criteria
Greater emphasis on effective i
management (efficiency, conserved
of renewable energy, etc.)
Addition of Sustainability Core Value
Revisions to Category/Item Scores
Greater clarity (Core Values,
Award/Recognition Levels, Definitions of
Terms, etc.)
Explanation of Deming Cycle (PDCA)
-------
The Green
Criteria Are
A tool for diagnosing existing Envu
Management/P2 systems
A self-assessment mirror
ental
A process for determining opportunities for
improvement
A framework for comprehensive planning
A road map for continuous improvement
-------
The CriteriaJDo Not...
Focus on or prescribe any specific sy:
Place importance on conformance
Assume or suggest that all organizations h^y
same requirements
Suggest or imply any approach to implementa,
-------
OKIES
The Major Component^Or Essential
Parts Of the SystV
Leadership
Planning for Continuous Environmental
Improvement
Customer, Suppliers and Others Involvement
Information and Analysis
Employee Involvement
Process Management
Results
-------
vironmentai txcenence
A Systems Perspective
Desire for a
Healthy
Community
Desire to
Protect the
Environment
Desire to
Reduce Costs
1.
Leadership
2. Planning
for
t Continuous
Environmental
Improvement
5. Employee
Involvement
4. Information
and Analysis
6. Process
Management
3. Customer, Supplier
anri Others' Involvement
3. Customer, Supplk-r
anri Others' Invnlvempn!
-------
ITEMS are specifically designed K^TOCUS
on a major system requirement sue
> 2.2 Action Planning
* 7.1 Environmental Results
-------
AK
AREAS are designed to illustrate
\
clarify the intent of the items. In
addition, they place emphasis on the
types and amount of information
suggested to adequately address each
of the items.
-------
Demysti^ingApproach/Deployment
(Categories 1-6) antt-Results (Category 7)
Approach/Deployment
- Understand the meaning
of "how"
- Show what and how
- Show that activities are
systematic
- Show focus and
consistency
- Cross-reference
- Use flowcharts, tables
and bullets
- Refer to the scoring
guidelines
Focus'ion critical
environmental results
Consider treKds, lel
comparisons, orea
Include actual periods
Use graphs and tai
-------
The Meanms.of "How"
Process or Systematic Orientati
Circular series of sequential steps
- Feedback is used for improvement
Includes Methods - Measures - Deploy*
- Learning Cycles
Not just a list of "whats"
- Anecdotal Information
-------
AdditionaHCey Terms
Anecdotal Information: Stories or^flections of
isolated incidents of goodness not drKen by any
established repeatable approach, proce^ olyjiethod,
Comparisons and Benchmarks: Data from oth
organizations, agencies, best comparable
organizations in the appropriate sector, or
recognized benchmark organizations are used to
compare your performance.
-------
AdditionaHCey Terms
Improvement (Deming) Cycles: Prb^esses for
continually improving product and service
production, delivery processes and support
processes. Relevant data are systematically
collected and used to improve processes. This
often called the Plan-Do-Check-Act (PDCA) c;
Integrations: System functions as a whole, not a
collection of parts. Processes fit together. The
outputs of one process flow smoothly to the next
process.
-------
AdditionaHCey Terms
Sound Systematic: Process is logickisand most steps
are value-adding. Process includes feedback and is
robust to downstream variation.
Trends: Tables or graphs show current and hMoric
data in a positive direction indicating improvement,
-------
ach
ent
APPROACH - How the organiza ,
responds to the requirements
DEPLOYMENT - The extent to whicj
organization uses the approach (multi-
directional)
RESULTS - The outcomes achieved by th
approach
^
-------
Examiner Testimonials
Reading the Application
Identifying Processes
Preparing Comments
Consensus & Scoring
Preparation of Feedback Report
Time Management
-------
Organizational Overview &
Key Business Factors
(P. 19Kx
Basic Description of Organiza
Customer & Interested Party
Requirements
Supplier & P2-Partnering RelationshV
Competitive Situation
Strategic Context
-------
Why is the
amzational
Overview Important?
It "sets the stage" for entire application, but is
not scored i^
It should include EMS description/diagi^
(new for 2001)
It should be read first by every examiner
All seven categories should align with and
support statements in the Organizational
Overview!
Note: OVERVIEW NOT INCLUDED IN
PAGE COUNT
-------
Key Business Factors -
In teams: Identify Key Busines^xFactors from
Case Study Organizational Overviewach
team will be asked to work on two of
Organizational Overview sections. Illustra
why the team views these factors as pot
relevant.
In large group: Share Key Business Factoi
and potential relevance to the overall
application examination
-------
-------
Core
ues
Criteria built upon a set of dare values
\
Foundation for integrating key
environmental requirements withfi
results-oriented framework
Business principles, not "personal vali
-------
Core
ues
Establish the organization's "cultuf
- They set the context for all activities^
organization ^
Provide guidance for decision-making at allleve
- Does the approach support core values?
- Does this action violate any core values?
-------
Green Zia
re Values
Leadership Commitment
Efficient Product, Service and Proc
Design
Continuous Improvement and
Organizational & Personal Learnin
Valuing Employees and Partners
Management by Fact
Sustainability
-------
Exercise
In teams:
- Each team will be given one category from the
case study to work on \
- Identify phrases or themes within th
as written in the case study, that derftonstra
alignment with any or all GZ Core Value^
- On flip charts, record phrases or themes bn
one side of the page and the aligned core 1
value(s) on the other side of the page
In large group - Report Back
- Presenter describes the phrases or themes
and the alignment to GZ core Values
-------
Whati
"If you cannot describe what ^ou are doin
as a process, then you do not kno.
you are doing." - W. Edwards Demrn
-------
Pro
Core Processes - Manufacturing Production,
>s. ^^-
Service ^
Support Processes - Maintenance,
Procurement, Transportation
Environmental Management Processes -
Planning, Information Management,
Decision-Making
Routine vs. non-routine
-------
Which
rocesses should you
"> see^A/Jthin a Green
lication?
-------
How can cDrejDrocesses be
identified?
By Waste Stream or Environmental Impact
\
By Material Flow (Efficiency) ^
By Risk (health & safety, spills, etc.)
By Cost (Activity-Based Costing, etc.)
By Strategic Plans
By Employees or Stakeholders
-------
How can core orocesses by
Process Mappin
Process Flow Diagrams
Material (Mass) Balance
Sensors or other real-time measurement;
-------
nrn
e developed
Process Improvement Teams
Implementation of Action Plans
Plan-Do-Check-Act (Deming) Cycles
Periodic Measurement and Feedback
-------
Storyboa
Tools
Developed by the "Junkyard Dogs/' H6qeywell's Zia
Team, Doug Burch and Lee Butler ^
A visual technique to begin the process of re?: ^
to the Criteria.
Brief bulleted outlines augmented by charts andtlata
A storyboard to organize information in the
application keeping focused on facts, data and
processes
-------
T-Baf^Gharting
Green Zia Question
What?
What?
What?
How?
Using this process
Using this data
'Using this flow
-------
-------
ProcesSHdentification
Exerctee
In teams - Using the case studyXfind
examples of each of the following?
- How the application identifies or improV
core process
- Two examples of environmental manageme
processes or environmental management
process improvements
In large group - Report findings using T-Ba
-------
Writifrg-NQn - Prescr i pti ve
ents
Does the applicant answer aXSreen Zia
question? Is there a clearly descr^b^H
process (for categories 1 -6)?
Does the answer align with the
organizational overview or with other
sections of the application?
Does the answer align with Green Zia Con
Values?
Is there clear alignment between a process
and a result?
-------
Avoid "good, bad, effective, ineffective,
inadequate, could, should, would
Unless a site visit is conducted, avoic
organization has no ..."
-------
How wou chan examiner know
management process is
effective? ^
-------
Non^Ptescnptive Comment
In teams %^
- read set of sample comments provided to your
team ^
- determine if each comment is prescript ^
non-prescriptive
- for each prescriptive comment, develop a n
prescriptive alternate comment
In larger group - show on a flip chart the
original comment and, next to it, any non-
prescriptive revisions that the team
developed
-------
s to^Gonsider
Why are they called "Areas to Consider?
How will applicants interpret area;
consider?
How should examiners address areas to
consider?
How would areas to consider affect scorin
(discuss tomorrow)
-------
-------
-Second Day
8:00-8:30
8:30- 10:00
9:30-9:45
9:45- 11:30
11:30- 12:15
12:15- 1:15
1:15- 1:45
1:45-2:00
2:00-2:15
Quick Review X^^
Comment Elements <&sExercise
Break
Linkages/Integration & Exel
Lunch
Consensus, Scoring, & Exercise
Feedback Report Discussion
Closeout
Break
2:15-4:15 Examiner Group Meetings
-------
ent Elements
Three components (for actionable comment):
^v
- strength or opportunity for improvement
- illustrative example from application
- relevance - to organizational overview, cor<
Use clear, simple, grammatically correct ahd
complete sentences i
The same comment should not be both a strenS
and an opportunity for improvement 1
-------
CommerfNEJements
Illustrate linkages and integration (next
section) ^
Avoid Jargon and Acronyms, unless'
by the applicant
Use polite, professional, positive tone
-------
mmerit3>ฃxercise
In teams:
- Using the case study, write one streri:
one opportunity for improvement usin^
three-component comment. Each team will fa
asked to work on one specific item from thg
case study application.
In larger groups - Report strength and
opportunity for improvement on flip chart
paper.
-------
-------
Don't for
the linkages
Processes and results
Planning and operation
Leadership and planning
Planning and Requirements/Standards
Operations and Employees 1
Primary and Secondary Processes
Processes and Organizational Overvie\
-------
Linkages-between Results
Approach/Deployment Criteria
Environmental management results ^^
Category 2: Planning for Continuous EnvironrrT. ^
Category 4: Information and Analysis
Category 6: Process Management
Customer, supplier, employee, and other results
Category 1: Leadership
Category 3: Customer, Supplier and Others Involvement
Category 4: Information and Analysis
Category 5: Employee Involvement
Financial results
Organizational Overview and most of the Categories
Improvement
-------
Integration
Especially with a "mature" organization,
look for indicators of Environmen
Management System integration wit
overall business (perhaps through a "quali
system). ^
Be careful not to comment on the larger
quality system if it is not specifically
addressing the Green Zia Criteria.
-------
Linkages/Integration Exercise
In small groups
- Choose reporter and presenter
- Identify three examples of linkages or integration
in the case study 1
- Draft a comment for one of the three examples
using the linkage or integration that you identified
in the comment
In large group
- Report three examples and the one comment
back to class
-------
-------
Definition ofConsensus
A state where everyone in th
support an action or decision, even
of them don't fully agree with it!
-------
Definitiofrof Consensus
A decision made after all aspects
issue, both positive and negative, ha^r
reviewed and discussed to the extent that
everyone openly participates in, and ^
understands and supports, the decision *
-------
iscussion
Each team member is fully prepared to
discuss their own position
Each team member understands that He/
does not have all knowledge
Each team member is prepared to listen
learn from others
Each team member fully participates in
discussion
-------
Consensus Isn't
Majority vote
Compromise
Team leader weighted
Trivial
-------
Scoring
Three Dimensions
- Approach
- Deployment
- Results
-------
Approabh^Factors
How the Applicant Addresses the Items
Appropriateness of Methods to Rec
Effectiveness of use of Methods
ments
- Systematic, Integrated, and Consistent^
Applied
- Embodies Evaluation/Improvement/Learni]
- Based on Reliable Data and Information
Evidence of Innovation and/or Adaptation
-------
DeploymerrtsFactors
The Extent the Applicant's Approach is
Applied to all Requirements ^
Use of the Approach by All Appropr flat
Work Units 1
Multi-Dimensional Deployment
-------
Results^Factors
Outcomes in Achieving thexurposes
Current Performance
Performance Relative to Appropria1
Comparisons and/or Benchmarks
Rate, Breadth and Importance of
Performance Improvements
Demonstration of Sustained Improvement
and/or Sustained High-Level Performance
-------
Item Cla
nsion
Approach/Deployment
- Descriptions of Approach Should In
Deployment of the Item
- Although Linked, Feedback to the Applic!
Reflects Strengths and/or Areas for
Improvement in Either or Both Dimensions
-------
Item Cla
nsion
Linked to Deployment Through
Factor
If Improvement Processes are Widely Deploy<
Corresponding Results Should be Shown ^^
Score is Composite Based Upon Overall
Performance., Accounting for Breadth of
Improvements
-------
portance" as a Scoring
Factor
Evaluation and Feedback Must Consider the
Importance of Improvements uxthe
Applicant's Business ^
Areas of Greatest Importance Should\
Addressed in the Organizational OverView
Identify Key Customer Requirements an<
Key Strategies and Action Plans
-------
rarid Descriptors
1000PI
10% - 20%
> 30% - 40%
50% - 60%
70% - 80%
90% - 100%
Use for Achievement/Excellence
Levels
-------
ant of Score-1000 pt
First Decide Which Scoring Range Best Fits
the Overall Item Response
Next, Determine if Applicant Meets So
^
or All of Range Descriptors
Finally, Assign Score in Increments of lU
-------
entof Score-1000 Pt
An Approach/Deployment Item\Score of 50%
Represents an Approach that Meet
Basic Objectives and is Deployed to^
Principal Activities
A Results Item Score of 50% Represents
Clear Indication of Improvement Trends
and/or Good Levels of Performance in
Principal Areas
-------
Frequently Asked Questions
ป For Results, the 50% Mark Represents
Clear Indication of Improvement^ '
and/or Current Good Levels of Perl ,
ป Standards Should be World-Class or
Industry-Specific to Set High but
Reasonable Standards of Comparison,
Seeking to Point Out Opportunities for
Improvement
-------
Questions
Common Difficulties in Scaring:
- Scores Not Adequately Related tb^the Key
Business Factors or Scoring Guidelme:
- Examiner Acceptance of Statements IV
Applicants
- Setting the 50% Point
- Using the Areas to Consider and Item Notes
a "Checklist"
- Treatment of Missing Information
-------
Check box if you see evidence
beginnings of a systematic approa
Do not allow other matrix factors to
influence decision on a particular box
Use for Commitment Level
-------
Consen
s & Scoring
Exercfce
In teams:
- Each team member will write one stfength and
one opportunity for improvement common
using the three-component comment format fc
one particular item from the case study ^
- The team will consense and write consensus
comments on a flip chart
- The team will then score the item based on the
consensus comments
In larger groups - Report to class
-------
-------
Feedbad^Reports
Format
- Executive Summary
Major themes
- Details of Strengths and Areas for
Improvement
By category
Page Break Between Categories
Bullet Before Each New Comment
-------
Feedback Reports
Thorough Evaluation of the'Application
NV
Relative to the Criteria for Performance
Excellence
Targeting of Core Strengths and Are<
Improvement for Each Item
Effective Communication of Those
Strengths and Areas for Improvement to
Applicant via the Feedback Report
-------
Feed badk^Re ports
Preview the Consensus Rejxjrt Comments
Synthesize Similar Comments
Eliminate Inconsistent and Unimp
Comments
Balance the Number and Weight of
Comments to Reflect Composite Scorii
-------
Feedback Report
Avoid being judgmental or prescriptive;
be aware of personal biases ^^
Comment on items from the criteria
Don't feel compelled to provide feedbac.
on every area to consider within an item
Balance strengths and opportunities for
improvement to support organizations
general scoring range
-------
Frequently Asked Questions
Typically Spend Between 25 and 40 Hours
to Read the Application, Consense\o
Comments and Score, and Complete^
Feedback Report
Generally Include 5 to 8 Comments Per
Item
-------
-------
Final CommentSxOr Questions
-------
POLLUTION
PREVENTION
PLANNING HANDBOOK
1*1
Environment Environnement
Canada Canada
Canada
-------
This document is available on the CEPA Registry at www.ec.gc.ca/CEPARegistry/plans/p2. Copies of this
document are also available from Environment Canada's Inquiry Centre:
Inquiry Centre
Environment Canada
Ottawa, ON K1A OH3
Tel: 1-800-668-6767
Fax: 819-953-2225
Electronic Mail: enviroinfo@ec.gc.ca
For more information on pollution prevention and pollution prevention planning, contact your Regional
Environment Canada Office:
For residents of Newfoundland and Labrador,
Prince Edward Island, Nova Scotia and
New Brunswick
Environmental Protection Branch - Atlantic Region
Environment Canada
16th Floor Queen Square, 45 Alderney Drive
Dartmouth, NS B2Y2N6
Tel: (902) 426-9590
Fax: (902) 426-8373
For residents of Quebec
Environmental Protection Branch - Quebec Region
Environment Canada
4th Floor, 105 McGill Street
Montreal, QC H2Y2E7
Tel: (514) 283-4670
Fax: (514) 283-4423
For residents of Ontario
Environmental Protection Branch -
Ontario Region
Environment Canada
4905 Dufferin Street
Downsview.ON M3H5T4
Tel: (416) 739-5856
Fax: (416) 739-4342
For residents of Manitoba, Saskatchewan,
Alberta, the Northwest Territories and
Nunavut
Environmental Protection Branch - Prairie and
Northern Region
Environment Canada
4999 - 98th Avenue
Edmonton, AB T6B2X3
Tel: (708) 951-8890
Fax: (708) 495-2758
For residents of British Columbia and Yukon
Environmental Protection Branch - Pacific and
Yukon Region
Environment Canada
224 West Esplanade
North Vancouver, BC V7M 3H7
Tel: (604) 666-2739
Fax: (604) 666-6800
Environment Canada is proud to have used EcoLogo" certified papers and environmentally responsible
products and processes throughout its development and distribution of this document.
Minister of Public Works and Government Services Canada 2001
-------
POLLUTION PREVENTION PLANNING HANDBOOK
POLLUTION PREVENTION
PLANNING HANDBOOK
-------
National Library of Canada cataloguing in publication data
Pollution prevention planning handbook
Issued also in French under title:
Guide de planification de la prevention de la pollution.
ISBN 0-662-3016-7
Cat. No. En40-625/2001E
1. Pollution prevention - Canada - Handbooks, manuals, etc.
2. Hazardous substances - Canada - Handbooks, manuals, etc.
3. Environmental policy - Canada - Handbooks, manuals, etc.
I. Canada. Environment Canada.
HC79.PP5564 2001 363.737'0971 C2001-980103-3E
This handbook is published for information only and should not be construed as providing any legal
advice. For official legislative provisions, please consult the Canadian Environmental Protection Act, 1999,
particularly Part 4.
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POLLUTION PREVENTION PLANNING HANDBOOK
Purpose
This handbook provides information about
pollution prevention planning processes
and techniques. Pollution prevention is the
cornerstone of national efforts to manage toxic
substances under the Canadian Environmental
Protection Act, 1999 (CEPA 1999). The Act
authorizes the federal Minister of Environment
to require pollution prevention plans for specific
toxic substances. The guidance provided in this
handbook is presented in a way that will help
the reader comply with a requirement to prepare
a substance-specific pollution prevention plan
under CEPA 1999, but it may also be used in
other circumstances, including to help
implement pollution prevention in entire
production lines and facility operations.
Those who are required to prepare a pollution
prevention plan under CEPA 1999 are
encouraged to read the Guidelines for the
Implementation of the Pollution Prevention
Planning Provisions of Part 4 of the Canadian
Environmental Protection Act, 1999 (CEPA 1999}
and Pollution Prevention Planning Provisions of
Part 4 of the Canadian Environmental Protection
Act, 1999 - Frequently Asked Questions. These
documents are available on the CEPA Registry at
www.ec.gc.ca/CEPARegistry/plans/p2 or may be
obtained from Environment Canada's Inquiry
Centre at 1-800-668-6767.
How to Use This Handbook
This handbook is divided into six sections.
Together, they provide an overview of pollution
prevention (P2), information on the P2 planning
process, a model plan template, and detailed
information on pollution prevention practices
and certain analytical techniques for preparing a
P2 plan. Each section and appendix can be read
on its own or together with the others.
The process described in this handbook for
developing and implementing a pollution
prevention plan closely follows the procedures
for developing an environmental management
system (EMS) according to ISO 14001.
Organizations with a formal EMS in place can
develop and implement a pollution prevention
plan within the framework provided by their
EMS. These organizations may have already
completed many of the steps outlined in this
handbook.
This handbook presents generic advice on "best
practices." While pollution prevention can provide
significant benefits to organizations regardless of
their size and nature of operations, the precise
sequence, level of effort, scope of analysis and
options reviewed may vary from facility to facility.
Users of this handbook are therefore urged to
adapt the information to their own circumstances
and, where appropriate, seek advice from other
companies that have implemented pollution
prevention, from one of the many Internet-based
resources supporting pollution prevention, from
government officials or from qualified
consultants.
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TABLE OF CONTENTS
TAB I: INTRODUCTION TO POLLUTION PREVENTION AND POLLUTION PREVENTION PLANNING
Primer on Pollution Prevention and Pollution Prevention Planning 3
What Is Pollution Prevention? 3
What Is Pollution Prevention Planning? 4
Commonly Applied Pollution Prevention Practices 4
TAB II: How TO PREPARE A POLLUTION PREVENTION PLAN
Effective Pollution Prevention Planning, Implementation and Review 9
Pollution Prevention Planning Steps 9
Integrating Pollution Prevention Planning Within an Environmental
Management System 19
TAB III: GLOSSARY
TAB IV: A MODEL POLLUTION PREVENTION PLAN
Appendix A A-l
TAB V: ANALYTICAL TECHNIQUES FOR PREPARING A POLLUTION PREVENTION PLAN
Appendix B: Key Elements of a Baseline Review B-l
Appendix C: Assessing the Costs and Benefits of Pollution Prevention Options C-l
TAB VI: POLLUTION PREVENTION PRACTICES
Appendix D: Product Design and Reformulation D-l
Appendix E: Equipment Modifications and Process Changes E-l
Appendix F: Materials and Feedstock Substitution F-l
Appendix G: Operating Efficiencies and Training G-l
Appendix H: Purchasing Techniques and Inventory Management H-l
Appendix I: On-Site Reuse and Recycling 1-1
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POLLUTION PREVENTION PLANNING HANDBOOK
INTRODUCTION TO
POLLUTION PREVENTION
AND POLLUTION
PREVENTION PLANNING
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POLLUTION PREVENTION PLANNING HANDBOOK
Primer on Pollution
Prevention and Pollution
Prevention Planning
WHAT IS POLLUTION PREVENTION?
The goal of environmental protection is to minimize
adverse impacts on the environment from pollutants
and waste. Pollution prevention (P2) is at the top
of a hierarchy of environmental protection methods
that also include reuse and recycling, pollution
control or treatment, disposal and destruction, and
remediation and clean-up (see Figure 1).' While
all of these methods provide some environmental
benefits, pollution prevention is at the top of the
hierarchy because it can provide the most cost-
effective opportunities for reducing environmental
and health risk while improving a business's bottom
line.
Figure 1: Environmental Protection Hierarchy
POLLUTION PREVENTION
REUSE 3 C RECYCLE
Pollution prevention is defined as "the use
of processes, practices, materials, products,
substances or energy that avoid or minimize
the creation of pollutants and waste, and
reduce the overall risk to the environment
and human health."
Pollution prevention seeks to eliminate the
root causes of pollution, rather than treating the
symptoms. It recognizes that pollutants and waste
represent an inefficiency in the system and
therefore relies on source reduction to address
inefficiencies in the production of goods and
services at their source. It encourages the kinds
of changes that are likely to lead to lower
production costs, increased efficiencies and
more effective protection of the environment.
By eliminating or reducing the causes of
pollution and waste, risks to human health and
the environment are reduced. By increasing the
efficiency of production, avoiding accidental
and operational releases, and reducing the
non-productive costs of treatment and disposal,
businesses can improve their financial bottom
line and become more efficient and competitive.
1 In A Strategy to Fulfil the CCME Commitment to Pollution Prevention (1996), the Canadian Council of Ministers of the
Environment (CCME) defines these practices as follows:
Reuse is the re-employment of products or materials, in their original form or in new applications, with refurbishing to
original or new specifications as required.
Recycling is the extension of the effective life span of renewable and non-renewable resources through changes to
processes, practices and the addition of energy inputs.
Pollution control or treatment is the addition of processes, practices, materials, products or energy to waste streams to
reduce the risk posed by pollutants and waste before their release to the environment.
Disposal and destruction refer to secure placement or breakdown by thermal, chemical or other processes. These
practices should only be applied to those pollutants and wastes that are not amenable to pollution prevention or treatment.
Remediation and clean-up activities are "last resort" elements of environmental protection. Remediation is the use of
processes, practices, materials, products or energy to restore to a healthy state ecosystems that have been damaged by
human activity. It is often the most expensive and least efficient method of environmental protection.
For example, pollution prevention usually
increases productivity through more efficient
use of energy and raw materials;
increases staff motivation through reduced
worker risks and higher reliance on active
worker participation in idea generation and
implementation;
reduces long-term liabilities that companies
may face many years after pollution has been
generated or disposed of at a given site;
reduces the risk of environmental accidents; and
is supported by employees, local communities,
customers and the public.
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POLLUTION PREVENTION PLANNING HANDBOOK
Pollution prevention often
increases profitability and lowers production
costs by avoiding or reducing pollution
control, waste treatment and disposal costs;
reduces consumer risks associated with
products containing hazardous substances;
avoids regulatory compliance costs;
provides evidence of due diligence;
leads to insurance savings;
provides enhanced access to capital from
financial institutions and lenders; and
requires little capital investment or provides
a rapid to moderate return on any capital or
operating investments required.
WHAT IS POLLUTION PREVENTION PLANNING?
Pollution prevention planning is a systematic,
comprehensive method of identifying options to
minimize or avoid the creation of pollutants or
waste. CEPA 1999 has provisions that allow the
federal government to require the development
and implementation of pollution prevention plans
for specific toxic substances. Pollution
prevention planning, however, can be more
broadly applied to an entire production process
or facility.
Plans can focus on a single pollutant or on
multiple pollutants. Many P2 plans also cover
water and energy use. The more comprehensive
it is in scope, the more likely it is that the
planning process will focus on the root causes of
the problem, identify the most cost-effective
pollution prevention opportunities and avoid
inappropriate trade-offs (such as substituting
one toxic substance for another). Plans should
be tailored to the needs of the organization,
forming an integral part of its existing business
plan.
The P2 planning process itself also has its own
results and benefits. For example:
A careful planning process ensures the
selection and implementation of the most
cost-effective pollution prevention options.
Systematic planning ensures that pollution
prevention objectives and activities are
consistent with the objectives and activities
identified in the organization's broader
planning processes.
Effective pollution prevention planning
informs and assists broader business
planning investment analysis and decision
making (such as capital budgeting and
purchasing).
A documented pollution prevention plan
may be a condition for receiving financing
or insurance at improved rates.
There are six key steps to developing and
implementing a pollution prevention plan:
Step 1: Establish a commitment to pollution
prevention and an overall pollution
prevention policy.
Step 2: Conduct a baseline review to identify
current levels and sources of inputs
(raw materials, energy and water),
products and non-product outputs, and
information gaps associated with a
facility, specific product(s) or production
line(s).
Step 3: Develop the plan: set objectives and
targets and identify, evaluate and select
pollution prevention options to meet the
objectives and targets selected.
Step 4: Implement the plan.
Step 5: Monitor implementation.
Step 6: Evaluate, review and improve the plan.
These steps are described in more detail in
Section II, "How to Prepare a Pollution
Prevention Plan."
COMMONLY APPLIED POLLUTION
PREVENTION PRACTICES
There is a wide range of pollution prevention
practices. Six of the most common and effective
practices are described below. For more detail on
these practices, please refer to the corresponding
appendices.
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POLLUTION PREVENTION PLANNING HANDBOOK
Product design and reformulation includes
methods for preventing the pollution associated
with the entire life cycle (i.e., resource
extraction, production, use and disposal) of
products through the design of new products and
the redesign or reformulation of old ones. The
product design stage is a crucial starting point for
implementing pollution prevention. Addressing
environmental concerns from the earliest stage
is a cost-effective way to avoid environmental
impacts throughout the product life cycle.
"Design for environment" (DfE) seeks to
integrate environmental criteria into the usual
design considerations of performance, cost,
quality, cultural, legal and technical criteria.
In seeking to reduce the environmental impacts
of producing and consuming products and to
improve efficiencies over the entire life cycle,
DfE can involve reducing the toxicity of a product,
reducing the amount of waste material, extending
the life of a product, extending the life of the
materials used, improving the selection of
materials, and reducing the energy and material
intensity required to produce, use and dispose of
the product. For more information and guidance,
please see Appendix D.
Equipment modifications and process
changes introduce new technologies or
approaches to existing operating systems,
processes and practices to improve production
efficiencies and reduce pollution generated and
materials, energy or water wasted. This practice
can include, for example, replacing solvents for
paint or varnish removal with mechanical
stripping; using ion-based painting systems; or
integrating recirculation or countercurrent
cleaning within a process. For more information
and guidance, please see Appendix E.
Materials and feedstock substitution entails
replacing polluting materials used in the
production process or embedded within a product
with non-polluting or less polluting materials and
feedstock. Also referred to as source elimination,
materials substitution aims to decrease or
eliminate the quantity of toxic, hazardous or
polluting materials used, thereby lowering the
risks of harmful exposure to workers, consumers,
communities and the environment. Opportunities
for materials substitution are broad, and include
painting applications, parts cleaning, metal
finishing, printing operations, building and
grounds maintenance, among others. For more
information and guidance, please see Appendix F.
Operating efficiencies and training are
important elements of most companies' ongoing
activities. In many cases, an existing focus on
improving operating efficiencies can provide a
very cost-effective way to prevent pollution and
reduce costs or improve quality. These multiple
objectives can often be achieved through basic
improvements in work procedures, such as
changing production schedules to minimize
equipment and feedstock changeovers, improving
maintenance scheduling, segregating by-products
at source, training and encouraging staff to
improve materials handling and to recognize
pollution prevention opportunities,
and implementing good housekeeping practices.
In many cases, operational efficiencies can
be implemented relatively easily through the
introduction of work procedures that target
process control systems. The result is often
improved productivity, increased reliability, more
efficient resource and energy use, and reduced
waste of financial and production materials and
resources. For more information and guidance,
please see Appendix G.
Purchasing techniques and inventory
management includes two distinct practices.
Environmentally preferable purchasing
involves the integration of environmental
considerations into existing and new purchasing
practice. By building environmental issues into
the purchasing process, organizations can reduce
material and energy consumption, avoid
unnecessary use of toxic substances in their
products, minimize waste generation,
and in many cases reduce associated costs.
Environmentally responsible inventory
management entails the incorporation of
environmental considerations into inventory
management systems. Examples of these
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POLLUTION PREVENTION PLANNING HANDBOOK
techniques include just-in-time delivery,
avoidance of unnecessary waste generation by
ensuring that materials do not stay in inventory
beyond their shelf life, and quality control for
feedstocks to prevent production of "off-spec"
products. For more information and guidance,
please see Appendix H.
On-site reuse and recycling cover the
processes of reusing and recycling at the same
place where an activity has taken place. Reuse
is the re-employment of products or materials in
their original form or in new applications, with
refurbishing to original or new specifications
as required. Recycling is the extension of
the effective life span of renewable and
non-renewable resources through changes
to processes or practices and the addition of
energy inputs. When it is conducted in an
environmentally sound manner, recycling is
preferable to end-of-pipe treatment. Effective
reuse and recycling requires a different
perspective, which views non-product outputs
(waste) as a loss of valuable process materials
that, if reused or recycled, could have significant
environmental and economic benefits. Materials
that can typically be reused and recycled include
raw materials, chemicals and treated and
untreated wastewater. Specific examples of
process changes include recovering metals by
ion exchange or reverse osmosis; recycling
cooling water; and reusing trim and cuttings from
paper making or plastics moulding in on-site
production, rather than sending the trim off-site
for waste disposal. For more information and
guidance, please see Appendix I.
In some cases, pollution prevention can be
enhanced by co-operative action among two
or more facilities. For example, neighbouring
facilities in unrelated businesses or activities
can co-operate either by developing joint
infrastructure or by arranging themselves so that
one company uses the other's non-product output
as an input. Known as "industrial ecology," these
types of co-operative initiatives can be valuable,
particularly where on-site pollution prevention
options are not feasible. In many cases, however,
organizations will have opportunities to
implement pollution prevention through simple
and cost-effective methods that are within the
control of the plant manager.
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POLLUTION PREVENTION PLANNING HANDBOOK
How TO PREPARE
A POLLOTION
PREVENTION PLAN
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POLLUTION PREVENTION PLANNING HANDBOOK
Effective Pollution
Prevention Planning,
Implementation and Review
This section is divided into two parts. The first
part describes each of the six key steps in
developing an effective pollution prevention plan.
These steps are based on the plan-do-check-act
methodology typically used within an EMS. The
second part describes how a pollution prevention
plan fits within an EMS, and ways in which an
existing EMS can be enhanced to facilitate the
development of a P2 plan.
This section also refers to the model pollution
prevention plan that is described in detail in
Appendix A. The purpose of this model plan is to
provide a template that can be used for preparing
and documenting a P2 plan. It has been designed
to help organizations compile, analyze and
present information on the sources, risks and
impacts associated with the use, generation and
emission of toxic substances and other
pollutants and wastes.
This model plan will be useful both to
organizations required to prepare a pollution
prevention plan under CEPA 1999 and to
organizations developing pollution prevention
plans for other reasons. In addition to supporting
the development of a P2 plan, it can be used to
help generate information to:
complete the Declarations of Preparation and
Implementation, and Interim Progress
Reports for pollution prevention plans
required under Part 4 of CEPA 1999;
meet reporting requirements of other
regulations;
document the anticipated and actual benefits
from implementing pollution prevention,
including financial savings;
provide documented evidence that an
organization is committed to prevention
of pollution as required by ISO 14001; or
meet the requirements of third parties
(such as financial institutions or customers).
The information presented in this section and in
the model plan represents generic advice on
"best practices." While pollution prevention can
provide significant benefits to organizations
regardless of their size and nature of operations,
the precise sequence, level of effort, scope of
analysis and options reviewed may vary from
facility to facility. Each organization should adapt
this advice to its own circumstances.
POLLUTION PREVENTION PLANNING STEPS
Table 1 summarizes the six main steps to follow
in developing and implementing a pollution
prevention plan. The remainder of this section
describes each step in greater detail. Where
appropriate, the left-hand column cross-
references the relevant parts of the model plan
and relevant appendices.
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POLLUTION PREVENTION PLANNING HANDBOOK
Table 1: Pollution Prevention Planning Checklist
Step
Status
1. Commitment and Policy
Obtain senior management commitment
Prepare and communicate a written pollution prevention policy
Assign an accountable manager
Establish a pollution prevention planning team and commit adequate resources
Integrate the pollution prevention planning process with existing management systems,
including any EMS
. Baseline Review
Define the system boundaries (scope) of the plan
Assess the existing situation (with good baseline information)
Establish a process and material flow profile of relevant operations and processes
* Quantify inputs and outputs and mass balance
Calculate total costs and benefits of current approaches
ป Identify relevant legal requirements (international, federal, provincial, municipal)
Identify related company policies and targets
ป Identify stakeholder concerns and market issues
Identify business issues including the existing planning and management systems
. Planning
Identify pollution prevention opportunities
Establish objectives, targets and performance indicators
Define and involve the affected community and employees
Develop an action plan to meet objectives and targets
Identify specific pollution prevention options, and their environmental, technical
and cost aspects
Evaluate and rank options based on environmental benefits, technical feasibility,
costs and applicable strategic considerations
Select preferred options and assign responsibilities, resources and timelines
. Implementation
Implement the selected options
Identify employee training needs and provide training
Integrate with existing management systems
Create support mechanisms (e.g., incentives, penalties, internal and external
communications, reporting forms)
. Monitoring and Reporting
Monitor implementation of the plan and performance against objectives and targets
Document the results, including costs, savings and other benefits
Take corrective action if necessary
Report to management and to the public
. Review, Evaluation and Improvement
Conduct regular reviews of implementation progress and performance results
Identify changing internal and external circumstances
Revise the objectives and targets, resource allocation and action plan as required
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POLLUTION PREVENTION PLANNING HANDBOOK
Model Plan Items:
2 Statement of CEO
3 Corporate
Environmental Policy
4.3 Overall Objectives
Step 1: Commitment and Policy
To get the most out of pollution prevention planning, the broad support and
commitment of senior management and all staff to a policy of preventive
environmental management and superior environmental performance is essential.
This starts with top management commitment, which should be expressed through a
written and formally adopted pollution prevention policy or a specific commitment to
P2 within an existing environmental policy statement.
Accountability for leading the pollution prevention program should be assigned to a
senior manager. This assignment should be accompanied with sufficient authority
and resources to assemble a pollution prevention planning team, gather the
necessary information, and implement the selected P2 options. The pollution
prevention planning team should include representatives from principal operating
divisions, including purchasing; research, design and development; product
management, shipping and receiving; industrial engineering; production; marketing;
maintenance; and environment, health and safety.
In many cases, it will be possible to work with an existing "green team" or
environmental, health and safety committee, rather than create a new pollution
prevention team. Beyond the pollution prevention planning team, employees from
all parts of the organization should be informed about and directly engaged in the
program. Process operators, in particular, know the production process intimately and
often offer excellent insights into pollution prevention opportunities and options.
Because a pollution prevention plan can be fully integrated into an EMS, some
organizations may choose not to produce a separate pollution prevention plan.
This level of integration can help to incorporate pollution prevention principles and
practices into standard business practice.
Other organizations may choose to produce a separate pollution prevention plan to
meet specific external requirements (such as regulatory requirements) or internal
needs (for example, to highlight the organization's commitment to pollution
prevention, particularly if it is a new emphasis). In these instances, the pollution
prevention plan should be closely aligned with the EMS, and elements of the P2 plan
(such as the objectives and targets, action plans, and roles and responsibilities)
should be directly incorporated into the EMS documentation.
Model Plan Item:
5 Baseline Review
Step 2: Baseline Review
The baseline review provides the detailed information required to identify and
address an organization's most significant pollution prevention opportunities and
information gaps. Pollution prevention planning requires an in-depth knowledge of
production and/or product life cycle processes. The baseline review is a systematic
approach to building that knowledge, and collecting the information necessary to
identify pollution prevention opportunities.
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Appendix B:
Key Elements of a
Baseline Review
The first step in the baseline review should be to define the system boundary within
which the plan will focus. Will it consider a specific functional area or process, and
will it be circumscribed to within the plant gates, or will it also include off-site
disposal impacts, suppliers and product impacts? The decision on where the system
boundary should be set is an important one, because it will strongly influence the
subsequent identification of pollution prevention opportunities and options. For
example, if the greatest environmental impact of a product comes at the end-of-life
stage, but the system boundary includes only the manufacturing stages, it is unlikely
the plan will lead to the consideration of product design and reformulation as
pollution prevention options.
In choosing the system boundary, consideration should therefore be given to
which stages in the life cycle of a product, process or service cause the greatest
environmental impacts (extraction or processing of raw materials and inputs, product
manufacturing, product use, or end of life).
The review itself starts by building a detailed profile of the relevant production
process and all associated inputs, products and non-product outputs (losses). It then
quantifies these flows, and uses materials accounting or a materials mass balance to
check that all losses have been identified.
Consideration should be given to each major non-product output stream, as well as
known or suspected sources of pollution, and to a clear understanding of their root
causes. For on-site losses, this analysis often can be assisted by a facility walk-
through and by discussions with plant employees and pollution prevention
practitioners in the industry. More detailed life cycle analysis may be required to
analyze the pollution associated with the use or disposal of products.
Appendix B provides more detailed guidance on conducting a baseline review. It
describes techniques for creating flow diagrams, compiling input/output inventories,
doing materials accounting and calculating mass balances.
In addition to examining current material flows, the pollution prevention planning
team should also identify other internal and external factors that will influence the
selection of pollution prevention options. Such factors could include:
current and anticipated legal requirements in all applicable jurisdictions;
issues or concerns raised by stakeholders, including the local community,
financial institutions, customers, regulators, industry associations and suppliers;
and
internal policies and procedures that affect products and processes that may be
targeted by pollution prevention options. These could include, for example, quality
management systems, policies regarding off-spec products, import and export
policies, health and safety programs, and the organization's EMS.
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POLLUTION PREVENTION PLANNING HANDBOOK
Step 3: Planning
Model Plan Items:
4.1 Scope of the Plan
4.2 Timing
4.3 Overall Objectives
4.4 P2 Targets
6 Identification
and Evaluation of
P2 Options
7 Implementation Plan
Ideally, the planning step would follow a clear sequence:
Drawing on the baseline information identified in Step 2, identify pollution
prevention opportunities - opportunities, for example, to improve environmental
and/or economic performance resulting from the identification of the use of toxic
substances, the creation of non-product outputs, continuous or episodic losses of
material or energy or any other environmental concerns.
Establish pollution prevention objectives and targets and performance indicators.
Identify, evaluate, rank and select pollution prevention technical options for
achieving the targets by focusing on the root causes of the opportunities
identified.
Select options, finalize targets and indicators, and schedule actions for
implementation.
Inevitably, however, the planning step is an iterative process that builds on the
opportunities identified as a result of the baseline review, establishes tentative
objectives and targets, and refines those objectives and targets through the detailed
evaluation of specific options.
Objectives, targets and options should be identified to prevent both:
the pollution that is or could be caused by the organization
(i.e., on-site releases and off-site transfers for disposal and recycling); and
the pollution that is or could be associated with pollutants contained in
products that are distributed or sold off-site.
Pollution prevention objectives and targets should be specific, measurable, realistic
and time-based, and should reflect the opportunities identified in the baseline review.
To establish realistic objectives and targets, it is also important to have an
understanding of what pollution prevention changes are feasible for a particular
process or substance. This requires considering the applicability and potential impact
of a broad range of P2 practices. Options can be generated through brainstorming
sessions, employee suggestions and consultations with outside sources of
information or expertise.
Different pollution prevention practices may be required to address different types
of issues. In order to ensure that the options considered address the root causes
of the pollution problem, it is desirable to consider the full life cycle of a product.
For simplicity, the life cycle of a product may be categorized into six stages:
design;
raw material acquisition and processing;
manufacturing and production;
filling, packaging and distribution;
use, reuse and maintenance; and
disposal.
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Appendix C:
Assessing the Costs and
Benefits of Pollution
Prevention Options
Table 2 lists possible objectives and pollution prevention practices that should be
considered when addressing issues arising at each of these different life cycle stages.
For each potential pollution prevention opportunity or groups of opportunities,
options should be evaluated on the basis of technical feasibility, environmental
effectiveness, cost effectiveness and other business considerations relevant to each
organization.
From a technical perspective, the issue is whether the option is feasible.
This evaluation may include criteria such as availability and proven performance
of a technology; impacts on product quality; risk of non-performance; ease of
implementation; maintenance requirements; compatibility with existing space,
technical systems and support systems; health and safety implications; labour,
skills and training requirements; effect on operational flexibility; and shutdown
requirements for implementation.
In addition to estimating the potential environmental benefits of each option,
it is important to account for possible adverse impacts. Environmental criteria
should be selected to determine the magnitude of both types of impacts. For
example, are there impacts on other media? Does a reduction in generation of
air emissions, for instance, result in an increase in hazardous waste or effluent
production? Are there changes to the amount of energy or water required, or
changes to the type or quantity of raw materials required? Are there changes to
the treatability of wastes?
Financial considerations require analysis of the differences between the costs
of the current process and the projected costs of proposed options. In many cases,
the options reviewed may actually reduce overall production costs. Often, some
form of total cost accounting (TCA) can be helpful to estimate all relevant costs,
savings and other benefits. TCA methods rely on activity-based costing to
disaggregate important indirect and hidden costs that might otherwise be lumped
into overhead accounts. Appendix C provides more detailed information on
evaluating the costs and benefits of pollution prevention options and comparing
them to the baseline situation and to other options.
Finally, business considerations may render certain evaluation criteria more
important than others, or elevate the priority of a specific reduction option. These
may include such factors as legal considerations, regulatory and market trends
likely to influence future operations, social and cultural issues, corporate image,
and opportunities for partnerships, shared learning and synergies.
Turning the pollution prevention plan into action requires commitment from all
parties involved, adequate human resources (including technical expertise), a
sufficient budget and a clear and realistic implementation schedule. Not all feasible
options will be selected, and not all are likely to be scheduled for implementation in
the first year. Some may need to be sequenced or phased in. Based on the evaluation
considerations listed above, pollution prevention options can be ranked, preferred
initiatives selected and an implementation schedule established. In some cases,
cost savings from one set of initiatives can help to finance a next generation of
initiatives.
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Appendices:
D Product Design and
Reformulation
E Equipment
Modifications and
Process Changes
F Materials and
Feedstock Substitution
G Operating Efficiencies
and Training
H Purchasing Techniques
and Inventory
Management
I On-Site Reuse and
Recycling
Table 2: Possible Pollution Prevention Objectives and Practices
Stage Within the
Life Cycle of a Product
Possible Objectives
Possible Practices
Design
Reduce material intensity
Extend product life
Reduce pollutants from
product use
Product design and
reformulation (Appendix D)
Raw material acquisition and
processing
Increase use of low-impact
materials
Renewable, non-hazardous,
less toxic, low energy
content, recycled and/or
recyclable
Reduce materials
Reduce weight
Reduce storage volume
Reduce transport volume
Reduce number of different
materials
Product design and
reformulation (Appendix D)
Materials and feedstock
substitution (Appendix F)
Purchasing techniques and
inventory management
(Appendix H)
Manufacturing and
production
Increase clean production
Low and clean energy use
Water conservation
Low waste
Few and clean inputs
Equipment modifications
and process changes
(Appendix E)
Operating efficiencies and
training (Appendix G)
On-site reuse and recycling
(Appendix I)
Filling, packaging
and distribution
Use efficient and clean
distribution
Minimum packaging
Low-impact packaging
Low-impact transport
Product design and
reformulation (Appendix D)
Materials and feedstock
substitution (Appendix F)
Operating efficiencies and
training (Appendix G)
Use, reuse and maintenance
Minimize user impact
Low energy use
Clean energy use
Low water use
Low material use and waste
generation
Low emissions
Optimize initial life
Adaptable and upgradable
Reliable and durable
Easily maintained and
repaired
Product design and
reformulation (Appendix D)
Materials and feedstock
substitution (Appendix F)
Disposal
Optimize end-of-life
Ensure that product is
reuseable,
remanufacturable,
recyclable or safely
disposable
Product design and
reformulation (Appendix D)
Materials and feedstock
substitution (Appendix F)
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POLLUTION PREVENTION PLANNING HANDBOOK
Model Plan Item:
7 Implementation Plan
The evaluation method, and the reasons for selecting certain options over
others, should be documented for reference during refinement of action plans.
lans.
For each option selected, an action plan should be developed that identifies the specific
targets to be met, tasks required to achieve the target (including training), the
responsible party or parties, all affected parties, the resource requirements, the
estimated date of completion and appropriate indicators for monitoring.
The contribution of employees to the integration of new ideas into the plan should
not be undervalued. Staff with experience working on the shop floor, for example,
may have innovative contributions to housekeeping, equipment modification and
production line changes.
Finally, the achievement of certain objectives and targets may require the
collaboration of external parties, such as suppliers or customers. If this is the case, it
is important to engage these parties throughout the development and implementation
of the pollution prevention plan.
Step 4: Implementation
Implementing the pollution prevention plan requires a concerted effort by
management and employees. While various individuals will have the lead
responsibility for different initiatives, it will be important for one person to oversee
implementation.
The pollution prevention plan is more likely to be successful if employees are aware
of the plan and of how they can contribute to its achievement. Employees may require
specific training. For example, operators may require training in the operation of new
equipment, or on operating procedures designed to reduce waste.
Beyond specific training requirements, all employees should be made aware of the plan
and kept informed of actions taken and progress made. This can be done through
company newsletters, updates provided by supervisors at regular shift or staff meetings,
pay cheque inserts, or special meetings or celebrations to mark the kick-off or to
recognize special pollution prevention achievements. Employee incentive programs can
also be used to encourage active participation in meeting pollution prevention targets.
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POLLUTION PREVENTION PLANNING HANDBOOK
Step 5: Monitoring and Reporting
Model Plan Item: A monitoring plan should describe how the organization intends to monitor:
8 Monitoring and Reporting the status of implementation of the pollution prevention plan, including related
costs and savings; and
progress toward achieving objectives and targets.
The plan should identify appropriate monitoring methods, responsible staff and
monitoring frequency. For each target and objective, specific performance indicators
should be identified to measure progress over time.
ures
set
c onH
It can be very difficult to develop a single performance indicator that captures
all of the relevant information. In many cases, it is advisable to develop a set
of indicators addressing such factors as the absolute quantity of pollutants and
waste avoided or prevented; the quantity avoided or prevented as a percentage of
throughput; costs; savings; and payback periods. Indicators such as the number
of public complaints received can also be useful in some cases.
Monitoring should be conducted on a regular basis to ensure that deviations from
original objectives and targets are detected and corrected at an early stage. When
measuring reductions in the absolute or per-unit consumption of a substance or
material, use the same measurement method as that used to calculate the baseline.
Document the methods used and the frequency of measurement, and ensure
responsible employees are trained in these techniques. Monitoring and measurement
records should be kept on file to provide a historical record. A corrective action
program should be in place to identify the need for changes based on the monitoring
results and to ensure appropriate action is taken to address the root cause of any
noted deficiencies.
Progress reports are valuable tools for maintaining momentum and evaluating
whether the program is meeting its goals. Reporting progress can help senior
managers determine whether any corrective action is necessary. It is also useful to
track financial information, so that managers know if initial cost assessments were
accurate and whether any savings have been achieved.
Public reporting also serves a valuable accountability function. For example, public
reporting can be essential to ensuring that the organization receives the full benefits
of an effective pollution prevention plan, including enhanced market image, improved
community and government relations and easier access to financing.
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POLLUTION PREVENTION PLANNING HANDBOOK
Model Plan Item:
9 Review and Evaluation
Step 6: Review, Evaluation and Improvement
Pollution prevention is a way of doing business, and success cannot be measured by
reference to a single reduction target. Pollution prevention plans should therefore be
continuously improved, providing ongoing environmental and economic benefits to
committed organizations.
Senior management should review the pollution prevention program's achievements
on a regular basis, evaluate whether objectives and targets are still appropriate,
determine if the plan is meeting these objectives, and decide whether corrective
action or improvements are necessary. For organizations with a formal EMS in place,
the pollution prevention program can be reviewed within the scope of the EMS
management review.
In order to make effective decisions concerning pollution prevention activities, senior
management should be provided with progress reports (see Step 5), along with any
additional information on changing internal or external circumstances that may
impact the selection and implementation of pollution prevention options. For
example, changes in technology, finances or strategic considerations may make
options feasible that previously were not. Similarly, the organization's growing
experience with pollution prevention may lead to the identification of new pollution
prevention opportunities. Based on this review, senior management may identify a
need for resource reallocation, revisions to the action plan or changes to the pollution
prevention objectives and targets.
Finally, just as effective implementation requires the close involvement of
employees, ongoing evaluation results should be widely shared within the
organization. This will enhance employee "ownership" of and commitment to
pollution prevention, and can lead to the generation of new ideas and suggestions
for refinements and improvements.
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POLLUTION PREVENTION PLANNING HANDBOOK
Integrating Pollution
Prevention Planning Within
an Environmental
Management System
Many organizations have an environmental
management system (EMS) in place. For these
organizations, pollution prevention planning
can be readily integrated within their EMS to
improve environmental performance, reduce
duplication, and ensure that their pollution
prevention plan supports the environmental
objectives and targets established in their EMS.
The ISO 14001 standard, Environmental
Management Systems - Specification with
guidance for use, defines an EMS as the part
of the management system that includes
organizational structure, planning activities,
responsibilities, practices, procedures,
processes and resources for developing,
implementing, achieving, reviewing and
maintaining the environmental policy.
While an EMS is broader in scope than a
pollution prevention plan, an existing EMS may
provide certain elements that can serve as the
building blocks for a pollution prevention plan.
Organizations that have an EMS in place but
that have not previously implemented pollution
prevention practices in a systematic way will
not have to start from scratch. Rather, they can
build their pollution prevention plan within the
framework provided by their EMS.2 For example:
The environmental review completed
during development of an EMS
can provide part of the baseline
information required for a pollution
prevention plan. During development of
its EMS, an organization typically conducts
a review of its operations, products and
services and identifies those aspects that
have the potential to impact the environment.
In developing a pollution prevention plan,
the organization can use this review to help
establish the baseline information required
to select pollution prevention targets and
options. It can also use this information to
help determine which substances, processes,
and/or products and services to focus its
pollution prevention efforts on.
Pollution prevention objectives, targets
and actions can build on existing
objectives, targets and action plans
identified within the EMS. An organization
with an EMS in place should review its
commitments and action plans to ensure that,
where possible, the actions and approaches
identified are consistent with pollution
prevention. Some objectives, targets and
action plans may serve as the basis for the
pollution prevention plan; others may need
to be modified to incorporate pollution
prevention concepts; and, in some cases,
new objectives, targets and actions may be
required.
Monitoring and reporting of the pollution
prevention plan can be done through
existing systems. An EMS establishes
procedures for regularly monitoring and
reporting to senior management. By
incorporating pollution prevention objectives,
targets and action plans into its EMS, an
organization should be able to monitor
and report on progress toward these
commitments through its existing
management systems (e.g., corrective action
program, regular management reviews).
When developing a pollution prevention plan,
organizations with an existing EMS should
therefore review each element of their EMS to
determine how pollution prevention principles
and practices can be incorporated. Table 3
identifies how pollution prevention can be
incorporated into the EMS elements
identified in ISO 14001 - The International
Standard on Environmental Management
Systems.
Conversely, a pollution prevention plan can provide important building blocks for the development of an EMS.
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POLLUTION PREVENTION PLANNING HANDBOOK
Table 3: Integrating Pollution Prevention into an EMS
IS014001 EMS Elements Specific Guidance on Integrating Pollution Prevention
4.2 Environmental Policy Within the Environmental Policy, commit to the principle of pollution
prevention and to favour pollution prevention practices where feasible.
4.3.1 Environmental
Aspects
4.3.2 Legal and Other
Requirements
Use the initial environmental review conducted as part of EMS development
to identify significant environmental aspects that should be the focus of the
pollution prevention plan. Ensure scope of EMS and scope of pollution
prevention plan are consistent, or document differences.
Reference any legal requirement to prepare a pollution prevention plan
(e.g., CEPA 1999, etc.) if applicable, or state voluntary commitment.
4.3.3 Objectives and
Targets
4.3.4 Environmental
Management
Program(s)
Revise existing objectives and targets to emphasize pollution prevention over
pollution control; add additional objectives and targets specific to pollution
prevention, if appropriate.
Revise environmental management programs and action plans to incorporate
pollution prevention practices.
4.4.1 Structure and
Responsibility
4.4.2 Training, Awareness
and Competence
4.4.3 Communication
4.4.4 EMS Documentation
4.4.5 Document Control
4.4.6 Operational Control
4.4.7 Emergency
Preparedness
and Response
Designate a pollution prevention manager and establish a pollution prevention
team. Clearly assign roles, responsibilities and accountability. Members could
overlap with the EMS team/co-ordinator.
Ensure appropriate staff receive training on pollution prevention concepts,
pollution prevention practices applicable to their duties, and any new or
revised targets and operating procedures.
When communicating progress toward achieving objectives and targets,
include progress toward pollution prevention objectives and targets.
Reference the pollution prevention plan and associated procedures and
records within EMS documentation.
Document control procedures should cover the pollution prevention plan and
associated procedures and records.
Revise operating procedures as appropriate to include pollution prevention
techniques. Certain pollution prevention targets may require revisions to
specific operating procedures or development of new procedures.
Ensure emphasis is placed on emergency prevention within this procedure
and within operational controls.
4.5.1 Monitoring and
Measurement
4.5.2 Non-conformance
and Corrective and
Preventive Action
Existing monitoring and measurement procedures should be followed
(and revised, as required) to monitor progress toward achieving pollution
prevention objectives and targets.
Pollution prevention should be an important element of preventive action
process.
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Table 3: Integrating Pollution Prevention into an EMS
IS014001 EMS Elements Specific Guidance on Integrating Pollution Prevention
4.5.3 Records Maintain records related to development, implementation and maintenance
of the pollution prevention plan in accordance with record management
procedures.
4.5.4 EMS Audit If the pollution prevention plan is integrated within the EMS, the scope of the
EMS audit will include all elements of the pollution prevention plan.
4.6 Management Review Management review should include a review of progress toward achieving
pollution prevention-related objectives and targets, and any factors preventing
their achievement (internal and external barriers).
ISO 14001 - The International Standard on
Environmental Management Systems
encourages companies to include a formal
commitment to the prevention of pollution
within their environmental policy
statements. There is, however, an important
difference between the definition of
pollution prevention in CEPA and the term
"prevention of pollution" used in ISO 14001.
CEPA defines pollution prevention as the
"use of processes, practices, materials,
products, substances or energy that avoid or
minimize the creation of pollutants and
waste and reduce the overall risk to the
environment or human health." The CEPA
definition of pollution prevention does not
include pollution control, treatment and off-
site recycling. The term "prevention of
pollution" in the ISO 14001 includes these
methods. Canadian environmental policy
gives priority to pollution prevention actions
and recommends the use of recycling and
pollution control only where pollution
prevention is not feasible.
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GLOSSARY
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POLLUTION PREVENTION PLANNING HANDBOOK
At-source separation, the physical separation
of materials at their point of use or generation
in the production facility in order to recover
and minimize process wastes. Appendix I.
Baseline review, a general survey or
assessment of an organization's operations,
processes and products that provides the
detailed baseline information required to
develop a pollution prevention plan. Typically
entails a review of the inputs, products and
non-product outputs of the process that is
the focus of the pollution prevention plan.
Often uses some form of material flow or
input/output analysis. Step 2 of the six
pollution prevention steps described in this
handbook. Handbook and all appendices.
By-product, an incidental or secondary product
made in the manufacture of something else.
Appendix B.
By-product recovery, the reclamation of
incidental or secondary products from the
manufacturing process for reuse or recycling.
(See also on-site reuse and recycling.)
Appendix Band I.
CEPA-toxic substances, substances on
Schedule 1 (List of Toxic Substances) of
the Canadian Environmental Protection Act.
Appendix B.
Concentration techniques, mechanical means
used to increase the strength of substances
and compounds, including wastes, usually
through the removal of a component of
the waste such as water to increase the
recoverability of specific wastes. Example
methods include gravity and vacuum filtration,
reverse osmosis, freeze vaporization, filter
press, heat drying and compaction.
Appendix I.
Contingent costs, costs that may or may
not be incurred at some point in the future,
such as fines for future regulatory infractions,
compensation for future environmental
damage and costs associated with future lost
days due to production-related employee
absence. Appendices A and C.
Design for environment (DfE), methods for
preventing pollution (and enhancing resource
and energy efficiencies) through the design of
new products and the reformulation of existing
ones. Handbook and Appendix D.
Direct costs, costs that are directly associated
with the use and release of each substance,
when estimating the full costs of
environmental losses from the production
process (e.g., raw material inputs, labour).
Appendices B and C.
EcoLogoM, a symbol used to indicate a product
has met the guidelines of the Environmental
Choice Program. (See also Environmental
Choice Program.) Appendix H.
Environmental Choice Program,
Canada's environmental labelling
program (for more information, see
www.environmentalchoice.com). Appendix H.
Environmental management system (EMS),
the part of the overall management system
that includes organizational structure,
planning activities, responsibilities, practices,
procedures, processes and resources for
developing, implementing, achieving,
reviewing and maintaining the environmental
policy. Handbook.
Environmentally preferable purchasing, the
integration of environmental considerations
into purchasing practice. Handbook and
Appendix H.
Environmentally responsible inventory
management, the incorporation of
environmental considerations into inventory
management systems. Handbook and
Appendix H.
Equipment modifications and process
changes, new or alternative technologies or
approaches to existing operating systems,
processes and practices that result in an
overall reduction in the generation of pollution.
Handbook and Appendix E.
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POLLUTION PREVENTION PLANNING HANDBOOK
Feedstock substitution, the use of an
alternative feedstock to produce a substance.
Appendix F.
Financial analysis, a detailed examination
of the financial elements of a manufacturing
process to give a complete and accurate
picture of the costs of the current process,
done as one of the steps in the evaluation
and selection of pollution prevention options.
Appendices B and C.
Green or environmental specifications, a
detailed description of product attributes
with environmental significance, including,
for example, product or packaging content,
labelling, design features, reusability of the
product and take-back of off-spec or spent
product. Appendix H.
Hazardous material, matter, elements or
constituent parts that pose a risk or danger
to human health and the environment.
Appendices D, E, F, G and H.
Hazardous waste, waste that is hazardous
material. Appendices E, F, G and I.
Indirect costs, costs that are associated
indirectly with the use and release of a
substance, when estimating the full costs
of environmental losses from the production
process. Such costs may be up-front
costs (e.g., siting, design), operating
costs (e.g., regulatory, monitoring, compliance
or disposal costs including those resulting
from poor production quality) or back-end
costs (e.g., decommissioning, site clean-up).
Appendices A and C.
Inputs, all materials, energy, services and
labour entering a system or unit process
across the system or unit boundary.
Appendix B.
Inventory management system, a set of
procedures and devices functioning together
to organize and regulate the goods in stock.
Appendix H.
ISO 14001, the International Organization for
Standardization's standard on environmental
management systems. The ISO 14000 series
is a family of environmental management
standards developed by the International
Organization for Standardization (ISO). The
ISO 14000 standards are designed to provide
an internationally recognized framework for
environmental management, measurement,
evaluation and auditing. They do not prescribe
environmental performance targets, but
instead provide organizations with the tools
to assess and control the environmental
impact of their activities, products or services.
The standards address the following subjects:
environmental management systems;
environmental auditing; environmental labels
and declarations; environmental performance
evaluation; and life cycle assessment.
Handbook and Appendix H.
Less tangible costs, costs that require
some subjective interpretation to assess and
quantify. They include a range of strategic
considerations and are realized as changes in
revenues (through market share) or underlying
costs. The most common costs in this
category include costs arising from changes in
corporate image, customer relations, employee
morale, and government or regulator relations.
Appendix C.
Life cycle assessment (LCA), a specific
method for systematically identifying,
quantifying and assessing inputs and
outputs (i.e., sources of environmental
impact) throughout a product's life cycle. It is
one of a range of tools that support life cycle
management, but is not a prerequisite for
life cycle management (Environment Canada -
Environmental Life Cycle Management:
A Guide to Better Business Decisions).
Appendix F.
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Life cycle management (LCM), a process of
minimizing environmental burdens throughout
the life cycle of a product or service. The life
cycle includes all activities that go into making,
using and disposing of a product (Environment
Canada - Environment Life Cycle
Management: A Guide to Better Business
Decisions). Appendices D and F.
Life cycle of a product, the steps in the life of
a product from raw material acquisition and
processing, through its manufacture, use,
reuse and maintenance, to its final disposal or
recycling. Handbook, Appendices D and H.
Managing materials demand, a process
of organizing and regulating a company's
material requirements that provides a
holistic understanding of those requirements.
Appendix H.
Material flow diagram, a graphic
representation of the movement of materials
used in a process; an aid to clarifying the
precise source, quantities or causes of losses,
for each unit process. Appendices A and B.
Material(s) mass balance, a comparison
of the inputs to and outputs from a
process, usually written in equation form as
"Mass/volume of inputs = Mass/volume of
(outputs + non-product outputs)." Appendices
A and B.
Material safety data sheets (MSDS),
pamphlets that provide detailed information
about the physical properties, toxicity,
personnel protection required and other safety
precautions and waste disposal needs for
specific materials. Contact the manufacturer of
the material to obtain an MSDS. Appendices F
and H.
Materials accounting, the keeping and
verifying of records or statements of materials
used in a process to provide a means of
finding a general balance between the inputs
and outputs of each separate substance.
Appendix B.
Materials and feedstock substitution
(sometimes referred to as source elimination),
the replacement of polluting materials used in
the production process, or embedded within a
product, with non-polluting or less polluting
materials and feedstock. Handbook and
Appendix F.
National Pollutant Release Inventory, a
nationwide, publicly accessible inventory
that provides information on pollutants
released to the environment or transferred
for disposal in Canada. Covers certain
polluting substances as specified by the
federal government (for more information,
see www.ee.gc.ca/pdb/npri). Appendix B.
Non-product output, or loss, output from
a manufacturing process in the form of by-
products, solid wastes, liquid wastes, gaseous
emissions and wastewater effluents that leave
the process prior to treatment. Appendix B.
On-site reuse and recycling, the processes
of reusing and recycling at the same place
where an activity has been conducted (as
opposed to off-site). (See also recycling and
reuse.) Handbook and Appendix I.
Operating efficiencies and training, pollution
prevention practices that focus on the
introduction of improvements in work
procedures and employee training, including
changing production schedules to minimize
equipment and feedstock changeovers;
improving maintenance scheduling;
segregating wastes at source; training and
encouraging staff to improve material handling
and to recognize pollution prevention
opportunities; and implementing good
housekeeping practices. Handbook and
Appendix G.
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POLLUTION PREVENTION PLANNING HANDBOOK
Outputs, all materials, energy, services and
labour leaving a system or unit process across
the system or unit boundary. Outputs come in
two forms: finished products or services that
represent the desired output from a system,
and tosses or "non-product" outputs, in the
form of by-products, solid wastes, liquid
wastes, gaseous emissions and wastewater
effluents. (See also non-product output, or
loss.) Appendix B.
Pollution control, the addition of processes,
practices, materials, products or energy to
waste streams to reduce the risk posed by
pollutants and waste before their release to the
environment. Handbook.
Pollution prevention, the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to human health or the environment
(Government of Canada - Canadian
Environmental Protection Act, 1999).
Handbook and all appendices.
Pollution prevention opportunities,
opportunities, for example, to improve
environmental and/or economic performance
resulting from the identification of the use of
toxic substances, the creation of non-product
outputs, continuous or episodic losses of
material or energy or any other environmental
concern. Handbook and Appendix A.
Process control, the manner in which
a production system's reliability and
performance are ensured. Process control is
crucial to operating efficiency. Appendix G.
Process flow diagram, a graphic
representation of the series of stages in
the manufacturing process. Handbook and
Appendices B and C.
Product design and reformulation, methods
for preventing the pollution associated with
the production, use and disposal of products
through the design of new products and the
reformulation of old ones. (See also design for
environment.) Handbook and Appendix D.
Product substitution, the replacement of a
product with a less polluting one, such as
replacing petroleum-based plastics with
starch-based materials. Appendix F.
Purchasing techniques and inventory
management, the way in which goods and
services are bought, and the practice of
controlling the services needed and goods
in stock. It includes two distinct practices.
Environmentally preferable purchasing
involves the integration of environmental
considerations into existing and new
purchasing practices. Environmentally
responsible inventory management
entails the incorporation of environmental
considerations into inventory management
systems. Examples of these techniques include
just-in-time delivery; avoidance of unnecessary
waste generation by ensuring that materials
do not stay in inventory beyond their
shelf life; quality control for feedstocks to
prevent production of "off-spec" products; and
use of a clearinghouse to exchange materials
that would otherwise be discarded. Handbook
and Appendix H.
Recycling, the extension of the effective
life span of renewable and non-renewable
resources through changes to processes or
practices and the addition of energy inputs.
Handbook and Appendix I.
Reformulation, a change or difference in the
constituents of a product or service and their
relative proportions. For achieving pollution
prevention, it can be a less disruptive
alternative than substitution. Appendix D.
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POLLUTION PREVENTION PLANNING HANDBOOK
Remanufacture, the restoration of used
products or components to a condition with
performance characteristics approximating a
new product. Appendix D.
Remediation, the use of processes, practices,
materials, products or energy to restore to
a healthy state ecosystems that have been
damaged by human activity. Handbook.
Responsible Careฎ, a program implemented
since 1985 by the Canadian Chemical
Producers' Association (CCPA). It requires
CCPA member companies to continuously
improve "all aspects of the chemical industry's
environmental, health and safety performance"
and to ensure "openness in communication
about its activities and its achievements."
Appendix H.
Reuse, the re-employment of products or
materials, in their original form or in new
applications, with refurbishing to original or
new specifications as required. Handbook and
Appendix I.
Root cause, often a combination of the
materials, machines, methods and policies
or regulations that lead to the production
of waste. A root cause is realized by tracing
the waste or pollutant in question back to its
original source. Handbook.
Separation of wastes, the isolation of specific
components or by-products with little or no
use from process streams. Appendix I.
Source reduction, the elimination or reduction
of the production of wastes or pollutants at the
point where they originate. Handbook.
Total cost accounting (TCA), a financial tool
used to provide a more complete assessment
of the true profitability of business investments
and operations. Appendix C.
Unit process, a discrete activity (production,
processing or servicing action) that has
distinct energy, labour and material inputs
and outputs and can be considered separately
for the purposes of inventory and analysis.
Appendix B.
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POLLUTION PREVENTION PLANNING HANDBOOK
A MODEL POLLUTION
PREVENTION PLAN
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POLLUTION PREVENTION PLANNING HANDBOOK
Appendix A: A Model Pollution Prevention Plan
Purpose
This model pollution prevention (P2) plan is one
of a series of documents that form part of the
Pollution Prevention Planning Handbook. The
handbook1 describes methods that may be used
to prepare a pollution prevention plan consistent
with this model plan. It is an important
companion document to this model plan.
This model pollution prevention plan provides an
example of the types of information included in
an effective pollution prevention plan. It has
been structured to help interested persons
develop and document an effective plan.
This model plan does not represent the only
method for preparing and documenting a
pollution prevention plan, and is intended for
illustrative purposes only. The advice presented
here represents generic advice on "best
practices." While pollution prevention can
provide significant benefits to organizations
regardless of their size and nature of operations,
the precise sequence, level of effort, scope of
analysis and options reviewed will vary from
facility to facility. Each organization should
therefore adapt the advice to its own
circumstances and, where appropriate,
seek advice from other companies that have
implemented pollution prevention, from one of
the many Internet-based resources supporting
pollution prevention, from government officials
or from qualified consultants.
Note on Completing this Plan
While this plan presents material in a logical
order, the sequence of the sections does not
necessarily represent the order in which work
will be performed during the planning process.
For example, objectives and targets will likely
only be set following collection and analysis of
baseline data.
Also note that this template suggests
measurements on an annual basis and in metric
units of mass and volume. It is expected that
organizations referring to this template will
adopt the units that make the most sense for
their operations.
Available on the CEPA Registry at www.ec.gc.ca/CEPARegistry/plans/p2. To obtain copies, refer to the inside front
cover of this document.
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POLLUTION PREVENTION PLANNING HANDBOOK
Table of Contents for a Model Pollution Prevention Plan
1. Facility Information
2. Statement of CEO
3. Corporate or Facility Environmental Policy, Principles and Commitments
4. Scope and Objectives of the Pollution Prevention Plan
4.1. Scope of the pollution prevention plan
4.2. Timing
4.3. Overall objectives of the pollution prevention plan
4.4. Pollution prevention targets
5. Baseline Review
5.1. Process flow diagram
5.2. Inventory of pollution prevention opportunities (materials, substances and other concerns)
covered by the plan
5.3. Material flow and materials mass balance
5.4. Summary of costs currently incurred
5.5. Inventory of information gaps
Identification and Evaluation of Pollution Prevention Options
6.1. Identification of options
6.2. Evaluation of options
6.3. Business considerations
6.4. Selection and ranking of pollution prevention options
7. Implementation Plan
8.
Monitoring and Reporting
8.1. Monitoring program and data
8.2. Reporting program and data
Review and Evaluation
9.1. Review and evaluation plan
9.2. Record of corrective actions taken
9.3. Record of target revisions made
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POLLUTION PREVENTION PLANNING HANDBOOK
1.0 Facility Information
Company name:
Name of facility:
Address of facility:
Contact person (accountable manager):
Telephone number: Fax number:
E-mail:
Primary NAICS code:
NPRI ID (if applicable):
Section 56 Notice (if applicable): Date of Notice: Reference No.:
Head Office:
Address:
Contact person:
Telephone number:
2.0 Statement of CEO
(Environmental Policy, Commitment and Endorsement)
Signature of CEO:.
3.0 Corporate or Facility Environmental Policy,
Principles and Commitments
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POLLUTION PREVENTION PLANNING HANDBOOK
4.0 Scope and Objectives of the Pollution Prevention Plan
4.1 Scope of the Pollution Prevention Plan
4.1.1 Activities Covered
Indicate whether the plan covers more than one facility, an entire facility, or discrete processes within
one or more facilities:
4.1.2 Pollution Prevention Opportunities (Materials, Substances and Other Concerns)
Covered
Table 4.1.2: Materials, Substances and Other Concerns Covered by the Pollution Prevention Plan
Pollution Prevention Source/Nature of Concerns about the
Opportunities Generation or Use Selected Materials,
(Materials, Substances (manufacture, process or Substances,
and Other Concerns) otherwise use)1 Energy Losses, etc.2
Covered by Plan
1 Manufacture the material/substance: produce, prepare or compound, including as a by-product of a
production process.
Process the material/substance:
- preparation of the substance, after its manufacture, for distribution in commerce either on its own or as part
of a product, or
- use of the substance as part of a chemical or physical process.
Otherwise use the material/substance: as a physical or chemical processing aid, as a manufacturing aid, as a
by-product or for an ancillary or other use.
2 Include, where applicable, "factors to be considered" specified in the section 56 Notice under CEPA 1999.
4.2 Timing
4.2.1 Date plan was prepared
4.2.2 Date by which plan will be fully implemented
4.2.3 Projected evaluation dates: and
and ..
4.3 Overall Objectives of the Pollution Prevention Plan
(include environmental, financial, image, etc., as appropriate)
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POLLUTION PREVENTION PLANNING HANDBOOK
4.4 Pollution Prevention Targets
Table 4.4: Pollution Prevention Targets
Pollution Prevention Reduction
Opportunities Target
Addressed by Plan
Estimated
Achievement Date
Performance Indicator
(to be used to measure
progress toward the
reduction target)
Notes: Final targets will likely be set following the identification, evaluation, ranking and selection
of P2 options.
It can be very difficult to develop a single performance indicator that captures all of the
relevant information. In many cases, it is advisable to develop a set of indicators addressing
such factors as the absolute quantity of pollutants and waste avoided or prevented; the
quantity avoided or prevented as a percentage of throughput; costs; savings and pay-back
periods. Indicators such as the number of public complaints received can also be useful in
some cases.
5.0 Baseline Review
Note: Section II, "How to Prepare a Pollution Prevention Plan," and Appendix B, "Key Elements of a
Baseline Review," provide advice and information on how to develop the information required
to complete this part of the model plan.
5.1 Process Flow Diagram
Insert or attach process flow diagram(s).
Note: Appendix B, "Key Elements of a Baseline Review," provides advice about preparing a process
flow diagram.
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POLLUTION PREVENTION PLANNING HANDBOOK
5.2 Inventory of Pollution Prevention Opportunities (Materials, Substances and Other
Concerns) Covered by the Plan
5.2.1 Inputs
Table 5.2.1:
Input
Inventory of Inputs
Quantity Annual
Stored Quantity
On-site Used
Quantity Used per
Unit of Production
Annual Cost of Input per
Cost of Unit of
Input Production
5.2.2 Products
Table 5.2.2: Inventory of Materials/Substances Covered by the Plan That Are Contained in Products
Material/
Substance
Covered
by Plan
Product(s)
Containing
the
Material/
Substance
Quantity of
Material/
Substance
Contained
per Unit of
Product
Annual
Production
of the
Product
Annual
Quantity of
Material/
Substance
Contained in
Product
Annual
Revenue for
the Product
A-6
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5.3 Material Flow and Materials Mass Balance
5.3.1 Material Flow Diagram
Insert or attach a material flow diagram.
Note: Appendix B, "Key Elements of a Baseline Review," contains information on how to prepare a
material flow diagram.
5.3.2 Materials Mass Balance
Table 5.3.2: Materials Mass Balance
Material/
Substance
Inputs Outputs Non-Products Outputs Mass
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in products sent off-site off-site transfers
from Table 5.2.2) from Table 5.2.3.2)
1 Mass balance = Inputs - (Outputs + Non-Product Outputs).
Note: If each mass balance calculation does not equal zero, an output may have been overlooked.
Appendix B describes additional analytical tools that can be used to help pinpoint the source
and nature of such outputs.
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POLLUTION PREVENTION PLANNING HANDBOOK
5.4 Summary of Costs Currently Incurred
Notes: Complete a cost summary table for each material/substance.
Appendix C, "Assessing the Costs and Benefits of Pollution Prevention Options," provides
information on costs to look for, possible sources of cost information and analytical tools to
use in estimating costs.
Table 5.4: Cost Summary Tables (for each material/substance)
Cost Summary for: (material/substance)
Cost
Categories
(see Table C2
in Appendix C)
Costs Related to
Use/Emission of
Material/Substance
in Producing
Product A
Costs Related to
Use/Emission of
Material/Substance
in Producing
Product B
Costs Related to
Use/Emission of
Material/Substance
in Producing
Product C
Annual Qty.
(from Table 5.2.1)
Annual Qty.
(from Table 5.2.1)
Annual Qty.
(from Table 5.2.1)
Cost
Descriptor
Annual
Cost$
Cost
Descriptor
Annual
Cost$
Cost
Descriptor
Annual
Cost$
Direct
Indirect
Contingent
Intangible/Less
Quantifiable
Total Costs
Total Cost for Material/Substances:
$
$
$ $
Total Annual Qty.:
5.5 Inventory of Information Gaps
List all items in Section 5 for which information is not available to complete the baseline review.
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POLLUTION PREVENTION PLANNING HANDBOOK
6.0 Identification and Evaluation of Pollution Prevention Options
Notes: Options should be identified to address both pollution prevention opportunities and
information gaps with respect to:
inputs;
products; and
non-product outputs.
Different pollution prevention options may be required to address different types of issues. For
example, issues related to products are generally addressed either through product redesign
or through some form of a product take-back program to minimize the impact of the pollutant
once the product has been discarded.
Appendices D to I describe the following options:
Appendix D: Product Design and Reformulation
Appendix E: Equipment Modifications and Process Changes
Appendix F: Materials and Feedstock Substitution (Source Elimination)
Appendix G: Operating Efficiencies and Training
Appendix H: Purchasing Techniques and Inventory Management
Appendix I: On-Site Reuse and Recycling
Section II, "How to Prepare a Pollution Prevention Plan," describes relevant considerations
when identifying, evaluating and selecting options.
6.1 Identification of Options
Identification of Options
Issues to Be Addressed Pollution Prevention Option Predicted Results
Include:
Distributions of the
materials/substances in
a product, identified in
Table 5.2.2
On-site releases
and off-site transfers,
identified in Table 5.2.3.2
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6.3 Business Considerations
Identify any strategic considerations that would affect the evaluation of specific pollution
prevention options (i.e., render certain evaluation criteria more important than others or
elevate the priority of a specific option).
6.4 Selection and Ranking of Pollution Prevention Options
Table 6.4: Summary Ranking of Pollution Prevention Options
Pollution
Prevention Option
Comments
Highest-ranking option
Lowest-ranking option
7.0 Implementation Plan
Table 7.0: Implementation Schedule
Selected Action Resources Responsible Predicted Planned Predicted
Option Required Required Party Reduction Completion Results as
(from Table 6.4) Date % of Overall
Target
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POLLUTION PREVENTION PLANNING HANDBOOK
8.0 Monitoring and Reporting
8.1 Monitoring Program and Data
8.1.1 Monitoring Program
Responsible Person:
Describe how your organization will monitor:
implementation of the pollution prevention actions; and
progress toward achieving objectives and targets.
Identify roles and responsibilities, monitoring mechanisms, and frequency.
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POLLUTION PREVENTION PLANNING HANDBOOK
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POLLUTION PREVENTION PLANNING HANDBOOK
9.0 Review and Evaluation
9.1 Review and Evaluation Plan
Responsible Person:
Describe the review and evaluation process. Identify responsibilities for collecting and presenting
the required information to the reviewers, responsibilities for conducting the review, and frequency
of the review.
9.2 Record of Corrective Actions Taken
Note: Complete this section on an ongoing basis during the implementation of the plan.
^P
Responsibility
Table 9.2: Corrective Actions Taken
Deficiencies Identified Corrective Action
(from Table 8.1.2)
Deadline
9.3 Record of Target Revisions Made
Note: Complete this section on an ongoing basis during the implementation of the plan.
Table 9.3: Revisions to Targets
Material/Substance Previous Target Revised Target Reason for
Change
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POLLUTION PREVENTION PLANNING HANDBOOK
ANALYTICAL
TECHNIQUES FOR
PREPARING A POLLUTION
PREVENTION PLAN
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POLLUTION PREVENTION PLANNING HANDBOOK
Appendix B: Key Elements of a Baseline Review
Introduction
Pollution prevention is "the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation
of pollutants and waste, and reduce the overall
risk to the environment and human health"
(Canadian Environmental Protection Act, 1999}.
Pollution prevention is at the top of a hierarchy
of environmental protection methods that also
include off-site reuse and recycling, pollution
control or treatment, disposal/destruction,
remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risk while improving
a business's bottom line.
Pollution prevention planning is a systematic,
comprehensive method of identifying options to
minimize or avoid the creation of pollutants or
waste. There are six main steps to developing
and implementing a pollution prevention plan:'
commitment and policy;
baseline review;
planning;
implementation;
monitoring and reporting; and
evaluation, review and improvement.
The second step of the planning process,
the baseline review, provides the detailed
information required to identify an
organization's most significant sources of
pollution and to develop solutions for them. It is
a systematic approach to building the in-depth
knowledge of production and/or product life cycle
processes necessary to identify pollution
prevention opportunities.
This information sheet describes some of the
main analytical techniques that are useful in
completing the baseline review:
process flow diagrams;
material flow diagrams;
input/output inventories;
materials accounting; and
materials mass balances.
It also provides examples to illustrate the use
of some of these techniques.
Defining the Systems Boundary
The first step in a baseline review should be
to define the system boundary within which
the plan will focus. Will it consider a specific
functional area or process, and will it be
circumscribed to within the "plant gates" or also
include off-site disposal impacts, suppliers and
product impacts? This decision is important, as
it will influence the subsequent identification
of pollution prevention options. For example, if
the greatest environmental impact of a product
comes at its end-of-life stage, but the system
boundary contains only the manufacturing stage,
the plan will be unlikely to identify product
design and reformulation as a pollution
prevention option.
In choosing the system boundary, consideration
should be given to which stages in the life cycle
of the product, process or service cause the
greatest environmental impacts (extraction or
processing of raw materials and inputs, product
manufacturing, product use, or end of life).
Figure Bl illustrates potential environmental
impacts throughout a typical product life cycle.
1 For further information on these steps, see the section "How to Prepare a Pollution Prevention Plan."
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POLLUTION PREVENTION PLANNING HANDBOOK
Figure B1: Conceptual Model of a Product's Life Cycle Impacts
Product Concept and
Design Parameters
Design
Strategies
Product Life Cycle
Function
Performance
Quality
Safety and health
Environmental impacts
Legal requirements
Match design to function
Select low impact materials
Reduce materials
Optimize production techniques
Efficient distribution system
Minimize impact of user stage
Optimize product lifetime
Minimize end-of-life impacts
Inputs
Material Energy
Identification of Objectives for Improvement
Resource Conservation
Pollution Prevention
Etc.
Source: Modified from CSAZ762-95
Raw Materials Acquisition
I Transportation
Manufacturing/Processing
| Transportation
Use/Maintenance/Reuse
| Transportation
Disposal
Outputs
Air emissions
Water effluent
Liquid waste
Solid waste
Noise and vibration
Other Releases
Useful products
Environmental Impacts
Resource depletion
Impacts on global warming, acidification, biodiversity,
long-range transport of pollutants, etc.
Human health impacts
Local air, water and soil contamination
Basic Process Flow Diagrams
Facility plans and process diagrams are a
good starting point for developing the process
flow diagram, although most facilities have
experienced retrofits, expansions and repairs
that are not reflected in design or construction
drawings. Ideally, the process flow diagram
should identify each discrete step (unit process)
in the production activity. This provides a
"bird's eye view" of the relevant processes.
A unit process is a discrete activity (production,
processing or servicing action) that has distinct
energy, labour and material inputs and outputs.
Break activities into separate unit processes
when there may be an important environmental
impact that could get lost or be difficult to isolate
and quantify if left within a larger unit process
grouping. Identify whether a unit process is a
periodic, batch or continuous process. This
will help identify specific options for pollution
prevention.
B-2
If focusing on one or more specific substances
(e.g., specific CEPA-toxic substances targeted
for pollution prevention planning), identify
the unit processes associated with each use
of that substance, and the function of the use
(degreasing, solvent, etc.).
When mapping the process flow diagram,
include on-site reuse and recycling unit
processes, but exclude all pollution control or
treatment processes, and all off-site reuse and
recycling. The reason for doing this is to identify
the material, energy and water losses that leave
the process prior to treatment, without assuming
that wastes are already being dealt with in the
most effective manner possible.
Figure B2 illustrates a generic process flow
diagram for a typical production process.
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POLLUTION PREVENTION PLANNING HANDBOOK
Figure B2: Generic Manufacturing Process Flow Diagram
Raw material
Delivery and Reception
Example of a system
boundary around the
manufacturing stage only.
Another system boundary
set might choose to
include customer use
stage, etc...
| Secondary processing
| Energy supply] IH^> Jl
Customer Use,
Operation, and Servicing
Material Flow Diagrams
Material flow diagrams such as Figure B3 help
clarify the precise source, quantities or causes
of losses for each unit process. They map inputs
and outputs for each unit process onto the
process flow diagram developed above. They also
serve as an initial, qualitative identification of
obvious sources of losses.
A facility walk-through by the pollution
prevention team is a good way to initiate the
development of a material flow diagram. It is
not unusual to identify processes, activities or
machinery that deviate from the official facility
drawings and process diagrams. A walk-through
is usually the only way to identify fugitive
sources of losses or unusual sources of losses
(such as breakdowns), as these are not planned
and therefore do not show up on process flow
diagrams. These should be noted and the process
flow diagrams revised. In addition, it may be of
value to speak to shop floor staff, as they can
provide valuable input and clarification regarding
specific processes as well as any relevant non-
documented manners for which they conduct
housekeeping and maintenance that may affect
the process.
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POLLUTION PREVENTION PLANNING HANDBOOK
Figure B3: Generic Material Flow Diagram for Primary Processing Stage
UNIT PROCESS
INPUTS
Raw materials
Catalysts
Water
Air
Replacement parts
Energy
Recycle or reuse within
unit process
Recycle or reuse in
another unit process
WALK THROUGH NOTES
Causes of non-product outputs, e.g.:
Start-up activities
Faulty machinery
Dilution during washing process
Spills
Batch turnover
Contamination of waste stream
Off-spec inputs
Etc.
NON-PRODUCT
OUTPUTS
Air emissions
Waste water
Liquid wastes
(occasional overflow)
Solid wastes
Thermal content
IDEAS FOR
P2 OPTIONS:
Mechanical cleaning
Counter-current rinsing
Coordinating production
schedule
Material substitution
During the walk-through, it is important to follow
each process stage from one end to the other,
recording the inputs and outputs for each unit
process and gaining an understanding of the
daily production, start-up and shutdown, and
cleaning processes. More than one walk-through
may be necessary in order to observe each of
these activities properly.
Remember to:
identify any on-site reuse or recycling
streams;
include materials that are used only
occasionally and/or do not appear in output
streams (such as catalysts, coolant oil and
cleaning materials); and
label all discharge streams according to
whether they are periodic, intermittent or
continuous.
Any quantified data that are readily available
should be collected at this stage. If the required
data are not available, this step can first be
conducted in a qualitative manner in order to
identify which unit processes are the source of
the greatest environmental impact and/or have
the greatest potential for a pollution prevention
solution. These unit processes can be quantified
and inventoried.
It is important not to get bogged down trying
to make a perfect material flow diagram;
even a preliminary diagram can help provide
insights into sources and quantities of
losses.
Input/Output Inventories
In this step, systematic quantification of inputs
and outputs are added to the portrait that has
already been built through the flow diagrams.
These data will serve three functions. They will:
confirm or improve the planner's
understanding of facility operations from a
materials flow and materials loss perspective;
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POLLUTION PREVENTION PLANNING HANDBOOK
provide a sound way of prioritizing processes
for more detailed analysis; and
establish core data on which to base more
detailed analysis, evaluate options and
monitor future progress.
The inventory can be developed either for the
system as a whole (facility level) or for the
specific unit processes identified as the source
of the greatest environmental impact. It can also
be done for all material flows or for the specific
substance targeted for reduction.
A decision to inventory only selected unit
processes or selected substances will preclude
the ability to develop a more complete
understanding of material flows across the
system and to complete a facility-wide mass
balance, which are both important tools for
identifying and quantifying previously unknown
losses. On the other hand, an inventory of the
system as a whole should be supplemented by a
more detailed analysis of selected unit processes.
Inputs are all materials, energy, services and
labour entering the system or unit process
boundary. Outputs come in two forms: finished
products or services that represent the desired
output from a system, and losses or "non-
product" outputs in the form of by-products,
solid wastes, liquid wastes, gaseous emissions
and wastewater effluents. Loss is what leaves
processes prior to treatment. It is important
not to confuse this with what is released to the
environment after treatment.
Each substance or material covered by the
pollution prevention plan should be accounted
for as it moves through the system or unit
process. This requires selecting appropriate
metrics for comparison across the system. Such
metrics should be based either on output (such
as volume or mass of product) or on unit of time
(such as per day or per year). The measurement
unit will vary from case to case, but the following
guidelines should be considered:
In determining the time factor, always choose
a time span that includes production quantity
(e.g., tonne/year or kg/hour).
Take one full batch in the case of batch
production. Include start-up, shutdown and
cleaning operations, which are often the
source of losses.
If losses are associated with shutdown,
averaging over long periods may be
necessary.
In the case of gases, calculate on the basis
of volume at standard conditions.
Cost alone is not a useful unit for comparison,
since prices for both inputs and products may
fluctuate, leading to large margins of error
if quantities are derived from financial data.
Nonetheless, it is important to record all costs
and revenues associated with inputs and outputs
while doing this inventory step, in order to
conduct the financial analysis of pollution
prevention options. Tips on costs to consider
in order to complete a comprehensive financial
analysis are found in Appendix C, "Assessing
the Costs and Benefits of Pollution Prevention
Options."
Inventory of Inputs
Inventory all the inputs entering the system or
unit process. If the pollution prevention plan is
focused on a specific substance, inventory inputs
not only of that substance, but of any material
that may act as a medium for transfer of the
substance (such as water or contaminated waste
streams).
In developing the input inventory, it will be
important to establish a time frame for the
inventory (daily, weekly, monthly, annually, etc.).
One important factor in doing so will be whether
there are significant fluctuations in inputs and
whether the flow is batch or continuous.
Data sources for inputs at the facility or system
level can usually be found in records maintained
by the company. These include bills of lading
and purchase, stock and inventory management,
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financial management, compliance, and
reporting records. Some inputs (such as water,
some energy inputs and other materials) may
be directly measured with meters.
If large on-site inventories are kept, be sure
to reconcile between purchased and actual
consumption. If financial management records
are being used as the data source, be sure to
collect actual volume as well as financial data.
It is useful to collect financial data on the
cost for each input at this stage for use in the
subsequent financial analysis step.
Inventory of Product Output and Quantities of
Substance(s) Contained Therein
Inventory the volume or mass of each final
product leaving the system boundary. Again, data
for this can usually be found in sales records or
other internal management records.
Document the annual revenue for each final
product for use in the subsequent financial
analysis step.
If the pollution prevention plan is focused on a
substance, inventory the volume or mass of the
substance contained in the product, if known.
This may require engineering calculations or
estimates. If this is not known, it can be
determined through the materials accounting or
materials mass balance step described below.
Inventory of Non-Product Outputs
Non-product outputs (or losses) will be the most
difficult part of the inventory to complete, as
most companies do not routinely measure losses
in a comprehensive fashion.
Inventory all known losses from the system
boundary. Losses may occur through air
emissions; wastewater effluent; liquid wastes
for underground injection and off-site disposal
and recycling; and solid wastes for on-site
release to land, or off-site disposal and recycling.
Also inventory the non-product outputs that
are reused or recycled in-process or on-site.
Materials for recycling contain lost investments
of embodied energy and labour that should be
minimized.
Data sources for non-product outputs or losses
include waybills for solid and liquid waste
transfers; compliance data; release and inventory
reporting records; direct measurements or
sampling results for air emissions and water
effluent; monitoring; and engineering
calculations or estimates. Some companies
report under the National Pollutant Release
Inventory, and can start with these
measurements.
The precision of analytical data and flow
measurements is important. With poor
measurement techniques, the absolute error in
measurement of these quantities may be greater
than the actual waste stream or emission.
Accurate calibration and the use of standard
measurement methods and procedures are also
essential.
Record all known costs associated with each
category of non-product output. Costs can
include direct costs, such as treatment and
disposal costs, and indirect costs such as
monitoring and permit fees. Appendix C,
"Assessing the Costs and Benefits of Pollution
Prevention Options" provides suggestions on
how to conduct a total cost assessment.
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It may not be possible to identify all sources of
non-product outputs at this stage. New sources
may be identified and quantified through the
materials accounting or materials mass balance
approach (see below).
Materials Accounting and Materials
Mass Balance
The materials accounting and materials mass
balancing steps are important for any pollution
prevention program: they make it possible to
identify and quantify previously unknown losses.
Materials accounting means finding a general
balance between the inputs and outputs of each
separate substance. Materials accounting is
based on the premise that, for the facility as
a whole or for individual unit processes, all
materials entering a facility must come out in
one form or another.
Mass/volume of inputs =
Mass/volume of (output + non-product output)
If this equation generally balances, then the
sources of non-product outputs have been
identified and an analysis of the cause of the
non-product output can be initiated (see below).
If the equation is significantly out of balance,
then this unaccounted mass or volume
represents an unknown output and should
be investigated.
If the reason for the discrepancy cannot be found
easily, then analysis at the unit process level can
be used to ferret out the problem. This can be
done by doing a materials accounting for each
specific unit process, or by doing a materials
mass balance.
A materials mass balance can be used to clear
up any problems unsolved through the materials
accounting approach. A materials mass balance
also offers greater accuracy, but is more time and
data consuming than materials accounting. In a
materials mass balance, greater efforts are made
to balance the statement:
Mass in = Mass out + Accumulation
The main difference is that in materials mass
balance, greater accuracy is achieved by using
samples and measurements instead of existing
records and estimations. The entire process
should ultimately be balanced on a kilogram-for-
kilogram basis, rather than accounting for each
substance alone as in materials accounting.
Materials accounting and materials mass
balances can be presented in a tabular or
diagrammatic format. A Sankey diagram provides
one useful method for representing a picture of
material flows and balances. An example of a
Sankey diagram is shown in Figure B4.
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POLLUTION PREVENTION PLANNING HANDBOOK
Figure B4: Example Sankey Diagram
Water
Lubrication
Waste Disposal
Option
738.0
BARA
1.0
Source: JKMAS Inc. distributes Sankey diagrams in North America. Contact JKMAS Inc. at 1630 North Main Street PMB 330,
Walnut Creek, CA 94596 USA (925) 516-2121 or visit their website (http://sdraw.com).
Example of Techniques for
Conducting a Baseline Review
The following example illustrates some of the tools
that can be used to complete a baseline review,
including material flow diagrams, input/output
inventories and materials mass balances.
Scenario: Use of Substance X
A facility manufactures cleaners for household
use. Substance X is used in the production
of four different types of cleaners to keep
the hydrophobic solvents and emulsifiers in
solution. A total of 16,000 250 ml glass bottles
are manufactured annually.
"Off spec" product and spillage of the product
containing Substance X are stored in
205 litre drums on-site and transferred
off-site for disposal.
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Example Material Flow Diagram
In this example, Substance X will be tracked as
it moves through the process stages in a batch
manufacturing plant. The material flow diagram
in Figure B5 will build a detailed profile of the
inputs, outputs and non-product outputs (or
losses, including on-site releases and off-site
transfers).
Example Input/Output Inventories
The quantification of inputs and outputs,
through an inventory, will further build a
detailed profile of the production processes
and all associated inputs, product outputs and
non-product outputs (losses).
In this example, input/output inventories are
developed for Substance X at a facility level.
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POLLUTION PREVENTION PLANNING HANDBOOK
Figure B5: Example Material Flow Diagram
INPUTS
Total Substance X Inputs: 50 tonnes/yr
ACTIVITY
Raw material "A" -
Raw Material's" -
Catalyst "C" -
Water -
C02 (from energy) -
N0x(from energy) -
20tns
10tns
4tns
8tns
0.5 tns1
0.5 tns1
43 tns
Return tank cleanout water-5 tns
Return sample flushings- 2 tns
Total Other Inputs 501ns
Mixing
Tank
Holding
Tank
Filling of
product
into glass
bottles
Warehouse
of products
prior to
shipping
OUTPUTS
Off-spec product (Off-site transfer for
disposal) Estimated Substance X
losses at 2 tns/yr
On-site Wastewater Treatment Plan
(On-Site Release) Estimated Substance
X losses at 0.05 tns/yr
Rinsewater (Off-Site Transfer to
Sanitary Sewer) Estimated
Substance X losses at 0.02 tns/yr
Spills (On-Site Release)
Estimated Substance X losses at
2 tns/yr
Transfer for off-site disposal
(Off-site transfer) Estimated
Substance X losses at 0.68 tns/yr
Total Substance X Outputs:
45.2 tonnes/yr
Legend:
1 Energy is normally calculated in KJ but has been converted to tonnes of each greenhouse gas based on estimates provided by the National Pollutant
Release Inventory (NPRI) reporting process.
-^ Periodic ^-Intermittent ^-Continuous
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Table B1: Example Input Inventor
Inputs
Substance X
Raw material "A"
Raw material "B"
Catalyst "C"
Water
Energy
Return tank
cleanout water
Return sample
flushings
Quantity
Stored On-Site
NA
NA
NA
NA
NA
NA
NA
NA
Annual
Quantity Used
(tonnes)
50
20
10
4
8
20,000 kWh
5
2
Quantity Used
per Unit of
Production
0.0031
0.0012
0.0006
0.0002
0.0005
1.25
0.0003
0.0001
Annual Cost
of Input
$
15k
6k
3k
1 k
0.8k
2.2k
-
-
Cost of Input
per Unit of
Production
$/tonne
0.93
0.36
1.8
0.5
0.05
0.14/kWh
-
-
Table Bl illustrates an input inventory using the
following data:
50 tonnes of industrial grade Substance X
purchased annually
production of 16,000 250 ml containers of
cleaner.
The inventory of the organization's products
containing Substance X yields:
approximately 45.2 tonnes of Substance X
are transferred off-site in the products
approximately 4.75 tonnes of Substance X
are lost during the production process as
non-product outputs.
Table B2 shows the Inventory of Substance X
losses (non-product outputs).
Process Description Type of Estimated Reason for Total Non-
Stage of Substance X Release/ Quantity Release/ Product
Non-Profit Transfer tonnes/yr Transfers Output of
Output Substance X
Holding tank
Filling line
Warehouse
and
shipping
Note: This table is
Rinsing of tanks
and lines
"Off-spec"
product
Rinsing of filled
bottles
Overflow during
filling
Spillage from
broken bottles
based on Table 5.2.3.2
On-site release
to surface water
(from treatment
plant)
Off-site transfer
for disposal
Off-site transfer
for disposal
(to sanitary
sewer)
Off-site release
to land
Off-site
transfer for
disposal
in Appendix A, "A Model
0.05 Rinsing of residual 4.75
intermediate product
generates rinsewater
with small quantities
of Substance X.
2 Some batches do
not have suitable
specifications for sale.
0.02 Filled bottles are rinsed
before packaging in
shipping boxes; this
generates rinsewater
with small quantities
of Substance X.
2 Spillage occurs during
the filling process.
0.68 Product falls off pallets
and glass bottles break
while in transit from
storage to shipping.
Pollution Prevention Plan."
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Example Materials Mass Balance
Materials mass balances are useful to organize
data, identify gaps and quantify previously
unknown losses. They can help quantify
substances where quantitative data are limited
or where information is difficult to collect.
Unaccounted-for losses can be revealed when
"mass in" (inputs) fails to equal "mass out"
(losses plus outputs).
Such an imbalance can also indicate that fugitive
emissions or unidentified releases are occurring.
In the example illustrated in Table B3, the
evaporation of Substance X from the mixing
tank can be estimated (0.05 tonnes/year) as the
difference between Substance X put into the tank
(inputs) and Substance X within products and
removed by disposal, treatment and spills (losses
plus outputs).
Table B3: Example Materials Mass Balance
Substance Inputs Outputs
tonnes Substance X
contained in products
sent off-site
Non-Product
Outputs
on-site releases
+ off-site transfers
Mass
Balance"
Substance X
50
45.2
4.75
0.05
Mass Balance = Inputs - (Outputs + Non-Product Outputs)
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References and Resources
For more information on pollution prevention
and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Canadian Centre for Pollution Prevention:
www.c2p2online.com
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For more information on techniques for
conducting a baseline review for pollution
prevention planning:
City of Toronto, 1999. A Guidance Manual
for Pollution Prevention Plans:
www.city.toronto.on.ca/involved/wpc/
nbylaw.htm
Ayres, R.U., and L.W. Ayres, 1999. Accounting for
Resources 1: Economy-Wide Applications of
Mass Balance Principles to Materials and
Waste. U.K.: Edward Elgar Publishing
Ayres, R.U., and L.W. Ayres, 1999. Volume 2:
The Life Cycles of Materials. U.K.: Edward
Elgar Publishing
Freeman, Harry, 1995. Industrial Pollution
Prevention Handbook. McGraw-Hill.
Industrial Research Assistance Program of the
National Research Council of Canada, Design
for Environment website: www.nrc.ca/dfe
U.S. Environment Protection Agency's Design
for Environment Program website:
www. epa.gov/oppti ntr/dfe
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Appendix C: Assessing the Costs and Benefits
of Pollution Prevention Options
Introduction
Over the past 30 years, expenditures on
environmental protection in all sectors
(including pollution control, waste management,
monitoring, regulatory reporting, legal fees
and insurance) have increased significantly.
Pollution prevention approaches aim to avoid or
reduce these costs by implementing alternatives
that minimize the creation of the pollutants and
wastes in the first place.
Pollution prevention is the "use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to the environment or human health"
(Canadian Environmental Protection Act, 1999}.
Pollution prevention is at the top of a hierarchy
of environmental protection methods that also
include off-site reuse and recycling, pollution
control or treatment, disposal/destruction,
remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risks while improving
a business's bottom line.
Assessing the costs and benefits of existing
environmental protection practices and of
pollution prevention options is important to
ensuring that pollution prevention initiatives
result in the most cost-effective outcomes
possible. This information sheet describes basic
steps and tools for identifying and estimating
the quantifiable and less quantifiable costs and
benefits associated with the status quo and with
options identified during pollution prevention
planning.
Strategies for Improving
Environmental Performance
and the Bottom Line Through
Pollution Prevention
The degree to which an enterprise minimizes
or avoids environmental risk and maximizes
potential environmental opportunities can
have important implications for its profitability.
Surveys have indicated that some customers are
making the environment an important part of
their purchasing decisions, and that competitors
in some fields are promoting the "greenness"
of their products and services in their marketing
strategies. Environmental performance is
becoming an important factor in some supply
chains, such as in automobile manufacturing.
Businesses are recognizing that pollution and
waste represent inefficiencies and lost profits
in their production processes. Attention to
environmental opportunities and obligations
affects not only a business's cash flow but also
the marketability and value of its assets.
As a result of factors like these, an increasing
number of companies are recognizing the
competitive advantage to be gained in "valuing"
environmental performance, as opposed to
viewing it as a cost of doing business. One
approach' to doing this consists of:
identifying the strategic business value
of environmental performance;
measuring results that matter in financial
terms; and
communicating environmentally linked
financial performance.
1 This approach is described further in Uncovering Value: Integrating Environmental and Financial Performance.
Program on Energy, the Environment, and the Economy. The Aspen Institute. Washington, D.C., 1998.
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POLLUTION PREVENTION PLANNING HANDBOOK
Table C1: Links Between a Company's Environmental
Franchise Process
Protection Changes
Strategies and Investor Interests
Product New Market
Changes Development
Business Right to operate
value
Financial Reduces earnings
impact Reduces risk
Cost and
liability reduction
Increases margins
Often uses less
capital
Increases return
on equity
Reduces risk
Market share and
pricing power
through customer
loyalty and
reputation
Increases
competitive
advantage
New markets
Increases
sales
Increases
competitive
advantage
Source: Adapted from D. Reed, "Green Shareholder Value, Hype or Hit?" Sustainable Enterprise Perspectives, World Resources Institute, 1998.
Identifying the strategic business
value of environmental performance
requires direct communication between an
organization's financial/business side and
its technical/environmental side to ensure
an in-depth understanding of the relevance
of environmental considerations to core
business strategies. These linkages can
include:
protecting the business franchise:
Ford, GM and Daimler-Chrysler require
all of their "Tier 1" suppliers to have an
environmental management system (EMS)
that is certified under ISO 14001. Suppliers
without an EMS may lose important
customers.
changing processes to improve
efficiency: Millar Western developed
an effluent-free process for its new pulp
mill in Meadow Lake, Saskatchewan. For
approximately the same cost as traditional
treatment processes, the new mill has
eliminated the discharge of liquid effluents
into the environment, uses 40% less fresh
water than traditional kraft mills and has
production yields 60% to 100% greater than
traditional kraft mills.
C-2
developing new products: Volvo increased
its market share in one truck segment by 35%
over a three-year period by differentiating its
trucks on their environmental features (fuel
efficiency and low emissions). This boosted
the company's operating income from 30%
to 56% during the same time period.
building and entering new markets:
Green Mountain Energy Resources, a power
marketer in the United States, is able to
charge a premium for electricity generated
from renewable sources. As a result of
consumer preference for "cleaner" power,
it has become the largest marketer of
residential power across the United States.
Table Cl provides a way of examining how
environmental performance can be linked with
business strategy to reveal potential bottom-line
benefits.
2. Measuring results that matter in
financial terms involves knowing how
the company is currently valued by investors
and what measures are used, how the
environmental aspects of its strategies
affect those measures and how to collect
data that are meaningful in demonstrating
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Figure C1: Relationships Between Forms of Accounting
Conventional
Cost Accounting
Total Cost
Accounting
Full Cost
Accounting
Direct and
Indirect costs
"Recognized"
contingent costs
A broader range of direct,
indirect, contingent and
less quantifiable costs
External costs borne by society
Source: Modified from: Total Cost Assessment Guidelines, 1997, B.C. Ministry of Environment, Lands and Parks.
that connection. Many companies pursue
environmental strategies that involve process
change, leading to cost efficiencies and
increased earnings. Accurate and complete
information about the costs and savings
associated with those changes is essential to
sound and fair evaluation of these strategies
over time.
3. Communicating environmentally linked
financial performance requires expressing
measurements and results in terms that are
understood, relevant to and used by the target
audience - whether managers or investors.
Communication of measurement information
must be:
shared and understood internally by all
managers (i.e., a common language);
expressed in terms of business functions
and goals as well as being financially
relevant; and
credible, consistent and comparable (over
time and between companies).
Tools for Assessing the
Profitability of Pollution
Prevention Options
Analytical tools that can be used in evaluating
pollution prevention options include:
conventional cost accounting (CCA);
total cost accounting (TCA);
full cost accounting (FCA); and
life cycle assessment (LCA).
In different ways and with varying levels of
usefulness, these tools can be used to identify,
assess and allocate the environmental costs
of each pollution prevention option being
considered. These tools represent only a sample
of the environmental managerial accounting
tools that are being developed and implemented
in a number of jurisdictions worldwide and
that are available to an enterprise for use in
assessing options. Figure Cl demonstrates the
relationships between forms of cost accounting.
Conventional cost accounting (CCA)
focuses primarily on determining financial costs
based on categories of direct and indirect costs
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associated with a particular activity (product,
service, process). Using this form of accounting,
many of the environmental costs associated with
permitting, insurance premiums, legal fees,
utilities costs, etc., are attributed to overhead
accounts, which may then be arbitrarily allocated
to products, processes or services (e.g., on a
square foot or product volume basis) or may
not even be allocated at all. As a consequence,
managers and executives are often unaware of
the extent of these costs and have little or no
incentive to reduce them. These costing methods
can also distort the real cost picture for products
or product lines and result in sub-optimal
decisions from both an environmental and a
financial perspective.
Total cost accounting (TCA) is a financial
tool used to provide a more complete assessment
of the true profitability of business investments
and operations. It has been used to evaluate
alternative capital investments, operational
expenditures and procurement decisions.
Particularly when used in conjunction with
activity-based costing, TCA enhances decision
making by improving the underlying cost
information on which decisions are based.
Relative to conventional cost accounting and
project evaluation approaches, TCA:
takes into account a wider range of direct
and indirect costs and savings;
uses longer time horizons that reflect the full
economic or commercial life of the project;
uses financial indicators that incorporate
the time value of money;
reveals hidden costs, by relating them to
the activities that cause them; and
considers uncertain or less quantifiable costs.
It is important to note that TCA is not a
new method of cost accounting but rather
an existing tool for thinking about costs
and project evaluation in a different, more
comprehensive way. In most cases it is the
best tool for identifying and assessing the
costs of pollution prevention options.
Full cost accounting (FCA) attempts to identify
and quantify the external costs associated with
the activities of a given enterprise that are
currently being borne by society (damage
to health, land, buildings, crops, vegetation,
water bodies etc.). Companies do not normally
include an assessment of external costs in the
information collected to assist in choosing
among pollution prevention options, partly
because they are not currently held legally
accountable and liable for most such impacts
but mainly because of the difficulty of measuring
such costs. Very few companies have the
resources and expertise to carry out FCA, and
there is no widely accepted methodology for
doing so in a practical manner. Nonetheless,
with the growing acceptance worldwide of
the "polluter pays" principle, companies are
becoming alerted to the increasing demand
by society to "internalize" these traditionally
external costs.
Life cycle assessment (LCA) is a method
for systematically identifying, quantifying and
assessing inputs and outputs (i.e., sources of
environmental impact) throughout a product's
life cycle, from raw material acquisition and
processing, through its manufacture, use,
reuse and maintenance, to its final disposal
or recycling. Although LCA is heavily relied on by
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some large companies, such as Mean and Volvo, in
many cases it is only feasible to undertake the
first step in LCA, identifying and inventorying
environmental impacts over the life cycle of a
product. Where LCA is integrated in quantitative
terms with accounting information, however,
it can be a very powerful tool for identifying
opportunities to reduce environmental impacts in
the most cost-effective manner, or even for
identifying potential cost savings. For example,
Procter and Gamble used LCA to determine that
the energy needed to warm water when using
household cleaners accounted for more than half
of the total energy associated with the product
(including manufacturing, transportation and
disposal). With this information, the company
focused on developing "cold water" or "no rinse"
liquid cleaners, thereby expanding market share
and increasing profits while decreasing adverse
environmental impacts.
Basic Steps for Assessing the
Costs and Benefits of Pollution
Prevention Options
In theory, both full cost accounting and life
cycle assessment thinking, at least in qualitative
terms, should be a feature in all pollution
prevention planning activities. In practice,
however, it is not always appropriate (from
the company's perspective) to incorporate
FCA or to go beyond a qualitative LCA approach.
This section therefore focuses on total cost
accounting. It provides an overview of the four
basic steps involved in assessing the financial
aspects and viability of prevention options
relative to the status quo, using a TCA approach.
Step 1: Define the decision options.
Identify the business objectives and the
available technical options that meet
these objectives.
Step 2: Identify and understand the costs
associated with each option, in
order to be able to compile a complete
and accurate picture of the real costs
associated with all of the available
options, including the status quo.
To assist with this task, a preliminary
assessment can be conducted in order to
exclude costs that are the same for each
option. Table C2 provides a checklist for
identifying some of the possible costs
and sources of data for identifying those
costs, categorized under the following
headings:
Direct costs - raw material input,
labour, etc.
Indirect costs - up-front costs associated
with siting and design requirements;
operating costs such as training, monitoring,
compliance and disposal costs, including
those resulting from poor production
quality; back-end costs associated with
decommissioning, site clean-up or other
remediation efforts.
Contingent costs - fines for future
regulatory infractions, compensation for
future environmental damage and costs
associated with future lost days due to
production-related employee absence.
Less tangible or quantifiable costs -
arising from changes in corporate image,
employee morale, customer relations and
relations with regulators.
External costs - costs borne by society as a
result of the production, use and disposal of a
given product or service.
Step 3: Tabulate and summarize the costs
identified for each option (including
the status quo). These costs can then
be used for further financial analysis
if necessary, such as determining and
comparing the financial performance
of each option using capital budgeting
and discounted cash-flow techniques.
Sometimes it may be necessary to use
activity-based costing techniques to
assign identified costs correctly to the
appropriate products and processes.
The costs of different options compared
to the status quo can be displayed,
revealing potential savings from each
option, all other considerations being
equal.
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purchasing
individual facilities
sponsoring business unit
accounting
project management
proposals/bids
price lists
Table C2: Checklist of Possible Potential Costs and Sources of Data for Identifying Them
Type of Cost Internal Source External Source
Direct Costs
Capital costs e.g., equipment purchases,
spare parts and insurance; materials for
installation; utility systems and connections
Operating costs e.g., materials purchase,
transport and storage; labour, including
inspections; utilities
Costs associated with changes in revenue
generation e.g., increase or decrease
in product sales due to changes in
manufacturing throughput/production
Indirect Costs
Capital costs e.g., fees relating to permits
including labour, supervision and materials;
site preparation, including demolition and
salvage; installation and construction,
including design and procurements costs;
training; working capital; contingency
Operating costs e.g., marketing and public
relations; management of non-product
outputs, including emergency planning,
reuse, hauling and disposal, tracking/info
system, storage; regulatory compliance
including training, reporting, fees/taxes,
site closure and reclamation; insurance
Costs associated with changes in revenue
generation e.g., by-product sales
sponsoring business
unit or department
related business units
individual facilities
environmental staff
accounting
legal department
project management
case/benchmarking
studies within the same
industry
case/benchmarking
studies in different
industries with similar
issues
research institutions
Contingent Costs
Future liability costs e.g., fines, penalties,
legal proceedings, personal injury claims,
property damage claims, natural resource
damages and site remediation
Production losses e.g., from accidents
or clean-up
environmental staff
legal department
systems operations
case/benchmarking
studies
databases of failure
information
original equipment
manufacturer failure rates
regulators
Less Tangible or Quantifiable Costs
Strategic issues leading to an increase or
decrease in market share e.g., corporate
image, customer satisfaction and relations;
product quality or certification; employee
and community relations; employee and
community health and safety
Strategic issues leading to new revenue
streams e.g., flexibility to market new
products; innovation
all business units
corporate comptroller
environmental staff
legal department
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Table C2: Checklist of Possible Potential Costs and Sources of
Data for Identifying Them (continued)
Type of Cost
Internal Source
External Source
Strategic issues leading to more efficient
operations e.g., investor relations; credit
ratings; employee relations; employee health
and safety; relations with regulators, lenders
and insurers; reliability or production
capability; innovation
External Costs
Current societal costs associated with
production, use and disposal of product
and service
environmental staff
occupational health
and safety/personnel
Source: Adapted from Total Cost Assessment Guidelines, Draft, June 1997.
Step 4: Incorporate the cost information
into the business decision making
process. The above financial evaluation
should be weighed with business and
technical considerations to decide which
pollution prevention option(s) to adopt.
In conducting this analysis, it is important
to identify and distinguish one-time
implementation costs and continuing costs
related to production and service delivery.
This will be particularly relevant, for example,
if a multi-year cash-flow analysis is carried out
for each option and for the status quo.
An example using these four steps has been
provided.
case/benchmarking
studies of companies
that have a track record
of decisions in the face
of high "image" costs
industry associations
studies of stock market
reaction to environmental
incidents
Workers Compensation
Boards
government databases
hospital and other health-
related organizations'
studies
reported losses by other
sectors of society
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Example of Assessing the Costs and Benefits of Pollution Prevention Options
Using a Total Cost Accounting Approach
The enterprise: small circuit-board manufacturer, making 100,000 square feet of product per year;
30 employees, 1 responsible for environmental management
Strategic business goal related to the environment: to reduce the use and generation of
hazardous materials and "non-product" outputs by 50%, while improving customer satisfaction
P2 planning exercise: identified an opportunity to reduce the use of a hazardous/toxic substance
in the workplace
Existing process: circuit-board panels undergo a number of plating and rinsing processes; panels
are carried on stainless steel racks, which must be rinsed with the hazardous/toxic substance after
each plating run
P2 option: copper-splined, plastic-coated racks eliminate the need for rinsing and support a more
even distribution of electrical current, resulting in a more accurate and consistent plating process,
leading to improved customer satisfaction
TCA Step 1: Define the decision options - are there compelling reasons for considering alternative
options to the status quo, financial or otherwise?
beyond financial performance, the P2 option would address the strategic business goal stated
above
TCA Step 2: Understand and identify costs - what would change as a result of this option?
examples of direct financial considerations: cost savings in purchasing, storage, handling and
recycling the hazardous/toxic substance currently used as a rinsing agent; productivity
improvements (no longer need to strip racks after plating runs)
indirect cost considerations directly attributable to the option: reduction in environmental
reporting/tracking; health and safety training and equipment; savings in purchasing and
inventory management; reductions in energy and water use
contingent cost considerations: removal of the hazardous/toxic substance from the workplace;
reduction in future liabilities such as fines, penalties and personal injury claims; improved
employee and community relations; employee health and safety
less quantifiable costs: customer satisfaction and potential for improved market share over and
above financial benefits associated with reduced product defects
TCA Step 3: Summarize and compare the financial implications of the plastic-coated rack
investment relative to the status quo.
state assumptions such as expected days of operation per year; useful life of rack; inflation rates;
discount rate; corporate income tax rate, etc.
calculate costs and benefits using a number of scenarios that increase and decrease each of the
rates stated in the assumptions, both individually and simultaneously
TCA Step 4: Integrate financial cost and benefit information with other business and technical
considerations to decide whether to implement the plastic-coated rack option.
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References and Resources
For more information on pollution prevention
and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Canadian Centre for Pollution Prevention:
www.c2p2online.com
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For a general overview on accounting for
environmental costs and benefits:
Introductory Guide to Environmental Accounting.
Environment Canada, Ottawa, 1999
Other sources of assistance in environmental
cost accounting:
The USEPA Environmental Accounting Project:
www.epa.gov/opptintr/acctg
The Green Ledgers publication of the World
Resources Institute in Washington, D.C.,
provides practical steps for integrating
environmental accounting practices into
existing business systems
The Canadian Institute of Chartered
Accountants (CICA) has published studies
in environmental performance reporting,
waste management guidelines and full cost
accounting: www.cica.ca
The Society of Management Accountants of
Canada (SMAC) has published guides on
business strategy, performance measurement
and accounting for environmental costs:
www.cma-canada.org
For more information on life cycle
assessment-
Environmental Life Cycle Management:
A Guide to Better Business Decisions.
Environment Canada, 1997
(For an overview of the Guide, see
www.ec.gc.ca/ecocycle/english/lcmguide.html
Various free LCA software tools available on the
Internet, including:
The U.S. National Institute of Standards and
Technology's LCA decision-support software
for buildings called Buildings for
Environmental and Economic Sustainability:
www.bfrl.nist.gov/oae/software/bees.html
Carnegie Mellon University Green Design
Initiative's Economic Input-Output Lifecycle
Assessment (EIOLCA) software:
www.eiolca.net
In the fall of 2000, the U.S. Environmental
Protection Agency will open LCAccess, a free,
web-based searchable directory of life cycle
inventory data:
www.epa.gov/ord/nrmrl/std/sab/lca_access.htm
The ISO 14040 series of guidance documents.
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Appendix D: Product Design and Reformulation
Introduction
This information sheet introduces design for
environment (DfE) methods for preventing
pollution through the design of new products and
the reformulation of existing ones. The product
design stage is a crucial starting point for
implementing pollution prevention. Addressing
concerns associated with the product from the
earliest stage is often the most cost-effective way
to avoid environmental impacts associated with
the production, use and disposal of a product.
Pollution prevention is "the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to the environment and human health"
(Canadian Environmental Protection Act, 1999~).
Pollution prevention is at the top of a hierarchy
of environmental protection methods that
also include off-site reuse and recycling,
pollution control or treatment, disposal/
destruction, remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risks while improving
a business's bottom line.
DfE and Life Cycle Analysis
DfE seeks to integrate environmental criteria
into the usual design drivers of performance,
cost, quality, cultural, legal and technical criteria.
It does so by starting with an analysis of the
product life cycle. For simplicity, the product life
cycle after the design stage can be categorized
into five stages:
raw material acquisition and processing
(this includes extracting and refining non-
renewable raw materials, and harvesting
and processing renewable resources);
manufacturing and production;
filling, packaging and distribution;
use, reuse and maintenance; and
disposal.
From this life cycle perspective, DfE can involve
reducing the toxicity of a product, extending
the life of a product, extending the life of the
materials used, improving the selection of
materials, and reducing the energy and material
intensity required to produce, use and dispose
of the product.
Figure Dl illustrates the relationship between
the design process and the overall life cycle
environmental impacts of a product.
In identifying opportunities for reducing
environmental impacts along the life cycle of a
product, DfE incorporates product and process
design into one analysis, as opposed to designing
the product first, and then considering the
process by which it will be produced. Such
integration is obviously not always easy.
It requires an iterative and creative
approach. Identifying the full range of impacts
(environmental and otherwise) of a possible
design across the life cycle of a product can
require a significant amount of information.
Products, especially durable products, are
made of increasingly sophisticated materials.
Assessing the environmental attributes of
these materials is difficult, and is even
more so where suppliers of components and
subassemblies are widely dispersed. Accounting
for these considerations concurrently with
all other relevant design objectives and
considerations can be challenging.
Properly done, however, DfE can bring numerous
important benefits. Because products are the
focal point in a complex web of material and
energy flows, an emphasis on DfE requires
an organization to take a systems perspective.
In turn, this:
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Figure D1: Relationship Between a Product's Design and Its Life Cycle Impacts
Product Concept and
Design Parameters
Design
Strategies
Product Life Cycle
Function
Performance
Quality
Safety and health
Environmental impacts
Legal requirements
Match design to function
Select low impact materials
Reduce materials
Optimize production techniques
Efficient distribution system
Minimize impact of user stage
Optimize product lifetime
Minimize end-of-life impacts
Inputs
Material
Energy
Raw Materials Acquisition
I Transportation
Manufacturing/Processing
| Transportation
Use/Maintenance/Reuse
| Transportation
Disposal
Outputs
Air emissions
Water effluent
Liquid waste
Solid waste
Noise and vibration
Other Releases
Useful products
Identification of Objectives for Improvement
Resource Conservation
Pollution Prevention
Etc.
Source: Modified from CSAZ762-95
Environmental Impacts
Resource depletion
Impacts on global warming, acidification, biodiversity,
long-range transport of pollutants, etc.
Human health impacts
Local air, water and soil contamination
ties environmental issues directly to the
core business activity of a company;
allows a company to identify where it can
get the best return on investment for its
environmental expenditure; and
enables environmental issues to become a
means to reduce costs, maintain market
access, gain competitive advantage, enhance
brand image and increase revenues.
Figure D2 illustrates the different types of design
considerations relevant to each stage in a typical
product's life cycle and lists possible design
objectives relevant to preventing the
environmental impacts associated with each
stage. Stages 2 to 5 focus on reducing the
pollution associated with producing and
distributing products. Information on practices
for preventing pollution during these stages can
be found in Appendices E, "Equipment
Modifications and Process Changes"; F,
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"Materials and Feedstock Substitution"; G,
"Operating Efficiencies and Training"; H,
"Purchasing Techniques and Inventory
Management" and I, "On-Site Reuse and
Recycling."
The remainder of this appendix focuses on
extending product design considerations
both upstream of the production phase (life
cycle stage 1 of Figure D2) and downstream
of the distribution phase (life cycle stages 6
to 8 of Figure D2).
Upstream Considerations:
Emphasizing Functional
Optimization in New Concept
Development
A product can be designed only once its
functional objectives have been established.
One of the key insights with respect to DfE is
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Figure D2: DfE Opportunities Throughout the Product Life Cycle
8. Optimize end-of-life:
Reusability
Remanufacturability
Recyclability (recovery and
disassembly)
Safe disposal (degradable,
clean incineration, etc.)
7.Optimize initial lifetime by
designing for:
Adaptability and upgradeability
Reliability and durability
Ease of maintenance and repair
6. Reduce impact at user stage:
Low energy consumption and waste
Clean energy source
Low water consumption and waste
Low material use and waste
Low emissions
1. New concept development:
Functional optimization
of product
Shared use of product
Integration of functions
5. Design for efficient and
clean distribution:
Minimize packaging
Low-impact packaging
Low-impact transport
2. Select low-impact materials:
Non-hazardous materials
Non-exhaustible materials
Low energy content materials
Recycled materials
Recyclable materials
Industrial ecology
3. Reduce materials:
Reduce weight
Reduce (transportation) volume
4. Design for clean production:
Low and clean energy consumption
Low generation of waste
Few and clean production inputs
Source: Adapted from the Life Cycle Design Strategy (LiDS) Wheel developed by the Netherlands' PROMISE project.
that environmental and functionality objectives
can often be met by rethinking the functions
customers want from products and redefining
those needs in ways that have less
environmental impact. This entails a shift in
thinking, from what nuts and bolts to provide
to the customer to what service or benefit
the customer actually wants. In addition to
encouraging designers to step back from
their traditional design focus, this concept has
prompted a growing number of companies to
maintain ownership of their products and sell
product services instead. Examples include
companies that provide elevator services,
washing machine services and flooring services.
This shift has created external incentives to
compete on the basis of service and internal
incentives to enhance the durability,
serviceability, ease of upgrading and ease of
disposal of products provided to customers.
Downstream Impacts: The User
Stage and After
Design for Minimal Impact at the User Stage
Some products create significant environmental
impacts while being used. For products such as
motor vehicles, some of the most important
pollution prevention opportunities can result
from designs that reduce energy and resource
use requirements and that minimize emissions
during the user stage.
Optimize Initial Lifetime
The initial lifetime of a product can be optimized
by designing the product to be reliable, durable,
adaptable and serviceable.
Reliability
Reliability is a major aspect of quality. Unreliable
products or processes, even if they are durable,
are often quickly retired. Reliability should be
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designed into products, rather than achieved
through later inspection. Screening out
potentially unreliable products or components
after they are made is wasteful because such
products and components must either be
repaired or discarded.
Durability
Some design options may make a product more
durable without the use of additional resources.
In other cases, however, enhanced durability may
require increased resource use. In these cases,
a trade-off will be required between the benefits
of increased product life and an increase in
resource use. Similarly, it is important to design
a product or component that does not last longer
than its expected useful life in the marketplace.
For example, products based on rapidly changing
technology may not be good candidates for
enhanced durability.
Adaptability and Ease of Upgrading
Adaptable designs either allow continual
updating or perform several different functions.
Modular components allow single-function
products to evolve and improve as needed.
For components to be interchangeable, their
dimensions and tolerances must be carefully
controlled. To have a significant environmental
benefit, upgrading must retain a sufficient
portion of the original product after obsolete
parts are replaced.
Serviceability
Design efforts to enhance serviceability will
work best if efforts are also made to ensure that
potential users have access to the necessary
skills, tools and parts. The development and use
of standardized parts can make products easier
to repair and therefore extend their life.
Optimize End-of-Life
The environmental impacts associated
with a product at the end of its intended
life can be reduced by designing for reuse,
remanufacturing, recycling or safe disposal.
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Interface Flooring Systems (Canada) Inc.
in Belleville, Ontario, reduced the weight
of the backing on its nylon carpet tiles.
The result was a better product as well as
environmental benefits. By having less
material in the backing, the product
achieved better smoke and flame ratings
and improved quality performance. The
production process also uses less fuel
(plasticizers and polymers), resulting
in lower emissions of volatile organic
compounds (VOCs). Furthermore, by
reducing the amount of material in the
carpet backing, Interface was able to
decrease the amount of heat required to
laminate the face and backing, which also
led to energy savings and an improved
product. The overall environmental benefits
of this product reformulation included a
reduction in raw material and energy use as
well as a reduction in solid waste and VOC
emissions. This reformulation also provided
economic benefits by improving product
quality and performance, reducing material
and energy costs, improving operating
revenues, and reducing solid waste and
disposal costs.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=42
Design for Reuse
In many cases, designing a product to be
reusable can significantly lower the pollution
associated with its overall life cycle. Where the
main environmental impact comes from the
product's manufacture, reuse will lower its
overall life cycle impacts. Where significant
environmental impacts are associated with its
distribution, collection and cleaning, however,
designing for reusability may have little or
even negative overall environmental impacts.
Design for Remanufacturing
Remanufacturing is the restoration of used
products or components to a condition with
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performance characteristics approximating
those of a new product. It extends product life
and promotes the reuse of components and
materials. It can enhance the value of the
original product by giving it value after the end
of its initial life. Industrial equipment or other
expensive products not subject to rapid change
are the best candidates for remanufacture. For
example, remanufacturing is widely used in the
automotive and industrial equipment sectors.
The following factors are relevant to its
applicability:
The product intended for remanufacture
should be:
- mature (not undergoing rapid change in
design or materials);
- standardized and made with
interchangeable parts; and
- easily disassembled.
Component parts must be capable of repair
and refurbishment to enable the final
remanufactured product to replicate the
original performance.
The end-of-life product must have a "core"
that retains sufficient value to justify
remanufacture.
There should be a sufficient population of
old units (cores) with an available (or easily
established) trade-in network and storage
and inventory infrastructure.
Design for Recycling
Design for recycling comprises two streams:
recovery and disassembly.
Design for recovery exploits existing
technology for material recovery such as
scrap metal shredding. Design features that
can improve recovery include:
- using easily recycled materials;
- avoiding self-contaminating combinations
of materials (e.g., copper contamination
of steel can reduce the recovery value of
steel); and
- eliminating or avoiding toxic substances
that may not be accepted for shredding
(e.g., cadmium, asbestos, mercury).
In order to allow for the efficient separation
of materials following the end of a product's
initial life, the following principles should be
considered:
Minimize material variety and use
compatible materials.
Consolidate parts and minimize the
number of components.
Reduce the number of assembly
operations.
Identify separation points between parts.
Mark materials.
Mould recycling codes into plastic to
streamline disassembly.
Use water-soluble adhesives, where
possible.
Ensure that separation at break points
cannot occur inadvertently.
Avoid metal contamination of plastics.
Avoid composite materials such as
fibreglass.
Eliminate or avoid toxic materials and
other hazardous substances.
Use snap fittings and simplify and
standardize component fits and
interfaces.
Use the material required; avoid over-
specifying materials.
Use colorants sparingly and allow for
easy separation of differently coloured
plastics.
Avoid secondary coatings, finishes and
platings.
Provide information on recyclability to
the end user.
Design with the recovery system in mine
Design for disassembly enables the
recycling of almost all materials (including
plastics) in a product through its disassembly
into basic components. Materials other than
metals can be recovered only through
disassembly, which keeps them free from
contamination and therefore retains their
original properties.
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Figure D3: Conceptual DfE Requirements Matrix
Cultural
Cost
Performance
Environment
Process:
input
output
Distribution:
input
output
Management:
input
output
Raw Material
Acquisition
Manufacturing
and Filing
Distribution
Use & Reuse
Disposal
Design for Safe Disposal
Finally, product design should ensure that
the materials used in a product can be safely
disposed of, where they cannot be reused or
recycled. Relevant considerations include,
for example, specifying materials that are
degradable or that can be incinerated cleanly.
Implementing DfE Through a
Requirements Matrix
There are several tools available to support DfE.
One useful approach, known as a requirements
matrix, helps the design team establish the
requirements for the design of a product.
It allows the presentation, assessment
and comparison of several requirements
simultaneously. A typical requirements matrix
(see Figure D3) includes analysis of the
environmental, performance, cost, cultural
and legal requirements of the product system.
The inputs and outputs associated with each
component of the product system (i.e., the
product, production process, distribution system
and management system) are discussed and
then evaluated by the design team.
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As an example, the following type of information
could be relevant for completing a DfE
requirements matrix for the development of
a new car:
The environmental requirements of a
car could include improved worker health
and safety considerations during production,
limited use of non-renewable resources
in the car's manufacture, and ease of
disassembly and recycling at the end of
its life.
The performance requirements define
the function of the product in question and,
in this case, could include fuel efficiency,
tolerance to collision, passenger and storage
capacity and rough-road driving capabilities.
Cost considerations could include the
customer purchase price of the car, cost of
servicing and maintaining the vehicle, as
well as the cost of appropriate disposal.
Cultural considerations of the car could
include size, shape and colour, depending
upon where and when the vehicle is being
marketed and sold.
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Finally, relevant legal requirements could
include factors such as emissions standards,
safety features and end-of-life disposal.
Reformulating an Existing
Product for Pollution Prevention
The concepts described above for initial product
design can also be applied to redesign and
reformulate existing products to prevent
pollution associated with their production, use
and disposal. This need not entail a complete
redesign of the product. Simply changing one
or more product specification or component can
accomplish a great deal. One spectacular success
in this area was the reformulation of laundry
detergents to remove the phosphates that were
responsible for the eutrophication of many lakes
until the 1970s. Another example is the removal
of mercury from many products like fluorescent
light ballasts and household thermostats. In
both cases, products were reformulated to
significantly reduce pollution while retaining
the full functionality of the original product.
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References and Resources
For more information about pollution
prevention and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Freeman, Harry, 1995. Industrial Pollution
Prevention Handbook, McGraw-Hill
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For more information about DfE:
The Industrial Research Assistance Program
(IRAP) of the National Research Council of
Canada:
IRAP has designed a succinct guide to DfE
that has been adapted for inclusion on
their DfE Internet site. This site uses
information retrieval software developed
by the Canada Institute for Scientific and
Technical Information that links users
to numerous DfE references and source
materials: www.nrc.ca/dfe
IRAP is also training its industrial technology
advisors to help small and medium sized
businesses develop more strategic and
environmentally responsible initiatives by
relying on IRAP's DfE guide and website:
www.nrc.ca/irap
The National Research Council's main
website: www.nrc.ca
The U.S. Environmental Protection Agency's
Office of Pollution Prevention and Toxics
runs a "Design for Environment" program.
The DfE program website provides
information about various DfE assessment
tools as well as links to other resources:
www. epa.gov/oppti ntr/dfe
The U.S. Environmental Protection Agency's
DfE program website introduces the
Cleaner Technologies Substitutes Assessment
(CTSA): A Methodology and Resource Guide
(EPA744-R-95-002). The CTSA approach
facilitates comparisons of the risk, cost
and performance of alternative products,
processes and technologies. It relies on the
Use Clusters Scoring System (UCSS) to
identify and analyze groups of chemicals
for various tasks with respect to human
health, environment and safety risks:
www.epa.gov/opptintr/dfe/tools/ctsa/contents.htm
The U.S. Department of Energy's "Sustainable
Design" website contains useful information
and tools: www.pnl.gov/doesustainabledesign
Design for Recyclability, GE Plastics, Worldwide
Headquarters, One Plastics Avenue, Pittsfield,
MA 011201, U.S.A.
Design for Recyclability, Michael Henstock, The
Institute of Metals, Carlton House Terrace,
London SW1YSDB, U.K.
CSA Z762-95 Design for the Environment,
Canadian Standards Association, 178 Rexdale
Blvd., Etobicoke, Ontario, M9W 1R3
EcoRedesign Newsletter, Centre for Design,
Royal Melbourne Institute of Technology:
www.cfd.rmit.edu.au
Centre for Sustainable DesignX/our/za/ of
Sustainable Design: www.cfsd.org.uk
United Nations Environment Program: Working
Group on Sustainable Product Development:
http://unep.frw.uva.nl
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For more information on life cycle
assessment-
Environmental Life Cycle Management: A Guide
to Better Business Decisions. Environment
Canada, 1997 (For an overview of the Guide,
see www.ec.gc.ca/ecocycle/english/
lcmguide.html
Various free LCA software tools available on the
Internet, including:
The U.S. National Institute of Standards and
Technology's LCA decision-support software
for buildings called Buildings for
Environmental and Economic Sustainability:
www.bfrl.nist.gov/oae/software/bees.html
Carnegie Mellon University Green Design
Initiative's Economic Input-Output Lifecycle
Assessment (EIOLCA) software:
www.eiolca.net
In the fall of 2000, the U.S. Environmental
Protection Agency will open LCAccess, a free,
web-based searchable directory of life cycle
inventory data:
www.epa.gov/ord/nrmrl/std/sab/lca_access.htm
The ISO 14040 series of guidance documents.
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Product Design Pollution
Life Cycle Stage
Prevention Checklist
Relevant Considerations
Ensure design flows from Focus on function?
clear understanding of desired Evaluate past?
function Learn from mistakes?
Identify opportunities for improvement?
Ensure appropriate material
selection
Ensure clean production
Ensure efficient and clean
distribution and packaging
Minimize impacts at user
stage
Optimize initial lifetime
Optimize end-of-life
Low-impact materials?
Minimize materials?
Energy-efficient production?
Material-efficient production?
Low-waste production?
Minimize need to release toxics and other harmful
substances during production?
Design for efficient and clean distribution?
Minimize packaging?
Specify clean packaging?
Low energy consumption?
Reliance on clean energy?
Low water consumption and waste?
Low material use?
Low waste generation?
Low emissions?
Reliable?
Durable?
Adaptable and upgradeable?
Serviceable?
Reuseable?
Remanufacturable?
Recyclable?
Recoverable?
Ability to be disassembled?
Safely disposable?
/
Reformulate existing product for continuous improvement
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Appendix E: Equipment Modifications and
Process Changes
Introduction
Most processing and manufacturing companies
are engaged in continuous efforts to enhance
efficiency or improve quality through
modifications to their equipment and processes.
This information sheet outlines various ways to
ensure that such modifications and changes also
contribute to pollution prevention. In addition, it
provides examples and presents a checklist to
help implement these practices.
Pollution prevention is "the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to the environment and human health"
(Canadian Environmental Protection Act, 1999}.
Pollution prevention is at the top of a hierarchy
of environmental protection methods that also
include off-site reuse and recycling, pollution
control or treatment, disposal/destruction,
remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risks while improving
a business's bottom line.
In operating production or processing systems,
the aim is typically to optimize the system in
terms of production efficiency and end-product
quality. However, it is often the case that
production systems operate in a manner that
wastes energy or generates unnecessary toxic
or other non-product outputs (wastes). By
modifying equipment or production processes,
much can be done to reduce, prevent or even
eliminate pollution. Such changes can often
increase profits, enhance production efficiency
and reduce permitting, storage, waste disposal
and recycling costs.
5
Id-
Interface Flooring Systems (Canada) Inc.
in Belleville, Ontario, modified its
manufacturing process for nylon carpet tile
to eliminate the conventional printing
process. Rather than being printed, designs
are now incorporated into the carpet at the
tufting stage itself. The print line and its
associated pollution control equipment were
eliminated, as were charges to the customer
for printing. Energy is no longer needed for
steaming and drying. Water is no longer
required for carpet washing, and wash
effluent has been eliminated. The company
also replaced its cooling tower with a second-
hand chiller unit. Environmental benefits
include zero process effluent; a reduction
in water use of 430 m3 a month; the
elimination of heavy metals from the
production process; and reductions in
energy consumption of 35% and atmospheric
emissions of 38%. Economic benefits include
savings of $8,000 a month ($96,000 a year)
in water and sewer charges; a 35% reduction
in energy costs (peak load charges were
reduced by over 30%); a 6% reduction in
raw material use; a reduction in off-quality
product; and an increase in operating
revenues.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=43
Implementing Equipment
Modifications and Process
Changes
Most businesses and industries can make
equipment modifications or process changes to
improve pollution prevention. Depending on the
organization, specific prevention opportunities
may focus on issues related to chemicals, metals,
safety, water or energy. Home offices and office
buildings may make use of only water and energy
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POLLUTION PREVENTION PLANNING HANDBOOK
Table E1: Equipment Modification and Process Change
Conventional Replacement Coating
Technology Technology Removal
Performance
Opportunities to Reduce Pollution from Metals Stripping
Operating Relative Relative Environmental
Simplicity Capital Operating Health and
Costs Costs Safety Risk
Abrasive blasting;
Chlorinated
substances
Abrasive
blasting;
Grinding;
Chlorinated
substances
Abrasive blasting;
Chlorinated
substances
Blasting
substitutes
High-pressure
water
Organic
solvents
Same
Same/Less
Better
Better
Better
Better
Same/Less
Same
Better
Same
Better
Same
Better
Same
Same
Less
More
More
More
Less
Same
Same
Less
Same
Same
Less
Less
Same/Less
Same/Less
Less
Less
Less
Less
Same/Less
Less
audits, while laboratories, manufacturing plants
and petroleum refineries may apply any number
of pollution prevention practices to identify and
implement economical pollution prevention
measures.
Chemicals
The metal fabrication industry typically supplies
the automotive, defence, electronics, appliance
and furniture industries with a broad range of
components. The production processes
associated with this industry are varied, and
involve the use of numerous chemical
compounds. In an assessment of 2,900 facilities
in the metal fabrication industry in the United
States, for example, some 195 million pounds (88
million kg) of chemicals were registered, falling
into over 100 chemical groups (Freeman, 1995).
There are five common processing operations
in the metal products industry that can be
identified as major sources of pollution
generation and discharge: stripping, painting,
cleaning, inorganic surface treatment, and
inorganic surface finishing. Stripping, painting
and cleaning are important sources of volatile
organic compounds (VOCs) and ozone-depleting
substances (ODSs), while inorganic surface
treatment and surface finishing are sources of
acids and metals.
Stripping and cleaning traditionally involve
the use of abrasive blasting technologies to
physically remove paints and other organic
coatings from metal surfaces. Another method of
stripping and painting entails the use of
chemicals and solvents to soften coatings before
they are removed from a surface mechanically.
Due to the types of chemical and, in particular,
solvents used in these processes, high levels of
VOCs, ODSs, and solid and liquid wastes are
generated. In addition, explosions and fire
hazards are often associated with these
materials.
Prioi
E-2
'rior to 1988, one of Nortel Networks'
manufacturing processes used a CFC-113
based solvent to clean excess flux from the
soldering process. Upon examination of
alternatives for replacing the solvent, a
"no clean" system was developed, which
eliminated the cleaning step entirely. By
the end of 1991, all Nortel facilities involved
in the program had eliminated the use of
CFC-113 solvents. Seven other facilities
eliminated the use of CFC-113 solvents by
mid-1992. Between 1988 and 1991, Nortel
reduced its use of CFC-113 by 1 million
kilograms for a savings of $4 million, with a
development investment of $1 million.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=50
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POLLUTION PREVENTION PLANNING HANDBOOK
Using the latest distillation technology to
capture and recycle on-site all cleaning
solvents, King Metal Fabricators Ltd. of Nova
Scotia reduced by 95%, the amount of solvent
purchased and disposed of as a hazardous
waste, resulting in a savings of
approximately $16,000 a year. The company
also installed a "self-recycling" blast booth
that uses steel shot and grit as the blast
medium, in place of sand. Shot can be used
up to 200 times, whereas sand can be used
only twice. The booth recycles the shot
automatically by collecting, cleaning and
returning it to the blast pot, eliminating the
generation of waste sand from the blasting
process. The finishing operation now takes
50% less time, saving approximately $12,000
a year in labour costs.
There are, however, several equipment
modifications and process changes that reduce
or eliminate the need for toxic compounds and,
at the same time, reduce operational costs and
worker heath and safety risks. Table El
summarizes these opportunities for paint
stripping.
Metals
The electroplating industry deals with the
manufacture of strategic and consumer products,
including printed circuit boards and automotive
parts. Electroplating utilizes a wide range of
chemicals, depending upon the types of metals
processed for electroplating and the types of
metallic coating being applied. In addition,
compounds containing heavy metals are often
used in the plating process. These are of
considerable environmental concern.
For this sector, pollution prevention alternatives
through equipment modification and process
change options include the addition of
electrolytic recovery and ion exchange
technologies to existing systems. Electrolytic
recovery, for instance, is a technology that uses
special electroplating equipment to lower the
concentration of dissolved metals in drag-out
rinses and concentrated rinse tanks. Benefits of
this technology include reduced generation of
sludge, some electrolyte destruction of cyanide,
and reuse or sale of scrap metal plated out.
Plouffe Park, a 31,258 m2 federal government
building, used 20,400 m3 of water at a cost of
$18,779 in 1998. In 1999, a water audit was
performed for approximately $5,000. The
resulting simple equipment modifications
(e.g., motion-detected flushing urinals in
place of continuous flush urinals) have
reduced water consumption by 40%, saving
$7,000 per year.
Source: From the experiences of Jacques Whitford
Environment Ltd.
Water
Water management strategies to promote
pollution prevention include water and
wastewater flow reduction; recycling; by-product
recovery; and water reuse. Water usage can be
minimized through practices such as:
using high-pressure hoses or spray rinses
instead of dip tanks;
replacing water curtain spray paint booths
with an electrostatic painting system;
replacing a water-cooled heat exchange
system with an air-cooled system;
replacing a cooling tower with a refrigerant-
based cooling system; and
replacing a wet scrubber with a bag house.
Where changes in operations are concerned,
practices to reduce water wastage can be
grouped into three main objectives: optimize
equipment cleaning operations; maximize the
effective life of production water; and optimize
water usage. Table E2 illustrates examples of
operational changes toward each of these
objectives.
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POLLUTION PREVENTION PLANNING HANDBOOK
Table E2: Operational Changes for Reducing Water Wastage
Objective Examples of Operational Changes
Optimize equipment
cleaning
Maximize effective life
of production water
Use mechanical cleaning devices, such as rubber wipers, prior to cleaning
components with water
Use high-pressure spray heads to increase cleaning efficiency and reduce the
amount of water required to remove wastes or dirt
Line tanks with non-stick materials such as Teflon to reduce adhesion and
increase drainage
Use countercurrent rinsing cycles
Co-ordinate cleaning schedules
Use plastic or foam "pigs" to clean pipes
Use countercurrent rinsing
Use de-ionized make-up water in rinse tank applications
Optimize water usage
Improve seals on pumps, pipes and valves
Use automatic flow control equipment
Use water level controls and splash guards
Place lids or silhouettes on tanks
Replace once-through cooling systems with closed-loop systems
The economic and environmental benefits of
reducing water use can be significant. Payback
periods are usually quick and the savings are
often substantial, with low costs for employee
training and maintenance.
Safety Assessment
The economic benefits from equipment
modifications and process changes undertaken
as a result of safety assessments cannot be
calculated as easily as in other areas. These
changes are often driven by liability and public
image incentives (lessening the risk to people
and/or the environment), rather than for
monetary reasons. However, lost time at work
resulting from employee injuries or illness,
and savings from any fines resulting from
non-compliance disposal may sometimes be
monitored. This approach will typically apply
more to larger manufacturing facilities and
refineries than to office buildings.
Energy
Many technologies are available to enable a plant
to use energy more efficiently, leading to a direct
reduction in emissions. Typically, plant and
process heating relies on steam boilers operating
at efficiencies between 75% and 85%. In many
E-4
cases, proven technologies can improve this
efficiency to over 95%. Heat energy (both latent
and sensible) leaving with stack gases is
the primary heat loss in boiler processes.
By recovering and applying this waste heat, a
typical natural gas boiler can improve its
efficiency by 10% to 15%, reducing annual
carbon dioxide, nitrogen oxides and other
emissions by the same amount. These
technologies can also be applied to humid
process exhausts to similar or greater effect.
Over-filling of storage vessels often leads to
spills of hazardous materials and expensive
clean-up. After this problem was reviewed at a
federal heating plant facility, a fillpipe cabinet
was purchased and installed. This device has
an alarm whistle, an overflow alarm light and
a locking mechanism that a plant employee
must unlock and supervise during refuelling.
Costing only $2,000, this simple modification
ensures that correct fuelling procedures are
followed and protects against costly and
environmentally damaging spills.
Source: www.on.ec.gc.ca/epb/fpd/en/epw/epsw04.html
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POLLUTION PREVENTION PLANNING HANDBOOK
Key Steps to Implementing
Equipment Modifications and
Process Changes
The largest barrier to implementing equipment
modifications and process changes for pollution
prevention is often the capital investment
required, especially with the larger processes.
A thorough review at the beginning of the
process is important to ensure that all options
are investigated and compared on a "level
playing field." All costs and benefits should be
quantified. As with any significant change to
equipment or processes, an implementation
and monitoring plan will help ensure that any
changes made are implemented as effectively as
possible, and that any problems that arise are
identified and addressed as quickly as possible.
Baseline Review
The first step in considering possible equipment
modifications and process changes for pollution
prevention is to perform a baseline review of the
environmental aspects of the product system.
Before undertaking this review, it is necessary to
define the system boundary to be considered. In
most instances the system boundary will, at a
minimum, encompass the manufacturing stage.
Kraft Canada uses steam for pre-cooking
and a natural gas fuelled steam boiler for
heating. Following an energy audit, Kraft
developed a system to recover heat from the
hot and humid process exhausts using a
condensing heat recovery unit. An identical
system was installed on a natural gas boiler
exhaust to recover heat for use in plant
space heating. These changes resulted in
annual savings of over $350,000 and a 15%
reduction in boiler plant and process air
emissions. The payback period for the initial
investment of $1.5 million was 4.3 years.
Source: From the experiences of Jacques Whitford
Environment Ltd.
A baseline review may be relatively simple, in
which case basic process and material flow
diagrams are often sufficient. However, if the
initial analysis suggests modifications to major
pieces of equipment, or changes to substantial
aspects of a process within a facility or company-
wide, then the review will likely be longer and
more complex.
All reviews (regardless of their size) follow a
sequence similar to that described in the section
"How to Prepare a Pollution Prevention Plan"
and in Appendix B, "Key Elements of a Baseline
Review," including:
Perform a thorough evaluation of all material
flow inputs and outputs in the system (for
example, the input for a water audit could
often be determined from a water bill, while
the outputs could be determined from meters,
applicable records, employee interviews, and
evaluation and estimation of the process(es)
and employee/public use of the facility's
water).
Gather data and estimate amounts for the
input and output streams.
Refine any estimates so that the sum of all
inputs equals the sum of all outputs.
Determine the large consumers of materials,
energy, water, etc.
Option Selection
Once the baseline review has been completed,
a series of equipment modification or process
change options should be developed. In most
cases, the selection of options will be dictated
largely by the economic impact of the change,
and therefore all hidden costs should be
considered and revisited while planning for
implementation. Other cost areas that should
be considered in the overall comparison of the
options include:
site preparation;
installation and testing;
employee training;
operation of new equipment/procedures;
tracking of employee acceptance, and of
economic and environmental benefits;
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POLLUTION PREVENTION PLANNING HANDBOOK
waste handling and treatment costs;
disposal fees;
revision/modification of any outstanding
issues; and
regular maintenance.
Employee Involvement and Training
It is important to solicit comments prior to and
upon completion of the implementation of any
equipment modifications and process changes.
Employee training should also be provided,
where needed. This can introduce valuable new
insights and ideas, and ensure a high level of
acceptance and speed of implementation, saving
time and money if modifications need to be
performed.
Monitoring
As with other prevention practices, equipment
modifications or process changes require
specific performance indicators to enable the
company to monitor the implementation and
progress of these changes. These indicators
should link back to the initial inventory of inputs
and outputs. However, since other activities
may also have been implemented, there will be
a need for indicators specific to the equipment
or process change. This can be accomplished by
scaling down the boundaries of the materials
flow analysis to that piece of equipment, keeping
in mind that this flow data should also be
collected prior to the equipment or process
changes made. Progress should be reviewed
regularly to examine the root cause of any
deviations from the action plan or failure to
achieve targets or milestones and to determine
what corrective action, if any, should be taken.
All employees should receive regular progress
reports to reinforce the importance of their
efforts.
E-6
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POLLUTION PREVENTION PLANNING HANDBOOK
References and Resources
For more information on pollution prevention
and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Canadian Centre for Pollution Prevention:
www.c2p2online.com
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For more information on equipment
modifications and process changes for
pollution prevention:
Environment Canada, Ontario Region, Federal
Programs Division, Environmental Protection
Branch, Pollution Prevention Fact Sheet:
www.on.ec.gc.ca/pollution/fpd/fsheets/
intro-e.html
Freeman, Harry. 1995. Industrial Pollution
Prevention Handbook. McGraw-Hill
Higgins, Thomas E. 1995. Pollution Prevention
Handbook. CRC Press Inc.
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POLLUTION PREVENTION PLANNING HANDBOOK
Checklist for Equipment Modifications and Process Changes
Task
Assign overall responsibility for equipment modifications
and process changes to a management representative
Establish a cross-functional team
Map out material flows and process steps
For each process step, identify:
what happens, including cleaning and maintenance
type, quantity and cost of inputs
material and energy losses and waste generated
how each non-product output is disposed of and
disposal costs
Identify, evaluate and, where appropriate, select
equipment modifications and process changes:
assess impacts on all aspects of the operation
account for pollution that may result from
decommissioning equipment or moving materials
as a result of proposed changes
Establish performance targets
Develop implementation plan
Provide staff training
Develop performance indicators to measure the
success of specific measures and monitor progress
toward targets
Establish a formal review mechanism to:
evaluate the success of measures taken
identify new measures
provide feedback from the review to all employees
Responsibility
Completion
Date
E-9
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POLLUTION PREVENTION PLANNING HANDBOOK
Appendix F: Materials and Feedstock
Substitution
Introduction
This information sheet describes the important
contribution materials and feedstock substitution
can make to pollution prevention. It reviews key
steps for implementing this practice, presents
examples illustrating how materials substitution
has benefited various organizations and provides
a checklist for supporting its implementation.
Pollution prevention is "the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to the environment and human health"
(Canadian Environmental Protection Act, 1999~).
Pollution prevention is at the top of a hierarchy
of environmental protection methods that
also include off-site reuse and recycling,
pollution control or treatment, disposal/
destruction, remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risks while improving
a business's bottom line.
Materials and feedstock substitution entails
replacing polluting materials used in the
production process or embedded within a product
with non-polluting or less polluting materials and
feedstock. Materials substitution aims to
decrease or eliminate the quantity of toxic,
hazardous or polluting materials used, thereby
lowering the risks of harmful exposures to
workers, consumers, communities and the
environment.
fhe
he
Materials substitution can have both
upstream and downstream benefits. The
amendments to the Clean Air Act in the
United States in 1990 called for reductions in
volatile organic compounds (VOCs). Printing
ink manufacturers fell under these new
guidelines because petroleum-based inks
contain 30% to 35% VOCs. This has resulted
in a growing trend to use soybean oil based
inks. These inks range from 2% to 5% VOCs
and tend to perform better than petroleum
inks, resulting in brighter colours and
producing more impressions than the
same amount of petroleum ink. Soy inks
can also be removed from paper more
easily, requiring less harsh chemicals in
the recycling process.
There are different types of substitution
approaches:
Feedstock substitutions use an alternative
feedstock to produce a substance. Although
this substitution will not reduce the pollution
created during the manufacturing or disposal
stages, it can reduce the pollution from
preparing the feedstock. For example, raising
crops and converting them into fuel may
create less pollution than that generated by
extracting and processing crude oil into
petrochemicals.
Product substitution, by comparison,
replaces an entire product with a less
polluting one. New plastics made of starch
that decomposes completely in water and
compost piles can significantly reduce
problems associated with petroleum-based
plastics, for example.
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POLLUTION PREVENTION PLANNING HANDBOOK
An automotive company, Textron, based in
Port Hope, Ontario, replaced the use of
methylene chloride and realized a 68%
reduction of VOCs over five years. This
resulted in cost savings of approximately
$400,000 per year from not purchasing the
chemical, and $124,000 to $300,000 per year
from not disposing of the hazardous
materials.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=62
Opportunities for the application of materials
substitution are broad and can include painting
applications, parts cleaning, metal finishing,
printing operations, building and grounds
maintenance.
In some cases, regulatory pressures are the
impetus to develop and use new materials and
feedstock. In many cases, however, material and
feedstock substitution can be justified on
economic grounds. The elimination of toxic
substances and other hazardous materials can
significantly reduce the costs involved in their
use, handling and disposal. These costs can
include:
engineering controls to minimize releases;
regulatory reporting requirements;
worker training;
storage requirements; and
disposal restrictions.
Other benefits can include improved worker
health and safety. For example, a Chrysler
Canada facility achieved a 10% reduction in lost
time due to medical treatment injuries or other
incidents when it changed from glue containing
organic solvents to water-based glue.
0
Materials^ubstitution
ies for
Establishing Responsibility
There should be a manager responsible for
supervising any materials substitution decisions
and actions. In addition, a cross-functional team
of people using and handling the materials in
question is critical to effectively evaluating the
benefit of materials and feedstock substitution.
Involving individuals who play a role at different
stages of the production process brings unique
insight to the potential for pollution prevention
throughout the life cycle of the material. In some
cases, it may also be appropriate to involve
specific suppliers.
Baseline Review
The materials substitution team should:
identify and inventory products containing
hazardous materials used within the facility;
identify specific processes that use the
hazardous materials and/or generate
hazardous waste; and
identify and inventory emissions, effluents
and hazardous waste streams at the facility.
This information will help establish a material
flow profile for the organization, and will assist
in the establishment of objectives and targets.
This review is similar to reviews required for
other pollution prevention practices and, ideally,
should be combined with them.'
Sources to collect the above information can
include:
product composition sheets;
material safety data sheets (MSDS);2
inventory records;
data logs;
production schedules;
1 For more information on conducting a baseline review to identify pollution prevention opportunities, please refer to
Appendix B, "Key Elements of a Baseline Review."
2 MSDS provide detailed information about the physical properties, toxicity, personnel protection required, and other
safety precautions and waste disposal needs for specific materials. Contact the manufacturer of the material to obtain
an MSDS.
F-2
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POLLUTION PREVENTION PLANNING HANDBOOK
waste manifest documents; and
environmental audit results.
Life Cycle Assessment
Life cycle assessment (LCA) is a tool to evaluate
the environmental consequences of a product or
activity across its entire life. Although the
pollutants and wastes from the use and release
of substances are often the focus of pollution
prevention, in some cases more pollution can
result from the extraction and conversion stages
of actually "making" the polluting substance in
question. LCA can help evaluate options to
ensure that materials substitution does not just
shift environmental and financial impacts to
another stage along the life cycle. For example,
switching to an aqueous-based solvent may
decrease toxic emissions, but such a switch must
also be evaluated to determine whether the new
system increases overall energy use (and the
associated releases from power generation),
or results in other types of releases during
manufacture, etc.
Planning
Setting Objectives and Targets
Once the material flows are determined, the
team should set objectives and targets
prioritizing action on inputs and waste streams.
Objectives are the overall goals the organization
sets with regard to pollution prevention, and
targets are the specific, measurable, achievable,
time-bound performance requirements it sets to
achieve its objectives. An example of an objective
could be to reduce or eliminate the use of an
input or the release of a particular pollutant, and
the target could be achieving a 30% reduction
compared to the previous year.
Identification of Substitutes
Based on the objectives and targets, the
materials substitution team will then need to
identify applications in which toxic or polluting
materials can be substituted with alternatives
that are environmentally benign or less
hazardous.
logen Corporation, in co-operation
with Petro-Canada, is developing and
demonstrating a cost-effective process for
the production of ethanol from biomass.
Using a micro-organism's enzymes as the
starting point, the process will turn straw,
grasses, corncobs and corn stalks into a
clean-burning ethanol fuel. With logen's
technology, every litre of ethanol substituted
for gasoline will reduce carbon dioxide
emissions by more than 90% compared to
gasoline. Blending 10% ethanol into all of
Canada's gasoline by 2010 would result in a
decrease of 10 megatonnes of carbon dioxide
emissions per year. In addition to the
environmental benefits, biomass-based
ethanol provides farmers with an opportunity
to turn residual material into a cash crop.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=6
Finding the correct substitute requires a
thorough study of the available alternatives.
Investigate a number of alternatives by
contacting different suppliers and other
businesses, in order to determine what is best
suited to the specific application. For example, if
an organization is trying to identify a substitute
for an undesirable cleaning solvent currently in
use, the following types of questions need to be
asked:
Why is cleaning necessary?
What is the soil?
How much soil can be tolerated?
Can prior processes be changed to prevent
soiling?
Can subsequent processes be changed to
tolerate soil?
When a substitute is identified, other questions
need to be asked:
Is the substitute regulated?
Is it subject to any significant non-regulatory
toxics reduction or pollution prevention (P2)
program?
Is it of concern to any customers?
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POLLUTION PREVENTION PLANNING HANDBOOK
Does it require special disposal as a
hazardous waste?
Evaluation
Various criteria can be used to compare options.
Example criteria include:
Waste reduction potential
Reduction in toxicity
Space requirements
Employee health and safety
Modifications of processes
Cost
Impact on operations
Community acceptance
Human resource
Consistency with requirements other
environmental programs
Permit requirements
Proven techniques
Testing
Based on a careful review of the collected
information, the team will make
recommendations on which substitutions to test.
In accordance with basic procedures in most
companies, testing is essential to ensure that
any materials substitution does not cause more
serious problems. A test procedure will need to
be developed and performed on the substitution
being considered. The results of the test will
then have to be evaluated and statistically
analyzed.
Supply Chain Management
One of the key barriers to materials and
feedstock substitution is the tendency of many
companies to use product specifications that
dictate certain materials regardless of their
environmental impacts. Organizations can
attempt to overcome this barrier by working
closely with suppliers and customers and
communicating the organization's commitment
to pollution prevention.
Involving and Training Staff
Staff may require training in the use and
handling of new materials or feedstock. Standard
operating procedures may also need to be
updated, documented and distributed to the
appropriate employees. Staff should be consulted
on the reason for the change. Providing
employees with the logic behind P2 changes
encourages their positive involvement in the
process of continual improvement. Many
organizations establish incentive programs to
encourage staff to develop the means to prevent
hazardous and toxic emissions, and reduce costs.
Monitoring
Verifiable, reproducible and cost-effective
environmental performance indicators should
be established by the team and used to
measure continual improvement. All material
substitutions should be measured, and
performance monitored against the
organization's requirements and targets. The
results obtained through monitoring programs
can then be used to determine areas where
improvement or corrective action may be needed.
Evaluation and Review
It is important that a periodic review by senior
management take place to address whether the
material substitution is effective and established
targets are being met. There may be a need for
changes in light of monitoring results, changing
circumstances, new techniques and the
commitment to continual improvement.
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5 tO
fp
Ford's Windsor Casting Plant is a major
user of reclaimed metals. It set objectives
reduce hazardous waste solvent, eliminate
health and safety problems related to skin
irritation, and reduce corporate liability.
Substances targeted included ethylbenzene,
toluene, 1,1,1 trichloroethane and
perchloroethylene, and a 50% reduction
of hazardous waste was set as a target.
A project team from engineering and
maintenance tested non-hazardous
alternatives for six months and oversaw a
transition to new cleaning solvents. By
establishing a monitoring program, the plant
was able to reduce its hazardous waste
stream by more than 50%. This reduction
also alleviated administrative and regulatory
problems the plant was having with tracking
and filing waste manifests. It improved
health and safety conditions, eliminated
hazardous waste disposal charges and
minimized potential liabilities.
Source: Fourth Progress Report of the Canadian
Vehicle Manufacturers' Association Pollution
Prevention Project, June 1996
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POLLUTION PREVENTION PLANNING HANDBOOK
References and Resources
For more information on pollution prevention
and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Canadian Centre for Pollution Prevention:
www.c2p2online.com
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For more information on materials and
feedstock substitution:
The Solvent Alternatives Guide (SAGE): SAGE
is a tool that can be help the selection of
surface cleaning alternatives. Designed to
serve as an electronic handbook that
identifies the most viable alternative for a
given scenario, SAGE is easy to use and does
not require a detailed knowledge of process
chemistry or mechanics. SAGE is available
through the Control Technology Center in
the United States. Further information can
be obtained by calling the CTC Hotline at
(919) 541-0800: clean.rti.org
The U.S. Environmental Protection Agency's
Environmentally Preferable Purchasing
Program hosts a website with useful
guidance material, descriptions of analytical
tools and links to other resources:
www.epa.gov/opptintr/epp/how-to.html
Carstensen, Michelle. 1997. Biochemicals for
the Printing Industry. Institute for Local
Self-Reliance. Washington, D.C.
Curran, Mary Ann. 1995. "Using LCA-Based
Approaches to Evaluate Pollution Prevention."
Environmental Progress, Vol. 14, No. 4,
November 1995
Freeman, Harry M. 1995. Industrial Pollution
Prevention Handbook. McGraw-Hill
Higgins, Thomas E. 1995. Pollution Prevention
Handbook. CRC Press
Lowe, L., J. Warren, and S. Moran. 1997.
Discovering Industrial Ecology: An Executive
Briefing and Sourcebook. Batelle Press
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Checklist for Materials and Feedstock Substitution
Task
Assign overall responsibility for materials and feedstock
substitution to a management representative
Establish a cross-functional team
For each process step, identify:
what happens, including cleaning and maintenance
type, quantity and cost of inputs
material and energy losses and waste generated
how each non-product output is disposed of and
disposal costs
Identify applications in which less polluting inputs
can be substituted
Investigate alternatives
Determine if legislative restrictions apply to the
material substitutions being investigated
Complete an evaluation of the pre-selected substitutions;
account for life cycle inputs, cost, ease of use,
availability of supply, etc.
Test recommended substitutions
Evaluate results of testing
Select substitutions
Develop implementation plan
Train affected staff (such as receiving, inventory
management) on new requirements
Communicate new requirements to suppliers; maintain
regular communication on environmental issues
Develop performance indicators to measure the success
of specific measures, and monitor progress toward targets
Establish a formal review mechanism to:
evaluate the success of the measures taken
identify new measures
provide feedback from the review to all employees
Responsibility
Completion
Date
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Appendix G: Operating Efficiencies and Training
Introduction
Enhancing operating efficiencies and ensuring a
well-trained staff are important contributors to
competitiveness and profitability. As such, they
form a routine part of most companies' activities.
This information sheet describes how to further
enhance corporate objectives by integrating
pollution prevention considerations into ongoing
efforts to improve operating efficiency and into
ongoing training practices.
Pollution prevention is "the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to the environment and human health"
(Canadian Environmental Protection Act, 1999~).
Pollution prevention is at the top of a hierarchy
of environmental protection methods that also
include off-site reuse and recycling, pollution
control or treatment, disposal/destruction,
remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risks while improving
a business's bottom line.
In many cases, improving operational
efficiencies can be a very cost-effective way to
prevent pollution and reduce costs or improve
quality. These multiple objectives can often
be achieved through basic improvements in
work procedures, such as changing production
schedules to minimize equipment and
feedstock changeovers, improving maintenance
scheduling, segregating by-products at
source, and training and encouraging staff to
improve material handling, implement good
housekeeping practices and recognize pollution
prevention opportunities. These practices often
yield substantial benefits, including reduced
raw material and waste disposal costs,
less production down-time, and improved
productivity.
Operating Efficiencies
Cost-effective opportunities to implement
pollution prevention through improved operating
efficiencies generally exist in both small and
large industries. They are particularly applicable
to manufacturing industries with significant
water and solvent use or liquid and hazardous
waste production.
The first step in identifying opportunities to
enhance operating efficiencies is to conduct a
careful review of all production processes. This
review should include all aspects of the process,
from raw materials delivery through each
production step to final product storage. This
review is similar to reviews required for other
pollution prevention practices and, ideally, should
be combined with them.'
Common operational efficiency techniques and
actions can be grouped into five categories:
1. basic operations;
2. cleaning and maintenance;
3. materials and waste storage and handling;
4. process control; and
5. good housekeeping.
For more information on conducting a baseline review to identify pollution prevention opportunities, please refer to
Appendix B, "Key Elements of a Baseline Review."
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Many of the methods and techniques to
promote pollution prevention through
enhanced operational efficiencies are
well known and inexpensive to implement,
with little or no capital outlay required.
For example, a producer of breaded foods
implemented various simple measures,
including dry clean-up, installation of drip
trays under processing equipment and better
systems for collecting and handling waste
material. These changes resulted in:
30% reduction in water usage for
clean-up;
elimination of solid wastes for landfills;
almost 80% reduced organic load of
wastewater; and
increased revenues from the sale of
waste solids to recovery firms.
Source: Freeman, 1995
Examples of each of these techniques are
discussed below.
Basic Operations
Numerous improvements can often be made to
basic operations to optimize raw material use,
reduce waste and prevent pollution.
In general:
Train employees about safe handling of
materials and wastes.
Write equipment procedures in plain
language and post for quick reference.
Close containers with tight-fitting lids and
bungs to avoid evaporation and
contamination.
Use spigots and nozzles for bulk containers
to prevent drips and spills.
Have employees return empty containers
before getting new ones.
Use input materials for their intended
use only.
Use funnels for transferring wastes to
storage containers.
Reuse used absorbents to soak up puddles.
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The Manitoba Heavy Construction
Association's Environment Program (MEP),
launched in 1997, promotes and introduces
sound environmental management
techniques though its Environmental
Practices Accreditation Program. MEP assists
companies in implementing environmental
management systems, best environmental
management practices, materials
management databases and emergency
response plans. Results include fewer and
less severe spills, and consequently fewer
emissions. Better-trained and informed
employees have also led to a safer workplace
for the over 100,000 employees. In addition,
the reduction in the number and severity of
spills has resulted in financial savings in
terms of clean-up costs and time lost to
accidents.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=8
Squeegee excess cleaning solutions from
parts, drip pans, or floor before cleaning or
applying an absorbent material.
Moisten rags with a squeeze bottle instead
of soaking rags in solvent.
Collect recyclable or reusable liquids from
shop rags.
Collect shop rags and clean through a laundry
service for reuse.
Return empty containers to suppliers and
accept empty containers from customers.
Consider whether changes in the size and
shape of containers will reduce waste
generation or enhance waste collection
efficiencies.
For equipment operation and production
scheduling:
Maximize batch size to reduce clean-out
waste.
Dedicate equipment to a single product.
Check for empty containers, spill residues,
leaking tanks, reactors, pipes, valves and
hoses.
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Properly maintain and operate process
equipment to prevent the production of off-
specification products, excess or spent
process materials and solution, unused
additives, and catalysts.
Check pipes for leaks at seams, pump seals,
and flange gaskets.
Install overflow alarms, rupture disks and
relief valves.
Use all welded piping construction, flange
guards, double seals and bellows-sealed
valves.
Test containers periodically.
Use secondary containment.
For chemical processes:
Optimize chemical reactions by keeping the
temperature at the proper level.
Check temperature control devices routinely.
Check mechanical agitators to ensure proper
operation and mixing.
Correctly adjust feed flow and purity controls.
According to the Atlantic Golf
Superintendents' Association, improvements
in maintenance and turf management can
help golf courses reduce the areas treated
with pesticides and fertilizers by 33% to 50%,
as well as reduce pesticide and fertilizer
costs.
D%,
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=20
For metal parts cleaning, plating and
surface treating:
Reduce the use of solvent and water in
cleaning.
Replace solvent-based cleaners with aqueous
cleaning solutions for reduced air emissions.
Use greaseless or water-based binders to
eliminate caustic cleaners for binder removal.
Remove drag-out by placing all parts in racks
and all cavities face down for rapid drainage.
Allow enough time for parts to drain
completely.
Return collected drag-out to product
solution tank.
Avoid excessive rinsing and consider using
fog rinsing to reduce rinse water use.
Use countercurrent rinsing to recycle dilute
solution.
Prevent spillage by adding sideboards or
splash guards.
Prevent loss of volatile solutions and solvents
by locating storage tanks away from sources
of heat and by adding lids or chillers.
For stripping and painting:
Replace solvents with abrasive media
stripping (preferably recyclable) such as
plastic beads, or use a water-based cleaning
solution.
Use water-based paints.
Avoid overspray by holding the gun level,
setting controls appropriately, and
maintaining proper gun distance and speed.
Isolate spray booths for solvent-based paints
from those for water-based paints to prevent
mixing.
Emphasize quality control and pre-inspection
to lower the rejection rate resulting from
inadequate pre-cleaning.
Schedule batches to maximize efficiency
(e.g., avoid scheduling consecutive batches of
products that react with one another;
schedule batches of similarly coated products
consecutively and schedule dark batches after
light batches.
Cleaning and Maintenance
Properly and regularly done, cleaning and
maintenance prevents and corrects sources of
waste and pollution, reduces operating costs and
enhances quality. Possible opportunities include:
Allow time for proper drainage of equipment
prior to cleaning.
Create and use a master preventive
maintenance schedule and repair history file.
Schedule regular cleaning and maintenance
to avoid product contamination, remove
deposits, maintain process efficiency, extend
equipment life, and allow for inspection and
repair.
Schedule jobs in batches to reduce the need
for frequent cleaning.
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POLLUTION PREVENTION PLANNING HANDBOOK
Use high-pressure spray nozzles for tank
rinsing.
Visually inspect for leaks and damage to all
processes and storage tanks, including all
equipment attached to them, at least once
a month.
Monitor and test all discharges from internal
heating and cooling coils quarterly.
Regularly calibrate and adjust all automatic
process control devices to increase
productivity and prevent loss.
Materials and Waste Storage and Handling
Examples of materials and waste storage and
handling actions that can help reduce waste and
prevent pollution include:
Store materials in areas and conditions to
preserve shelf life.
Use large enough tanks and containers to
minimize overflows.
Use funnels for filling.
Keep materials covered to avoid loss and
contamination.
Store materials on pallets for easy detection
and response to leaks.
Label and store wastes according to
regulation.
Isolate waste streams by toxicity, type of
contaminant, or physical form to reduce
disposal, handling and/or transport costs
(consider setting up staffed collection centres
to prevent unauthorized mixing of wastes).
Prevent hazardous waste from contaminating
non-hazardous materials by keeping them
from coming into contact with each other.
If possible, avoid underground storage tanks.
Store hazardous wastes where spills will not
contaminate sewers and streams and away
from major traffic areas.
Provide secondary containment for fluid
storage.
Have emergency equipment ready for spills
and leaks, train employees to use emergency
equipment, and practise use.
Label hazardous waste at its source while
it can still be easily identified.
In paint operations, separate clean-up
toluene according to colour and type of ink
cleaned, and then filter and reuse the
collected wastes to thin future batches of
the same ink.
In metal-working operations, filter aluminum
particles from soluble oils to reclaim the
aluminum and reuse the oil.
Process Control
Process control, or the manner in which a
production system's reliability and performance
are ensured, is crucial to operating efficiency
and will already be a central focus for most
manufacturers. In many cases, improvements in
process control can also help prevent pollution.
The optimization of production or process control
systems requires detailed assessment of process
dynamics. For simplicity, process control
opportunities can be divided into such
categories as:
reduction of waste generation through
process efficiency improvements;
pre-treatment of pollution-containing
effluents using chemical reactions;
capture and recycling of pollutant-containing
waste by-products; and
collection and storage of pollutant-containing
waste by-products.
The introduction of self-tuning controllers that
adapt to the dynamic characteristics of a process
and automatically select their tuning parameters
is an example of the application of process
control innovations to improve process efficiency.
The integration of fuzzy logic controllers -
equipment that exploits system inaccuracies -
is another cost-effective technique by which
process efficiency can be optimized (particularly
in complex production systems) while also
helping reduce energy use and prevent pollution.
Finally, statistical process control uses statistical
data to determine the optimal control conditions
of a system. Through the implementation of
discrete process adjustments, and observation
of the results over time, both baseline conditions
and improvements in system efficiency can
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be charted and tracked over a given period of
operation.
Good Housekeeping
Good housekeeping involves day-to-day care and
actions that all employees can take, including:
Keep storage and work areas clean and well
organized, and containers properly labelled.
Use drip pans and splash guards.
Track spill occurrences to ensure clean-up
and corrective action.
Use absorbents for minor spills and leaks.
Training and Involving
Employees
The techniques described in this information
sheet will be effective only if employees are
trained and motivated to apply them in their day-
to-day work. Many of these techniques require
co-ordination and co-operation of employees
at various points in the overall operation of
the facility, including people in planning,
procurement, production, engineering,
environmental affairs, maintenance, and so on.
As many of these people as possible should be
involved in the training and in the ongoing
search for operational efficiencies.
Good training will give employees the knowledge
and skills they need to find and practise
operating efficiencies, but to be successful,
training must be linked to and foster enhanced
employee involvement. Employees have the
power either to limit the success of pollution
prevention initiatives or to advance it beyond
expectations.
? ppirrl
In 1999, Metrographic Printing of Nova
Scotia printed a "mini environmental
report" on the back of their Christmas card.
They included information on both the
environmental and financial benefits
realized from their waste and water
reduction initiatives. This informed staff,
suppliers and customers of their priorities
and results.
Source:www.deanprint.org/regional/atlantic/success
Some of the steps a company should consider
taking to help motivate employees to support
pollution prevention include:
Convey upper management's commitment to
employees through a formal policy statement or
management directive. A policy statement needs
to address why a pollution prevention practice
is important to the company, what is to be
accomplished in qualitative terms, and who
will do it.
Understand your corporate and plant
cultures and design your pollution prevention
plan and activities to work within those cultures.
Is your company quality-driven, management-
driven or "champion"-driven? Are grassroots-type
efforts effective? Do slogans and logos motivate
or are they seen as gimmicky?
At James Maclaren Industries (pulp and
paper) in Quebec, environmental training
emphasizes preventive actions, the
relationship between the company and the
environment, principles of reasoned due
diligence and adherence to rules and
regulations. Improved waste management
has resulted in savings of $400,000 a year at
one plant and more than $90,000 a year at
another.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=
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POLLUTION PREVENTION PLANNING HANDBOOK
Involve employees in pollution prevention
planning, implementation and evaluation. They
can participate through quality circles, task
forces, suggestion programs or a combination
of these.
Educate employees, both new and veteran,
about the plan's goals and their pollution
prevention responsibilities under the plan.
Provide the necessary training so that employees
can fulfil these responsibilities.
Inform employees of progress. Posting
program achievements will demonstrate to
employees that their efforts are making a
difference.
Recognize employees' efforts. Immediate
recognition of early accomplishments helps
establish support for pollution prevention.
Recognition programs sponsored by upper
management help sustain employee motivation.
Motivate employees through additional
incentives, such as bonuses, or non-monetary
recognition such as awards or plaques.
Publicize success stories, both internally
and externally. Find ways to make everyone
aware of your successes, including employees,
their families, stockholders, regulators and the
community.
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References and Resources
For more information on pollution prevention
and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Canadian Centre for Pollution Prevention:
www.c2p2online.com
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For more information on operating
efficiencies and training:
Freeman, Harry M. 1995. Industrial Pollution
Prevention Handbook. McGraw-Hill
Higgins, Thomas E. 1995. Pollution Prevention
Handbook. CRC Press Inc.
Ohio Environmental Protection Agency,
Fact Sheet Number 22, September 1994,
"Enhancing Employee Involvement in
Pollution Prevention Activities":
www.epa.state.oh.us/opp/fact22.txt
Virginia Department of Environmental Quality,
Pollution Prevention Workplace Fact Sheet,
"Pollution Prevention in the Workplace":
www.deq.state.va.us/p2/factsheets/work.html
University of Nebraska at Lincoln, Cooperative
Extension, Pollution Solutions, Waste
Reduction Assistance for Business,
"Common P2 Methods":
outreach.missouri.edu/polsol/p2meth.htm
U.S. Environmental Protection Agency and
Alternative Technology Division, California
Department of Toxic Substances Control.
"Waste Minimization for Hazardous Materials
Inspectors: Module 1":
p2.utep.edu/publications/manuall.cfm
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Checklist for Operational Efficiencies and Training
Task
Assign overall responsibility for operational efficiencies
and training to a management representative
Establish a cross-functional team
Map out material flows and process steps
Complete an inventory of raw materials and inputs;
identify type of material or input, use, annual quantity,
cost and suppliers
For each process step, identify:
what happens, including cleaning and maintenance
type, quantity and cost of inputs
material and energy losses and waste generated
how each non-product output is disposed of and
disposal costs
Overall and for each process step, identify, evaluate
and, where appropriate, select operating efficiency
opportunities in the areas of, for example:
Basic operations
(general
equipment operations and production scheduling
chemical processes
parts cleaning, plating and surface treatment
stripping and painting
Cleaning and maintenance
Materials and waste storage
Good housekeeping
Establish performance targets
Develop an implementation plan
Provide staff training
Develop performance indicators to measure the
success of specific measures and monitor progress
toward targets
Establish a formal review mechanism to:
evaluate the success of measures taken
identify new measures
provide feedback from the review to all employees
Responsibility
Completion
Date
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Appendix H: Purchasin
Inventory
Introduction
Pollution prevention is "the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to the environment and human health"
(Canadian Environmental Protection Act, 1999~).
Pollution prevention is at the top of a hierarchy
of environmental protection methods that also
include off-site reuse and recycling, pollution
control or treatment, disposal/destruction,
remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risks while improving
a business's bottom line.
This information sheet addresses two separate,
yet related, pollution prevention practices:
environmentally preferable purchasing and
environmentally responsible inventory
management:
Environmentally preferable purchasing
involves the integration of environmental
considerations into existing purchasing
practice. When making purchasing decisions,
companies should consider the
environmental features of the product or
service alongside traditional factors such as
product safety, price, performance and
availability. By integrating environmental
issues into the purchasing process,
organizations can reduce material and energy
consumption, avoid the unnecessary use of
toxic substances in their products, minimize
waste generation and, in many cases, reduce
costs.
jues and
[anagement
Environmentally responsible inventory
management entails the incorporation of
environmental considerations into existing
inventory management systems. This practice
can significantly reduce waste associated
with expired, damaged and unused product
and packaging, and save money.
Environmentally preferable purchasing and
inventory management techniques are most
applicable in organizations that purchase
significant quantities of products or services,
and that manage an on-site inventory of products
or component parts. Some of these techniques
are discussed below.
Environmentally Preferable
Purchasing
Approaches and techniques available for
"greening" purchasing can be grouped into six
categories, described below. Since changing
material inputs may affect product quality,
performance and cost, and the availability of
components, explicit value judgments and trade-
offs may be required. These value judgments and
trade-offs should be acknowledged and reviewed
on a regular basis.
Tailoring Purchases to Specific Needs
There are many examples of companies saving
time and money and avoiding or reducing waste
generation by tailoring their purchases to meet
specific needs. Such tailoring practices can
include:
Minimizing the number of different
products that serve the same function.
A careful review of purchase records often
reveals multiple small-quantity purchases
of products that serve similar or identical
functions. For example, a company may be
purchasing multiple brands and types of
lubricants, when only one or two different
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POLLUTION PREVENTION PLANNING HANDBOOK
types may meet all intended applications.
Using this technique, automotive
manufacturers have reduced the number
of plastic resins they purchase, thereby
reducing costs through bulk purchases and
increasing the potential for further in-house
recycling and end-of-life recycling. When
reviewing the types of similar products used,
consideration should also be given to the
environmental properties of the products,
giving preference to products with less and
fewer environmental impacts. While an all-
purpose chemical-based cleaner may meet all
cleaning needs, a company may find that a
more benign cleaner would work for 75% of
cleaning needs. In this case, there is a trade-
off to be made between universality (one
cleaner for all purposes) and reducing the
environmental - and potential health -
impacts of the products selected.
Ordering appropriate sizes of materials
to avoid off-cut waste. During construction
projects, significant quantities of waste
(in the form of off-cuts) can be avoided by
ordering materials pre-cut to the required
dimensions. Similarly, materials purchased
for use in any cutting operations, such as
foam, textiles and metal, should be of a size
that minimizes cutting waste. Also, small
reductions in packaging material size or
weight can yield significant savings. Once
suppliers are aware of your specific
requirements, they are often able to
accommodate them, allowing the purchaser
to save money through waste reduction.
Bulk purchasing. Bulk purchasing can
result in direct savings through economies
of scale. It can also reduce packaging waste
and increase the efficiency of delivery, since
fewer trips are required to deliver the
material. Organizations considering this
option should consider the shelf life and the
anticipated demand for the product to avoid
generating additional waste in the form of
expired or unused product. Only purchase
appropriate quantities for projected use. If
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considering bulk purchase of chemicals, be
aware that large-quantity chemical storage
on-site can increase the risk and the
potential impact of a spill.
Green Specifications
Increasingly, corporate and institutional
consumers are incorporating environmental
specifications into their product and packaging
specifications. These specifications can relate to
a wide range of attributes, including product or
packaging content, labelling, design features,
reusability of the product and take-back of off-
spec or spent product.
Many organizations begin efforts in this area by
focusing on one environmental attribute. The
attribute may be chosen for a number of reasons,
such as:
Regulatory pressures. In the face of an
impending ban on the manufacture and
import of CFCs, many organizations required
their suppliers to provide CFC-free
refrigerants and degreasers in the mid-1990s.
Market pressures. In 1999, a number of
companies, including Home Depot and IKEA,
announced they would phase out purchases
of old-growth wood. These decisions
responded in part to intensive advocacy
campaigns.
Heightened awareness of employees and
consumers. Throughout the 1980s and 1990s,
consumer demand for reduced and recyclable
packaging induced many companies to
reduce the amount of packaging they used
and to set minimum recycled content
percentages for their packaging.
Various companies, governments and other
institutions have developed more comprehensive
environmental specifications to address multiple
environmental attributes of the products they
purchase. The principal challenge faced in such
an approach is the difficulty of obtaining
verifiable information on environmental impacts
across the full life cycle of certain products; for
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POLLUTION PREVENTION PLANNING HANDBOOK
many products, this information is not available.
Companies have addressed this limitation in
different ways:
1. They may rely on environmental labelling
programs to assess independently the
environmental performance of a product
across its life cycle and authorize companies
whose products meet a product-specific
standard to display an environmental label.
In Canada, the "EcoLogo" symbol is used
to indicate that a product has met the
guidelines of the Environmental Choice
Program, Canada's environmental labelling
program.
2. Some companies require their purchasers
to maximize one or more of several
environmental attributes. This type of
guidance provides employees with direction
on what attributes to consider, and provides
them with flexibility when applying these
criteria to different products.
3. Other companies have developed their
own systems for evaluating the potential
environmental impacts of the product and,
in some cases, the product's manufacturing
process. Canon has developed and published
Green Procurement Standards and the Green
Procurement Standards Guidebook. These
publications present an index for rating a
large number of product-specific parameters
as well as the corporate environmental
structure of suppliers.
Prohibiting or Limiting Certain Substances
Increasingly, it is common to see organizations
prohibit the use of specific substances in
materials they purchase. Some of these
prohibitions are enacted to ensure regulatory
compliance. For example, when Germany passed
a law in 1995 forbidding the use of certain azo-
dyestuffs (colouring agents) in consumer
products that come into contact with the skin,
clothing manufacturers responded by requiring
The City of Santa Monica, California,
transformed its purchasing practices to
promote environmentally friendly
products without compromising
performance standards or budgetary
requirements. As a result, Santa Monica
has reduced its annual use of chemicals
considered to be hazardous or toxic by
3,200 pounds (1,440 kg). Environmental
purchasing techniques led to reductions in
the use of toxic cleaning products, pesticides
and virgin motor oil, as well as an increase
in the use of less-polluting alternative fuels
and recycled products. Economically, the City
of Santa Monica saved 25% in motor oil costs
and an additional 30% in pest management
costs, while simultaneously creating a more
clean and healthy environment.
idf
Source: www.epa.gov/opptintr/epp/pdfs/santa.pdf
their suppliers to certify the materials they
supplied were "azo-free." A number of companies
have taken this concept one step further, and
have screened the chemical substances they use
against a wide range of criteria. Based on this
screening, they often identify a black list and a
grey list of substances. The black list identifies
substances that employees are prohibited from
purchasing and which cannot be contained in
materials purchased by the company. The grey
list identifies substances the company plans on
phasing out once it identifies more
environmentally benign substitutes. While
decisions regarding which chemicals to prohibit
or phase out usually involve many departments,
including R&D, product managers, industrial
engineering, and environment, health and safety
professionals, it is usually the purchasing
department's responsibility to implement the
policy and communicate the information to
suppliers.
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POLLUTION PREVENTION PLANNING HANDBOOK
List of Approved Products
Some companies have created a list of "approved"
products with particular environmental attributes.
Although somewhat inflexible, this technique can
simplify the purchasing process, since it does not
require individual employees to make judgments
on the environmental preferability of different
products.
Qualifying Suppliers
Some companies require potential suppliers to
"pre-qualify." For example, they may require
suppliers to have a corporate environmental policy
in place, or to abide by specific industry codes of
conduct (such as Responsible Careฎ in the
chemical sector), or be certified according to
national or international environmental standards
(such as ISO 14001). These requirements are often
a component of the corporate environmental risk
management program.
Working Collaboratively with Suppliers
In recent years, there has been a trend toward
more collaborative efforts between companies and
their suppliers. This trend is particularly evident in
the move toward just-in-time delivery. Increasingly,
companies are working closely with their suppliers
on environmental issues. This type of collaboration
can take many forms, such as:
developing a program to return off-spec
products and/or scrap materials to the supplier
for reuse or recycling;
using reusable transport packaging for delivery
of components;
involving the suppliers in joint R&D programs;
creating partnerships related to disassembly;
enhancing the service component of the
relationship, where the supplier retains
ownership and responsibility for certain pieces
of equipment (e.g., parts washers); and
provision of training and information to
suppliers to help enhance their environmental
management capacities.
A number of companies have changed
the nature of their relationship with their
chemical suppliers to a more service-focused
relationship. The chemical suppliers work on-
site, and become responsible for such tasks as
chemical purchasing, tracking the on-site
inventory to ensure proper inventory levels are
maintained, operating the material safety data
sheets (MSDS) program, and collecting data
required for environmental reports. Under
some arrangements, the suppliers are offered
financial incentives, such as sharing in the
cost savings from reduced chemical purchases,
to decrease the amount of chemicals sold.
In this type of model, suppliers are paid for
providing and managing chemicals, so their
profit is based on providing a high-quality
service, not on selling more chemicals.
Benefits of this approach include a reduction
in purchase of unneeded chemicals, decreased
costs to dispose of outdated overstock, and
reduction of the risk associated with a larger,
more diverse chemical inventory. More
information on such arrangements is available
through the Chemical Strategies Partnership:
www.chemicalstrategies.org
Environmentally Responsible
Inventory Management
All organizations have some form of inventory
management system in place. Incorporating
environmental considerations into existing
inventory management procedures can reduce
the amount of waste generated from expired,
unused and damaged product. In many instances,
environmental considerations also reinforce sound
health and safety practices, including the use of
current Material Safety data sheets' and Workplace
Hazardous Materials Information System labelling.
MSDSs provide detailed information about the physical properties, toxicity, personnel protection requirements, and
other safety precautions and waste disposal needs for specific materials. Contact the manufacturer of the material to
obtain an MSDSs.
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Several inventory management techniques are
described below.
Managing Materials Demand
The first step in applying a preventive approach
to inventory management is that of managing
materials demand, a process that provides a
holistic understanding of a company's materials
requirements.
Managing materials demand involves six steps:
1. Forecast production and other activities
based upon operational schedules and well-
grounded assumptions.
2. Divide each activity into identifiable tasks.
3. Evaluate each task with a view to
determining the materials requirements,
use levels and rates of consumption.
4. Combine materials requirements from
individual tasks and activities in an effort to
determine overall operational requirements.
5. Determine the required restocking rates for
the operations at hand, based upon
manufacture and transportation rates.
6. And, finally, identify the central supply
required in order to meet the operational
demand.
In addition to purchasing costs, the costs
of managing chemical products include those
associated with inventory carrying, compliance
(including record keeping and reporting),
training, health and safety, emergency
preparedness, and disposal of unused or
expired chemicals. Based on discussions with
several companies, the Chemical Strategies
Partnership has seen chemical management
costs range from US$1 to $10 for every dollar
of chemical purchased. In other words, for a
facility that purchases US$5 million in
chemicals, additional costs of using these
chemicals could be between US$5 million and
US$50 million.
Source: www.chemicalstrategies.org/Service_Model.html
Inspection of Goods
Raw materials and other goods should be
inspected carefully upon receipt so that damaged
goods can be immediately returned to the
supplier. Damaged goods unknowingly accepted
into the inventory can cause a wide range of
problems, including poor product quality and/or
performance, loss of material through leaks and,
in the case of certain chemical substances,
potential risk to worker health and safety.
Identify Storage Requirements
Different materials have different storage
requirements for such parameters as
temperature, light, moisture and length of
storage. Determining and respecting these
requirements can reduce unnecessary
waste and maintain input quality. Storage
requirements should be identified and assessed
for all materials, and procedures should be
in place to ensure these storage conditions
are met. Employee training on these
requirements is another important practice.
Stock Rotation
Good stock rotation procedures can ensure that
material is used on a first-in, first-out basis.
This technique helps to prevent waste associated
with expired materials. The inventory
management system can be used to monitor the
effectiveness of these procedures by tracking the
expiry dates of the materials in storage.
Minimize Inventory and Implement
Just-in-Time Delivery
A number of organizations have established
minimum and maximum acceptable storage
quantities for each chemical substance kept on-
site. By keeping on-site inventory of hazardous
materials to the minimum level required to
prevent disruption to production, companies are
able to reduce the environmental risk associated
with bulk chemical storage. Just-in-time delivery
can also provide environmental benefits by
reducing damage to materials during storage
and movement around the site.
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Key Steps to Implementing
Purchasing Techniques and
Inventory Management
Establish Responsibility
Making these changes requires a "champion."
Be sure to clearly assign overall responsibility for
identifying and implementing environmental
purchasing and inventory management
techniques.
In addition, a team is essential for sharing
information related to the use and handling of
different products at each stage of the production
process, and to involve all affected parties. The
team should include a representative from each
of the following areas: purchasing; research,
design and development; shipping and receiving;
industrial engineering; production; marketing;
maintenance; and environment, health and
safety. In some cases, it may also be appropriate
to involve specific suppliers.
Baseline Review
The interdepartmental team should identify
all inputs and outputs, including wastes. This
review is similar to reviews required for other
pollution prevention practices and, ideally, should
be combined with them.2 The team should then
identify alternative inputs (e.g., by collecting
information on green product certification
programs). Based on this information, the team
can determine the potential for:
reducing the number of different products
purchased in the same product category;
substituting an environmentally benign or
less harmful substance for an
environmentally harmful product;
reducing the amount of material stored
on-site; and
improving storage practices to reduce stock
expiration and waste generation.
Based on a careful review of inputs and
their potential environmental impacts,
the interdepartmental team may also make
recommendations on environmental criteria to
be used in both material selection and vendor
selection. These recommendations should be
based on sound science, and be compatible with
production and market requirements.
Establish Targets
Once the team understands the material flows
and potential alternatives, it can establish
specific, time-based, measurable performance
targets. Such targets should be consistent with
any broader objective or target established
within the organization's environmental
management system (EMS) or pollution
prevention plan. For example, if an objective
stated in the EMS is to reduce waste sent off-site
for disposal by 20% by 2003 (using 2000 as the
base year), then a specific target might be to
reduce waste caused by stock expiration by a
certain percentage within the same time period.
In this instance, the organization might commit
to a 20% reduction in expired stock as well or, if
the team believes specific actions could lead to a
larger reduction, it might exceed the overall
objective and aim for a 75% reduction in expired
stock.
Provide Training
Purchasing staff must be trained in any new
requirements, including the rationale for the
changes, and their role in implementing them.
They should also have written materials
summarizing the changes for future reference.
Any changes to inventory management practices
must also be clearly communicated to employees
working in receiving and inventory management.
Communicate with Suppliers
Successful implementation of new purchasing
and inventory management techniques requires
For more information on conducting a baseline review to identify pollution prevention opportunities, please refer to
Appendix B, "Key Elements of a Baseline Review."
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co-operation from suppliers. Suppliers should be
informed of overall environmental policies as
well as any specific purchasing policies or
programs. Communication with suppliers should
be a two-way dialogue, since they may be able to
offer a new perspective and draw on their
expertise and experience with other customers
to contribute to appropriate solutions.
Establish Performance Indicators
Specific performance indicators should be
established to help monitor the implementation
and success of purchasing and inventory
management practices. While these indicators
need to be tailored to the specific initiatives
undertaken, they could include such measures
as the volume of expired product discarded
each month (to assess the impact improved
inventory management practices are having), or
the percentage of product (expressed in absolute
numbers or in a dollar value) that meets specific
environmental criteria defined by the company.
Review and Evaluate
On a regular basis, the organization should
monitor and evaluate progress toward
implementing specific action items and meeting
established targets. The team should examine
the root cause of any deviations from the action
plan or failure to achieve targets or specific
milestones and determine what corrective action,
if any, should be implemented.
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References and Resources
For more information on pollution prevention
and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Canadian Centre for Pollution Prevention:
www.c2p2online.com
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For more information on environmentally
preferable purchasing and inventory
management tools and techniques, refer to:
Environmental Choice Program, Canada's
national ecolabelling program:
www.environmentalchoice.com
Note: TerraChoice Environmental Services,
the administrators of the Environmental
Choice Program, publish the EcoBuyer
Catalogue of certified environmentally
responsible products and services
U.S. Environmental Protection Agency.
Environmentally Preferable Purchasing
website: www.epa.gov/opptintr/epp
U.S. Environmental Protection Agency. June
1999. "Private Sector Pioneers: How
Companies Are Incorporating
Environmentally Preferable Purchasing."
EPA742-R-99-001. Washington, D.C.:
www.epa.gov/opptintr/epp/pdfs/privsect.pdf
Chemical Strategies Partnership: Phone: (415)
421-3405; Fax: (415) 421-3304; website:
www.chemicalstrategies.org
Lippman, Steve. 1999. "Supply Chain
Environmental Management: Elements for
Success." Corporate Environmental Strategy.
Vol. 6, No. 2:175-182
Lyons, Kevin. 2000. Buying for the Future:
Contract Management and the Environmental
Challenge. London, U.K.: Pluto Press
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Checklist for Purchasing Techniques and Inventory Management
Task
Assign overall responsibility for green purchasing and
inventory management to a management representative
Establish a cross-functional team
Complete an inventory of raw materials and inputs;
identify type of material or input, use, annual quantity,
cost and supplier(s)
Determine potential to reduce the number of different
raw materials and inputs serving the same function
Identify storage requirements for each category of
raw material and input
Identify current storage practices; determine need
for change
For each raw material and input, identify its
environmental impacts and attributes. Consider
such factors as:
durability
reusability
recycled content
energy or water efficiency
hazardous properties
contribution to hazardous by-products or waste
minimal packaging and/or reusable packaging
obtained from renewable resources
For raw materials and inputs with significant
environmental impacts, conduct research to identify
environmentally preferable alternatives; involve
suppliers in this research
Determine whether legislation restricts the types of
raw materials and inputs that can be used
Develop internal green purchasing policy and program;
this may include setting specific objectives and
targets, establishing input specifications, creating a
list of approved products, or requiring suppliers to
meet certain conditions
Train purchasing staff and other affected staff (such as
receiving, inventory management) on new requirements
Communicate new requirements to suppliers; maintain
regular communication on environmental issues
Develop performance indicators to measure the
success of specific initiatives, and monitor progress
toward targets
Establish a formal review mechanism to:
evaluate the success of measures taken
identify new measures
provide feedback from the review to all employees
Responsibility
Completion
Date
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Appendix I: On-Site Reuse and Recycling
Introduction
On-site reuse and recycling represent important
and fairly well-understood pollution prevention
practices. This information sheet introduces
the key aspects of these practices and provides a
checklist to help implement them.
Pollution prevention is "the use of processes,
practices, materials, products, substances or
energy that avoid or minimize the creation of
pollutants and waste, and reduce the overall
risk to the environment and human health"
(Canadian Environmental Protection Act, 1999}.
Pollution prevention is at the top of a hierarchy
of environmental protection methods that also
include off-site reuse and recycling, pollution
control or treatment, disposal/destruction,
remediation and clean-up. While all
environmental protection methods provide some
benefits, pollution prevention can provide the
most cost-effective opportunities for reducing
environmental and health risks while improving
a business's bottom line.
On-site reuse and recycling cover the processes
of reusing and recycling at the same place where
an activity has been conducted (as opposed to
off-site). Reuse is the re-employment of products
or materials, in their original form or in new
applications, with refurbishing to original or
new specifications as required. Recycling is the
extension of the effective life span of renewable
and non-renewable resources through changes
to processes or practices and the addition of
energy inputs. When it is conducted in an
environmentally sound manner, recycling is
preferable to end-of-pipe treatment. In some
cases, on-site reuse and recycling is referred to
as "by-product recovery."
Non-product outputs should be viewed as a
loss of valuable process materials that, when
reused or recycled, could have significant
environmental or economic benefits.
icant
Identifying Reuse and Recycling
Opportunities
On-site reuse and recycling for pollution
prevention are generally applicable in both
small and large industries. Manufacturing and
processing industries with significant waste
production and water use, or with waste that is
a valuable by-product (such as silver from photo
processing), may achieve greater pollution
prevention and economic benefits. The practice
may be less applicable to small companies with
small amounts of waste, where on-site recovery
is not as cost-effective or where recovered
material cannot be reused in the production
process.
Separation/Segregation Techniques
In order for wastes to be usable for on-site
recycling or reuse, they must first be separated
from the process stream. There are several
groups of separation technologies. For ease of
discussion, these techniques can be divided into
solid-solid streams, solid-liquid streams, liquid-
gas streams, and solid-gas streams:
To separate wastes in the solid phase,
technologies such as screening, magnetic
separation and air classification may be used.
To remove wastes in the liquid phase, pH
adjustment and precipitations, ion exchange,
reverse osmosis, diffusion dialysis and
electrodialysis, micro and ultra filtration,
dewatering, extraction and electrolytic
methods may be applied.
Finally, to separate wastes in the gaseous
phase, adsorption, membranes, absorption,
cryogenics and condensation may be used.
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A waste segregation technique commonly
used by printers and metal fabricators is
to collect and store wash water or solvents
used to clean equipment (e.g., tanks, pipes,
pumps, presses) for reuse in the production
process. Some printing firms segregate and
collect toluene used for press and roller
cleaning. By segregating this toluene by
colour and ink contaminant, companies can
reuse it later for thinning. Recovery of 100%
of the waste toluene totally eliminates a
hazardous waste stream and reduces input
costs.
To further increase the recoverability of specific
wastes, it is often necessary to separate toxic,
hazardous or recoverable wastes from the total
waste stream. Applicable techniques range from
simple segregation to complex concentration
technology. Concentration techniques usually
remove a component of the waste such as water.
Available methods include gravity and vacuum
filtration, reverse osmosis, freeze vaporization,
filter press, heat drying and compaction.
At-source separation and the separate handling
of hazardous and non-hazardous waste can
reduce both waste volume and handling costs.
At Colgate-Palmolive Canada in Edmonton,
all excess plastic removed from bottles after
moulding is reground and reused in making
new bottles. The plant uses about 25% in-
house reground plastic in new bottles.
Product drainage and rinses from product
changeover clean-outs are collected in tote
tanks and reused as process water in
manufacturing new product. These recycling
and other pollution prevention actions have
reduced waste by an estimated 75%, despite
increased production, and have yielded
savings of approximately $25,000 in raw
materials and reduced treatment chemicals.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=13
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One of the best and most efficient places to
recover process wastes is in the production
facility at the point of generation (e.g., where
granular material has spilled from a feed hopper,
or where flashing is trimmed from moulded
products). Here, the possibility of contamination
by other material is lower, and the risks and cost
of handling and transporting the recovered
materials should be minimal.
Purification
Following recovery, some waste may have to
be purified before it is reused or recycled.
Purification can be achieved using readily
available physical or chemical techniques
including simple filtration, ion exchange,
electrowinning, metal salt reclamation (chilling),
atmospheric evaporation, distillation, reverse
osmosis and freeze crystallization. Most on-site
recovery systems produce some type of residue -
the contaminants removed from the recovered
material. The residue can then be processed for
further recovery or properly disposed of.
Reuse and Recycling Methods
Table II illustrates potential sources and types
of waste from various industrial operations,
together with possible reuse and recycling
methods. The methods are not limited to the
waste origins and waste types they appear
beside.
Wastewater Recycling
When wastewater is recycled (as opposed to
reused), it is not treated but used directly in
another application. Opportunities for recycling
industrial wastewater are many, but depend on
the water quality requirements of the receiving
process.
Examples of potential industrial wastewater
recycling applications include:
Cooling tower blowdown recycled for wash
water, utility water, flare drum seal water,
pump coolant, tank field waste or scrubber
water makeup
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POLLUTION PREVENTION PLANNING HANDBOOK
Table 11: Potential Reuse and Recycling Methods
Waste Source Waste Types
Reuse/Recycling Methods
Materials Packaging materials, off-
receiving spec materials, damaged
containers, spill residues,
residues from transfer
hose emptying
Develop running inventory of unused chemicals for other
departments' use
Conduct periodic materials tracking
Find uses for off-spec material that would otherwise be
disposed of
Change to reusable shipping containers
Use rinseable or recyclable drums
Raw material and Tank bottoms, off-spec
product storage and excess materials, spill
residues, leaking pumps,
valves, tanks and pipes,
damaged containers,
empty containers
Use vapour recovery system
Empty drums and containers thoroughly before cleaning
or disposal
Find uses for off-spec material that would otherwise be
disposed of
Use scrap paper for notepads; recycle paper
Laboratories
Reagents, off-spec
chemicals, empty sample
and chemical containers
Find less critical uses for off-spec material that would
otherwise be disposed of
Reuse/recycle spent solvents
Recover metal from catalysts
Operation and
process changes
Production line drips,
leaks, spills, drainage and
rinses, solvents, cleaning
agents, degreasing
sludges, sandblasting
waste, caustic scrap metal,
oils, greases from
equipment cleaning,
sludge and spent acid
from heat exchanger
cleaning
Reuse uncontaminated collected materials
Recycle rinsewater for countercurrent rinsing
Recycle lube oils
Recycle waste ink
Clean and reuse rags
Recover "drag-out" material
Recover reusable chemicals and valuable metals from
waste stream (e.g., silver from printing plants)
Collect drips with drain boards
Collect and reuse clean-up solvent
Reprocess clean-up solvent into useful products
Keep individual hazardous waste streams segregated;
segregate hazardous waste from non-hazardous waste;
segregate recyclable waste from non-recyclable waste;
segregate recyclables by type
Use squeegees to recover residual fluid on product prior
to rinsing
Provide sufficient drain time for liquids
Textron Automotive Company in Port Hope,
Ontario, saves about $77,000 a year in water
costs due to in-plant reuse and recycling of
cooling water from injection moulding
machines.
Source: www.ec.gc.ca/pp/en/storyoutput.cfm?storyID=63
Boiler blowdown recycled for lower-pressure
boiler makeup water
Rinsewater recycled for countercurrent
rinsing
Once-through cooling water recycled
for cooling pond, compressor cooling water,
non-contact cooling water, or process water
Condensate from tanks or processes
recycled for boiler makeup water
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Opportunities for recycling sanitary wastewater
are more limited. Grey wastewater from bathing,
washing machines and dishwashers can be
recycled for toilet flushing. Often, shower and
laundry wastewaters can be used for irrigation.
Reusing Treated Wastewater
Wastewater can be treated and reused depending
on such factors as the required quality of the
reused wastewater and the existence of a cost-
effective treatment technology to return the
water to the required quality. Example treatment
technologies are listed in Table 12.
Opportunities to reuse treated wastewater on-
site may include:
landscape irrigation for lawn areas;
industrial reuse as cooling tower makeup
water, once-through cooling water, boiler feed
water, process water;
groundwater recharge for groundwater
replenishment, saltwater intrusion control,
subsistence control;
recreational/environmental uses including
lakes and ponds, marsh enhancement, stream
flow augmentation, fisheries, snow making;
non-potable urban uses such as fire
protection, air-conditioning, toilet flushing;
and
potable uses such as blending in water
supply, reservoir, pipe-to-pipe water supply.
Key Steps
Establish Responsibility
Making these changes requires a "champion."
Be sure to clearly assign overall responsibility
for identifying and implementing reuse and
recycling opportunities. Particularly because
such opportunities may be identified at
numerous locations in a plant or points in a
process, a team approach will help to share
relevant information. The team should include a
representative from each of the following areas:
purchasing; research, design and development;
shipping and receiving; industrial engineering;
production; marketing; maintenance; and
environment, health and safety.
Baseline Review
The baseline review entails a careful review
of all inputs, outputs and non-product outputs
related to the current production processes. This
should include all aspects of the process from
raw materials delivery through each production
Table 12: Example
Technology
Treatment Technologies for Wastewater Reuse
Application
Reverse osmosis
Electrodialysis
Ultrafiltration
Ion exchange
Activated carbon
Sedimentation
Filtration
Evaporation
pH adjustment and
precipitation
Dewatering
Removal of BOD1, COD2, IDS3, TSS4, NH35 and phosphorus
Removal of IDS and recovery of metal salts
Removal of IDS, turbidity and oil
Removal of IDS and toxic metal ions; reduction of hardness
Removal of many organic and inorganic compounds
Removal of solids denser than water
Dewatering sludges; removal of suspended solids; pre-treatment
Treatment of hazardous and solvent wastes; separation of suspended and
dissolved solids
Removal of metals in the form of metal salts from metal processing acid wastes;
neutralization of waste acids and bases in various industries
Reducing moisture content of sludges
BOD: biological oxygen demand
COD: chemical oxygen demand
IDS: total dissolved solids
TSS: total suspended solids
NH3: ammonia
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POLLUTION PREVENTION PLANNING HANDBOOK
step and each source of waste to final product
storage. This review is similar to those done for
other pollution prevention practices and, ideally,
should be combined with them.' This review
should identify current material flows and
identify various opportunities for reuse or
recycling.
Select Options and Establish an
Implementation Plan, Targets and Indicators
Once the team selects measures to implement,
it should develop an implementation plan
including specific performance targets and
indicators. These should be consistent with any
broader objective or target established within
the organization's environmental management
system (EMS) or pollution prevention plan.
Provide Training
Staff must be trained in any new requirements,
including the rationale for the changes, and their
role in implementing them. They should also
have written materials summarizing the changes
for future reference.
Review and Evaluate
On a regular basis, the organization should
monitor and evaluate progress toward
implementing specific action items and meeting
established targets. The team should examine
the root cause of any deviations from the action
plan or failure to achieve targets or specific
milestones and determine what corrective action,
if any, should be implemented.
Through on-site water reuse and recycling
and an on-site evaporation pond, Saskferco
Products in Saskatchewan significantly
reduced water use and eliminated
wastewater discharges to local waterways.
The reuse/recycling techniques adopted
include the reuse of steam turbine
condensate as boiler or cooling water,
purification and reuse of steam condensate
from the process gas and extensive recycling
of process and cooling water.
Source: www.pnr-rpn.ec.gc.ca/pollution/eOOs60.en.html
For more information on conducting a baseline review to identify pollution prevention opportunities, please refer to
Appendix B, "Key Elements of a Baseline Review."
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References and Resources
For more information on pollution prevention
and pollution prevention planning:
Canadian Pollution Prevention Information
Clearinghouse: www.ec.gc.ca/cppic
Canadian Centre for Pollution Prevention:
www.c2p2online.com
Canadian Environmental Protection Act, 1999:
www.ec.gc.ca/CEPARegistry
Your Environment Canada Regional Office.
For more information on on-site reuse and
recycling:
Freeman, Harry M. 1995. Industrial Pollution
Prevention Handbook. McGraw-Hill
Higgins, Thomas E. 1995. Pollution Prevention
Handbook. CRC Press Inc.
U.S. Navy, Naval Facilities Engineering Service
Center. "Joint Service Pollution Prevention
Opportunity Handbook":
www.enviro.nfesc.navy.mil/p21ibrary/cgi-bin/
index_opp.cfm
Ohio Environmental Protection Agency, Office of
Pollution Prevention, Fact Sheet Number 9:
"On-Site Solvent Recycling Equipment":
www.epa.state.oh.us/opp/solvents/fact9.html
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Checklist for On-Site Reuse and Recycling
Task
Assign overall responsibility for on-site reuse and
recycling to management a representative
Establish a cross-functional team
Map out material flows and process steps
For each process step, identify:
what happens, including cleaning and maintenance
type, quantity and cost of inputs
material and energy losses and waste generated
how each non-product output is disposed of
and disposal costs
Overall, and for each process step, identify, evaluate
and, where appropriate, select measures to enable
further recycling or reuse of non-product outputs
Develop an implementation plan for selected measures
Establish performance targets
Provide staff training
Develop performance indicators to measure the
success of specific initiatives, and monitor progress
against targets
Establish a formal review mechanism to:
evaluate the success of measures taken
identify new measures
provide feedback from the review to all employees
Responsibility
Completion
Date
1-7
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POLLUTION PREVENTION PLANNING HANDBOOK
The printing processes used in producing this document conform to
environmental performance standards established by the Government
of Canada under Canada's National Guidelines on Lithographic Printing
Services. These standards aim to ensure the environmental integrity
of printing processes through reductions in toxic emissions to the
environment, reductions in loading of wastewater, reductions in the
quantity of materials sent to landfills, and the implementation of resource
conservation procedures.
The paper used in the interior of this document conforms to Canada's
National Printing and Writing Paper Guideline and/or Uncoated Mechanical
Printing Paper Guideline. These guidelines set environmental performance
standards for fibre-use efficiency, chemical oxygen demand, energy use,
global warming potential, acidification potential, and solid waste.
The printing processes and the paper used in the interior of this
document are fully certified under Canada's sole ecolabelling program -
the Environmental Choice" Program (ECP). The Program's official symbol
of certification - the EcoLogo" - features three stylized doves intertwined
to form a maple leaf, representing consumers, industry and government
working together to improve Canada's environment.
For more information about the Environmental Choice" Program, please
visit the ECP website at www.environmentalchoice.com or telephone
(613) 247-1900.
Environment Canada's CEPA Implementation and Innovation Division is proud to
support environmental and quality performance standards, and the use of
Environmental Choice" certified papers and environmentally responsible
products and printing processes, throughout its development and distribution
of information products. To obtain a copy of the catalogue Environment
Canada: Selected Publications and Websites, please contact us toll-free at
1 800 734-3232, or (819) 953-5750; by facsimile at (819) 994-5629; or by
e-mail at epspubs@ec.gc.ca. For additional information on Environment
Canada, visit the departmental website at www.ec.gc.ca.
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